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Title 40 – Protection of Environment–Volume 36

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Title 40 – Protection of Environment–Volume 36


Part


chapter i – Environmental Protection Agency (Continued)

1027

CHAPTER I – ENVIRONMENTAL PROTECTION AGENCY (CONTINUED)

SUBCHAPTER U – AIR POLLUTION CONTROLS

PARTS 1000-1026 [RESERVED]

PART 1027 – FEES FOR VEHICLE AND ENGINE COMPLIANCE PROGRAMS


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


Source:73 FR 59184, Oct. 8, 2008, unless otherwise noted.

§ 1027.101 To whom do these requirements apply?

(a) This part prescribes fees manufacturers must pay for activities related to EPA’s motor vehicle and engine compliance program (MVECP). This includes activities related to approving certificates of conformity and performing tests and taking other steps to verify compliance with emission standards in this part. You must pay fees as described in this part if you are a manufacturer of any of the following products:


(1) Motor vehicles and motor vehicle engines we regulate under 40 CFR part 86. This includes light-duty vehicles, light-duty trucks, medium-duty passenger vehicles, highway motorcycles, and heavy-duty highway engines and vehicles.


(2) The following nonroad engines and equipment:


(i) Locomotives and locomotive engines we regulate under 40 CFR part 1033.


(ii) Nonroad compression-ignition engines we regulate under 40 CFR part 1039.


(iii) Marine compression-ignition engines we regulate under 40 CFR part 1042 or 1043.


(iv) Marine spark-ignition engines and vessels we regulate under 40 CFR part 1045 or 1060. We refer to these as Marine SI engines.


(v) Nonroad spark-ignition engines above 19 kW we regulate under 40 CFR part 1048. We refer to these as Large SI engines.


(vi) Recreational vehicles we regulate under 40 CFR part 1051.


(vii) Nonroad spark-ignition engines and equipment at or below 19 kW we regulate under 40 CFR part 1054 or 1060. We refer to these as Small SI engines.


(3) The following stationary internal combustion engines:


(i) Stationary compression-ignition engines we certify under 40 CFR part 60, subpart IIII.


(ii) Stationary spark-ignition engines we certify under 40 CFR part 60, subpart JJJJ.


(4) Portable fuel containers we regulate under 40 CFR part 59, subpart F.


(b) [Reserved]


(c) Nothing in this part limits our authority to conduct testing or to require you to conduct testing as provided in the Act, including our authority to require you to conduct in-use testing under section 208 of the Act (42 U.S.C. 7542).


(d) Paragraph (a) of this section identifies the parts of the CFR that define emission standards and other requirements for particular types of engines, vehicles, and fuel-system components. This part 1027 refers to each of these other parts generically as the “standard-setting part.” For example, 40 CFR part 1051 is always the standard-setting part for recreational vehicles. For some nonroad engines, we allow for certification related to evaporative emissions separate from exhaust emissions. In this case, 40 CFR part 1060 is the standard-setting part for the equipment or fuel system components you produce.


[73 FR 59184, Oct. 8, 2008, as amended at 75 FR 22981, Apr. 30, 2010; 86 FR 34373, June 29, 2021]


§ 1027.105 How much are the fees?

(a) Fees are determined based on the date we receive a complete application for certification. Each reference to a year in this subpart refers to the calendar year, unless otherwise specified. Paragraph (b) of this section specifies baseline fees that apply for certificates received in 2020. See paragraph (c) of this section for provisions describing how we calculate fees for 2021 and later years.


(b) The following baseline fees apply for each application for certification:


(1) Except as specified in paragraph (b)(2) of this section for Independent Commercial Importers, the following fees apply in 2020 for motor vehicles and motor vehicle engines:


Category 1
Certificate type
Fee
(i) Light-duty vehicles, light-duty trucks, medium-duty passenger vehicle, and complete heavy-duty highway vehiclesFederal$27,347
(ii) Light-duty vehicles, light-duty trucks, medium-duty passenger vehicle, and complete heavy-duty highway vehiclesCalifornia-only14,700
(iii) Heavy-duty highway engineFederal56,299
(iv) Heavy-duty highway engineCalifornia-only563
(v) Heavy-duty vehicleEvap563
(vi) Highway motorcycle, including Independent Commercial ImportersAll1,852


1 The specified categories include engines and vehicles that use all applicable fuels.


(2) A fee of $87,860 applies in 2020 for Independent Commercial Importers with respect to the following motor vehicles:


(i) Light-duty vehicles and light-duty trucks.


(ii) Medium-duty passenger vehicles.


(iii) Complete heavy-duty highway vehicles.


(3) The following fees apply in 2020 for nonroad and stationary engines, vehicles, equipment, and components:


Category 1
Certificate type
Fee
(i) Locomotives and locomotive enginesAll$563
(ii) Marine compression-ignition engines and stationary compression-ignition engines with per-cylinder displacement at or above 10 litersAll, including EIAPP563
(iii) Other nonroad compression-ignition engines and stationary compression-ignition engines with per-cylinder displacement below 10 litersAll2,940
(iv) Large SI engines and stationary spark-ignition engines above 19 kWAll563
(v) Marine SI engines. Small SI engines, and stationary spark-ignition engines at or below 19 kWExhaust only563
(vi) Recreational vehiclesExhaust (or combined exhaust and evap)563
(vii) Equipment and fuel-system components associated with nonroad and stationary spark-ignition engines, including portable fuel containers.Evap (where separate certification is required)397

(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:




Where:

Certificate FeeCY = Fee per certificate for a given year.

Op = operating costs are all of EPA’s nonlabor costs for each category’s compliance program, including any fixed costs associated with EPA’s testing laboratory, as described in paragraph (d)(1) of this section.

L = the labor costs, to be adjusted by the Consumer Price Index, as described in paragraph (d)(1) of this section.

CPICY-2 = the Consumer Price Index for the month of November two years before the applicable calendar year, as described in paragraph (d)(2) of this section.

CPI2006 = 201.8. This is based on the October 2006 value of the Consumer Price Index. as described in paragraph (d)(2) of this section

OH = 1.169. This is based on EPA overhead, which is applied to all costs.

cert#MY-2 = the total number of certificates issued for a fee category in the model year two years before the calendar year for the applicable fees as described in paragraph (d)(3) of this section.

cert#MY-3 = the total number of certificates issued for a fee category in the model year three years before the calendar year for the applicable fees as described in paragraph (d)(3) of this section.

(ii) Use the following equation for all other certificates:




Where:

CPI2002 = 180.9. This is based on the December 2002 value of the Consumer Price Index as described in paragraph (d)(2) of this section.

(2) The fee for any year will remain at the previous year’s amount until the value calculated in paragraph (c)(1) of this section differs by at least $50 from the amount specified for the previous year.


(d) Except as specified in § 1027.110(a) for motor vehicles and motor vehicle engines, we will use the following values to determine adjusted fees using the equation in paragraph (c) of this section:


(1) The following values apply for operating costs and labor costs:


Engine or vehicle category
Op
L
(i) Light-duty, medium-duty passenger, and complete heavy-duty highway vehicle certification$3,322,039$2,548,110
(ii) Light-duty, medium-duty passenger, and complete heavy-duty highway vehicle in-use testing2,858,2232,184,331
(iii) Independent Commercial Importers identified in paragraph (b)(2) of this section344,824264,980
(iv) Highway motorcycles225,726172,829
(v) Heavy-duty highway engines1,106,2241,625,680
(vi) Nonroad compression-ignition engines that are not locomotive or marine engines, and stationary compression-ignition engines with per-cylinder displacement below 10 liters486,401545,160
(vii) Evaporative certificates related to nonroad and stationary engines5,039236,670
(viii) All other177,425548,081

(2) The applicable Consumer Price Index is based on the values published by the Bureau of Labor Statistics for All Urban Consumers at https://www.usinflationcalculator.com/under “Inflation and Prices” and “Consumer Price Index Data from 1913 to. . . .”. For example, we calculated the 2006 fees using the Consumer Price Index for November 2004, which is 191.0.


(3) Fee categories for counting the number of certificates issued are based on the grouping shown in paragraph (d)(1) of this section.


[86 FR 34373, June 29, 2021]


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

(a) We will adjust fees for light-duty, medium-duty passenger, and complete heavy-duty highway vehicles as follows:


(1) California-only certificates. Calculate adjusted fees for California-only certificates by applying the light-duty, medium-duty passenger, and complete heavy-duty highway vehicle certification Op and L values to the equation in § 1027.105(c). The total number of certificates issued will be the total number of California-only and federal light-duty, medium-duty passenger, and complete heavy-duty highway vehicle certificates issued during the appropriate model years.


(2) Federal certificates. Calculate adjusted fees for federal certificates with the following three steps:


(i) Apply the light-duty, medium-duty passenger, and complete heavy-duty highway vehicle certification Op and L values to the equation in § 1027.105(c) to determine the certification portion of the light-duty fee. The total number of certificates issued will be the total number of California-only and federal light-duty, medium-duty passenger and complete heavy-duty highway vehicle certificates issued during the appropriate model years.


(ii) Apply the light-duty, medium-duty passenger, and complete heavy-duty highway vehicle in-use testing Op and L values to the equation in § 1027.105(c) to determine the in-use testing portion of the fee. The total number of certificates issued will be the total number of federal light-duty, medium-duty passenger, and complete heavy-duty highway vehicle certificates issued during the appropriate model years.


(iii) Add the certification and in-use testing portions determined in paragraphs (a)(2)(i) and (ii) of this section to determine the total light-duty, medium-duty passenger, and complete heavy-duty highway vehicle fee for each federal certificate.


(b) For light-duty vehicles, light-duty trucks, medium-duty passenger vehicles, highway motorcycles, and complete heavy-duty highway vehicles subject to exhaust emission standards, the number of certificates issued as specified in § 1027.105(d)(3) is based only on engine families with respect to exhaust emissions. A separate fee applies for each evaporative family for heavy-duty engines.


(c) If you manufacture a heavy-duty vehicle that another company has certified as an incomplete vehicle such that you exceed the maximum fuel tank size specified by the original manufacturer in the applicable certificate of conformity, you must submit a new application for certification and certification fee for the vehicle.


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


§ 1027.115 What special provisions apply for certification related to nonroad and stationary engines?

(a) For spark-ignition engines above 19 kW that we regulate under 40 CFR part 1048 and for all compression-ignition engines, the applicable fee is based only on engine families with respect to exhaust emissions.


(b) For manufacturers certifying recreational vehicles with respect to both exhaust and evaporative emission standards, fees are determined using one of the following approaches:


(1) If your engine family includes demonstration of compliance with both exhaust and evaporative emission standards, the applicable fee is based on certification related to the combined family. No separate fee applies for certification with respect to evaporative emission standards. These are all considered engine families complying with exhaust emissions for determining the number of certificates for calculating fees for later years.


(2) If you have separate families for demonstrating compliance with exhaust and evaporative emission standards, a separate fee from the appropriate fee category applies for each unique family. Also, the number of certificates issued as specified in § 1027.105(d)(3) is based on a separate count of emission families for exhaust and evaporative emissions for each respective fee category.


(c) For manufacturers certifying other spark-ignition engines or equipment with respect to exhaust and evaporative emission standards, a separate fee from the appropriate fee category applies for each unique family. A single engine or piece of equipment may involve separate emission families and certification fees for exhaust and evaporative emissions. Also, the number of certificates issued as specified in § 1027.105(d)(3) is based on a separate count of emission families for exhaust and evaporative emissions for each respective fee category.


(d) For any certification related to evaporative emissions from engines, equipment, or components not covered by paragraph (a) through (c) of this section, the fee applies for each certified product independent of certification for exhaust emissions, as illustrated in the following examples:


(1) A fuel tank certified to meet permeation and diurnal emission standards would count as a single family for assessing the certification fee and for calculating fee amounts for future years.


(2) If an equipment manufacturer applies for certification to generate or use emission credits for fuel tanks and fuel lines, each affected fuel-tank and fuel-line family would count as a single family for assessing the certification fee and for calculating fee amounts for future years. This fee applies whether or not the equipment manufacturer is applying for certification to demonstrate compliance with another emission standard, such as running losses.


(e) If you certify fuel system components under 40 CFR part 1060, a single fee applies for each emission family even if those components are used with different types of nonroad or stationary engines.


(f) If your application for certification relates to emission standards that apply only in California, you must pay the same fee identified for meeting EPA standards.


(g) For marine compression-ignition engines, if you apply for a Federal certificate and an EIAPP certificate for the same engine family, a single fee applies for the engine family (see 40 CFR parts 94, 1042, and 1043).


(h) If you produce engines for multiple categories in a single engine family, a single fee applies for the engine family. For example, 40 CFR 60.4210 allows you to produce stationary and nonroad compression-ignition engines in a single engine family. If the certification fee for the different types of engines is different, the fee that applies for these engines is based on the emission standards to which you certify the engine family. For example, if you certify marine diesel engines to the standards that apply to land-based nonroad diesel engines under 40 CFR 94.912, the certification fee is based on the rate that applies for land-based nonroad diesel engines.


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


§ 1027.120 Can I qualify for reduced fees?

(a) Eligibility requirements. Both of the following conditions must be met before you are eligible for a reduced fee:


(1) The certificate is to be used for sale of vehicles or engines within the United States.


(2) The full fee for an application for certification for a model year exceeds 1.0% of the aggregate projected retail sales price of all vehicles or engines covered by the certificate.


(b) Initial reduced fee calculation. (1) If the conditions of paragraph (a) of this section are met, the initial fee paid must be $750 or 1.0% of the aggregate projected retail sales price of all the vehicles or engines to be covered by the certificate, whichever is greater.


(2) For vehicles or engines that are converted to operate on an alternative fuel using as the basis for the conversion a vehicle or engine that is covered by an existing certificate of conformity, the cost basis used in this section must be the aggregate projected retail value-added to the vehicle or engine by the conversion rather than the full cost of the vehicle or engine. For this provision to apply, the existing certificate must cover the same sales area and model year as the requested certificate for the converted vehicle or engine.


(3) For remanufacturing systems, the cost basis used in this section must be the aggregate projected retail cost of a complete remanufacture, including the cost of the replacement components, software, and assembly.


(4) For ICI certification applications, the cost basis of this section must be the aggregate projected retail cost of the entire vehicle(s) or engine(s), not just the value added by the conversion. If the vehicles/engines covered by an ICI certificate are not being offered for sale, the manufacturer shall use the fair retail market value of the vehicles/engines as the retail sale price required in this section. For an ICI application for certification, the retail sales price (or fair retail market value) must be based on the applicable National Automobile Dealer’s Association (NADA) appraisal guide and/or other evidence of the actual market value.


(5) The aggregate cost used in this section must be based on the total projected sales of all vehicles and engines under a certificate, including vehicles and engines modified under the modification and test option in 40 CFR 85.1509 and 89.609. The projection of the number of vehicles or engines to be covered by the certificate and their projected retail selling price must be based on the latest information available at the time of the fee payment.


(6) You may submit a reduced fee as described in this section if it is accompanied by a calculation of the fee based on the number of vehicles covered and the projected aggregate retail sales price as specified on the fee filing form. Your reduced fee calculation shall be deemed approved unless we determine that the criteria of this section have not been met. We may make such a determination either before or after issuing a certificate of conformity. If we determine that the requirements of this section have not been met, we may deny future reduced fee applications and require submission of the full fee payment until you demonstrate to our satisfaction that your reduced fee submissions are based on accurate data and that final fee payments are made within 45 days of the end of the model year.


(7) If we deny your request for a reduced fee, you must send us the appropriate fee within 30 days after we notify you.


(c) Revision of the number of vehicles or engines covered by the certificate. (1) You must take both of the following steps if the number of vehicles or engines to be produced or imported under the certificate exceeds the number indicated on the certificate (including a certificate under which modification and test vehicles are imported under 40 CFR 85.1509 and 89.609):


(i) Request that we revise the certificate with a number that indicates the new projection of the vehicles or engines to be covered by the certificate. We must issue the revised certificate before the additional number of vehicles or engines may be sold or finally imported into the United States.


(ii) Submit payment of 1.0% of the aggregate projected retail sales price of all the additional vehicles or engines.


(2) You must receive a revised certificate before the sale or final importation of any vehicles or engines, including modification and test vehicles, that are not originally included in the certificate issued under paragraph (b) of this section, or as indicated in a revised certificate issued under paragraph (c)(1) of this section. Such vehicles that are sold or imported before we issue a revised certificate are deemed to be not covered by a certificate of conformity.


(d) Final reduced fee calculation and adjustment. (1) If the initial fee payment is less than the final reduced fee, you must pay the difference between the initial reduced fee and the final reduced fee using the provisions of § 1027.130. Calculate the final reduced fee using the procedures of paragraph (c) of this section but using actual production figures rather than projections and actual retail sales value rather than projected retail sales value.


(2) You must pay the difference between the initial reduced fee and the final reduced fee within 45 days of the end of the model year. The total fees paid for a certificate may not exceed the applicable full fee specified in § 1027.105. We may void the applicable certificate if you fail to make a complete payment within the specified period. We may also refuse to grant reduced fee requests submitted under paragraph (b)(5) of this section.


(3) If the initial fee payment exceeds the final reduced fee, you may request a refund using the procedures of § 1027.125.


(e) Records retention. You are subject to the applicable requirements to maintain records under this chapter. If you fail to maintain required records or provide them to us, we may void the certificate associated with such records. You must also record the basis you used to calculate the projected sales and fair retail market value and the actual sales and retail price for the vehicles and engines covered by each certificate issued under this section. You must keep this information for at least three years after we issue the certificate and provide it to us within 30 days of our request.


§ 1027.125 Can I get a refund?

(a) We will refund the total fee imposed under this part if you ask for a refund after failing to get a certificate for any reason.


(b) If your actual sales or the actual retail prices in a given year are less than you projected for calculating a reduced fee under § 1027.120, we will refund the appropriate portion of the fee. We will also refund a portion of the initial payment if it exceeds the final fee for the engines, vehicles, or equipment covered by the certificate application.


(1) You are eligible for a partial refund related only to a certificate used for the sale of engines, vehicles, or equipment under that certificate in the United States.


(2) Include all the following in your request for a partial refund of reduced fee payments:


(i) State that you sold engines, vehicles, or equipment under the applicable certificate in the United States.


(ii) Identify the number of engines, vehicles, or equipment you produced or imported under the certificate, and whether the engines, vehicles, or equipment have been sold.


(iii) Identify the reduced fee that you paid under the applicable certificate.


(iv) Identify the actual retail sales price for the engines, vehicles, or equipment produced or imported under the certificate.


(v) Calculate the final value of the reduced fee using actual production figures and retail prices.


(vi) Calculate the refund amount.


(c) We will approve your request to correct errors in the amount of the fee.


(d) All refunds must be applied for within six months after the end of the model year.


(e) Send refund and correction requests online at www.Pay.gov, or as specified in our guidance.


(f) You may request to have refund amounts applied to the amount due on another application for certification.


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


§ 1027.130 How do I make a fee payment?

(a) Pay fees to the order of the Environmental Protection Agency in U.S. dollars using electronic funds transfer or any method available for payment online at www.Pay.gov, or as specified in EPA guidance.


(b) Submit a completed fee filing form at www.Pay.gov.


(c) You must pay the fee amount due before we will start to process an application for certification.


(d) If we deny a reduced fee, you must pay the proper fee within 30 days after we notify you of our decision.


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


§ 1027.135 What provisions apply to a deficient filing?

(a) Any filing under this part is deficient if it is not accompanied by a completed fee filing form and full payment of the appropriate fee.


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


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


§ 1027.140 What reporting and recordkeeping requirements apply under this part?

Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), the Office of Management and Budget approves the reporting and recordkeeping specified in the applicable regulations. The following items illustrate the kind of reporting and recordkeeping we require for engines, vehicles, and equipment regulated under this part:


(a) Filling out fee filing forms under § 1027.130.


(b) Retaining fee records, including reduced fee documentation, under § 1027.120.


(c) Requesting refunds under § 1027.125.


§ 1027.150 What definitions apply to this part?

The definitions in this section apply to this part. As used in this part, all undefined terms have the meaning the Act or the standard-setting part gives to them. The definitions follow:


Application for Certification means a manufacturer’s submission of an application for certification.


California-only certificate is a certificate of conformity issued by EPA showing compliance with emission standards established by California.


Federal certificate is a certificate of conformity issued by EPA showing compliance with EPA emission standards specified in one of the standard-setting parts specified in § 1027.101(a).


Light-duty means relating to light-duty vehicles and light-duty trucks.


Manufacturer has the meaning given in section 216(1) of the Act. In general, this term includes any person who manufactures an engine, vehicle, vessel, or piece of equipment for sale in the United States or otherwise introduces a new engine, vehicle, vessel, or piece of equipment into commerce in the United States. This includes importers who import such products for resale, but not dealers.


Total number of certificates issued means the number of certificates for which fees have been paid. This term is not intended to represent multiple certificates that are issued within a single family or test group.


Void has the meaning given in 40 CFR 1068.30.


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


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


§ 1027.155 What abbreviations apply to this subpart?

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


Table 1 to § 1027.155



CFRCode of Federal Regulations.
CPIConsumer Price Index.
EPAU.S. Environmental Protection Agency.
EvapEvaporative emissions.
EIAPPEngine International Air Pollution Prevention (from MARPOL Annex VI).
ICIIndependent Commercial Importer.
MVECPMotor vehicle and engine compliance program.
MYModel year.
U.SUnited States.

[86 FR 34375, June 29, 2021]


PART 1030 – CONTROL OF GREENHOUSE GAS EMISSIONS FROM ENGINES INSTALLED ON AIRPLANES


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


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

Scope and Applicability

§ 1030.1 Applicability.

(a) Except as provided in paragraph (c) of this section, when an aircraft engine subject to 40 CFR part 87 is installed on an airplane that is described in this section and subject to title 14 of the Code of Federal Regulations, the airplane may not exceed the Greenhouse Gas (GHG) standards of this part when original civil certification under title 14 is sought.


(1) A subsonic jet airplane that has –


(i) A type certificated maximum passenger seating capacity of 20 seats or more;


(ii) A maximum takeoff mass (MTOM) greater than 5,700 kg; and


(iii) An application for original type certification that is submitted on or after January 11, 2021.


(2) A subsonic jet airplane that has –


(i) A type certificated maximum passenger seating capacity of 19 seats or fewer;


(ii) A MTOM greater than 5,700 kg, but not greater than 60,000 kg; and


(iii) An application for original type certification that is submitted on or after January 1, 2023.


(3) A propeller-driven airplane that has –


(i) A MTOM greater than 8,618 kg; and


(ii) An application for original type certification that is submitted on or after January 1, 2020.


(4) A subsonic jet airplane –


(i) That is a modified version of an airplane whose original type certificated version was not required to have GHG emissions certification under this part;


(ii) That has a MTOM greater than 5,700 kg;


(iii) For which an application for the modification in type design is submitted on or after January 1, 2023; and


(iv) For which the first certificate of airworthiness is issued for an airplane built with the modified design.


(5) A propeller-driven airplane –


(i) That is a modified version of an airplane whose original type certificated version was not required to have GHG emissions certification under this part;


(ii) That has a MTOM greater than 8,618 kg;


(iii) For which an application for certification that is submitted on or after January 1, 2023; and


(iv) For which the first certificate of airworthiness is issued for an airplane built with the modified design.


(6) A subsonic jet airplane that has –


(i) A MTOM greater than 5,700 kg; and


(ii) Its first certificate of airworthiness issued on or after January 1, 2028.


(7) A propeller-driven airplane that has –


(i) A MTOM greater than 8,618 kg; and


(ii) Its first certificate of airworthiness issued on or after January 1, 2028.


(b) An airplane that incorporates modifications that change the fuel efficiency metric value of a prior version of airplane may not exceed the GHG standards of this part when certification under 14 CFR is sought. The criteria for modified airplanes are described in § 1030.35. A modified airplane may not exceed the metric value limit of the prior version under § 1030.30.


(c) The requirements of this part do not apply to:


(1) Subsonic jet airplanes having a MTOM at or below 5,700 kg.


(2) Propeller-driven airplanes having a MTOM at or below 8,618 kg.


(3) Amphibious airplanes.


(4) Airplanes initially designed, or modified and used, for specialized operations. These airplane designs may include characteristics or configurations necessary to conduct specialized operations that the EPA and the FAA have determined may cause a significant increase in the fuel efficiency metric value.


(5) Airplanes designed with a reference geometric factor of zero.


(6) Airplanes designed for, or modified and used for, firefighting.


(7) Airplanes powered by piston engines


§ 1030.5 State standards and controls.

No State or political subdivision of a State may adopt or attempt to enforce any airplane or aircraft engine standard with respect to emissions unless the standard is identical to a standard that applies to airplanes under this part.


§ 1030.10 Exemptions.

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


Subsonic Airplane Emission Standards and Measurement Procedures

§ 1030.20 Fuel efficiency metric.

For each airplane subject to this part, including an airplane subject to the change criteria of § 1030.35, a fuel efficiency metric value must be calculated in units of kilograms of fuel consumed per kilometer using the following equation, rounded to three decimal places:




Where:

SAR = specific air range, determined in accordance with § 1030.23.

RGF = reference geometric factor, determined in accordance with § 1030.25.

§ 1030.23 Specific air range (SAR).

(a) For each airplane subject to this part the SAR of an airplane must be determined by either:


(1) Direct flight test measurements; or


(2) Using a performance model that is:


(i) Validated by actual SAR flight test data; and


(ii) Approved by the FAA before any SAR calculations are made.


(b) For each airplane model, establish a 1/SAR value at each of the following reference airplane masses:


(1) High gross mass: 92 percent maximum takeoff mass (MTOM).


(2) Low gross mass: (0.45 * MTOM) + (0.63 * (MTOM^0.924)).


(3) Mid gross mass: Simple arithmetic average of high gross mass and low gross mass.


(c) Calculate the average of the three 1/SAR values described in paragraph (b) of this section to calculate the fuel efficiency metric value in § 1030.20. Do not include auxiliary power units in any 1/SAR calculation.


(d) All determinations under this section must be made according to the procedures applicable to SAR in Paragraphs 2.5 and 2.6 of ICAO Annex 16, Volume III and Appendix 1 of ICAO Annex 16, Volume III (incorporated by reference in § 1030.110).


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


§ 1030.25 Reference geometric factor (RGF).

For each airplane subject to this part, determine the airplane’s nondimensional reference geometric factor (RGF) for the fuselage size of each airplane model, calculated as follows:


(a) For an airplane with a single deck, determine the area of a surface (expressed in m2) bounded by the maximum width of the fuselage outer mold line projected to a flat plane parallel with the main deck floor and the forward and aft pressure bulkheads except for the crew cockpit zone.


(b) For an airplane with more than one deck, determine the sum of the areas (expressed in m2) as follows:


(1) The maximum width of the fuselage outer mold line, projected to a flat plane parallel with the main deck floor by the forward and aft pressure bulkheads except for any crew cockpit zone.


(2) The maximum width of the fuselage outer mold line at or above each other deck floor, projected to a flat plane parallel with the additional deck floor by the forward and aft pressure bulkheads except for any crew cockpit zone.


(c) Determine the non-dimensional RGF by dividing the area defined in paragraph (a) or (b) of this section by 1 m2.


(d) All measurements and calculations used to determine the RGF of an airplane must be made according to the procedures for determining RGF in Appendix 2 of ICAO Annex 16, Volume III (incorporated by reference in § 1030.110).


§ 1030.30 GHG emission standards.

(a) The greenhouse gas emission standards in this section are expressed as maximum permitted values fuel efficiency metric values, as calculated under § 1030.20.


(b) The fuel efficiency metric value may not exceed the following, rounded to three decimal places:


For airplanes defined in . . .
with MTOM . . .
the standard is . . .
(1) Section 1030.1(a)(1) and (2)5,700 10(−2.73780 + (0.681310 * log10(MTOM))

+ (−0.0277861 * (log10(MTOM))⁁2))
(2) Section 1030.1(a)(3)8,618 10(−2.73780 + (0.681310 * log10(MTOM))

+ (−0.0277861 * (log10(MTOM))⁁2))
(3) Section 1030.1(a)(1) and (3)60,000 0.764
(4) Section 1030.1(a)(1) and (3)MTOM > 70,395 kg10(−1.412742 + (−0.020517 * log10(MTOM))

+ (0.0593831 * (log10(MTOM))⁁2))
(5) Section 1030.1(a)(4) and (6)5,700 10(−2.57535 + (0.609766 * log10(MTOM))

+ (−0.0191302 * (log10(MTOM))⁁2))
(6) Section 1030.1(a)(5) and (7)8,618 10(−2.57535 + (0.609766 * log10(MTOM))

+ (−0.0191302 * (log10(MTOM))⁁2))
(7) Section 1030.1(a)(4) through (7)60,000 0.797
(8) Section 1030.1(a)(4) through (7)MTOM > 70,107 kg10(−1.39353 + (-0.020517 * log10(MTOM))

+ (0.0593831 * (log10(MTOM))⁁2))

§ 1030.35 Change criteria.

(a) For an airplane that has demonstrated compliance with § 1030.30, any subsequent version of that airplane must demonstrate compliance with § 1030.30 if the subsequent version incorporates a modification that either increases –


(1) The maximum takeoff mass; or


(2) The fuel efficiency metric value by more than:


(i) For airplanes with a MTOM greater than or equal to 5,700 kg, the value decreases linearly from 1.35 to 0.75 percent for an airplane with a MTOM of 60,000 kg.


(ii) For airplanes with a MTOM greater than or equal to 60,000 kg, the value decreases linearly from 0.75 to 0.70 percent for airplanes with a MTOM of 600,000 kg.


(iii) For airplanes with a MTOM greater than or equal to 600,000 kg, the value is 0.70 percent.


(b) For an airplane that has demonstrated compliance with § 1030.30, any subsequent version of that airplane that incorporates modifications that do not increase the MTOM or the fuel efficiency metric value in excess of the levels shown in paragraph (a) of this section, the fuel efficiency metric value of the modified airplane may be reported to be the same as the value of the prior version.


(c) For an airplane that meets the criteria of § 1030.1(a)(4) or (5), after January 1, 2023 and until January 1, 2028, the airplane must demonstrate compliance with § 1030.30 if it incorporates any modification that increases the fuel efficiency metric value by more than 1.5 per cent from the prior version of the airplane.


§ 1030.98 Confidential business information.

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


Reference Information

§ 1030.100 Abbreviations.

The abbreviations used in this part have the following meanings:


Table 1 to § 1030.100



EPAU.S. Environmental Protection Agency.
FAAU.S. Federal Aviation Administration.
GHGgreenhouse gas.
IBRincorporation by reference.
ICAOInternational Civil Aviation Organization.
MTOMmaximum takeoff mass.
RGFreference geometric factor.
SARspecific air range.

§ 1030.105 Definitions.

The following definitions in this section apply to this part. Any terms not defined in this section have the meaning given in the Clean Air Act. The definitions follow:


Aircraft has the meaning given in 14 CFR 1.1, a device that is used or intended to be used for flight in the air.


Aircraft engine means a propulsion engine that is installed on or that is manufactured for installation on an airplane for which certification under 14 CFR is sought.


Airplane has the meaning given in 14 CFR 1.1, an engine-driven fixed-wing aircraft heavier than air, that is supported in flight by the dynamic reaction of the air against its wings.


Exempt means to allow, through a formal case-by-case process, an airplane to be certificated and operated that does not meet the applicable standards of this part.


Greenhouse Gas (GHG) means an air pollutant that is the aggregate group of six greenhouse gases: carbon dioxide, nitrous oxide, methane, hydrofluorocarbons, perfluorocarbons, and sulfur hexafluoride.


ICAO Annex 16, Volume III means Volume III of Annex 16 to the Convention on International Civil Aviation (see § 1030.110).


Maximum takeoff mass (MTOM) is the maximum allowable takeoff mass as stated in the approved certification basis for an airplane type design. Maximum takeoff mass is expressed in kilograms.


Performance model is an analytical tool (or a method) validated using corrected flight test data that can be used to determine the specific air range values for calculating the fuel efficiency metric value.


Reference geometric factor is a non-dimensional number derived from a two-dimensional projection of the fuselage.


Round has the meaning given in 40 CFR 1065.1001.


Specific air range is the distance an airplane travels per unit of fuel consumed. Specific air range is expressed in kilometers per kilogram of fuel.


Subsonic means an airplane that has not been certificated under 14 CFR to exceed Mach 1 in normal operation.


Type certificated maximum passenger seating capacity means the maximum number of passenger seats that may be installed on an airplane as listed on its type certificate data sheet, regardless of the actual number of seats installed on an individual airplane.


§ 1030.110 Incorporation by reference.

(a) Certain material is incorporated by reference into this part with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that specified in this section, the Environmental Protection Agency must publish a document in the Federal Register and the material must be available to the public. All approved material is available for inspection at EPA Docket Center, WJC West Building, Room 3334, 1301 Constitution Ave. NW, Washington, DC 20004, www.epa.gov/dockets, (202) 202-1744, and is available from the sources listed in this section. It is also available for inspection at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, email [email protected] or go to: www.archives.gov/federal-register/cfr/ibr-locations.html.


(b) International Civil Aviation Organization, Document Sales Unit, 999 University Street, Montreal, Quebec, Canada H3C 5H7, (514) 954-8022, www.icao.int, or [email protected]


(1) ICAO Annex 16, Volume III, Annex 16 to the Convention on International Civil Aviation, Environmental Protection, Volume III – Aeroplane CO2 Emissions, as follows:


(i) First Edition, July 2017. IBR approved for §§ 1030.23(d) and 1030.25(d).


(ii) Amendment 1, July 20, 2020. IBR approved for §§ 1030.23(d) and 1030.25(d).


(2) [Reserved]


PART 1033 – CONTROL OF EMISSIONS FROM LOCOMOTIVES


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


Source:73 FR 37197, June 30, 2008, unless otherwise noted.

Subpart A – Overview and Applicability

§ 1033.1 Applicability.

The regulations in this part 1033 apply for all new locomotives and all locomotives containing a new locomotive engine, except as provided in § 1033.5.


(a) Standards begin to apply each time a locomotive or locomotive engine is originally manufactured or otherwise becomes new (defined in § 1033.901). The requirements of this part continue to apply as specified after locomotives cease to be new.


(b) Standards apply to the locomotive. However, in certain cases, the manufacturer/remanufacturer is allowed to test a locomotive engine instead of a complete locomotive, such as for certification. Also, you are not required to complete assembly of a locomotive to obtain a certificate of conformity for it, provided you meet the definition of “manufacturer” or “remanufacturer” (as applicable) in § 1033.901. For example, an engine manufacturer may obtain a certificate for locomotives which it does not manufacture, if the locomotives use its engines.


(c) Standards apply based on the year in which the locomotive was originally manufactured. The date of original manufacture is generally the date on which assembly is completed for the first time. For example, all locomotives originally manufactured in calendar years 2002, 2003, and 2004 are subject to the Tier 1 emission standards for their entire service lives.


(d) The following provisions apply when there are multiple persons meeting the definition of manufacturer or remanufacturer in § 1033.901:


(1) Each person meeting the definition of manufacturer must comply with the requirements of this part that apply to manufacturers; and each person meeting the definition of remanufacturer must comply with the requirements of this part that apply to remanufacturers. However, if one person complies with a specific requirement for a given locomotive, then all manufacturers/remanufacturers are deemed to have complied with that specific requirement.


(2) We will apply the requirements of subparts C, D, and E of this part to the manufacturer/remanufacturer that obtains the certificate of conformity for the locomotive. Other manufacturers and remanufacturers are required to comply with the requirements of subparts C, D, and E of this part only when notified by us. In our notification, we will specify a reasonable time period in which you need to comply with the requirements identified in the notice. See § 1033.601 for the applicability of 40 CFR part 1068 to these other manufacturers and remanufacturers.


(3) For example, we may require a railroad that installs certified kits but does not hold the certificate to perform production line auditing of the locomotives that it remanufactures. However, if we did, we would allow the railroad a reasonable amount of time to develop the ability to perform such auditing.


(e) The provisions of this part apply as specified for locomotives manufactured or remanufactured on or after July 7, 2008. See § 1033.102 to determine whether the standards of this part or the standards specified in Appendix I of this part apply for model years 2008 through 2012. For example, for a locomotive that was originally manufactured in 2007 and remanufactured on April 10, 2014, the provisions of this part begin to apply on April 10, 2014.


[73 FR 37197, June 30, 2008, as amended at 81 FR 74004, Oct. 25, 2016]


§ 1033.5 Exemptions and exclusions.

(a) Subpart G of this part exempts certain locomotives from the standards of this part.


(b) The definition of “locomotive” in § 1033.901 excludes certain vehicles. In general, the engines used in such excluded equipment are subject to standards under other regulatory parts. For example, see 40 CFR part 1039 for requirements that apply to diesel engines used in equipment excluded from the definition of “locomotive” in § 1033.901. The following locomotives are also excluded from the provisions of this part 1033:


(1) Historic locomotives powered by steam engines. For a locomotive that was originally manufactured after January 1, 1973 to be excluded under this paragraph (b)(1), it may not use any internal combustion engines and must be used only for historical purposes such as at a museum or similar public attraction.


(2) Locomotives powered only by an external source of electricity.


(c) The requirements and prohibitions of this part apply only for locomotives that have become “new” (as defined in § 1033.901) on or after July 7, 2008.


(d) The provisions of this part do not apply for any auxiliary engine that only provides hotel power. In general, these engines are subject to the provisions of 40 CFR part 1039. However, depending on the engine cycle, model year and power rating, the engines may be subject to other regulatory parts instead.


(e) Manufacturers and owners of locomotives that operate only on non-standard gauge rails may ask us to exclude such locomotives from this part by excluding them from the definition of “locomotive”.


§ 1033.10 Organization of this part.

The regulations in this part 1033 contain provisions that affect locomotive manufacturers, remanufacturers, and others. However, the requirements of this part are generally addressed to the locomotive manufacturer/remanufacturer. The term “you” generally means the manufacturer/remanufacturer, as defined in § 1033.901. This part 1033 is divided into the following subparts:


(a) Subpart A of this part defines the applicability of part 1033 and gives an overview of regulatory requirements.


(b) Subpart B of this part describes the emission standards and other requirements that must be met to certify locomotives under this part. Note that § 1033.150 discusses certain interim requirements and compliance provisions that apply only for a limited time.


(c) Subpart C of this part describes how to apply for a certificate of conformity.


(d) Subpart D of this part describes general provisions for testing and auditing production locomotives.


(e) Subpart E of this part describes general provisions for testing in-use locomotives.


(f) Subpart F of this part and 40 CFR part 1065 describe how to test locomotives and engines.


(g) Subpart G of this part and 40 CFR part 1068 describe requirements, prohibitions, exemptions, and other provisions that apply to locomotive manufacturer/remanufacturers, owners, operators, and all others.


(h) Subpart H of this part describes how you may generate and use emission credits to certify your locomotives.


(i) Subpart I of this part describes provisions for locomotive owners and operators.


(j) Subpart J of this part contains definitions and other reference information.


§ 1033.15 Other regulation parts that apply for locomotives.

(a) Part 1065 of this chapter describes procedures and equipment specifications for testing engines to measure exhaust emissions. Subpart F of this part 1033 describes how to apply the provisions of part 1065 of this chapter to test locomotives to determine whether they meet the exhaust emission standards in this part.


(b) The requirements and prohibitions of part 1068 of this chapter apply to everyone, including anyone who manufactures, remanufactures, imports, maintains, owns, or operates any of the locomotives subject to this part 1033. See § 1033.601 to determine how to apply the part 1068 regulations for locomotives. Part 1068 of this chapter describes general provisions, including the following areas:


(1) Prohibited acts and penalties for locomotive manufacturer/remanufacturers and others.


(2) Exclusions and exemptions for certain locomotives.


(3) Importing locomotives.


(4) Selective enforcement audits of your production.


(5) Defect reporting and recall.


(6) Procedures for hearings.


(c) Other parts of this chapter apply if referenced in this part.


[73 FR 37197, June 30, 2008, as amended at 75 FR 22982, Apr. 30, 2010]


§ 1033.30 Submission of information.

Unless we specify otherwise, send all reports and requests for approval to the Designated Compliance Officer (see § 1033.901). See § 1033.925 for additional reporting and recordkeeping provisions.


[81 FR 74004, Oct. 25, 2016]


Subpart B – Emission Standards and Related Requirements

§ 1033.101 Exhaust emission standards.

See §§ 1033.102 and 1033.150 to determine how the emission standards of this section apply before 2023.


(a) Emission standards for line-haul locomotives. Exhaust emissions from your new locomotives may not exceed the applicable emission standards in Table 1 to this section during the useful life of the locomotive. (Note: § 1033.901 defines locomotives to be “new” when originally manufactured and when remanufactured.) Measure emissions using the applicable test procedures described in subpart F of this part.


Table 1 to § 1033.101 – Line-Haul Locomotive Emission Standards

Year of original manufacture
Tier of standards
Standards (g/bhp-hr)
NOX
PM
HC
CO
1973-1992
a
Tier 0
b
8.00.221.005.0
1993
a-2004
Tier 1
b
7.40.220.552.2
2005-2011Tier 2
b
5.5
e 0.10
0.301.5
2012-2014Tier 3
c
5.50.100.301.5
2015 or laterTier 4
d
1.30.030.141.5


a Locomotive models that were originally manufactured in model years 1993 through 2001, but that were not originally equipped with a separate coolant system for intake air are subject to the Tier 0 rather than the Tier 1 standards.


b Line-haul locomotives subject to the Tier 0 through Tier 2 emission standards must also meet switch standards of the same tier.


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


d Manufacturers may elect to meet a combined NOX + HC standard of 1.4 g/bhp-hr instead of the otherwise applicable Tier 4 NOX and HC standards, as described in paragraph (j) of this section.


e The PM standard for newly remanufactured Tier 2 line-haul locomotives is 0.20 g/bhp-hr until January 1, 2013, except as specified in § 1033.150(a).


(b) Emission standards for switch locomotives. Exhaust emissions from your new locomotives may not exceed the applicable emission standards in Table 2 to this section during the useful life of the locomotive. (Note: § 1033.901 defines locomotives to be “new” when originally manufactured and when remanufactured.) Measure emissions using the applicable test procedures described in subpart F of this part.


Table 2 to § 1033.101 – Switch Locomotive Emission Standards

Year of original manufacture
Tier of standards
Standards (g/bhp-hr)
NOX
PM
HC
CO
1973-2001Tier 011.80.262.108.0
2002-2004Tier 1
a
11.00.261.202.5
2005-2010Tier 2
a
8.1
b 0.13
0.602.4
2011-2014Tier 35.00.100.602.4
2015 or laterTier 4
c 1.3
0.03
c 0.14
2.4


a Switch locomotives subject to the Tier 1 through Tier 2 emission standards must also meet line-haul standards of the same tier.


b The PM standard for new Tier 2 switch locomotives is 0.24 g/bhp-hr until January 1, 2013.


c Manufacturers may elect to meet a combined NOX + HC standard of 1.4 g/bhp-hr instead of the otherwise applicable Tier 4 NOX and HC standards, as described in paragraph (j) of this section.


(c) Smoke standards. The smoke opacity standards specified in Table 3 to this section apply only for locomotives certified to one or more PM standards or FELs greater than 0.05 g/bhp-hr. Smoke emissions, when measured in accordance with the provisions of Subpart F of this part, shall not exceed these standards.


Table 3 to § 1033.101 – Smoke Standards for Locomotives (Percent Opacity)


Steady-state
30-sec peak
3-sec peak
Tier 0304050
Tier 1254050
Tier 2 and later204050

(d) Averaging, banking, and trading. You may generate or use emission credits under the averaging, banking, and trading (ABT) program as described in subpart H of this part to comply with the NOX and/or PM standards of this part. You may also use ABT to comply with the Tier 4 HC standards of this part as described in paragraph (j) of this section. Generating or using emission credits requires that you specify a family emission limit (FEL) for each pollutant you include in the ABT program for each engine family. These FELs serve as the emission standards for the engine family with respect to all required testing instead of the standards specified in paragraphs (a) and (b) of this section. FELs may not be higher than the following limits:


(1) FELs for Tier 0 and Tier 1 locomotives originally manufactured before 2002 may have any value.


(2) FELs for Tier 1 locomotives originally manufactured 2002 through 2004 may not exceed 9.5 g/bhp-hr for NOX emissions or 0.60 g/bhp-hr for PM emissions measured over the line-haul duty cycle. FELs for these locomotives may not exceed 14.4 g/bhp-hr for NOX emissions or 0.72 g/bhp-hr for PM emissions measured over the switch duty cycle.


(3) FELs for Tier 2 and Tier 3 locomotives may not exceed the Tier 1 standards of this section.


(4) FELs for Tier 4 locomotives may not exceed the Tier 3 standards of this section.


(e) Notch standards. (1) Exhaust emissions from locomotives may not exceed the notch standards specified in paragraph (e)(2) of this section, except as allowed in paragraph (e)(3) of this section, when measured using any test procedures under any test conditions.


(2) Except as specified in paragraph (e)(5) of this section, calculate the applicable notch standards for each pollutant for each notch from the certified notch emission rate as follows:


Notch standard = (Ei) × (1.1 + (1 – ELHi/std))


Where:

Ei = The deteriorated brake-specific emission rate (for pollutant i) for the notch (i.e., the brake-specific emission rate calculated under subpart F of this part, adjusted by the deterioration factor in the application for certification); where i is NOX, HC, CO or PM.

ELHi = The deteriorated line-haul duty-cycle weighted brake-specific emission rate for pollutant i, as reported in the application for certification, except as specified in paragraph (e)(6) of this section.

std = The applicable line-haul duty-cycle standard/FEL, except as specified in paragraph (e)(6) of this section.

(3) Exhaust emissions that exceed the notch standards specified in paragraph (e)(2) of this section are allowed only if one of the following is true:


(i) The same emission controls are applied during the test conditions causing the noncompliance as were applied during certification test conditions (and to the same degree).


(ii) The exceedance result from a design feature that was described (including its effect on emissions) in the approved application for certification, and is:


(A) Necessary for safety;


(B) Addresses infrequent regeneration of an aftertreatment device; or


(C) Otherwise allowed by this part.


(4) Since you are only required to test your locomotive at the highest emitting dynamic brake point, the notch caps that you calculate for the dynamic brake point that you test also apply for other dynamic brake points.


(5) No PM notch caps apply for locomotives certified to a PM standard or FEL of 0.05 g/bhp-hr or lower.


(6) For switch locomotives that are not subject to line-haul standards, ELH
i equals the deteriorated switch duty-cycle weighted brake-specific emission rate for pollutant i and std is the applicable switch cycle standard/FEL.


(f) Fuels. The exhaust emission standards in this section apply for locomotives using the fuel type on which the locomotives in the engine family are designed to operate.


(1) You must meet the numerical emission standards for HC in this section based on the following types of hydrocarbon emissions for locomotives powered by the following fuels:


(i) Alcohol-fueled locomotives: THCE emissions for Tier 3 and earlier locomotives and NMHCE for Tier 4.


(ii) Gaseous-fueled locomotives: Nonmethane-nonethane emissions (NMNEHC). This includes dual-fuel and flexible-fuel locomotives that use a combination of a gaseous fuel and a nongaseous fuel.


(iii) Diesel-fueled and other locomotives: THC emissions for Tier 3 and earlier locomotives and NMHC for Tier 4. Note that manufacturers/remanufacturers may choose to not measure NMHC and assume that NMHC is equal to THC multiplied by 0.98 for diesel-fueled locomotives.


(2) You must certify your diesel-fueled locomotives to use the applicable grades of diesel fuel as follows:


(i) Certify your Tier 4 and later diesel-fueled locomotives for operation with only Ultra Low Sulfur Diesel (ULSD) fuel. Use ULSD as the test fuel for these locomotives. You may alternatively certify Tier 4 and later locomotives using Low Sulfur Diesel Fuel (LSD).


(ii) Certify your Tier 3 and earlier diesel-fueled locomotives for operation with only ULSD fuel if they include sulfur-sensitive technology and you demonstrate compliance using a ULSD test fuel.


(iii) Certify your Tier 3 and earlier diesel-fueled locomotives for operation with either ULSD fuel or LSD fuel if they do not include sulfur-sensitive technology or if you demonstrate compliance using an LSD test fuel (including commercial LSD fuel).


(iv) For Tier 1 and earlier diesel-fueled locomotives, if you demonstrate compliance using a ULSD test fuel, you must adjust the measured PM emissions upward by 0.01 g/bhp-hr to make them equivalent to tests with LSD. We will not apply this adjustment for our testing.


(g) Useful life. The emission standards and requirements in this subpart apply to the emissions from new locomotives for their useful life. The useful life is generally specified as MW-hrs and years, and ends when either of the values (MW-hrs or years) is exceeded or the locomotive is remanufactured.


(1) The minimum useful life in terms of MW-hrs is equal to the product of the rated horsepower multiplied by 7.50. The minimum useful life in terms of years is ten years. For locomotives originally manufactured before January 1, 2000 and not equipped with MW-hr meters, the minimum useful life is equal to 750,000 miles or ten years, whichever is reached first. See § 1033.140 for provisions related to rated power.


(2) You must specify a longer useful life if the locomotive or locomotive engine is designed to last longer than the applicable minimum useful life. Recommending a time to remanufacture that is longer than the minimum useful life is one indicator of a longer design life.


(3) Manufacturers/remanufacturers of locomotives with non-locomotive-specific engines (as defined in § 1033.901) may ask us (before certification) to allow a shorter useful life for an engine family containing only non-locomotive-specific engines. We may approve a shorter useful life, in MW-hrs of locomotive operation but not in years, if we determine that these locomotives will rarely operate longer than the shorter useful life. If engines identical to those in the engine family have already been produced and are in use, your demonstration must include documentation from such in-use engines. In other cases, your demonstration must include an engineering analysis of information equivalent to such in-use data, such as data from research engines or similar engine models that are already in production. Your demonstration must also include any overhaul interval that you recommend, any mechanical warranty that you offer for the engine or its components, and any relevant customer design specifications. Your demonstration may include any other relevant information.


(4) Remanufacturers of locomotive or locomotive engine configurations that have been previously certified under paragraph (g)(3) of this section to a useful life that is shorter than the value specified in paragraph (g)(1) of this section may certify to that same shorter useful life value without request.


(5) In unusual circumstances, you may ask us to allow you to certify some locomotives in your engine family to a partial useful life. This allowance is limited to cases in which some or all of the locomotive’s power assemblies have been operated previously such that the locomotive will need to be remanufactured prior to the end of the otherwise applicable useful life. Unless we specify otherwise, define the partial useful life based on the total MW-hrs since the last remanufacture to be consistent with other locomotives in the family. For example, this may apply for a previously uncertified locomotive that becomes “new” when it is imported, but that was remanufactured two years earlier (representing 25 percent of the normal useful life period). If such a locomotive could be brought into compliance with the applicable standards without being remanufactured, you may ask to include it in your engine family for the remaining 75 percent of its useful life period.


(h) Applicability for testing. The emission standards in this subpart apply to all testing, including certification testing, production-line testing, and in-use testing.


(i) Alternate CO standards. Manufacturers/remanufacturers may certify locomotives to an alternate CO emission standard of 10.0 g/bhp-hr instead of the otherwise applicable CO standard if they also certify those locomotives to alternate PM standards as follows:


(1) The alternate PM standard for Tier 0, Tier 1, and Tier 2 locomotives is one-half of the otherwise applicable PM standard. For example, a manufacturer certifying Tier 2 switch locomotives to a 0.065 g/bhp-hr PM standard may certify those locomotives to the alternate CO standard of 10.0 g/bhp-hr.


(2) The alternate PM standard for Tier 3 and Tier 4 locomotives is 0.01 g/bhp-hr.


(j) Alternate NOX + HC standards for Tier 4. Manufacturers/remanufacturers may use credits accumulated through the ABT program to certify Tier 4 locomotives to an alternate NOX + HC emission standard of 1.4 g/bhp-hr (instead of the otherwise applicable NOX and NMHC standards). You may use NOX credits to show compliance with this standard by certifying your family to a NOX + HC FEL. Calculate the NOX credits needed as specified in subpart H of this part using the NOX + HC emission standard and FEL in the calculation instead of the otherwise applicable NOX standard and FEL. You may not generate credits relative to the alternate standard or certify to the standard without using credits.


(k) Upgrading. Upgraded locomotives that were originally manufactured prior to January 1, 1973 are subject to the Tier 0 standards. (See the definition of upgrade in § 1033.901.)


(l) Other optional standard provisions. Locomotives may be certified to a higher tier of standards than would otherwise be required. Tier 0 switch locomotives may be certified to both the line-haul and switch cycle standards. In both cases, once the locomotives become subject to the additional standards, they remain subject to those standards for the remainder of their service lives.


[73 FR 37197, June 30, 2008, as amended at 73 FR 59188, Oct. 8, 2008; 75 FR 22982, Apr. 30, 2010; 81 FR 74004, Oct. 25, 2016]


§ 1033.102 Transition to the standards specified in this subpart.

(a) The Tier 0 and Tier 1 standards of § 1033.101 apply for new locomotives beginning January 1, 2010, except as specified in § 1033.150(a). The Tier 0 and Tier 1 standards specified in Appendix I of this part apply for earlier model years.


(b) Except as specified in § 1033.150(a), the Tier 2 standards of § 1033.101 apply for new locomotives beginning January 1, 2013. The Tier 2 standards specified in Appendix I of this part apply for earlier model years.


(c) The Tier 3 and Tier 4 standards of § 1033.101 apply for the model years specified in that section.


[81 FR 74004, Oct. 25, 2016]


§ 1033.110 Emission diagnostics – general requirements.

The provisions of this section apply if you equip your locomotives with a diagnostic system that will detect significant malfunctions in their emission-control systems and you choose to base your emission-related maintenance instructions on such diagnostics. See § 1033.420 for information about how to select and maintain diagnostic-equipped locomotives for in-use testing. Notify the owner/operator that the presence of this diagnostic system affects their maintenance obligations under § 1033.815. Except as specified in § 1033.112, this section does not apply for diagnostics that you do not include in your emission-related maintenance instructions. The provisions of this section address diagnostic systems based on malfunction-indicator lights (MILs). You may ask to use other indicators instead of MILs.


(a) The MIL must be readily visible to the operator. When the MIL goes on, it must display “Check Emission Controls” or a similar message that we approve. You may use sound in addition to the light signal.


(b) To ensure that owner/operators consider MIL illumination seriously, you may not illuminate it for malfunctions that would not otherwise require maintenance. This section does not limit your ability to display other indicator lights or messages, as long as they are clearly distinguishable from MILs affecting the owner/operator’s maintenance obligations under § 1033.815.


(c) Control when the MIL can go out. If the MIL goes on to show a malfunction, it must remain on during all later engine operation until servicing corrects the malfunction. If the engine is not serviced, but the malfunction does not recur during the next 24 hours, the MIL may stay off during later engine operation.


(d) Record and store in computer memory any diagnostic trouble codes showing a malfunction that should illuminate the MIL. The stored codes must identify the malfunctioning system or component as uniquely as possible. Make these codes available through the data link connector as described in paragraph (e) of this section. You may store codes for conditions that do not turn on the MIL. The system must store a separate code to show when the diagnostic system is disabled (from malfunction or tampering). Provide instructions to the owner/operator regarding how to interpret malfunction codes.


(e) Make data, access codes, and devices accessible. Make all required data accessible to us without any access codes or devices that only you can supply. Ensure that anyone servicing your locomotive can read and understand the diagnostic trouble codes stored in the onboard computer with generic tools and information.


(f) Follow standard references for formats, codes, and connections.


§ 1033.112 Emission diagnostics for SCR systems.

Engines equipped with SCR systems using separate reductant tanks must also meet the requirements of this section in addition to the requirements of § 1033.110. This section does not apply for SCR systems using the engine’s fuel as the reductant.


(a) The diagnostic system must monitor reductant quality and tank levels and alert operators to the need to refill the reductant tank before it is empty, or to replace the reductant if it does not meet your concentration specifications. Unless we approve other alerts, use a malfunction-indicator light (MIL) as specified in § 1033.110 and an audible alarm. You do not need to separately monitor reductant quality if you include an exhaust NOX sensor (or other sensor) that allows you to determine inadequate reductant quality. However, tank level must be monitored in all cases.


(b) Your onboard computer must record in nonvolatile computer memory all incidents of engine operation with inadequate reductant injection or reductant quality. It must record the total amount of operation without adequate reductant. It may total the operation by hours, work, or excess NOX emissions.


§ 1033.115 Other requirements.

Locomotives that are required to meet the emission standards of this part must meet the requirements of this section. These requirements apply when the locomotive is new (for freshly manufactured or remanufactured locomotives) and continue to apply throughout the useful life.


(a) Crankcase emissions. Crankcase emissions may not be discharged directly into the ambient atmosphere from any locomotive, except as follows:


(1) Locomotives may discharge crankcase emissions to the ambient atmosphere if the emissions are added to the exhaust emissions (either physically or mathematically) during all emission testing. If you take advantage of this exception, you must do both of the following things:


(i) Manufacture the locomotives so that all crankcase emissions can be routed into the applicable sampling systems specified in 40 CFR part 1065, consistent with good engineering judgment.


(ii) Account for deterioration in crankcase emissions when determining exhaust deterioration factors.


(2) For purposes of this paragraph (a), crankcase emissions that are routed to the exhaust upstream of exhaust aftertreatment during all operation are not considered to be discharged directly into the ambient atmosphere.


(b) Adjustable parameters. Locomotives that have adjustable parameters must meet all the requirements of this part for any adjustment in the approved adjustable range. You must specify in your application for certification the adjustable range of each adjustable parameter on a new locomotive or new locomotive engine to:


(1) Ensure that safe locomotive operating characteristics are available within that range, as required by section 202(a)(4) of the Clean Air Act (42 U.S.C. 7521(a)(4)), taking into consideration the production tolerances.


(2) Limit the physical range of adjustability to the maximum extent practicable to the range that is necessary for proper operation of the locomotive or locomotive engine.


(c) Prohibited controls. You may not design or produce your locomotives with emission control devices, systems, or elements of design that cause or contribute to an unreasonable risk to public health, welfare, or safety while operating. For example, this would apply if the locomotive emits a noxious or toxic substance it would otherwise not emit that contributes to such an unreasonable risk.


(d) Evaporative and refueling controls. For locomotives fueled with a volatile fuel you must design and produce them to minimize evaporative emissions during normal operation, including periods when the engine is shut down. You must also design and produce them to minimize the escape of fuel vapors during refueling. Hoses used to refuel gaseous-fueled locomotives may not be designed to be bled or vented to the atmosphere under normal operating conditions. No valves or pressure relief vents may be used on gaseous-fueled locomotives except as emergency safety devices that do not operate at normal system operating flows and pressures.


(e) Altitude requirements. All locomotives must be designed to include features that compensate for changes in altitude so that the locomotives will comply with the applicable emission standards when operated at any altitude less than:


(1) 7000 feet above sea level for line-haul locomotives.


(2) 5500 feet above sea level for switch locomotives.


(f) Defeat devices. You may not equip your locomotives with a defeat device. A defeat device is an auxiliary emission control device (AECD) that reduces the effectiveness of emission controls under conditions that the locomotive may reasonably be expected to encounter during normal operation and use.


(1) This does not apply to AECDs you identify in your application for certification if any of the following is true:


(i) The conditions of concern were substantially included in the applicable duty cycle test procedures described in subpart F of this part.


(ii) You show your design is necessary to prevent locomotive damage or accidents.


(iii) The reduced effectiveness applies only to starting the locomotive.


(iv) The locomotive emissions when the AECD is functioning are at or below the notch caps of § 1033.101.


(2) This does not apply to AECDs related to hotel mode that conform to the specifications of this paragraph (f)(2). This provision is intended for AECDs that have the primary function of operating the engine at a different speed than would be done to generate the same propulsive power when not operating in hotel mode. Identify and describe these AECDs in your application for certification. We may allow the AECDs to modify engine calibrations where we determine that such modifications are environmentally beneficial or needed for proper engine function. You must obtain preliminary approval under § 1033.210 before incorporating such modifications. Otherwise, you must apply the same injection timing and intake air cooling strategies in hotel mode and non-hotel mode.


(g) Idle controls. All new locomotives must be equipped with automatic engine stop/start as described in this paragraph (g). All new locomotives must be designed to allow the engine(s) to be restarted at least six times per day without causing engine damage that would affect the expected interval between remanufacturing. Note that it is a violation of 40 CFR 1068.101(b)(1) to circumvent the provisions of this paragraph (g).


(1) Except as allowed by paragraph (g)(2) of this section, the stop/start systems must shut off the main locomotive engine(s) after 30 minutes of idling (or less).


(2) Stop/start systems may restart or continue idling for the following reasons:


(i) To prevent engine damage such as to prevent the engine coolant from freezing.


(ii) To maintain air pressure for brakes or starter system, or to recharge the locomotive battery.


(iii) To perform necessary maintenance.


(iv) To otherwise comply with federal regulations.


(3) You may ask to use alternate stop/start systems that will achieve equivalent idle control.


(4) See § 1033.201 for provisions that allow you to obtain a separate certificate for idle controls.


(5) It is not considered circumvention to allow a locomotive to idle to heat or cool the cab, provided such heating or cooling is necessary.


(h) Power meters. Tier 1 and later locomotives must be equipped with MW-hr meters (or the equivalent) consistent with the specifications of § 1033.140.


[73 FR 37197, June 30, 2008, as amended at 73 FR 59189, Oct. 8, 2008; 75 FR 22982, Apr. 30, 2010]


§ 1033.120 Emission-related warranty requirements.

(a) General requirements. Manufacturers/remanufacturers must warrant to the ultimate purchaser and each subsequent purchaser that the new locomotive, including all parts of its emission control system, meets two conditions:


(1) It is designed, built, and equipped so it conforms at the time of sale to the ultimate purchaser with the requirements of this part.


(2) It is free from defects in materials and workmanship that may keep it from meeting these requirements.


(b) Warranty period. Except as specified in this paragraph, the minimum warranty period is one-third of the useful life. Your emission-related warranty must be valid for at least as long as the minimum warranty periods listed in this paragraph (b) in MW-hrs of operation (or miles for Tier 0 locomotives not equipped with MW-hr meters) and years, whichever comes first. You may offer an emission-related warranty more generous than we require. The emission-related warranty for the locomotive may not be shorter than any basic mechanical warranty you provide without charge for the locomotive. Similarly, the emission-related warranty for any component may not be shorter than any warranty you provide without charge for that component. This means that your warranty may not treat emission-related and nonemission-related defects differently for any component. If you provide an extended warranty to individual owners for any components covered in paragraph (c) of this section for an additional charge, your emission-related warranty must cover those components for those owners to the same degree. If the locomotive does not record MW-hrs, we base the warranty periods in this paragraph (b) only on years. The warranty period begins when the locomotive is placed into service, or back into service after remanufacture.


(c) Components covered. The emission-related warranty covers all components whose failure would increase a locomotive’s emissions of any regulated pollutant. This includes components listed in 40 CFR part 1068, Appendix I, and components from any other system you develop to control emissions. The emission-related warranty covers the components you sell even if another company produces the component. Your emission-related warranty does not need to cover components whose failure would not increase a locomotive’s emissions of any regulated pollutant. For remanufactured locomotives, your emission-related warranty is required to cover only those parts that you supply or those parts for which you specify allowable part manufacturers. It does not need to cover used parts that are not replaced during the remanufacture.


(d) Limited applicability. You may deny warranty claims under this section if the operator caused the problem through improper maintenance or use, as described in 40 CFR 1068.115.


(e) Owners manual. Describe in the owners manual the emission-related warranty provisions from this section that apply to the locomotive.


[73 FR 37197, June 30, 2008, as amended at 73 FR 59189, Oct. 8, 2008; 75 FR 22983, Apr. 30, 2010; 81 FR 74004, Oct. 25, 2016]


§ 1033.125 Maintenance instructions.

Give the owner of each new locomotive written instructions for properly maintaining and using the locomotive, including the emission-control system. Include in the instructions a notification that owners and operators must comply with the requirements of subpart I of this part 1033. The emission-related maintenance instructions also apply to any service accumulation on your emission-data locomotives, as described in § 1033.245 and in 40 CFR part 1065. If you equip your locomotives with a diagnostic system that will detect significant malfunctions in their emission-control systems, specify the extent to which your emission-related maintenance instructions include such diagnostics.


§ 1033.130 Instructions for engine remanufacturing or engine installation.

(a) If you do not complete assembly of the new locomotive (such as selling a kit that allows someone else to remanufacture a locomotive under your certificate), give the assembler instructions for completing assembly consistent with the requirements of this part. Include all information necessary to ensure that the locomotive will be assembled in its certified configuration.


(b) Make sure these instructions have the following information:


(1) Include the heading: “Emission-related assembly instructions”


(2) Describe any instructions necessary to make sure the assembled locomotive will operate according to design specifications in your application for certification.


(3) Describe how to properly label the locomotive. This will generally include instructions to remove and destroy the previous Engine Emission Control Information label.


(4) State one of the following as applicable:


(i) “Failing to follow these instructions when remanufacturing a locomotive or locomotive engine violates federal law (40 CFR 1068.105(b)), and may subject you to fines or other penalties as described in the Clean Air Act.”


(ii) “Failing to follow these instructions when installing this locomotive engine violates federal law (40 CFR 1068.105(b)), and may subject you to fines or other penalties as described in the Clean Air Act.”


(c) You do not need installation instructions for locomotives you assemble.


(d) Provide instructions in writing or in an equivalent format. For example, you may post instructions on a publicly available Web site for downloading or printing. If you do not provide the instructions in writing, explain in your application for certification how you will ensure that each assembler is informed of the assembly requirements.


(e) Your emission-related assembly instructions may not include specifications for parts unrelated to emissions. For the basic mechanical parts listed in this paragraph (e), you may not specify a part manufacturer unless we determine that such a specification is necessary. You may include design specifications for such parts addressing the dimensions and material constraints as necessary. You may also specify a part number, as long you make it clear that alternate part suppliers may be used. This paragraph (e) covers the following parts or other parts we determine qualify as basic mechanical parts:


(1) Intake and exhaust valves.


(2) Intake and exhaust valve retainers.


(3) Intake and exhaust valve springs.


(4) Intake and exhaust valve rotators.


(5) Oil coolers.


§ 1033.135 Labeling.

As described in this section, each locomotive must have a label on the locomotive and a separate label on the engine. The label on the locomotive stays on the locomotive throughout its service life. It generally identifies the original certification of the locomotive, which is when it was originally manufactured for Tier 1 and later locomotives. The label on the engine is replaced each time the locomotive is remanufactured and identifies the most recent certification.


(a) Serial numbers. At the point of original manufacture, assign each locomotive and each locomotive engine a serial number or other unique identification number and permanently affix, engrave, or stamp the number on the locomotive and engine in a legible way.


(b) Locomotive labels. (1) Locomotive labels meeting the specifications of paragraph (b)(2) of this section must be applied as follows:


(i) The manufacturer must apply a locomotive label at the point of original manufacture.


(ii) The remanufacturer must apply a locomotive label at the point of original remanufacture, unless the locomotive was labeled by the original manufacturer.


(iii) Any remanufacturer certifying a locomotive to an FEL or standard different from the previous FEL or standard to which the locomotive was previously certified must apply a locomotive label.


(2) The locomotive label must meet all of the following criteria:


(i) The label must be permanent and legible and affixed to the locomotive in a position in which it will remain readily visible. Attach it to a locomotive chassis part necessary for normal operation and not normally requiring replacement during the service life of the locomotive. You may not attach this label to the engine or to any equipment that is easily detached from the locomotive. Attach the label so that it cannot be removed without destroying or defacing the label. For Tier 0 and Tier 1 locomotives, the label may be made up of more than one piece, as long as all pieces are permanently attached to the locomotive.


(ii) The label must be lettered in the English language using a color that contrasts with the background of the label.


(iii) The label must include all the following information:


(A) The label heading: “ORIGINAL LOCOMOTIVE EMISSION CONTROL INFORMATION.” Manufacturers/remanufacturers may add a subheading to distinguish this label from the engine label described in paragraph (c) of this section.


(B) Full corporate name and trademark of the manufacturer (or remanufacturer).


(C) The applicable engine family and configuration identification. In the case of locomotive labels applied by the manufacturer at the point of original manufacture, this will be the engine family and configuration identification of the certificate applicable to the freshly manufactured locomotive. In the case of locomotive labels applied by a remanufacturer during remanufacture, this will be the engine family and configuration identification of the certificate under which the remanufacture is being performed.


(D) Date of original manufacture of the locomotive, as defined in § 1033.901.


(E) The standards/FELs to which the locomotive was certified and the following statement: “THIS LOCOMOTIVE MUST COMPLY WITH THESE EMISSION LEVELS EACH TIME THAT IT IS REMANUFACTURED, EXCEPT AS ALLOWED BY 40 CFR 1033.750.”


(3) Label diesel-fueled locomotives near the fuel inlet to identify the allowable fuels, consistent with § 1033.101. For example, Tier 4 locomotives with sulfur-sensitive technology (or that otherwise require ULSD for compliance) should be labeled “ULTRA LOW SULFUR DIESEL FUEL ONLY”. You do not need to label Tier 3 and earlier locomotives certified for use with both LSD and ULSD.


(c) Engine labels. (1) For engines not requiring aftertreatment devices, apply engine labels meeting the specifications of paragraph (c)(2) of this section once an engine has been assembled in its certified configuration. For engines that require aftertreatment devices, apply the label after the engine has been fully assembled, which may occur before installing the aftertreatment devices. These labels must be applied by:


(i) The manufacturer at the point of original manufacture; and


(ii) The remanufacturer at the point of each remanufacture (including the original remanufacture and subsequent remanufactures).


(2) The engine label must meet all of the following criteria:


(i) The label must be durable throughout the useful life of the engine, be legible and affixed to the engine in a position in which it will be readily visible after installation of the engine in the locomotive. Attach it to an engine part necessary for normal operation and not normally requiring replacement during the useful life of the locomotive. You may not attach this label to any equipment that is easily detached from the engine. Attach the label so it cannot be removed without destroying or defacing the label. The label may be made up of more than one piece, as long as all pieces are permanently attached to the same engine part.


(ii) The label must be lettered in the English language using a color that contrasts with the background of the label.


(iii) The label must include all the following information:


(A) The label heading: “ENGINE EMISSION CONTROL INFORMATION.” Manufacturers/remanufacturers may add a subheading to distinguish this label from the locomotive label described in paragraph (b) of this section.


(B) Full corporate name and trademark of the manufacturer/remanufacturer.


(C) Engine family and configuration identification as specified in the certificate under which the locomotive is being manufactured or remanufactured.


(D) A prominent unconditional statement of compliance with U.S. Environmental Protection Agency regulations which apply to locomotives, as applicable:


(1) “This locomotive conforms to U.S. EPA regulations applicable to Tier 0 + switch locomotives.”


(2) “This locomotive conforms to U.S. EPA regulations applicable to Tier 0 + line-haul locomotives.”


(3) “This locomotive conforms to U.S. EPA regulations applicable to Tier 1 + locomotives.”


(4) “This locomotive conforms to U.S. EPA regulations applicable to Tier 2 + locomotives.”


(5) “This locomotive conforms to U.S. EPA regulations applicable to Tier 3 switch locomotives.”


(6) “This locomotive conforms to U.S. EPA regulations applicable to Tier 3 line-haul locomotives.”


(7) “This locomotive conforms to U.S. EPA regulations applicable to Tier 4 switch locomotives.”


(8) “This locomotive conforms to U.S. EPA regulations applicable to Tier 4 line-haul locomotives.”


(E) The useful life of the locomotive.


(F) The standards/FELS to which the locomotive was certified.


(iv) You may include other critical operating instructions such as specifications for adjustments or reductant use for SCR systems.


(d) You may add information to the emission control information label as follows:


(1) You may identify other emission standards that the engine/locomotive meets or does not meet (such as international standards). You may include this information by adding it to the statement we specify or by including a separate statement.


(2) You may add other information to ensure that the locomotive will be properly maintained and used.


(3) You may add appropriate features to prevent counterfeit labels. For example, you may include the engine’s unique identification number on the label.


(e) You may ask us to approve modified labeling requirements in this part 1033 if you show that it is necessary or appropriate. We will approve your request if your alternate label is consistent with the requirements of this part.


[73 FR 37197, June 30, 2008, as amended at 73 FR 59189, Oct. 8, 2008; 81 FR 74004, Oct. 25, 2016]


§ 1033.140 Rated power.

This section describes how to determine the rated power of a locomotive for the purposes of this part.


(a) A locomotive configuration’s rated power is the maximum brake power point on the nominal power curve for the locomotive configuration, as defined in this section. See § 1033.901 for the definition of brake power. Round the power value to the nearest whole horsepower. Generally, this will be the brake power of the engine in notch 8.


(b) The nominal power curve of a locomotive configuration is its maximum available brake power at each possible operator demand setpoint or “notch”. See 40 CFR 1065.1001 for the definition of operator demand. The maximum available power at each operator demand setpoint is based on your design and production specifications for that locomotive. The nominal power curve does not include any operator demand setpoints that are not achievable during in-use operation. For example, for a locomotive with only eight discrete operator demand setpoints, or notches, the nominal power curve would be a series of eight power points versus notch, rather than a continuous curve.


(c) The nominal power curve must be within the range of the actual power curves of production locomotives considering normal production variability. If after production begins it is determined that your nominal power curve does not represent production locomotives, we may require you to amend your application for certification under § 1033.225.


(d) For the purpose of determining useful life, you may need to use a rated power based on power other than brake power according to the provisions of this paragraph (d). The useful life must be based on the power measured by the locomotive’s megawatt-hour meter. For example, if your megawatt-hour meter reads and records the electrical work output of the alternator/generator rather than the brake power of the engine, and the power output of the alternator/generator at notch 8 is 4000 horsepower, calculate your useful life as 30,000MW-hrs (7.5 × 4000).


§ 1033.150 Interim provisions.

The provisions of this section apply instead of other provisions of this part for a limited time. This section describes when these provisions apply.


(a) [Reserved]


(b) Idle controls. A locomotive equipped with an automatic engine stop/start system that was originally installed before January 1, 2009 and that conforms to the requirements of § 1033.115(g) is deemed to be covered by a certificate of conformity with respect to the requirements of § 1033.115(g). Note that the provisions of subpart C of this part also allow you to apply for a conventional certificate of conformity for such systems.


(c) Locomotive labels for transition to new standards. This paragraph (c) applies when you remanufacture a locomotive that was previously certified under 40 CFR part 92. You must remove the old locomotive label and replace it with the locomotive label specified in § 1033.135.


(d) [Reserved]


(e) Producing switch locomotives using certified nonroad engines. You may use the provisions of this paragraph (e) to produce any number of freshly manufactured or refurbished switch locomotives in model years 2008 through 2017. Locomotives produced under this paragraph (e) are exempt from the standards and requirements of this part subject to the following provisions:


(1) All of the engines on the switch locomotive must be covered by a certificate of conformity issued under 40 CFR part 89 or 1039 for model year 2008 or later (or earlier model years if the same standards applied as in 2008). Engines over 750 hp certified to the Tier 4 standards for non-generator set engines are not eligible for this allowance after 2014.


(2) You must reasonably project that more of the engines will be sold and used for non-locomotive use than for use in locomotives.


(3) You may not generate or use locomotive credits under this part for these locomotives.


(4) Include the following statement on a permanent locomotive label: “THIS LOCOMOTIVE WAS CERTIFIED UNDER 40 CFR 1033.150(e). THE ENGINES USED IN THIS LOCOMOTIVE ARE SUBJECT TO REQUIREMENTS OF 40 CFR PARTS 1039 (or 89) AND 1068.”


(5) The rebuilding requirements of 40 CFR part 1068 apply when remanufacturing engines used in these locomotives.


(f) In-use compliance limits. For purposes of determining compliance other than for certification or production-line testing, calculate the applicable in-use compliance limits by adjusting the applicable standards/FELs. The PM adjustment applies only for model year 2017 and earlier locomotives and does not apply for locomotives with a PM FEL higher than 0.03 g/bhp-hr. The NOX adjustment applies only for model year 2017 and earlier locomotives and does not apply for locomotives with a NOX FEL higher than 2.0 g/bhp-hr. Add the applicable adjustments in Tables 1 or 2 of this section (which follow) to the otherwise applicable standards (or FELs) and notch caps. You must specify during certification which add-ons, if any, will apply for your locomotives.


Table 1 to § 1033.150 – In-use Adjustments for Tier 4 Locomotives

Fraction of useful life already used
In-use adjustments (g/bhp-hr)
For model year 2017 and earlier Tier 4 NOX

standards
For model year 2017 and earlier Tier 4 PM standards
0 0.70.01
50 1.00.01
MW-hrs >75% of UL1.30.01

Table 2 to § 1033.150 – Optional In-Use Adjustments for Tier 4 Locomotives

Fraction of useful life already used
In-use adjustments (g/bhp-hr)
For model year 2017 and earlier Tier 4 NOX standards
For model year 2017 and earlier Tier 4 PM standards
0 0.20.03
50 0.30.03
MW-hrs >75% of UL0.40.03

(g) Optional interim Tier 4 compliance provisions for NOX emissions. For model years 2015 through 2022, manufacturers may choose to certify some or all of their Tier 4 line-haul engine families according to the optional compliance provisions of this paragraph (g). The following provisions apply to all locomotives in those families:


(1) The provisions of this paragraph (g) apply instead of the deterioration factor requirements of §§ 1033.240 and 1033.245 for NOX emissions. You must certify that the locomotives in the engine family will conform to the requirements of this paragraph (g) for their full useful lives.


(2) The applicable NOX emission standard for locomotives certified under this paragraph (g) is:


(i) 1.3 g/bhp-hr for locomotives that have accumulated less than 50 hours of operation.


(ii) 1.3 plus 0.6 g/bhp-hr for locomotives that have accumulated 50 hours or more of operation.


(3) The engine family may not generate NOX emission credits.


(4) The design certification provisions of § 1033.240(c) do not apply for these locomotives for the next remanufacture.


(5) Manufacturers must comply with the production-line testing program in subpart D of this part for these engine families or the following optional program:


(i) You are not required to test locomotives in the family under subpart D of this part if you comply with the requirements of this paragraph (g)(5).


(ii) Test the locomotives as specified in subpart E of this part, with the following exceptions:


(A) The minimum test sample size is one percent of the number of locomotives in the family or five, whichever is less.


(B) The locomotives must be tested after they have accumulated 50 hours or more of operation but before they have reached 50 percent of their useful life.


(iii) The standards in this part for pollutants other than NOX apply as specified for testing conducted under this optional program.


(6) The engine family may use NOX emission credits to comply with this paragraph (g). However, a 1.5 g/bhp-hr NOX FEL cap applies for engine families certified under this paragraph (g). The applicable standard for locomotives that have accumulated 50 hours or more of operation is the FEL plus 0.6 g/bhp-hr.


(7) The in-use NOX add-ons specified in paragraph (f) of this section do not apply for these locomotives.


(8) All other provisions of this part apply to such locomotives, except as specified otherwise in this paragraph (g).


(h)-(j) [Reserved]


(k) Test fuels. Testing performed during calendar years 2008 and 2009 may be performed using test fuels that meet the specifications of 40 CFR 92.113. If you do, adjust PM emissions downward by 0.04 g/bhp-hr to account for the difference in sulfur content of the fuel.


[73 FR 37197, June 30, 2008, as amended at 73 FR 59189, Oct. 8, 2008; 74 FR 8423, Feb. 24, 2009; 75 FR 22983, Apr. 30, 2010; 75 FR 68460, Nov. 8, 2010; 81 FR 74004, Oct. 25, 2016; 86 FR 34375, June 29, 2021]


Subpart C – Certifying Engine Families

§ 1033.201 General requirements for obtaining a certificate of conformity.

Certification is the process by which you demonstrate to us that your freshly manufactured or remanufactured locomotives will meet the applicable emission standards throughout their useful lives (explaining to us how you plan to manufacture or remanufacture locomotives, and providing test data showing that such locomotives will comply with all applicable emission standards). Anyone meeting the definition of manufacturer in § 1033.901 may apply for a certificate of conformity for freshly manufactured locomotives. Anyone meeting the definition of remanufacturer in § 1033.901 may apply for a certificate of conformity for remanufactured locomotives.


(a) You must send us a separate application for a certificate of conformity for each engine family. A certificate of conformity is valid for new production from the indicated effective date, until the end of the model year for which it is issued, which may not extend beyond December 31 of that year. No certificate will be issued after December 31 of the model year. You may amend your application for certification after the end of the model year in certain circumstances as described in §§ 1033.220 and 1033.225. You must renew your certification annually for any locomotives you continue to produce.


(b) The application must contain all the information required by this part and must not include false or incomplete statements or information (see § 1033.255).


(c) We may ask you to include less information than we specify in this subpart, as long as you maintain all the information required by § 1033.250.


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


(e) An authorized representative of your company must approve and sign the application.


(f) See § 1033.255 for provisions describing how we will process your application.


(g) We may require you to deliver your test locomotives (including test engines, as applicable) to a facility we designate for our testing (see § 1033.235(c)). Alternatively, you may choose to deliver another engine/locomotive that is identical in all material respects to the test locomotive, or another engine/locomotive that we determine can appropriately serve as an emission-data locomotive for the engine family.


(h) By applying for a certificate of conformity, you are accepting responsibility for the in-use emission performance of all properly maintained and used locomotives covered by your certificate. This responsibility applies without regard to whether you physically manufacture or remanufacture the entire locomotive. If you do not physically manufacture or remanufacture the entire locomotive, you must take reasonable steps (including those specified by this part) to ensure that the locomotives produced under your certificate conform to the specifications of your application for certification. Note that this paragraph does not limit any liability under this part or the Clean Air Act for entities that do not obtain certificates. This paragraph also does not prohibit you from making contractual arrangements with noncertifiers related to recovering damages for noncompliance.


(i) The provisions of this subpart describe how to obtain a certificate that covers all standards and requirements. Manufacturer/remanufacturers may ask to obtain a certificate of conformity that does not cover the idle control requirements of § 1033.115 or one that only covers the idle control requirements of § 1033.115. Remanufacturers obtaining such partial certificates must include a statement in their installation instructions that two certificates and labels are required for a locomotive to be in a fully certified configuration. We may modify the certification requirements for certificates that will only cover idle control systems.


[73 FR 37197, June 30, 2008, as amended at 81 FR 74005, Oct. 25, 2016]


§ 1033.205 Applying for a certificate of conformity.

(a) Send the Designated Compliance Officer a complete application for each engine family for which you are requesting a certificate of conformity.


(b) [Reserved]


(c) You must update and correct your application to accurately reflect your production, as described in § 1033.225.


(d) Include the following information in your application:


(1) A description of the basic engine design including, but not limited to, the engine family specifications listed in § 1033.230. For freshly manufactured locomotives, a description of the basic locomotive design. For remanufactured locomotives, a description of the basic locomotive designs to which the remanufacture system will be applied. Include in your description, a list of distinguishable configurations to be included in the engine family. Note whether you are requesting a certificate that will or will not cover idle controls.


(2) An explanation of how the emission control system operates, including detailed descriptions of:


(i) All emission control system components.


(ii) Injection or ignition timing for each notch (i.e., degrees before or after top-dead-center), and any functional dependence of such timing on other operational parameters (e.g., engine coolant temperature).


(iii) Each auxiliary emission control device (AECD).


(iv) All fuel system components to be installed on any production or test locomotives.


(v) Diagnostics.


(3) A description of the test locomotive.


(4) A description of the test equipment and fuel used. Identify any special or alternate test procedures you used.


(5) A description of the operating cycle and the period of operation necessary to accumulate service hours on the test locomotive and stabilize emission levels. You may also include a Green Engine Factor that would adjust emissions from zero-hour engines to be equivalent to stabilized engines.


(6) A description of all adjustable operating parameters (including, but not limited to, injection timing and fuel rate), including the following:


(i) The nominal or recommended setting and the associated production tolerances.


(ii) The intended adjustable range, and the physically adjustable range.


(iii) The limits or stops used to limit adjustable ranges.


(iv) Production tolerances of the limits or stops used to establish each physically adjustable range.


(v) Information relating to why the physical limits or stops used to establish the physically adjustable range of each parameter, or any other means used to inhibit adjustment, are the most effective means possible of preventing adjustment of parameters to settings outside your specified adjustable ranges on in-use engines.


(7) Projected U.S. production information for each configuration. If you are projecting substantially different sales of a configuration than you had previously, we may require you to explain why you are projecting the change.


(8)(i) All test data you obtained for each test engine or locomotive. As described in § 1033.235, we may allow you to demonstrate compliance based on results from previous emission tests, development tests, or other testing information. Include data for NOx, PM, HC, CO, and CO2.


(ii) Report measured CO2, N2O, and CH4 as described in § 1033.235. Small manufacturers/remanufacturers may omit reporting N2O and CH4.


(9) The intended deterioration factors for the engine family, in accordance with § 1033.245. If the deterioration factors for the engine family were developed using procedures that we have not previously approved, you should request preliminary approval under § 1033.210.


(10) The intended useful life period for the engine family, in accordance with § 1033.101(g). If the useful life for the engine family was determined using procedures that we have not previously approved, you should request preliminary approval under § 1033.210.


(11) Copies of your proposed emission control label(s), maintenance instructions, and installation instructions (where applicable).


(12) An unconditional statement declaring that all locomotives included in the engine family comply with all requirements of this part and the Clean Air Act.


(e) If we request it, you must supply such additional information as may be required to evaluate the application.


(f) Provide the information to read, record, and interpret all the information broadcast by a locomotive’s onboard computers and electronic control units. State that, upon request, you will give us any hardware, software, or tools we would need to do this. You may reference any appropriate publicly released standards that define conventions for these messages and parameters. Format your information consistent with publicly released standards.


(g) Include the information required by other subparts of this part. For example, include the information required by § 1033.725 if you participate in the ABT program.


(h) Include other applicable information, such as information specified in this part or part 1068 of this chapter related to requests for exemptions.


(i) Name an agent for service located in the United States. Service on this agent constitutes service on you or any of your officers or employees for any action by EPA or otherwise by the United States related to the requirements of this part.


(j) For imported locomotives, we may require you to describe your expected importation process.


[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008; 74 FR 56508, Oct. 30, 2008]


§ 1033.210 Preliminary approval.

(a) If you send us information before you finish the application, we will review it and make any appropriate determinations for questions related to engine family definitions, auxiliary emission-control devices, deterioration factors, testing for service accumulation, maintenance, and useful lives.


(b) Decisions made under this section are considered to be preliminary approval, subject to final review and approval. We will generally not reverse a decision where we have given you preliminary approval, unless we find new information supporting a different decision.


(c) If you request preliminary approval related to the upcoming model year or the model year after that, we will make best-efforts to make the appropriate determinations as soon as practicable. We will generally not provide preliminary approval related to a future model year more than three years ahead of time.


(d) You must obtain preliminary approval for your plan to develop deterioration factors prior to the start of any service accumulation to be used to develop the factors.


§ 1033.220 Amending maintenance instructions.

You may amend your emission-related maintenance instructions after you submit your application for certification, as long as the amended instructions remain consistent with the provisions of § 1033.125. You must send the Designated Compliance Officer a request to amend your application for certification for an engine family if you want to change the emission-related maintenance instructions in a way that could affect emissions. In your request, describe the proposed changes to the maintenance instructions. If owners/operators follow the original maintenance instructions rather than the newly specified maintenance, this does not allow you to disqualify those locomotives from in-use testing or deny a warranty claim.


(a) If you are decreasing or eliminating any of the specified maintenance, you may distribute the new maintenance instructions to your customers 30 days after we receive your request, unless we disapprove your request. This would generally include replacing one maintenance step with another. We may approve a shorter time or waive this requirement.


(b) If your requested change would not decrease the specified maintenance, you may distribute the new maintenance instructions anytime after you send your request. For example, this paragraph (b) would cover adding instructions to increase the frequency of filter changes for locomotives in severe-duty applications.


(c) You do not need to request approval if you are making only minor corrections (such as correcting typographical mistakes), clarifying your maintenance instructions, or changing instructions for maintenance unrelated to emission control. We may ask you to send us copies of maintenance instructions revised under this paragraph (c).


[73 FR 37197, June 30, 2008, as amended at 75 FR 22983, Apr. 30, 2010]


§ 1033.225 Amending applications for certification.

Before we issue you a certificate of conformity, you may amend your application to include new or modified locomotive configurations, subject to the provisions of this section. After we have issued your certificate of conformity, you may send us an amended application requesting that we include new or modified locomotive configurations within the scope of the certificate, subject to the provisions of this section. You must also amend your application if any changes occur with respect to any information that is included or should be included in your application. For example, you must amend your application if you determine that your actual production variation for an adjustable parameter exceeds the tolerances specified in your application.


(a) You must amend your application before you take either of the following actions:


(1) Add a locomotive configuration to an engine family. In this case, the locomotive added must be consistent with other locomotives in the engine family with respect to the criteria listed in § 1033.230. For example, you must amend your application if you want to produce 12-cylinder versions of the 16-cylinder locomotives you described in your application.


(2) Change a locomotive already included in an engine family in a way that may affect emissions, or change any of the components you described in your application for certification. This includes production and design changes that may affect emissions any time during the locomotive’s lifetime. For example, you must amend your application if you want to change a part supplier if the part was described in your original application and is different in any material respect than the part you described.


(3) Modify an FEL for an engine family as described in paragraph (f) of this section.


(b) To amend your application for certification, send the relevant information to the Designated Compliance Officer.


(1) Describe in detail the addition or change in the locomotive model or configuration you intend to make.


(2) Include engineering evaluations or data showing that the amended engine family complies with all applicable requirements. You may do this by showing that the original emission-data locomotive is still appropriate for showing that the amended family complies with all applicable requirements.


(3) If the original emission-data locomotive for the engine family is not appropriate to show compliance for the new or modified locomotive, include new test data showing that the new or modified locomotive meets the requirements of this part.


(4) Include any other information needed to make your application correct and complete.


(c) We may ask for more test data or engineering evaluations. You must give us these within 30 days after we request them.


(d) For engine families already covered by a certificate of conformity, we will determine whether the existing certificate of conformity covers your new or modified locomotive. You may ask for a hearing if we deny your request (see § 1033.920).


(e) For engine families already covered by a certificate of conformity, you may start producing the new or modified locomotive anytime after you send us your amended application, before we make a decision under paragraph (d) of this section. However, if we determine that the affected locomotives do not meet applicable requirements, we will notify you to cease production of the locomotives and may require you to recall the locomotives at no expense to the owner. Choosing to produce locomotives under this paragraph (e) is deemed to be consent to recall all locomotives that we determine do not meet applicable emission standards or other requirements and to remedy the nonconformity at no expense to the owner. If you do not provide information required under paragraph (c) of this section within 30 days after we request it, you must stop producing the new or modified locomotives.


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


(1) You may ask to raise your FEL for your engine family at any time. In your request, you must show that you will still be able to meet the emission standards as specified in subparts B and H of this part. If you amend your application by submitting new test data to include a newly added or modified locomotive, as described in paragraph (b)(3) of this section, use the appropriate FELs with corresponding production volumes to calculate emission credits for the model year, as described in subpart H of this part. In all other circumstances, you must use the higher FEL for the entire family to calculate emission credits under subpart H of this part.


(2) You may ask to lower the FEL for your emission family only if you have test data from production locomotives showing that emissions are below the proposed lower FEL. The lower FEL applies only to engines or fuel-system components you produce after we approve the new FEL. Use the appropriate FELs with corresponding production volumes to calculate emission credits for the model year, as described in subpart H of this part.


(g) You may produce engines as described in your amended application for certification and consider those engines to be in a certified configuration if we approve a new or modified engine configuration during the model year under paragraph (d) of this section. Similarly, you may modify in-use engines as described in your amended application for certification and consider those engines to be in a certified configuration if we approve a new or modified engine configuration at any time under paragraph (d) of this section. Modifying a new or in-use engine to be in a certified configuration does not violate the tampering prohibition of 40 CFR 1068.101(b)(1), as long as this does not involve changing to a certified configuration with a higher family emission limit.


[73 FR 37197, June 30, 2008, as amended at 75 FR 22983, Apr. 30, 2010; 81 FR 74005, Oct. 25, 2016]


§ 1033.230 Grouping locomotives into engine families.

(a) Divide your product line into engine families of locomotives that are expected to have similar emission characteristics throughout the useful life. Your engine family is limited to a single model year. Freshly manufactured locomotives may not be included in the same engine family as remanufactured locomotives, except as allowed by paragraph (f) of this section. Paragraphs (b) and (c) of this section specify default criteria for dividing locomotives into engine families. Paragraphs (d) and (e) of this section allow you deviate from these defaults in certain circumstances.


(b) This paragraph (b) applies for all locomotives other than Tier 0 locomotives. Group locomotives in the same engine family if they are the same in all the following aspects:


(1) The combustion cycle (e.g., diesel cycle).


(2) The type of engine cooling employed and procedure(s) employed to maintain engine temperature within desired limits (thermostat, on-off radiator fan(s), radiator shutters, etc.).


(3) The nominal bore and stroke dimensions.


(4) The approximate intake and exhaust event timing and duration (valve or port).


(5) The location of the intake and exhaust valves (or ports).


(6) The size of the intake and exhaust valves (or ports).


(7) The overall injection or ignition timing characteristics (i.e., the deviation of the timing curves from the optimal fuel economy timing curve must be similar in degree).


(8) The combustion chamber configuration and the surface-to-volume ratio of the combustion chamber when the piston is at top dead center position, using nominal combustion chamber dimensions.


(9) The location of the piston rings on the piston.


(10) The method of air aspiration (turbocharged, supercharged, naturally aspirated, Roots blown).


(11) The general performance characteristics of the turbocharger or supercharger (e.g., approximate boost pressure, approximate response time, approximate size relative to engine displacement).


(12) The type of air inlet cooler (air-to-air, air-to-liquid, approximate degree to which inlet air is cooled).


(13) The intake manifold induction port size and configuration.


(14) The type of fuel and fuel system configuration.


(15) The configuration of the fuel injectors and approximate injection pressure.


(16) The type of fuel injection system controls (i.e., mechanical or electronic).


(17) The type of smoke control system.


(18) The exhaust manifold port size and configuration.


(19) The type of exhaust aftertreatment system (oxidation catalyst, particulate trap), and characteristics of the aftertreatment system (catalyst loading, converter size vs. engine size).


(c) Group Tier 0 locomotives in the same engine family if they are the same in all the following aspects:


(1) The combustion cycle (e.g., diesel cycle).


(2) The type of engine cooling employed and procedure(s) employed to maintain engine temperature within desired limits (thermostat, on-off radiator fan(s), radiator shutters, etc.).


(3) The approximate bore and stroke dimensions.


(4) The approximate location of the intake and exhaust valves (or ports).


(5) The combustion chamber general configuration and the approximate surface-to-volume ratio of the combustion chamber when the piston is at top dead center position, using nominal combustion chamber dimensions.


(6) The method of air aspiration (turbocharged, supercharged, naturally aspirated, Roots blown).


(7) The type of air inlet cooler (air-to-air, air-to-liquid, approximate degree to which inlet air is cooled).


(8) The type of fuel and general fuel system configuration.


(9) The general configuration of the fuel injectors and approximate injection pressure.


(10) The type of fuel injection system control (electronic or mechanical).


(d) You may subdivide a group of locomotives that is identical under paragraph (b) or (c) of this section into different engine families if you show the expected emission characteristics are different during the useful life. This allowance also covers locomotives for which only calculated emission rates differ, such as locomotives with and without energy-saving design features. For the purposes of determining whether an engine family is a small engine family in § 1033.405(a)(2), we will consider the number of locomotives that could have been classed together under paragraph (b) or (c) of this section, instead of the number of locomotives that are included in a subdivision allowed by this paragraph (d).


(e) In unusual circumstances, you may group locomotives that are not identical with respect to the things listed in paragraph (b) or (c) of this section in the same engine family if you show that their emission characteristics during the useful life will be similar.


(f) During the first six calendar years after a new tier of standards becomes applicable, remanufactured engines/locomotives may be included in the same engine family as freshly manufactured locomotives, provided the same engines and emission controls are used for locomotive models included in the engine family.


[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008]


§ 1033.235 Emission testing required for certification.

This section describes the emission testing you must perform to show compliance with the emission standards in § 1033.101.


(a) Select an emission-data locomotive (or engine) from each engine family for testing. It may be a low mileage locomotive, or a development engine (that is equivalent in design to the engines of the locomotives being certified), or another low hour engine. Use good engineering judgment to select the locomotive configuration that is most likely to exceed (or have emissions nearest to) an applicable emission standard or FEL. In making this selection, consider all factors expected to affect emission control performance and compliance with the standards, including emission levels of all exhaust constituents, especially NOX and PM.


(b) Test your emission-data locomotives using the procedures and equipment specified in subpart F of this part. In the case of dual-fuel locomotives, measure emissions when operating with each type of fuel for which you intend to certify the locomotive. In the case of flexible-fuel locomotives, measure emissions when operating with the fuel mixture that best represents in-use operation or is most likely to have the highest NOX emissions, though you may ask us instead to perform tests with both fuels separately if you can show that intermediate mixtures are not likely to occur in use.


(c) We may perform confirmatory testing by measuring emissions from any of your emission-data locomotives or other locomotives from the engine family.


(1) We may decide to do the testing at your plant or any other facility. If we do this, you must deliver the locomotive to a test facility we designate. If we do the testing at your plant, you must schedule it as soon as possible and make available the instruments, personnel, and equipment we need.


(2) If we measure emissions from one of your locomotives, the results of that testing become the official emission results for the locomotive. Unless we later invalidate these data, we may decide not to consider your data in determining if your engine family meets applicable requirements.


(3) Before we test one of your locomotives, we may set its adjustable parameters to any point within the adjustable ranges (see § 1033.115(b)).


(4) Before we test one of your locomotives, we may calibrate it within normal production tolerances for anything we do not consider an adjustable parameter. For example, this would apply for a parameter that is subject to production variability because it is adjustable during production, but is not considered an adjustable parameter (as defined in § 1033.901) because it is permanently sealed.


(d) You may ask to use carryover emission data from a previous model year instead of doing new tests if all the following are true:


(1) The engine family from the previous model year differs from the current engine family only with respect to model year, items identified in § 1033.225(a), or other factors not related to emissions. We may waive this criterion for differences we determine not to be relevant.


(2) The emission-data locomotive from the previous model year remains the appropriate emission-data locomotive under paragraph (b) of this section.


(3) The data show that the emission-data locomotive would meet all the requirements that apply to the engine family covered by the application for certification.


(e) You may ask to use emission data from a different engine family you have already certified instead of testing a locomotive in the second engine family if all the following are true:


(1) The same engine is used in both engine families.


(2) You demonstrate to us that the differences in the two families are sufficiently small that the locomotives in the untested family will meet the same applicable notch standards calculated from the test data.


(f) We may require you to test a second locomotive of the same or different configuration in addition to the locomotive tested under paragraph (b) of this section.


(g) If you use an alternate test procedure under 40 CFR 1065.10 and later testing shows that such testing does not produce results that are equivalent to the procedures specified in subpart F of this part, we may reject data you generated using the alternate procedure.


(h) The requirement to measure smoke emissions is waived for certification and production line testing, except where there is reason to believe your locomotives do not meet the applicable smoke standards.


(i) Measure CO2 with each test. Measure CH4 with each low-hour certification test using the procedures specified in 40 CFR part 1065 starting in the 2012 model year. Also measure N2O with each low-hour certification test using the procedures specified in 40 CFR part 1065 for any engine family that depends on NOx aftertreatment to meet emission standards. Small manufacturers/remanufacturers may omit measurement of N2O and CH4. Use the same units and modal calculations as for your other results to report a single weighted value for CO2, N2O, and CH4. Round the final values as follows:


(1) Round CO2 to the nearest 1 g/bhp-hr.


(2) Round N2O to the nearest 0.001 g/bhp-hr.


(3) Round CH4 to the nearest 0.001g/bhp-hr.


[73 FR 37197, June 30, 2008, as amended at 74 FR 56508, Oct. 30, 2008; 75 FR 22984, Apr. 30, 2010; 81 FR 74005, Oct. 25, 2016]


§ 1033.240 Demonstrating compliance with exhaust emission standards.

(a) For purposes of certification, your engine family is considered in compliance with the applicable numerical emission standards in § 1033.101 if all emission-data locomotives representing that family have test results showing official emission results and deteriorated emission levels at or below these standards.


(1) If you include your locomotive in the ABT program in subpart H of this part, your FELs are considered to be the applicable emission standards with which you must comply.


(2) If you do not include your remanufactured locomotive in the ABT program in subpart H of this part, but it was previously included in the ABT program in subpart H of this part, the previous FELs are considered to be the applicable emission standards with which you must comply.


(b) Your engine family is deemed not to comply if any emission-data locomotive representing that family has test results showing an official emission result or a deteriorated emission level for any pollutant that is above an applicable emission standard. Use the following steps to determine the deteriorated emission level for the test locomotive:


(1) Collect emission data using measurements with enough significant figures to calculate the cycle-weighted emission rate to at least one more decimal place than the applicable standard. Apply any applicable humidity corrections before weighting emissions.


(2) Apply the regeneration factors if applicable. At this point the emission rate is generally considered to be an official emission result.


(3) Apply the deterioration factor to the official emission result, as described in § 1033.245, then round the adjusted figure to the same number of decimal places as the emission standard. This adjusted value is the deteriorated emission level. Compare these emission levels from the emission-data locomotive with the applicable emission standards. In the case of NOX + NMHC standards, apply the deterioration factor to each pollutant and then add the results before rounding.


(4) The highest deteriorated emission levels for each pollutant are considered to be the certified emission levels.


(c) An owner/operator remanufacturing its locomotives to be identical to their previously certified configuration may certify by design without new emission test data. To do this, submit the application for certification described in § 1033.205, but instead of including test data, include a description of how you will ensure that your locomotives will be identical in all material respects to their previously certified condition. You may use reconditioned parts consistent with good engineering judgment. You have all of the liabilities and responsibilities of the certificate holder for locomotives you certify under this paragraph.


[73 FR 37197, June 30, 2008, as amended at 75 FR 22984, Apr. 30, 2010]


§ 1033.245 Deterioration factors.

Establish deterioration factors for each pollutant to determine whether your locomotives will meet emission standards for each pollutant throughout the useful life, as described in § 1033.240. Determine deterioration factors as described in this section, either with an engineering analysis, with pre-existing test data, or with new emission measurements. The deterioration factors are intended to reflect the deterioration expected to result during the useful life of a locomotive maintained as specified in § 1033.125. If you perform durability testing, the maintenance that you may perform on your emission-data locomotive is limited to the maintenance described in § 1033.125. You may carry across a deterioration factor from one engine family to another consistent with good engineering judgment.


(a) Your deterioration factors must take into account any available data from in-use testing with similar locomotives, consistent with good engineering judgment. For example, it would not be consistent with good engineering judgment to use deterioration factors that predict emission increases over the useful life of a locomotive or locomotive engine that are significantly less than the emission increases over the useful life observed from in-use testing of similar locomotives.


(b) Apply deterioration factors as follows:


(1) Additive deterioration factor for exhaust emissions. Except as specified in paragraph (b)(2) of this section, use an additive deterioration factor for exhaust emissions. An additive deterioration factor for a pollutant is the difference between exhaust emissions at the end of the useful life and exhaust emissions at the low-hour test point. In these cases, adjust the official emission results for each tested locomotive at the selected test point by adding the factor to the measured emissions. The deteriorated emission level is intended to represent the highest emission level during the useful life. Thus, if the factor is less than zero, use zero. Additive deterioration factors must be specified to one more decimal place than the applicable standard.


(2) Multiplicative deterioration factor for exhaust emissions. Use a multiplicative deterioration factor if good engineering judgment calls for the deterioration factor for a pollutant to be the ratio of exhaust emissions at the end of the useful life to exhaust emissions at the low-hour test point. For example, if you use aftertreatment technology that controls emissions of a pollutant proportionally to engine-out emissions, it is often appropriate to use a multiplicative deterioration factor. Adjust the official emission results for each tested locomotive at the selected test point by multiplying the measured emissions by the deterioration factor. The deteriorated emission level is intended to represent the highest emission level during the useful life. Thus, if the factor is less than one, use one. A multiplicative deterioration factor may not be appropriate in cases where testing variability is significantly greater than locomotive-to-locomotive variability. Multiplicative deterioration factors must be specified to one more significant figure than the applicable standard.


(3) Sawtooth and other nonlinear deterioration patterns. The deterioration factors described in paragraphs (b)(1) and (2) of this section assume that the highest useful life emissions occur either at the end of useful life or at the low-hour test point. The provisions of this paragraph (b)(3) apply where good engineering judgment indicates that the highest emissions over the useful life will occur between these two points. For example, emissions may increase with service accumulation until a certain maintenance step is performed, then return to the low-hour emission levels and begin increasing again. Base deterioration factors for locomotives with such emission patterns on the difference between (or ratio of) the point at which the highest emissions occur and the low-hour test point. Note that this applies for maintenance-related deterioration only where we allow such critical emission-related maintenance.


(4) Dual-fuel and flexible-fuel engines. In the case of dual-fuel and flexible-fuel locomotives, apply deterioration factors separately for each fuel type by measuring emissions with each fuel type at each test point. You may accumulate service hours on a single emission-data engine using the type of fuel or the fuel mixture expected to have the highest combustion and exhaust temperatures; you may ask us to approve a different fuel mixture if you demonstrate that a different criterion is more appropriate.


(5) Deterioration factor for crankcase emissions. If your engine vents crankcase emissions to the exhaust or to the atmosphere, you must account for crankcase emission deterioration, using good engineering judgment. You may use separate deterioration factors for crankcase emissions of each pollutant (either multiplicative or additive) or include the effects in combined deterioration factors that include exhaust and crankcase emissions together for each pollutant.


(c) Deterioration factors for smoke are always additive.


(d) If your locomotive vents crankcase emissions to the exhaust or to the atmosphere, you must account for crankcase emission deterioration, using good engineering judgment. You may use separate deterioration factors for crankcase emissions of each pollutant (either multiplicative or additive) or include the effects in combined deterioration factors that include exhaust and crankcase emissions together for each pollutant.


(e) Include the following information in your application for certification:


(1) If you determine your deterioration factors based on test data from a different engine family, explain why this is appropriate and include all the emission measurements on which you base the deterioration factor.


(2) If you determine your deterioration factors based on engineering analysis, explain why this is appropriate and include a statement that all data, analyses, evaluations, and other information you used are available for our review upon request.


(3) If you do testing to determine deterioration factors, describe the form and extent of service accumulation, including a rationale for selecting the service-accumulation period and the method you use to accumulate hours.


[73 FR 37197, June 30, 2008, as amended at 81 FR 74005, Oct. 25, 2016]


§ 1033.250 Reporting and recordkeeping.

(a) Within 45 days after the end of the model year, send the Designated Compliance Officer a report describing the following information about locomotives you produced during the model year:


(1) Report the total number of locomotives you produced in each engine family by locomotive model and engine model.


(2) If you produced exempted locomotives, report the number of exempted locomotives you produced for each locomotive model and identify the buyer or shipping destination for each exempted locomotive. You do not need to report under this paragraph (a)(2) locomotives that were temporarily exempted, exported locomotives, locomotives exempted as manufacturer/remanufacturer-owned locomotives, or locomotives exempted as test locomotives.


(b) Organize and maintain the following records:


(1) A copy of all applications and any summary information you send us.


(2) Any of the information we specify in § 1033.205 that you were not required to include in your application.


(3) A detailed history of each emission-data locomotive. For each locomotive, describe all of the following:


(i) The emission-data locomotive’s construction, including its origin and buildup, steps you took to ensure that it represents production locomotives, any components you built specially for it, and all the components you include in your application for certification.


(ii) How you accumulated locomotive operating hours (service accumulation), including the dates and the number of hours accumulated.


(iii) All maintenance, including modifications, parts changes, and other service, and the dates and reasons for the maintenance.


(iv) All your emission tests (valid and invalid), including the date and purpose of each test and documentation of test parameters as specified in part 40 CFR part 1065, and the date and purpose of each test.


(v) All tests to diagnose locomotive or emission control performance, giving the date and time of each and the reasons for the test.


(vi) Any other significant events.


(4) If you test a development engine for certification, you may omit information otherwise required by paragraph (b)(3) of this section that is unrelated to emissions and emission-related components.


(5) Production figures for each engine family divided by assembly plant.


(6) Keep a list of locomotive identification numbers for all the locomotives you produce under each certificate of conformity.


(c) Keep required data from emission tests and all other information specified in this section for eight years after we issue your certificate. If you use the same emission data or other information for a later model year, the eight-year period restarts with each year that you continue to rely on the information.


(d) Store these records in any format and on any media, as long as you can promptly send us organized, written records in English if we ask for them. You must keep these records readily available. We may review them at any time.


(e) Send us copies of any locomotive maintenance instructions or explanations if we ask for them.


[73 FR 37197, June 30, 2008, as amended at 81 FR 74006, Oct. 25, 2016]


§ 1033.255 EPA decisions.

(a) If we determine an application is complete and shows that the engine family meets all the requirements of this part and the Clean Air Act, we will issue a certificate of conformity for the engine family for that model year. We may make the approval subject to additional conditions.


(b) We may deny an application for certification if we determine that an engine family fails to comply with emission standards or other requirements of this part or the Clean Air Act. We will base our decision on all available information. If we deny an application, we will explain why in writing.


(c) In addition, we may deny your application or suspend or revoke a certificate of conformity if you do any of the following:


(1) Refuse to comply with any testing or reporting requirements in this part.


(2) Submit false or incomplete information. This includes doing anything after submitting an application that causes submitted information to be false or incomplete.


(3) Cause any test data to become inaccurate.


(4) Deny us from completing authorized activities (see 40 CFR 1068.20). This includes a failure to provide reasonable assistance.


(5) Produce locomotives for importation into the United States at a location where local law prohibits us from carrying out authorized activities.


(6) Fail to supply requested information or amend an application to include all locomotives being produced.


(7) Take any action that otherwise circumvents the intent of the Clean Air Act or this part.


(d) We may void a certificate of conformity if you fail to keep records, send reports, or give us information as required under this part or the Act. Note that these are also violations of 40 CFR 1068.101(a)(2).


(e) We may void a certificate of conformity if we find that you intentionally submitted false or incomplete information. This includes doing anything after submitting an application that causes submitted information to be false or incomplete.


(f) If we deny an application or suspend, revoke, or void a certificate, you may ask for a hearing (see § 1033.920).


[73 FR 37197, June 30, 2008, as amended at 75 FR 22984, Apr. 30, 2010; 81 FR 74006, Oct. 25, 2016; 86 FR 34375, June 29, 2021]


Subpart D – Manufacturer and Remanufacturer Production Line Testing and Audit Programs

§ 1033.301 Applicability.

The requirements of this part apply to manufacturers/remanufacturers of locomotives certified under this part, with the following exceptions:


(a) The requirements of §§ 1033.310, 1033.315, 1033.320, and 1033.330 apply only to manufacturers of freshly manufactured locomotives or locomotive engines (including those used for repowering). We may also apply these requirements to remanufacturers of any locomotives for which there is reason to believe production problems exist that could affect emission performance. When we make a determination that production problems may exist that could affect emission performance, we will notify the remanufacturer(s). The requirements of §§ 1033.310, 1033.315, 1033.320, and 1033.330 will apply as specified in the notice.


(b) The requirements of § 1033.335 apply only to remanufacturers.


(c) As specified in § 1033.1(d), we may apply the requirements of this subpart to manufacturers/remanufacturers that do not certify the locomotives. However, unless we specify otherwise, the requirements of this subpart apply to manufacturers/remanufacturers that hold the certificates for the locomotives.


[73 FR 37197, June 30, 2008, as amended at 81 FR 74006, Oct. 25, 2016]


§ 1033.305 General requirements.

(a) Manufacturers (and remanufacturers, where applicable) are required to test production line locomotives using the test procedures specified in § 1033.315. While this subpart refers to locomotive testing, you may ask to test locomotive engines instead of testing locomotives.


(b) Remanufacturers are required to conduct audits according to the requirements of § 1033.335 to ensure that remanufactured locomotives comply with the requirements of this part.


(c) If you certify an engine family with carryover emission data, as described in § 1033.235, and these equivalent engine families consistently pass the production-line testing requirements over the preceding two-year period, you may ask for a reduced testing rate for further production-line testing for that family. If we reduce your testing rate, we may limit our approval to any number of model years. In determining whether to approve your request, we may consider the number of locomotives that have failed emission tests.


(d) You may ask to use an alternate program or measurement method for testing production-line engines. In your request, you must show us that the alternate program gives equal assurance that your engines meet the requirements of this part. We may waive some or all of this subpart’s requirements if we approve your alternate program.


§ 1033.310 Sample selection for testing.

(a) At the start of each model year, begin randomly selecting locomotives from each engine family for production line testing at a rate of one percent. Make the selection of the test locomotive after it has been assembled. Perform the testing throughout the entire model year to the extent possible, unless we specify a different schedule for your tests. For example, we may require you to disproportionately select locomotives from the early part of a model year for a new locomotive model that has not been subject to PLT previously.


(1) The required sample size for an engine family (provided that no locomotive tested fails to meet applicable emission standards) is the lesser of five tests per model year or one percent of projected annual production, with a minimum sample size for an engine family of one test per model year. See paragraph (d) of this section to determine the required number of test locomotives if any locomotives fail to comply with any standards.


(2) You may elect to test additional locomotives. All additional locomotives must be tested in accordance with the applicable test procedures of this part.


(b) You must assemble the test locomotives using the same production process that will be used for locomotives to be introduced into commerce. You may ask us to allow special assembly procedures for catalyst-equipped locomotives.


(c) Unless we approve it, you may not use any quality control, testing, or assembly procedures that you do not use during the production and assembly of all other locomotives of that family. This applies for any test locomotive or any portion of a locomotive, including engines, parts, and subassemblies.


(d) If one or more locomotives fail a production line test, then you must test two additional locomotives from the next fifteen produced in that engine family for each locomotive that fails. These two additional locomotives do not count towards your minimum number of locomotives. For example, if you are required to test a minimum of four locomotives under paragraph (a) of this section and the second locomotive fails to comply with one or more standards, then you must test two additional locomotives from the next fifteen produced in that engine family. If both of those locomotives pass all standards, you are required to test two additional locomotives to complete the original minimum number of four. If they both pass, you are done with testing for that family for the year since you tested six locomotives (the four originally required plus the two additional locomotives).


§ 1033.315 Test procedures.

(a) Test procedures. Use the test procedures described in subpart F of this part, except as specified in this section.


(1) You may ask to use other test procedures. We will approve your request if we determine that it is not possible to perform satisfactory testing using the specified procedures. We may also approve alternate test procedures under § 1033.305(d).


(2) If you used test procedures other than those in subpart F of this part during certification for the engine family (other than alternate test procedures necessary for testing a development engine or a low hour engine instead of a low mileage locomotive), use the same test procedures for production line testing that you used in certification.


(b) Modifying a test locomotive. Once an engine is selected for testing, you may adjust, repair, maintain, or modify it or check its emissions only if one of the following is true:


(1) You document the need for doing so in your procedures for assembling and inspecting all your production engines and make the action routine for all the engines in the engine family.


(2) This subpart otherwise specifically allows your action.


(3) We approve your action in advance.


(c) Adjustable parameters. (1) Confirm that adjustable parameters are set to values or positions that are within the range recommended to the ultimate purchaser.


(2) We may require to be adjusted any adjustable parameter to any setting within the specified adjustable range of that parameter prior to the performance of any test.


(d) Stabilizing emissions. You may stabilize emissions from the locomotives to be tested through service accumulation by running the engine through a typical duty cycle. Emissions are considered stabilized after 300 hours of operation. You may accumulate fewer hours, consistent with good engineering judgment. You may establish a Green Engine Factor for each regulated pollutant for each engine family, instead of (or in combination with) accumulating actual operation, to be used in calculating emissions test results. You must obtain our approval prior to using a Green Engine Factor. For catalyst-equipped locomotives, you may operate the locomotive for up to 1000 hours (in revenue or other service) prior to testing.


(e) Adjustment after shipment. If a locomotive is shipped to a facility other than the production facility for production line testing, and an adjustment or repair is necessary because of such shipment, you may perform the necessary adjustment or repair only after the initial test of the locomotive, unless we determine that the test would be impossible to perform or would permanently damage the locomotive.


(f) Malfunctions. If a locomotive cannot complete the service accumulation or an emission test because of a malfunction, you may request that we authorize either the repair of that locomotive or its deletion from the test sequence.


(g) Retesting. If you determine that any production line emission test of a locomotive is invalid, you must retest it in accordance with the requirements of this subpart. Report emission results from all tests to us, including test results you determined are invalid. You must also include a detailed explanation of the reasons for invalidating any test in the quarterly report required in § 1033.320(e). In the event a retest is performed, you may ask us within ten days of the end of the production quarter for permission to substitute the after-repair test results for the original test results. We will respond to the request within ten working days of our receipt of the request.


§ 1033.320 Calculation and reporting of test results.

(a) Calculate initial test results using the applicable test procedure specified in § 1033.315(a). Include applicable non-deterioration adjustments such as a Green Engine Factor or regeneration adjustment factor. Round the results to one more decimal place than the applicable emission standard.


(b) If you conduct multiple tests on any locomotives, calculate final test results by summing the initial test results derived in paragraph (a) of this section for each test locomotive, dividing by the number of tests conducted on the locomotive, and rounding to one more decimal place than the applicable emission standard. For catalyst-equipped locomotives, you may ask us to allow you to exclude an initial failed test if all of the following are true:


(1) The catalyst was in a green condition when tested initially.


(2) The locomotive met all emission standards when retested after degreening the catalyst.


(3) No additional emission-related maintenance or repair was performed between the initial failed test and the subsequent passing test.


(c) Calculate the final test results for each test locomotive by applying the appropriate deterioration factors, derived in the certification process for the engine family, to the final test results, and rounding to one more decimal place than the applicable emission standard.


(d) If, subsequent to an initial failure of a production line test, the average of the test results for the failed locomotive and the two additional locomotives tested, is greater than any applicable emission standard or FEL, the engine family is deemed to be in non-compliance with applicable emission standards, and you must notify us within ten working days of such noncompliance.


(e) Within 45 calendar days of the end of each quarter, you must send to the Designated Compliance Officer a report with the following information:


(1) The location and description of the emission test facilities which you used to conduct your testing.


(2) Total production and sample size for each engine family tested.


(3) The applicable standards against which each engine family was tested.


(4) For each test conducted, include all of the following:


(i) A description of the test locomotive, including:


(A) Configuration and engine family identification.


(B) Year, make, and build date.


(C) Engine identification number.


(D) Number of megawatt-hours (or miles if applicable) of service accumulated on locomotive prior to testing.


(E) Description of Green Engine Factor; how it is determined and how it is applied.


(ii) Location(s) where service accumulation was conducted and description of accumulation procedure and schedule, if applicable. If the locomotive was introduced into service between assembly and testing, you are only required to summarize the service accumulation, rather than identifying specific locations.


(iii) Test number, date, test procedure used, initial test results before and after rounding, and final test results for all production line emission tests conducted, whether valid or invalid, and the reason for invalidation of any test results, if applicable.


(iv) A complete description of any adjustment, modification, repair, preparation, maintenance, and testing which was performed on the test locomotive, has not been reported pursuant to any other paragraph of this subpart, and will not be performed on other production locomotives.


(v) Any other information we may ask you to add to your written report so we can determine whether your new engines conform with the requirements of this part.


(5) For each failed locomotive as defined in § 1033.330(a), a description of the remedy and test results for all retests as required by § 1033.340(g).


(6) The following signed statement and endorsement by an authorized representative of your company:



We submit this report under sections 208 and 213 of the Clean Air Act. Our production-line testing conformed completely with the requirements of 40 CFR part 1033. We have not changed production processes or quality-control procedures for the test locomotives in a way that might affect emission controls. All the information in this report is true and accurate to the best of my knowledge. I know of the penalties for violating the Clean Air Act and the regulations. (Authorized Company Representative)


[73 FR 37197, June 30, 2008, as amended at 81 FR 74006, Oct. 25, 2016]


§ 1033.325 Maintenance of records; submittal of information.

(a) You must establish, maintain, and retain the following adequately organized and indexed test records:


(1) A description of all equipment used to test locomotives. The equipment requirements in subpart F of this part apply to tests performed under this subpart. Maintain these records for each test cell that can be used to perform emission testing under this subpart.


(2) Individual test records for each production line test or audit including:


(i) The date, time, and location of each test or audit.


(ii) The method by which the Green Engine Factor was calculated or the number of hours of service accumulated on the test locomotive when the test began and ended.


(iii) The names of all supervisory personnel involved in the conduct of the production line test or audit;


(iv) A record and description of any adjustment, repair, preparation or modification performed on test locomotives, giving the date, associated time, justification, name(s) of the authorizing personnel, and names of all supervisory personnel responsible for the conduct of the action.


(v) If applicable, the date the locomotive was shipped from the assembly plant, associated storage facility or port facility, and the date the locomotive was received at the testing facility.


(vi) A complete record of all emission tests or audits performed under this subpart (except tests performed directly by us), including all individual worksheets and/or other documentation relating to each test, or exact copies thereof, according to the record requirements specified in subpart F of this part and 40 CFR part 1065.


(vii) A brief description of any significant events during testing not otherwise described under this paragraph (a)(2), commencing with the test locomotive selection process and including such extraordinary events as engine damage during shipment.


(b) Keep all records required to be maintained under this subpart for a period of eight years after completion of all testing. Store these records in any format and on any media, as long as you can promptly provide to us organized, written records in English if we ask for them and all the information is retained.


(c) Send us the following information with regard to locomotive production if we ask for it:


(1) Projected production for each configuration within each engine family for which certification has been requested and/or approved.


(2) Number of locomotives, by configuration and assembly plant, scheduled for production.


(d) Nothing in this section limits our authority to require you to establish, maintain, keep or submit to us information not specified by this section. We may also ask you to send less information.


(e) Send all reports, submissions, notifications, and requests for approval made under this subpart to the Designated Compliance Officer using an approved format.


(f) You must keep a copy of all reports submitted under this subpart.


[73 FR 37197, June 30, 2008, as amended at 75 FR 22984, Apr. 30, 2010]


§ 1033.330 Compliance criteria for production line testing.

There are two types of potential failures: failure of an individual locomotive to comply with the standards, and a failure of an engine family to comply with the standards.


(a) A failed locomotive is one whose final test results pursuant to § 1033.320(c), for one or more of the applicable pollutants, exceed an applicable emission standard or FEL.


(b) An engine family is deemed to be in noncompliance, for purposes of this subpart, if at any time throughout the model year, the average of an initial failed locomotive and the two additional locomotives tested, is greater than any applicable emission standard or FEL.


§ 1033.335 Remanufactured locomotives: installation audit requirements.

The section specifies the requirements for certifying remanufacturers to audit the remanufacture of locomotives covered by their certificates of conformity for proper components, component settings and component installations on randomly chosen locomotives in an engine family.


(a) You must ensure that all emission related components are properly installed on the locomotive and are set to the proper specification as indicated in your instructions. You may submit audits performed by the owners/operators of the locomotives, provided the audits are performed in accordance with the provisions of this section. We may require that you obtain affidavits for audits performed by owners/operators.


(b) Audit at least five percent of your annual production per model year per installer or ten per engine family per installer, whichever is less. You must perform more audits if there are any failures. Randomly select the locomotives to be audited after the remanufacture is complete. We may allow you to select locomotives prior to the completion of the remanufacture, if the preselection would not have the potential to affect the manner in which the locomotive was remanufactured (e.g., where the installer is not aware of the selection prior to the completion of the remanufacture). Unless we specify otherwise, you are not required to audit installers that remanufacture fewer than 10 locomotives per year under your certificates (combined for all of your engine families).


(c) The audit should be completed as soon as is practical after the remanufacture is complete. In no case may the remanufactured locomotive accumulate more than 45,000 miles prior to an audit.


(d) A locomotive fails if any emission related components are found to be improperly installed, improperly adjusted or incorrectly used.


(e) If a remanufactured locomotive fails an audit, then you must audit two additional locomotives from the next ten remanufactured in that engine family by that installer.


(f) An engine family is determined to have failed an audit, if at any time during the model year, you determine that the three locomotives audited are found to have had any improperly installed, improperly adjusted or incorrectly used components. You must notify us within 2 working days of a determination of an engine family audit failure.


(g) Within 45 calendar days of the end of each quarter, the remanufacturer must send the Designated Compliance Officer a report which includes the following information:


(1) The location and description of your audit facilities which were utilized to conduct auditing reported pursuant to this section;


(2) Total production and sample size for each engine family;


(3) The applicable standards and/or FELs against which each engine family was audited;


(4) For each audit conducted:


(i) A description of the audited locomotive, including:


(A) Configuration and engine family identification;


(B) Year, make, build date, and remanufacture date; and


(C) Locomotive and engine identification numbers;


(ii) Any other information we request relevant to the determination whether the new locomotives being remanufactured do in fact conform with the regulations with respect to which the certificate of conformity was issued;


(5) For each failed locomotive as defined in paragraph (d) of this section, a description of the remedy as required by § 1033.340(g);


(6) The following signed statement and endorsement by your authorized representative:



We submit this report under sections 208 and 213 of the Clean Air Act. Our production-line auditing conformed completely with the requirements of 40 CFR part 1033. We have not changed production processes or quality-control procedures for the audited locomotives in a way that might affect emission controls. All the information in this report is true and accurate to the best of my knowledge. I know of the penalties for violating the Clean Air Act and the regulations. (Authorized Company Representative)


[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008]


§ 1033.340 Suspension and revocation of certificates of conformity.

(a) A certificate can be suspended for an individual locomotive as follows:


(1) The certificate of conformity is automatically suspended for any locomotive that fails a production line test pursuant to § 1033.330(a), effective from the time the testing of that locomotive is completed.


(2) The certificate of conformity is automatically suspended for any locomotive that fails an audit pursuant to § 1033.335(d), effective from the time that auditing of that locomotive is completed.


(b) A certificate can be suspended for an engine family as follows:


(1) We may suspend the certificate of conformity for an engine family that is in noncompliance pursuant to § 1033.330(b), thirty days after the engine family is deemed to be in noncompliance.


(2) We may suspend the certificate of conformity for an engine family that is determined to have failed an audit pursuant to § 1033.335(f). This suspension will not occur before thirty days after the engine family is deemed to be in noncompliance.


(c) If we suspend your certificate of conformity for an engine family, the suspension may apply to all facilities producing engines from an engine family, even if you find noncompliant engines only at one facility.


(d) We may revoke a certificate of conformity for any engine family in whole or in part if:


(1) You fail to comply with any of the requirements of this subpart.


(2) You submit false or incomplete information in any report or information provided to us under this subpart.


(3) You render inaccurate any test data submitted under this subpart.


(4) An EPA enforcement officer is denied the opportunity to conduct activities authorized in this subpart.


(5) An EPA enforcement officer is unable to conduct authorized activities for any reason.


(e) We will notify you in writing of any suspension or revocation of a certificate of conformity in whole or in part; a suspension or revocation is effective upon receipt of such notification or thirty days from the time a locomotive or engine family is deemed to be in noncompliance under §§ 1033.320(d), 1033.330(a), 1033.330(b), or 1033.335(f) is made, whichever is earlier, except that the certificate is immediately suspended with respect to any failed locomotives as provided for in paragraph (a) of this section.


(f) We may revoke a certificate of conformity for an engine family when the certificate has been suspended under paragraph (b) or (c) of this section if the remedy is one requiring a design change or changes to the locomotive, engine and/or emission control system as described in the application for certification of the affected engine family.


(g) Once a certificate has been suspended for a failed locomotive, as provided for in paragraph (a) of this section, you must take all the following actions before the certificate is reinstated for that failed locomotive:


(1) Remedy the nonconformity.


(2) Demonstrate that the locomotive conforms to applicable standards or family emission limits by retesting, or reauditing if applicable, the locomotive in accordance with this part.


(3) Submit a written report to us after successful completion of testing (or auditing, if applicable) on the failed locomotive, which contains a description of the remedy and testing (or auditing) results for each locomotive in addition to other information that may be required by this part.


(h) Once a certificate for a failed engine family has been suspended pursuant to paragraph (b) or (c) of this section, you must take the following actions before we will consider reinstating the certificate:


(1) Submit a written report to us identifying the reason for the noncompliance of the locomotives, describing the remedy, including a description of any quality control measures you will use to prevent future occurrences of the problem, and stating the date on which the remedies will be implemented.


(2) Demonstrate that the engine family for which the certificate of conformity has been suspended does in fact comply with the regulations of this part by testing (or auditing) locomotives selected from normal production runs of that engine family. Such testing (or auditing) must comply with the provisions of this subpart. If you elect to continue testing (or auditing) individual locomotives after suspension of a certificate, the certificate is reinstated for any locomotive actually determined to be in conformance with the applicable standards or family emission limits through testing (or auditing) in accordance with the applicable test procedures, provided that we have not revoked the certificate under paragraph (f) of this section.


(i) If the certificate has been revoked for an engine family, you must take the following actions before we will issue a certificate that would allow you to continue introduction into commerce of a modified version of that family:


(1) If we determine that the change(s) in locomotive design may have an effect on emission deterioration, we will notify you within five working days after receipt of the report in paragraph (h) of this section, whether subsequent testing/auditing under this subpart will be sufficient to evaluate the change(s) or whether additional testing (or auditing) will be required.


(2) After implementing the change or changes intended to remedy the nonconformity, you must demonstrate that the modified engine family does in fact conform with the regulations of this part by testing locomotives (or auditing for remanufactured locomotives) selected from normal production runs of that engine family. When both of these requirements are met, we will reissue the certificate or issue a new certificate. If this subsequent testing (or auditing) reveals failing data the revocation remains in effect.


(j) At any time subsequent to an initial suspension of a certificate of conformity for a test or audit locomotive pursuant to paragraph (a) of this section, but not later than 30 days (or such other period as may we allow) after the notification our decision to suspend or revoke a certificate of conformity in whole or in part pursuant to this section, you may request a hearing as to whether the tests or audits have been properly conducted or any sampling methods have been properly applied. (See § 1033.920.)


(k) Any suspension of a certificate of conformity under paragraphs (a) through (d) of this section will be made only after you have been offered an opportunity for a hearing conducted in accordance with § 1033.920. It will not apply to locomotives no longer in your possession.


(l) If we suspend, revoke, or void a certificate of conformity, and you believe that our decision was based on erroneous information, you may ask us to reconsider our decision before requesting a hearing. If you demonstrate to our satisfaction that our decision was based on erroneous information, we will reinstate the certificate.


(m) We may conditionally reinstate the certificate for that family so that you do not have to store non-test locomotives while conducting subsequent testing or auditing of the noncomplying family subject to the following condition: you must commit to recall all locomotives of that family produced from the time the certificate is conditionally reinstated if the family fails subsequent testing, or auditing if applicable, and must commit to remedy any nonconformity at no expense to the owner.


Subpart E – In-use Testing

§ 1033.401 Applicability.

The requirements of this subpart are applicable to certificate holders for locomotives subject to the provisions of this part. These requirements may also be applied to other manufacturers/remanufacturers as specified in § 1033.1(d).


§ 1033.405 General provisions.

(a) Each year, we will identify engine families and configurations within families that you must test according to the requirements of this section.


(1) We may require you to test one engine family each year for which you have received a certificate of conformity. If you are a manufacturer that holds certificates of conformity for both freshly manufactured and remanufactured locomotive engine families, we may require you to test one freshly manufactured engine family and one remanufactured engine family. We may require you to test additional engine families if we have reason to believe that locomotives in such families do not comply with emission standards in use.


(2) For engine families of less than 10 locomotives per year, no in-use testing will be required, unless we have reason to believe that those engine families are not complying with the applicable emission standards in use.


(b) Test a sample of in-use locomotives from an engine family, as specified in § 1033.415. We will use these data, and any other data available to us, to determine the compliance status of classes of locomotives, including for purposes of recall under 40 CFR part 1068, and whether remedial action is appropriate.


§ 1033.410 In-use test procedure.

(a) You must test the complete locomotives; you may not test engines that are not installed in locomotives at the time of testing.


(b) Test the locomotive according to the test procedures outlined in subpart F of this part, except as provided in this section.


(c) Use the same test procedures for in-use testing as were used for certification, except for cases in which certification testing was not conducted with a locomotive, but with a development engine or other engine. In such cases, we will specify deviations from the certification test procedures as appropriate. We may allow or require other alternate procedures, with advance approval.


(d) Set all adjustable locomotive or engine parameters to values or positions that are within the range specified in the certificate of conformity. We may require you to set these parameters to specific values.


(e) We may waive a portion of the applicable test procedure that is not necessary to determine in-use compliance.


§ 1033.415 General testing requirements.

(a) Number of locomotives to be tested. Determine the number of locomotives to be tested by the following method:


(1) Test a minimum of 2 locomotives per engine family, except as provided in paragraph (a)(2) of this section. You must test additional locomotives if any locomotives fail to meet any standard. Test 2 more locomotives for each failing locomotive, but stop testing if the total number of locomotives tested equals 10.


(2) If an engine family has been certified using carryover emission data from a family that has been previously tested under paragraph (a)(1) of this section (and we have not ordered or begun to negotiate remedial action of that family), you need to test only one locomotive per engine family. If that locomotive fails to meet applicable standards for any pollutant, testing for that engine family must be conducted as outlined under paragraph (a)(1) of this section.


(3) You may ask us to allow you to test more locomotives than the minimum number described above or you may concede failure before testing 10 locomotives.


(b) Compliance criteria. We will consider failure rates, average emission levels and the existence of any defects among other factors in determining whether to pursue remedial action. We may order a recall pursuant to 40 CFR part 1068 before testing reaches the tenth locomotive.


(c) Collection of in-use locomotives. Procure in-use locomotives that have been operated for 50 to 75 percent of the locomotive’s useful life for testing under this subpart. Complete testing required by this section for any engine family before useful life of the locomotives in the engine family passes. (Note: § 1033.820 specifies that railroads must make reasonable efforts to enable you to perform this testing.)


§ 1033.420 Maintenance, procurement and testing of in-use locomotives.

(a) A test locomotive must have a maintenance history that is representative of actual in-use conditions, and identical or equivalent to your recommended emission-related maintenance requirements.


(1) When procuring locomotives for in-use testing, ask the end users about the accumulated usage, maintenance, operating conditions, and storage of the test locomotives.


(2) Your selection of test locomotives is subject to our approval. Maintain the information you used to procure locomotives for in-use testing in the same manner as is required in § 1033.250.


(b) You may perform minimal set-to-spec maintenance on a test locomotive before conducting in-use testing. Maintenance may include only that which is listed in the owner’s instructions for locomotives with the amount of service and age of the acquired test locomotive. Maintain documentation of all maintenance and adjustments.


(c) If the locomotive selected for testing is equipped with emission diagnostics meeting the requirements in § 1033.110 and the MIL is illuminated, you may read the code and repair the malfunction according to your emission-related maintenance instructions, but only to the degree that an owner/operator would be required to repair the malfunction under § 1033.815.


(d) Results of at least one valid set of emission tests using the test procedure described in subpart F of this part is required for each in-use locomotive.


(e) If in-use testing results show that an in-use locomotive fails to comply with any applicable emission standards, you must determine the reason for noncompliance and report your findings in the quarterly in-use test result report described in § 1033.425.


§ 1033.425 In-use test program reporting requirements.

(a) Within 90 days of completion of testing, send us all emission test results generated from the in-use testing program. Report all of the following information for each locomotive tested:


(1) Engine family, and configuration.


(2) Locomotive and engine models.


(3) Locomotive and engine serial numbers.


(4) Date of manufacture or remanufacture, as applicable.


(5) Megawatt-hours of use (or miles, as applicable).


(6) Date and time of each test attempt.


(7) Results of all emission testing.


(8) Results (if any) of each voided or failed test attempt.


(9) Summary of all maintenance and/or adjustments performed.


(10) Summary of all modifications and/or repairs.


(11) Determinations of noncompliance.


(12) The following signed statement and endorsement by an authorized representative of your company.


We submit this report under sections 208 and 213 of the Clean Air Act. Our in-use testing conformed completely with the requirements of 40 CFR part 1033. All the information in this report is true and accurate to the best of my knowledge. I know of the penalties for violating the Clean Air Act and the regulations. (Authorized Company Representative)


(b) Report to us within 90 days of completion of testing the following information for each engine family tested:


(1) The serial numbers of all locomotive that were excluded from the test sample because they did not meet the maintenance requirements of § 1033.420.


(2) The owner of each locomotive identified in paragraph (b)(1) of this section (or other entity responsible for the maintenance of the locomotive).


(3) The specific reasons why the locomotives were excluded from the test sample.


(c) Submit the information outlined in paragraphs (a) and (b) of this section electronically using an approved format. We may exempt you from this requirement upon written request with supporting justification.


(d) Send all testing reports and requests for approvals to the Designated Compliance Officer.


Subpart F – Test Procedures

§ 1033.501 General provisions.

(a) Except as specified in this subpart, use the equipment and procedures for compression-ignition engines in 40 CFR part 1065 to determine whether your locomotives meet the duty-cycle emission standards in § 1033.101. Use the applicable duty cycles specified in this subpart. Measure emissions of all the pollutants we regulate in § 1033.101 plus CO2. Measure N2O, and CH4 as described in § 1033.235. The general test procedure is the procedure specified in 40 CFR part 1065 for steady-state discrete-mode cycles. However, if you use the optional ramped modal cycle in § 1033.520, follow the procedures for ramped modal testing in 40 CFR part 1065. The following exceptions from the 1065 procedures apply:


(1) You must average power and emissions over the sampling periods specified in this subpart for both discrete-mode testing and ramped modal testing.


(2) The test cycle is considered to be steady-state with respect to operator demand rather than engine speed and load.


(3) The following provisions apply for engine mapping, duty-cycle generation, and cycle validation to account for the fact that locomotive operation and locomotive duty cycles are based on operator demand from locomotive notch settings, not on target values for engine speed and load:


(i) The provisions related to engine mapping, duty-cycle generation, and cycle validation in 40 CFR 1065.510, 1065.512, and 1065.514 do not apply for testing complete locomotives.


(ii) The provisions related to engine mapping and duty-cycle generation in 40 CFR 1065.510 and 1065.512 are not required for testing with an engine dynamometer; however, the cycle validation criteria of 40 CFR 1065.514 apply for such testing. Demonstrate compliance with cycle validation criteria based on manufacturer-declared values for maximum torque, maximum power, and maximum test speed, or determine these values from an engine map generated according to 40 CFR 1065.510. If you test using a ramped-modal cycle, you may perform cycle validation over all the test intervals together.


(4) If you perform discrete-mode testing and use only one batch fuel measurement to determine your mean raw exhaust flow rate, you must target a constant sample flow rate over the mode. Verify proportional sampling as described in 40 CFR 1065.545 using the mean raw exhaust molar flow rate paired with each recorded sample flow rate.


(5) If you perform discrete-mode testing by grouping the modes in the same manner as the test intervals of the ramped modal cycle using three different dilution settings for the groups, as allowed in § 1033.515(c)(5)(ii), you may verify proportional sampling over each group instead of each discrete mode.


(b) You may use special or alternate procedures to the extent we allow as them under 40 CFR 1065.10. In some cases, we allow you to use procedures that are less precise or less accurate than the specified procedures if they do not affect your ability to show that your locomotives comply with the applicable emission standards. This generally requires emission levels to be far enough below the applicable emission standards so that any errors caused by greater imprecision or inaccuracy do not affect your ability to state unconditionally that the locomotives meet all applicable emission standards.


(c) This part allows (with certain limits) testing of either a complete locomotive or a separate uninstalled engine. When testing a locomotive, you must test the complete locomotive in its in-use configuration, except that you may disconnect the power output and fuel input for the purpose of testing. To calculate power from measured alternator/generator output, use an alternator/generator efficiency curve that varies with speed/load, consistent with good engineering judgment.


(d) Unless smoke standards do not apply for your locomotives or the testing requirement is waived, measure smoke emissions using the procedures in § 1033.525.


(e) Use the applicable fuel listed in 40 CFR part 1065, subpart H, to perform valid tests.


(1) For diesel-fueled locomotives, use the appropriate diesel fuel specified in 40 CFR part 1065, subpart H, for emission testing. The applicable diesel test fuel is either the ultra low-sulfur diesel or low-sulfur diesel fuel, as specified in § 1033.101. Identify the test fuel in your application for certification and ensure that the fuel inlet label is consistent with your selection of the test fuel (see §§ 1033.101 and 1033.135).


(2) You may ask to use as a test fuel commercially available diesel fuel similar but not identical to the applicable fuel specified in 40 CFR part 1065, subpart H; we will approve your request if you show us that it does not affect your ability to demonstrate compliance with the applicable emission standards. If your locomotive uses sulfur-sensitive technology, you may not use an in-use fuel that has a lower sulfur content than the range specified for the otherwise applicable test fuel in 40 CFR part 1065. If your locomotive does not use sulfur-sensitive technology, we may allow you to use an in-use fuel that has a lower sulfur content than the range specified for the otherwise applicable test fuel in 40 CFR part 1065, but may require that you correct PM emissions to account for the sulfur differences.


(3) For service accumulation, use the test fuel or any commercially available fuel that is representative of the fuel that in-use locomotives will use.


(f) See § 1033.505 for information about allowable ambient testing conditions for testing.


(g) This subpart is addressed to you as a manufacturer/remanufacturer, but it applies equally to anyone who does testing for you, and to us when we perform testing to determine if your locomotives meet emission standards.


(h) We may also perform other testing as allowed by the Clean Air Act.


(i) For passenger locomotives that can generate hotel power from the main propulsion engine, the locomotive must comply with the emission standards when in non-hotel setting. For hotel mode, the locomotive is subject to the notch cap provisions of § 1033.101 and the defeat device prohibition of § 1033.115.


(j) The following provisions apply for locomotives using aftertreatment technology with infrequent regeneration events that may occur during testing:


(1) Adjust measured emissions to account for aftertreatment technology with infrequent regeneration as described in § 1033.535.


(2) Invalidate a smoke test if active regeneration starts to occur during the test.


[73 FR 37197, June 30, 2008, as amended at 74 FR 56508, Oct. 30, 2008; 75 FR 22984, Apr. 30, 2010; 81 FR 74006, Oct. 25, 2016]


§ 1033.505 Ambient conditions.

This section specifies the allowable ambient conditions (including temperature and pressure) under which testing may be performed to determine compliance with the emission standards of § 1068.101. Manufacturers/remanufacturers may ask to perform testing at conditions other than those allowed by this section. We will allow such testing provided it does not affect your ability to demonstrate compliance with the applicable standards. See §§ 1033.101 and 1033.115 for more information about the requirements that apply at other conditions.


(a) Temperature. (1) Testing may be performed with ambient temperatures from 15.5 °C (60 °F) to 40.5 °C (105 °F). Do not correct emissions for temperature effects within this range.


(2) It is presumed that combustion air will be drawn from the ambient air. Thus, the ambient temperature limits of this paragraph (a) apply for intake air upstream of the engine. If you do not draw combustion air from the ambient air, use good engineering judgment to ensure that any temperature difference (between the ambient air and combustion air) does not cause the emission measurement to be unrepresentative of in-use emissions.


(3) If we allow you to perform testing at ambient temperatures below 15.5 °C, you must correct NOX emissions for temperature effects, consistent with good engineering judgment. For example, if the intake air temperature (at the manifold) is lower at the test temperature than it would be for equivalent operation at an ambient temperature of 15.5 °C, you generally will need to adjust your measured NOX emissions to account for the effect of the lower intake air temperature. However, if you maintain a constant manifold air temperature, you will generally not need to correct emissions.


(b) Altitude/pressure. Testing may be performed with ambient pressures from 88.000 kPa (26.0 in Hg) to 103.325 kPa (30.5 in Hg). This is intended to correspond to altitudes up to 4000 feet above sea level. Do not correct emissions for pressure effects within this range.


(c) Humidity. Testing may be performed with any ambient humidity level. Correct NOX emissions as specified in 40 CFR 1065.670. Do not correct any other emissions for humidity effects.


(d) Wind. If you test outdoors, use good engineering judgment to ensure that excessive wind does not affect your emission measurements. Winds are excessive if they disturb the size, shape, or location of the exhaust plume in the region where exhaust samples are drawn or where the smoke plume is measured, or otherwise cause any dilution of the exhaust. Tests may be conducted if wind shielding is placed adjacent to the exhaust plume to prevent bending, dispersion, or any other distortion of the exhaust plume as it passes through the optical unit or through the sample probe.


[73 FR 37197, June 30, 2008, as amended at 75 FR 22984, Apr. 30, 2010]


§ 1033.510 Auxiliary power units.

If your locomotive is equipped with an auxiliary power unit (APU) that operates during an idle shutdown mode, you must account for the APU’s emissions rates as specified in this section, unless the APU is part of an AESS system that was certified separately from the rest of the locomotive. This section does not apply for auxiliary engines that only provide hotel power.


(a) Adjust the locomotive main engine’s idle emission rate (g/hr) as specified in § 1033.530. Add the APU emission rate (g/hr) that you determine under paragraph (b) of this section. Use the locomotive main engine’s idle power as specified in § 1033.530.


(b) Determine the representative emission rate for the APU using one of the following methods.


(1) Installed APU tested separately. If you separately measure emission rates (g/hr) for each pollutant from the APU installed in the locomotive, you may use the measured emissions rates (g/hr) as the locomotive’s idle emissions rates when the locomotive is shutdown and the APU is operating. For all testing other than in-use testing, apply appropriate deterioration factors to the measured emission rates. You may ask to carryover APU emission data for a previous test, or use data for the same APU installed on locomotives in another engine family.


(2) Uninstalled APU tested separately. If you separately measure emission rates (g/hr) over an appropriate duty-cycle for each pollutant from the APU when it is not installed in the locomotive, you may use the measured emissions rates (g/hr) as the locomotive’s idle emissions rates when the locomotive is shutdown and the APU is operating. For the purpose of this paragraph (b)(2), an appropriate duty-cycle is one that approximates the APU engine’s cycle-weighted power when operating in the locomotive. Apply appropriate deterioration factors to the measured emission rates. You may ask to carryover APU emission data for a previous test, or use data for the same APU installed on locomotives in another engine family.


(3) APU engine certification data. If the engine used for the APU has been certified to EPA emission standards you may calculate the APU’s emissions based upon existing EPA-certification information about the APU’s engine. In this case, calculate the APU’s emissions as follows:


(i) For each pollutant determine the brake-specific standard/FEL to which the APU engine was originally EPA-certified.


(ii) Determine the APU engine’s cycle-weighted power when operating in the locomotive.


(iii) Multiply each of the APU’s applicable brake-specific standards/FELs by the APU engine’s cycle-weighted power. The results are the APU’s emissions rates (in g/hr).


(iv) Use these emissions rates as the locomotive’s idle emissions rates when the locomotive is shutdown and the APU is running. Do not apply a deterioration factor to these values.


(4) Other. You may ask us to approve an alternative means to account for APU emissions.


[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008]


§ 1033.515 Discrete-mode steady-state emission tests of locomotives and locomotive engines.

This section describes how to test locomotives at each notch setting so that emissions can be weighted according to either the line-haul duty cycle or the switch duty cycle. The locomotive test cycle consists of a warm-up followed by a sequence of nominally steady-state discrete test modes, as described in Table 1 to this section. The test modes are steady-state with respect to operator demand, which is the notch setting for the locomotive. Engine speeds and loads are not necessarily steady-state.


(a) Follow the provisions of 40 CFR part 1065, subpart F for general pre-test procedures (including engine and sampling system pre-conditioning which is included as engine warm-up). You may operate the engine in any way you choose to warm it up prior to beginning the sample preconditioning specified in 40 CFR part 1065.


(b) Begin the test by operating the locomotive over the pre-test portion of the cycle specified in Table 1 to this section. For locomotives not equipped with catalysts, you may begin the test as soon as the engine reaches its lowest idle setting. For catalyst-equipped locomotives, you may begin the test in normal idle mode if the engine does not reach its lowest idle setting within 15 minutes. If you do start in normal idle, run the low idle mode after normal idle, then resume the specified mode sequence (without repeating the normal idle mode).


(c) Measure emissions during the rest of the test cycle.


(1) Each test mode begins when the operator demand to the locomotive or engine is set to the applicable notch setting.


(2) Start measuring gaseous emissions, power, and fuel consumption at the start of the test mode A and continue until the completion of test mode 8. You may zero and span analyzers between modes (or take other actions consistent with good engineering judgment).


(i) The sample period over which emissions for the mode are averaged generally begins when the operator demand is changed to start the test mode and ends within 5 seconds of the minimum sampling time for the test mode is reached. However, you need to shift the sampling period to account for sample system residence times. Follow the provisions of 40 CFR 1065.308 and 1065.309 to time align emission and work measurements.


(ii) The sample period is 300 seconds for all test modes except mode 8. The sample period for test mode 8 is 600 seconds.


(3) If gaseous emissions are sampled using a batch-sampling method, begin proportional sampling at the beginning of each sampling period and terminate sampling once the minimum time in each test mode is reached, ±5 seconds.


(4) If applicable, begin the smoke test at the start of the test mode A. Continue collecting smoke data until the completion of test mode 8. You may perform smoke measurements independent of criteria pollutant measurements by repeating the test over the duty cycle. If you choose this option, the minimum time-in-notch is 3.0 minutes for duty cycles in which only smoke is measured. Refer to § 1033.101 to determine applicability of smoke testing and § 1033.525 for details on how to conduct a smoke test.


(5) Begin proportional sampling of PM emissions at the beginning of each sampling period and terminate sampling within ±5 seconds of the specified time in each test mode. If the PM sample is not sufficiently large, take one of the following actions consistent with good engineering judgment:


(i) Extend the sampling period up to a maximum of 15 minutes.


(ii) Group the modes in the same manner as the test intervals of the ramped modal cycle and use three different dilution settings for the groups. Use one setting for both idle modes, one for dynamic brake through Notch 5, and one for Notch 6 through Notch 8. For each group, ensure that the mode with the highest exhaust flow (typically normal idle, Notch 5, and Notch 8) meets the criteria for minimum dilution ratio in 40 CFR part 1065.


(6) Proceed through each test mode in the order specified in Table 1 to this section until the locomotive test cycle is completed.


(7) At the end of each numbered test mode, you may continue to operate sampling and dilution systems to allow corrections for the sampling system’s response time.


(8) Following the completion of Mode 8, conduct the post sampling procedures in § 1065.530. Note that cycle validation criteria do not apply to testing of complete locomotives.


Table 1 to § 1033.515 – Locomotive Test Cycle

Test mode
Notch setting
Time in mode

(minutes)
1
Sample averaging

period for emissions
1
Pre-test idleLowest idle setting10 to 15
3
Not applicable
ALow idle
2
5 to 10300 ±5 seconds
BNormal idle5 to 10300 ±5 seconds
CDynamic brake
2
5 to 10300 ±5 seconds
1Notch 15 to 10300 ±5 seconds
2Notch 25 to 10300 ±5 seconds
3Notch 35 to 10300 ±5 seconds
4Notch 45 to 10300 ±5 seconds
5Notch 55 to 10300 ±5 seconds
6Notch 65 to 10300 ±5 seconds
7Notch 75 to 10300 ±5 seconds
8Notch 810 to 15600 ±5 seconds


1 The time in each notch and sample averaging period may be extended as needed to allow for collection of a sufficiently large PM sample.


2 Omit if not so equipped.


3 See paragraph (b) of this section for alternate pre-test provisions.


(d) Use one of the following approaches for sampling PM emissions during discrete-mode steady-state testing:


(1) Engines certified to a PM standard/FEL at or above 0.05 g/bhp-hr. Use a separate PM filter sample for each test mode of the locomotive test cycle according to the procedures specified in paragraph (a) through (c) of this section. You may ask to use a shorter sampling period if the total mass expected to be collected would cause unacceptably high pressure drop across the filter before reaching the end of the required sampling time. We will not allow sampling times shorter than 60 seconds. When we conduct locomotive emission tests, we will adhere to the time limits for each of the numbered modes in Table 1 to this section.


(2) Engines certified to a PM standard/FEL below 0.05 g/bhp-hr. (i) You may use separate PM filter samples for each test mode as described in paragraph (d)(1) of this section; however, we recommend that you do not. The low rate of sample filter loading will result in very long sampling times and the large number of filter samples may induce uncertainty stack-up that will lead to unacceptable PM measurement accuracy. Instead, we recommend that you measure PM emissions as specified in paragraph (d)(2)(ii) of this section.


(ii) You may use a single PM filter for sampling PM over all of the test modes of the locomotive test cycle as specified in this paragraph (d)(2). Vary the sample time to be proportional to the applicable line-haul or switch weighting factors specified in § 1033.530 for each mode. The minimum sampling time for each mode is 400 seconds multiplied by the weighting factor. For example, for a mode with a weighting factor of 0.030, the minimum sampling time is 12.0 seconds. PM sampling in each mode must be proportional to engine exhaust flow as specified in 40 CFR part 1065. Begin proportional sampling of PM emissions at the beginning of each test mode as is specified in paragraph (c) of this section. End the sampling period for each test mode so that sampling times are proportional to the weighting factors for the applicable duty cycles. If necessary, you may extend the time limit for each of the test modes beyond the sampling times in Table 1 to this section to increase the sampled mass of PM emissions or to account for proper weighting of the PM emission sample over the entire cycle, using good engineering judgment.


(e) This paragraph (e) describes how to test locomotive engines when not installed in a locomotive. Note that the test procedures for dynamometer engine testing of locomotive engines are intended to produce emission measurements that are the same as emission measurements produced during testing of complete locomotives using the same engine configuration. The following requirements apply for all engine tests:


(1) Specify a second-by-second set of engine speed and load points that are representative of in-use locomotive operation for each of the set-points of the locomotive test cycle described in Table 1 to this section, including transitions from one notch to the next. This is your reference cycle for validating your cycle. You may ignore points between the end of the sampling period for one mode and the point at which you change the notch setting to begin the next mode.


(2) Keep the temperature of the air entering the engine after any charge air cooling to within 5 °C of the typical intake manifold air temperature when the engine is operated in the locomotive under similar ambient conditions.


(3) Proceed as specified in paragraphs (a) through (d) of this section for testing complete locomotives.


[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008; 74 FR 8424, Feb. 24, 2009; 75 FR 22985, Apr. 30, 2010; 81 FR 74006, Oct. 25, 2016]


§ 1033.520 Alternative ramped modal cycles.

(a) Locomotive testing over a ramped modal cycle is intended to improve measurement accuracy at low emission levels by allowing the use of batch sampling of PM and gaseous emissions over multiple locomotive notch settings. Ramped modal cycles combine multiple test modes of a discrete-mode steady-state into a single sample period. Time in notch is varied to be proportional to weighting factors. The ramped modal cycle for line-haul locomotives is shown in Table 1 to this section. The ramped modal cycle for switch locomotives is shown in Table 2 to this section. Both ramped modal cycles consist of a warm-up followed by three test intervals that are each weighted in a manner that maintains the duty-cycle weighting of the line-haul and switch locomotive duty cycles in § 1033.530. You may use ramped modal cycle testing for any locomotives certified under this part.


(b) Ramped modal testing requires continuous gaseous analyzers and three separate PM filters (one for each test interval). You may collect a single batch sample for each test interval, but you must also measure gaseous emissions continuously to allow calculation of notch caps as required under § 1033.101.


(c) You may operate the engine in any way you choose to warm it up. Then follow the provisions of 40 CFR part 1065, subpart F for general pre-test procedures (including engine and sampling system pre-conditioning).


(d) Begin the test by operating the locomotive over the pre-test portion of the cycle. For locomotives not equipped with catalysts, you may begin the test as soon as the engine reaches its lowest idle setting. For catalyst-equipped locomotives, you may begin the test in normal idle mode if the engine does not reach its lowest idle setting within 15 minutes. If you do start in normal idle, run the low idle mode after normal idle, then resume the specified mode sequence (without repeating the normal idle mode).


(e) Start the test according to 40 CFR 1065.530.


(1) Each test interval begins when operator demand is set to the first operator demand setting of each test interval of the ramped modal cycle. Each test interval ends when the time in mode is reached for the last mode in the test interval.


(2) For PM emissions (and other batch sampling), the sample period over which emissions for the test interval are averaged generally begins within 10 seconds after the operator demand is changed to start the test interval and ends within 5 seconds of the sampling time for the test mode is reached (see Table 1 to this section). You may ask to delay the start of the sample period to account for sample system residence times longer than 10 seconds.


(3) Use good engineering judgment when transitioning between test intervals.


(i) You should come as close as possible to simultaneously:


(A) Ending batch sampling of the previous test interval.


(B) Starting batch sampling of the next test interval.


(C) Changing the operator demand to the notch setting for the first mode in the next test interval.


(ii) Avoid the following:


(A) Overlapping batch sampling of the two test intervals.


(B) An unnecessarily long delay before starting the next test interval.


(iii) For example, the following sequence would generally be appropriate:


(A) End batch sampling for Interval 2 after 304 seconds in Notch 5.


(B) Switch the operator demand to Notch 6 one second later.


(C) Begin batch sampling for Interval 3 one second after switching to Notch 6.


(4) If applicable, begin the smoke test at the start of the first test interval of the applicable ramped modal cycle. Continue collecting smoke data until the completion of final test interval. You may perform smoke measurements independent of criteria pollutant measurements by rerunning the test over the duty cycle. If you choose this option, the minimum time-in-notch is 3.0 minutes for duty cycles in which only smoke is measured. Refer to § 1033.101 to determine applicability of the smoke standards and § 1033.525 for details on how to conduct a smoke test.


(5) Proceed through each test interval of the applicable ramped modal cycle in the order specified until the test is completed.


(6) If you must void a test interval, you may repeat it. To do so, begin with a warm engine operating at the notch setting for the last mode in the previous test interval. You do not need to repeat later test intervals if they were valid. (Note: You must report test results for all voided tests and test intervals.)


(7) Following the completion of the third test interval of the applicable ramped modal cycle, conduct the post-test sampling procedures specified in 40 CFR 1065.530.


(f) Calculate your cycle-weighted brake-specific emission rates as follows:


(1) For each test interval j:


(i) Calculate emission rates (Eij) for each pollutant i as the total mass emissions divided by the total time in the test interval.


(ii) Calculate average power (Pj) as the total work divided by the total time in the test interval.


(2) For each pollutant, calculate your cycle-weighted brake-specific emission rate using the following equation, where wj is the weighting factor for test interval j:



(g) The following tables define applicable ramped modal cycles for line-haul and switch locomotives:


Table 1 to § 1033.520 – Line-Haul Locomotive Ramped Modal Cycle

RMC test interval
Weighting

factor
RMC mode
Time in mode

(seconds)
Notch setting
Pre-test idleNANA600 to 900Lowest idle setting.
1
Interval 1 (Idle test)0.380A600Low Idle.
2
B600Normal Idle.
Interval Transition
Interval 20.389C1000Dynamic Brake.
3
1520Notch 1.
2520Notch 2.
3416Notch 3.
4352Notch 4.
5304Notch 5.
Interval Transition
Interval 30.2316144Notch 6.
7111Notch 7.
8600Notch 8.


1 See paragraph (d) of this section for alternate pre-test provisions.


2 Operate at normal idle for modes A and B if not equipped with multiple idle settings.


3 Operate at normal idle if not equipped with a dynamic brake.


Table 2 to § 1033.520 – Switch Locomotive Ramped Modal Cycle

RMC test interval
Weighting

factor
RMC mode
Time in mode

(seconds)
Notch setting
Pre-test idleNANA600 to 900Lowest idle setting.
1
Interval 1 (Idle test)0.598A600Low Idle.
2
B600Normal Idle.
Interval Transition
Interval 20.3771868Notch 1.
2861Notch 2.
3406Notch 3.
4252Notch 4.
5252Notch 5.
Interval Transition
Interval 30.02561080Notch 6.
7144Notch 7.
8576Notch 8.


1 See paragraph (d) of this section for alternate pre-test provisions.


2 Operate at normal idle for modes A and B if not equipped with multiple idle settings.


[81 FR 74007, Oct. 25, 2016]


§ 1033.525 Smoke testing.

This section describes the equipment and procedures for testing for smoke emissions when is required.


(a) This section specifies how to measure smoke emissions using a full-flow, open path light extinction smokemeter. A light extinction meter consists of a built-in light beam that traverses the exhaust smoke plume that issues from exhaust the duct. The light beam must be at right angles to the axis of the plume. Align the light beam to go through the plume along the hydraulic diameter (defined in 1065.1001) of the exhaust stack. Where it is difficult to align the beam to have a path length equal to the hydraulic diameter (such as a long narrow rectangular duct), you may align the beam to have a different path length and correct it to be equivalent to a path length equal to the hydraulic diameter. The light extinction meter must meet the requirements of paragraph (b) of this section and the following requirements:


(1) Use an incandescent light source with a color temperature range of 2800K to 3250K, or a light source with a spectral peak between 550 and 570 nanometers.


(2) Collimate the light beam to a nominal diameter of 3 centimeters and an angle of divergence within a 6 degree included angle.


(3) Use a photocell or photodiode light detector. If the light source is an incandescent lamp, use a detector that has a spectral response similar to the photopic curve of the human eye (a maximum response in the range of 550 to 570 nanometers, to less than four percent of that maximum response below 430 nanometers and above 680 nanometers).


(4) Attach a collimating tube to the detector with apertures equal to the beam diameter to restrict the viewing angle of the detector to within a 16 degree included angle.


(5) Amplify the detector signal corresponding to the amount of light.


(6) You may use an air curtain across the light source and detector window assemblies to minimize deposition of smoke particles on those surfaces, provided that it does not measurably affect the opacity of the plume.


(7) Minimize distance from the optical centerline to the exhaust outlet; in no case may it be more than 3.0 meters. The maximum allowable distance of unducted space upstream of the optical centerline is 0.5 meters. Center the full flow of the exhaust stream between the source and detector apertures (or windows and lenses) and on the axis of the light beam.


(8) You may use light extinction meters employing substantially identical measurement principles and producing substantially equivalent results, but which employ other electronic and optical techniques.


(b) All smokemeters must meet the following specifications:


(1) A full-scale deflection response time of 0.5 second or less.


(2) You may attenuate signal responses with frequencies higher than 10 Hz with a separate low-pass electronic filter with the following performance characteristics:


(i) Three decibel point: 10 Hz.


(ii) Insertion loss: 0.0 ±0.5 dB.


(iii) Selectivity: 12 dB down at 40 Hz minimum.


(iv) Attenuation: 27 dB down at 40 Hz minimum.


(c) Perform the smoke test by continuously recording smokemeter response over the entire locomotive test cycle in percent opacity to within one percent resolution and also simultaneously record operator demand set point (e.g., notch position). Compare the recorded opacities to the smoke standards applicable to your locomotive.


(d) You may use a partial flow sampling smokemeter if you correct for the path length of your exhaust plume. If you use a partial flow sampling meter, follow the instrument manufacturer’s installation, calibration, operation, and maintenance procedures.


§ 1033.530 Duty cycles and calculations.

This section describes how to apply the duty cycle to measured emission rates to calculate cycle-weighted average emission rates.


(a) Standard duty cycles and calculations. Tables 1 and 2 of this section show the duty cycle to use to calculate cycle-weighted average emission rates for locomotives equipped with two idle settings, eight propulsion notches, and at least one dynamic brake notch and tested using the Locomotive Test Cycle. Use the appropriate weighting factors for your locomotive application and calculate cycle-weighted average emissions as specified in 40 CFR part 1065, subpart G.


Table 1 to § 1033.530 – Standard Duty Cycle Weighting Factors for Calculating Emission Rates for Locomotives With Multiple Idle Settings

Notch setting
Test mode
Line-haul weighting factors
Line-haul weighting factors

(no dynamic brake)
Switch weighting factors
Low IdleA0.1900.1900.299
Normal IdleB0.1900.3150.299
Dynamic BrakeC0.125(
1)
0.000
Notch 110.0650.0650.124
Notch 220.0650.0650.123
Notch 330.0520.0520.058
Notch 440.0440.0440.036
Notch 550.0380.0380.036
Notch 660.0390.0390.015
Notch 770.0300.0300.002
Notch 880.1620.1620.008


1 Not applicable.


Table 2 to § 1033.530 – Standard Duty Cycle Weighting Factors for Calculating Emission Rates for Locomotives With a Single Idle Setting

Notch setting
Test mode
Line-haul
Line-haul

(no dynamic brake)
Switch
Normal IdleA0.3800.5050.598
Dynamic BrakeC0.125(
1)
0.000
Notch 110.0650.0650.124
Notch 220.0650.0650.123
Notch 330.0520.0520.058
Notch 440.0440.0440.036
Notch 550.0380.0380.036
Notch 660.0390.0390.015
Notch 770.0300.0300.002
Notch 880.1620.1620.008


1 Not applicable.


(b) Idle and dynamic brake notches. The test procedures generally require you to measure emissions at two idle settings and one dynamic brake, as follows:


(1) If your locomotive is equipped with two idle settings and one or more dynamic brake settings, measure emissions at both idle settings and the worst case dynamic brake setting, and weight the emissions as specified in the applicable table of this section. Where it is not obvious which dynamic brake setting represents worst case, do one of the following:


(i) You may measure emissions and power at each dynamic brake point and average them together.


(ii) You may measure emissions and power at the dynamic brake point with the lowest power.


(2) If your locomotive is equipped with two idle settings and is not equipped with dynamic brake, use a normal idle weighting factor of 0.315 for the line-haul cycle. If your locomotive is equipped with only one idle setting and no dynamic brake, use an idle weighting factor of 0.505 for the line-haul cycle.


(c) Nonstandard notches or no notches. If your locomotive is equipped with more or less than 8 propulsion notches, recommend an alternate test cycle based on the in-use locomotive configuration. Unless you have data demonstrating that your locomotive will be operated differently from conventional locomotives, recommend weighting factors that are consistent with the power weightings of the specified duty cycle. For example, the average load factor for your recommended cycle (cycle-weighted power divided by rated power) should be equivalent to those of conventional locomotives. We may also allow the use of the standard power levels shown in Table 3 to this section for nonstandard locomotive testing subject to our prior approval. This paragraph (c) does not allow engines to be tested without consideration of the actual notches that will be used.


Table 3 to § 1033.530 – Standard Notch Power Levels Expressed as a Percentage of Rated Power


Percent
Normal Idle0.00
Dynamic Brake0.00
Notch 14.50
Notch 211.50
Notch 323.50
Notch 435.00
Notch 548.50
Notch 664.00
Notch 785.00
Notch 8100.00

(d) Optional Ramped Modal Cycle Testing. Tables 1 and 2 of § 1033.520 show the weighting factors to use to calculate cycle-weighted average emission rates for the applicable locomotive ramped modal cycle. Use the weighting factors for the ramped modal cycle for your locomotive application and calculate cycle-weighted average emissions as specified in 40 CFR part 1065, subpart G.


(e) Automated Start-Stop. For a locomotive equipped with features that shut the engine off after prolonged periods of idle, multiply the measured idle mass emission rate over the idle portion of the applicable test cycles by a factor equal to one minus the estimated fraction reduction in idling time that will result in use from the shutdown feature. Do not apply this factor to the weighted idle power. Application of this adjustment is subject to our approval if the fraction reduction in idling time that is estimated to result from the shutdown feature is greater than 25 percent. This paragraph (e) does not apply if the locomotive is (or will be) covered by a separate certificate for idle control.


(f) Multi-engine locomotives. This paragraph (f) applies for locomotives using multiple engines where all engines are identical in all material respects. In cases where we allow engine dynamometer testing, you may test a single engine consistent with good engineering judgment, as long as you test it at the operating points at which the engines will operate when installed in the locomotive (excluding stopping and starting). Weigh the results to reflect the power demand/power-sharing of the in-use configuration for each notch setting.


(g) Representative test cycles for freshly manufactured locomotives. As specified in this paragraph (g), manufacturers may be required to use an alternate test cycle for freshly manufactured Tier 3 and later locomotives.


(1) If you determine that you are adding design features that will make the expected average in-use duty cycle for any of your freshly manufactured locomotive engine families significantly different from the otherwise applicable test cycle (including weighting factors), you must notify us and recommend an alternate test cycle that represents the expected average in-use duty cycle. You should also obtain preliminary approval before you begin collecting data to support an alternate test cycle. We will specify whether to use the default duty cycle, your recommended cycle, or a different cycle, depending on which cycle we believe best represents expected in-use operation.


(2) The provisions of this paragraph (g) apply differently for different types of locomotives, as follows:


(i) For Tier 4 and later line-haul locomotives, use the cycle required by (g)(1) of this section to show compliance with the line-haul cycle standards.


(ii) For Tier 3 and later switch locomotives, use the cycle required by (g)(1) of this section to show compliance with the switch cycle standards.


(iii) For Tier 3 line-haul locomotives, if we specify an alternate cycle, use it to show compliance with the line-haul cycle standards. If you include the locomotives in the ABT program of subpart H of this part, calculate line-haul cycle credits (positive or negative) using the alternate cycle and the line-haul cycle standards. Your locomotive is deemed to also generate an equal amount of switch cycle credits.


(3) For all locomotives certified using an alternate cycle, include a description of the cycle in the owners manual such that the locomotive can be remanufactured using the same cycle.


(4) For example, if your freshly manufactured line-haul locomotives are equipped with load control features that modify how the locomotive will operate when it is in a consist, and such features will cause the locomotives to operate differently from the otherwise applicable line-haul cycle, we may require you to certify using an alternate cycle.


(5) See paragraph (h) of this section for cycle-changing design features that also result in energy savings.


(h) Calculation adjustments for energy-saving design features. The provisions of this paragraph (h) apply for locomotives equipped with new energy-saving locomotive design features. They do not apply for features that only improve the engine’s brake-specific fuel consumption. They also do not apply for features that were commonly incorporated in locomotives before 2008. See paragraph (h)(6) of this section for provisions related to determining whether certain features are considered to have been commonly incorporated in locomotives before 2008.


(1) Manufacturers/remanufacturers choosing to adjust emissions under this paragraph (h) must do all of the following for certification:


(i) Describe the energy-saving features in your application for certification.


(ii) Describe in your installation instruction and/or maintenance instructions all steps necessary to utilize the energy-saving features.


(2) If your design feature will also affect the locomotives’ duty cycle, you must comply with the requirements of paragraph (g) of this section.


(3) Calculate the energy savings as follows:


(i) Estimate the expected mean in-use fuel consumption rate (on a BTU per ton-mile basis) with and without the energy saving design feature, consistent with the specifications of paragraph (h)(4) of this section. The energy savings is the ratio of fuel consumed from a locomotive operating with the new feature to fuel consumed from a locomotive operating without the feature under identical conditions. Include an estimate of the 80 percent confidence interval for your estimate of the mean and other statistical parameters we specify.


(ii) Your estimate must be based on in-use operating data, consistent with good engineering judgment. Where we have previously certified your design feature under this paragraph (h), we may require you to update your analysis based on all new data that are available. You must obtain approval before you begin collecting operational data for this purpose.


(iii) We may allow you to consider the effects of your design feature separately for different route types, regions, or railroads. We may require that you certify these different locomotives in different engine families and may restrict their use to the specified applications.


(iv) Design your test plan so that the operation of the locomotives with and without is as similar as possible in all material aspects (other than the design feature being evaluated). Correct all data for any relevant differences, consistent with good engineering judgment.


(v) Do not include any brake-specific energy savings in your calculated values. If it is not possible to exclude such effects from your data gathering, you must correct for these effects, consistent with good engineering judgment.


(4) Calculate adjustment factors as described in this paragraph (h)(4). If the energy savings will apply broadly, calculate and apply the adjustment on a cycle-weighted basis. Otherwise, calculate and apply the adjustment separately for each notch. To apply the adjustment, multiply the emissions (either cycle-weighted or notch-specific, as applicable) by the adjustment. Use the lower bound of the 80 percent confidence interval of the estimate of the mean as your estimated energy savings rate. We may cap your energy savings rate for this paragraph (h)(4) at 80 percent of the estimate of the mean. Calculate the emission adjustment factors as:


AF = 1.000 − (energy savings rate)

(5) We may require you to collect and report data from locomotives we allow you to certify under this paragraph (h) and to recalculate the adjustment factor for future model years based on such data.


(6) Features that are considered to have not been commonly incorporated in locomotives before 2008 include but are not limited to those identified in this paragraph (h)(6).


(i) Electronically controlled pneumatic (ECP) brakes, computerized throttle management control, and advanced hybrid technology were not commonly incorporated in locomotives before 2008. Manufacturers may claim full credit for energy savings that result from applying these features to freshly manufactured and/or remanufactured locomotives.


(ii) Distributed power systems that use radio controls to optimize operation of locomotives in the middle and rear of a train were commonly incorporated in some but not all locomotives in 2008. Manufacturers may claim credit for incorporating these features into locomotives as follows:


(A) Manufacturers may claim prorated credit for incorporating distributed power systems in freshly manufactured locomotives. Multiply the energy saving rate by 0.50 when calculating the adjustment factor:


AF = 1.000−(energy savings rate) × (0.50)

(B) Manufacturers may claim full credit for retrofitting distributed power systems in remanufactured locomotives.


[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008; 75 FR 22985, Apr. 30, 2010]


§ 1033.535 Adjusting emission levels to account for infrequently regenerating aftertreatment devices.

For locomotives using aftertreatment technology with infrequent regeneration events that may occur during testing, take one of the following approaches to account for the emission impact of regeneration:


(a) You may use the calculation methodology described in 40 CFR 1065.680 to adjust measured emission results. Do this by developing an upward adjustment factor and a downward adjustment factor for each pollutant based on measured emission data and observed regeneration frequency as follows:


(1) Adjustment factors should generally apply to an entire engine family, but you may develop separate adjustment factors for different configurations within an engine family. Use the adjustment factors from this section for all testing for the engine family.


(2) You may use carryover or carry-across data to establish adjustment factors for an engine family as described in § 1033.235, consistent with good engineering judgment.


(3) Determine the frequency of regeneration, F, as described in 40 CFR 1065.680 from in-use operating data or from running repetitive tests in a laboratory. If the engine is designed for regeneration at fixed time intervals, you may apply good engineering judgment to determine F based on those design parameters.


(4) Identify the value of F in each application for the certification for which it applies.


(5) Apply the provisions for ramped-modal testing based on measurements for each test interval rather than the whole ramped-modal test.


(b) You may ask us to approve an alternate methodology to account for regeneration events. We will generally limit approval to cases where your engines use aftertreatment technology with extremely infrequent regeneration and you are unable to apply the provisions of this section.


(c) You may choose to make no adjustments to measured emission results if you determine that regeneration does not significantly affect emission levels for an engine family (or configuration) or if it is not practical to identify when regeneration occurs. If you choose not to make adjustments under paragraph (a) or (b) of this section, your locomotives must meet emission standards for all testing, without regard to regeneration.


[81 FR 74008, Oct. 25, 2016]


Subpart G – Special Compliance Provisions

§ 1033.601 General compliance provisions.

Locomotive manufacturer/remanufacturers, as well as owners and operators of locomotives subject to the requirements of this part, and all other persons, must observe the provisions of this part, the requirements and prohibitions in 40 CFR part 1068, and the provisions of the Clean Air Act. The provisions of 40 CFR part 1068 apply for locomotives as specified in that part, except as otherwise specified in this section.


(a) Meaning of terms. When used in 40 CFR part 1068, apply meanings for specific terms as follows:


(1) “Manufacturer” means manufacturer and/or remanufacturer.


(2) “Date of manufacture” means date of original manufacture for freshly manufactured locomotives and the date on which a remanufacture is completed for remanufactured engines.


(b) Engine rebuilding. The provisions of 40 CFR 1068.120 do not apply when remanufacturing locomotives under a certificate of conformity issued under this part.


(c) Exemptions. (1) The exemption provisions of 40 CFR 1068.240 (i.e., exemptions for replacement engines) do not apply for domestic or imported locomotives. (Note: You may introduce into commerce freshly manufactured replacement engines under this part, provided the locomotives into which they are installed are covered by a certificate of conformity.)


(2) The exemption provisions of 40 CFR 1068.250 and 1068.255 (i.e., exemptions for hardship relief) do not apply for domestic or imported locomotives. See § 1033.620 for provisions related to hardship relief.


(3) The exemption provisions of 40 CFR 1068.261 (i.e., exemptions for delegated assembly) do not apply for domestic or imported locomotives, except as specified in § 1033.630.


(4) The provisions for importing engines and equipment under the identical configuration exemption of 40 CFR 1068.315(h) do not apply for locomotives.


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


(d) SEAs, defect reporting, and recall. The provisions of 40 CFR part 1068, subpart E (i.e., SEA provisions) do not apply for locomotives. Except as noted in this paragraph (d), the provisions of 40 CFR part 1068, subpart F, apply to certificate holders for locomotives as specified for manufacturers in that part.


(1) When there are multiple persons meeting the definition of manufacturer or remanufacturer, each person meeting the definition of manufacturer or remanufacturer must comply with the requirements of 40 CFR part 1068, subpart F, as needed so that the certificate holder can fulfill its obligations under those subparts.


(2) The defect investigation requirements of 40 CFR 1068.501(a)(5), (b)(1) and (b)(2) do not apply for locomotives. Instead, use good engineering judgment to investigate emission-related defects consistent with normal locomotive industry practice for investigating defects. You are not required to track parts shipments as indicators of possible defects.


(e) Introduction into commerce. The placement of a new locomotive or new locomotive engine back into service following remanufacturing is a violation of 40 CFR 1068.101(a)(1), unless it has a valid certificate of conformity for its model year and the required label.


(f) Multi-fuel locomotives. Subpart C of this part describes how to test and certify dual-fuel and flexible-fuel locomotives. Some multi-fuel locomotives may not fit either of those defined terms. For such locomotives, we will determine whether it is most appropriate to treat them as single-fuel locomotives, dual-fuel locomotives, or flexible-fuel locomotives based on the range of possible and expected fuel mixtures. For example, a locomotive might burn natural gas but initiate combustion with a pilot injection of diesel fuel. If the locomotive is designed to operate with a single fueling algorithm (i.e., fueling rates are fixed at a given engine speed and load condition), we would generally treat it as a single-fuel locomotive, In this context, the combination of diesel fuel and natural gas would be its own fuel type. If the locomotive is designed to also operate on diesel fuel alone, we would generally treat it as a dual-fuel locomotive. If the locomotive is designed to operate on varying mixtures of the two fuels, we would generally treat it as a flexible-fuel locomotive. To the extent that requirements vary for the different fuels or fuel mixtures, we may apply the more stringent requirements.


[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008; 75 FR 22986, Apr. 30, 2010; 81 FR 74009, Oct. 25, 2016; 86 FR 34376, June 29, 2021]


§ 1033.610 Small railroad provisions.

In general, the provisions of this part apply for all locomotives, including those owned by Class II and Class III railroads. This section describes how these provisions apply for railroads meeting the definition of “small railroad” in § 1033.901. (Note: The term “small railroad” excludes all Class II railroads and some Class III railroads, such as those owned by large parent companies.)


(a) Locomotives become subject to the provisions of this part when they become “new” as defined in § 1033.901. Under that definition, a locomotive is “new” when first assembled, and generally becomes “new” again when remanufactured. As an exception to this general concept, locomotives that are owned and operated by railroads meeting the definition of “small railroad” in § 1033.901 do not become “new” when remanufactured, unless they were previously certified to EPA emission standards. Certificate holders may require written confirmation from the owner/operator that the locomotive qualifies as a locomotive that is owned and operated by a small railroad. Such written confirmation to a certificate holder is deemed to also be a submission to EPA and is thus subject to the reporting requirements of 40 CFR 1068.101.


(b) The provisions of subpart I of this part apply to all owners and operators of locomotives subject to this part 1033. However, the regulations of that subpart specify some provisions that apply only for Class I freight railroads, and others that apply differently to Class I freight railroads and other railroads.


(c) We may exempt new locomotives that are owned or operated by small railroads from the prohibition against remanufacturing a locomotive without a certificate of conformity as specified in this paragraph (c). This exemption is only available in cases where no certified remanufacturing system is available for the locomotive. For example, it is possible that no remanufacturer will certify a system for very old locomotive models that comprise a tiny fraction of the fleet and that are remanufactured infrequently. We will grant the exemption in all cases in which no remanufacturing system has been certified for the applicable engine family and model year. We may also grant an exemption where we determine that a certified system is unavailable. We may consider the issue of excessive costs in determining the availability of certified systems. If we grant this exemption for a previously certified locomotive, you are required to return the locomotive to its previously certified configuration. Send your request for such exemptions to the Designated Compliance Officer.


(d) Non-Class I railroads that do not meet the definition of “small railroad” in § 1033.901 may ask that their remanufactured locomotives be excluded from the definition of “new” in § 1033.901 in cases where no certified remanufacturing system is available for the locomotive. We will grant the exemption in all cases in which no remanufacturing system has been certified for the applicable engine family and model year. If we grant this exemption for a previously certified locomotive, you are required to return the locomotive to its previously certified configuration. Send your request for such exemptions to the Designated Compliance Officer.


§ 1033.615 Voluntarily subjecting locomotives to the standards of this part.

The provisions of this section specify the cases in which an owner or manufacturer of a locomotive or similar piece of equipment can subject it to the standards and requirements of this part. Once the locomotive or equipment becomes subject to the locomotive standards and requirements of this part, it remains subject to the standards and requirements of this part for the remainder of its service life.


(a) Equipment excluded from the definition of “locomotive”. (1) Manufacturers/remanufacturers of equipment that is excluded from the definition of “locomotive” because of its total power, but would otherwise meet the definition of locomotive may ask to have it considered to be a locomotive. To do this, submit an application for certification as specified in subpart C of this part, explaining why it should be considered to be a locomotive. If we approve your request, it will be deemed to be a locomotive for the remainder of its service life.


(2) In unusual circumstances, we may deem other equipment to be locomotives (at the request of the owner or manufacturer/remanufacturer) where such equipment does not conform completely to the definition of locomotive, but is functionally equivalent to a locomotive.


(b) Locomotives excluded from the definition of “new”. Owners of remanufactured locomotives excluded from the definition of “new” in § 1033.901 under paragraph (2) of that definition may choose to upgrade their locomotives to subject their locomotives to the standards and requirements of this part by complying with the specifications of a certified remanufacturing system, including the labeling specifications of § 1033.135.


§ 1033.620 Hardship provisions for manufacturers and remanufacturers.

(a) If you qualify for the economic hardship provisions specified in 40 CFR 1068.245, we may approve a period of delayed compliance for up to one model year total.


(b) The provisions of this paragraph (b) are intended to address problems that could occur near the date on which more stringent emission standards become effective, such as the transition from the Tier 2 standards to the Tier 3 standards for line-haul locomotives on January 1, 2012.


(1) In appropriate extreme and unusual circumstances that are clearly outside the control of the manufacturer and could not have been avoided by the exercise of prudence, diligence, and due care, we may permit you, for a brief period, to introduce into commerce locomotives which do not comply with the applicable emission standards if all of the following conditions apply:


(i) You cannot reasonably manufacture the locomotives in such a manner that they would be able to comply with the applicable standards.


(ii) The manufacture of the locomotives was substantially completed prior to the applicability date of the standards from which you seek the relief. For example, you may not request relief for a locomotive that has been ordered, but for which you will not begin the assembly process prior to the applicability date of the standards. On the other hand, we would generally consider completion of the underframe weldment to be a substantial part of the manufacturing process.


(iii) Manufacture of the locomotives was previously scheduled to be completed at such a point in time that locomotives would have been included in the previous model year, such that they would have been subject to less stringent standards, and that such schedule was feasible under normal conditions.


(iv) You demonstrate that the locomotives comply with the less stringent standards that applied to the previous model year’s production described in paragraph (b)(1)(iii) of this section, as prescribed by subpart C of this part (i.e., that the locomotives are identical to locomotives certified in the previous model year).


(v) You exercised prudent planning, were not able to avoid the violation, and have taken all reasonable steps to minimize the extent of the nonconformity.


(vi) We approve your request before you introduce the locomotives into commerce.


(2) You must notify us as soon as you become aware of the extreme or unusual circumstances.


(3)(i) Include locomotives for which we grant relief under this section in the engine family for which they were originally intended to be included.


(ii) Where the locomotives are to be included in an engine family that was certified to an FEL above the applicable standard, you must reserve credits to cover the locomotives covered by this allowance and include the required information for these locomotives in the end-of-year report required by subpart H of this part.


(c) In granting relief under this section, we may also set other conditions as appropriate, such as requiring payment of fees to negate an economic gain that such relief would otherwise provide.


§ 1033.625 Special certification provisions for non-locomotive-specific engines.

You may certify freshly manufactured or remanufactured locomotives using non-locomotive-specific engines (as defined in § 1033.901) using the normal certification procedures of this part. Locomotives certified in that way are generally treated the same as other locomotives, except where specified otherwise. The provisions of this section provide for design certification to the locomotive standards in this part for locomotives using engines included in engine families certified under 40 CFR part 1039 (or part 89) in limited circumstances.


(a) Remanufactured or freshly manufactured switch locomotives powered by non-locomotive-specific engines may be certified by design without the test data required by § 1033.235 if all of the following are true:


(1) Before being installed in the locomotive, the engines were covered by a certificate of conformity issued under 40 CFR Part 1039 (or part 89) that is effective for the calendar year in which the manufacture or remanufacture occurs. You may use engines certified during the previous years if they were subject to the same standards. You may not make any modifications to the engines unless we approve them.


(2) The engines were certified to PM, NOX, and hydrocarbon standards that are numerically lower than the applicable locomotive standards of this part.


(3) More engines are reasonably projected to be sold and used under the certificate for non-locomotive use than for use in locomotives.


(4) The number of such locomotives certified under this section does not exceed 30 in any three-year period. We may waive this sales limit for locomotive models that have previously demonstrated compliance with the locomotive standards of § 1033.101 in-use.


(5) We approved the application as specified in paragraph (d) of this section.


(b) To certify your locomotives by design under this section, submit your application as specified in § 1033.205, with the following exceptions:


(1) Include the following instead of the locomotive test data otherwise required by § 1033.205:


(i) A description of the engines to be used, including the name of the engine manufacturer and engine family identifier for the engines.


(ii) A brief engineering analysis describing how the engine’s emission controls will function when installed in the locomotive throughout the locomotive’s useful life.


(iii) The emission data submitted under 40 CFR part 1039 (or part 89).


(2) You may separately submit some of the information required by § 1033.205, consistent with the provisions of § 1033.1(d). For example, this may be an appropriate way to submit detailed information about proprietary engine software. Note that this allowance to separately submit some of the information required by § 1033.205 is also available for applications not submitted under this section.


(c) Locomotives certified under this section are subject to all the requirements of this part except as specified in paragraph (b) of this section. The engines used in such locomotives are not considered to be included in the otherwise applicable engines family of 40 CFR part 1039 (or part 89).


(d) We will approve or deny the application as specified in subpart C of this part. For example, we will deny your application for certification by design under this section in any case where we have evidence that your locomotives will not conform to the requirements of this part throughout their useful lives.


[73 FR 37197, June 30, 2008, as amended at 75 FR 22986, Apr. 30, 2010; 76 FR 53780, Sept. 15, 2011]


§ 1033.630 Staged-assembly and delegated assembly exemptions.

(a) Staged assembly. You may ask us to provide a temporary exemption to allow you to complete production of your engines and locomotives at different facilities, as long as you maintain control of the engines until they are in their certified configuration. We may require you to take specific steps to ensure that such locomotives are in their certified configuration before reaching the ultimate purchaser. You may request an exemption under this paragraph (a) in your application for certification, or in a separate submission. If you include your request in your application, your exemption is approved when we grant your certificate. Note that no exemption is needed to ship an engine that has been assembled in its certified configuration, is properly labeled, and will not require an aftertreatment device to be attached when installed in the locomotive.


(b) Delegated assembly. This paragraph (b) applies where the engine manufacturer/remanufacturer does not complete assembly of the locomotives and the engine is shipped after being manufactured or remanufactured (partially or completely). The provisions of this paragraph (b) apply differently depending on who holds the certificate of conformity and the state of the engine when it is shipped. You may request an exemption under this paragraph (b) in your application for certification, or in a separate submission. If you include your request in your application, your exemption is approved when we grant your certificate. A manufacturer/remanufacturer may request an exemption under 40 CFR 1068.261 instead of under this section.


(1) In cases where an engine has been assembled in its certified configuration, properly labeled, and will not require an aftertreatment device to be attached when installed in the locomotive, no exemption is needed to ship the engine. You do not need an exemption to ship engines without specific components if they are not emission-related components identified in appendix I of 40 CFR part 1068.


(2) In cases where an engine has been properly labeled by the certificate holder and assembled in its certified configuration except that it does not yet have a required aftertreatment device, an exemption is required to ship the engine. You may ask for this exemption if you do all of the following:


(i) You note on the Engine Emission Control Information label that the locomotive must include the aftertreatment device to be covered by the certificate.


(ii) You make clear in your emission-related installation instructions that installation of the aftertreatment device is required for the locomotive to be covered by the certificate.


(3) In cases where an engine will be shipped to the certificate holder in an uncertified configuration, an exemption is required to ship the engine. You may ask for this exemption under 40 CFR 1068.262.


(c) Other exemptions. In unusual circumstances, you may ask us to provide an exemption for an assembly process that is not covered by the provisions of paragraphs (a) and (b) of this section. We will make the exemption conditional based on you complying with requirements that we determine are necessary to ensure that the locomotives are assembled in their certified configuration before being placed (back) into service.


[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008]


§ 1033.640 Provisions for repowered and refurbished locomotives.

(a) The provisions of this section apply for locomotives that are produced from an existing locomotive so that the new locomotive contains both previously used parts and parts that have never been used before.


(1) Repowered locomotives are used locomotives in which a freshly manufactured propulsion engine is installed. As described in this section, a repowered locomotive is deemed to be either remanufactured or freshly manufactured, depending on the total amount of unused parts on the locomotive. It may also be deemed to be a refurbished locomotive.


(2) Refurbished locomotives are locomotives that contain more unused parts than previously used parts. As described in this section, a locomotive containing more unused parts than previously used parts may be deemed to be either remanufactured or freshly manufactured, depending on the total amount of unused parts on the locomotive. Note that § 1033.901 defines refurbishment of a pre-1973 locomotive to be an upgrade of the locomotive.


(b) A single existing locomotive cannot be divided into parts and combined with new parts to create more than one remanufactured locomotive. However, any number of locomotives can be divided into parts and combined with new parts to create more than one remanufactured locomotive, provided the number of locomotives created (remanufactured and freshly manufactured) does not exceed the number of locomotives that were disassembled.


(c) You may determine the relative amount of previously used parts consistent with the specifications of the Federal Railroad Administration. Otherwise, determine the relative amount of previously used parts as follows:


(1) Identify the parts in the fully assembled locomotive that have been previously used and those that have never been used before.


(2) Weight the unused parts and previously used parts by the dollar value of the parts. For example, a single part valued at $1200 would count the same as six parts valued at $200 each. Group parts by system where possible (such as counting the engine as one part) if either all the parts in that system are used or all the parts in that system are unused. Calculate the used part values using dollar values from the same year as the new parts.


(3) Sum the values of the unused parts. Also sum the values of the previously used parts. The relative fraction of used parts is the total value of previously used parts divided by the combined value of the unused parts and previously used parts.


(d) If the weighted fraction of the locomotive that is comprised of previously used parts is greater than or equal to 25 percent, then the locomotive is considered to be a remanufactured locomotive and retains its original date of manufacture. Note, however, that if the weighted fraction of the locomotive that is comprised of previously used parts is less than 50 percent, then the locomotive is also considered to be a refurbished locomotive.


(e) If the weighted fraction of the locomotive that is comprised of previously used parts is less than 25 percent, then the locomotive is deemed to be a freshly manufactured locomotive and the date of original manufacture is the most recent date on which the locomotive was assembled using less than 25 percent previously used parts. For example:


(1) If you produce a new locomotive that includes a used frame, but all other parts are unused, then the locomotive would likely be considered to be a freshly manufactured locomotive because the value of the frame would likely be less than 25 percent of the total value of the locomotive. Its date of original manufacture would be the date on which you complete its assembly.


(2) If you produce a new locomotive by replacing the engine in a 1990 locomotive with a freshly manufactured engine, but all other parts are used, then the locomotive would likely be considered to be a remanufactured locomotive and its date of original manufacture is the date on which assembly was completed in 1990. (Note: such a locomotive would also be considered to be a repowered locomotive.)


(f) Locomotives containing used parts that are deemed to be freshly manufactured locomotives are subject to the same provisions as all other freshly manufactured locomotives. Other refurbished locomotives are subject to the same provisions as other remanufactured locomotives, with the following exceptions:


(1) Switch locomotives. (i) Prior to January 1, 2015, remanufactured Tier 0 switch locomotives that are deemed to be refurbished are subject to the Tier 0 line-haul cycle and switch cycle standards. Note that this differs from the requirements applicable to other Tier 0 switch locomotives, which are not subject to the Tier 0 line-haul cycle standards.


(ii) Beginning January 1, 2015, remanufactured Tier 3 and earlier switch locomotives that are deemed to be refurbished are subject to the Tier 3 switch standards.


(2) Line-haul locomotives. Remanufactured line-haul locomotives that are deemed to be refurbished are subject to the same standards as freshly manufactured line-haul locomotives, except that line-haul locomotives with rated power less than 3000 hp that are refurbished before January 1, 2015 are subject to the same standards as refurbished switch locomotives under paragraph (e)(1)(i) of this section. However, line-haul locomotives less than 3000 hp may not generate emission credits relative to the standards specified in paragraph (e)(1)(i) of this section.


(3) Labels for switch and line-haul locomotives. Remanufacturers that refurbish a locomotive must add a secondary locomotive label that includes the following:


(i) The label heading: “REFURBISHED LOCOMOTIVE EMISSION CONTROL INFORMATION.”


(ii) The statement identifying when the locomotive was refurbished and what standards it is subject to, as follows: “THIS LOCOMOTIVE WAS REFURBISHED IN [year of refurbishment] AND MUST COMPLY WITH THE TIER [applicable standard level] EACH TIME THAT IT IS REMANUFACTURED, EXCEPT AS ALLOWED BY 40 CFR 1033.750.”.


[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008; 74 FR 8425, Feb. 24, 2009; 81 FR 74009, Oct. 25, 2016]


§ 1033.645 Non-OEM component certification program.

This section describes a voluntary program that allows you to get EPA approval of components you manufacture for use during remanufacturing.


(a) Applicability. This section applies only for components that are commonly replaced during remanufacturing. It does not apply for other types of components that are replaced during a locomotive’s useful life, but not typically replaced during remanufacture. Certified components may be used for remanufacturing or other maintenance.


(1) The following components are eligible for approval under this section:


(i) Cylinder liners.


(ii) Pistons.


(iii) Piston rings.


(iv) Heads


(v) Fuel injectors.


(vi) Turbochargers


(vii) Aftercoolers and intercoolers.


(2) Catalysts and electronic controls are not eligible for approval under this section.


(3) We may determine that other types of components can be certified under this section, consistent with good engineering judgment.


(b) Approval. To obtain approval, submit your request to the Designated Compliance Officer.


(1) Include all of the following in your request:


(i) A description of the component(s) for which you are requesting approval.


(ii) A list of all engine/locomotive models and engine families for which your component would be used. You may exclude models that are not subject to our standards or will otherwise not be remanufactured under a certificate of conformity.


(iii) A copy of the maintenance instructions for engines using your component. You may reference the other certificate holder’s maintenance instructions in your instructions. For example, your instructions may specify to follow the other certificate holder’s instructions in general, but list one or more exceptions to address the specific maintenance needs of your component.


(iv) An engineering analysis (including test data in some cases) demonstrating to us that your component will not cause emissions to increase. The analysis must address both low-hour and end-of-useful life emissions. The amount of information required for this analysis is less than is required to obtain a certificate of conformity under subpart C of this part and will vary depending on the type of component being certified.


(v) The following statement signed by an authorized representative of your company: We submit this request under 40 CFR 1033.645. All the information in this report is true and accurate to the best of my knowledge. I know of the penalties for violating the Clean Air Act and the regulations. (Authorized Company Representative)


(2) If we determine that there is reasonable technical basis to believe that your component is sufficiently equivalent that it will not increase emissions, we will approve your request and you will be a certificate holder for your components with respect to actual emissions performance for all locomotives that use those components (in accordance with this section).


(c) Liability. Being a certificate holder under this section means that if in-use testing indicates that a certified locomotive using one or more of your approved components does not comply with an applicable emission standard, we will presume that you and other certificate holders are liable for the noncompliance. However, we will not hold you liable in cases where you convince us that your components did not cause the noncompliance. Conversely, we will not hold other certificate holders liable for noncompliance caused solely by your components. You are also subject to the warranty and defect reporting requirements of this part for your certified components. Other requirements of this part apply as specified in § 1033.1.


(d) In-use testing. Locomotives containing your components must be tested according to the provisions of this paragraph (d).


(1) Except as specified in paragraph (d)(5) of this section, you must test at least one locomotive if 250 locomotives use your component under this section. You must test one additional locomotive for the next additional 500 locomotives that use your component under this section. After that, we may require you to test one additional locomotive for each additional 1000 locomotives that use your component under this section. These numbers apply across model years. For example, if your component is used in 125 remanufactures per year under this section, you must test one of the first 250 locomotives, one of the next 500 locomotives, and up to one every eight years after that. Do not count locomotives that use your components but are not covered by this section.


(2) Except for the first locomotive you test for a specific component under this section, locomotives tested under this paragraph (d) must be past the half-way point of the useful life in terms of MW-hrs. For the first locomotive you test, select a locomotive that has operated between 25 and 50 percent of its useful life.


(3) Unless we approve a different schedule, you must complete testing and report the results to us within 180 days of the earliest point at which you could complete the testing based on the hours of operation accumulated by the locomotives. For example, if 250 or more locomotives use your part under this section, and the first of these to reach 25 percent of its useful life does so on March 1st of a given year, you must complete testing of one of the first 250 locomotives and report to us by August 28th of that year.


(4) Unless we approve different test procedures, you must test the locomotive according to the procedures specified in subpart F of this part.


(5) If any locomotives fail to meet all standards, we may require you to test one additional locomotive for each locomotive that fails. You may choose to accept that your part is causing an emission problem rather than continuing testing. You may also test additional locomotives at any time. We will consider failure rates, average emission levels and the existence of any defects among other factors in determining whether to pursue remedial action. We may order a recall pursuant to 40 CFR part 1068 before you complete testing additional locomotives.


(6) You may ask us to allow you to rely on testing performed by others instead of requiring you to perform testing. For example, if a railroad tests a locomotive with your component as part of its testing under § 1033.810, you may ask to submit those test data as fulfillment of your test obligations under this paragraph (d). If a given test locomotive uses different components certified under this section that were manufactured by different manufacturers (such as rings from one manufacturer and cylinder liners from another manufacturer), a single test of it may be counted towards both manufacturers’ test obligations. In unusual circumstances, you may also ask us to grant you hardship relief from the testing requirements of this paragraph (d). In determining whether to grant you relief, we will consider all relevant factors including the extent of the financial hardship to your company and whether the test data are available from other sources, such as testing performed by a railroad.


(e) Components certified under this section may be used when remanufacturing Category 2 engines under 40 CFR part 1042.


[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008; 74 FR 8425, Feb. 24, 2009]


§ 1033.650 Incidental use exemption for Canadian and Mexican locomotives.

You may ask us to exempt from the requirements and prohibitions of this part locomotives that are operated primarily outside of the United States and that enter the United States temporarily from Canada or Mexico. We will approve this exemption only where we determine that the locomotive’s operation within the United States will not be extensive and will be incidental to its primary operation. For example, we would generally exempt locomotives that will not operate more than 25 miles from the border and will operate in the United States less than 5 percent of their operating time. For existing operations, you must request this exemption before January 1, 2011. In your request, identify the locomotives for which you are requesting an exemption, and describe their projected use in the United States. We may grant the exemption broadly or limit the exemption to specific locomotives and/or specific geographic areas. However, we will typically approve exemptions for specific rail facilities rather than specific locomotives. In unusual circumstances, such as cases in which new rail facilities are created, we may approve requests submitted after January 1, 2011.


§ 1033.652 Special provisions for exported locomotives.

(a) Uncertified locomotives. Locomotives covered by an export exemption under 40 CFR 1068.230 may be introduced into U.S. commerce prior to being exported, but may not be used in any revenue generating service in the United States. Locomotives covered by this paragraph (a) may not include any EPA emission control information label. Such locomotives may include emission control information labels for the country to which they are being exported.


(b) Locomotives covered by export-only certificates. Locomotives may be certified for export under 40 CFR 1068.230. Such locomotives may be introduced into U.S. commerce prior to being exported, but may not be used in any revenue generating service in the United States.


(c) Locomotives included in a certified engine family. Except as specified in paragraph (d) of this section, locomotives included in a certified engine family may be exported without restriction. Note that § 1033.705 requires that exported locomotives be excluded from emission credit calculations in certain circumstances.


(d) Locomotives certified to FELs above the standards. The provisions of this paragraph (d) apply for locomotive configurations included in engine families certified to one or more FELs above any otherwise applicable standard. Individual locomotives that will be exported may be excluded from an engine family if they are unlabeled. For locomotives that were labeled during production, you may remove the emission control information labels prior to export. All unlabeled locomotives that will be exported are subject to the provisions of paragraph (a) of this section. Locomotives that are of a configuration included in an engine family certified to one of more FELs above any otherwise applicable standard that include an EPA emission control information label when exported are considered to be part of the engine family and must be included in credit calculations under § 1033.705. Note that this requirement does not apply for locomotives that do not have an EPA emission control information label, even if they have other labels (such as an export-only label).


[75 FR 22986, Apr. 30, 2010]


§ 1033.655 Special provisions for certain Tier 0/Tier 1 locomotives.

(a) The provisions of this section apply only for the following locomotives (and locomotives in the same engine families as these locomotives):


(1) Locomotives listed in Table 1 of this section originally manufactured 1986-1994 by General Electric Company that have never been equipped with separate loop aftercooling. The section also applies for the equivalent passenger locomotives.


Table 1 to § 1033.655

8-40CP32ACDM
8-40BP42DC
8-32B8-40BPH
8-40CWP40DC
8-40BW8-32BWH
8-40CMC39-8
8-41CWB39-8E
8-44CW

(2) SD70MAC and SD70IAC locomotives originally manufactured 1996-2000 by EMD.


(b) Any certifying remanufacturer may request relief for the locomotives covered by this section.


(c) You may ask us to allow these locomotives to exceed otherwise applicable line-haul cycle NOX standard for high ambient temperatures and/or altitude because of limitations of the cooling system. However, the NOX emissions may exceed the otherwise applicable standard only to the extent necessary. Relief is limited to the following conditions:


(1) For General Electric locomotives, you may ask for relief for ambient temperatures above 23 °C and/or barometric pressure below 97.5 kPa (28.8 in. Hg). NOX emissions may not exceed 9.5 g/bhp-hr over the line-haul cycle for any temperatures up to 105 °F and any altitude up to 7000 feet above sea level.


(2) For EMD locomotives, you may ask for relief for ambient temperatures above 30 °C and/or barometric pressure below 97.5 kPa (28.8 in. Hg). NOX emissions may not exceed 8.0 g/bhp-hr over the line-haul cycle for any temperatures up to 105 °F and any altitude up to 7000 feet above sea level.


(d) All other standards and requirements in this part apply as specified.


(e) To request this relief, submit to the Designated Compliance Officer along with your application for certification an engineering analysis showing how your emission controls operate for the following conditions:


(1) Temperatures 23-40 °C at any altitude up to 7000 feet above sea level.


(2) Altitudes 1000-7000 feet above sea level for any temperature from 15-40 °C.


Subpart H – Averaging, Banking, and Trading for Certification

§ 1033.701 General provisions.

(a) You may average, bank, and trade (ABT) emission credits for purposes of certification as described in this subpart to show compliance with the standards of this part. Participation in this program is voluntary.


(b) Section 1033.740 restricts the use of emission credits to certain averaging sets.


(c) The definitions of Subpart J of this part apply to this subpart. The following definitions also apply:


(1) Actual emission credits means emission credits you have generated that we have verified by reviewing your final report.


(2) Applicable emission standard means an emission standard that is specified in subpart B of this part. Note that for other subparts, “applicable emission standard” is defined to also include FELs.


(3) Averaging set means a set of locomotives in which emission credits may be exchanged only with other locomotives in the same averaging set.


(4) Broker means any entity that facilitates a trade of emission credits between a buyer and seller.


(5) Buyer means the entity that receives emission credits as a result of a trade.


(6) Reserved emission credits means emission credits you have generated that we have not yet verified by reviewing your final report.


(7) Seller means the entity that provides emission credits during a trade.


(8) Trade means to exchange emission credits, either as a buyer or seller.


(9) Transfer means to convey control of credits generated for an individual locomotive to the purchaser, owner, or operator of the locomotive at the time of manufacture or remanufacture; or to convey control of previously generated credits from the purchaser, owner, or operator of an individual locomotive to the manufacturer/remanufacturer at the time of manufacture/remanufacture.


(d) You may not use emission credits generated under this subpart to offset any emissions that exceed an FEL or standard. This applies for all testing, including certification testing, in-use testing, selective enforcement audits, and other production-line testing. However, if emissions from a locomotive exceed an FEL or standard (for example, during a selective enforcement audit), you may use emission credits to recertify the engine family with a higher FEL that applies only to future production.


(e) Engine families that use emission credits for one or more pollutants may not generate positive emission credits for another pollutant.


(f) Emission credits may be used in the model year they are generated or in future model years. Emission credits may not be used for past model years.


(g) You may increase or decrease an FEL during the model year by amending your application for certification under § 1033.225. The new FEL may apply only to locomotives you have not already introduced into commerce. Each locomotive’s emission control information label must include the applicable FELs. You must conduct production line testing to verify that the emission levels are achieved.


(h) Credits may be generated by any certifying manufacturer/remanufacturer and may be held by any of the following entities:


(1) Locomotive or engine manufacturers.


(2) Locomotive or engine remanufacturers.


(3) Locomotive owners.


(4) Locomotive operators.


(5) Other entities after notification to EPA.


(i) All locomotives that are certified to an FEL that is different from the emission standard that would otherwise apply to the locomotives are required to comply with that FEL for the remainder of their service lives, except as allowed by § 1033.750.


(1) Manufacturers must notify the purchaser of any locomotive that is certified to an FEL that is different from the emission standard that would otherwise apply that the locomotive is required to comply with that FEL for the remainder of its service life.


(2) Remanufacturers must notify the owner of any locomotive or locomotive engine that is certified to an FEL that is different from the emission standard that would otherwise apply that the locomotive (or the locomotive in which the engine is used) is required to comply with that FEL for the remainder of its service life.


(j) The FEL to which the locomotive is certified must be included on the locomotive label required in § 1033.135. This label must include the notification specified in paragraph (i) of this section.


(k) You may use either of the following approaches to retire or forego emission credits:


(1) You may retire emission credits generated from any number of your locomotives. This may be considered donating emission credits to the environment. Identify any such credits in the reports described in § 1033.730. Locomotives must comply with the applicable FELs even if you donate or sell the corresponding emission credits under this paragraph (k). Those credits may no longer be used by anyone to demonstrate compliance with any EPA emission standards.


(2) You may certify a family using an FEL below the emission standard as described in this part and choose not to generate emission credits for that family. If you do this, you do not need to calculate emission credits for those families and you do not need to submit or keep the associated records described in this subpart for that family.


[73 FR 37197, June 30, 2008, as amended at 81 FR 74009, Oct. 25, 2016; 86 FR 34376, June 29, 2021]


§ 1033.705 Calculating emission credits.

The provisions of this section apply separately for calculating emission credits for NOX or PM.


(a) Calculate positive emission credits for an engine family that has an FEL below the otherwise applicable emission standard. Calculate negative emission credits for an engine family that has an FEL above the otherwise applicable emission standard. Do not round until the end of year report.


(b) For each participating engine family, calculate positive or negative emission credits relative to the otherwise applicable emission standard. For the end of year report, round the sum of emission credits to the nearest one hundredth of a megagram (0.01 Mg). Round your end of year emission credit balance to the nearest megagram (Mg). Use consistent units throughout the calculation. When useful life is expressed in terms of megawatt-hrs, calculate credits for each engine family from the following equation:


Emission credits = (Std−FEL) × (1.341) × (UL) × (Production) × (Fp) × (10−3 kW-Mg/MW-g).


Where:

Std = the applicable NOX or PM emission standard in g/bhp-hr (except that Std = previous FEL in g/bhp-hr for locomotives that were certified under this part to an FEL other than the standard during the previous useful life).

FEL = the family emission limit for the engine family in g/bhp-hr.

UL = the sales-weighted average useful life in megawatt-hours (or the subset of the engine family for which credits are being calculated), as specified in the application for certification.

Production = the number of locomotives participating in the averaging, banking, and trading program within the given engine family during the calendar year (or the number of locomotives in the subset of the engine family for which credits are being calculated). Quarterly production projections are used for initial certification. Actual applicable production/sales volumes are used for end-of-year compliance determination.

Fp = the proration factor as determined in paragraph (d) of this section.

(c) When useful life is expressed in terms of miles, calculate the useful life in terms of megawatt-hours (UL) by dividing the useful life in miles by 100,000, and multiplying by the sales-weighted average rated power of the engine family. For example, if your useful life is 800,000 miles for a family with an average rated power of 3,500 hp, then your equivalent MW-hr useful life would be 28,000 MW-hrs. Credits are calculated using this UL value in the equations of paragraph (b) of this section.


(d) The proration factor is an estimate of the fraction of a locomotive’s service life that remains as a function of age. The proration factor is 1.00 for freshly manufactured locomotives.


(1) The locomotive’s age is the length of time in years from the date of original manufacture to the date at which the remanufacture (for which credits are being calculated) is completed, rounded to the next higher year.


(2) The proration factors for line-haul locomotives ages 1 through 20 are specified in Table 1 to this section. For line-haul locomotives more than 20 years old, use the proration factor for 20 year old locomotives. The proration factors for switch locomotives ages 1 through 40 are specified in Table 2 to this section. For switch locomotives more than 40 years old, use the proration factor for 40 year old locomotives.


(3) For repower engines, the proration factor is based on the age of the locomotive chassis, not the age of the engine, except for remanufactured locomotives that qualify as refurbished. The minimum proration factor for remanufactured locomotives that meet the definition of refurbished but not freshly manufactured is 0.60. (Note: The proration factor is 1.00 for all locomotives that meet the definition of freshly manufactured.)


Table 1 to § 1033.705 – Proration Factors for Line-Haul Locomotives

Locomotive age (years)
Proration

factor (Fp)
10.96
20.92
30.88
40.84
50.81
60.77
70.73
80.69
90.65
100.61
110.57
120.54
130.50
140.47
150.43
160.40
170.36
180.33
190.30
200.27

Table 2 to § 1033.705 – Proration Factors for Switch Locomotives

Locomotive age (years)
Proration

factor (Fp)
10.98
20.96
30.94
40.92
50.90
60.88
70.86
80.84
90.82
100.80
110.78
120.76
130.74
140.72
150.70
160.68
170.66
180.64
190.62
200.60
210.58
220.56
230.54
240.52
250.50
260.48
270.46
280.44
290.42
300.40
310.38
320.36
330.34
340.32
350.30
360.28
370.26
380.24
390.22
400.20

(e) In your application for certification, base your showing of compliance on projected production volumes for locomotives that will be placed into service in the United States. As described in § 1033.730, compliance with the requirements of this subpart is determined at the end of the model year based on actual production volumes for locomotives that will be placed into service in the United States. Do not include any of the following locomotives to calculate emission credits:


(1) Locomotives permanently exempted under subpart G of this part or under 40 CFR part 1068.


(2) Exported locomotives. You may ask to include locomotives sold to Mexican or Canadian railroads if they will likely operate within the United States and you include all such locomotives (both credit using and credit generating locomotives).


(3) Locomotives not subject to the requirements of this part, such as those excluded under § 1033.5.


(4) Any other locomotives, where we indicate elsewhere in this part 1033 that they are not to be included in the calculations of this subpart.


[73 FR 37197, June 30, 2008, as amended at 75 FR 22987, Apr. 30, 2010]


§ 1033.710 Averaging emission credits.

(a) Averaging is the exchange of emission credits among your engine families. You may average emission credits only as allowed by § 1033.740.


(b) You may certify one or more engine families to an FEL above the applicable emission standard, subject to the FEL caps and other provisions in subpart B of this part, if you show in your application for certification that your projected balance of all emission-credit transactions in that model year is greater than or equal to zero.


(c) If you certify an engine family to an FEL that exceeds the otherwise applicable emission standard, you must obtain enough emission credits to offset the engine family’s deficit by the due date for the final report required in § 1033.730. The emission credits used to address the deficit may come from your other engine families that generate emission credits in the same model year, from emission credits you have banked from previous model years, or from emission credits generated in the same or previous model years that you obtained through trading or by transfer.


[73 FR 37197, June 30, 2008, as amended at 81 FR 74009, Oct. 25, 2016]


§ 1033.715 Banking emission credits.

(a) Banking is the retention of emission credits by the manufacturer/remanufacturer generating the emission credits (or owner/operator, in the case of transferred credits) for use in future model years for averaging, trading, or transferring. You may use banked emission credits only as allowed by § 1033.740.


(b) You may designate any emission credits you plan to bank in the reports you submit under § 1033.730 as reserved credits. During the model year and before the due date for the final report, you may designate your reserved emission credits for averaging, trading, or transferring.


(c) Reserved credits become actual emission credits when you submit your final report. However, we may revoke these emission credits if we are unable to verify them after reviewing your reports or auditing your records.


[75 FR 22987, Apr. 30, 2010]


§ 1033.720 Trading emission credits.

(a) Trading is the exchange of emission credits between certificate holders. You may use traded emission credits for averaging, banking, or further trading transactions. Traded emission credits may be used only as allowed by § 1033.740.


(b) You may trade actual emission credits as described in this subpart. You may also trade reserved emission credits, but we may revoke these emission credits based on our review of your records or reports or those of the company with which you traded emission credits.


(c) If a negative emission credit balance results from a transaction, both the buyer and seller are liable, except in cases we deem to involve fraud. See § 1033.255(e) for cases involving fraud. We may void the certificates of all engine families participating in a trade that results in a manufacturer/remanufacturer having a negative balance of emission credits. See § 1033.745.


§ 1033.722 Transferring emission credits.

(a) Credit transfer is the conveying of control over credits, either:


(1) From a certifying manufacturer/remanufacturer to an owner/operator.


(2) From an owner/operator to a certifying manufacturer/remanufacturer.


(b) Transferred credits can be:


(1) Used by a certifying manufacturer/remanufacturer in averaging.


(2) Transferred again within the model year.


(3) Reserved for later banking. Transferred credits may not be traded unless they have been previously banked.


(c) Owners/operators participating in credit transfers must submit the reports specified in § 1033.730.


§ 1033.725 Requirements for your application for certification.

(a) You must declare in your application for certification your intent to use the provisions of this subpart for each engine family that will be certified using the ABT program. You must also declare the FELs you select for the engine family for each pollutant for which you are using the ABT program. Your FELs must comply with the specifications of subpart B of this part, including the FEL caps. FELs must be expressed to the same number of decimal places as the applicable emission standards.


(b) Include the following in your application for certification:


(1) A statement that, to the best of your belief, you will not have a negative balance of emission credits for any averaging set when all emission credits are calculated at the end of the year.


(2) Detailed calculations of projected emission credits (positive or negative) based on projected production volumes. We may require you to include similar calculations from your other engine families to demonstrate that you will be able to avoid negative credit balances for the model year. If you project negative emission credits for a family, state the source of positive emission credits you expect to use to offset the negative emission credits.


[73 FR 37197, June 30, 2008, as amended at 75 FR 22987, Apr. 30, 2010; 81 FR 74009, Oct. 25, 2016]


§ 1033.730 ABT reports.

(a) If any of your engine families are certified using the ABT provisions of this subpart, you must send an end-of-year report within 90 days after the end of the model year and a final report within 270 days after the end of the model year. We may waive the requirement to send the end-of year report, as long as you send the final report on time.


(b) Your end-of-year and final reports must include the following information for each engine family participating in the ABT program:


(1) Engine family designation and averaging sets (whether switch, line-haul, or both).


(2) The emission standards that would otherwise apply to the engine family.


(3) The FEL for each pollutant. If you change the FEL after the start of production, identify the date that you started using the new FEL and/or give the engine identification number for the first engine covered by the new FEL. In this case, identify each applicable FEL and calculate the positive or negative emission credits as specified in § 1033.225.


(4) The projected and actual U.S.-directed production volumes for the model year as described in § 1033.705. If you changed an FEL during the model year, identify the actual U.S.-directed production volume associated with each FEL.


(5) Rated power for each locomotive configuration, and the average locomotive power weighted by U.S.-directed production volumes for the engine family.


(6) Useful life.


(7) Calculated positive or negative emission credits for the whole engine family. Identify any emission credits that you traded or transferred, as described in paragraph (d)(1) or (e) of this section.


(c) Your end-of-year and final reports must include the following additional information:


(1) Show that your net balance of emission credits from all your engine families in each averaging set in the applicable model year is not negative.


(2) State whether you will retain any emission credits for banking. If you choose to retire emission credits that would otherwise be eligible for banking, identify the engine families that generated the emission credits, including the number of emission credits from each family.


(3) State that the report’s contents are accurate.


(d) If you trade emission credits, you must send us a report within 90 days after the transaction, as follows:


(1) As the seller, you must include the following information in your report:


(i) The corporate names of the buyer and any brokers.


(ii) A copy of any contracts related to the trade.


(iii) The averaging set corresponding to the engine families that generated emission credits for the trade, including the number of emission credits from each averaging set.


(2) As the buyer, you must include the following information in your report:


(i) The corporate names of the seller and any brokers.


(ii) A copy of any contracts related to the trade.


(iii) How you intend to use the emission credits, including the number of emission credits you intend to apply for each averaging set.


(e) If you transfer emission credits, you must send us a report within 90 days after the first transfer to an owner/operator, as follows:


(1) Include the following information:


(i) The corporate names of the owner/operator receiving the credits.


(ii) A copy of any contracts related to the trade.


(iii) The serial numbers and engine families for the locomotive that generated the transferred emission credits and the number of emission credits from each family.


(2) The requirements of this paragraph (e) apply separately for each owner/operator.


(3) We may require you to submit additional 90-day reports under this paragraph (e).


(f) Send your reports electronically to the Designated Compliance Officer using an approved information format. If you want to use a different format, send us a written request with justification for a waiver.


(g) Correct errors in your end-of-year report or final report as follows:


(1) You may correct any errors in your end-of-year report when you prepare the final report, as long as you send us the final report by the time it is due.


(2) If you or we determine within 270 days after the end of the model year that errors mistakenly decreased your balance of emission credits, you may correct the errors and recalculate the balance of emission credits. You may not make these corrections for errors that are determined more than 270 days after the end of the model year. If you report a negative balance of emission credits, we may disallow corrections under this paragraph (g)(2).


(3) If you or we determine anytime that errors mistakenly increased your balance of emission credits, you must correct the errors and recalculate the balance of emission credits.


(h) We may modify these requirements for owners/operators required to submit reports because of their involvement in credit transferring.


[73 FR 37197, June 30, 2008, as amended at 75 FR 22987, Apr. 30, 2010; 81 FR 74009, Oct. 25, 2016]


§ 1033.735 Required records.

(a) You must organize and maintain your records as described in this section.


(b) Keep the records required by this section for at least eight years after the due date for the end-of-year report. You may not use emission credits for any engines if you do not keep all the records required under this section. You must therefore keep these records to continue to bank valid credits.


(c) Keep a copy of the reports we require in § 1033.730.


(d) Keep records of the engine identification number for each locomotive you produce that generates or uses emission credits under the ABT program. If you change the FEL after the start of production, identify the date you started using each FEL and the range of engine identification numbers associated with each FEL. You must also be able to identify the purchaser and destination for each engine you produce.


(e) We may require you to keep additional records or to send us relevant information not required by this section in accordance with the Clean Air Act.


[73 FR 37197, June 30, 2008, as amended at 75 FR 22987, Apr. 30, 2010; 81 FR 74009, Oct. 25, 2016]


§ 1033.740 Credit restrictions.

Use of emission credits generated under this part is restricted depending on the standards against which they were generated.


(a) Pre-2008 credits. NOX and PM credits generated before model year 2008 may be used under this part in the same manner as NOX and PM credits generated under this part.


(b) General cycle restriction. Locomotives subject to both switch cycle standards and line-haul cycle standards (such as Tier 2 locomotives) may generate both switch and line-haul credits. Except as specified in paragraph (c) of this section, such credits may only be used to show compliance with standards for the same cycle for which they were generated. For example, a Tier 2 locomotive that is certified to a switch cycle NOX FEL below the applicable switch cycle standard and a line-haul cycle NOX FEL below the applicable line-haul cycle standard may generate switch cycle NOX credits for use in complying with switch cycle NOX standards and a line-haul cycle NOX credits for use in complying with line-haul cycle NOX standards.


(c) Single cycle locomotives. As specified in § 1033.101, Tier 0 switch locomotives, Tier 3 and later switch locomotives, and Tier 4 and later line-haul locomotives are not subject to both switch cycle and line-haul cycle standards.


(1) When using credits generated by locomotives covered by paragraph (b) of this section for single cycle locomotives covered by this paragraph (c), you must use both switch and line-haul credits as described in this paragraph (c)(1).


(i) For locomotives subject only to switch cycle standards, calculate the negative switch credits for the credit using locomotive as specified in § 1033.705. Such locomotives also generate an equal number of negative line-haul cycle credits (in Mg).


(ii) For locomotives subject only to line-haul cycle standards, calculate the negative line-haul credits for the credit using locomotive as specified in § 1033.705. Such locomotives also generate an equal number of negative switch cycle credits (in Mg).


(2) Credits generated by Tier 0, Tier 3, or Tier 4 switch locomotives may be used to show compliance with any switch cycle or line-haul cycle standards.


(3) Credits generated by any line-haul locomotives may not be used by Tier 3 or later switch locomotives.


(d) Tier 4 credit use. The number of Tier 4 locomotives that can be certified using credits in any year may not exceed 50 percent of the total number of Tier 4 locomotives you produce in that year for U.S. sales.


(e) Other restrictions. Other sections of this part may specify additional restrictions for using emission credits under certain special provisions.


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


§ 1033.745 Compliance with the provisions of this subpart.

The provisions of this section apply to certificate holders.


(a) For each engine family participating in the ABT program, the certificate of conformity is conditional upon full compliance with the provisions of this subpart during and after the model year. You are responsible to establish to our satisfaction that you fully comply with applicable requirements. We may void the certificate of conformity for an engine family if you fail to comply with any provisions of this subpart.


(b) You may certify your engine family to an FEL above an applicable emission standard based on a projection that you will have enough emission credits to offset the deficit for the engine family. However, we may void the certificate of conformity if you cannot show in your final report that you have enough actual emission credits to offset a deficit for any pollutant in an engine family.


(c) We may void the certificate of conformity for an engine family if you fail to keep records, send reports, or give us information we request.


(d) You may ask for a hearing if we void your certificate under this section (see § 1033.920).


§ 1033.750 Changing a locomotive’s FEL at remanufacture.

Locomotives are generally required to be certified to the previously applicable emission standard or FEL when remanufactured. This section describes provisions that allow a remanufactured locomotive to be certified to a different FEL (higher or lower).


(a) A remanufacturer may choose to certify a remanufacturing system to change the FEL of a locomotive from a previously applicable FEL or standard. Any locomotives remanufactured using that system are required to comply with the revised FEL for the remainder of their service lives, unless it is changed again under this section during a later remanufacture. Remanufacturers changing an FEL must notify the owner of the locomotive that it is required to comply with that FEL for the remainder of its service life.


(b) Calculate the credits needed or generated as specified in § 1033.705, except as specified in this paragraph. If the locomotive was previously certified to an FEL for the pollutant, use the previously applicable FEL as the standard.


Subpart I – Requirements for Owners and Operators

§ 1033.801 Applicability.

The requirements of this subpart are applicable to railroads and all other owners and operators of locomotives subject to the provisions of this part, except as otherwise specified. The prohibitions related to maintenance in § 1033.815 also applies to anyone performing maintenance on a locomotive subject to the provisions of this part.


§ 1033.805 Remanufacturing requirements.

(a) See the definition of “remanufacture” in § 1033.901 to determine if you are remanufacturing your locomotive or engine. (Note: Replacing power assemblies one at a time may qualify as remanufacturing, depending on the interval between replacement.)


(b) See the definition of “new” in § 1033.901 to determine if remanufacturing your locomotive makes it subject to the requirements of this part. If the locomotive is considered to be new, it is subject to the certification requirements of this part, unless it is exempt under subpart G of this part. The standards to which your locomotive is subject will depend on factors such as the following:


(1) Its date of original manufacture.


(2) The FEL to which it was previously certified, which is listed on the “Locomotive Emission Control Information” label.


(3) Its power rating (whether it is above or below 2300 hp).


(4) The calendar year in which it is being remanufactured.


(c) You may comply with the certification requirements of this part for your remanufactured locomotive by either obtaining your own certificate of conformity as specified in subpart C of this part or by having a certifying remanufacturer include your locomotive under its certificate of conformity. In either case, your remanufactured locomotive must be covered by a certificate before it is reintroduced into service.


(d) If you do not obtain your own certificate of conformity from EPA, contact a certifying remanufacturer to have your locomotive included under its certificate of conformity. Confirm with the certificate holder that your locomotive’s model, date of original manufacture, previous FEL, and power rating allow it to be covered by the certificate. You must do all of the following:


(1) Comply with the certificate holder’s emission-related installation instructions, which should include the following:


(i) A description of how to assemble and adjust the locomotive so that it will operate according to design specifications in the certificate. See paragraph (e) of this section for requirements related to the parts you must use.


(ii) Instructions to remove the Engine Emission Control Information label and replace it with the certificate holder’s new label.



Note:

In most cases, you must not remove the Locomotive Emission Control Information label.


(2) Provide to the certificate holder the information it identifies as necessary to comply with the requirements of this part. For example, the certificate holder may require you to provide the information specified by § 1033.735.


(e) For parts unrelated to emissions and emission-related parts not addressed by the certificate holder in the emission-related installation instructions, you may use parts from any source. For emission-related parts listed by the certificate holder in the emission-related installation instructions, you must either use the specified parts or parts certified under § 1033.645 for remanufacturing. If you believe that the certificate holder has included as emission-related parts, parts that are actually unrelated to emissions, you may ask us to exclude such parts from the emission-related installation instructions.



Note:

This paragraph (e) does not apply with respect to parts for maintenance other than remanufacturing; see § 1033.815 for provisions related to general maintenance.


(f) Failure to comply with this section is a violation of 40 CFR 1068.101(a)(1).


§ 1033.810 In-use testing program.

(a) Applicability. This section applies to all Class I freight railroads. It does not apply to other owner/operators.


(b) Testing requirements. Annually test a sample of locomotives in your fleet. For purposes of this section, your fleet includes both the locomotives that you own and the locomotives that you are leasing. Use the test procedures in subpart F of this part, unless we approve different procedures.


(1) Except for the cases described in paragraph (b)(2) of this section, test at least 0.075 percent of the average number of locomotives in your fleet during the previous calendar year (i.e., determine the number to be tested by multiplying the number of locomotives in the fleet by 0.00075 and rounding up to the next whole number).


(2) We may allow you to test a smaller number of locomotives if we determine that the number of tests otherwise required by this section is not necessary.


(c) Test locomotive selection. Unless we specify a different option, select test locomotives as specified in paragraph (c)(1) of this section (Option 1). In no case may you exclude locomotives because of visible smoke, a history of durability problems, or other evidence of malmaintenance. You may test more locomotives than this section requires.


(1) Option 1. To the extent possible, select locomotives from each manufacturer and remanufacturer, and from each tier level (e.g., Tier 0, Tier 1 and Tier 2) in proportion to their numbers in the your fleet. Exclude locomotives tested during the previous year. If possible, select locomotives that have been operated for at least 100 percent of their useful lives. Where there are multiple locomotives meeting the requirements of this paragraph (c)(1), randomly select the locomotives to be tested from among those locomotives. If the number of certified locomotives that have been operated for at least 100 percent of their useful lives is not large enough to fulfill the testing requirement, test locomotives still within their useful lives as follows:


(i) Test locomotives in your fleet that are nearest to the end of their useful lives. You may identify such locomotives as a range of values representing the fraction of the useful life already used up for the locomotives.


(ii) For example, you may determine that 20 percent of your fleet has been operated for at least 75 percent of their useful lives. In such a case, select locomotives for testing that have been operated for at least 75 percent of their useful lives.


(2) Option 2. If you hold a certificate for some of your locomotives, you may ask us to allow you to select up to two locomotives as specified in subpart E of this part, and count those locomotives toward both your testing obligations of that subpart and this section.


(3) Option 3. You may ask us to allow you to test locomotives that use parts covered under § 1033.645. If we do, it does not change the number of locomotives that you must test.


(4) Option 4. We may require that you test specific locomotives, including locomotives that do not meet the criteria specified in any of the options in this section. If we do, we will specify which locomotives to test by January 1 of the calendar year for which testing is required.


(d) Reporting requirements. Report all testing done in compliance with the provisions of this section to us within 45 calendar days after the end of each calendar year. At a minimum, include the following:


(1) Your full corporate name and address.


(2) For each locomotive tested, all the following:


(i) Corporate name of the manufacturer and last remanufacturer(s) of the locomotive (including both certificate holder and installer, where different), and the corporate name of the manufacturer or last remanufacturer(s) of the engine if different than that of the manufacturer/remanufacturer(s) of the locomotive.


(ii) Year (and month if known) of original manufacture of the locomotive and the engine, and the manufacturer’s model designation of the locomotive and manufacturer’s model designation of the engine, and the locomotive identification number.


(iii) Year (and month if known) that the engine last underwent remanufacture, the engine remanufacturer’s designation that reflects (or most closely reflects) the engine after the last remanufacture, and the engine family identification.


(iv) The number of MW-hrs and miles (where available) the locomotive has been operated since its last remanufacture.


(v) The emission test results for all measured pollutants.


(e) You do not have to submit a report for any year in which you performed no emission testing under this section.


(f) You may ask us to allow you to submit equivalent emission data collected for other purposes instead of some or all of the test data required by this section. If we allow it in advance, you may report emission data collected using other testing or sampling procedures instead of some or all of the data specified by this section.


(g) Submit all reports to the Designated Compliance Officer.


(h) Failure to comply fully with this section is a violation of 40 CFR 1068.101(a)(2).


[73 FR 37197, June 30, 2008, as amended at 73 FR 59191, Oct. 8, 2008]


§ 1033.815 Maintenance, operation, and repair.

All persons who own, operate, or maintain locomotives are subject to this section, except where we specify that a requirement applies to the owner.


(a) Unless we allow otherwise, all owners of locomotives subject to the provisions of this part must ensure that all emission-related maintenance is performed on the locomotives, as specified in the maintenance instructions provided by the certifying manufacturer/remanufacturer in compliance with § 1033.125 (or maintenance that is equivalent to the maintenance specified by the certifying manufacturer/remanufacturer in terms of maintaining emissions performance).


(b) Perform unscheduled maintenance in a timely manner. This includes malfunctions identified through the locomotive’s emission control diagnostics system and malfunctions discovered in components of the diagnostics system itself. For most repairs, this paragraph (b) requires that the maintenance be performed no later than the locomotive’s next periodic (92-day or 184-day) inspection. See paragraph (e) of this section, for reductant replenishment requirements in a locomotive equipped with an SCR system.


(c) Use good engineering judgment when performing maintenance of locomotives subject to the provisions of this part. You must perform all maintenance and repair such that you have a reasonable technical basis for believing the locomotive will continue (after the maintenance or repair) to meet the applicable emission standards and FELs to which it was certified.


(d) The owner of the locomotive must keep records of all maintenance and repairs that could reasonably affect the emission performance of any locomotive subject to the provisions of this part. Keep these records for eight years.


(e) For locomotives equipped with emission controls requiring the use of specific fuels, lubricants, or other fluids, proper maintenance includes complying with the manufacturer/remanufacturer’s specifications for such fluids when operating the locomotives. This requirement applies without regard to whether misfueling permanently disables the emission controls. For locomotives certified on ultra-low sulfur diesel fuel, but that do not include sulfur-sensitive emission controls, you may use low-sulfur diesel fuel instead of ultra-low sulfur diesel fuel, consistent with good engineering judgment. The following additional provisions apply for locomotives equipped with SCR systems requiring the use of urea or other reductants:


(1) You must plan appropriately to ensure that reductant will be available to the locomotive during operation.


(2) If the SCR diagnostic indicates (or you otherwise determine) that either reductant supply or reductant quality in the locomotive is inadequate, you must replace the reductant as soon as practical.


(3) If you operate a locomotive without the appropriate urea or other reductant, you must report such operation to us within 30 days. Note that such operation violates the requirement of this paragraph (e); however, we may consider mitigating factors (such as how long the locomotive was operated without the appropriate urea or other reductant) in determining whether to assess penalties for such violations.


(f) Failure to fully comply with this section is a violation of 40 CFR 1068.101(b).


[73 FR 37197, June 30, 2008, as amended at 81 FR 74010, Oct. 25, 2016]


§ 1033.820 In-use locomotives.

(a) We may require you to supply in-use locomotives to us for testing. We will specify a reasonable time and place at which you must supply the locomotives and a reasonable period during which we will keep them for testing. We will make reasonable allowances for you to schedule the supply of locomotives to minimize disruption of your operations. The number of locomotives that you must supply is limited as follows:


(1) We will not require a Class I railroad to supply more than five locomotives per railroad per calendar year.


(2) We will not require a non-Class I railroad (or other entity subject to the provisions of this subpart) to supply more than two locomotives per railroad per calendar year. We will request locomotives under this paragraph (a)(2) only for purposes that cannot be accomplished using locomotives supplied under paragraph (a)(1) of this section.


(b) You must make reasonable efforts to supply manufacturers/remanufacturers with the test locomotives needed to fulfill the in-use testing requirements in subpart E of this part.


(c) Failure to fully comply with this section is a violation of 40 CFR 1068.101(a)(2).


§ 1033.825 Refueling requirements.

(a) If your locomotive operates using a volatile fuel, your refueling equipment must be designed and used to minimize the escape of fuel vapors. This means you may not use refueling equipment in a way that renders any refueling emission controls inoperative or reduces their effectiveness.


(b) If your locomotive operates using a gaseous fuel, the hoses used to refuel it may not be designed to be bled or vented to the atmosphere under normal operating conditions.


(c) Failing to fully comply with the requirements of this section is a violation of 40 CFR 1068.101(b).


Subpart J – Definitions and Other Reference Information

§ 1033.901 Definitions.

The following definitions apply to this part. The definitions apply to all subparts unless we note otherwise. All undefined terms have the meaning the Clean Air Act gives to them. The definitions follow:


Adjustable parameter means any device, system, or element of design that someone can adjust (including those which are difficult to access) and that, if adjusted, may affect emissions or locomotive performance during emission testing or normal in-use operation. This includes, but is not limited to, parameters related to injection timing and fueling rate. You may ask us to exclude a parameter if you show us that it will not be adjusted in a way that affects emissions during in-use operation.


Aftertreatment means relating to a catalytic converter, particulate filter, or any other system, component, or technology mounted downstream of the exhaust valve (or exhaust port) whose design function is to reduce emissions in the locomotive exhaust before it is exhausted to the environment. Exhaust-gas recirculation (EGR) is not aftertreatment.


Alcohol fuel means a fuel consisting primarily (more than 50 percent by weight) of one or more alcohols: e.g., methyl alcohol, ethyl alcohol.


Alcohol-fueled locomotive means a locomotive with an engine that is designed to run using an alcohol fuel. For purposes of this definition, alcohol fuels do not include fuels with a nominal alcohol content below 25 percent by volume.


Alternator/generator efficiency means the ratio of the electrical power output from the alternator/generator to the mechanical power input to the alternator/generator at the operating point. Note that the alternator/generator efficiency may be different at different operating points. For example, the Institute of Electrical and Electronic Engineers Standard 115 (“Test Procedures for Synchronous Machines”) is an appropriate test procedure for determining alternator/generator efficiency. Other methods may also be used consistent with good engineering judgment.


Applicable emission standard or applicable standard means a standard to which a locomotive is subject; or, where a locomotive has been or is being certified to another standard or FEL, the FEL or other standard to which the locomotive has been or is being certified is the applicable standard. This definition does not apply to Subpart H of this part.


Auxiliary emission control device means any element of design that senses temperature, locomotive speed, engine RPM, transmission gear, or any other parameter for the purpose of activating, modulating, delaying, or deactivating the operation of any part of the emission-control system.


Auxiliary engine means a nonroad engine that provides hotel power or power during idle, but does not provide power to propel the locomotive.


Averaging means the exchange of emission credits among engine families within a given manufacturer’s, or remanufacturer’s product line.


Banking means the retention of emission credits by a credit holder for use in future calendar year averaging or trading as permitted by the regulations in this part.


Brake power means the sum of the alternator/generator input power and the mechanical accessory power, excluding any power required to circulate engine coolant, circulate engine lubricant, supply fuel to the engine, or operate aftertreatment devices.


Calibration means the set of specifications, including tolerances, specific to a particular design, version, or application of a component, or components, or assembly capable of functionally describing its operation over its working range.


Carryover means relating to certification based on emission data generated from an earlier model year as described in § 1033.235(d).


Certification means the process of obtaining a certificate of conformity for an engine family that complies with the emission standards and requirements in this part, or relating to that process.


Certified emission level means the highest deteriorated emission level in an engine family for a given pollutant from a given test cycle.


Class I freight railroad means a Class I railroad that primarily transports freight rather than passengers.


Class I railroad means a railroad that has been classified as a Class I railroad by the Surface Transportation Board.


Class II railroad means a railroad that has been classified as a Class II railroad by the Surface Transportation Board.


Class III railroad means a railroad that has been classified as a Class III railroad by the Surface Transportation Board.


Clean Air Act means the Clean Air Act, as amended, 42 U.S.C. 7401-7671q.


Configuration means a unique combination of locomotive hardware and calibration within an engine family. Locomotives within a single configuration differ only with respect to normal production variability (or factors unrelated to engine performance or emissions).


Crankcase emissions means airborne substances emitted to the atmosphere from any part of the locomotive crankcase’s ventilation or lubrication systems. The crankcase is the housing for the crankshaft and other related internal parts.


Days means calendar days, unless otherwise specified. For example, where we specify working days, we mean calendar days excluding weekends and U.S. national holidays.


Design certify or certify by design means to certify a locomotive based on inherent design characteristics rather than your test data, such as allowed under § 1033.625. All other requirements of this part apply for such locomotives.


Designated Compliance Officer means the Director, Diesel Engine Compliance Center, U.S. Environmental Protection Agency, 2000 Traverwood Drive, Ann Arbor, MI 48105; [email protected]; epa.gov/otaq/verify.


Deteriorated emission level means the emission level that results from applying the appropriate deterioration factor to the official emission result of the emission-data locomotive.


Deterioration factor means the relationship between emissions at the end of useful life and emissions at the low-hour test point, expressed in one of the following ways:


(1) For multiplicative deterioration factors, the ratio of emissions at the end of useful life to emissions at the low-hour test point.


(2) For additive deterioration factors, the difference between emissions at the end of useful life and emissions at the low-hour test point.


Discrete-mode means relating to the discrete-mode type of steady-state test described in § 1033.515.


Dual-fuel means relating to a locomotive designed for operation on two different fuels but not on a continuous mixture of those fuels (see § 1033.601(f)). For purposes of this part, such a locomotive remains a dual-fuel locomotive even if it is designed for operation on three or more different fuels.


Emission control system means any device, system, or element of design that controls or reduces the regulated emissions from a locomotive.


Emission credits represent the amount of emission reduction or exceedance, by a locomotive engine family, below or above the emission standard, respectively. Emission reductions below the standard are considered as “positive credits,” while emission exceedances above the standard are considered as “negative credits.” In addition, “projected credits” refer to emission credits based on the projected applicable production/sales volume of the engine family. “Reserved credits” are emission credits generated within a calendar year waiting to be reported to EPA at the end of the calendar year. “Actual credits” refer to emission credits based on actual applicable production/sales volume as contained in the end-of-year reports submitted to EPA.


Emission-data locomotive means a locomotive or engine that is tested for certification. This includes locomotives tested to establish deterioration factors.


Emission-related maintenance means maintenance that substantially affects emissions or is likely to substantially affect emission deterioration.


Engine family has the meaning given in § 1033.230.


Engine used in a locomotive means an engine incorporated into a locomotive or intended for incorporation into a locomotive (whether or not it is used for propelling the locomotive).


Engineering analysis means a summary of scientific and/or engineering principles and facts that support a conclusion made by a manufacturer/remanufacturer, with respect to compliance with the provisions of this part.


EPA Enforcement Officer means any officer or employee of the Environmental Protection Agency so designated in writing by the Administrator or his/her designee.


Exempted means relating to a locomotive that is not required to meet otherwise applicable standards. Exempted locomotives must conform to regulatory conditions specified for an exemption in this part 1033 or in 40 CFR part 1068. Exempted locomotives are deemed to be “subject to” the standards of this part, even though they are not required to comply with the otherwise applicable requirements. Locomotives exempted with respect to a certain tier of standards may be required to comply with an earlier tier of standards as a condition of the exemption; for example, locomotives exempted with respect to Tier 3 standards may be required to comply with Tier 2 standards.


Excluded means relating to a locomotive that either has been determined not to be a locomotive (as defined in this section) or otherwise excluded under section § 1033.5. Excluded locomotives are not subject to the standards of this part.


Exhaust emissions means substances (i.e., gases and particles) emitted to the atmosphere from any opening downstream from the exhaust port or exhaust valve of a locomotive engine.


Exhaust-gas recirculation means a technology that reduces emissions by routing exhaust gases that had been exhausted from the combustion chamber(s) back into the locomotive to be mixed with incoming air before or during combustion. The use of valve timing to increase the amount of residual exhaust gas in the combustion chamber(s) that is mixed with incoming air before or during combustion is not considered exhaust-gas recirculation for the purposes of this part.


Flexible-fuel means relating to a locomotive designed for operation on any mixture of two or more different fuels (see § 1033.601(f)).


Freshly manufactured locomotive means a new locomotive that contains fewer than 25 percent previously used parts (weighted by the dollar value of the parts) as described in § 1033.640.


Freshly manufactured engine means a new engine that has not been remanufactured. An engine becomes freshly manufactured when it is originally manufactured.


Family emission limit (FEL) means an emission level declared by the manufacturer/remanufacturer to serve in place of an otherwise applicable emission standard under the ABT program in subpart H of this part. The family emission limit must be expressed to the same number of decimal places as the emission standard it replaces. The family emission limit serves as the emission standard for the engine family with respect to all required testing.


Fuel system means all components involved in transporting, metering, and mixing the fuel from the fuel tank to the combustion chamber(s), including the fuel tank, fuel tank cap, fuel pump, fuel filters, fuel lines, carburetor or fuel-injection components, and all fuel-system vents.


Fuel type means a general category of fuels such as diesel fuel or natural gas. There can be multiple grades within a single fuel type, such as high-sulfur or low-sulfur diesel fuel.


Gaseous fuel means a fuel which is a gas at standard temperature and pressure. This includes both natural gas and liquefied petroleum gas.


Good engineering judgment means judgments made consistent with generally accepted scientific and engineering principles and all available relevant information. See 40 CFR 1068.5 for the administrative process we use to evaluate good engineering judgment.


Green Engine Factor means a factor that is applied to emission measurements from a locomotive or locomotive engine that has had little or no service accumulation. The Green Engine Factor adjusts emission measurements to be equivalent to emission measurements from a locomotive or locomotive engine that has had approximately 300 hours of use.


High-altitude means relating to an altitude greater than 4000 feet (1220 meters) and less than 7000 feet (2135 meters), or equivalent observed barometric test conditions (approximately 79 to 88 kPa).


High-sulfur diesel fuel means one of the following:


(1) For in-use fuels, high-sulfur diesel fuel means a diesel fuel with a maximum sulfur concentration greater than 500 parts per million.


(2) For testing, high-sulfur diesel fuel has the meaning given in 40 CFR part 1065.


Hotel power means the power provided by an engine on a locomotive to operate equipment on passenger cars of a train; e.g., heating and air conditioning, lights, etc.


Hydrocarbon (HC) means the hydrocarbon group (THC, NMHC, or THCE) on which the emission standards are based for each fuel type as described in § 1033.101.


Identification number means a unique specification (for example, a model number/serial number combination) that allows someone to distinguish a particular locomotive from other similar locomotives.


Idle speed means the speed, expressed as the number of revolutions of the crankshaft per unit of time (e.g., rpm), at which the engine is set to operate when not under load for purposes of propelling the locomotive. There are typically one or two idle speeds on a locomotive as follows:


(1) Normal idle speed means the idle speed for the idle throttle-notch position for locomotives that have one throttle-notch position, or the highest idle speed for locomotives that have two idle throttle-notch positions.


(2) Low idle speed means the lowest idle speed for locomotives that have two idle throttle-notch positions.


Inspect and qualify means to determine that a previously used component or system meets all applicable criteria listed for the component or system in a certificate of conformity for remanufacturing (such as to determine that the component or system is functionally equivalent to one that has not been used previously).


Installer means an individual or entity that assembles remanufactured locomotives or locomotive engines.


Line-haul locomotive means a locomotive that does not meet the definition of switch locomotive. Note that this includes both freight and passenger locomotives.


Liquefied petroleum gas means the commercial product marketed as propane or liquefied petroleum gas.


Locomotive means a self-propelled piece of on-track equipment designed for moving or propelling cars that are designed to carry freight, passengers or other equipment, but which itself is not designed or intended to carry freight, passengers (other than those operating the locomotive) or other equipment. The following other equipment are not locomotives (see 40 CFR parts 86, 89, and 1039 for this diesel-powered equipment):


(1) Equipment designed for operation both on highways and rails is not a locomotive.


(2) Specialized railroad equipment for maintenance, construction, post-accident recovery of equipment, and repairs; and other similar equipment, are not locomotives.


(3) Vehicles propelled by engines with total rated power of less than 750 kW (1006 hp) are not locomotives, unless the owner (which may be a manufacturer) chooses to have the equipment certified to meet the requirements of this part (under § 1033.615). Where equipment is certified as a locomotive pursuant to this paragraph (3), it is subject to the requirements of this part for the remainder of its service life. For locomotives propelled by two or more engines, the total rated power is the sum of the rated power of each engine.


Locomotive engine means an engine that propels a locomotive.


Low-hour means relating to a locomotive with stabilized emissions and represents the undeteriorated emission level. This would generally involve less than 300 hours of operation.


Low mileage locomotive means a locomotive during the interval between the time that normal assembly operations and adjustments are completed and the time that either 10,000 miles of locomotive operation or 300 additional operating hours have been accumulated (including emission testing if performed). Note that we may deem locomotives with additional operation to be low mileage locomotives, consistent with good engineering judgment.


Low-sulfur diesel fuel means one of the following:


(1) For in-use fuels, low-sulfur diesel fuel means a diesel fuel market as low-sulfur diesel fuel having a maximum sulfur concentration of 500 parts per million.


(2) For testing, low-sulfur diesel fuel has the meaning given in 40 CFR part 1065.


Malfunction means a condition in which the operation of a component in a locomotive or locomotive engine occurs in a manner other than that specified by the certifying manufacturer/remanufacturer (e.g., as specified in the application for certification); or the operation of the locomotive or locomotive engine in that condition.


Manufacture means the physical and engineering process of designing, constructing, and assembling a locomotive or locomotive engine.


Manufacturer has the meaning given in section 216(1) of the Clean Air Act with respect to freshly manufactured locomotives or engines. In general, this term includes any person who manufactures a locomotive or engine for sale in the United States or otherwise introduces a new locomotive or engine into commerce in the United States. This includes importers who import locomotives or engines for resale.


Manufacturer/remanufacturer means the manufacturer of a freshly manufactured locomotive or engine or the remanufacturer of a remanufactured locomotive or engine, as applicable.


Model year means a calendar year in which a locomotive is manufactured or remanufactured.


New, when relating to a locomotive or locomotive engine, has the meaning given in paragraph (1) of this definition, except as specified in paragraph (2) of this definition:


(1) A locomotive or engine is new if its equitable or legal title has never been transferred to an ultimate purchaser. Where the equitable or legal title to a locomotive or engine is not transferred prior to its being placed into service, the locomotive or engine ceases to be new when it is placed into service. A locomotive or engine also becomes new if it is remanufactured or refurbished (as defined in this section). A remanufactured locomotive or engine ceases to be new when placed back into service. With respect to imported locomotives or locomotive engines, the term “new locomotive” or “new locomotive engine” also means a locomotive or locomotive engine that is not covered by a certificate of conformity under this part or 40 CFR part 92 at the time of importation, and that was manufactured or remanufactured after January 1, 2000, which would have been applicable to such locomotive or engine had it been manufactured or remanufactured for importation into the United States. Note that replacing an engine in one locomotive with an unremanufactured used engine from a different locomotive does not make a locomotive new.


(2) The provisions of paragraph (1) of this definition do not apply for the following cases:


(i) Locomotives and engines that were originally manufactured before January 1, 1973 are not considered to become new when remanufactured unless they have been upgraded (as defined in this section). The provisions of paragraph (1) of this definition apply for locomotives that have been upgraded.


(ii) Locomotives that are owned and operated by a small railroad and that have never been certified (i.e., manufactured or remanufactured into a certified configuration) are not considered to become new when remanufactured. The provisions of paragraph (1) of this definition apply for locomotives that have previously been remanufactured into a certified configuration.


(iii) Locomotives originally certified under § 1033.150(e) do not become new when remanufactured, except as specified in § 1033.615.


(iv) Locomotives that operate only on non-standard gauge rails do not become new when remanufactured if no certified remanufacturing system is available for them.


Nonconforming means relating to a locomotive that is not covered by a certificate of conformity prior to importation or being offered for importation (or for which such coverage has not been adequately demonstrated to EPA); or a locomotive which was originally covered by a certificate of conformity, but which is not in a certified configuration, or otherwise does not comply with the conditions of that certificate of conformity. (Note: Domestic locomotives and locomotive engines not covered by a certificate of conformity prior to their introduction into U.S. commerce are considered to be noncomplying locomotives and locomotive engines.)


Non-locomotive-specific engine means an engine that is sold for and used in non-locomotive applications much more than for locomotive applications.


Nonmethane hydrocarbon has the meaning given in 40 CFR 1065.1001. This generally means the difference between the emitted mass of total hydrocarbons and the emitted mass of methane.


Nonroad means relating to nonroad engines as defined in 40 CFR 1068.30.


Official emission result means the measured emission rate for an emission-data locomotive on a given duty cycle before the application of any deterioration factor, but after the application of regeneration adjustment factors, Green Engine Factors, and/or humidity correction factors.


Opacity means the fraction of a beam of light, expressed in percent, which fails to penetrate a plume of smoke, as measured by the procedure specified in § 1033.525.


Original manufacture means the event of freshly manufacturing a locomotive or locomotive engine. The date of original manufacture is the date of final assembly, except as provided in § 1033.640. Where a locomotive is manufactured under § 1033.620(b), the date of original manufacture is the date on which the final assembly of locomotive was originally scheduled.


Original remanufacture means the first remanufacturing of a locomotive at which the locomotive is subject to the emission standards of this part.


Owner/operator means the owner and/or operator of a locomotive.


Owners manual means a written or electronic collection of instructions provided to ultimate purchasers to describe the basic operation of the locomotive.


Oxides of nitrogen has the meaning given in 40 CFR part 1065.


Particulate trap means a filtering device that is designed to physically trap all particulate matter above a certain size.


Passenger locomotive means a locomotive designed and constructed for the primary purpose of propelling passenger trains, and providing power to the passenger cars of the train for such functions as heating, lighting and air conditioning.


Petroleum fuel means gasoline or diesel fuel or another liquid fuel primarily derived from crude oil.


Placed into service means put into initial use for its intended purpose after becoming new.


Power assembly means the components of an engine in which combustion of fuel occurs, and consists of the cylinder, piston and piston rings, valves and ports for admission of charge air and discharge of exhaust gases, fuel injection components and controls, cylinder head and associated components.


Primary fuel means the type of fuel (e.g., diesel fuel) that is consumed in the greatest quantity (mass basis) when the locomotive is operated in use.


Produce means to manufacture or remanufacture. Where a certificate holder does not actually assemble the locomotives or locomotive engines that it manufactures or remanufactures, produce means to allow other entities to assemble locomotives under the certificate holder’s certificate.


Railroad means a commercial entity that operates locomotives to transport passengers or freight.


Ramped-modal means relating to the ramped-modal type of testing in subpart F of this part.


Rated power has the meaning given in § 1033.140.


Refurbish has the meaning given in § 1033.640.


Remanufacture means one of the following:


(1)(i) To replace, or inspect and qualify, each and every power assembly of a locomotive or locomotive engine, whether during a single maintenance event or cumulatively within a five-year period.


(ii) To upgrade a locomotive or locomotive engine.


(iii) To convert a locomotive or locomotive engine to enable it to operate using a fuel other than it was originally manufactured to use.


(iv) To install a remanufactured engine or a freshly manufactured engine into a previously used locomotive.


(v) To repair a locomotive engine that does not contain power assemblies to a condition that is equivalent to or better than its original condition with respect to reliability and fuel consumption.


(2) Remanufacture also means the act of remanufacturing.


Remanufacture system or remanufacturing system means all components (or specifications for components) and instructions necessary to remanufacture a locomotive or locomotive engine in accordance with applicable requirements of this part.


Remanufactured locomotive means either a locomotive powered by a remanufactured locomotive engine, a repowered locomotive, or a refurbished locomotive.


Remanufactured locomotive engine means a locomotive engine that has been remanufactured.


Remanufacturer has the meaning given to “manufacturer” in section 216(1) of the Clean Air Act with respect to remanufactured locomotives. (See §§ 1033.1 and 1033.601 for applicability of this term.) This term includes:


(1) Any person that is engaged in the manufacture or assembly of remanufactured locomotives or locomotive engines, such as persons who:


(i) Design or produce the emission-related parts used in remanufacturing.


(ii) Install parts in an existing locomotive or locomotive engine to remanufacture it.


(iii) Own or operate the locomotive or locomotive engine and provide specifications as to how an engine is to be remanufactured (i.e., specifying who will perform the work, when the work is to be performed, what parts are to be used, or how to calibrate the adjustable parameters of the engine).


(2) Any person who imports remanufactured locomotives or remanufactured locomotive engines.


Repower means replacement of the engine in a previously used locomotive with a freshly manufactured locomotive engine. See § 1033.640.


Repowered locomotive means a locomotive that has been repowered with a freshly manufactured engine.


Revoke has the meaning given in 40 CFR 1068.30. In general this means to terminate the certificate or an exemption for an engine family.


Round means to round numbers as specified in 40 CFR 1065.1001.


Service life means the total life of a locomotive. Service life begins when the locomotive is originally manufactured and continues until the locomotive is permanently removed from service.


Small manufacturer/remanufacturer means a manufacturer/remanufacturer with 1,000 or fewer employees. For purposes of this part, the number of employees includes all employees of the manufacturer/remanufacturer’s parent company, if applicable.


Small railroad means a railroad meeting the criterion of paragraph (1) of this definition, but not either of the criteria of paragraphs (2) and (3) of this definition.


(1) To be considered a small railroad, a railroad must qualify as a small business under the Small Business Administration’s regulations in 13 CFR part 121.


(2) Class I and Class II railroads (and their subsidiaries) are not small railroads.


(3) Intercity passenger and commuter railroads are excluded from this definition of small railroad. Note that this paragraph (3) does not exclude tourist railroads.


Specified adjustable range means the range of allowable settings for an adjustable component specified by a certificate of conformity.


Specified by a certificate of conformity or specified in a certificate of conformity means stated or otherwise specified in a certificate of conformity or an approved application for certification.


Sulfur-sensitive technology means an emission control technology that would experience a significant drop in emission control performance or emission-system durability when a locomotive is operated on low-sulfur diesel fuel with a sulfur concentration of 300 to 500 ppm as compared to when it is operated on ultra low-sulfur diesel fuel (i.e., fuel with a sulfur concentration less than 15 ppm). Exhaust gas recirculation is not a sulfur-sensitive technology.


Suspend has the meaning given in 40 CFR 1068.30. In general this means to temporarily discontinue the certificate or an exemption for an engine family.


Switch locomotive means a locomotive that is powered by an engine with a maximum rated power (or a combination of engines having a total rated power) of 2300 hp or less. Include auxiliary engines in your calculation of total power if the engines are permanently installed on the locomotive and can be operated while the main propulsion engine is operating. Do not count the power of auxiliary engines that operate only to reduce idling time of the propulsion engine.


Test locomotive means a locomotive or engine in a test sample.


Test sample means the collection of locomotives or engines selected from the population of an engine family for emission testing. This may include testing for certification, production-line testing, or in-use testing.


Tier 0 or Tier 0 + means relating to the Tier 0 emission standards, as shown in § 1033.101.


Tier 1 or Tier 1 + means relating to the Tier 1 emission standards, as shown in § 1033.101.


Tier 2 or Tier 2 + means relating to the Tier 2 emission standards, as shown in § 1033.101.


Tier 3 means relating to the Tier 3 emission standards, as shown in § 1033.101.


Tier 4 means relating to the Tier 4 emission standards, as shown in § 1033.101.


Total hydrocarbon has the meaning given in 40 CFR 1065.1001. This generally means the combined mass of organic compounds measured by the specified procedure for measuring total hydrocarbon, expressed as a hydrocarbon with an atomic hydrogen-to-carbon ratio of 1.85:1.


Total hydrocarbon equivalent has the meaning given in 40 CFR 1065.1001. This generally means the sum of the carbon mass contributions of non-oxygenated hydrocarbon, alcohols and aldehydes, or other organic compounds that are measured separately as contained in a gas sample, expressed as exhaust hydrocarbon from petroleum-fueled locomotives. The atomic hydrogen-to-carbon ratio of the equivalent hydrocarbon is 1.85:1.


Ultimate purchaser means the first person who in good faith purchases a new locomotive for purposes other than resale.


Ultra low-sulfur diesel fuel means one of the following:


(1) For in-use fuels, ultra low-sulfur diesel fuel means a diesel fuel marketed as ultra low-sulfur diesel fuel having a maximum sulfur concentration of 15 parts per million.


(2) For testing, ultra low-sulfur diesel fuel has the meaning given in 40 CFR part 1065.


Upcoming model year means for an engine family the model year after the one currently in production.


Upgrade means one of the following types of remanufacturing.


(1) Repowering a locomotive that was originally manufactured prior to January 1, 1973.


(2) Refurbishing a locomotive that was originally manufactured prior to January 1, 1973 in a manner that is not freshly manufacturing.


(3) Modifying a locomotive that was originally manufactured prior to January 1, 1973 (or a locomotive that was originally manufactured on or after January 1, 1973, and that is not subject to the emission standards of this part), such that it is intended to comply with the Tier 0 standards. See § 1033.615.


Useful life means the period during which the locomotive engine is designed to properly function in terms of reliability and fuel consumption, without being remanufactured, specified as work output or miles. It is the period during which a locomotive is required to comply with all applicable emission standards. See § 1033.101(g).


Void has the meaning given in 40 CFR 1068.30. In general this means to invalidate a certificate or an exemption both retroactively and prospectively.


Volatile fuel means a volatile liquid fuel or any fuel that is a gas at atmospheric pressure. Gasoline, natural gas, and LPG are volatile fuels.


Volatile liquid fuel means any liquid fuel other than diesel or biodiesel that is a liquid at atmospheric pressure and has a Reid Vapor Pressure higher than 2.0 pounds per square inch.


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


[73 FR 37197, June 30, 2008, as amended at 73 FR 59191, Oct. 8, 2008; 75 FR 22987, Apr. 30, 2010; 81 FR 74010, Oct. 25, 2016; 86 FR 34376, June 29, 2021]


§ 1033.905 Symbols, acronyms, and abbreviations.

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



ABT averaging, banking, and trading.

AECD auxiliary emission control device.
AESS automatic engine stop/start

AF adjustment factor (see § 1033.530).

CFR Code of Federal Regulations.

CH4 methane.

CO carbon monoxide.

CO2 carbon dioxide.

EPA Environmental Protection Agency.

FEL Family Emission Limit.

g/bhp-hr grams per brake horsepower-hour.

HC hydrocarbon.

hp horsepower.

LPG liquefied petroleum gas.

LSD low sulfur diesel.

MW megawatt.

N2O nitrous oxide.

NIST National Institute of Standards and Technology.

NMHC nonmethane hydrocarbons.

NOX oxides of nitrogen.

PM particulate matter.

rpm revolutions per minute.

SAE Society of Automotive Engineers.

SCR selective catalytic reduction.

SEA Selective Enforcement Audit.

THC total hydrocarbon.

THCE total hydrocarbon equivalent.

UL useful life.

ULSD ultra low sulfur diesel.

U.S. United States.

U.S.C. United States Code.

[73 FR 37197, June 30, 2008, as amended at 74 FR 56508, Oct. 30, 2008; 75 FR 22987, Apr. 30, 2010]


§ 1033.915 Confidential information.

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


[81 FR 74010, Oct. 25, 2016]


§ 1033.920 How to request a hearing.

(a) You may request a hearing under certain circumstances, as described elsewhere in this part. To do this, you must file a written request, including a description of your objection and any supporting data, within 30 days after we make a decision.


(b) For a hearing you request under the provisions of this part, we will approve your request if we find that your request raises a substantial factual issue.


(c) If we agree to hold a hearing, we will use the procedures specified in 40 CFR part 1068, subpart G.


§ 1033.925 Reporting and recordkeeping requirements.

(a) This part includes various requirements to submit and record data or other information. Unless we specify otherwise, store required records in any format and on any media and keep them readily available for eight years after you send an associated application for certification, or eight years after you generate the data if they do not support an application for certification. You are expected to keep your own copy of required records rather than relying on someone else to keep records on your behalf. We may review these records at any time. You must promptly send us organized, written records in English if we ask for them. We may require you to submit written records in an electronic format.


(b) The regulations in § 1033.255, 40 CFR 1068.25, and 40 CFR 1068.101 describe your obligation to report truthful and complete information. This includes information not related to certification. Failing to properly report information and keep the records we specify violates 40 CFR 1068.101(a)(2), which may involve civil or criminal penalties.


(c) Send all reports and requests for approval to the Designated Compliance Officer (see § 1033.801).


(d) Any written information we require you to send to or receive from another company is deemed to be a required record under this section. Such records are also deemed to be submissions to EPA. We may require you to send us these records whether or not you are a certificate holder.


(e) Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), the Office of Management and Budget approves the reporting and recordkeeping specified in the applicable regulations in this chapter. The following items illustrate the kind of reporting and recordkeeping we require for locomotives regulated under this part:


(1) We specify the following requirements related to locomotive certification in this part 1033:


(i) In § 1033.150 we include various reporting and recordkeeping requirements related to interim provisions.


(ii) In subpart C of this part we identify a wide range of information required to certify engines.


(iii) In § 1033.325 we specify certain records related to production-line testing.


(iv) In subpart G of this part we identify several reporting and recordkeeping items for making demonstrations and getting approval related to various special compliance provisions.


(v) In §§ 1033.725, 1033.730, and 1033.735 we specify certain records related to averaging, banking, and trading.


(vi) In subpart I of this part we specify certain records related to meeting requirements for remanufactured engines.


(2) We specify the following requirements related to testing in 40 CFR part 1065:


(i) In 40 CFR 1065.2 we give an overview of principles for reporting information.


(ii) In 40 CFR 1065.10 and 1065.12 we specify information needs for establishing various changes to published test procedures.


(iii) In 40 CFR 1065.25 we establish basic guidelines for storing test information.


(iv) In 40 CFR 1065.695 we identify the specific information and data items to record when measuring emissions.


(3) We specify the following requirements related to the general compliance provisions in 40 CFR part 1068:


(i) In 40 CFR 1068.5 we establish a process for evaluating good engineering judgment related to testing and certification.


(ii) In 40 CFR 1068.25 we describe general provisions related to sending and keeping information.


(iii) In 40 CFR 1068.27 we require manufacturers to make locomotives available for our testing or inspection if we make such a request.


(iv) In 40 CFR part 1068, subpart C, we identify several reporting and recordkeeping items for making demonstrations and getting approval related to various exemptions.


(v) In 40 CFR part 1068, subpart D, we identify several reporting and recordkeeping items for making demonstrations and getting approval related to importing locomotives and engines.


(vi) In 40 CFR 1068.450 and 1068.455 we specify certain records related to testing production-line locomotives in a selective enforcement audit.


(vii) In 40 CFR 1068.501 we specify certain records related to investigating and reporting emission-related defects.


(viii) In 40 CFR 1068.525 and 1068.530 we specify certain records related to recalling nonconforming locomotives.


(ix) In 40 CFR part 1068, subpart G, we specify certain records for requesting a hearing.


[81 FR 74010, Oct. 25, 2016, as amended at 86 FR 34376, June 29, 2021]


Appendix I to Part 1033 – Original Standards for Tier 0, Tier 1 and Tier 2 Locomotives

(a) The following emission standards applied for new locomotives not yet subject to this part 1033:


Type of standard
Year of

original

manufacture
Tier
Standards

(g/bhp-hr)
NOX
PM-primary
PM-alternate
1
Line-haul1973-1992Tier 09.50.600.30
1993-2004Tier 17.40.450.22
2005-2011Tier 25.50.200.10
Switch1973-1992Tier 014.00.720.36
1993-2004Tier 111.00.540.27
2005-2011Tier 28.10.240.12


1 Locomotives certified to the alternate PM standards are also subject to alternate CO standards of 10.0 for the line-haul cycle and 12.0 for the switch cycle.


(b) The original Tier 0, Tier 1, and Tier 2 standards for HC and CO emissions and smoke are the same standards identified in § 1033.101.


[81 FR 74011, Oct. 25, 2016]



PART 1036 – CONTROL OF EMISSIONS FROM NEW AND IN-USE HEAVY-DUTY HIGHWAY ENGINES


Authority:42 U.S.C. 7401 – 7671q.


Source:81 FR 74011, Oct. 25, 2016, unless otherwise noted.

§ 1036.1 Does this part apply for my engines?

(a) Except as specified in § 1036.5, the provisions of this part apply for engines that will be installed in heavy-duty vehicles (including glider vehicles) above 14,000 pounds GVWR for propulsion. These provisions also apply for engines that will be installed in incomplete heavy-duty vehicles at or below 14,000 pounds GVWR unless the engine is installed in a vehicle that is covered by a certificate of conformity under 40 CFR part 86, subpart S.


(b) This part does not apply with respect to exhaust emission standards for HC, CO, NOX, or PM except as follows:


(1) The provisions of § 1036.601 apply.


(2) 40 CFR parts 85 and/or 86 may specify that certain provisions apply.


(3) The provisions of § 1036.501(h)(1) apply.


(c) The provisions of this part also apply for fuel conversions of all engines described in paragraph (a) of this section as described in 40 CFR 85.502.


(d) Gas turbine heavy-duty engines and other heavy-duty engines not meeting the definition compression-ignition or spark-ignition are deemed to be compression-ignition engines for purposes of this part.


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


§ 1036.2 Who is responsible for compliance?

The regulations in this part 1036 contain provisions that affect both engine manufacturers and others. However, the requirements of this part are generally addressed to the engine manufacturer(s). The term “you” generally means the engine manufacturer(s), especially for issues related to certification. Additional requirements and prohibitions apply to other persons as specified in subpart G of this part and 40 CFR part 1068.


§ 1036.5 Which engines are excluded from this part’s requirements?

(a) The provisions of this part do not apply to engines used in medium-duty passenger vehicles or other heavy-duty vehicles that are subject to regulation under 40 CFR part 86, subpart S, except as specified in 40 CFR part 86, subpart S, and § 1036.150(j). For example, this exclusion applies for engines used in vehicles certified to the standards of 40 CFR 86.1819.


(b) An engine installed in a heavy-duty vehicle that is not used to propel the vehicle is not a heavy-duty engine. The provisions of this part therefore do not apply to these engines. Note that engines used to indirectly propel the vehicle (such as electrical generator engines that provide power to batteries for propulsion) are subject to this part. See 40 CFR part 1039, 1048, or 1054 for other requirements that apply for these auxiliary engines. See 40 CFR part 1037 for requirements that may apply for vehicles using these engines, such as the evaporative emission requirements of 40 CFR 1037.103.


(c) The provisions of this part do not apply to aircraft or aircraft engines. Standards apply separately to certain aircraft engines, as described in 40 CFR part 87.


(d) The provisions of this part do not apply to engines that are not internal combustion engines. For example, the provisions of this part do not apply to fuel cells. Note that gas turbine engines are internal combustion engines.


(e) The provisions of this part do not apply for model year 2013 and earlier heavy-duty engines unless they were:


(1) Voluntarily certified to this part.


(2) Installed in a glider vehicle subject to 40 CFR part 1037.


§ 1036.10 How is this part organized?

This part 1036 is divided into the following subparts:


(a) Subpart A of this part defines the applicability of this part 1036 and gives an overview of regulatory requirements.


(b) Subpart B of this part describes the emission standards and other requirements that must be met to certify engines under this part. Note that § 1036.150 describes certain interim requirements and compliance provisions that apply only for a limited time.


(c) Subpart C of this part describes how to apply for a certificate of conformity.


(d) Subpart D of this part addresses testing of production engines.


(e) Subpart E of this part describes provisions for testing in-use engines.


(f) Subpart F of this part describes how to test your engines (including references to other parts of the Code of Federal Regulations).


(g) Subpart G of this part describes requirements, prohibitions, and other provisions that apply to engine manufacturers, vehicle manufacturers, owners, operators, rebuilders, and all others.


(h) Subpart H of this part describes how you may generate and use emission credits to certify your engines.


(i) Subpart I of this part contains definitions and other reference information.


§ 1036.15 Do any other regulation parts apply to me?

(a) Part 86 of this chapter describes additional requirements that apply to engines that are subject to this part 1036. This part extensively references portions of 40 CFR part 86. For example, the regulations of part 86 specify emission standards and certification procedures related to criteria pollutants.


(b) Part 1037 of this chapter describes requirements for controlling evaporative emissions and greenhouse gas emissions from heavy-duty vehicles, whether or not they use engines certified under this part. It also includes standards and requirements that apply instead of the standards and requirements of this part in some cases.


(c) Part 1065 of this chapter describes procedures and equipment specifications for testing engines to measure exhaust emissions. Subpart F of this part 1036 describes how to apply the provisions of part 1065 of this chapter to determine whether engines meet the exhaust emission standards in this part.


(d) Certain provisions of part 1068 of this chapter apply as specified in § 1036.601 to everyone, including anyone who manufactures, imports, installs, owns, operates, or rebuilds any of the engines subject to this part 1036, or vehicles containing these engines. Part 1068 of this chapter describes general provisions that apply broadly, but do not necessarily apply for all engines or all persons. See § 1036.601 to determine how to apply the part 1068 regulations for heavy-duty engines. The issues addressed by these provisions include these seven areas:


(1) Prohibited acts and penalties for engine manufacturers, vehicle manufacturers, and others.


(2) Rebuilding and other aftermarket changes.


(3) Exclusions and exemptions for certain engines.


(4) Importing engines.


(5) Selective enforcement audits of your production.


(6) Recall.


(7) Procedures for hearings.


(e) Other parts of this chapter apply if referenced in this part.


§ 1036.30 Submission of information.

Unless we specify otherwise, send all reports and requests for approval to the Designated Compliance Officer (see § 1036.801). See § 1036.825 for additional reporting and recordkeeping provisions.


Subpart B – Emission Standards and Related Requirements

§ 1036.100 Overview of exhaust emission standards.

Engines used in vehicles certified to the applicable chassis standards for greenhouse gases described in 40 CFR 86.1819 are not subject to the standards specified in this part. All other engines subject to this part must meet the greenhouse gas standards in § 1036.108 in addition to the criteria pollutant standards of 40 CFR part 86.


§ 1036.108 Greenhouse gas emission standards.

This section contains standards and other regulations applicable to the emission of the air pollutant defined as the aggregate group of six greenhouse gases: Carbon dioxide, nitrous oxide, methane, hydrofluorocarbons, perfluorocarbons, and sulfur hexafluoride. This section describes the applicable CO2, N2O, and CH4 standards for engines. These standards do not apply for engines used in vehicles subject to (or voluntarily certified to) the CO2, N2O, and CH4 standards for vehicles specified in 40 CFR 86.1819.


(a) Emission standards. The emission standards in this paragraph (a) apply for engines and optionally powertrains measured using the test procedures specified in subpart F of this part as follows:


(1) CO2 emission standards in this paragraph (a)(1) apply based on testing as specified in subpart F of this part. The applicable test cycle for measuring CO2 emissions differs depending on the engine family’s primary intended service class and the extent to which the engines will be (or were designed to be) used in tractors. For medium and heavy heavy-duty engines certified as tractor engines, measure CO2 emissions using the steady-state duty cycle specified in § 1036.501 (referred to as the Supplemental Emission Test, or SET, even though emission sampling involves measurements from discrete modes). This testing with the SET duty cycle is intended for engines designed to be used primarily in tractors and other line-haul applications. Note that the use of some SET-certified tractor engines in vocational applications does not affect your certification obligation under this paragraph (a)(1); see other provisions of this part and 40 CFR part 1037 for limits on using engines certified to only one cycle. For medium and heavy heavy-duty engines certified as both tractor and vocational engines, measure CO2 emissions using the steady-state duty cycle and the transient duty cycle (sometimes referred to as the Federal Test Procedure (FTP) engine cycle) specified in § 1036.501. Testing with both SET and FTP duty cycles is intended for engines that are designed for use in both tractor and vocational applications. For all other engines (including engines meeting spark-ignition standards), measure CO2 emissions using the appropriate transient duty cycle specified in § 1036.501.


(i) The CO2 standard is 627 g/hp·hr for all spark-ignition engines for model years 2016 through 2020. This standard continues to apply in later model years for all spark-ignition engines that are not heavy heavy-duty engines.


(ii) The following CO2 standards apply for compression-ignition engines (in g/hp·hr):


Table 1 of § 1036.108 – Compression-Ignition Engine Standards for MY 2014-2020

Model years
Light

heavy-duty
Medium

heavy-duty-

vocational
Heavy

heavy-duty-

vocational
Medium

heavy-duty-

tractor
Heavy

heavy-duty-

tractor
2014-2016600600567502475
2017-2020576576555487460

(iii) The following CO2 standards apply for compression-ignition engines and all heavy heavy-duty engines (in g/hp·hr):


Table 2 of § 1036.108 – Compression-Ignition Engine Standards for MY 2021 and Later

Model years
Light

heavy-duty
Medium

heavy-duty-

vocational
Heavy

heavy-duty-

vocational
Medium

heavy-duty-

tractor
Heavy

heavy-duty-

tractor
2021-2023563545513473447
2024-2026555538506461436
2027 and later552535503457432

(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 N2O emission standard is 0.10 g/hp·hr when measured over the transient duty cycle specified in 40 CFR part 86, subpart N. This standard begins in model year 2014 for compression-ignition engines and in model year 2016 for spark-ignition engines.


(b) Family Certification Levels. You must specify a CO2 Family Certification Level (FCL) for each engine family. The FCL may not be less than the certified emission level for the engine family. The CO2 Family Emission Limit (FEL) for the engine family is equal to the FCL multiplied by 1.03.


(c) Averaging, banking, and trading. You may generate or use emission credits under the averaging, banking, and trading (ABT) program described in subpart H of this part for demonstrating compliance with CO2 emission standards. Credits (positive and negative) are calculated from the difference between the FCL and the applicable emission standard. As described in § 1036.705, you may use CO2 credits to certify your engine families to FELs for N2O and/or CH4, instead of the N2O/CH4 standards of this section that otherwise apply. Except as specified in §§ 1036.150 and 1036.705, you may not generate or use credits for N2O or CH4 emissions.


(d) Useful life. The exhaust emission standards of this section apply for the full useful life, expressed in service miles, operating hours, or calendar years, whichever comes first. The useful life values applicable to the criteria pollutant standards of 40 CFR part 86 apply for the standards of this section, except that the spark-ignition standards and the standards for model year 2021 and later light heavy-duty compression-ignition engines apply over a useful life of 15 years or 150,000 miles, whichever comes first.


(e) Applicability for testing. The emission standards in this subpart apply as specified in this paragraph (e) to all duty-cycle testing (according to the applicable test cycles) of testable configurations, including certification, selective enforcement audits, and in-use testing. The CO2 FCLs serve as the CO2 emission standards for the engine family with respect to certification and confirmatory testing instead of the standards specified in paragraph (a)(1) of this section. The FELs serve as the emission standards for the engine family with respect to all other duty-cycle testing. See §§ 1036.235 and 1036.241 to determine which engine configurations within the engine family are subject to testing. Note that engine fuel maps and powertrain test results also serve as standards as described in § 1036.535, § 1036.540, § 1036.630 and 40 CFR 1037.550.


(f) Multi-fuel engines. For dual-fuel, multi-fuel, and flexible-fuel engines, perform exhaust testing on each fuel type (for example, gasoline and E85).


(1) This paragraph (f)(1) applies where you demonstrate the relative amount of each fuel type that your engines consume in actual use. Based on your demonstration, we will specify a weighting factor and allow you to submit the weighted average of your emission results. For example, if you certify an E85 flexible-fuel engine and we determine the engine will produce one-half of its work from E85 and one-half of its work from gasoline, you may apply a 50 percent weighting factor to each of your E85 and gasoline emission results.


(2) If you certify your engine family to N2O and/or CH4 FELs the FELs apply for testing on all fuel types for which your engine is designed, to the same extent as criteria emission standards apply.


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


§ 1036.115 Other requirements.

(a) The warranty and maintenance requirements, adjustable parameter provisions, and defeat device prohibition of 40 CFR part 86 apply with respect to the standards of this part.


(b) You must perform fuel mapping for your engine as described in § 1036.510(b).


(c) You must design and produce your engines to comply with evaporative emission standards as follows:


(1) For complete heavy-duty vehicles you produce, you must certify the vehicles to emission standards as specified in 40 CFR 1037.103.


(2) For incomplete heavy-duty vehicles, and for engines used in vehicles you do not produce, you do not need to certify your engines to evaporative emission standards or otherwise meet those standards. However, vehicle manufacturers certifying their vehicles with your engines may depend on you to produce your engines according to their specifications. Also, your engines must meet applicable exhaust emission standards in the installed configuration.


§ 1036.130 Installation instructions for vehicle manufacturers.

(a) If you sell an engine for someone else to install in a vehicle, give the engine installer instructions for installing it consistent with the requirements of this part. Include all information necessary to ensure that an engine will be installed in its certified configuration.


(b) Make sure these instructions have the following information:


(1) Include the heading: “Emission-related installation instructions”.


(2) State: “Failing to follow these instructions when installing a certified engine in a heavy-duty motor vehicle violates federal law, subject to fines or other penalties as described in the Clean Air Act.”


(3) Provide all instructions needed to properly install the exhaust system and any other components.


(4) Describe any necessary steps for installing any diagnostic system required under 40 CFR part 86.


(5) Describe how your certification is limited for any type of application. For example, if you certify heavy heavy-duty engines to the CO2 standards using only transient FTP testing, you must make clear that the engine may not be installed in tractors.


(6) Describe any other instructions to make sure the installed engine will operate according to design specifications in your application for certification. This may include, for example, instructions for installing aftertreatment devices when installing the engines.


(7) State: “If you install the engine in a way that makes the engine’s emission control information label hard to read during normal engine maintenance, you must place a duplicate label on the vehicle, as described in 40 CFR 1068.105.”


(c) Give the vehicle manufacturer fuel map results as described in § 1036.510(b).


(d) You do not need installation instructions for engines that you install in your own vehicles.


(e) Provide instructions in writing or in an equivalent format. For example, you may post instructions on a publicly available Web site for downloading or printing. If you do not provide the instructions in writing, explain in your application for certification how you will ensure that each installer is informed of the installation requirements.


§ 1036.135 Labeling.

Label your engines as described in 40 CFR 86.007-35(a)(3), with the following additional information:


(a) [Reserved]


(b) Identify the emission control system. Use terms and abbreviations as described in 40 CFR 1068.45 or other applicable conventions.


(c) Identify any limitations on your certification. For example, if you certify heavy heavy-duty engines to the CO2 standards using only transient cycle testing, include the statement “VOCATIONAL VEHICLES ONLY”.


(d) You may ask us to approve modified labeling requirements in this part 1036 if you show that it is necessary or appropriate. We will approve your request if your alternate label is consistent with the requirements of this part. We may also specify modified labeling requirement to be consistent with the intent of 40 CFR part 1037.


§ 1036.140 Primary intended service class and engine cycle.

You must identify a single primary intended service class for each engine family that best describes vehicles for which you design and market the engine, as follows:


(a) Divide compression-ignition engines into primary intended service classes based on the following engine and vehicle characteristics:


(1) Light heavy-duty engines usually are not designed for rebuild and do not have cylinder liners. Vehicle body types in this group might include any heavy-duty vehicle built from a light-duty truck chassis, van trucks, multi-stop vans, and some straight trucks with a single rear axle. Typical applications would include personal transportation, light-load commercial delivery, passenger service, agriculture, and construction. The GVWR of these vehicles is normally at or below 19,500 pounds.


(2) Medium heavy-duty engines may be designed for rebuild and may have cylinder liners. Vehicle body types in this group would typically include school buses, straight trucks with single rear axles, city tractors, and a variety of special purpose vehicles such as small dump trucks, and refuse trucks. Typical applications would include commercial short haul and intra-city delivery and pickup. Engines in this group are normally used in vehicles whose GVWR ranges from 19,501 to 33,000 pounds.


(3) Heavy heavy-duty engines are designed for multiple rebuilds and have cylinder liners. Vehicles in this group are normally tractors, trucks, straight trucks with dual rear axles, and buses used in inter-city, long-haul applications. These vehicles normally exceed 33,000 pounds GVWR.


(b) Divide spark-ignition engines into primary intended service classes as follows:


(1) Spark-ignition engines that are best characterized by paragraph (a)(1) or (2) of this section are in a separate “spark-ignition” primary intended service class.


(2) Spark-ignition engines that are best characterized by paragraph (a)(3) of this section share a primary intended service class with compression-ignition heavy heavy-duty engines. Gasoline-fueled engines are presumed not to be characterized by paragraph (a)(3) of this section; for example, vehicle manufacturers may install some number of gasoline-fueled engines in Class 8 trucks without causing the engine manufacturer to consider those to be heavy heavy-duty engines.


(c) References to “spark-ignition standards” in this part relate only to the spark-ignition engines identified in paragraph (b)(1) of this section. References to “compression-ignition standards” in this part relate to compression-ignition engines, to spark-ignition engines optionally certified to standards that apply to compression-ignition engines, and to all engines identified under paragraph (b)(2) of this section as heavy heavy-duty engines.


§ 1036.150 Interim provisions.

The provisions in this section apply instead of other provisions in this part.


(a) Early banking of greenhouse gas emissions. You may generate CO2 emission credits for engines you certify in model year 2013 (2015 for spark-ignition engines) to the standards of § 1036.108.


(1) Except as specified in paragraph (a)(2) of this section, to generate early credits, you must certify your entire U.S.-directed production volume within that averaging set to these standards. This means that you may not generate early credits while you produce engines in the averaging set that are certified to the criteria pollutant standards but not to the greenhouse gas standards. Calculate emission credits as described in subpart H of this part relative to the standard that would apply for model year 2014 (2016 for spark-ignition engines).


(2) You may generate early credits for an individual compression-ignition engine family where you demonstrate that you have improved a model year 2013 engine model’s CO2 emissions relative to its 2012 baseline level and certify it to an FCL below the applicable standard. Calculate emission credits as described in subpart H of this part relative to the lesser of the standard that would apply for model year 2014 engines or the baseline engine’s CO2 emission rate. Use the smaller U.S.-directed production volume of the 2013 engine family or the 2012 baseline engine family. We will not allow you to generate emission credits under this paragraph (a)(2) unless we determine that your 2013 engine is the same engine as the 2012 baseline or that it replaces it.


(3) You may bank credits equal to the surplus credits you generate under this paragraph (a) multiplied by 1.50. For example, if you have 10 Mg of surplus credits for model year 2013, you may bank 15 Mg of credits. Credit deficits for an averaging set prior to model year 2014 (2016 for spark-ignition engines) do not carry over to model year 2014 (2016 for spark-ignition engines). We recommend that you notify us of your intent to use this provision before submitting your applications.


(b) Model year 2014 N2O standards. In model year 2014 and earlier, manufacturers may show compliance with the N2O standards using an engineering analysis. This allowance also applies for later families certified using carryover CO2 data from model 2014 consistent with § 1036.235(d).


(c) Engine cycle classification. Through model year 2020, engines meeting the definition of spark-ignition, but regulated as diesel engines under 40 CFR part 86, must be certified to the requirements applicable to compression-ignition engines under this part. Such engines are deemed to be compression-ignition engines for purposes of this part. Similarly, through model year 2020, engines meeting the definition of compression-ignition, but regulated as Otto-cycle under 40 CFR part 86 must be certified to the requirements applicable to spark-ignition engines under this part. Such engines are deemed to be spark-ignition engines for purposes of this part. See § 1036.140 for provisions that apply for model year 2021 and later.


(d) Small manufacturers. The standards of this part apply on a delayed schedule for manufacturers meeting the small business criteria specified in 13 CFR 121.201. Apply the small business criteria for NAICS code 336310 for engine manufacturers with respect to gasoline-fueled engines and 333618 for engine manufacturers with respect to other engines; the employee limits apply to the total number employees together for affiliated companies. Qualifying small manufacturers are not subject to the greenhouse gas emission standards in § 1036.108 for engines with a date of manufacture on or after November 14, 2011 but before January 1, 2022. In addition, qualifying small manufacturers producing engines that run on any fuel other than gasoline, E85, or diesel fuel may delay complying with every later standard under this part by one model year. Small manufacturers may certify their engines and generate emission credits under this part 1036 before standards start to apply, but only if they certify their entire U.S.-directed production volume within that averaging set for that model year. Note that engines not yet subject to standards must nevertheless supply fuel maps to vehicle manufacturers as described in paragraph (n) of this section. Note also that engines produced by small manufacturers are subject to criteria pollutant standards.


(e) Alternate phase-in standards. Where a manufacturer certifies all of its model year 2013 compression-ignition engines within a given primary intended service class to the applicable alternate standards of this paragraph (e), its compression-ignition engines within that primary intended service class are subject to the standards of this paragraph (e) for model years 2013 through 2016. This means that once a manufacturer chooses to certify a primary intended service class to the standards of this paragraph (e), it is not allowed to opt out of these standards. Engines certified to these standards are not eligible for early credits under paragraph (a) of this section.


Table 1 of § 1036.150 – Alternate Phase-In Standards

Vehicle type
Model years
LHD Engines
MHD Engines
HHD Engines
Tractors2013-2015NA512 g/hphr485 g/hphr.
2016 and later
1
NA487 g/hphr460 g/hphr.
Vocational2013-2015618 g/hphr618 g/hphr577 g/hphr.
2016 through 20201576 g/hphr576 g/hphr555 g/hphr.


1 These alternate standards for 2016 and later are the same as the otherwise applicable standards for 2017 through 2020.


(f) Separate OBD families. This paragraph (f) applies where you separately certify engines for the purpose of applying OBD requirements (for engines used in vehicles under 14,000 pounds GVWR) from non-OBD engines that could be certified as a single engine family. You may treat the two engine families as a single engine family in certain respects for the purpose of this part, as follows:


(1) This paragraph (f) applies only where the two families are identical in all respects except for the engine ratings offered and the inclusion of OBD.


(2) For purposes of this part and 40 CFR part 86, the two families remain two separate families except for the following:


(i) Specify the testable configurations of the non-OBD engine family as the testable configurations for the OBD family.


(ii) Submit the same CO2, N2O, and CH4 emission data for both engine families.


(g) Assigned deterioration factors. You may use assigned deterioration factors (DFs) without performing your own durability emission tests or engineering analysis as follows:


(1) You may use an assigned additive DF of 0.0 g/hp-hr for CO2 emissions from engines that do not use advanced or off-cycle technologies. If we determine it to be consistent with good engineering judgment, we may allow you to use an assigned additive DF of 0.0 g/hp-hr for CO2 emissions from your engines with advanced or off-cycle technologies.


(2) You may use an assigned additive DF of 0.010 g/hphr for N2O emissions from any engine through model year 2021, and 0.020 g/hp-hr for later model years.


(3) You may use an assigned additive DF of 0.020 g/hp-hr for CH4 emissions from any engine.


(h) Advanced-technology credits. If you generate credits from model year 2020 and earlier engines certified for advanced technology, you may multiply these credits by 1.5, except that you may not apply this multiplier and the early-credit multiplier of paragraph (a) of this section.


(i) CO2 credits for low N2O emissions. If you certify your model year 2014, 2015, or 2016 engines to an N2O FEL less than 0.04 g/hp-hr (provided you measure N2O emissions from your emission-data engines), you may generate additional CO2 credits under this paragraph (i). Calculate the additional CO2 credits from the following equation instead of the equation in § 1036.705:


CO2 Credits (Mg) = (0.04−FELN2O) · (CF) · (Volume) · (UL) · (10−6) · (298)

(j) Alternate standards under 40 CFR part 86. This paragraph (j) describes alternate emission standards for loose engines certified under 40 CFR 86.1819-14(k)(8). The standards of § 1036.108 do not apply for these engines. The standards in this paragraph (j) apply for emissions measured with the engine installed in a complete vehicle consistent with the provisions of 40 CFR 86.1819-14(k)(8)(vi). The only requirements of this part that apply to these engines are those in this paragraph (j), §§ 1036.115 through 1036.135, 1036.535, and 1036.540.


(k) [Reserved]


(l) Credit adjustment for spark-ignition engines and light heavy-duty compression-ignition engines. For emission credits generated from model year 2020 and earlier engines subject to spark-ignition standards and light heavy-duty compression-ignition engines, multiply any banked credits that you carry forward to demonstrate compliance with model year 2021 and later standards by 1.36.


(m) Infrequent regeneration. For model year 2020 and earlier, you may invalidate any test interval with respect to CO2 measurements if an infrequent regeneration event occurs during the test interval. Note that § 1036.530 specifies how to apply infrequent regeneration adjustment factors for later model years.


(n) Supplying fuel maps. Engine manufacturers not yet subject to standards under § 1036.108 in model year 2021 must supply vehicle manufacturers with fuel maps (or powertrain test results) as described in § 1036.130 for those engines.


(o) Engines used in glider vehicles. For purposes of recertifying a used engine for installation in a glider vehicle, we may allow you to include in an existing certified engine family those engines you modify (or otherwise demonstrate) to be identical to engines already covered by the certificate. We would base such an approval on our review of any appropriate documentation. These engines must have emission control information labels that accurately describe their status.


(p) Transition to Phase 2 CO2 standards. If you certify all your model year 2020 engines within an averaging set to the model year 2021 FTP and SET standards and requirements, you may apply the provisions of this paragraph (p) for enhanced generation and use of emission credits. These provisions apply separately for medium heavy-duty engines and heavy heavy-duty engines.


(1) GHG emission credits you generate with model year 2018 through 2024 engines may be used through model year 2030, instead of being limited to a five-year credit life as specified in § 1036.740(d).


(2) You may certify your model year 2024 through 2026 engines to the following alternative standards:


Table 2 of § 1036.150 – Alternative Standards for Model Years 2024 Through 2026

Model years
Medium

heavy-duty-

vocational
Heavy

heavy-duty-

vocational
Medium

heavy-duty-

tractor
Heavy

heavy-duty-

tractor
2024-2026542510467442

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


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


Subpart C – Certifying Engine Families

§ 1036.205 What must I include in my application?

Submit an application for certification as described in 40 CFR 86.007-21, with the following additional information:


(a) Describe the engine family’s specifications and other basic parameters of the engine’s design and emission controls with respect to compliance with the requirements of this part. Describe in detail all system components for controlling greenhouse gas emissions, including all auxiliary emission control devices (AECDs) and all fuel-system components you will install on any production or test engine. Identify the part number of each component you describe. For this paragraph (a), treat as separate AECDs any devices that modulate or activate differently from each other.


(b) Describe any test equipment and procedures that you used if you performed any tests that did not also involve measurement of criteria pollutants. Describe any special or alternate test procedures you used (see 40 CFR 1065.10(c)).


(c) Include the emission-related installation instructions you will provide if someone else installs your engines in their vehicles (see § 1036.130).


(d) Describe the label information specified in § 1036.135. We may require you to include a copy of the label.


(e) Identify the CO2 FCLs with which you are certifying engines in the engine family; also identify any FELs that apply for CH4 and N2O. The actual U.S.-directed production volume of configurations that have CO2 emission rates at or below the FCL and CH4 and N2O emission rates at or below the applicable standards or FELs must be at least one percent of your actual (not projected) U.S.-directed production volume for the engine family. Identify configurations within the family that have emission rates at or below the FCL and meet the one percent requirement. For example, if your U.S.-directed production volume for the engine family is 10,583 and the U.S.-directed production volume for the tested rating is 75 engines, then you can comply with this provision by setting your FCL so that one more rating with a U.S.-directed production volume of at least 31 engines meets the FCL. Where applicable, also identify other testable configurations required under § 1036.230(b)(2).


(f) Identify the engine family’s deterioration factors and describe how you developed them (see § 1036.241). Present any test data you used for this.


(g) Present emission data to show that you meet emission standards, as follows:


(1) Present exhaust emission data for CO2, CH4, and N2O on an emission-data engine to show that your engines meet the applicable emission standards we specify in § 1036.108. Show emission figures before and after applying deterioration factors for each engine. In addition to the composite results, show individual measurements for cold-start testing and hot-start testing over the transient test cycle. For each of these tests, also include the corresponding exhaust emission data for criteria emissions. Note that § 1036.235 allows you to submit an application in certain cases without new emission data.


(2) [Reserved]


(h) State whether your certification is limited for certain engines. For example, if you certify heavy heavy-duty engines to the CO2 standards using only transient testing, the engines may be installed only in vocational vehicles.


(i) Unconditionally certify that all the engines in the engine family comply with the requirements of this part, other referenced parts of the CFR, and the Clean Air Act. Note that § 1036.235 specifies which engines to test to show that engines in the entire family comply with the requirements of this part.


(j) Include the information required by other subparts of this part. For example, include the information required by § 1036.725 if you participate in the ABT program.


(k) Include the warranty statement and maintenance instructions if we request them.


(l) Include other applicable information, such as information specified in this part or 40 CFR part 1068 related to requests for exemptions.


(m) For imported engines or equipment, identify the following:


(1) Describe your normal practice for importing engines. For example, this may include identifying the names and addresses of any agents you have authorized to import your engines. Engines imported by nonauthorized agents are not covered by your certificate.


(2) The location of a test facility in the United States where you can test your engines if we select them for testing under a selective enforcement audit, as specified in 40 CFR part 1068, subpart E.


(n) Include information needed to certify vehicles to GHG standards under 40 CFR part 1037 as described in § 1036.510.


§ 1036.210 Preliminary approval before certification.

If you send us information before you finish the application, we may review it and make any appropriate determinations, especially for questions related to engine family definitions, auxiliary emission control devices, adjustable parameters, deterioration factors, testing for service accumulation, and maintenance. Decisions made under this section are considered to be preliminary approval, subject to final review and approval. We will generally not reverse a decision where we have given you preliminary approval, unless we find new information supporting a different decision. If you request preliminary approval related to the upcoming model year or the model year after that, we will make best-efforts to make the appropriate determinations as soon as practicable. We will generally not provide preliminary approval related to a future model year more than two years ahead of time.


§ 1036.225 Amending my application for certification.

Before we issue you a certificate of conformity, you may amend your application to include new or modified engine configurations, subject to the provisions of this section. After we have issued your certificate of conformity, you may send us an amended application requesting that we include new or modified engine configurations within the scope of the certificate, subject to the provisions of this section. You must also amend your application if any changes occur with respect to any information that is included or should be included in your application.


(a) You must amend your application before you take any of the following actions:


(1) Add an engine configuration to an engine family. In this case, the engine configuration added must be consistent with other engine configurations in the engine family with respect to the criteria listed in § 1036.230.


(2) Change an engine configuration already included in an engine family in a way that may affect emissions, or change any of the components you described in your application for certification. This includes production and design changes that may affect emissions any time during the engine’s lifetime.


(3) Modify an FEL and FCL for an engine family as described in paragraph (f) of this section.


(b) To amend your application for certification, send the relevant information to the Designated Compliance Officer.


(1) Describe in detail the addition or change in the engine model or configuration you intend to make.


(2) Include engineering evaluations or data showing that the amended engine family complies with all applicable requirements. You may do this by showing that the original emission-data engine is still appropriate for showing that the amended family complies with all applicable requirements.


(3) If the original emission-data engine for the engine family is not appropriate to show compliance for the new or modified engine configuration, include new test data showing that the new or modified engine configuration meets the requirements of this part.


(4) Include any other information needed to make your application correct and complete.


(c) We may ask for more test data or engineering evaluations. You must give us these within 30 days after we request them.


(d) For engine families already covered by a certificate of conformity, we will determine whether the existing certificate of conformity covers your newly added or modified engine. You may ask for a hearing if we deny your request (see § 1036.820).


(e) The amended application applies starting with the date you submit the amended application, as follows:


(1) For engine families already covered by a certificate of conformity, you may start producing a new or modified engine configuration any time after you send us your amended application and before we make a decision under paragraph (d) of this section. However, if we determine that the affected engines do not meet applicable requirements in this part, we will notify you to cease production of the engines and may require you to recall the engines at no expense to the owner. Choosing to produce engines under this paragraph (e) is deemed to be consent to recall all engines that we determine do not meet applicable emission standards or other requirements in this part and to remedy the nonconformity at no expense to the owner. If you do not provide information required under paragraph (c) of this section within 30 days after we request it, you must stop producing the new or modified engines.


(2) [Reserved]


(f) You may ask us to approve a change to your FEL in certain cases after the start of production, but before the end of the model year. If you change an FEL for CO2, your FCL for CO2 is automatically set to your new FEL divided by 1.03. The changed FEL may not apply to engines you have already introduced into U.S. commerce, except as described in this paragraph (f). You may ask us to approve a change to your FEL in the following cases:


(1) You may ask to raise your FEL for your engine family at any time. In your request, you must show that you will still be able to meet the emission standards as specified in subparts B and H of this part. Use the appropriate FELs/FCLs with corresponding production volumes to calculate emission credits for the model year, as described in subpart H of this part.


(1) You may ask to raise your FEL for your engine family at any time before the end of the model year. In your request, you must show that you will still be able to meet the emission standards as specified in subparts B and H of this part. Use the appropriate FELs/FCLs with corresponding production volumes to calculate emission credits for the model year, as described in subpart H of this part.


(g) You may produce engines as described in your amended application for certification and consider those engines to be in a certified configuration if we approve a new or modified engine configuration during the model year under paragraph (d) of this section. Similarly, you may modify in-use engines as described in your amended application for certification and consider those engines to be in a certified configuration if we approve a new or modified engine configuration at any time under paragraph (d) of this section. Modifying a new or in-use engine to be in a certified configuration does not violate the tampering prohibition of 40 CFR 1068.101(b)(1), as long as this does not involve changing to a certified configuration with a higher family emission limit.


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


§ 1036.230 Selecting engine families.

See 40 CFR 86.001-24 for instructions on how to divide your product line into families of engines that are expected to have similar emission characteristics throughout the useful life. You must certify your engines to the standards of § 1036.108 using the same engine families you use for criteria pollutants under 40 CFR part 86. The following provisions also apply:


(a) Engines certified as hybrid engines may not be included in an engine family with engines with conventional powertrains. Note that this does not prevent you from including engines in a conventional family if they are used in hybrid vehicles, as long as you certify them conventionally.


(b) If you certify engines in the family for use as both vocational and tractor engines, you must split your family into two separate subfamilies. Indicate in the application for certification that the engine family is to be split.


(1) Calculate emission credits relative to the vocational engine standard for the number of engines sold into vocational applications and relative to the tractor engine standard for the number of engines sold into non-vocational tractor applications. You may assign the numbers and configurations of engines within the respective subfamilies at any time before submitting the end-of-year report required by § 1036.730. If the family participates in averaging, banking, or trading, you must identify the type of vehicle in which each engine is installed; we may alternatively allow you to use statistical methods to determine this for a fraction of your engines. Keep records to document this determination.


(2) If you restrict use of the test configuration for your split family to only tractors, or only vocational vehicles, you must identify a second testable configuration for the other type of vehicle (or an unrestricted configuration). Identify this configuration in your application for certification. The FCL for the engine family applies for this configuration as well as the primary test configuration.


(c) If you certify in separate engine families engines that could have been certified in vocational and tractor engine subfamilies in the same engine family, count the two families as one family for purposes of determining your obligations with respect to the OBD requirements and in-use testing requirements of 40 CFR part 86. Indicate in the applications for certification that the two engine families are covered by this paragraph (c).


(d) Except as described in paragraph (f) of this section, engine configurations within an engine family must use equivalent greenhouse gas emission controls. Unless we approve it, you may not produce nontested configurations without the same emission control hardware included on the tested configuration. We will only approve it if you demonstrate that the exclusion of the hardware does not increase greenhouse gas emissions.


(e) If you certify both engine fuel maps and powertrain fuel maps for an engine family, you may split the engine family into two separate subfamilies. Indicate this in your application for certification, and identify whether one or both of these sets of fuel maps applies for each group of engines. If you do not split your family, all engines within the family must conform to the engine fuel maps, including any engines for with the powertrain maps also apply.


(f) Engine families may be divided into subfamilies with respect to compliance with CO2 standards.


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


§ 1036.235 Testing requirements for certification.

This section describes the emission testing you must perform to show compliance with the greenhouse gas emission standards in § 1036.108. When testing hybrid powertrains substitute “hybrid powertrain” for “engine” as it applies to requirements for certification.


(a) Select a single emission-data engine from each engine family as specified in 40 CFR part 86. The standards of this part apply only with respect to emissions measured from this tested configuration and other configurations identified in § 1036.205(e). Note that configurations identified in § 1036.205(e) are considered to be “tested configurations”. Whether or not you actually tested them for certification. However, you must apply the same (or equivalent) emission controls to all other engine configurations in the engine family. In other contexts, the tested configuration is sometimes referred to as the “parent configuration”, although the terms are not synonymous.


(b) Test your emission-data engines using the procedures and equipment specified in subpart F of this part. In the case of dual-fuel and flexible-fuel engines, measure emissions when operating with each type of fuel for which you intend to certify the engine. (Note: Measurement of criteria emissions from flexible-fuel engines generally involves operation with the fuel mixture that best represents in-use operation, or with the fuel mixture with the highest emissions.) Measure CO2, CH4, and N2O emissions using the specified duty cycle(s), including cold-start and hot-start testing as specified in 40 CFR part 86, subpart N. The following provisions apply regarding test cycles for demonstrating compliance with tractor and vocational standards:


(1) If you are certifying the engine for use in tractors, you must measure CO2 emissions using the applicable SET specified in § 1036.501, and measure CH4 and N2O emissions using the specified transient cycle.


(2) If you are certifying the engine for use in vocational applications, you must measure CO2, CH4, and N2O emissions using the specified transient duty cycle, including cold-start and hot-start testing as specified in § 1036.501.


(3) You may certify your engine family for both tractor and vocational use by submitting CO2 emission data from both SET and transient cycle testing and specifying FCLs for both.


(4) Some of your engines certified for use in tractors may also be used in vocational vehicles, and some of your engines certified for use in vocational may be used in tractors. However, you may not knowingly circumvent the intent of this part (to reduce in-use emissions of CO2) by certifying engines designed for tractors or vocational vehicles (and rarely used in the other application) to the wrong cycle. For example, we would generally not allow you to certify all your engines to the SET without certifying any to the transient cycle.


(c) We may perform confirmatory testing by measuring emissions from any of your emission-data engines. If your certification includes powertrain testing as specified in § 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, mfuel[cycle], and mean idle fuel mass flow rates, m
fuelidle, if applicable, using the method described in § 1036.535(h).


(ii) We will perform this comparison using the weighted results from GEM, using vehicles that are appropriate for the engine under test. For example, we may select vehicles that the engine went into for the previous model year.


(iii) If you supply cycle-average engine fuel maps for the highway cruise cycles instead of generating a steady-state fuel map for these cycles, we may perform a confirmatory test of your engine fuel maps for the highway cruise cycles by either of the following methods:


(A) Directly measuring the highway cruise cycle-average fuel maps.


(B) Measuring a steady-state fuel map as described in paragraph (c)(5) of this section and using it in GEM to create our own cycle-average engine fuel maps for the highway cruise cycles.


(iv) We will replace fuel maps as a result of confirmatory testing as follows:


(A) Weight individual duty cycle results using the vehicle categories determined in paragraph (c)(5)(i) of this section and respective weighting factors in Table 1 of 40 CFR 1037.510 to determine a composite CO2 emission value for each vehicle configuration; then repeat the process for all the unique vehicle configurations used to generate the manufacturer’s fuel maps.


(B) The average percent difference between fuel maps is calculated using the following equation:




Where:

i = an indexing variable that represents one individual weighted duty cycle result for a vehicle configuration.

N = total number of vehicle configurations.

eCO2compEPAi = unrounded composite mass of CO2 emissions in g/ton-mile for vehicle configuration i for the EPA confirmatory test.

eCO2compManui = unrounded composite mass of CO2 emissions in g/ton-mile for vehicle configuration i for the manufacturer-declared map.

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


(d) You may ask to use carryover emission data from a previous model year instead of doing new tests, but only if all the following are true:


(1) The engine family from the previous model year differs from the current engine family only with respect to model year, items identified in § 1036.225(a), or other characteristics unrelated to emissions. We may waive this criterion for differences we determine not to be relevant.


(2) The emission-data engine from the previous model year remains the appropriate emission-data engine under paragraph (b) of this section.


(3) The data show that the emission-data engine would meet all the requirements that apply to the engine family covered by the application for certification.


(e) We may require you to test a second engine of the same configuration in addition to the engine tested under paragraph (a) of this section.


(f) If you use an alternate test procedure under 40 CFR 1065.10 and later testing shows that such testing does not produce results that are equivalent to the procedures specified in subpart F of this part, we may reject data you generated using the alternate procedure.


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


§ 1036.241 Demonstrating compliance with greenhouse gas emission standards.

(a) For purposes of certification, your engine family is considered in compliance with the emission standards in § 1036.108 if all emission-data engines representing the tested configuration of that engine family have test results showing official emission results and deteriorated emission levels at or below the standards. Note that your FCLs are considered to be the applicable emission standards with which you must comply for certification.


(b) Your engine family is deemed not to comply if any emission-data engine representing the tested configuration of that engine family has test results showing an official emission result or a deteriorated emission level for any pollutant that is above an applicable emission standard (generally the FCL). Note that you may increase your FCL if any certification test results exceed your initial FCL.


(c) Apply deterioration factors to the measured emission levels for each pollutant to show compliance with the applicable emission standards. Your deterioration factors must take into account any available data from in-use testing with similar engines. Apply deterioration factors as follows:


(1) Additive deterioration factor for greenhouse gas emissions. Except as specified in paragraphs (c)(2) and (3) of this section, use an additive deterioration factor for exhaust emissions. An additive deterioration factor is the difference between the highest exhaust emissions (typically at the end of the useful life) and exhaust emissions at the low-hour test point. In these cases, adjust the official emission results for each tested engine at the selected test point by adding the factor to the measured emissions. If the factor is less than zero, use zero. Additive deterioration factors must be specified to one more decimal place than the applicable standard.


(2) Multiplicative deterioration factor for greenhouse gas emissions. Use a multiplicative deterioration factor for a pollutant if good engineering judgment calls for the deterioration factor for that pollutant to be the ratio of the highest exhaust emissions (typically at the end of the useful life) to exhaust emissions at the low-hour test point. Adjust the official emission results for each tested engine at the selected test point by multiplying the measured emissions by the deterioration factor. If the factor is less than one, use one. A multiplicative deterioration factor may not be appropriate in cases where testing variability is significantly greater than engine-to-engine variability. Multiplicative deterioration factors must be specified to one more significant figure than the applicable standard.


(3) Sawtooth and other nonlinear deterioration patterns. The deterioration factors described in paragraphs (c)(1) and (2) of this section assume that the highest useful life emissions occur either at the end of useful life or at the low-hour test point. The provisions of this paragraph (c)(3) apply where good engineering judgment indicates that the highest useful life emissions will occur between these two points. For example, emissions may increase with service accumulation until a certain maintenance step is performed, then return to the low-hour emission levels and begin increasing again. Such a pattern may occur with battery-based electric hybrid engines. Base deterioration factors for engines with such emission patterns on the difference between (or ratio of) the point at which the highest emissions occur and the low-hour test point. Note that this applies for maintenance-related deterioration only where we allow such critical emission-related maintenance.


(4) [Reserved]


(5) Dual-fuel and flexible-fuel engines. In the case of dual-fuel and flexible-fuel engines, apply deterioration factors separately for each fuel type by measuring emissions with each fuel type at each test point. You may accumulate service hours on a single emission-data engine using the type of fuel or the fuel mixture expected to have the highest combustion and exhaust temperatures; you may ask us to approve a different fuel mixture if you demonstrate that a different criterion is more appropriate.


(d) Calculate emission data using measurements to at least one more decimal place than the applicable standard. Apply the deterioration factor to the official emission result, as described in paragraph (c) of this section, then round the adjusted figure to the same number of decimal places as the emission standard. Compare the rounded emission levels to the emission standard for each emission-data engine.


(e) If you identify more than one configuration in § 1036.205(e), we may test (or require you to test) any of the identified configurations. We may also require you to provide an engineering analysis that demonstrates that untested configurations listed in § 1036.205(e) comply with their FCL.


§ 1036.250 Reporting and recordkeeping for certification.

(a) Within 90 days after the end of the model year, send the Designated Compliance Officer a report including the total U.S.-directed production volume of engines you produced in each engine family during the model year (based on information available at the time of the report). Report the production by serial number and engine configuration. Small manufacturers may omit this requirement. You may combine this report with reports required under subpart H of this part.


(b) Organize and maintain the following records:


(1) A copy of all applications and any summary information you send us.


(2) Any of the information we specify in § 1036.205 that you were not required to include in your application.


(c) Keep routine data from emission tests required by this part (such as test cell temperatures and relative humidity readings) for one year after we issue the associated certificate of conformity. Keep all other information specified in this section for eight years after we issue your certificate.


(d) Store these records in any format and on any media, as long as you can promptly send us organized, written records in English if we ask for them. You must keep these records readily available. We may review them at any time.


§ 1036.255 What decisions may EPA make regarding a certificate of conformity?

(a) If we determine an application is complete and shows that the engine family meets all the requirements of this part and the Act, we will issue a certificate of conformity for the engine family for that model year. We may make the approval subject to additional conditions.


(b) We may deny an application for certification if we determine that an engine family fails to comply with emission standards or other requirements of this part or the Clean Air Act. We will base our decision on all available information. If we deny an application, we will explain why in writing.


(c) In addition, we may deny your application or suspend or revoke a certificate of conformity if you do any of the following:


(1) Refuse to comply with any testing or reporting requirements in this part.


(2) Submit false or incomplete information. This includes doing anything after submitting an application that causes submitted information to be false or incomplete.


(3) Cause any test data to become inaccurate.


(4) Deny us from completing authorized activities (see 40 CFR 1068.20). This includes a failure to provide reasonable assistance.


(5) Produce engines for importation into the United States at a location where local law prohibits us from carrying out authorized activities.


(6) Fail to supply requested information or amend an application to include all engines being produced.


(7) Take any action that otherwise circumvents the intent of the Act or this part.


(d) We may void a certificate of conformity if you fail to keep records, send reports, or give us information as required under this part or the Act. Note that these are also violations of 40 CFR 1068.101(a)(2).


(e) We may void a certificate of conformity if we find that you intentionally submitted false or incomplete information. This includes doing anything after submitting an application that causes submitted information to be false or incomplete after submission.


(f) If we deny an application or suspend, revoke, or void a certificate, you may ask for a hearing (see § 1036.820).


[86 FR 34379, June 29, 2021]


Subpart D – Testing Production Engines and Hybrid Powertrains

§ 1036.301 Measurements related to GEM inputs in a selective enforcement audit.

(a) Selective enforcement audits apply for engines as specified in 40 CFR part 1068, subpart E. This section describes how this applies uniquely in certain circumstances.


(b) Selective enforcement audit provisions apply with respect to your fuel maps as follows:


(1) A selective enforcement audit for an engine with respect to fuel maps would consist of performing measurements with production engines to determine fuel-consumption rates as declared for GEM simulations, and running GEM for the vehicle configurations specified in paragraph (b)(2) of this section based on those measured values. The engine is considered passing for a given configuration if the new modeled emission result for each applicable duty cycle is at or below the modeled emission result corresponding to the declared GEM inputs. The engine is considered failing for a given configuration if the new modeled emission result for any applicable duty cycle is above the modeled emission result corresponding to the declared GEM inputs.


(2) Evaluate cycle-average fuel maps by running GEM based on simulated vehicle configurations representing the interpolated center of every group of four test points that define a boundary of cycle work and average engine speed divided by average vehicle speed. These simulated vehicle configurations are defined from the four surrounding points based on averaging values for vehicle mass, drag area (if applicable), tire rolling resistance, tire size, and axle ratio. The regulatory subcategory is defined by the regulatory subcategory of the vehicle configuration with the greatest mass from those four test points. Figure 1 of this section illustrates a determination of vehicle configurations for engines used in tractors and Vocational 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 Mavg = Msubcategory
2/3 · Mreduction, which can be solved for Mreduction. For vocational vehicles, half of weight reduction is applied to vehicle weight and half is understood to represent increased payload. Use the following values for default vehicle masses by vehicle subcategory:


Table 1 of § 1036.301 – Default Vehicle Mass by Vehicle Subcategory

Vehicle subcategory
Default

vehicle mass

(kg)
Vocational Light HDV7,257
Vocational Medium HDV11,408
Class 7 Mid-Roof Day Cab20,910
Class 8 Mid-Roof Day Cab29,529
Class 8 High-Roof Sleeper Cab31,978
Heavy-Haul Tractor53,750

(3) This paragraph (b)(3) provides an example to illustrate how to determine GEM input values for the four vehicle configurations identified in paragraph (b)(2) of this section. If axle ratio is 2.5 for Tests 1 and 2, and 3.5 for Tests 4 and 5, the average value is 3.0. A tire size of 500 revolutions per mile would apply for all four tests, so the average tire size would be that same value. Similarly, Crr is 6.9 kg/tonne since that value applies for all four points. The calculated average value of CdA is 6.9 m
2. The calculated average vehicle mass is 28,746.5 kg. Weight reduction is 4,847 kg or 10,686 pounds (
3/2 · (31,978 − 28,746.5)).


(4) Because your cycle-average map may have more or fewer test points, you may have more than or fewer than the number of audit points shown in Figure 1 of this section. If the audit includes fuel-map testing in conjunction with engine testing relative to exhaust emission standards, the fuel-map simulations for the whole set of vehicles and duty cycles counts as a single test result for purposes of evaluating whether the engine family meets the pass-fail criteria under 40 CFR 1068.420. If the audit includes only fuel-map testing, determine emission results from at least three different engine configurations simulated with each applicable vehicle configuration identified in § 1036.540; the fuel-map simulation for each vehicle configuration counts as a separate test for the engine.



(c) If your certification includes powertrain testing as specified in 40 CFR 1036.630, these selective enforcement audit provisions apply with respect to powertrain test results as specified in 40 CFR part 1037, subpart D, and 40 CFR 1037.550. We may allow manufacturers to instead perform the engine-based testing to simulate the powertrain test as specified in 40 CFR 1037.551.


(d) We may suspend or revoke certificates for any appropriate configurations within one or more engine families based on the outcome of a selective enforcement audit.


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


Subpart E – In-Use Testing

§ 1036.401 In-use testing.

We may perform in-use testing of any engine family subject to the standards of this part, consistent with the Clean Air Act and the provisions of § 1036.235. Note that this provision does not affect your obligation to test your in-use engines as described in 40 CFR part 86, subpart T.


Subpart F – Test Procedures

§ 1036.501 How do I run a valid emission test?

(a) Use the equipment and procedures specified in this subpart and 40 CFR 86.1305 to determine whether engines meet the emission standards in § 1036.108.


(b) You may use special or alternate procedures to the extent we allow them under 40 CFR 1065.10.


(c) This subpart is addressed to you as a manufacturer, but it applies equally to anyone who does testing for you, and to us when we perform testing to determine if your engines meet emission standards.


(d) For engines that use aftertreatment technology with infrequent regeneration events, apply infrequent regeneration adjustment factors as described in § 1036.530.


(e) Test hybrid engines as described in § 1036.525 and 40 CFR part 1065.


(f) Determine engine fuel maps as described in § 1036.510(b).


(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 CO2, CH4, and N2O emissions using the transient cycle specified in either 40 CFR 86.1333 or § 1036.510.


(2) For engines subject to SET testing under § 1036.108(a)(1), measure CO2 emissions using the SET specified in 40 CFR 86.1362.


(h) The following additional provisions apply for testing to demonstrate compliance with the emission standards in § 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 CO2 emissions:


(i) Use the SET duty cycle specified in § 1036.505 using either continuous or batch sampling.


(ii) Measure CO2 emissions over the SET duty cycle specified in 40 CFR 86.1362 using continuous sampling. Integrate the test results by mode to establish separate emission rates for each mode (including the transition following each mode, as applicable). Apply the CO2 weighting factors specified in 40 CFR 86.1362 to calculate a composite emission result.


(3) Measure CO2, CH4, and N2O emissions over the transient cycle specified in either 40 CFR 86.1333 or § 1036.510.


(4) Measure or calculate emissions of criteria pollutants corresponding to your measurements to demonstrate compliance with CO2 standards in subpart B of this part. These test results are not subject to the duty-cycle standards of 40 CFR part 86, subpart A.


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


§ 1036.503 Engine data and information for vehicle certification.

You must give vehicle manufacturers information as follows so they can certify model year 2021 and later vehicles:


(a) Identify engine make, model, fuel type, combustion type, engine family name, calibration identification, and engine displacement. Also identify which standards the engines meet.


(b) This paragraph (b) describes four different methods to generate engine fuel maps. For engines without hybrid components or mild hybrid where you choose not to include hybrid components in the test, you must generate fuel maps using either paragraph (b)(1) or (2) of this section. For mild hybrid engines where you choose to include the hybrid components in the test and for hybrid engines, you must generate fuel maps using paragraph (b)(4) of this section. For all other hybrids, powertrains, and for vehicles where the transmission is not automatic, automated manual, manual, or dual-clutch you must use paragraph (b)(3) of this section.


(1) Combined steady-state and cycle-average. Determine steady-state engine fuel maps and fuel consumption at idle as described in § 1036.535(b) and (c) respectively, and determine cycle-average engine fuel maps as described in § 1036.540, excluding cycle-average fuel maps for highway cruise cycles.


(2) Cycle-average. Determine fuel consumption at idle as described in § 1036.535(c) and (d), and determine cycle-average engine fuel maps as described in § 1036.540, including cycle-average engine fuel maps for highway cruise cycles. In this case, you do not need to determine steady-state engine fuel maps under § 1036.535(b). Fuel mapping for highway cruise cycles using cycle-average testing is an alternate method, which means that we may do confirmatory testing based on steady-state fuel mapping for highway cruise cycles even if you do not; however, we will use the steady-state fuel maps to create cycle-average fuel maps. In § 1036.540 we define the vehicle configurations for testing; we may add more vehicle configurations to better represent your engine’s operation for the range of vehicles in which your engines will be installed (see 40 CFR 1065.10(c)(1)).


(3) Powertrain. Generate a powertrain fuel map as described in 40 CFR 1037.550. In this case, you do not need to perform fuel mapping under § 1036.535 or § 1036.540. The option in 40 CFR 1037.550(b)(2) is only allowed for hybrid powertrain testing.


(4) Hybrid engine. Determine fuel consumption at idle as described in § 1036.535(c) and (d), and determine cycle-average engine fuel maps as described in § 1037.550, including cycle-average engine fuel maps for highway cruise cycles.


(c) Provide the following information if you generate engine fuel maps using either paragraph (b)(1), (2), or (4) of this section:


(1) Full-load torque curve for installed engines, and the full-load torque curve of the engine (parent engine) with the highest fueling rate that shares the same engine hardware, including the turbocharger, as described in 40 CFR 1065.510. You may use 40 CFR 1065.510(b)(5)(i) for engines subject to spark-ignition standards. Measure the torque curve for hybrid engines that have an RESS as described in 40 CFR 1065.510(g)(2) with the hybrid system active. For hybrid engines that do not include an RESS follow 40 CFR 1065.510(b)(5)(ii).


(2) Motoring torque map as described in 40 CFR 1065.510(c)(2) and (5) for conventional and hybrid engines, respectively. For engines with a low-speed governor, remove data points where the low speed governor is active. If you don’t know when the low-speed governor is active, we recommend removing all points below 40 r/min above the low warm idle speed.


(3) Declared engine idle speed. For vehicles with manual transmissions, this is the engine speed with the transmission in neutral. For all other vehicles, this is the engine’s idle speed when the transmission is in drive.


(4) The engine idle speed during the transient cycle-average fuel map.


(5) The engine idle torque during the transient cycle-average fuel map.


(d) If you generate powertrain fuel maps using paragraph (b)(3) of this section, determine the system continuous rated power according to § 1036.527.


[86 FR 34380, June 29, 2021]


§ 1036.505 Supplemental emission test.

(a) Starting in model year 2021, you must measure CO2 emissions using the SET duty cycle in 40 CFR 86.1362 as described in § 1036.501, or using the SET duty cycle in this section.


(b) Perform SET testing with one of the following procedures:


(1) For engine testing, the SET duty cycle is based on normalized speed and torque values relative to certain maximum values. Denormalize torque as described in 40 CFR 1065.610(d). Denormalize speed as described in 40 CFR 1065.512.


(2) For hybrid powertrain and hybrid engine testing, follow 40 CFR 1037.550 to carry out the test, but do not compensate the duty cycle for the distance driven as described in 40 CFR 1037.550(g)(4), for hybrid engines select the transmission from Table 1 of § 1036.540 substituting “engine” for “vehicle” and “highway cruise cycle” for “SET”, and cycles do not follow 40 CFR 1037.550(j). For cycles that begin with a set of contiguous idle points, leave the transmission in neutral or park for the full initial idle segment. Place the transmission into drive within 5 seconds of the first nonzero vehicle speed setpoint. Place the transmission into park or neutral when the cycle reaches SET mode 14. Use the following vehicle parameters in place of those in 40 CFR 1037.550 to define the vehicle model in 40 CFR 1037.550(a)(3):


(i) Determine the vehicle test mass, M, as follows:




Where:

Pcontrated = the continuous rated power of the hybrid system determined in § 1036.527.

Pcontrated = 350.1 kW

M = 15.1·350.1
1.31 = 32499 kg

(ii) Determine the vehicle frontal area, Afront, as follows:


(A) For M ≤ 18050 kg:




Example:
M = 16499 kg

Afront = −169 · 10−8 · 16499
2 + 6.33 · 10−4 · 16499 + 1.67 = 7.51 m
2

(B) For M > 18050 kg, Afront = 7.59 m
2.


(iii) Determine the vehicle drag area, CdA, as follows:




Where:

g = gravitational constant = 9.80665 m/s
2.

ρ = air density at reference conditions. Use ρ = 1.1845 kg/m
3.


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



(vii) Select a drive axle ratio, ka, that represents the worst-case pair of drive axle ratio and tire size for CO2 expected for vehicles in which the powertrain will be installed. This is typically the highest numeric axle ratio.


(viii) Select a tire radius, r, that represents the worst-case pair of tire size and drive axle ratio for CO2 expected for vehicles in which the powertrain will be installed. This is typically the smallest tire radius.


(ix) If you are certifying a hybrid powertrain system without the transmission, use a default transmission efficiency of 0.95. If you certify with this configuration, you must use 40 CFR 1037.550(a)(3)(ii) to create the vehicle model along with its default transmission shift strategy. Use the transmission parameters defined in Table 1 of § 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, Effaxle, according to 40 CFR 1037.550.


(c) Measure emissions using the SET duty cycle shown in Table 1 of this section to determine whether engines and hybrid powertrains meet the steady-state compression-ignition standards specified in subpart B of this part. Table 1 of this section specifies settings for engine and hybrid powertrain testing, as follows:


(1) The duty cycle for testing engines involves a schedule of normalized engine speed and torque values.


(2) The duty cycle for hybrid powertrain testing involves a schedule of vehicle speeds and road grade.


(i) Determine road grade at each point based on the continuous rated power of the hybrid powertrain system, Pcontrated, in kW determined in § 1036.527, the vehicle speed (A, B, or C) in mi/hr for a given SET mode, vref[speed], and the specified road grade coefficients using the following equation:



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

Pcontrated = 345.2 kW

vrefB = 59.3 mi/hr

Road grade = 8.296 · 10−9 · 345.2
3 + (−4.752 · 10−7) · 345.2
2 · 59.3 + 1.291 · 10−5 · 345.2
2 + 2.88 · 10−4 · 59.3
2 · 4.524 · 10−4 · 345.2 · 59.3 + (−1.802 · 10−2) · 345.2 + (−1.83 · 10−1) · 59.3 + 8.81 = 0.53%

(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:





[86 FR 34381, June 29, 2021]


§ 1036.510 Transient testing.

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


(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 Pcontrated with Prated, the peak rated power determined in § 1036.527, keep the transmission in drive for all idle segments after the initial idle segment, and for hybrid engines select the transmission from Table 1 of § 1036.540 substituting “engine” for “vehicle”. You may request to change the engine commanded torque at idle to better represent curb idle transmission torque (CITT).


(c) The transient test sequence consists of an initial run through the transient duty cycle from a cold start, 20 minutes with no engine operation, then a final run through of the same transient duty cycle. Emissions from engine starting is part of the both the cold and hot test intervals. Calculate the total emission mass of each constituent, m, and the total work, W, over each test interval according to 40 CFR 1065.650. Calculate the official transient emission result from the cold-start and hot-start test intervals using the following equation:



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


[86 FR 34385, June 29, 2021]


§ 1036.525 Hybrid engines.

(a) For model years 2014 through 2020, if your engine system includes features that recover and store energy during engine motoring operation, test the engine as described in paragraph (d) of this section. For purposes of this section, features that recover energy between the engine and transmission are considered related to engine motoring.


(b) If you produce a hybrid engine designed with power take-off capability and sell the engine coupled with a transmission, you may calculate a reduction in CO2 emissions resulting from the power take-off operation as described in 40 CFR 1037.540. Quantify the CO2 reduction for your engines using the vehicle-based procedures, consistent with good engineering judgment.


(c) For engines that include electric hybrid systems, test the engine with the hybrid electric motor, the rechargeable energy storage system (RESS), and the power electronics between the hybrid electric motor and the RESS. You may ask us to modify the provisions of this section for testing engines with other kinds of hybrid systems.


(d) Measure emissions using the same procedures that apply for testing non-hybrid engines under this part, except as specified in this part and 40 CFR part 1065. For SET testing, deactivate the hybrid features unless we specify otherwise. The following provisions apply for testing hybrid engines:


(1) Engine mapping. Map the engine as specified in 40 CFR 1065.510. This requires separate torque maps for the engine with and without the hybrid features active. For transient testing, denormalize the duty cycle using the map generated with the hybrid feature active. For steady-state testing, denormalize the duty cycle using the map generated without the hybrid feature.


(2) Engine shutdown during testing. If you will configure production engines to shut down automatically during idle operation, you may let the engine shut down during the idle portions of the duty cycle.


(3) Work calculation. Calculate positive and negative work done over the cycle according to 40 CFR 1065.650(d), except that you must set power to zero to calculate negative work done for any period over the cycle where the engine produces net positive power or where the negative power is solely from the engine and not the hybrid system.


(4) Limits on braking energy. Calculate brake energy fraction, xb, as follows:


(i) Calculate xb as the integrated negative work over the cycle divided by the integrated positive work over the cycle according to Eq. 1036.525-1. Calculate the brake energy limit for the engine, xbl, according to Eq. 1036.525-2. If xb is less than or equal to xbl, use the integrated positive work for your emission calculations. If xb is greater than xbl use Eq. 1036.525-3 to calculate an adjusted value for cycle work, Wcycle, and use Wcycle as the work value for calculating emission results. You may set an instantaneous brake target that will prevent xb from being larger than xbl to avoid the need to subtract extra brake work from positive work.




Where:

Wneg = the negative work over the cycle.

Wpos = the positive work over the cycle.



Where:

Pmax = the maximum power of the engine with the hybrid system engaged, in kW.



Where:

Wcycle = cycle work when xb is greater than xbl.


Example:
Wneg = 4.69 kW-hr

Wpos = 14.67 kW-hr

Pmax = 223 kW


xbl = 4.158 · 10−4 · 223 + 0.2247 = 0.317423

since xb > xbl;

Wcycle = 14.67−(|4.69|−0.317423 · 0.317423 · 14.67) = 14.6365 kW-hr

(ii) Convert from g/kW-hr to g/hp-hr as the final step in calculating emission results.


(5) State of charge. Correct for the net energy change of the energy storage device as described in 40 CFR 1066.501.


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


§ 1036.527 Powertrain system rated power determination.

This section describes how to determine the peak and continuous rated power of conventional and hybrid powertrain systems and the vehicle speed for carrying out testing according to §§ 1036.505 and 1036.510 and 40 CFR 1037.550.


(a) Set up the powertrain according to 40 CFR 1037.550, but use the vehicle parameters in § 1036.505(b)(2), except replace Pcontrated with the manufacturer declared system peak power and use applicable automatic transmission for the engine. Note that if you repeat the system rated power determination as described in paragraph (f)(4) of this section, use the measured system peak power in place of Pcontrated.


(b) Prior to the start of each test interval verify the following:


(1) The state-of-charge of the rechargeable energy storage system (RESS) is ≥90% of the operating range between the minimum and maximum RESS energy levels specified by the manufacturer.


(2) The conditions of all hybrid system components are within their normal operating range as declared by the manufacturer.


(3) RESS restrictions (e.g., power limiting, thermal limits, etc.) are not active.


(c) Carry out the test as follows:


(1) Warm up the powertrain by operating it. We recommend operating the powertrain at any vehicle speed and road grade that achieves approximately 75% of its expected maximum power. Continue the warm-up until the engine coolant, block, or head absolute temperature is within ±2% of its mean value for at least 2 min or until the engine thermostat controls engine temperature.


(2) Start the test by keying on the powertrain and letting it sit at 0 mi/hr for 50 seconds.


(3) Set maximum driver demand for a full load acceleration at 6% road grade starting at an initial vehicle speed of 0 mi/hr.


(4) 268 seconds after the initiation of paragraph (c)(3) of this section, linearly ramp the grade from 6% to 0% over 300 seconds. Stop the test after the vehicle speed has stopped increasing above the maximum value observed during the test.


(d) Record the powertrain system angular speed and torque values measured at the dynamometer at 100 Hz and use these in conjunction with the vehicle model to calculate Psys,vehicle.


(e) Calculate the system power, Psys, for each data point as follows:


(1) For testing with the speed and torque measurements at the transmission input shaft, Psys is equal to the calculated vehicle system peak power, Psys,vehicle, determined in paragraphs (c) through (d) of this section.


(2) For testing with the speed and torque measurements at the axle input shaft or the wheel hubs, determine Psys using the following equation:




Where:

Psys,vehicle = the calculated vehicle system peak power.

εtrans = the default transmission efficiency = 0.95.

εaxle = the default axle efficiency. Set this value = 1 for speed and torque measurement at the axle input shaft or = 0.955 at the wheel hubs.


Example:
Psys,vehicle = 317.6 kW


(f) The system peak rated power, Prated, is the highest calculated Psys where the coefficient of variation (COV)

(1) Calculate the standard deviation, σ(t).




Where:

N = the number of measurement intervals = 20.

Psysi = the N samples in the 100 Hz signal previously used to calculate the respective Pµ(t) values at the time step t.

P
µ(t) = the power vector from the results of each test run that is determined by a moving averaging of 20 consecutive samples of Psys in the 100 Hz that converts Pµ(t) to a 5 Hz signal.

(2) The resulting 5 Hz power and covariance signals are used to determine system rated power.


(3) The coefficient of variation COV(t) shall be calculated as the ratio of the standard deviation, σ(t), to the mean value of power, P
µ(t), for each time step t.



(4) If the determined system peak rated power is not within ±3% of the system peak rated power as declared by the manufacturer, you must repeat the procedure in paragraphs (a) through (f)(3) of this section using the measured system peak rated power determined in paragraph (f) of this section instead of the manufacturer declared value. The result from this repeat is the final determined system peak rated power.


(5) If the determined system peak rated power is within ±3% of the system peak rated power as declared by the manufacturer, the declared system peak rated power shall be used.


(g) Determine continuous rated power as follows:


(1) For conventional powertrains, Pcontrated equals Prated.


(2) For hybrid powertrains, continuous rated power, Pcontrated, is the maximum measured power from the data collected in paragraph (c)(3) of this section that meets the requirements in paragraph (f) of this section.


(h) Vehicle C speed, νrefC, is determined as follows:


(1) For powertrains where Psys is greater than 0.98 · Pcontrated in top gear at more than one vehicle speed, νrefC is the average of the minimum and maximum vehicle speeds from the data collected in paragraph (c)(4) of this section that meets the requirements in paragraph (f) of this section.


(2) For powertrains where Psys is not greater than 0.98 · Pcontrated in top gear at more than one vehicle speed, νrefC is the maximum vehicle speed from the data collected in paragraph (c)(4) of this section that meets the requirements in paragraph (f) of this section where Psys is great than 0.98 · Pcontrated.


[86 FR 34386, June 29, 2021]


§ 1036.530 Calculating greenhouse gas emission rates.

This section describes how to calculate official emission results for CO2, CH4, and N2O.


(a) Calculate brake-specific emission rates for each applicable duty cycle as specified in 40 CFR 1065.650. Apply infrequent regeneration adjustment factors to your CO2 emission results for each duty cycle as described in 40 CFR 86.004-28 starting in model year 2021. You may optionally apply infrequent regeneration adjustment factors for CH4 and N2O.


(b) Adjust CO2 emission rates calculated under paragraph (a) of this section for measured test fuel properties as specified in this paragraph (b). This adjustment is intended to make official emission results independent of differences in test fuels within a fuel type. Use good engineering judgment to develop and apply testing protocols to minimize the impact of variations in test fuels.


(1) Determine your test fuel’s mass-specific net energy content, Emfuelmeas, also known as lower heating value, in MJ/kg, expressed to at least three decimal places. Determine Emfuelmeas as follows:


(i) For liquid fuels, determine Emfuelmeas according to ASTM D4809 (incorporated by reference in § 1036.810). Have the sample analyzed by at least three different labs and determine the final value of your test fuel’s Emfuelmeas as the median all of the lab results you obtained. If you have results from three different labs, we recommend you screen them to determine if additional observations are needed. To perform this screening, determine the absolute value of the difference between each lab result and the average of the other two lab results. If the largest of these three resulting absolute value differences is greater than 0.297 MJ/kg, we recommend you obtain additional results prior to determining the final value of Emfuelmeas.


(ii) For gaseous fuels, determine Emfuelmeas according to ASTM D3588 (incorporated by reference in § 1036.810).


(2) Determine your test fuel’s carbon mass fraction, wC, as described in 40 CFR 1065.655(d), expressed to at least three decimal places; however, you must measure fuel properties rather than using the default values specified in Table 1 of 40 CFR 1065.655.


(i) For liquid fuels, have the sample analyzed by at least three different labs and determine the final value of your test fuel’s wC as the median of all of the lab results you obtained. If you have results from three different labs, we recommend you screen them to determine if additional observations are needed. To perform this screening, determine the absolute value of the difference between each lab result and the average of the other two lab results. If the largest of these three resulting absolute value differences is greater than 1.56 percent carbon, we recommend you obtain additional results prior to determining the final value of wC.


(ii) For gaseous fuels, have the sample analyzed by a single lab and use that result as your test fuel’s wC.


(3) If, over a period of time, you receive multiple fuel deliveries from a single stock batch of test fuel, you may use constant values for mass-specific energy content and carbon mass fraction, consistent with good engineering judgment. To use this paragraph (b)(3), you must demonstrate that every subsequent delivery comes from the same stock batch and that the fuel has not been contaminated.


(4) Correct measured CO2 emission rates as follows:




Where:

eCO2 = the calculated CO2 emission result.

Emfuelmeas = the mass-specific net energy content of the test fuel as determined in paragraph (b)(1) of this section. Note that dividing this value by wCmeas (as is done in this equation) equates to a carbon-specific net energy content having the same units as EmfuelCref.

EmfuelCref = the reference value of carbon-mass-specific net energy content for the appropriate fuel type, as determined in Table 1 of this section.

wCmeas = carbon mass fraction of the test fuel (or mixture of test fuels) as determined in paragraph (b)(2) of this section.


Example:
eCO2 = 630.0 g/hp·hr

Emfuelmeas = 42.528 MJ/kg

EmfuelCref = 49.3112 MJ/kgC

wCmeas = 0.870


eCO2cor = 624.5 g/hp·hr

Table 1 to § 1036.530 – Reference Fuel Properties

Fuel type
a
Reference fuel carbon-mass-

specific net energy content,

EmfuelCref, (MJ/kgC)
b
Reference fuel carbon

mass fraction, wCref
b
Diesel fuel49.31120.874
Gasoline50.47420.846
Natural Gas66.29100.750
LPG56.52180.820
Dimethyl Ether55.38860.521
High-level ethanol-gasoline blends50.32110.576


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


b For multi-fuel streams, such as natural gas with diesel fuel pilot injection, use good engineering judgment to determine blended values for EmfuelCref and wCref using the values in this table.


(c) Your official emission result for each pollutant equals your calculated brake-specific emission rate multiplied by all applicable adjustment factors, other than the deterioration factor.


[86 FR 34387, June 29, 2021]


§ 1036.535 Determining steady-state engine fuel maps and fuel consumption at idle.

This section describes how to determine an engine’s steady-state fuel map and fuel consumption at idle for model year 2021 and later vehicles. Vehicle manufacturers may need these values to demonstrate compliance with emission standards under 40 CFR part 1037 as described in § 1036.510.


(a) General test provisions. Perform fuel mapping using the procedure described in paragraph (b) of this section to establish measured fuel-consumption rates at a range of engine speed and load settings. Measure fuel consumption at idle using the procedure described in paragraph (c) of this section. If you perform cycle-average mapping for highway cruise cycles as described in § 1036.540, omit mapping under paragraph (b) of the section and instead perform mapping as described in paragraph (d) of this section. Use these measured fuel-consumption values to declare fuel-consumption rates for certification as described in paragraph (e) of this section.


(1) Map the engine’s torque curve and declare engine idle speed as described in § 1036.503(c)(1) and (3), and perform emission measurements as described in 40 CFR 1065.501 and 1065.530 for discrete-mode steady-state testing. This section uses engine parameters and variables that are consistent with 40 CFR part 1065.


(2) Measure NOX emissions for each specified sampling period in g/s. You may perform these measurements using a NOX emission-measurement system that meets the requirements of 40 CFR part 1065, subpart J. Include these measured NOX values any time you report to us your fuel consumption values from testing under this section. If a system malfunction prevents you from measuring NOX emissions during a test under this section but the test otherwise gives valid results, you may consider this a valid test and omit the NOX emission measurements; however, we may require you to repeat the test if we determine that you inappropriately voided the test with respect to NOX emission measurement.


(b) Steady-state fuel mapping. Determine fuel-consumption rates for each engine configuration over a series of steady-state engine operating points consisting of pairs of speed and torque points as described in this paragraph (b). You may use shared data across an engine platform to the extent that the fuel-consumption rates remain valid. For example, if you test a high-output configuration and create a different configuration that uses the same fueling strategy but limits the engine operation to be a subset of that from the high-output configuration, you may use the fuel-consumption rates for the reduced number of mapped points for the low-output configuration, as long as the narrower map includes at least 70 points. Perform fuel mapping as follows:


(1) Generate the sequence of steady-state engine operating points as follows:


(i) Determine the required steady-state engine operating points as follows:


(A) For engines with an adjustable warm idle speed setpoint, select the following speed setpoints: Minimum warm idle speed, fnidlemin, the highest speed above maximum power at which 70% of maximum power occurs, nhi, and eight (or more) equally spaced points between fnidlemin and nhi. (See 40 CFR 1065.610(c)). For engines without an adjustable warm idle speed replace minimum warm idle speed with warm idle speed, fnidle.


(B) Select the following torque setpoints at each of the selected speed setpoints: Zero (T = 0), maximum mapped torque, Tmax mapped, and eight (or more) equally spaced points between T = 0 and Tmax mapped. For each of the selected speed setpoints, replace any torque setpoints that are above the mapped torque at the selected speed setpoint, Tmax, minus 5 percent of Tmax mapped, with one test point at Tmax.


(ii) Select any additional (optional) steady-state engine operating points consistent with good engineering judgment. For example you may select additional points when linear interpolation between the defined points is not a reasonable assumption for determining fuel consumption from the engine. For each additional speed setpoint, increments between torque setpoints must be no larger than one-ninth of Tmax,mapped and we recommend including a torque setpoint of Tmax. If you select a maximum torque setpoint less than Tmax, use good engineering judgment to select your maximum torque setpoint to avoid unrepresentative data. Note that if the test points were added for the child rating, they should still be reported in the parent fuel map. We will select at least as many points as you.


(iii) Set the run order for all of the steady-state engine operating points (both required and optional) as described in this paragraph (b)(1)(iii). Arrange the list of steady-state engine operating points such that the resulting list of paired speed and torque setpoints begins with the highest speed setpoint and highest torque setpoint followed by decreasing torque setpoints at the highest speed setpoint. This will be followed by the next lowest speed setpoint and the highest torque setpoint at that speed setpoint continuing through all the steady-state engine operating points and ending with the lowest speed (fnidlemin) and torque setpoint (T = 0). The following figure provides an example of this array of points and run order.



(iv) The steady-state engine operating points that have the highest torque setpoint for a given speed setpoint are optional reentry points into the steady-state-fuel-mapping sequence, should you need to pause or interrupt the sequence during testing.


(v) The steady-state engine operating points that have the lowest torque setpoint for a given speed setpoint are optional exit points from the steady-state-fuel-mapping sequence, should you need to pause or interrupt the sequence during testing.


(2) If the engine has an adjustable warm idle speed setpoint, set it to its minimum value, fnidlemin.


(3) During each test interval, control speed within ±1% of nhi and engine torque within ±5% of Tmax mapped except for the following cases where both setpoints cannot be achieved because the steady-state engine operating point is near an engine operating boundary:


(i) For steady-state engine operating points that cannot be achieved and the operator demand stabilizes at minimum; control the dynamometer so it gives priority to follow the torque setpoint and let the engine govern the speed (see 40 CFR 1065.512(b)(1)). In this case, the tolerance on speed control in paragraph (b)(3) of this section does not apply and engine torque is controlled to within ±25 N·m.


(ii) For steady-state engine operating points that cannot be achieved and the operator demand stabilizes at maximum and the speed setpoint is below 90% of nhi; control the dynamometer so it gives priority to follow the speed setpoint and let the engine govern the torque (see 40 CFR 1065.512(b)(2)). In this case, the tolerance on torque control given in paragraph (b)(3) of this section does not apply.


(iii) For steady-state engine operating points that cannot be achieved and the operator demand stabilizes at maximum and the speed setpoint is at or above 90% of nhi; control the dynamometer so it gives priority to follow the torque setpoint and let the engine govern the speed (see 40 CFR 1065.512(b)(1)). In this case, the tolerance on speed control given in paragraph (b)(3) of this section does not apply.


(iv) For the steady-state engine operating points at the minimum speed setpoint and maximum torque setpoint, you may select a dynamometer control mode that gives priority to speed and an engine control mode that gives priority to torque. In this case, if the operator demand stabilizes at minimum or maximum, the tolerance on torque control in paragraph (b)(3) of this section does not apply.


(4) You may select the appropriate dynamometer and engine control modes in real-time or at any time prior based on various factors including the operating setpoint location relative to an engine operating boundary. Warm-up the engine as described in 40 CFR 1065.510(b)(2).


(5) Within 60 seconds after concluding the warm-up, linearly ramp the speed and torque setpoints over 5 seconds to the first steady-state engine operating point from paragraph (b)(1) of this section.


(6) Operate the engine at the steady-state engine operating point for (70 ±1) seconds, and then start the test interval and record measurements using one of the following methods. You must also measure and report NOX emissions over each test interval as described in paragraph (a)(2) of this section. If you use redundant systems for the determination of fuel consumption, for example combining measurements of dilute and raw emissions when generating your map, follow the requirements of 40 CFR 1065.201(d).


(i) Indirect measurement of fuel flow. Record speed and torque and measure emissions and other inputs needed to run the chemical balance in 40 CFR 1065.655(c) for a (30 ±1) second test interval; determine the corresponding mean values for the test interval. For dilute sampling of emissions, in addition to the background measurement provisions described in 40 CFR 1065.140 you may do the following:


(A) If you use batch sampling to measure background emissions, you may sample periodically into the bag over the course of multiple test intervals and read them as allowed in paragraph (b)(7)(i) of this section. If you use this paragraph (b)(6)(i)(A), you must apply the same background readings to correct emissions from each of the applicable test intervals.


(B) You may determine background emissions by sampling from the dilution air during the non-test interval periods in the test sequence, including pauses allowed in paragraph (b)(7)(i) of this section. If you use this paragraph (b)(6)(i)(B), you must allow sufficient time for stabilization of the background measurement; followed by an averaging period of at least 30 seconds. Use the average of the most recent pre-test interval and the next post-test interval background readings to correct each test interval. The most recent pre-test interval background reading must be taken no greater than 30 minutes prior to the start of the first applicable test interval and the next post-test interval background reading must be taken no later than 30 minutes after the end of the last applicable test interval. Background readings must be taken prior to the test interval for each reentry point and after the test interval for each exit point or more frequently.


(ii) Direct measurement of fuel flow. Record speed and torque and measure fuel consumption with a fuel flow meter for a (30 ±1) second test interval; determine the corresponding mean values for the test interval.


(7) After completing the test interval described in paragraph (b)(6) of this section, linearly ramp the speed and torque setpoints over 5 seconds to the next steady-state engine operating point.


(i) You may pause the steady-state-fuel-mapping sequence at any of the reentry points (as noted in paragraph (b)(1)(iv) of this section) to calibrate emission-measurement instrumentation; to read and evacuate background bag samples collected over the course of multiple test intervals; or to sample the dilution air for background emissions. This paragraph (b)(7)(i) allows you to spend more than the 70 seconds noted in paragraph (b)(6) of this section.


(ii) If an infrequent regeneration event occurs, interrupt the steady-state-fuel-mapping sequence and allow 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, m
fuel, for each point in the fuel map using the following equation:




Where:

m
fuel = mean fuel mass flow rate for a given fuel map setpoint, expressed to at least the nearest 0.001 g/s.

MC = molar mass of carbon.

wCmeas = carbon mass fraction of fuel (or mixture of test fuels) as determined in 40 CFR 1065.655(d), except that you may not use the default properties in Table 1 of 40 CFR 1065.655 to determine α, β, and wC for liquid fuels. You may not account for the contribution to α, β, γ, and δ of diesel exhaust fluid or other non-fuel fluids injected into the exhaust.

n
exh = the mean raw exhaust molar flow rate from which you measured emissions according to 40 CFR 1065.655.

xCcombdry = the mean concentration of carbon from fuel and any injected fluids in the exhaust per mole of dry exhaust as determined in 40 CFR 1065.655(c).

xH2Oexhdry = the mean concentration of H2O in exhaust per mole of dry exhaust as determined in 40 CFR 1065.655(c).

m
CO2DEF = the mean CO2 mass emission rate resulting from diesel exhaust fluid decomposition as determined in paragraph (b)(9) of this section. If your engine does not use diesel exhaust fluid, or if you choose not to perform this correction, set m
CO2DEF equal to 0.

MCO2 = molar mass of carbon dioxide.


Example:
MC = 12.0107 g/mol

wCmeas = 0.869

n
exh = 25.534 mol/s

xCcombdry = 0.002805 mol/mol

xH2Oexhdry = 0.0353 mol/mol

m
CO2DEF = 0.0726 g/s

MCO2 = 44.0095 g/mol


(9) If you determine fuel-consumption rates using emission measurements with engines that utilize diesel exhaust fluid for NOX control, correct for the mean CO2 mass emissions resulting from diesel exhaust fluid decomposition at each fuel map setpoint using the following equation:




Where:

m
DEF = the mean mass flow rate of injected urea solution diesel exhaust fluid for a given sampling period, determined directly from the electronic control module, or measured separately, consistent with good engineering judgment.

MCO2 = molar mass of carbon dioxide.

wCH4N2O = mass fraction of urea in diesel exhaust fluid aqueous solution. Note that the subscript “CH4N2O” refers to urea as a pure compound and the subscript “DEF” refers to the aqueous urea diesel exhaust fluid as a solution of urea in water. You may use a default value of 32.5% or use good engineering judgment to determine this value based on measurement.

MCH4N2O = molar mass of urea.


Example:
m
DEF = 0. 304 g/s

MCO2 = 44.0095 g/mol

wCH4N2O = 32.5% = 0.325

MCH4N2O = 60.05526 g/mol


(c) Fuel consumption at idle. Determine fuel-consumption rates for engines certified for installation in vocational vehicles for each engine configuration over a series of engine-idle operating points consisting of pairs of speed and torque points as described in this paragraph (c). You may use shared data across engine configurations, consistent with good engineering judgment. Perform measurements as follows:


(1) Determine the required engine-idle operating points as follows:


(i) Select the following two speed setpoints:


(A) Engines with an adjustable warm idle speed setpoint: Minimum warm idle speed, fnidlemin, and the maximum warm idle speed, fnidlemax.


(B) Engines without an adjustable warm idle speed setpoint: Warm idle speed (with zero torque on the primary output shaft), fnidle, and 1.15 times fnidle.


(ii) Select the following two torque setpoints at each of the selected speed setpoints: 0 and 100 N·m.


(iii) You may run these four engine-idle operating points in any order.


(2) Control speed and torque as follows:


(i) Engines with an adjustable warm idle speed setpoint. For the warm-up in paragraph (c)(3) of this section and the transition in paragraph (c)(4) of this section control both speed and torque. At any time prior to reaching the next engine-idle operating point, set the engine’s adjustable warm idle speed setpoint to the speed setpoint of the next engine-idle operating point in the sequence. This may be done before or during the warm-up or during the transition. Near the end of the transition period control speed and torque as described in paragraph (b)(3)(i) of this section. Once the transition is complete; set the operator demand to minimum to allow the engine governor to control speed; and control torque with the dynamometer as described in paragraph (b)(3) of this section.


(ii) Engines without an adjustable warm idle speed setpoint. Control speed and torque with operator demand and the dynamometer for the engine-idle operating points at the higher speed setpoint as described in paragraph (b)(3) of this section. Both the speed and torque tolerances apply for these points because they are not near the engine’s operating boundary and are achievable. Control speed and torque for the engine-idle operating points at the lower speed setpoint as described in paragraph (c)(2)(i) of this section except for setting the engine’s adjustable warm idle speed setpoint.


(3) Warm-up the engine as described in 40 CFR 1065.510(b)(2).


(4) After concluding the warm-up procedure, linearly ramp the speed and torque setpoints over 20 seconds to operate the engine at the next engine-idle operating point from paragraph (c)(1) of this section.


(5) Operate the engine at the engine-idle operating point for (180 ±1) seconds, and then start the test interval and record measurements using one of the following methods. You must also measure and report NOX emissions over each test interval as described in paragraph (a)(2) of this section. If you use redundant systems for the determination of fuel consumption, for example combining measurements of dilute and raw emissions when generating your map, follow the requirements of 40 CFR 1065.201(d).


(i) Indirect measurement of fuel flow. Record speed and torque and measure emissions and other inputs needed to run the chemical balance in 40 CFR 1065.655(c) for a (600 ±1) second test interval; determine the corresponding mean values for the test interval. We will use an average of indirect measurement of fuel flow with dilute sampling and direct sampling. For dilute sampling of emissions, measure background according to the provisions described in 40 CFR 1065.140, but read the background as described in paragraph (c)(7)(i) of this section. If you use batch sampling to measure background emissions, you may sample periodically into the bag over the course of multiple test intervals and read them as allowed in paragraph (b)(7)(i) of this section. If you use this paragraph (c)(5)(i), you must apply the same background readings to correct emissions from each of the applicable test intervals. Note that the minimum dilution ratio requirements for PM sampling in 40 CFR 1065.140(e)(2) do not apply. We recommend minimizing the CVS flow rate to minimize errors due to background correction consistent with good engineering judgment and operational constraints such as minimum flow rate for good mixing.


(ii) Direct measurement of fuel flow. Record speed and torque and measure fuel consumption with a fuel flow meter for a (600 ±1) second test interval; determine the corresponding mean values for the test interval.


(6) After completing the test interval described in paragraph (c)(5) of this section, repeat the steps in paragraphs (c)(3) through (5) of this section for all the remaining engine-idle operating points. After completing the test interval on the last engine-idle operating point, the fuel-consumption-at-idle sequence is complete.


(7) The following provisions apply for interruptions in the fuel-consumption-at-idle sequence in a way that is intended to produce results equivalent to running the sequence without interruption:


(i) You may pause the fuel-consumption-at-idle sequence after each test interval to calibrate emission-measurement instrumentation and to read and evacuate background bag samples collected over the course of a single test interval. This paragraph (c)(7)(i) allows you to shut-down the engine or to spend more time at the speed/torque idle setpoint after completing the test interval before transitioning to the step in paragraph (c)(3) of this section.


(ii) If an infrequent regeneration event occurs, interrupt the fuel-consumption-at-idle sequence and allow the regeneration event to finish. You may continue to operate at the engine-idle operating point where the event began or, using good engineering judgment, you may transition to another operating condition to reduce the regeneration event duration. If the event occurs during a test interval, void that test interval. Once the regeneration event is finished, restart the fuel-consumption-at-idle sequence by repeating the steps in paragraphs (c)(3) through (5) of this section for all the remaining engine-idle operating points.


(iii) You may interrupt the fuel-consumption-at-idle sequence after any of the test intervals. Restart the fuel-consumption-at-idle sequence by repeating the steps in paragraphs (c)(3) through (5) of this section for all the remaining engine-idle operating points.


(iv) If the fuel-consumption-at-idle sequence is interrupted due to test equipment or engine malfunction, correct the malfunction and restart the fuel-consumption-at-idle sequence by repeating the steps in paragraphs (c)(3) through (5) of this section for all the remaining engine-idle operating points. If the malfunction occurred during a test interval, void that test interval.


(v) If any idle test intervals are voided, repeat the steps in paragraphs (c)(3) through (5) of this section for each of the voided engine-idle operating points.


(8) Correct the measured or calculated mean fuel mass flow rate, m
fuel at each of the engine-idle operating points to account for mass-specific net energy content as described in paragraph (b)(13) of this section.


(d) Steady-state fuel maps used for cycle-average fuel mapping of the cruise cycles. Determine fuel-consumption rates for each engine configuration over a series of steady-state engine operating points near idle as described in this paragraph (d). You may use shared data across an engine platform to the extent that the fuel-consumption rates remain valid.


(1) Perform steady-state fuel mapping as described in paragraph (b) of this section with the following exceptions:


(i) All the required steady-state engine operating points as described in paragraph (b)(1)(i) of this section are optional.


(ii) Select speed setpoints to cover the range of idle speeds expected as follows:


(A) The minimum number of speed setpoints is two.


(B) For engines with an adjustable warm idle speed setpoint, the minimum speed setpoint must be equal to the minimum warm idle speed, fnidlemin, and the maximum speed setpoint must be equal to or greater than the maximum warm idle speed, fnidlemax. The minimum speed setpoint for engines without an adjustable warm idle speed setpoint, must be equal to the warm idle speed (with zero torque on the primary output shaft), fnidle, and the maximum speed setpoint must be equal to or greater than 1.15 times the warm idle speed, fnidle.


(iii) Select torque setpoints at each speed setpoint to cover the range of idle torques expected as follows:


(A) The minimum number of torque setpoints at each speed setpoint is three. Note that you must meet the minimum torque spacing requirements described in paragraph (b)(1)(ii) of this section.


(B) The minimum torque setpoint at each speed setpoint is zero.


(C) The maximum torque setpoint at each speed setpoint must be greater than or equal to the estimated maximum torque at warm idle (in-drive) conditions, Tidlemaxest, using the following equation. For engines with an adjustable warm idle speed setpoint, evaluate Tidlemaxest at the maximum warm idle speed, fnidlemax. For engines without an adjustable warm idle speed setpoint, use the warm idle speed (with zero torque on the primary output shaft), fnidle.




Where:

Tfnstall = the maximum engine torque at fnstall.

fnidle = the applicable engine idle speed as described in this paragraph (d).

fnstall = the stall speed of the torque converter; use fntest or 2250 r/min, whichever is lower.

Pacc = accessory power for the vehicle class; use 1500 W for Vocational Light HDV, 2500 W for Vocational Medium HDV, and 3500 W for Tractors and Vocational Heavy HDV.


Example:
Tfnstall = 1870 N·m

fntest = 1740.8 r/min = 182.30 rad/s

fnstall = 1740.8 r/min = 182.30 rad/s

fnidle = 700 r/min = 73.30 rad/s

Pacc = 1500 W


(2) Remove the points from the default map that are below 115% of the maximum speed and 115% of the maximum torque of the boundaries of the points measured in paragraph (d)(1) of this section.


(3) Add the points measured in paragraph (d)(1) of this section.


(e) Carbon balance verification. The provisions related to carbon balance verification in § 1036.543 apply to test intervals in this section.


(f) Correction for net energy content. Correct the measured or calculated mean fuel mass flow rate, m
fuel at each engine operating condition as specified in paragraphs (b), (c), and (d) of this section to a mass-specific net energy content of a reference fuel using the following equation:




Where:

Emfuelmeas = the mass-specific net energy content of the test fuel as determined in § 1036.530(b)(1).

EmfuelCref = the reference value of carbon-mass-specific net energy content for the appropriate fuel. Use the values shown in Table 1 of § 1036.530 for the designated fuel types, or values we approve for other fuel types.

wCref = the reference value of carbon mass fraction for the test fuel as shown in Table 1 of § 1036.530 for the designated fuels. For other fuels, use the reference carbon mass fraction of diesel fuel for engines subject to compression-ignition standards, and use the reference carbon mass fraction of gasoline for engines subject to spark-ignition standards.


Example:
m
fuel = 0.933 g/s

Emfuelmeas = 42.7984 MJ/kgC

EmfuelCref = 49.3112 MJ/kgC

wCref = 0.874


(g) Measured vs. declared fuel-consumption rates. Select fuel-consumption rates in g/s to characterize the engine’s fuel maps. These declared values may not be lower than any corresponding measured values determined in paragraphs (b) through (d) of this section. This includes if you use multiple measurement methods as allowed in paragraph (b)(7) of this section. You may select any value that is at or above the corresponding measured value. These declared fuel-consumption rates, which serve as emission standards under § 1036.108, are the values that vehicle manufacturers will use for certification under 40 CFR part 1037. Note that production engines are subject to GEM cycle-weighted limits as described in § 1036.301. If you perform the carbon balance error verification in § 1036.543, for each fuel map data point:


(1) If you pass the ∈rC verification, you must declare fuel-consumption rates no lower than the average of the direct and indirect fuel measurements.


(2) If you pass either the ∈aC verification or ∈aCrate verification and fail the ∈rC verification, you must declare fuel-consumption rates no lower than the indirect fuel measurement.


(3) If you don’t pass the ∈rC, ∈aC, and ∈aCrate verifications, you must declare fuel-consumption rates no lower than the highest rate for the direct and indirect fuel measurements.


(h) EPA measured fuel-consumption rates. If we pass the carbon mass relative error for a test interval (∈rC) verification, the official fuel-consumption rate result will be the average of the direct and indirect fuel measurements. If we pass either the carbon mass absolute error for a test interval (∈aC) verification or carbon mass rate absolute error for a test interval (∈aCrate) verification and fail the ∈rC verification, the official fuel-consumption rate result will be the indirect fuel measurement.


[86 FR 34388, June 29, 2021]


§ 1036.540 Determining cycle-average engine fuel maps.

(a) Overview. This section describes how to determine an engine’s cycle-average fuel maps for model year 2021 and later vehicles with transient cycles. This section may also apply for highway cruise cycles as described in § 1036.510. Vehicle manufacturers may need cycle-average fuel maps for transient duty cycles, highway cruise cycles, or both to demonstrate compliance with emission standards under 40 CFR part 1037. Generating cycle-average engine fuel maps consists of the following steps:


(1) Determine the engine’s torque maps as described in § 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) General test provisions. The following provisions apply for testing under this section:


(1) To perform fuel mapping under this section for hybrid engines, make sure the engine and its hybrid features are appropriately configured to represent the hybrid features in your testing.


(2) Measure NOX emissions for each specified sampling period in grams. You may perform these measurements using a NOX emission-measurement system that meets the requirements of 40 CFR part 1065, subpart J. Include these measured NOX values any time you report to us your fuel consumption values from testing under this section. If a system malfunction prevents you from measuring NOX emissions during a test under this section but the test otherwise gives valid results, you may consider this a valid test and omit the NOX emission measurements; however, we may require you to repeat the test if we determine that you inappropriately voided the test with respect to NOX emission measurement.


(3) This section uses engine parameters and variables that are consistent with 40 CFR part 1065.


(4) For variable-speed gaseous-fueled engines with a single-point fuel injection system, apply all of the following statistical criteria to validate the transient duty cycle in 40 CFR part 1037, appendix I:


Table 1 to § 1036.540

Parameter
Speed
Torque
Power
Slope, a10.950 ≤ a1 ≤1.0300.830 ≤ a1 ≤1.0300.830 ≤ a1 ≤1.030.
Absolute value of intercept, |a0|≤10% of warm idle≤3% of maximum mapped torque≤2% of maximum mapped power.
Standard error of the estimate, SEE≤5% of maximum test speed≤15% of maximum mapped torque≤15% of maximum mapped power.
Coefficient of determination, r
2
≥0.970≥0.700≥0.750.

(c) Create engine duty cycles. Use GEM to simulate several different vehicle configurations to create transient and highway cruise engine duty cycles corresponding to each vehicle configuration, as follows:


(1) Set up GEM to simulate vehicle operation based on your engine’s torque maps, steady-state fuel maps, engine minimum warm-idle speed and fuel consumption at idle as described in paragraphs (a)(1) and (2) of this section, as well as 40 CFR 1065.405(b). For engines without an adjustable warm idle speed replace minimum warm idle speed with warm idle speed, fnidle.


(2) Set up GEM with transmission parameters for different vehicle service classes and vehicle duty cycles as described in Table 2 of this section. For automatic transmissions set neutral idle to “Y” in the vehicle file. These values are based on automatic or automated manual transmissions, but they apply for all transmission types.





Where:

fn[speed] = engine’s angular speed as determined in paragraph (c)(3)(ii) or (iii) of this section.

ktopgear = transmission gear ratio in the highest available gear from Table 2 of this section (for powertrain testing use actual top gear ratio).

vref = reference speed. Use 65 mi/hr for the transient cycle and the 65 mi/hr highway cruise cycle, and use 55 mi/hr for the 55 mi/hr highway cruise cycle.


Example for a vocational Light HDV or vocational Medium HDV with a 6-speed automatic transmission at B speed (Test 3 or 4 in Table 3 of this section):

fnrefB = 1870 r/min = 31.17 r/s

kaB = 4.0

ktopgear = 0.61

vref = 65 mi/hr = 29.06 m/s


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



for each vehicle configuration based on the corresponding designated engine speed (fnrefA, fnrefB, fnrefC, or fntest) at 65 mi/hr for the transient cycle and the 65 mi/hr highway cruise cycle, and at 55 mi/hr for the 55 mi/hr highway cruise cycle. These vehicle speeds apply equally for engines subject to spark-ignition standards. Use the following settings specific to each vehicle configuration:


(iii) Test nine different vehicle configurations for engines that will be installed in vocational Heavy HDV and for tractors that are not heavy-haul tractors. Test six different vehicle configurations for heavy-haul tractors. You may test your engines for additional configurations with different ka, CdA, and Crr values to represent a wider range of in-use vehicle configurations. Set Crr to 6.9 for all nine defined vehicle configurations. For class 7 and 8 vehicle configurations set the drive axle configuration to 4×2 and 6×4 respectively. For powertrain testing, set Effaxle to 0.955 for all vehicle configurations. Set the axle ratio, ka, and tire size,



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



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


(v) Use the defined values in Tables 2 through 5 of this section to set up GEM with the correct regulatory subcategory and vehicle weight reduction, if applicable, to achieve the target vehicle mass, M, for each test.


(4) Use the GEM output of instantaneous engine speed and engine flywheel torque for each of the vehicle configurations to generate a 10 Hz transient duty cycle corresponding to each vehicle configuration operating over each vehicle duty cycle.


(d) Test the engine with GEM cycles. Test the engine over each of the transient engine duty cycles generated in paragraph (c) of this section as follows:


(1) Determine the sequence of engine duty cycles (both required and optional) for the cycle-average-fuel-mapping sequence as follows:


(i) Sort the list of engine duty cycles into three separate groups by vehicle duty cycle; transient vehicle duty cycle, 55 mi/hr highway cruise duty cycle, and the 65 mi/hr highway cruise duty cycle.


(ii) Within each group of engine duty cycles derived from the same vehicle duty cycle, order the duty cycles as follows: Select the engine duty cycle with the highest reference cycle work; followed by the cycle with the lowest cycle work; followed by the cycle with next highest cycle work; followed by the cycle with the next lowest cycle work; until all the cycles are selected.


(iii) For each engine duty cycle, preconditioning cycles will be needed to start the cycle-average-fuel-mapping sequence.


(A) For the first and second cycle in each sequence, the two preconditioning cycles are the first cycle in the sequence, the transient vehicle duty cycle with the highest reference cycle work. This cycle is run twice for preconditioning prior to starting the sequence for either of the first two cycles.


(B) For all other cycles, the two preconditioning cycles are the previous two cycles in the sequence.


(2) If the engine has an adjustable warm idle speed setpoint, set it to its minimum value, fnidlemin.


(3) During each test interval, control speed and torque to meet the cycle validation criteria in 40 CFR 1065.514, except as noted in this paragraph (d)(3). Note that 40 CFR part 1065 does not allow subsampling of the 10 Hz GEM generated reference cycle. If the range of reference speeds is less than 10 percent of the mean reference speed, you only need to meet the standard error of the estimate in Table 2 of 40 CFR 1065.514 for the speed regression.


(4) Warm-up the engine as described in 40 CFR 1065.510(b)(2).


(5) Transition between duty cycles as follows:


(i) For transient duty cycles, start the next cycle within 10 seconds after the conclusion of the preceding cycle. Note that this paragraph (d)(5)(i) applies to transitioning from both the preconditioning cycles and tests for record.


(ii) For cruise cycles, linearly ramp to the next cycle over 5 seconds and stabilize for 15 seconds prior to starting the next cycle. Note that this paragraph (d)(5)(ii) applies to transitioning from both the preconditioning cycles and tests for record.


(6) Operate the engine over the engine duty cycle and record measurements using one of the methods described in paragraph (d)(6)(i) or (ii) of this section. You must also measure and report NOX emissions over each test interval as described in paragraph (a)(2) of this section. If you use redundant systems for the determination of fuel consumption, for example combining measurements of dilute and raw emissions when generating your map, follow the requirements of 40 CFR 1065.201(d).


(i) Indirect measurement of fuel flow. Record speed and torque and measure emissions and other inputs needed to run the chemical balance in 40 CFR 1065.655(c) for the test interval defined by the first engine duty cycle; determine the corresponding mean values for the test interval. For dilute sampling of emissions, in addition to the background measurement provisions described in 40 CFR 1065.140, you may do the following:


(A) Measure background as described in § 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) Direct measurement of fuel flow. Record speed and torque and measure fuel consumption with a fuel flow meter for the test interval defined by the first engine duty cycle; determine the corresponding mean values for the test interval.


(7) Repeat the steps in paragraph (d)(6) of this section for all the remaining engine duty cycles.


(8) Repeat the steps in paragraphs (d)(4) through (7) of this section for all the applicable groups of duty cycles (e.g., transient vehicle duty cycle, 55 mi/hr highway cruise duty cycle, and the 65 mi/hr highway cruise duty cycle).


(9) The following provisions apply for interruptions in the cycle-average-fuel-mapping sequence in a way that is intended to produce results equivalent to running the sequence without interruption:


(i) You may pause the cycle-average-fuel-mapping sequence after each test interval to calibrate emission-measurement instrumentation, to read and evacuate background bag samples collected over the course of multiple test intervals, or to sample the dilution air for background emissions. This paragraph (d)(9)(i) requires you to shut-down the engine during the pause. If the pause is longer than 30 minutes, restart the engine and restart the cycle-average-fuel-mapping sequence at the step in paragraph (d)(4) of this section. Otherwise, restart the engine and restart the cycle-average-fuel-mapping sequence at the step in paragraph (d)(5) of this section.


(ii) If an infrequent regeneration event occurs, interrupt the cycle-average-fuel-mapping sequence and allow the regeneration event to finish. You may continue to operate the engine over the engine duty cycle where the event began or, using good engineering judgment, you may transition to another operating condition to reduce the regeneration event duration.


(A) Determine which cycles in the sequence to void as follows:


(1) If the regeneration event began during a test interval, the cycle associated with that test interval must be voided.


(2) If you used dilute sampling to measure emissions and you used batch sampling to measure background emissions that were sampled periodically into the bag over the course of multiple test intervals and you are unable to read the background bag (e.g., sample volume too small), void all cycles associated with that background bag.


(3) If you used dilute sampling to measure emissions and you used the option to sample periodically from the dilution air and you did not meet all the requirements for this option as described in paragraph (d)(6)(i)(B) of this section, void all cycles associated with those background readings.


(4) If the regeneration event began during a non-test-interval period of the sequence and the provisions in paragraphs (d)(9)(ii)(A)(2) and (3) of this section do not apply, you do not need to void any cycles.


(B) Determine the cycle to restart the sequence. Identify the cycle associated with the last valid test interval. The next cycle in the sequence is the cycle to be used to restart the sequence.


(C) Once the regeneration event is finished, restart the sequence at the cycle determined in paragraph (d)(9)(ii)(B) of this section instead of the first cycle of the sequence. If the engine is not already warm, restart the sequence at paragraph (d)(4) of this section. Otherwise, restart at paragraph (d)(5) of this section.


(iii) If the cycle-average-fuel-mapping sequence is interrupted due to test equipment or engine malfunction, correct the malfunction and follow the steps in paragraphs (d)(9)(ii)(A) through (C) of this section to restart the sequence. Treat the detection of the malfunction as the beginning of the regeneration event.


(iv) If any test interval in the cycle-average-fuel-mapping sequence is voided, you must rerun that test interval as described in this paragraph (d)(9)(iv). You may rerun the whole sequence or any contiguous part of the sequence. If you end up with multiple valid test intervals for a given cycle, use the last valid test interval for determining the cycle-average fuel map. If the engine has been shut-down for more than 30 minutes or if it is not already warm, restart the sequence at paragraph (d)(4) of this section. Otherwise, restart at paragraph (d)(5) of this section. Repeat the steps in paragraphs (d)(6) and (7) of this section until you complete the whole sequence or part of the sequence. The following examples illustrate possible scenarios for completing only part of the sequence:


(A) If you voided only the test interval associated with the fourth cycle in the sequence, you may restart the sequence using the second and third cycles as the preconditioning cycles and stop after completing the test interval associated with the fourth cycle.


(B) If you voided the test intervals associated with the fourth and sixth cycles, you may restart the sequence using the second and third cycles as the preconditioning cycles and stop after completing the test interval associated with the sixth cycle. If the test interval associated with the fifth cycle in this sequence was valid, it must be used for determining the cycle-average fuel map instead of the original one.


(10) For plug-in hybrid engines, precondition the battery and then complete all back-to-back tests for each vehicle configuration according to 40 CFR 1066.501 before moving to the next vehicle configuration.


(11) You may send signals to the engine controller during the test, such as current transmission gear and vehicle speed, if that allows engine operation during the test to better represent in-use operation.


(12) For hybrid powertrains with no plug-in capability, correct for the net energy change of the energy storage device as described in 40 CFR 1066.501. For plug-in hybrid engines, follow 40 CFR 1066.501 to determine End-of-Test for charge-depleting operation; to do this, you must get our advance approval for a utility factor curve. We will approve your utility factor curve if you can show that you created it from sufficient in-use data of vehicles in the same application as the vehicles in which the plug-in hybrid electric vehicle (PHEV) engine will be installed.


(13) Calculate the fuel mass flow rate, mfuel, for each duty cycle using one of the following equations:


(i) Determine fuel-consumption rates using emission measurements from the raw or diluted exhaust, calculate the mass of fuel for each duty cycle, mfuel[cycle], as follows:


(A) For calculations that use continuous measurement of emissions and continuous CO2 from urea, calculate mfuel[cycle] using the following equation:




Where:

MC = molar mass of carbon.

wCmeas = carbon mass fraction of fuel (or mixture of test fuels) as determined in 40 CFR 1065.655(d), except that you may not use the default properties in Table 1 of 40 CFR 1065.655 to determine α, β, and wC for liquid fuels.

i = an indexing variable that represents one recorded emission value.

N = total number of measurements over the duty cycle.

n
exh = exhaust molar flow rate from which you measured emissions.

xCcombdry = amount of carbon from fuel and any injected fluids in the exhaust per mole of dry exhaust as determined in 40 CFR 1065.655(c).

xH2Oexhdry = amount of H2O in exhaust per mole of exhaust as determined in 40 CFR 1065.655(c).

Δt = 1/frecord

MCO2 = molar mass of carbon dioxide.

m
CO2DEFi = mass emission rate of CO2 resulting from diesel exhaust fluid decomposition over the duty cycle as determined from § 1036.535(b)(7). If your engine does not utilize diesel exhaust fluid for emission control, or if you choose not to perform this correction, set m
CO2DEFi equal to 0.


Example:
MC = 12.0107 g/mol

wCmeas = 0.867

N = 6680

n
exh1 = 2.876 mol/s

n
exh2 = 2.224 mol/s

xCcombdry1 = 2.61·10
3 mol/mol

xCcombdry2 = 1.91·10
3 mol/mol

xH2Oexh1 = 3.53·10
2 mol/mol

xH2Oexh2 = 3.13·10
2 mol/mol

frecord = 10 Hz

Δt = 1/10 = 0.1 s

MCO2 = 44.0095 g/mol

m
CO2DEF1 = 0.0726 g/s

m
CO2DEF2 = 0.0751 g/s


(ii) Manufacturers may choose to measure fuel mass flow rate. Calculate the mass of fuel for each duty cycle, mfuel[cycle], as follows:




Where:

i = an indexing variable that represents one recorded value.

N = total number of measurements over the duty cycle. For batch fuel mass measurements, set N = 1.

m
fueli = the fuel mass flow rate, for each point, i, starting from i = 1.

Δt = 1/frecord

frecord = the data recording frequency.


Example:
N = 6680

m
fuel1 = 1.856 g/s

m
fuel2 = 1.962 g/s

frecord = 10 Hz

Δt = 1/10 = 0.1 s

mfueltransient = (1.856 + 1.962 + . . . + m
fuel6680) · 0.1

mfueltransient = 111.95 g

(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, mfuel, for each test result to a mass-specific net energy content of a reference fuel as described in § 1036.535(e), replacing with m
fuel in Eq. 1036.535-4.


(16) For engines designed for plug-in hybrid electric vehicles, the mass of fuel for each cycle, mfuel[cycle], is the utility factor-weighted fuel mass. This is done by calculating mfuel for the full charge-depleting and charge-sustaining portions of the test and weighting the results, using the following equation:




Where:

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

UFD,CD = utility factor fraction at distance DCD as determined by interpolating the approved utility factor curve.

mfuel[cycle],CS = total mass of fuel for all the tests in the charge-sustaining portion of the test.



Where:

v = vehicle velocity at each time step. For tests completed under this section, v is the vehicle velocity in the GEM duty-cycle file. For tests under 40 CFR 1037.550, v is the vehicle velocity as determined by Eq. 1037.550-1 of 40 CFR 1037.550. Note that this should include complete and incomplete charge-depleting tests.

(e) Determine GEM inputs. Use the results of engine testing in paragraph (d) of this section to determine the GEM inputs for the transient duty cycle and optionally for each of the highway cruise cycles corresponding to each simulated vehicle configuration as follows:


(1) Your declared fuel mass consumption, mfuel[cycle]. Using the calculated fuel mass consumption values described in paragraph (d) of this section, declare values using the method described in § 1036.535(g).


(2) We will determine mfuel[cycle] values using the method described in § 1036.535(h).


(3) Engine output speed per unit vehicle speed,



by taking the average engine speed measured during the engine test while the vehicle is moving and dividing it by the average vehicle speed provided by GEM. Note that the engine cycle created by GEM has a flag to indicate when the vehicle is moving.

(4) Positive work determined according to 40 CFR part 1065, W[cycle], by using the engine speed and engine torque measured during the engine test while the vehicle is moving. Note that the engine cycle created by GEM has a flag to indicate when the vehicle is moving.


(5) The engine idle speed and torque, by taking the average engine speed and torque measured during the engine test while the vehicle is not moving. Note that the engine cycle created by GEM has a flag to indicate when the vehicle is moving.


(6) The following table illustrates the GEM data inputs corresponding to the different vehicle configurations for a given duty cycle:



[86 FR 34394, June 29, 2021]


§ 1036.543 Carbon balance error verification.

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


[86 FR 34402, June 29, 2021]


Subpart G – Special Compliance Provisions

§ 1036.601 What compliance provisions apply?

(a) Engine and vehicle manufacturers, as well as owners, operators, and rebuilders of engines subject to the requirements of this part, and all other persons, must observe the provisions of this part, the provisions of 40 CFR part 1068, and the provisions of the Clean Air Act. The provisions of 40 CFR part 1068 apply for heavy-duty highway engines as specified in that part, subject to the following provisions:


(1) The exemption provisions of 40 CFR 1068.201 through 1068.230, 1068.240, and 1068.260 through 265 apply for heavy-duty motor vehicle engines. The other exemption provisions, which are specific to nonroad engines, do not apply for heavy-duty vehicles or heavy-duty engines.


(2) The tampering prohibition in 40 CFR 1068.101(b)(1) applies for alternative fuel conversions as specified in 40 CFR part 85, subpart F.


(3) The warranty-related prohibitions in section 203(a)(4) of the Act (42 U.S.C. 7522(a)(4)) apply to manufacturers of new heavy-duty highway engines in addition to the prohibitions described in 40 CFR 1068.101(b)(6). We may assess a civil penalty up to $44,539 for each engine or vehicle in violation.


(b) Engines exempted from the applicable standards of 40 CFR part 86 under the provisions of 40 CFR part 1068 are exempt from the standards of this part without request.


(c) The emergency vehicle field modification provisions of 40 CFR 85.1716 apply with respect to the standards of this part.


(d) Subpart C of this part describes how to test and certify dual-fuel and flexible-fuel engines. Some multi-fuel engines may not fit either of those defined terms. For such engines, we will determine whether it is most appropriate to treat them as single-fuel engines, dual-fuel engines, or flexible-fuel engines based on the range of possible and expected fuel mixtures. For example, an engine might burn natural gas but initiate combustion with a pilot injection of diesel fuel. If the engine is designed to operate with a single fueling algorithm (i.e., fueling rates are fixed at a given engine speed and load condition), we would generally treat it as a single-fuel engine. In this context, the combination of diesel fuel and natural gas would be its own fuel type. If the engine is designed to also operate on diesel fuel alone, we would generally treat it as a dual-fuel engine. If the engine is designed to operate on varying mixtures of the two fuels, we would generally treat it as a flexible-fuel engine. To the extent that requirements vary for the different fuels or fuel mixtures, we may apply the more stringent requirements.


§ 1036.605 GHG exemption for engines used in specialty vehicles.

Engines certified to the alternative standards specified in 40 CFR 86.007-11 and 86.008-10 for use in specialty vehicles as described in 40 CFR 1037.605 are exempt from the standards of this part. See 40 CFR part 1037 for provisions that apply to the vehicle.


§ 1036.610 Off-cycle technology credits and adjustments for reducing greenhouse gas emissions.

(a) You may ask us to apply the provisions of this section for CO2 emission reductions resulting from powertrain technologies that were not in common use with heavy-duty vehicles before model year 2010 that are not reflected in the specified test procedure. While you are not required to prove that such technologies were not in common use with heavy-duty vehicles before model year 2010, we will not approve your request if we determine that they do not qualify. We will apply these provisions only for technologies that will result in a measurable, demonstrable, and verifiable real-world CO2 reduction. Note that prior to model year 2016, these technologies were referred to as “innovative technologies”.


(b) The provisions of this section may be applied as either an improvement factor (used to adjust emission results) or as a separate credit, consistent with good engineering judgment. Note that the term “credit” in this section describes an additive adjustment to emission rates and is not equivalent to an emission credit in the ABT program of subpart H of this part. We recommend that you base your credit/adjustment on A to B testing of pairs of engines/vehicles differing only with respect to the technology in question.


(1) Calculate improvement factors as the ratio of in-use emissions with the technology divided by the in-use emissions without the technology. Adjust the emission results by multiplying by the improvement factor. Use the improvement-factor approach where good engineering judgment indicates that the actual benefit will be proportional to emissions measured over the test procedures specified in this part. For example, the benefits from technologies that reduce engine operation would generally be proportional to the engine’s emission rate.


(2) Calculate separate credits based on the difference between the in-use emission rate (g/ton-mile) with the technology and the in-use emission rate without the technology. Subtract this value from your measured emission result and use this adjusted value to determine your FEL. We may also allow you to calculate the credits based on g/hp-hr emission rates. Use the separate-credit approach where good engineering judgment indicates that the actual benefit will not be proportional to emissions measured over the test procedures specified in this part.


(3) We may require you to discount or otherwise adjust your improvement factor or credit to account for uncertainty or other relevant factors.


(c) Send your request to the Designated Compliance Officer. We recommend that you do not begin collecting test data (for submission to EPA) before contacting us. For technologies for which the vehicle manufacturer could also claim credits (such as transmissions in certain circumstances), we may require you to include a letter from the vehicle manufacturer stating that it will not seek credits for the same technology. Your request must contain the following items:


(1) A detailed description of the off-cycle technology and how it functions to reduce CO2 emissions under conditions not represented on the duty cycles required for certification.


(2) A list of the engine configurations that will be equipped with the technology.


(3) A detailed description and justification of the selected test engines.


(4) All testing and simulation data required under this section, plus any other data you have considered in your analysis. You may ask for our preliminary approval of your test plan under § 1036.210.


(5) A complete description of the methodology used to estimate the off-cycle benefit of the technology and all supporting data, including engine testing and in-use activity data. Also include a statement regarding your recommendation for applying the provisions of this section for the given technology as an improvement factor or a credit.


(6) An estimate of the off-cycle benefit by engine model, and the fleetwide benefit based on projected sales of engine models equipped with the technology.


(7) A demonstration of the in-use durability of the off-cycle technology, based on any available engineering analysis or durability testing data (either by testing components or whole engines).


(d) We may seek public comment on your request, consistent with the provisions of 40 CFR 86.1869-12(d). However, we will generally not seek public comment on credits/adjustments based on A to B engine dynamometer testing, chassis testing, or in-use testing.


(e) We may approve an improvement factor or credit for any configuration that is properly represented by your testing.


(1) For model years before 2021, you may continue to use an approved improvement factor or credit for any appropriate engine families in future model years through 2020.


(2) For model years 2021 and later, you may not rely on an approval for model years before 2021. You must separately request our approval before applying an improvement factor or credit under this section for 2021 and later engines, even if we approved an improvement factor or credit for similar engine models before model year 2021. Note that approvals for model year 2021 and later may carry over for multiple years.


§ 1036.615 Engines with Rankine cycle waste heat recovery and hybrid powertrains.

This section specifies how to generate advanced-technology emission credits for hybrid powertrains that include energy storage systems and regenerative braking (including regenerative engine braking) and for engines that include Rankine-cycle (or other bottoming cycle) exhaust energy recovery systems. This section applies only for model year 2020 and earlier engines.


(a) Pre-transmission hybrid powertrains. Test pre-transmission hybrid powertrains with the hybrid engine test procedures of 40 CFR part 1065 or with the post-transmission test procedures in 40 CFR 1037.550. Pre-transmission hybrid powertrains are those engine systems that include features to recover and store energy during engine motoring operation but not from the vehicle’s wheels. Engines certified with pre-transmission hybrid powertrains must be certified to meet the diagnostic requirements of 40 CFR 86.018-10 with respect to powertrain components and systems; if different manufacturers produce the engine and the hybrid powertrain, the hybrid powertrain manufacturer may separately certify its powertrain relative to diagnostic requirements.


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


(c) Calculating credits. Calculate credits as specified in subpart H of this part. Credits generated from engines and powertrains certified under this section may be used in other averaging sets as described in § 1036.740(c).


(d) Off-cycle technologies. You may certify using both the provisions of this section and the off-cycle technology provisions of § 1036.610, provided you do not double-count emission benefits.


§ 1036.620 Alternate CO2 standards based on model year 2011 compression-ignition engines.

For model years 2014 through 2016, you may certify your compression-ignition engines to the CO2 standards of this section instead of the CO2 standards in § 1036.108. However, you may not certify engines to these alternate standards if they are part of an averaging set in which you carry a balance of banked credits. You may submit applications for certifications before using up banked credits in the averaging set, but such certificates will not become effective until you have used up (or retired) your banked credits in the averaging set. For purposes of this section, you are deemed to carry credits in an averaging set if you carry credits from advanced technology that are allowed to be used in that averaging set.


(a) The standards of this section are determined from the measured emission rate of the test engine of the applicable baseline 2011 engine family or families as described in paragraphs (b) and (c) of this section. Calculate the CO2 emission rate of the baseline test engine using the same equations used for showing compliance with the otherwise applicable standard. The alternate CO2 standard for light and medium heavy-duty vocational-certified engines (certified for CO2 using the transient cycle) is equal to the baseline emission rate multiplied by 0.975. The alternate CO2 standard for tractor-certified engines (certified for CO2 using the SET duty cycle) and all other heavy heavy-duty engines is equal to the baseline emission rate multiplied by 0.970. The in-use FEL for these engines is equal to the alternate standard multiplied by 1.03.


(b) This paragraph (b) applies if you do not certify all your engine families in the averaging set to the alternate standards of this section. Identify separate baseline engine families for each engine family that you are certifying to the alternate standards of this section. For an engine family to be considered the baseline engine family, it must meet the following criteria:


(1) It must have been certified to all applicable emission standards in model year 2011. If the baseline engine was certified to a NOX FEL above the standard and incorporated the same emission control technologies as the new engine family, you may adjust the baseline CO2 emission rate to be equivalent to an engine meeting the 0.20 g/hp-hr NOX standard (or your higher FEL as specified in this paragraph (b)(1)), using certification results from model years 2009 through 2011, consistent with good engineering judgment.


(i) Use the following equation to relate model year 2009-2011 NOX and CO2 emission rates (g/hp-hr): CO2 = a × log(NOX)+b.


(ii) For model year 2014-2016 engines certified to NOX FELs above 0.20 g/hp-hr, correct the baseline CO2 emissions to the actual NOX FELs of the 2014-2016 engines.


(iii) Calculate separate adjustments for emissions over the SET duty cycle and the transient cycle.


(2) The baseline configuration tested for certification must have the same engine displacement as the engines in the engine family being certified to the alternate standards, and its rated power must be within five percent of the highest rated power in the engine family being certified to the alternate standards.


(3) The model year 2011 U.S.-directed production volume of the configuration tested must be at least one percent of the total 2011 U.S.-directed production volume for the engine family.


(4) The tested configuration must have cycle-weighted BSFC equivalent to or better than all other configurations in the engine family.


(c) This paragraph (c) applies if you certify all your engine families in the primary intended service class to the alternate standards of this section. For purposes of this section, you may combine light heavy-duty and medium heavy-duty engines into a single averaging set. Determine your baseline CO2 emission rate as the production-weighted emission rate of the certified engine families you produced in the 2011 model year. If you produce engines for both tractors and vocational vehicles, treat them as separate averaging sets. Adjust the CO2 emission rates to be equivalent to an engine meeting the average NOX FEL of new engines (assuming engines certified to the 0.20 g/hp-hr NOX standard have a NOX FEL equal to 0.20 g/hp-hr), as described in paragraph (b)(1) of this section.


(d) Include the following statement on the emission control information label: “THIS ENGINE WAS CERTIFIED TO AN ALTERNATE CO2 STANDARD UNDER § 1036.620.”


(e) You may not bank CO2 emission credits for any engine family in the same averaging set and model year in which you certify engines to the standards of this section. You may not bank any advanced-technology credits in any averaging set for the model year you certify under this section (since such credits would be available for use in this averaging set). Note that the provisions of § 1036.745 apply for deficits generated with respect to the standards of this section.


(f) You need our approval before you may certify engines under this section, especially with respect to the numerical value of the alternate standards. We will not approve your request if we determine that you manipulated your engine families or test engine configurations to certify to less stringent standards, or that you otherwise have not acted in good faith. You must keep and provide to us any information we need to determine that your engine families meet the requirements of this section. Keep these records for at least five years after you stop producing engines certified under this section.


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


§ 1036.625 In-use compliance with family emission limits (FELs).

Section 1036.225 describes how to change the FEL for an engine family during the model year. This section, which describes how you may ask us to increase an engine family’s FEL after the end of the model year, is intended to address circumstances in which it is in the public interest to apply a higher in-use FEL based on forfeiting an appropriate number of emission credits. For example, this may be appropriate where we determine that recalling vehicles would not significantly reduce in-use emissions. We will generally not allow this option where we determine the credits being forfeited would likely have expired.


(a) You may ask us to increase an engine family’s FEL after the end of the model year if you believe some of your in-use engines exceed the CO2 FEL that applied during the model year (or the CO2 emission standard if the family did not generate or use emission credits). We may consider any available information in making our decision to approve or deny your request.


(b) If we approve your request under this section, you must apply emission credits to cover the increased FEL for all affected engines. Apply the emission credits as part of your credit demonstration for the current production year. Include the appropriate calculations in your final report under § 1036.730.


(c) Submit your request to the Designated Compliance Officer. Include the following in your request:


(1) Identify the names of each engine family that is the subject of your request. Include separate family names for different model years.


(2) Describe why your request does not apply for similar engine models or additional model years, as applicable.


(3) Identify the FEL(s) that applied during the model year and recommend a replacement FEL for in-use engines; include a supporting rationale to describe how you determined the recommended replacement FEL.


(4) Describe whether the needed emission credits will come from averaging, banking, or trading.


(d) If we approve your request, we will identify the replacement FEL. The value we select will reflect our best judgment to accurately reflect the actual in-use performance of your engines, consistent with the testing provisions specified in this part. We may apply the higher FELs to other engine families from the same or different model years to the extent they used equivalent emission controls. We may include any appropriate conditions with our approval.


(e) If we order a recall for an engine family under 40 CFR 1068.505, we will no longer approve a replacement FEL under this section for any of your engines from that engine family, or from any other engine family that relies on equivalent emission controls.


§ 1036.630 Certification of engine GHG emissions for powertrain testing.

For engines included in powertrain families under 40 CFR part 1037, you may choose to include the corresponding engine emissions in your engine families under this part 1036 instead of (or in addition to) the otherwise applicable engine fuel maps.


(a) If you choose to certify powertrain fuel maps in an engine family, the declared powertrain emission levels become standards that apply for selective enforcement audits and in-use testing. We may require that you provide to us the engine test cycle (not normalized) corresponding to a given powertrain for each of the specified duty cycles.


(b) If you choose to certify only fuel map emissions for an engine family and to not certify emissions over powertrain test cycles under 40 CFR 1037.550, we will not presume you are responsible for emissions over the powertrain cycles. However, where we determine that you are responsible in whole or in part for the emission exceedance in such cases, we may require that you participate in any recall of the affected vehicles. Note that this provision to limit your responsibility does not apply if you also hold the certificate of conformity for the vehicle.


(c) If you split an engine family into subfamilies based on different fuel-mapping procedures as described in § 1036.230(e), the fuel-mapping procedures you identify for certifying each subfamily also apply for selective enforcement audits and in-use testing.


Subpart H – Averaging, Banking, and Trading for Certification

§ 1036.701 General provisions.

(a) You may average, bank, and trade (ABT) emission credits for purposes of certification as described in this subpart and in subpart B of this part to show compliance with the standards of § 1036.108. Participation in this program is voluntary. (Note: As described in subpart B of this part, you must assign an FCL to all engine families, whether or not they participate in the ABT provisions of this subpart.)


(b) The definitions of subpart I of this part apply to this subpart in addition to the following definitions:


(1) Actual emission credits means emission credits you have generated that we have verified by reviewing your final report.


(2) Averaging set means a set of engines in which emission credits may be exchanged. See § 1036.740.


(3) Broker means any entity that facilitates a trade of emission credits between a buyer and seller.


(4) Buyer means the entity that receives emission credits as a result of a trade.


(5) Reserved emission credits means emission credits you have generated that we have not yet verified by reviewing your final report.


(6) Seller means the entity that provides emission credits during a trade.


(7) Standard means the emission standard that applies under subpart B of this part for engines not participating in the ABT program of this subpart.


(8) Trade means to exchange emission credits, either as a buyer or seller.


(c) Emission credits may be exchanged only within an averaging set, except as specified in § 1036.740.


(d) You may not use emission credits generated under this subpart to offset any emissions that exceed an FCL or standard. This applies for all testing, including certification testing, in-use testing, selective enforcement audits, and other production-line testing. However, if emissions from an engine exceed an FCL or standard (for example, during a selective enforcement audit), you may use emission credits to recertify the engine family with a higher FCL that applies only to future production.


(e) You may use either of the following approaches to retire or forego emission credits:


(1) You may retire emission credits generated from any number of your engines. This may be considered donating emission credits to the environment. Identify any such credits in the reports described in § 1036.730. Engines must comply with the applicable FELs even if you donate or sell the corresponding emission credits under this paragraph (h). Those credits may no longer be used by anyone to demonstrate compliance with any EPA emission standards.


(2) You may certify an engine family using an FEL (FCL for CO2) below the emission standard as described in this part and choose not to generate emission credits for that family. If you do this, you do not need to calculate emission credits for those engine families and you do not need to submit or keep the associated records described in this subpart for that family.


(f) Emission credits may be used in the model year they are generated. Surplus emission credits may be banked for future model years. Surplus emission credits may sometimes be used for past model years, as described in § 1036.745.


(g) You may increase or decrease an FCL during the model year by amending your application for certification under § 1036.225. The new FCL may apply only to engines you have not already introduced into commerce.


(h) See § 1036.740 for special credit provisions that apply for greenhouse gas credits generated under 40 CFR 86.1819-14(k)(7) or § 1036.615 or 40 CFR 1037.615.


(i) Unless the regulations in this part explicitly allow it, you may not calculate Phase 1 credits more than once for any emission reduction. For example, if you generate Phase 1 CO2 emission credits for a hybrid engine under this part for a given vehicle, no one may generate CO2 emission credits for that same hybrid engine and the associated vehicle under 40 CFR part 1037. However, Phase 1 credits could be generated for identical vehicles using engines that did not generate credits under this part.


(j) Credits you generate with compression-ignition engines in 2020 and earlier model years may be used in model year 2021 and later as follows:


(1) For credit-generating engines certified to the tractor engine standards in § 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:


Table 1 of § 1036.701 – Emission Levels for Credit Calculation

Medium heavy-duty

engines
Heavy heavy-duty engines
558 g/hp·hr525 g/hp·hr.

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


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


§ 1036.705 Generating and calculating emission credits.

(a) The provisions of this section apply separately for calculating emission credits for each pollutant.


(b) For each participating family, calculate positive or negative emission credits relative to the otherwise applicable emission standard based on the engine family’s FCL for greenhouse gases. If your engine family is certified to both the vocational and tractor engine standards, calculate credits separately for the vocational engines and the tractor engines (as specified in paragraph (b)(3) of this section). Calculate positive emission credits for a family that has an FCL below the standard. Calculate negative emission credits for a family that has an FCL above the standard. Sum your positive and negative credits for the model year before rounding. Round the sum of emission credits to the nearest megagram (Mg), using consistent units throughout the following equations:


(1) For vocational engines:


Emission credits (Mg) = (Std−FCL) · (CF) · (Volume) · (UL) · (10−6)


Where:

Std = the emission standard, in g/hp-hr, that applies under subpart B of this part for engines not participating in the ABT program of this subpart (the “otherwise applicable standard”).

FCL = the Family Certification Level for the engine family, in g/hp-hr, measured over the transient duty cycle, rounded to the same number of decimal places as the emission standard.

CF = a transient cycle conversion factor (hp-hr/mile), calculated by dividing the total (integrated) horsepower-hour over the duty cycle (average of vocational engine configurations weighted by their production volumes) by 6.3 miles for engines subject to spark-ignition standards and 6.5 miles for engines subject to compression-ignition. This represents the average work performed by vocational engines in the family over the mileage represented by operation over the duty cycle.

Volume = the number of vocational engines eligible to participate in the averaging, banking, and trading program within the given engine family during the model year, as described in paragraph (c) of this section.

UL = the useful life for the given engine family, in miles.

(2) For tractor engines:


Emission credits (Mg) = (Std−FCL) · (CF) · (Volume) · (UL) · (10−6)


Where:

Std = the emission standard, in g/hp-hr, that applies under subpart B of this part for engines not participating in the ABT program of this subpart (the “otherwise applicable standard”).

FCL = the Family Certification Level for the engine family, in g/hp-hr, measured over the SET duty cycle rounded to the same number of decimal places as the emission standard.

CF = a transient cycle conversion factor (hp-hr/mile), calculated by dividing the total (integrated) horsepower-hour over the duty cycle (average of tractor-engine configurations weighted by their production volumes) by 6.3 miles for engines subject to spark-ignition standards and 6.5 miles for engines subject to compression-ignition standards. This represents the average work performed by tractor engines in the family over the mileage represented by operation over the duty cycle. Note that this calculation requires you to use the transient cycle conversion factor even for engines certified to standards based on the SET duty cycle.

Volume = the number of tractor engines eligible to participate in the averaging, banking, and trading program within the given engine family during the model year, as described in paragraph (c) of this section.

UL = the useful life for the given engine family, in miles.

(3) For engine families certified to both the vocational and tractor engine standards, we may allow you to use statistical methods to estimate the total production volumes where a small fraction of the engines cannot be tracked precisely.


(4) You may not generate emission credits for tractor engines (i.e., engines not certified to the transient cycle for CO2) installed in vocational vehicles (including vocational tractors certified under 40 CFR 1037.630 or exempted under 40 CFR 1037.631). We will waive this provision where you demonstrate that less than five percent of the engines in your tractor family were installed in vocational vehicles. For example, if you know that 96 percent of your tractor engines were installed in non-vocational tractors, but cannot determine the vehicle type for the remaining four percent, you may generate credits for all the engines in the family.


(5) You may generate CO2 emission credits from a model year 2021 or later medium heavy-duty engine family subject to spark-ignition standards for exchanging with other engine families only if the engines in the family are gasoline-fueled. You may generate CO2 credits from non-gasoline engine families only for the purpose of offsetting CH4 and/or N2O emissions within the same engine family as described in paragraph (d) of this section.


(c) As described in § 1036.730, compliance with the requirements of this subpart is determined at the end of the model year based on actual U.S.-directed production volumes. Keep appropriate records to document these production volumes. Do not include any of the following engines to calculate emission credits:


(1) Engines that you do not certify to the CO2 standards of this part because they are permanently exempted under subpart G of this part or under 40 CFR part 1068.


(2) Exported engines.


(3) Engines not subject to the requirements of this part, such as those excluded under § 1036.5. For example, do not include engines used in vehicles certified to the greenhouse gas standards of 40 CFR 86.1819.


(4) Any other engines if we indicate elsewhere in this part 1036 that they are not to be included in the calculations of this subpart.


(d) You may use CO2 emission credits to show compliance with CH4 and/or N2O FELs instead of the otherwise applicable emission standards. To do this, calculate the CH4 and/or N2O emission credits needed (negative credits) using the equation in paragraph (b) of this section, using the FEL(s) you specify for your engines during certification instead of the FCL. You must use 34 Mg of positive CO2 credits to offset 1 Mg of negative CH4 credits for model year 2021 and later engines, and you must use 25 Mg of positive CO2 credits to offset 1 Mg of negative CH4 credits for earlier engines. You must use 298 Mg of positive CO2 credits to offset 1 Mg of negative N2O credits.


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


§ 1036.710 Averaging.

(a) Averaging is the exchange of emission credits among your engine families. You may average emission credits only within the same averaging set, except as specified in § 1036.740.


(b) You may certify one or more engine families to an FCL above the applicable standard, subject to any applicable FEL caps and other the provisions in subpart B of this part, if you show in your application for certification that your projected balance of all emission-credit transactions in that model year is greater than or equal to zero, or that a negative balance is allowed under § 1036.745.


(c) If you certify an engine family to an FCL that exceeds the otherwise applicable standard, you must obtain enough emission credits to offset the engine family’s deficit by the due date for the final report required in § 1036.730. The emission credits used to address the deficit may come from your other engine families that generate emission credits in the same model year (or from later model years as specified in § 1036.745), from emission credits you have banked, or from emission credits you obtain through trading.


§ 1036.715 Banking.

(a) Banking is the retention of surplus emission credits by the manufacturer generating the emission credits for use in future model years for averaging or trading.


(b) You may designate any emission credits you plan to bank in the reports you submit under § 1036.730 as reserved credits. During the model year and before the due date for the final report, you may designate your reserved emission credits for averaging or trading.


(c) Reserved credits become actual emission credits when you submit your final report. However, we may revoke these emission credits if we are unable to verify them after reviewing your reports or auditing your records.


(d) Banked credits retain the designation of the averaging set in which they were generated.


§ 1036.720 Trading.

(a) Trading is the exchange of emission credits between manufacturers. You may use traded emission credits for averaging, banking, or further trading transactions. Traded emission credits remain subject to the averaging-set restrictions based on the averaging set in which they were generated.


(b) You may trade actual emission credits as described in this subpart. You may also trade reserved emission credits, but we may revoke these emission credits based on our review of your records or reports or those of the company with which you traded emission credits. You may trade banked credits within an averaging set to any certifying manufacturer.


(c) If a negative emission credit balance results from a transaction, both the buyer and seller are liable, except in cases we deem to involve fraud. See § 1036.255(e) for cases involving fraud. We may void the certificates of all engine families participating in a trade that results in a manufacturer having a negative balance of emission credits. See § 1036.745.


§ 1036.725 What must I include in my application for certification?

(a) You must declare in your application for certification your intent to use the provisions of this subpart for each engine family that will be certified using the ABT program. You must also declare the FELs/FCL you select for the engine family for each pollutant for which you are using the ABT program. Your FELs must comply with the specifications of subpart B of this part, including the FEL caps. FELs/FCLs must be expressed to the same number of decimal places as the applicable standards.


(b) Include the following in your application for certification:


(1) A statement that, to the best of your belief, you will not have a negative balance of emission credits for any averaging set when all emission credits are calculated at the end of the year; or a statement that you will have a negative balance of emission credits for one or more averaging sets, but that it is allowed under § 1036.745.


(2) Detailed calculations of projected emission credits (positive or negative) based on projected U.S.-directed production volumes. We may require you to include similar calculations from your other engine families to project your net credit balances for the model year. If you project negative emission credits for a family, state the source of positive emission credits you expect to use to offset the negative emission credits.


§ 1036.730 ABT reports.

(a) If any of your engine families are certified using the ABT provisions of this subpart, you must send an end-of-year report by March 31 following the end of the model year and a final report by September 30 following the end of the model year. We may waive the requirement to send an end-of-year report.


(b) Your end-of-year and final reports must include the following information for each engine family participating in the ABT program:


(1) Engine-family designation and averaging set.


(2) The emission standards that would otherwise apply to the engine family.


(3) The FCL for each pollutant. If you change the FCL after the start of production, identify the date that you started using the new FCL and/or give the engine identification number for the first engine covered by the new FCL. In this case, identify each applicable FCL and calculate the positive or negative emission credits as specified in § 1036.225.


(4) The projected and actual U.S.-directed production volumes for the model year. If you changed an FCL during the model year, identify the actual production volume associated with each FCL.


(5) The transient cycle conversion factor for each engine configuration as described in § 1036.705.


(6) Useful life.


(7) Calculated positive or negative emission credits for the whole engine family. Identify any emission credits that you traded, as described in paragraph (d)(1) of this section.


(c) Your end-of-year and final reports must include the following additional information:


(1) Show that your net balance of emission credits from all your participating engine families in each averaging set in the applicable model year is not negative, except as allowed under § 1036.745. Your credit tracking must account for the limitation on credit life under § 1036.740(d).


(2) State whether you will reserve any emission credits for banking.


(3) State that the report’s contents are accurate.


(d) If you trade emission credits, you must send us a report within 90 days after the transaction, as follows:


(1) As the seller, you must include the following information in your report:


(i) The corporate names of the buyer and any brokers.


(ii) A copy of any contracts related to the trade.


(iii) The averaging set corresponding to the engine families that generated emission credits for the trade, including the number of emission credits from each averaging set.


(2) As the buyer, you must include the following information in your report:


(i) The corporate names of the seller and any brokers.


(ii) A copy of any contracts related to the trade.


(iii) How you intend to use the emission credits, including the number of emission credits you intend to apply for each averaging set.


(e) Send your reports electronically to the Designated Compliance Officer using an approved information format. If you want to use a different format, send us a written request with justification for a waiver.


(f) Correct errors in your end-of-year or final report as follows:


(1) You may correct any errors in your end-of-year report when you prepare the final report, as long as you send us the final report by the time it is due.


(2) If you or we determine within 270 days after the end of the model year that errors mistakenly decreased your balance of emission credits, you may correct the errors and recalculate the balance of emission credits. You may not make these corrections for errors that are determined more than 270 days after the end of the model year. If you report a negative balance of emission credits, we may disallow corrections under this paragraph (f)(2).


(3) If you or we determine any time that errors mistakenly increased your balance of emission credits, you must correct the errors and recalculate the balance of emission credits.


§ 1036.735 Recordkeeping.

(a) You must organize and maintain your records as described in this section. We may review your records at any time.


(b) Keep the records required by this section for at least eight years after the due date for the end-of-year report. You may not use emission credits for any engines if you do not keep all the records required under this section. You must therefore keep these records to continue to bank valid credits. Store these records in any format and on any media, as long as you can promptly send us organized, written records in English if we ask for them. You must keep these records readily available. We may review them at any time.


(c) Keep a copy of the reports we require in §§ 1036.725 and 1036.730.


(d) Keep records of the engine identification number (usually the serial number) for each engine you produce that generates or uses emission credits under the ABT program. You may identify these numbers as a range. If you change the FEL after the start of production, identify the date you started using each FCL and the range of engine identification numbers associated with each FCL. You must also identify the purchaser and destination for each engine you produce to the extent this information is available.


(e) We may require you to keep additional records or to send us relevant information not required by this section in accordance with the Clean Air Act.


§ 1036.740 Restrictions for using emission credits.

The following restrictions apply for using emission credits:


(a) Averaging sets. Except as specified in paragraph (c) of this section, emission credits may be exchanged only within the following averaging sets:


(1) Engines subject to spark-ignition standards.


(2) Light heavy-duty engines subject to compression-ignition standards.


(3) Medium heavy-duty engines subject to compression-ignition standards.


(4) Heavy heavy-duty engines.


(b) Applying credits to prior year deficits. Where your credit balance for the previous year is negative, you may apply credits to that credit deficit only after meeting your credit obligations for the current year.


(c) Credits from hybrid engines and other advanced technologies. Credits you generate under § 1036.615 may be used for any of the averaging sets identified in paragraph (a) of this section; you may also use those credits to demonstrate compliance with the CO2 emission standards in 40 CFR 86.1819 and 40 CFR part 1037. Similarly, you may use Phase 1 advanced-technology credits generated under 40 CFR 86.1819-14(k)(7) or 40 CFR 1037.615 to demonstrate compliance with the CO2 standards in this part. In the case of engines subject to spark-ignition standards and compression-ignition light heavy-duty engines, you may not use more than 60,000 Mg of credits from other averaging sets in any model year.


(1) The maximum amount of CO2 credits you may bring into the following service class groups is 60,000 Mg per model year:


(i) Engines subject to spark-ignition standards, light heavy-duty compression-ignition engines, and light heavy-duty vehicles. This group comprises the averaging sets listed in paragraphs (a)(1) and (2) of this section and the averaging set listed in 40 CFR 1037.740(a)(1).


(ii) Medium heavy-duty engines subject to compression-ignition standards and medium heavy-duty vehicles. This group comprises the averaging sets listed in paragraph (a)(3) of this section and 40 CFR 1037.740(a)(2).


(iii) Heavy heavy-duty engines subject to compression-ignition standards and heavy heavy-duty vehicles. This group comprises the averaging sets listed in paragraph (a)(4) of this section and 40 CFR 1037.740(a)(3).


(2) Paragraph (c)(1) of this section does not limit the advanced-technology credits that can be used within a service class group if they were generated in that same service class group.


(d) Credit life. Credits may be used only for five model years after the year in which they are generated. For example, credits you generate in model year 2018 may be used to demonstrate compliance with emission standards only through model year 2023.


(e) Other restrictions. Other sections of this part specify additional restrictions for using emission credits under certain special provisions.


§ 1036.745 End-of-year CO2 credit deficits.

Except as allowed by this section, we may void the certificate of any engine family certified to an FCL above the applicable standard for which you do not have sufficient credits by the deadline for submitting the final report.


(a) Your certificate for an engine family for which you do not have sufficient CO2 credits will not be void if you remedy the deficit with surplus credits within three model years. For example, if you have a credit deficit of 500 Mg for an engine family at the end of model year 2015, you must generate (or otherwise obtain) a surplus of at least 500 Mg in that same averaging set by the end of model year 2018.


(b) You may not bank or trade away CO2 credits in the averaging set in any model year in which you have a deficit.


(c) You may apply only surplus credits to your deficit. You may not apply credits to a deficit from an earlier model year if they were generated in a model year for which any of your engine families for that averaging set had an end-of-year credit deficit.


(d) You must notify us in writing how you plan to eliminate the credit deficit within the specified time frame. If we determine that your plan is unreasonable or unrealistic, we may deny an application for certification for a vehicle family if its FEL would increase your credit deficit. We may determine that your plan is unreasonable or unrealistic based on a consideration of past and projected use of specific technologies, the historical sales mix of your vehicle models, your commitment to limit production of higher-emission vehicles, and expected access to traded credits. We may also consider your plan unreasonable if your credit deficit increases from one model year to the next. We may require that you send us interim reports describing your progress toward resolving your credit deficit over the course of a model year.


(e) If you do not remedy the deficit with surplus credits within three model years, we may void your certificate for that engine family. We may void the certificate based on your end-of-year report. Note that voiding a certificate applies ab initio. Where the net deficit is less than the total amount of negative credits originally generated by the family, we will void the certificate only with respect to the number of engines needed to reach the amount of the net deficit. For example, if the original engine family generated 500 Mg of negative credits, and the manufacturer’s net deficit after three years was 250 Mg, we would void the certificate with respect to half of the engines in the family.


(f) For purposes of calculating the statute of limitations, the following actions are all considered to occur at the expiration of the deadline for offsetting a deficit as specified in paragraph (a) of this section:


(1) Failing to meet the requirements of paragraph (a) of this section.


(2) Failing to satisfy the conditions upon which a certificate was issued relative to offsetting a deficit.


(3) Selling, offering for sale, introducing or delivering into U.S. commerce, or importing vehicles that are found not to be covered by a certificate as a result of failing to offset a deficit.


§ 1036.750 What can happen if I do not comply with the provisions of this subpart?

(a) For each engine family participating in the ABT program, the certificate of conformity is conditioned upon full compliance with the provisions of this subpart during and after the model year. You are responsible to establish to our satisfaction that you fully comply with applicable requirements. We may void the certificate of conformity for an engine family if you fail to comply with any provisions of this subpart.


(b) You may certify your engine family to an FCL above an applicable standard based on a projection that you will have enough emission credits to offset the deficit for the engine family. See § 1036.745 for provisions specifying what happens if you cannot show in your final report that you have enough actual emission credits to offset a deficit for any pollutant in an engine family.


(c) We may void the certificate of conformity for an engine family if you fail to keep records, send reports, or give us information we request. Note that failing to keep records, send reports, or give us information we request is also a violation of 42 U.S.C. 7522(a)(2).


(d) You may ask for a hearing if we void your certificate under this section (see § 1036.820).


§ 1036.755 Information provided to the Department of Transportation.

After receipt of each manufacturer’s final report as specified in § 1036.730 and completion of any verification testing required to validate the manufacturer’s submitted final data, we will issue a report to the Department of Transportation with CO2 emission information and will verify the accuracy of each manufacturer’s equivalent fuel consumption data that required by NHTSA under 49 CFR 535.8. We will send a report to DOT for each engine manufacturer based on each regulatory category and subcategory, including sufficient information for NHTSA to determine fuel consumption and associated credit values. See 49 CFR 535.8 to determine if NHTSA deems submission of this information to EPA to also be a submission to NHTSA.


Subpart I – Definitions and Other Reference Information

§ 1036.801 Definitions.

The following definitions apply to this part. The definitions apply to all subparts unless we note otherwise. All undefined terms have the meaning the Act gives to them. The definitions follow:


Act means the Clean Air Act, as amended, 42 U.S.C. 7401 – 7671q.


Adjustable parameter has the meaning given in 40 CFR part 86.


Advanced technology means technology certified under 40 CFR 86.1819-14(k)(7), § 1036.615, or 40 CFR 1037.615.


Aftertreatment means relating to a catalytic converter, particulate filter, or any other system, component, or technology mounted downstream of the exhaust valve (or exhaust port) whose design function is to decrease emissions in the engine exhaust before it is exhausted to the environment. Exhaust gas recirculation (EGR) and turbochargers are not aftertreatment.


Aircraft means any vehicle capable of sustained air travel more than 100 feet above the ground.


Alcohol-fueled engine mean an engine that is designed to run using an alcohol fuel. For purposes of this definition, alcohol fuels do not include fuels with a nominal alcohol content below 25 percent by volume.


Auxiliary emission control device means any element of design that senses temperature, motive speed, engine speed (r/min), transmission gear, or any other parameter for the purpose of activating, modulating, delaying, or deactivating the operation of any part of the emission control system.


Averaging set has the meaning given in § 1036.740.


Calibration means the set of specifications and tolerances specific to a particular design, version, or application of a component or assembly capable of functionally describing its operation over its working range.


Carryover means relating to certification based on emission data generated from an earlier model year as described in § 1036.235(d).


Certification means relating to the process of obtaining a certificate of conformity for an engine family that complies with the emission standards and requirements in this part.


Certified emission level means the highest deteriorated emission level in an engine family for a given pollutant from the applicable transient and/or steady-state testing, rounded to the same number of decimal places as the applicable standard. Note that you may have two certified emission levels for CO2 if you certify a family for both vocational and tractor use.


Complete vehicle means a vehicle meeting the definition of complete vehicle in 40 CFR 1037.801 when it is first sold as a vehicle. For example, where a vehicle manufacturer sells an incomplete vehicle to a secondary vehicle manufacturer, the vehicle is not a complete vehicle under this part, even after its final assembly.


Compression-ignition means relating to a type of reciprocating, internal-combustion engine that is not a spark-ignition engine. Note that § 1036.1 also deems gas turbine engines and other engines to be compression-ignition engines.


Crankcase emissions means airborne substances emitted to the atmosphere from any part of the engine crankcase’s ventilation or lubrication systems. The crankcase is the housing for the crankshaft and other related internal parts.


Criteria pollutants means emissions of NOX, HC, PM, and CO. Note that these pollutants are also sometimes described collectively as “non-greenhouse gas pollutants”, although they do not necessarily have negligible global warming potentials.


Designated Compliance Officer means one of the following:


(1) For engines subject to compression-ignition standards, Designated Compliance Officer means Director, Diesel Engine Compliance Center, U.S. Environmental Protection Agency, 2000 Traverwood Drive, Ann Arbor, MI 48105; [email protected]; epa.gov/otaq/verify.


(2) For engines subject to spark-ignition standards, Designated Compliance Officer means Director, Gasoline Engine Compliance Center, U.S. Environmental Protection Agency, 2000 Traverwood Drive, Ann Arbor, MI 48105; [email protected]; epa.gov/otaq/verify.


Deteriorated emission level means the emission level that results from applying the appropriate deterioration factor to the official emission result of the emission-data engine. Note that where no deterioration factor applies, references in this part to the deteriorated emission level mean the official emission result.


Deterioration factor means the relationship between emissions at the end of useful life (or point of highest emissions if it occurs before the end of useful life) and emissions at the low-hour/low-mileage test point, expressed in one of the following ways:


(1) For multiplicative deterioration factors, the ratio of emissions at the end of useful life (or point of highest emissions) to emissions at the low-hour test point.


(2) For additive deterioration factors, the difference between emissions at the end of useful life (or point of highest emissions) and emissions at the low-hour test point.


Diesel exhaust fluid (DEF) means a liquid reducing agent (other than the engine fuel) used in conjunction with selective catalytic reduction to reduce NOX emissions. Diesel exhaust fluid is generally understood to be an aqueous solution of urea conforming to the specifications of ISO 22241.


Dual-fuel means relating to an engine designed for operation on two different types of fuel but not on a continuous mixture of those fuels (see § 1036.601(d)). For purposes of this part, such an engine remains a dual-fuel engine even if it is designed for operation on three or more different fuels.


Emission control system means any device, system, or element of design that controls or reduces the emissions of regulated pollutants from an engine.


Emission-data engine means an engine that is tested for certification. This includes engines tested to establish deterioration factors.


Emission-related maintenance means maintenance that substantially affects emissions or is likely to substantially affect emission deterioration.


Engine configuration means a unique combination of engine hardware and calibration (related to the emission standards) within an engine family. Engines within a single engine configuration differ only with respect to normal production variability or factors unrelated to compliance with emission standards.


Engine family has the meaning given in § 1036.230.


Excluded means relating to engines that are not subject to some or all of the requirements of this part as follows:


(1) An engine that has been determined not to be a heavy-duty engine is excluded from this part.


(2) Certain heavy-duty engines are excluded from the requirements of this part under § 1036.5.


(3) Specific regulatory provisions of this part may exclude a heavy-duty engine generally subject to this part from one or more specific standards or requirements of this part.


Exempted has the meaning given in 40 CFR 1068.30.


Exhaust gas recirculation means a technology that reduces emissions by routing exhaust gases that had been exhausted from the combustion chamber(s) back into the engine to be mixed with incoming air before or during combustion. The use of valve timing to increase the amount of residual exhaust gas in the combustion chamber(s) that is mixed with incoming air before or during combustion is not considered exhaust gas recirculation for the purposes of this part.


Family certification level (FCL) means a CO2 emission level declared by the manufacturer that is at or above emission test results for all emission-data engines. The FCL serves as the emission standard for the engine family with respect to certification testing if it is different than the otherwise applicable standard. The FCL must be expressed to the same number of decimal places as the emission standard it replaces.


Family emission limit (FEL) means an emission level declared by the manufacturer to serve in place of an otherwise applicable emission standard (other than CO2 standards) under the ABT program in subpart H of this part. The FEL must be expressed to the same number of decimal places as the emission standard it replaces. The FEL serves as the emission standard for the engine family with respect to all required testing except certification testing for CO2. The CO2 FEL is equal to the CO2 FCL multiplied by 1.03 and rounded to the same number of decimal places as the standard (e.g., the nearest whole g/hp-hr for the 2016 CO2 standards).


Flexible-fuel means relating to an engine designed for operation on any mixture of two or more different types of fuels (see § 1036.601(d)).


Fuel type means a general category of fuels such as diesel fuel, gasoline, or natural gas. There can be multiple grades within a single fuel type, such as premium gasoline, regular gasoline, or gasoline with 10 percent ethanol.


Good engineering judgment has the meaning given in 40 CFR 1068.30. See 40 CFR 1068.5 for the administrative process we use to evaluate good engineering judgment.


Greenhouse gas means one or more compounds regulated under this part based primarily on their impact on the climate. This generally includes CO2, CH4, and N2O.


Greenhouse gas Emissions Model (GEM) means the GEM simulation tool described in 40 CFR 1037.520. Note that an updated version of GEM applies starting in model year 2021.


Gross vehicle weight rating (GVWR) means the value specified by the vehicle manufacturer as the maximum design loaded weight of a single vehicle, consistent with good engineering judgment.


Heavy-duty engine means any engine which the engine manufacturer could reasonably expect to be used for motive power in a heavy-duty vehicle. For purposes of this definition in this part, the term “engine” includes internal combustion engines and other devices that convert chemical fuel into motive power. For example, a fuel cell or a gas turbine used in a heavy-duty vehicle is a heavy-duty engine.


Heavy-duty vehicle means any motor vehicle above 8,500 pounds GVWR. An incomplete vehicle is also a heavy-duty vehicle if it has a curb weight above 6,000 pounds or a basic vehicle frontal area greater than 45 square feet. Curb weight and basic vehicle frontal area have the meaning given in 40 CFR 86.1803-01.


Hybrid means an engine or powertrain that includes energy storage features other than a conventional battery system or conventional flywheel. Supplemental electrical batteries and hydraulic accumulators are examples of hybrid energy storage systems. Note that certain provisions in this part treat hybrid engines and hybrid powertrains intended for vehicles that include regenerative braking different than those intended for vehicles that do not include regenerative braking.


Hybrid engine means a hybrid system with features for storing and recovering energy that are integral to the engine or are otherwise upstream of the vehicle’s transmission other than a conventional battery system or conventional flywheel. Supplemental electrical batteries and hydraulic accumulators are examples of hybrid energy storage systems. Examples of hybrids that could be considered hybrid engines are P0, P1, and P2 hybrids where hybrid features are connected to the front end of the engine, at the crankshaft, or connected between the clutch and the transmission where the clutch upstream of the hybrid feature is in addition to the transmission clutch(s), respectively. Note other examples of systems that qualify as hybrid engines are systems that recover kinetic energy and use it to power an electric heater in the aftertreatment.


Hybrid powertrain means a powertrain that includes energy storage features other than a conventional battery system or conventional flywheel. Supplemental electrical batteries and hydraulic accumulators are examples of hybrid energy storage systems. Note other examples of systems that qualify as hybrid powertrains are systems that recover kinetic energy and use it to power an electric heater in the aftertreatment.


Hydrocarbon (HC) means the hydrocarbon group on which the emission standards are based for each fuel type. For alcohol-fueled engines, HC means nonmethane hydrocarbon equivalent (NMHCE). For all other engines, HC means nonmethane hydrocarbon (NMHC).


Identification number means a unique specification (for example, a model number/serial number combination) that allows someone to distinguish a particular engine from other similar engines.


Incomplete vehicle means a vehicle meeting the definition of incomplete vehicle in 40 CFR 1037.801 when it is first sold (or otherwise delivered to another entity) as a vehicle.


Innovative technology means technology certified under § 1036.610 (also described as “off-cycle technology”).


Liquefied petroleum gas (LPG) means a liquid hydrocarbon fuel that is stored under pressure and is composed primarily of nonmethane compounds that are gases at atmospheric conditions. Note that, although this commercial term includes the word “petroleum”, LPG is not considered to be a petroleum fuel under the definitions of this section.


Low-hour means relating to an engine that has stabilized emissions and represents the undeteriorated emission level. This would generally involve less than 125 hours of operation.


Manufacture means the physical and engineering process of designing, constructing, and/or assembling a heavy-duty engine or a heavy-duty vehicle.


Manufacturer has the meaning given in section 216(1) of the Act. In general, this term includes any person who manufactures or assembles an engine, vehicle, or piece of equipment for sale in the United States or otherwise introduces a new engine into commerce in the United States. This includes importers who import engines or vehicles for resale.


Medium-duty passenger vehicle has the meaning given in 40 CFR 86.1803.


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


Model year means the manufacturer’s annual new model production period, except as restricted under this definition. It must include January 1 of the calendar year for which the model year is named, may not begin before January 2 of the previous calendar year, and it must end by December 31 of the named calendar year. Manufacturers may not adjust model years to circumvent or delay compliance with emission standards or to avoid the obligation to certify annually.


Motor vehicle has the meaning given in 40 CFR 85.1703.


Natural gas means a fuel whose primary constituent is methane.


New motor vehicle engine has the meaning given in the Act. This generally means a motor vehicle engine meeting the criteria of either paragraph (1), (2), or (3) of this definition.


(1) A motor vehicle engine for which the ultimate purchaser has never received the equitable or legal title is a new motor vehicle engine. This kind of engine might commonly be thought of as “brand new” although a new motor vehicle engine may include previously used parts. Under this definition, the engine is new from the time it is produced until the ultimate purchaser receives the title or places it into service, whichever comes first.


(2) An imported motor vehicle engine is a new motor vehicle engine if it was originally built on or after January 1, 1970.


(3) Any motor vehicle engine installed in a new motor vehicle.


Noncompliant engine means an engine that was originally covered by a certificate of conformity, but is not in the certified configuration or otherwise does not comply with the conditions of the certificate.


Nonconforming engine means an engine not covered by a certificate of conformity that would otherwise be subject to emission standards.


Nonmethane hydrocarbon (NMHC) means the sum of all hydrocarbon species except methane, as measured according to 40 CFR part 1065.


Nonmethane hydrocarbon equivalent (NMHCE) has the meaning given in 40 CFR 1065.1001.


Off-cycle technology means technology certified under § 1036.610 (also described as “innovative technology”).


Official emission result means the measured emission rate for an emission-data engine on a given duty cycle before the application of any deterioration factor, but after the applicability of any required regeneration or other adjustment factors.


Owners manual means a document or collection of documents prepared by the engine or vehicle manufacturer for the owner or operator to describe appropriate engine maintenance, applicable warranties, and any other information related to operating or keeping the engine. The owners manual is typically provided to the ultimate purchaser at the time of sale. The owners manual may be in paper or electronic format.


Oxides of nitrogen has the meaning given in 40 CFR 1065.1001.


Percent has the meaning given in 40 CFR 1065.1001. Note that this means percentages identified in this part are assumed to be infinitely precise without regard to the number of significant figures. For example, one percent of 1,493 is 14.93.


Placed into service means put into initial use for its intended purpose, excluding incidental use by the manufacturer or a dealer.


Preliminary approval means approval granted by an authorized EPA representative prior to submission of an application for certification, consistent with the provisions of § 1036.210.


Primary intended service class has the meaning given in § 1036.140.


Rechargeable Energy Storage System (RESS) means the component(s) of a hybrid engine or vehicle that store recovered energy for later use, such as the battery system in an electric hybrid vehicle.


Relating to as used in this section means relating to something in a specific, direct manner. This expression is used in this section only to define terms as adjectives and not to broaden the meaning of the terms.


Revoke has the meaning given in 40 CFR 1068.30.


Round has the meaning given in 40 CFR 1065.1001.


Scheduled maintenance means adjusting, repairing, removing, disassembling, cleaning, or replacing components or systems periodically to keep a part or system from failing, malfunctioning, or wearing prematurely. It also may mean actions you expect are necessary to correct an overt indication of failure or malfunction for which periodic maintenance is not appropriate.


Small manufacturer means a manufacturer meeting the criteria specified in 13 CFR 121.201. The employee and revenue limits apply to the total number of employees and total revenue together for affiliated companies. Note that manufacturers with low production volumes may or may not be “small manufacturers”.


Spark-ignition means relating to a gasoline-fueled engine or any other type of engine with a spark plug (or other sparking device) and with operating characteristics significantly similar to the theoretical Otto combustion cycle. Spark-ignition engines usually use a throttle to regulate intake air flow to control power during normal operation.


Steady-state has the meaning given in 40 CFR 1065.1001. This includes fuel mapping and idle testing where engine speed and load are held at a finite set of nominally constant values.


Suspend has the meaning given in 40 CFR 1068.30.


Test engine means an engine in a test sample.


Test sample means the collection of engines selected from the population of an engine family for emission testing. This may include testing for certification, production-line testing, or in-use testing.


Tractor means a vehicle meeting the definition of “tractor” in 40 CFR 1037.801, but not classified as a “vocational tractor” under 40 CFR 1037.630, or relating to such a vehicle.


Tractor engine means an engine certified for use in tractors. Where an engine family is certified for use in both tractors and vocational vehicles, “tractor engine” means an engine that the engine manufacturer reasonably believes will be (or has been) installed in a tractor. Note that the provisions of this part may require a manufacturer to document how it determines that an engine is a tractor engine.


Ultimate purchaser means, with respect to any new engine or vehicle, the first person who in good faith purchases such new engine or vehicle for purposes other than resale.


United States has the meaning given in 40 CFR 1068.30.


Upcoming model year means for an engine family the model year after the one currently in production.


U.S.-directed production volume means the number of engines, subject to the requirements of this part, produced by a manufacturer for which the manufacturer has a reasonable assurance that sale was or will be made to ultimate purchasers in the United States. This does not include engines certified to state emission standards that are different than the emission standards in this part.


Vehicle has the meaning given in 40 CFR 1037.801.


Vocational engine means an engine certified for use in vocational vehicles. Where an engine family is certified for use in both tractors and vocational vehicles, “vocational engine” means an engine that the engine manufacturer reasonably believes will be (or has been) installed in a vocational vehicle. Note that the provisions of this part may require a manufacturer to document how it determines that an engine is a vocational engine.


Vocational vehicle means a vehicle meeting the definition of “vocational” vehicle in 40 CFR 1037.801.


Void has the meaning given in 40 CFR 1068.30.


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


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


§ 1036.805 Symbols, abbreviations, and acronyms.

The procedures in this part generally follow either the International System of Units (SI) or the United States customary units, as detailed in NIST Special Publication 811 (incorporated by reference in § 1036.810). See 40 CFR 1065.20 for specific provisions related to these conventions. This section summarizes the way we use symbols, units of measure, and other abbreviations.


(a) Symbols for chemical species. This part uses the following symbols for chemical species and exhaust constituents:


Symbol
Species
Ccarbon.
CH4methane.
CH4N2Ourea.
COcarbon monoxide.
CO2carbon dioxide.
H2Owater.
HChydrocarbon.
NMHCnonmethane hydrocarbon.
NMHCEnonmethane hydrocarbon equivalent.
NOnitric oxide.
NO2nitrogen dioxide.
NOXoxides of nitrogen.
N2Onitrous oxide.
PMparticulate matter.

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


Table 2 to § 1036.805 – Symbols for Quantities

Symbol
Quantity
Unit
Unit

symbol
Unit in terms of SI base units
αatomic hydrogen-to-carbon ratiomole per molemol/mol1.
ΑAreasquare meterm2m2.
βatomic oxygen-to-carbon ratiomole per molemol/mol1.
CdΑdrag areameter squaredm2m2.
Crrcoefficient of rolling resistancekilogram per metric tonkg/tonne103.
Ddistancemiles or metersmi or mm.
εefficiency
Difference or error quantity
emass weighted emission resultgrams/ton-mileg/ton-mig/kg-km.
Effefficiency
Emmass-specific net energy contentmegajoules/kilogramMJ/kgm2·s2.
fnangular speed (shaft)revolutions per minuter/minπ·30·s1.
ggravitational accelerationmeters per second squaredm/s2m·s2.
iindexing variable
kadrive axle ratio1.
ktopgearhighest available transmission gear
mMasspound mass or kilogramlbm or kgkg.
Mmolar massgram per moleg/mol103·kg·mol1.
Mvehicle masskilogramkgkg.
Mrotatinginertial mass of rotating componentskilogramkgkg.
Ntotal number in a series
PPowerkilowattkW103·m2·kg·s3.
ρmass densitykilogram per cubic meterkg/m3m3·kg.
rtire radiusmetermm.
SEEstandard error of the estimate
σstandard deviation
Ttorque (moment of force)newton meterN·mm2·kg·s2.
tTimesecondss.
Δttime interval, period, 1/frequencysecondss.
UFutility factor
vSpeedmiles per hour or meters per secondmi/hr or m/sm·s1.
WWorkkilowatt-hourkW·hr3.6·m2·kg·s1.
wCcarbon mass fractiongram/gramg/g1.
wCH4N2Ourea mass fractiongram/gramg/g1.
xamount of substance mole fractionmole per molemol/mol1.
xbbrake energy fraction
xblbrake energy limit

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


Table 3 to § 1036.805 – Superscripts

Superscript
Meaning
overbar (such as y
)
arithmetic mean.
overdot (such as y
)
quantity per unit time.

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


Table 4 to § 1036.805 – Subscripts

Subscript
Meaning
6565 miles per hour.
AA speed.
Aabsolute (e.g., absolute difference or error).
Accaccessory.
Appapproved.
Axleaxle.
BB speed.
CC speed.
Ccarbon mass.
Ccombdrycarbon from fuel per mole of dry exhaust.
CDcharge-depleting.
CO2DEFCO2 resulting from diesel exhaust fluid decomposition.
combcombustion.
compcomposite.
Corcorrected.
CScharge-sustaining.
Cycletest cycle.
DEFdiesel exhaust fluid.
engineengine.
Exhraw exhaust.
Frontfrontal.
Fuelfuel.
H2OexhaustdryH2O in exhaust per mole of exhaust.
Hihigh.
Ian individual of a series.
Idleidle.
Mmass.
Maxmaximum.
mappedmapped.
Measmeasured quantity.
Negnegative.
Pospositive.
Rrelative (e.g., relative difference or error).
Raterate (divided by time).
Ratedrated.
recordrecord.
Refreference quantity.
speedspeed.
Stallstall.
Testtest.
Tiretire.
transienttransient.
Μvector.
vehiclevehicle.

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


Table 5 to § 1036.805 – Other Acronyms and Abbreviations

Acronym
Meaning
ABTaveraging, banking, and trading.
AECDauxiliary emission control device.
ASTMAmerican Society for Testing and Materials.
BTUBritish thermal units.
CDcharge-depleting.
CFRCode of Federal Regulations.
CICompression-ignition.
COVcoefficient of variation.
CScharge-sustaining.
DEFdiesel exhaust fluid.
DFdeterioration factor.
DOTDepartment of Transportation.
E85gasoline blend including nominally 85 percent denatured ethanol.
ECUElectronic Control Unit.
EPAEnvironmental Protection Agency.
FCLFamily Certification Level.
FELFamily Emission Limit.
GEMGreenhouse gas Emissions Model.
g/hp-hrgrams per brake horsepower-hour.
GVWRgross vehicle weight rating.
HDVheavy-duty vehicle.
LPGliquefied petroleum gas.
NARANational Archives and Records Administration.
NHTSANational Highway Traffic Safety Administration.
NTEnot-to-exceed.
RESSrechargeable energy storage system.
RMCramped-modal cycle.
SCRselective catalytic reduction.
SEEstandard error of the estimate.
SETSupplemental Emission Test.
SIspark-ignition.
U.S.United States.
U.S.C.United States Code.

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


Table 6 to § 1036.805 – Constants

Symbol
Quantity
Value
ggravitational constant9.80665 m·s−2

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


Table 7 to § 1036.805 – Prefixes

Symbol
Quantity
Value
µmicro106
mmilli103
ccenti102
kkilo103
Mmega106

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


§ 1036.810 Incorporation by reference.

Certain material is incorporated by reference into this part with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that specified in this section, the Environmental Protection Agency must publish a document in the Federal Register and the material must be available to the public. All approved material is available for inspection at U.S. EPA, Air and Radiation Docket and Information Center, WJC West Building, Room 3334, 1301 Constitution Ave. NW, Washington, DC 20460, www.epa.gov/dockets, (202) 202-1744, and is available from the sources listed in this section. It is also available for inspection at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call 202-741-6030, or go to www.archives.gov/federal-register/cfr/ibr-locations.html.


(a) ASTM International, 100 Barr Harbor Drive, P.O. Box C700, West Conshohocken, PA 19428-2959, (877) 909-2786, www.astm.org/.


(1) ASTM D3588-98 (Reapproved 2017)e1, Standard Practice for Calculating Heat Value, Compressibility Factor, and Relative Density of Gaseous Fuels, approved April 1, 2017, (“ASTM D3588”), IBR approved for § 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 www.nist.gov.


(1) NIST Special Publication 811, Guide for the Use of the International System of Units (SI), 2008 Edition, March 2008, IBR approved for § 1036.805.


(2) [Reserved]


[86 FR 34406, June 29, 2021]


§ 1036.815 Confidential information.

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


§ 1036.820 Requesting a hearing.

(a) You may request a hearing under certain circumstances, as described elsewhere in this part. To do this, you must file a written request, including a description of your objection and any supporting data, within 30 days after we make a decision.


(b) For a hearing you request under the provisions of this part, we will approve your request if we find that your request raises a substantial factual issue.


(c) If we agree to hold a hearing, we will use the procedures specified in 40 CFR part 1068, subpart G.


§ 1036.825 Reporting and recordkeeping requirements.

(a) This part includes various requirements to submit and record data or other information. Unless we specify otherwise, store required records in any format and on any media and keep them readily available for eight years after you send an associated application for certification, or eight years after you generate the data if they do not support an application for certification. We may review these records at any time. You must promptly give us organized, written records in English if we ask for them. We may require you to submit written records in an electronic format.


(b) The regulations in § 1036.255 and 40 CFR 1068.25 and 1068.101 describe your obligation to report truthful and complete information. This includes information not related to certification. Failing to properly report information and keep the records we specify violates 40 CFR 1068.101(a)(2), which may involve civil or criminal penalties.


(c) Send all reports and requests for approval to the Designated Compliance Officer (see § 1036.801).


(d) Any written information we require you to send to or receive from another company is deemed to be a required record under this section. Such records are also deemed to be submissions to EPA. Keep these records for eight years unless the regulations specify a different period. We may require you to send us these records whether or not you are a certificate holder.


(e) Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), the Office of Management and Budget approves the reporting and recordkeeping specified in the applicable regulations. The following items illustrate the kind of reporting and recordkeeping we require for engines and vehicles regulated under this part:


(1) We specify the following requirements related to engine certification in this part 1036:


(i) In § 1036.135 we require engine manufacturers to keep certain records related to duplicate labels sent to vehicle manufacturers.


(ii) In § 1036.150 we include various reporting and recordkeeping requirements related to interim provisions.


(iii) In subpart C of this part we identify a wide range of information required to certify engines.


(iv) In subpart G of this part we identify several reporting and recordkeeping items for making demonstrations and getting approval related to various special compliance provisions.


(v) In §§ 1036.725, 1036.730, and 1036.735 we specify certain records related to averaging, banking, and trading.


(2) We specify the following requirements related to testing in 40 CFR part 1065:


(i) In 40 CFR 1065.2 we give an overview of principles for reporting information.


(ii) In 40 CFR 1065.10 and 1065.12 we specify information needs for establishing various changes to published test procedures.


(iii) In 40 CFR 1065.25 we establish basic guidelines for storing test information.


(iv) In 40 CFR 1065.695 we identify the specific information and data items to record when measuring emissions.


(3) We specify the following requirements related to the general compliance provisions in 40 CFR part 1068:


(i) In 40 CFR 1068.5 we establish a process for evaluating good engineering judgment related to testing and certification.


(ii) In 40 CFR 1068.25 we describe general provisions related to sending and keeping information


(iii) In 40 CFR 1068.27 we require manufacturers to make engines available for our testing or inspection if we make such a request.


(iv) In 40 CFR 1068.105 we require vehicle manufacturers to keep certain records related to duplicate labels from engine manufacturers.


(v) In 40 CFR 1068.120 we specify recordkeeping related to rebuilding engines.


(vi) In 40 CFR part 1068, subpart C, we identify several reporting and recordkeeping items for making demonstrations and getting approval related to various exemptions.


(vii) In 40 CFR part 1068, subpart D, we identify several reporting and recordkeeping items for making demonstrations and getting approval related to importing engines.


(viii) In 40 CFR 1068.450 and 1068.455 we specify certain records related to testing production-line engines in a selective enforcement audit.


(ix) In 40 CFR 1068.501 we specify certain records related to investigating and reporting emission-related defects.


(x) In 40 CFR 1068.525 and 1068.530 we specify certain records related to recalling nonconforming engines.


(xi) In 40 CFR part 1068, subpart G, we specify certain records for requesting a hearing.


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


Appendix A to Part 1036 – Summary of Previous Emission Standards

The following standards, which EPA originally adopted under 40 CFR part 85 or 86, apply to compression-ignition engines produced before model year 2007 and to spark-ignition engines produced before model year 2008:


(a) Smoke. Smoke standards applied for compression-ignition engines based on opacity measurement using the test procedures in 40 CFR part 86, subpart I, as follows:


(1) Engines were subject to the following smoke standards for model years 1970 through 1973:


(i) 40 percent during the engine acceleration mode.


(ii) 20 percent during the engine lugging mode.


(2) The smoke standards in 40 CFR 86.11 started to apply in model year 1974.


(b) Idle CO. A standard of 0.5 percent of exhaust gas flow at curb idle applied through model year 2016 to the following engines:


(1) Spark-ignition engines with aftertreatment starting in model year 1987. This standard applied only for gasoline-fueled engines through model year 1997. Starting in model year 1998, the same standard applied for engines fueled by methanol, LPG, and natural gas. The idle CO standard no longer applied for engines certified to meet onboard diagnostic requirements starting in model year 2005.


(2) Methanol-fueled compression-ignition engines starting in model year 1990. This standard also applied for natural gas and LPG engines starting in model year 1997. The idle CO standard no longer applied for engines certified to meet onboard diagnostic requirements starting in model year 2007.


(c) Crankcase emissions. The requirement to design engines to prevent crankcase emissions applied starting with the following engines:


(1) Spark-ignition engines starting in model year 1968. This standard applied only for gasoline-fueled engines through model year 1989, and applied for spark-ignition engines using other fuels starting in model year 1990.


(2) Naturally aspirated diesel-fueled engines starting in model year 1985.


(3) Methanol-fueled compression-ignition engines starting in model year 1990.


(4) Naturally aspirated gaseous-fueled engines starting in model year 1997, and all other gaseous-fueled engines starting in 1998.


(d) Early steady-state standards. The following criteria standards applied to heavy-duty engines based on steady-state measurement procedures:


Table 1 to Appendix A – Early Steady-State Emission Standards for Heavy-Duty Engines

Model year
Fuel
Pollutant
HC
NOX + HC
CO
1970-1973gasoline275 ppm1.5 volume percent.
1974-1978gasoline and diesel16 g/hp·hr40 g/hp·hr.
1979-1984 agasoline and diesel5 g/hp·hr for diesel, 5.0 g/hp·hr for gasoline25 g/hp·hr.

a An optional NOX + HC standard of 10 g/hp·hr applied in 1979 through 1984 in conjunction with a separate HC standard of 1.5 g/hp·hr.


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


Table 2 to Appendix A – Transient Emission Standards for Spark-Ignition Engines
a b

Model year
Pollutant

(g/hp·hr)
HC
CO
NOX
NOX + NMHC
1985-19871.114.410.6
1988-19901.114.46.0
1991-19971.114.45.0
1998-2004
c
1.114.44.0
2005-200714.4
d 1.0


a Standards applied only for gasoline-fueled engines through model year 1989. Standards started to apply for methanol in model year 1990, and for LPG and natural gas in model year 1998.


b Engines intended for installation only in heavy-duty vehicles above 14,000 pounds GVWR were subject to an HC standard of 1.9 g/hp·hr for model years 1987 through 2004, and a CO standard of 37.1 g/hp·hr for model years 1987 through 2007. In addition, for model years 1987 through 2007, up to 5 percent of a manufacturer’s sales of engines intended for installation in heavy-duty vehicles at or below 14,000 pounds GVWR could be certified to the alternative HC and CO standards.


c For natural gas engines in model years 1998 through 2004, the NOX standard was 5.0 g/hp·hr; the HC standards were 1.7 g/hp·hr for engines intended for installation only in vehicles above 14,000 pounds GVWR, and 0.9 g/hp·hr for other engines.


d Manufacturers could delay the 1.0 g/hp·hr NOX + NMHC standard until model year 2008 by meeting an alternate NOX + NMHC standard of 1.5 g/hp·hr applied for model years 2004 through 2007.


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


Table 3 to Appendix A – Transient Emission Standards for Compression-Ignition Engines
a

Model year
Pollutant

(g/hp·hr)
HC
CO
NOX
NOX + NMHC
PM
1985-19871.315.510.7
1988-19891.315.510.70.60.
19901.315.56.00.60.
1991-19921.315.55.00.25.
19931.315.55.00.25 truck, 0.10 bus.
1994-19951.315.55.00.10 truck, 0.07 urban bus.
1996-19971.315.55.00.10 truck, 0.05 urban bus.
b
1998-20031.315.54.00.10 truck, 0.05 urban bus.
b
2004-200615.5
c 2.4
0.10 truck, 0.05 urban bus.
b


a Standards applied only for diesel-fueled engines through model year 1989. Standards started to apply for methanol in model year 1990, and for LPG and natural gas in model year 1997. An alternate HC standard of 1.2 g/hp·hr applied for natural gas engines for model years 1997 through 2003.


b The in-use PM standard for urban bus engines in model years 1996 through 2006 was 0.07 g/hp·hr.


c An optional NOX + NMHC standard of 2.5 g/hp·hr applied in 2004 through 2006 in conjunction with a separate NMHC standard of 0.5 g/hp·hr.


[86 FR 34406, June 29, 2021]


Appendix B to Part 1036 – Transient Duty Cycles

(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, Prated, determined in § 1036.527 and road grade coefficients using the following equation:



(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:




























[86 FR 34408, June 29, 2021]


Appendix C to Part 1036 – Default Engine Fuel Maps for § 1036.540

This appendix includes default steady-state fuel maps for performing cycle-average engine fuel mapping as described in §§ 1036.535 and 1036.540.


(a) Use the following default fuel map for compression-ignition engines that will be installed in Tractors and Vocational Heavy HDV:


Engine speed

(r/min)
Engine torque (N·m)
Fuel mass rate

(g/sec)
666.700.436
833.300.665
100000.94
1166.701.002
1333.301.17
150001.5
1666.701.899
1833.302.378
200002.93
2166.703.516
2333.304.093
250004.672
5003000.974
666.73001.405
833.33001.873
10003002.324
1166.73002.598
1333.33002.904
15003003.397
1666.73003.994
1833.33004.643
20003005.372
2166.73006.141
2333.33007.553
25003008.449
5006001.723
666.76002.391
833.36003.121
10006003.756
1166.76004.197
1333.36004.776
15006005.492
1666.76006.277
1833.36007.129
20006008.069
2166.76009.745
2333.360011.213
250060012.59
5009002.637
666.79003.444
833.39004.243
10009004.997
1166.79005.802
1333.39006.702
15009007.676
1666.79008.7
1833.39009.821
200090011.08
2166.790013.051
2333.390015.002
250090016.862
50012003.833
666.712004.679
833.312005.535
100012006.519
1166.712007.603
1333.312008.735
150012009.948
1666.7120011.226
1833.3120012.622
2000120014.228
2166.7120016.488
2333.3120018.921
2500120021.263
50015006.299
666.715006.768
833.315006.95
100015008.096
1166.715009.399
1333.3150010.764
1500150012.238
1666.7150013.827
1833.3150015.586
2000150017.589
2166.7150020.493
2333.3150023.366
2500150026.055
50018009.413
666.718009.551
833.318008.926
100018009.745
1166.7180011.26
1333.3180012.819
1500180014.547
1666.7180016.485
1833.3180018.697
2000180021.535
2166.7180024.981
2333.3180028.404
2500180031.768
500210013.128
666.7210012.936
833.3210012.325
1000210011.421
1166.7210013.174
1333.3210014.969
1500210016.971
1666.7210019.274
1833.3210022.09
2000210025.654
2166.7210029.399
2333.3210032.958
2500210036.543
500240017.446
666.7240016.922
833.3240015.981
1000240014.622
1166.7240015.079
1333.3240017.165
1500240019.583
1666.7240022.408
1833.3240025.635
2000240029.22
2166.7240033.168
2333.3240037.233
2500240041.075
500270022.365
666.7270021.511
833.3270020.225
1000270017.549
1166.7270017.131
1333.3270019.588
1500270022.514
1666.7270025.574
1833.3270028.909
2000270032.407
2166.7270036.18
2333.3270040.454
2500270044.968
500300027.476
666.7300022.613
833.3300019.804
1000300017.266
1166.7300019.197
1333.3300022.109
1500300025.288
1666.7300028.44
1833.3300031.801
2000300035.405
2166.7300039.152
2333.3300042.912
2500300047.512

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


Engine speed

(r/min)
Engine torque

(N·m)
Fuel mass rate

(g/sec)
708.300.255
916.700.263
112500.342
1333.300.713
1541.700.885
175001.068
1958.301.27
2166.701.593
237501.822
2583.302.695
2791.704.016
300005.324
5001200.515
708.31200.722
916.71200.837
11251201.097
1333.31201.438
1541.71201.676
17501201.993
1958.31202.35
2166.71202.769
23751203.306
2583.31204.004
2791.71204.78
30001205.567
5002400.862
708.32401.158
916.72401.462
11252401.85
1333.32402.246
1541.72402.603
17502403.086
1958.32403.516
2166.72404.093
23752404.726
2583.32405.372
2791.72406.064
30002406.745
5003601.221
708.33601.651
916.73602.099
11253602.62
1333.33603.116
1541.73603.604
17503604.172
1958.33604.754
2166.73605.451
23753606.16
2583.33607.009
2791.73608.007
30003608.995
5004801.676
708.34802.194
916.74802.76
11254803.408
1333.34804.031
1541.74804.649
17504805.309
1958.34806.052
2166.74806.849
23754807.681
2583.34808.783
2791.748010.073
300048011.36
5006002.147
708.36002.787
916.76003.478
11256004.227
1333.36004.999
1541.76005.737
17506006.511
1958.36007.357
2166.76008.289
23756009.295
2583.360010.541
2791.760011.914
300060013.286
5007202.744
708.37203.535
916.77204.356
11257205.102
1333.37205.968
1541.77206.826
17507207.733
1958.37208.703
2166.77209.792
237572010.984
2583.372012.311
2791.772013.697
300072015.071
5008403.518
708.38404.338
916.78405.186
11258406.063
1333.38406.929
1541.78407.883
17508408.94
1958.384010.093
2166.784011.329
237584012.613
2583.384013.983
2791.784015.419
300084016.853
5009604.251
708.39605.098
916.79605.974
11259606.917
1333.39607.889
1541.79608.913
175096010.152
1958.396011.482
2166.796012.87
237596014.195
2583.396015.562
2791.796016.995
300096018.492
50010804.978
708.310805.928
916.710806.877
112510807.827
1333.310808.838
1541.710809.91
1750108011.347
1958.3108012.85
2166.7108014.398
2375108015.745
2583.3108017.051
2791.7108018.477
3000108019.971
50012005.888
708.312006.837
916.712007.787
112512008.736
1333.312009.786
1541.7120010.908
1750120012.541
1958.3120014.217
2166.7120015.925
2375120017.3
2583.3120018.606
2791.7120019.912
3000120021.357

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


Engine speed

(r/min)
Engine torque

(N·m)
Fuel mass rate

(g/sec)
87500.535
125000.734
162500.975
200001.238
237501.506
275001.772
312502.07
350002.394
387502.795
425003.312
462503.349
500003.761
500650.458
875650.759
1250651.065
1625651.43
2000651.812
2375652.22
2750652.65
3125653.114
3500653.646
3875654.225
4250654.861
4625655.328
5000656.028
5001300.666
8751301.063
12501301.497
16251301.976
20001302.469
23751303.015
27501303.59
31251304.218
35001304.9
38751305.652
42501306.484
46251307.308
50001308.294
5001950.856
8751951.377
12501951.923
16251952.496
20001953.111
23751953.759
27501954.49
31251955.269
35001956.13
38751957.124
42501958.189
46251959.288
500019510.561
5002601.079
8752601.716
12502602.373
16252603.083
20002603.832
23752604.599
27502605.443
31252606.391
35002607.444
38752608.564
42502609.821
462526011.268
500026012.828
5003251.354
8753252.06
12503252.844
16253253.696
20003254.579
23753255.466
27503256.434
31253257.542
35003258.685
38753259.768
425032511.011
462532513.249
500032515.095
5003901.609
8753902.44
12503903.317
16253904.31
20003905.342
23753906.362
27503907.489
31253908.716
35003909.865
387539010.957
425039012.405
462539015.229
500039017.363
5004552.245
8754552.969
12504553.867
16254554.992
20004556.215
23754557.415
27504558.76
312545510.175
350045511.53
387545512.889
425045514.686
462545517.243
500045519.633
5005203.497
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500065020.33

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


PART 1037 – CONTROL OF EMISSIONS FROM NEW HEAVY-DUTY MOTOR VEHICLES


Authority:42 U.S.C. 7401 – 7671q.


Source:81 FR 74048, Oct. 25, 2016, unless otherwise noted.

§ 1037.1 Applicability.

(a) This part contains standards and other regulations applicable to the emission of the air pollutant defined as the aggregate group of six greenhouse gases: carbon dioxide, nitrous oxide, methane, hydrofluorocarbons, perfluorocarbons, and sulfur hexafluoride. The regulations in this part 1037 apply for all new heavy-duty vehicles, except as provided in §§ 1037.5 and 1037.104. This includes electric vehicles and vehicles fueled by conventional and alternative fuels. This also includes certain trailers as described in §§ 1037.5, 1037.150, and 1037.801.


(b) The provisions of this part apply for alternative fuel conversions as specified in 40 CFR part 85, subpart F.


§ 1037.2 Who is responsible for compliance?

The regulations in this part 1037 contain provisions that affect both vehicle manufacturers and others. However, the requirements of this part are generally addressed to the vehicle manufacturer(s). The term “you” generally means the vehicle manufacturer(s), especially for issues related to certification. See § 1037.801 for the definition of “manufacturer” and § 1037.620 for provisions related to compliance when there are multiple entities meeting the definition of “manufacturer.” Additional requirements and prohibitions apply to other persons as specified in subpart G of this part and 40 CFR part 1068.


§ 1037.5 Excluded vehicles.

Except for the definitions specified in § 1037.801, this part does not apply to the following vehicles:


(a) Vehicles not meeting the definition of “motor vehicle” in § 1037.801.


(b) Vehicles excluded from the definition of “heavy-duty vehicle” in § 1037.801 because of vehicle weight, weight rating, and frontal area (such as light-duty vehicles and light-duty trucks).


(c) Vehicles produced in model years before 2014, unless they were certified under § 1037.150.


(d) Medium-duty passenger vehicles and other vehicles subject to the light-duty greenhouse gas standards of 40 CFR part 86. See 40 CFR 86.1818 for greenhouse gas standards that apply for these vehicles. An example of such a vehicle would be a vehicle meeting the definition of “heavy-duty vehicle” in § 1037.801 and 40 CFR 86.1803, but also meeting the definition of “light truck” in 40 CFR 86.1818-12(b)(2).


(e) Vehicles subject to the heavy-duty greenhouse gas standards of 40 CFR part 86. See 40 CFR 86.1819 for greenhouse gas standards that apply for these vehicles. This generally applies for complete heavy-duty vehicles at or below 14,000 pounds GVWR.


(f) Aircraft meeting the definition of “motor vehicle”. For example, this would include certain convertible aircraft that can be adjusted to operate on public roads. Standards apply separately to certain aircraft engines, as described in 40 CFR part 87.


(g) Non-box trailers other than flatbed trailers, tank trailers, and container chassis.


(h) Trailers meeting one or more of the following characteristics:


(1) Trailers with four or more axles and trailers less than 35 feet long with three axles (i.e., trailers intended for hauling very heavy loads).


(2) Trailers intended for temporary or permanent residence, office space, or other work space, such as campers, mobile homes, and carnival trailers.


(3) Trailers with a gap of at least 120 inches between adjacent axle centerlines. In the case of adjustable axle spacing, this refers to the closest possible axle positioning.


(4) Trailers built before January 1, 2018.


(5) Note that the definition of “trailer” in § 1037.801 excludes equipment that serves similar purposes but are not intended to be pulled by a tractor. This exclusion applies to such equipment whether or not they are known commercially as trailers. For example, any equipment pulled by a heavy-duty vehicle with a pintle hook or hitch instead of a fifth wheel does not qualify as a trailer under this part.


(i) Where it is unclear, you may ask us to make a determination regarding the exclusions identified in this section. We recommend that you make your request before you produce the vehicle.


§ 1037.10 How is this part organized?

This part 1037 is divided into the following subparts:


(a) Subpart A of this part defines the applicability of part 1037 and gives an overview of regulatory requirements.


(b) Subpart B of this part describes the emission standards and other requirements that must be met to certify vehicles under this part. Note that § 1037.150 discusses certain interim requirements and compliance provisions that apply only for a limited time.


(c) Subpart C of this part describes how to apply for a certificate of conformity for vehicles subject to the standards of § 1037.105 or § 1037.106.


(d) Subpart D of this part addresses testing of production vehicles.


(e) Subpart E of this part addresses testing of in-use vehicles.


(f) Subpart F of this part describes how to test your vehicles and perform emission modeling (including references to other parts of the Code of Federal Regulations) for vehicles subject to the standards of § 1037.105 or § 1037.106.


(g) Subpart G of this part and 40 CFR part 1068 describe requirements, prohibitions, and other provisions that apply to manufacturers, owners, operators, rebuilders, and all others. Section 1037.601 describes how 40 CFR part 1068 applies for heavy-duty vehicles.


(h) Subpart H of this part describes how you may generate and use emission credits to certify vehicles.


(i) Subpart I of this part contains definitions and other reference information.


§ 1037.15 Do any other regulation parts apply to me?

(a) Parts 1065 and 1066 of this chapter describe procedures and equipment specifications for testing engines and vehicles to measure exhaust emissions. Subpart F of this part 1037 describes how to apply the provisions of part 1065 and part 1066 of this chapter to determine whether vehicles meet the exhaust emission standards in this part.


(b) As described in § 1037.601, certain requirements and prohibitions of part 1068 of this chapter apply to everyone, including anyone who manufactures, imports, installs, owns, operates, or rebuilds any of the vehicles subject to this part 1037. Part 1068 of this chapter describes general provisions that apply broadly, but do not necessarily apply for all vehicles or all persons. The issues addressed by these provisions include these seven areas:


(1) Prohibited acts and penalties for manufacturers and others.


(2) Rebuilding and other aftermarket changes.


(3) Exclusions and exemptions for certain vehicles.


(4) Importing vehicles.


(5) Selective enforcement audits of your production.


(6) Recall.


(7) Procedures for hearings.


(c) [Reserved]


(d) Other parts of this chapter apply if referenced in this part.


§ 1037.30 Submission of information.

Unless we specify otherwise, send all reports and requests for approval to the Designated Compliance Officer (see § 1037.801). See § 1037.825 for additional reporting and recordkeeping provisions.


Subpart B – Emission Standards and Related Requirements

§ 1037.101 Overview of emission standards for heavy-duty vehicles.

(a) This part specifies emission standards for certain vehicles and for certain pollutants. This part contains standards and other regulations applicable to the emission of the air pollutant defined as the aggregate group of six greenhouse gases: Carbon dioxide, nitrous oxide, methane, hydrofluorocarbons, perfluorocarbons, and sulfur hexafluoride.


(b) The regulated emissions are addressed in four groups:


(1) Exhaust emissions of NOX, HC, PM, and CO. These pollutants are sometimes described collectively as “criteria pollutants” because they are either criteria pollutants under the Clean Air Act or precursors to the criteria pollutant ozone. These pollutants are also sometimes described collectively as “non-greenhouse gas pollutants”, although they do not necessarily have negligible global warming potential. As described in § 1037.102, standards for these pollutants are provided in 40 CFR part 86.


(2) Exhaust emissions of CO2, CH4, and N2O. These pollutants are described collectively in this part as “greenhouse gas pollutants” because they are regulated primarily based on their impact on the climate. These standards are provided in §§ 1037.105 through 1037.107.


(3) Hydrofluorocarbons. These pollutants are also “greenhouse gas pollutants” but are treated separately from exhaust greenhouse gas pollutants listed in paragraph (b)(2) of this section. These standards are provided in § 1037.115.


(4) Fuel evaporative emissions. These requirements are described in § 1037.103.


(c) The regulated heavy-duty vehicles are addressed in different groups as follows:


(1) For criteria pollutants, vocational vehicles and tractors are regulated based on gross vehicle weight rating (GVWR), whether they are considered “spark-ignition” or “compression-ignition,” and whether they are first sold as complete or incomplete vehicles.


(2) For greenhouse gas pollutants, vehicles are regulated in the following groups:


(i) Tractors above 26,000 pounds GVWR.


(ii) Trailers.


(iii) Vocational vehicles.


(3) The greenhouse gas emission standards apply differently depending on the vehicle service class as described in § 1037.140. In addition, standards apply differently for vehicles with spark-ignition and compression-ignition engines. References in this part 1037 to “spark-ignition” or “compression-ignition” generally relate to the application of standards under 40 CFR 1036.140. For example, a vehicle with an engine certified to spark-ignition standards under 40 CFR part 1036 is generally subject to requirements under this part 1037 that apply for spark-ignition vehicles. However, note that emission standards for heavy heavy-duty engines are considered to be compression-ignition standards for purposes of applying vehicle emission standards under this part. Also, for spark-ignition engines voluntarily certified as compression-ignition engines under 40 CFR part 1036, you must choose at certification whether your vehicles are subject to spark-ignition standards or compression-ignition standards.


(4) For evaporative and refueling emissions, vehicles are regulated based on the type of fuel they use. Vehicles fueled with volatile liquid fuels or gaseous fuels are subject to evaporative emission standards. Vehicles up to a certain size that are fueled with gasoline, diesel fuel, ethanol, methanol, or LPG are subject to refueling emission standards.


§ 1037.102 Exhaust emission standards for NOX, HC, PM, and CO.

See 40 CFR part 86 for the exhaust emission standards for NOX, HC, PM, and CO that apply for heavy-duty vehicles.


§ 1037.103 Evaporative and refueling emission standards.

(a) Applicability. Evaporative and refueling emission standards apply to heavy-duty vehicles as follows:


(1) Complete and incomplete heavy-duty vehicles at or below 14,000 pounds GVWR must meet evaporative and refueling emission standards as specified in 40 CFR part 86, subpart S, instead of the requirements specified in this section.


(2) Heavy-duty vehicles above 14,000 pounds GVWR that run on volatile liquid fuel (such as gasoline or ethanol) or gaseous fuel (such as natural gas or LPG) must meet evaporative and refueling emission standards as specified in this section.


(b) Emission standards. The evaporative and refueling emission standards and measurement procedures specified in 40 CFR 86.1813 apply for vehicles above 14,000 pounds GVWR, except as described in this section. The evaporative emission standards phase in over model years 2018 through 2022, with provisions allowing for voluntary compliance with the standards as early as model year 2015. Count vehicles subject to standards under this section the same as heavy-duty vehicles at or below 14,000 pounds GVWR to comply with the phase-in requirements specified in 40 CFR 86.1813. These vehicles may generate and use emission credits as described in 40 CFR part 86, subpart S, but only for vehicles that are tested for certification instead of relying on the provisions of paragraph (c) of this section. The following provisions apply instead of what is specified in 40 CFR 86.1813:


(1) The refueling standards in 40 CFR 86.1813-17(b) apply to complete vehicles starting in model year 2022; they are optional for incomplete vehicles.


(2) The leak standard in 40 CFR 86.1813-17(a)(4) does not apply.


(3) The FEL cap relative to the diurnal plus hot soak standard for low-altitude testing is 1.9 grams per test.


(4) The diurnal plus hot soak standard for high-altitude testing is 2.3 grams per test.


(5) Testing does not require measurement of exhaust emissions. Disregard references in subpart B of this part to procedures, equipment specifications, and recordkeeping related to measuring exhaust emissions. All references to the exhaust test under 40 CFR part 86, subpart B, are considered the “dynamometer run” as part of the evaporative testing sequence under this subpart.


(6) Vehicles not yet subject to the Tier 3 standards in 40 CFR 86.1813 must meet evaporative emission standards as specified in 40 CFR 86.008-10(b)(1) and (2) for Otto-cycle applications and 40 CFR 86.007-11(b)(3)(ii) and (b)(4)(ii) for diesel-cycle applications.


(c) Compliance demonstration. You may provide a statement in the application for certification that vehicles above 14,000 pounds GVWR comply with evaporative and refueling emission standards in this section instead of submitting test data if you include an engineering analysis describing how vehicles include design parameters, equipment, operating controls, or other elements of design that adequately demonstrate that vehicles comply with the standards throughout the useful life. We would expect emission control components and systems to exhibit a comparable degree of control relative to vehicles that comply based on testing. For example, vehicles that comply under this paragraph (c) should rely on comparable material specifications to limit fuel permeation, and components should be sized and calibrated to correspond with the appropriate fuel capacities, fuel flow rates, purge strategies, and other vehicle operating characteristics. You may alternatively show that design parameters are comparable to those for vehicles at or below 14,000 pounds GVWR certified under 40 CFR part 86, subpart S.


(d) CNG refueling requirement. Compressed natural gas vehicles must meet the requirements for fueling connection devices as specified in 40 CFR 86.1813-17(f)(1). Vehicles meeting these requirements are deemed to comply with evaporative and refueling emission standards.


(e) LNG refueling requirement. Fuel tanks for liquefied natural gas vehicles must meet the hold-time requirements in Section 4.2 of SAE J2343 (incorporated by reference in § 1037.810), as modified by this paragraph (e). All pressures noted are gauge pressure. Vehicles with tanks meeting these requirements are deemed to comply with evaporative and refueling emission standards. The provisions of this paragraph (e) are optional for vehicles produced before January 1, 2020. The hold-time requirements of SAE J2343 apply, with the following clarifications and additions:


(1) Hold time must be at least 120 hours. Use the following procedure to determine hold time for an LNG fuel tank that will be installed on a heavy-duty vehicle:


(i) Prepare the stored (offboard) fuel and the vehicle such that tank pressure after the refueling event stabilizes below 690 kPa.


(ii) Fill the tank to the point of automatic shutoff using a conventional refueling system. This is intended to achieve a net full condition.


(iii) The hold time starts when tank pressure increases to 690 kPa, and ends when the tank first vents for pressure relief. Use good engineering judgment to document the point at which the pressure-relief valve opens.


(iv) Keep the tank at rest away from direct sun with ambient temperatures between (10 and 30) °C throughout the measurement procedure.


(2) Following a complete refueling event as described in paragraph (e)(1) of t