1037.520 Modeling CO2 emissions to show compliance.
1037.525 Special procedures for testing hybrid vehicles with power
take-off.
Subpart G--Special Compliance Provisions
1037.601 What compliance provisions apply to these vehicles?
1037.610 Hybrid vehicles and other advanced technologies.
1037.611 Vehicles with innovative technologies.
1037.620 Shipment of incomplete vehicles to secondary vehicle
manufacturers.
1037.630 Exemption for vehicles intended for offroad use.
Subpart H--Averaging, Banking, and Trading for Certification
1037.701 General provisions.
1037.705 Generating and calculating emission credits.
1037.710 Averaging.
1037.715 Banking.
1037.720 Trading.
1037.725 What must I include in my application for certification?
1037.730 ABT reports.
1037.735 Recordkeeping.
1037.740 What restrictions apply for using emission credits?
1037.745 End-of-year CO2 credit deficits.
1037.750 What can happen if I do not comply with the provisions of
this subpart?
1037.755 Information provided to the Department of Transportation.
Subpart I--Definitions and Other Reference Information
1037.801 Definitions.
1037.805 Symbols, acronyms, and abbreviations.
1037.810 Incorporation by reference.
1037.815 What provisions apply to confidential information?
1037.820 Requesting a hearing.
1037.825 Reporting and recordkeeping requirements.
Appendix I to Part 1037--Heavy-Duty Transient Chassis Test Cycle
Appendix II to Part 1037--Power Take-Off Test Cycle

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

Subpart A--Overview and Applicability

Sec.  1037.1  Applicability

    The regulations in this part 1037 apply for all new heavy-duty
vehicles, except as provided in Sec.  1037.5. This includes electric
vehicles and vehicles fueled by conventional and alternative fuels.

Sec.  1037.5  Excluded vehicles.

    Except for the definitions specified in Sec.  1037.801, this part
does not apply to the following vehicles:
    (a) Vehicles excluded from the definition of ``heavy-duty vehicle''
because of vehicle weight or weight rating (such as light-duty vehicles
and light-duty trucks).
    (b) Medium-duty passenger vehicles.
    (c) Vehicles produced in model years before 2014, unless they are
certified under Sec.  1037.150.
    (d) Vehicles not meeting the definition of ``motor vehicle.''

Sec.  1037.10  How is this part organized?

    This part 1037 is divided into subparts as described in this
section. Note that only subparts A, B and I of this part apply for
vehicles subject to the standards of Sec.  1037.104, as described in
that section.
    (a) Subpart A of this part defines the applicability of part 1037
and gives an overview of regulatory requirements.
    (b) Subpart B of this part describes the emission standards and
other requirements that must be met to certify vehicles under this
part. Note that Sec.  1037.150 discusses certain interim requirements
and compliance provisions that apply only for a limited time.
    (c) Subpart C of this part describes how to apply for a certificate
of conformity for vehicles subject to the standards of Sec.  1037.105
or Sec.  1037.106.
    (d) [Reserved].
    (e) [Reserved].
    (f) Subpart F of this part describes how to test your vehicles and
perform emission modeling (including references to other parts of the
Code of Federal Regulations) for vehicles subject to the standards of
Sec.  1037.105 or Sec.  1037.106.
    (g) Subpart G of this part and 40 CFR part 1068 describe
requirements, prohibitions, and other provisions that apply to
manufacturers, owners, operators, rebuilders, and all others. See Sec.
1037.601 for a specification of 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 your vehicles for vehicles subject to the
standards of Sec.  1037.105 or Sec.  1037.106.
    (i) Subpart I of this part contains definitions and other reference
information.

Sec.  1037.15  Do any other regulation parts apply to me?

    (a) Parts 1065 and 1066 of this chapter describe procedures and
equipment specifications for testing engines and vehicles to measure
exhaust emissions. Subpart F of this part 1037 describes how to apply
the provisions of part 1065 and part 1066 of this chapter to determine
whether vehicles meet the exhaust emission standards in this part.
    (b) As described in Sec.  1037.601, certain requirements and
prohibitions of part 1068 of this chapter apply to everyone, including
anyone who manufactures, imports, installs, owns, operates, or rebuilds
any of the vehicles subject to this part 1037. Part 1068 of this
chapter describes general provisions, including these seven areas:
    (1) Prohibited acts and penalties for manufacturers and others.
    (2) Rebuilding and other aftermarket changes.
    (3) Exclusions and exemptions for certain vehicles.
    (4) Importing vehicles.
    (5) Selective enforcement audits of your production.
    (6) Recall.
    (7) Procedures for hearings.
    (c) Part 86 of this chapter applies for certain vehicles as
specified in this part. For example, the test procedures and most of
subpart S of part 86 applies for vehicles subject to Sec.  1037.104.
    (d) Other parts of this chapter apply if referenced in this part.

Sec.  1037.30  Submission of information.

    Send all reports and requests for approval to the Designated
Compliance Officer (see Sec.  1037.801). See Sec.  1037.825 for
additional reporting and recordkeeping provisions.

Subpart B--Emission Standards and Related Requirements

Sec.  1037.101  Overview of emission standards for heavy-duty vehicles.

    (a) This part specifies emission standards for certain vehicles and
for certain pollutants. It also summarizes other standards that apply
under 40 CFR part 86.
    (b) The regulated emissions are addressed in three 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
potentials. As described in Sec.  1037.102, standards for these
pollutants are provided in 40 CFR part 86.
    (2) Exhaust emissions of CO2, CH4, and
N2O. These pollutants are described collectively as
``greenhouse gas pollutants'' because they are regulated primarily
based on their impact on the climate. These standards are provided in
Sec. Sec.  1037.104 through 1037.106.
    (3) Fuel evaporative emissions. These requirements are described in
Sec.  1037.103.
    (c) The regulated heavy-duty vehicles are addressed in different
groups as follows:
    (1) For criteria pollutants, vehicles 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. These groupings apply as described
in 40 CFR part 86.
    (2) For greenhouse gas pollutants, vehicles are regulated in the
following groups:
    (i) Complete and certain incomplete vehicles at or below 14,000
pounds GVWR (see Sec.  1037.104 for further specification). Certain
provisions of 40 CFR part 86 apply for these vehicles; see Sec.
1037.104(i) for a list of provisions in this part 1037 that also apply
for these vehicles.
    (ii) Tractors above 26,000 pounds GVWR.
    (iii) All other vehicles. These other vehicles are referred to as
``vocational'' vehicles.
    (3) For evaporative emissions, vehicles are regulated based on the
type of fuel they use. Vehicles fueled with volatile liquid fuels and
gaseous fuels are subject to evaporative emission standards, while
other vehicles are not.

Sec.  1037.102  Exhaust emission standards for NOx, HC, PM, and CO.

    See 40 CFR part 86 for the exhaust emission standards for NOx, HC,
PM, and CO that apply for heavy-duty vehicles.

Sec.  1037.103  Evaporative emission standards.

    New vehicles that run on volatile liquid fuel (such as gasoline or
ethanol) or gaseous fuel (such as natural gas or LPG) must meet
evaporative emission standards as specified in this section. The
standards specified in paragraphs (a) and (b) of this section apply
over a useful life period of 10 years or 110,000 miles, whichever comes
first. Note that

this section and Sec.  1037.243 allow you to certify without testing in
certain circumstances. Evaporative emission standards do not apply for
diesel-fueled vehicles.
    (a) Diurnal and hot soak emissions. Evaporative hydrocarbon
emissions may not exceed the following standards when measured using
the test procedures specified in Sec.  1037.501:
    (1) The sum of diurnal and hot soak measurements from the full
three-day diurnal test sequence described in 40 CFR 86.1230-96 may not
exceed 1.4 g for vehicles with GVWR at or below 14,000 pounds, and may
not exceed 1.9 g for vehicles with GVWR above 14,000 pounds.
    (2) The sum of diurnal and hot soak measurements from the two-day
diurnal test sequence described in 40 CFR 86.1230-96 may not exceed
1.75 g for vehicles with GVWR at or below 14,000 pounds, and may not
exceed 2.3 g for vehicles with GVWR above 14,000 pounds. The standards
in this paragraph (a)(2) do not apply for vehicles that run on natural
gas or LPG.
    (b) Running loss. Running losses may not exceed 0.05 g/mile when
measured using the test procedures specified in Sec.  1037.501. The
running loss standard does not apply for vehicles that run on natural
gas or LPG.
    (c) Fuel spitback. Fuel spitback emissions from vehicles with GVWR
at or below 14,000 pounds may not exceed 1.0 g when measured using the
test procedures specified in Sec.  1037.501. This standard does not
apply for vehicles with GVWR above 14,000 pounds or any vehicles that
run on natural gas or LPG. The fuel spitback standard applies only to
newly assembled vehicles.
    (d) Refueling emissions. Complete vehicles with GVWR at or below
10,000 pounds must meet refueling emission standards as specified in 40
CFR part 86, subpart S. Incomplete heavy-duty vehicles are not subject
to refueling emission standards.
    (e) Compliance demonstration for vehicles with GVWR above 26,000
pounds. For vehicles with GVWR above 26,000 pounds, the standards
described in paragraphs (a) and (b) of this section are based on an
engineering analysis showing that the vehicle design adequately
controls emissions. 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 (e) 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, and
vehicle operating characteristics.
    (f) Incomplete vehicles. If you sell incomplete vehicles, you must
identify the maximum fuel tank capacity for which you designed the
vehicle's evaporative emission control system.
    (g) Auxiliary engines and separate fuel systems. The provisions of
this paragraph (g) apply for vehicles with auxiliary engines. This
includes any engines installed in the final vehicle configuration that
contribute no motive power through the vehicle's transmission.
    (1) Auxiliary engines and associated fuel-system components must be
installed when testing complete vehicles. If the auxiliary engine draws
fuel from a separate fuel tank, you must fill the extra fuel tank
before the start of diurnal testing as described for the vehicle's main
fuel tank. Use good engineering judgment to ensure that any nonmetal
portions of the fuel system related to the auxiliary engine have
reached stabilized levels of permeation emissions. The auxiliary engine
must not operate during the running loss test or any other portion of
testing under this section.
    (2) For testing with incomplete vehicles, you may omit installation
of auxiliary engines and associated fuel-system components as long as
those components installed in the final configuration are certified to
meet the applicable emission standards for Small SI equipment described
in 40 CFR 1054.112 or for Large SI engines in 40 CFR 1048.105. For any
fuel-system components that you do not install, your installation
instructions must describe this certification requirement.

Sec.  1037.104  Exhaust emission standards for CO2,
CH4, and N2O for heavy-duty vehicles at or below
14,000 pounds GVWR.

    This section applies for heavy-duty vehicles at or below 14,000
pounds GVWR. See paragraphs (f) and (g) of this section for provisions
excluding certain vehicles from this section.
    (a) Fleet-average CO2 emission standards. Fleet-average
CO2 emission standards apply for each manufacturer as
follows:
    (1) First calculate a work factor, WF, for each vehicle
configuration rounded to the nearest pound using the following
equation:

WF = 0.75 x (GVWR - Curb Weight + xwd) + 0.25 x (GCWR - GVWR)

Where:

xwd = 500 pounds if the vehicle has four-wheel drive or all-wheel
drive; xwd = 0 pounds for all other vehicles.

    (2) Using the appropriate work factor, calculate a target value for
each vehicle configuration (or submodel groups of configurations we
approve) you produce using the applicable equation of this paragraph
(a)(2), rounding the target value to the nearest 0.1 g/mile.
    (i) For spark-ignition vehicles: CO2 Target (g/mile) =
0.0440 x WF + 339
    (ii) For compression-ignition vehicles and vehicles that operate
without engines (such as electric vehicles and fuel cell vehicles):
CO2 Target (g/mile) = 0.0416 x WF + 320
    (3) Calculate a production-weighted average of the target values
and round it to the nearest 0.1 g/mile. This is your fleet-average
standard. All vehicles subject to the standards of this section form a
single averaging set. Use the following equation to calculate your
fleet-average standard from the target value for each vehicle
configuration or submodel (Targeti) and U.S.-directed
production volume of each vehicle configuration or submodel for the
given model year (Volumei):
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    (b) Production and in-use CO2 standards. Each vehicle
you produce that is subject to the standards of this section has an
``in-use'' CO2 standard that is calculated from your test
result and that applies for SEA testing and in-use testing. The in-use
CO2 standard for each vehicle is the deteriorated emission
level applicable for that vehicle multiplied by 1.10 and rounded to the
nearest 0.1 g/mile.
    (c) N2Oand CH4 standards. Except as allowed under this
paragraph (c), all vehicles subject to the standards of this section
must comply with an N2O standard of 0.05 g/mile and a
CH4 standard of 0.05 g/mile. You may

specify CH4 and/or N2O FELs and use
CO2 emission credits to show compliance with those FELs
instead of these otherwise applicable emission standards for one or
more test groups. To do this, calculate the CH4 and/or
N2O emission credits needed (negative credits) using the
equation in this paragraph (c) based on the FEL(s) you specify for your
vehicles during certification. You must adjust the calculated emissions
by the relative global warming potential (RGWP): RGWP equals 25 for
CH4 and 298 for N2O. This means you must use 25
Mg of positive CO2 credits to offset 1 Mg of negative
CH4 credits and 298 Mg of positive CO2 credits to
offset 1 Mg of negative N2O credits. Note that 40 CFR
86.1818-08(f)(2) does not apply for vehicles subject to the standards
of this section. Calculate credits using the following equation:

CO2 Credits Needed (Mg) = [(Std-FEL) x (U.S.-directed
production volume) x (Useful Life)] x (RGWP) / 1,000,000
    (d) Compliance provisions. Except as specified in this paragraph
(d) or elsewhere in this section, the provisions of 40 CFR part 86,
describing compliance with the greenhouse gas standards of subpart S of
that part apply with respect to the standards of paragraphs (a) through
(c) of this section.
    (1) The CO2 standards of this section apply with respect
to CO2 emissions instead of carbon-related exhaust emissions
(CREE).
    (2) Vehicles subject to the standards of this section are included
in a single greenhouse gas averaging set separate from any averaging
sets otherwise included in 40 CFR part 86.
    (3) Special credit and incentive provisions related to flexible-
fuel vehicles and air conditioning in 40 CFR part 86 do not apply for
vehicles subject to the standards of this section.
    (4) The CO2, N2O, and CH4
standards apply for a weighted average of the city (55%) and highway
(45%) test cycle results as specified for light-duty vehicles in 40 CFR
part 86, subpart S. Note that this differs from the way the criteria
pollutant standards apply for heavy-duty vehicles.
    (5) Apply an additive deterioration factor of zero to measured
CO2 emissions unless good engineering judgment indicates
that emissions are likely to deteriorate in actual use. Use good
engineering judgment to develop separate deterioration factors for
N2O and CH4.
    (6) Credits are calculated using the useful life value (in miles)
in place of the ``vehicle lifetime miles'' specified in subpart S of 40
CFR part 86.
    (7) Credits generated from hybrid vehicles with regenerative
braking or vehicles with advanced technologies may be used to show
compliance with any standards of this part or 40 CFR part 1036,
provided they are converted using good engineering judgment to be
equivalent to credits calculated under that part.
    (8) The provisions of 40 CFR 86.1818 do not apply.
    (e) Useful life. The useful life values for the standards of this
section are those that apply for criteria pollutants under 40 CFR part
86.
    (f) Rolling chassis exclusion. The standards of this section apply
for each vehicle that is in a complete or cab-complete configuration
when first sold as a vehicle. The standards of this section do not
apply for other vehicles. The vehicle standards and requirements of
Sec.  1037.105 apply for the excluded vehicles. The GHG standards of 40
CFR part 1036 also apply for engines used in these excluded vehicles.
If you are not the engine manufacturer, you must notify the engine
manufacturers that their engines are subject to 40 CFR part 1036
because you intend to use their engines in your excluded vehicles.
    (g) Low-volume exclusion. You may exclude a limited number of
vehicles from the standards of this section, as specified in this
paragraph (g). The number of excluded vehicles may not exceed 2,000 in
any model year, unless your total production of vehicles in this
category for that model year is greater than 100,000 vehicles and your
excluded vehicles are not more than 2.000 percent of your actual U.S.-
directed production volume in this category for any model year. For
example, a vehicle manufacturer producing 200,000 vehicles in a given
model year could exclude up to 4,000 vehicles under this paragraph (g).
The vehicle standards and requirements of Sec.  1037.105 apply for the
excluded vehicles. The GHG standards of 40 CFR part 1036 also apply for
engines used in these excluded vehicles. We may require you to submit a
pre-production plan describing how you will use the provisions of this
paragraph (g). If you are not the engine manufacturer, you must notify
the engine manufacturers that their engines are subject to 40 CFR part
1036 because you intend to use their engines in your excluded vehicles.
    (h) Cab-complete vehicles. The provisions of this section apply to
cab-complete vehicles in the same manner as they apply to complete
vehicles, except as specified in this paragraph (h). Calculate the
target value based on the same work factor value that applies for the
most similar complete vehicle you certify. Test these cab-complete
vehicles using the same test weight and other dynamometer settings that
apply for the complete vehicle from which you used the work factor
value. For certification, you may submit the test data from that
similar vehicle instead of performing the test on the cab-complete
vehicle.
    (i) Applicability of part 1037 provisions. Except as specified in
this section, the requirements of this part do not apply to vehicles
certified to the standards of this section. The following provisions
are the only provisions of this part that apply to vehicles certified
under this section:
    (1) The provisions of this section.
    (2) The evaporative emission standards in Sec.  1037.103.
    (3) The air conditioning standards in Sec.  1037.115.
    (3) The curb weight provisions of Sec.  1037.140.
    (4) The interim provisions of Sec.  1037.150.
    (5) The reporting provisions of Sec.  1037.755.
    (6) The definitions of Sec.  1037.801.

Sec.  1037.105  Exhaust emission standards for CO2,
CH4, and N2O for vocational vehicles.

    (a) The standards of this section apply for the following vehicles:
    (1) Vehicles above 14,000 pounds GVWR but at or below 26,000 pounds
GVWR.
    (2) Vehicles above 26,000 pounds GVWR that are not tractors.
    (3) Vehicles at or below 14,000 pounds GVWR that are excluded from
the standards in Sec.  1037.104 under Sec.  1037.104(f) or (g).
    (b) The CO2 standards of this section are given in Table
1 to this section. The provisions of Sec.  1037.241 specify how to
comply with these standards.

[GRAPHIC] [TIFF OMITTED] TP30NO10.098

    (c) No CH4 or N2O standards apply under this
section. See 40 CFR part 1036 for CH4 or N2O
standards that apply to engines used in these vehicles.
    (d) You may generate or use emission credits under the ABT program,
as described in subpart H of this part. This requires that you specify
a Family Emission Limit (FEL) for each pollutant you include in the ABT
program for each vehicle family. The FEL may not be less than the
result of emission modeling from Sec.  1037.520. These FELs serve as
the emission standards for the vehicle family instead of the standards
specified in paragraph (b) of this section.
    (e) The useful life values for the standards of this section are
those that apply for criteria pollutants under 40 CFR part 86.
    (f) See Sec.  1037.630 for provisions that exempt certain vehicles
used in offroad operation from the standards of this section.

Sec.  1037.106  Exhaust emission standards for CO2,
CH4, and N2O for tractors above 26,000 pounds
GVWR.

    The following CO2 standards apply for tractors above
26,000 pounds GVWR:
[GRAPHIC] [TIFF OMITTED] TP30NO10.099

    (b) No CH4 or N2O standards apply under this
section. See 40 CFR part 1036 for CH4 or N2O
standards that apply to engines used in these vehicles.
    (c) You may generate or use emission credits under the ABT program,
as described in subpart H of this part. This requires that you specify
a Family Emission Limit (FEL) for each pollutant you include in the ABT
program for each vehicle family. The FEL may not be less than the
result of emission modeling from Sec.  1037.520. These FELs serve as
the emission standards for the specific vehicle family instead of the
standards specified in paragraph (a) of this section.
    (d) The useful life values for the standards of this section are
those that apply to the engine or vehicle for criteria pollutants under
40 CFR part 86.
    (e) See Sec.  1037.630 for provisions that exempt certain vehicles
use in offroad

operation from the standards of this section.

Sec.  1037.115  Other requirements.

    Vehicles required to meet the emission standards of this part must
meet the following additional requirements, except as noted elsewhere
in this part:
    (a) Adjustable parameters. Vehicles that have adjustable parameters
must meet all the requirements of this part for any adjustment in the
physically adjustable range. We may require that you set adjustable
parameters to any specification within the adjustable range during any
testing. See 40 CFR part 86 for information related to determining
whether or not an operating parameter is considered adjustable. You
must ensure safe vehicle operation throughout the physically adjustable
range of each adjustable parameter, including consideration of
production tolerances. Note that adjustable roof fairings are deemed to
not be adjustable parameters.
    (b) Prohibited controls. You may not design your vehicles with
emission control devices, systems, or elements of design that cause or
contribute to an unreasonable risk to public health, welfare, or safety
while operating. For example, this would apply if the vehicle emits a
noxious or toxic substance it would otherwise not emit that contributes
to such an unreasonable risk.
    (c) Air conditioning leakage. Loss of refrigerant from your air
conditioning systems may not exceed 1.50 percent per year. Calculate
the absolute leakage rate in g/year as specified in 40 CFR 86.166-12.
Calculate the percent leakage rate as: [absolute leakage rate (g/yr)] /
[total refrigerant capacity (g)] x 100. See Sec.  1037.150 for
vocational vehicles.
    (1) For purpose of this requirement, ``refrigerant capacity'' is
the total mass of refrigerant recommended by the vehicle manufacturer
as representing a full charge. Where full charge is specified as a
pressure, use good engineering judgment to convert the pressure and
system volume to a mass.
    (2) If your system uses a refrigerant other than HFC-134a, adjust
your leakage rate by multiplying it by the global warming potential of
your refrigerant and dividing the product by 124 (which is the global
warming potential of HFC-134a). Determine global warming potentials
consistent with 40 CFR 86.1866-12.

Sec.  1037.120  Emission-related warranty requirements.

    (a) General requirements. You must warrant to the ultimate
purchaser and each subsequent purchaser that the new vehicle, including
all parts of its emission control system, meets two conditions:
    (1) It is designed, built, and equipped so it conforms at the time
of sale to the ultimate purchaser with the requirements of this part.
    (2) It is free from defects in materials and workmanship that may
keep it from meeting these requirements.
    (b) Warranty period. Your emission-related warranty with respect to
greenhouse gas and evaporative emissions must be valid for at least as
long as the minimum periods specified in 40 CFR part 86 for the engine
used in the vehicle. You may offer an emission-related warranty more
generous than we require. The emission-related warranty for the vehicle
may not be shorter than any published warranty you offer with or
without charge for the vehicle. Similarly, the emission-related
warranty for any component may not be shorter than any published
warranty you offer with or without charge for that component. The
warranty period begins when the vehicle is placed into service.
    (c) Components covered. The emission-related warranty covers
vehicle speed limiters, idle shutdown systems, fairings, hybrid system
components, and all components whose failure would increase a vehicle's
evaporative emissions. The emission-related warranty covers these
components even if another company produces the component. Your
emission-related warranty does not need to cover components whose
failure would not increase a vehicle's emissions of any regulated
pollutant.
    (d) Limited applicability. You may deny warranty claims under this
section if the operator caused the problem through improper maintenance
or use, as described in 40 CFR 1068.115.
    (e) Owners manual. Describe in the owners manual the emission-
related warranty provisions from this section that apply to the
vehicle.

Sec.  1037.125  Maintenance instructions and allowable maintenance.

    Give the ultimate purchaser of each new vehicle written
instructions for properly maintaining and using the vehicle, including
the emission control system. The maintenance instructions also apply to
service accumulation on any of your emission-data vehicles. See
paragraph (i) of this section for requirements related to tire
replacement.
    (a) Critical emission-related maintenance. Critical emission-
related maintenance includes any adjustment, cleaning, repair, or
replacement of critical emission-related components. This may also
include additional emission-related maintenance that you determine is
critical if we approve it in advance. You may schedule critical
emission-related maintenance on these components if you demonstrate
that the maintenance is reasonably likely to be done at the recommended
intervals on in-use vehicles. We will accept scheduled maintenance as
reasonably likely to occur if you satisfy any of the following
conditions:
    (1) You present data showing that, if a lack of maintenance
increases emissions, it also unacceptably degrades the vehicle's
performance.
    (2) You present survey data showing that at least 80 percent of
vehicles in the field get the maintenance you specify at the
recommended intervals.
    (3) You provide the maintenance free of charge and clearly say so
in your maintenance instructions.
    (4) You otherwise show us that the maintenance is reasonably likely
to be done at the recommended intervals.
    (b) Recommended additional maintenance. You may recommend any
additional amount of maintenance on the components listed in paragraph
(a) of this section, as long as you state clearly that these
maintenance steps are not necessary to keep the emission-related
warranty valid. If operators do the maintenance specified in paragraph
(a) of this section, but not the recommended additional maintenance,
this does not allow you to disqualify those vehicles from in-use
testing or deny a warranty claim. Do not take these maintenance steps
during service accumulation on your emission-data vehicles.
    (c) Special maintenance. You may specify more frequent maintenance
to address problems related to special situations, such as atypical
vehicle operation. You must clearly state that this additional
maintenance is associated with the special situation you are
addressing. We may disapprove your maintenance instructions if we
determine that you have specified special maintenance steps to address
vehicle operation that is not atypical, or that the maintenance is
unlikely to occur in use. If we determine that certain maintenance
items do not qualify as special maintenance under this paragraph (c),
you may identify this as recommended additional maintenance under
paragraph (b) of this section.
    (d) Noncritical emission-related maintenance. Subject to the
provisions of this paragraph (d), you may schedule any amount of
emission-related inspection or maintenance that is not

covered by paragraph (a) of this section (that is, maintenance that is
neither explicitly identified as critical emission-related maintenance,
nor that we approve as critical emission-related maintenance).
Noncritical emission-related maintenance generally includes maintenance
on the components we specify in 40 CFR part 1068, Appendix I, that is
not covered in paragraph (a) of this section. You must state in the
owners manual that these steps are not necessary to keep the emission-
related warranty valid. If operators fail to do this maintenance, this
does not allow you to disqualify those vehicles from in-use testing or
deny a warranty claim. Do not take these inspection or maintenance
steps during service accumulation on your emission-data vehicles.
    (e) Maintenance that is not emission-related. For maintenance
unrelated to emission controls, you may schedule any amount of
inspection or maintenance. You may also take these inspection or
maintenance steps during service accumulation on your emission-data
vehicles, as long as they are reasonable and technologically necessary.
This might include adding engine oil, changing air, fuel, or oil
filters, servicing engine-cooling systems, and adjusting idle speed,
governor, engine bolt torque, valve lash, or injector lash. You may
perform this nonemission-related maintenance on emission-data vehicles
at the least frequent intervals that you recommend to the ultimate
purchaser (but not the intervals recommended for severe service).
    (f) Source of parts and repairs. State clearly on the first page of
your written maintenance instructions that a repair shop or person of
the owner's choosing may maintain, replace, or repair emission control
devices and systems. Your instructions may not require components or
service identified by brand, trade, or corporate name. Also, do not
directly or indirectly condition your warranty on a requirement that
the vehicle be serviced by your franchised dealers or any other service
establishments with which you have a commercial relationship. You may
disregard the requirements in this paragraph (f) if you do one of two
things:
    (1) Provide a component or service without charge under the
purchase agreement.
    (2) Get us to waive this prohibition in the public's interest by
convincing us the vehicle will work properly only with the identified
component or service.
    (g) [Reserved]
    (h) Owners manual. Explain the owner's responsibility for proper
maintenance in the owners manual.
    (i) Tire maintenance and replacement. Include instructions that
will enable the owner to replace tires so that the vehicle conforms to
the original certified vehicle configuration.

Sec.  1037.135  Labeling.

    (a) Assign each vehicle a unique identification number and
permanently affix, engrave, or stamp it on the vehicle in a legible
way. For example, the vehicle identification number (VIN) serves this
purpose.
    (b) At the time of manufacture, affix a permanent and legible label
identifying each vehicle. The label must be--
    (1) Attached in one piece so it is not removable without being
destroyed or defaced.
    (2) Secured to a part of the vehicle needed for normal operation
and not normally requiring replacement.
    (3) Durable and readable for the vehicle's entire life.
    (4) Written in English.
    (c) The label must--
    (1) Include the heading ``VEHICLE EMISSION CONTROL INFORMATION''.
    (2) Include your full corporate name and trademark. You may
identify another company and use its trademark instead of yours if you
comply with the branding provisions of 40 CFR 1068.45.
    (3) Include EPA's standardized designation for the vehicle family
(and subfamily, where applicable).
    (4) State the regulatory sub-category that determines the
applicable emission standards for the vehicle family (see definition in
Sec.  1037.801).
    (5) State the date of manufacture [DAY (optional), MONTH, and
YEAR]. You may omit this from the label if you keep a record of the
vehicle-manufacture dates and provide it to us upon request.
    (6) State the FELs to which the vehicles are certified if
certification depends on the ABT provisions of subpart H of this part.
    (7) Identify the emission control system. Use terms and
abbreviations as described in 40 CFR 1068.45 or other applicable
conventions.
    (8) Identify any requirements for fuel and lubricants that do not
involve fuel-sulfur levels.
    (9) State: ``THIS VEHICLE COMPLIES WITH U.S. EPA REGULATIONS FOR
[MODEL YEAR] HEAVY-DUTY-VEHICLES.''
    (10) Include the following statement, if applicable: ``THIS VEHICLE
IS DESIGNED TO COMPLY WITH EVAPORATIVE EMISSION STANDARDS WITH UP TO x
GALLONS OF FUEL TANK CAPACITY.'' Complete this statement by identifying
the maximum specified fuel tank capacity associated with your
certification.
    (d) You may add information to the emission control information
label to identify other emission standards that the vehicle meets or
does not meet (such as European standards). You may also add other
information to ensure that the vehicle will be properly maintained and
used. However, if you provide additional information on the label, you
may not omit any required information on the basis that a label
containing all of the required information will not fit on the vehicle.
    (e) You may ask us to approve modified labeling requirements in
this part 1037 if you show that it is necessary or appropriate. We will
approve your request if your alternate label is consistent with the
requirements of this part.

Sec.  1037.140  Curb weight and roof height.

    (a) Where applicable, a vehicle's curb weight and roof height are
determined from nominal design specifications, as provided in this
section. Round the weight to the nearest pound and height to the
nearest inch.
    (b) The nominal design specifications must be within the range of
the actual weights and roof heights of production vehicles considering
normal production variability. If after production begins it is
determined that your nominal design specifications do not represent
production vehicles, we may require you to amend your application for
certification under Sec.  1037.225.
    (c) If your vehicle is equipped with an adjustable roof fairing,
measure the roof height with the fairing in its lowest setting.

Sec.  1037.141  Determining aerodynamic bins for tractors.

    Demonstrating compliance with the emission standards in Sec.
1037.106 depends on computer modeling as described in Sec.  1037.520,
which in turn depends on establishing a vehicle's drag coefficient.
This section differentiates vehicles into apparent bin categories based
on vehicle design characteristics that affect aerodynamic drag. These
apparent bin categories are used to verify drag coefficients determined
under Sec.  1037.520. Each of these apparent bin categories is
associated with a range of expected drag coefficient values. Section
1037.520 describes how to establish input values for emission modeling
based on the empirical value for a specific vehicle and how that value

relates to the apparent bin category as described in this section.
Determine the apparent bin category for your vehicle as follows:
    (a) Your vehicle is in the ``Classic'' category if either of the
following is true:
    (1) It includes an external air cleaner and/or a B-pillar exhaust
stack.
    (2) It includes two or more of the following: Bug deflectors,
custom sunshades, external horns, external lights, or more than two
external mirrors that are not streamlined (i.e., aerodynamically
efficient).
    (b) Your vehicle is in the ``Conventional'' category if it does not
meet the criteria specified for any other apparent bin category.
    (c) Your vehicle is in the ``Smartway'' category if it does not
meet the criteria for ``Advanced Smartway'' or ``Advanced Smartway II''
and either of the following is true:
    (1) The vehicle has all of the following:
    (i) A fully enclosed roof fairing.
    (ii) Side extending gap reducers.
    (iii) Fuel tank fairings or aerodynamic fuel tanks.
    (iv) Streamlined grill, hood, mirrors, and bumper.
    (2) The vehicle has a low-roof or mid-roof design and has all the
features identified in paragraph (c)(1) of this section except for the
roof fairing.
    (d) Your vehicle is in the ``Advanced Smartway'' category if it
meets the criteria of either paragraph (c)(1) or (2) of this section
but not the criteria for ``Advanced Smartway II'', and the vehicle
incorporates at least two of the following features:
    (1) Underbody airflow treatment.
    (2) Down exhaust.
    (3) Lowered ride height.
    (e) Your vehicle is in the ``Advanced Smartway II'' category if it
meets the criteria of either paragraph (c)(1) or (2) of this section;
it meets all the criteria of paragraph (d)(1) through (3) of this
section; and it incorporates aerodynamic improvements not in commercial
use in 2010.

Sec.  1037.150  Interim provisions.

    The provisions in this section apply instead of other provisions in
this part.
    (a) Incentives for early introduction. The provisions of this
paragraph (a) apply with respect to vehicles produced in model years
before 2014. Manufacturers may voluntarily certify in model year 2013
(or earlier model years for electric vehicles) to the greenhouse gas
standards of this part. To do so for any vehicles other than electric
vehicles, you must certify your entire U.S.-directed production volume
within the averaging set to these standards. Calculate credits relative
to the standard that would apply in model year 2014 using the equations
in subpart H of this part. These credits may be used to show compliance
with the standards of this part for 2014 and later model years. We
recommend that you notify EPA of your intent to use this provision
before submitting your applications.
    (b) Phase-in provisions. Each manufacturer must choose one of the
following options for phasing in the standards of Sec.  1037.104:
    (1) To implement the phase-in under this paragraph (b)(1), the
standards in Sec.  1037.104 apply as specified for model year 2018,
with compliance for those vehicles in model years 2014 through 2017
based on the CO2 target values specified in the following
table:
BILLING CODE 6560-50-P
[GRAPHIC] [TIFF OMITTED] TP30NO10.100

    To implement the phase-in under this paragraph (b)(2), the
standards in Sec.  1037.104 apply as specified for model year 2019,
with compliance for those vehicles in model years 2014 through 2018
based on the CO2 target values specified in the following
table:
BILLING CODE 6560-50-C

[GRAPHIC] [TIFF OMITTED] TP30NO10.101

    (c) Provisions for small manufacturers. Manufacturers meeting the
small business criteria specified in 13 CFR 121.201 for ``Heavy Duty
Truck Manufacturing'' are not subject to the greenhouse gas standards
of Sec. Sec.  1037.104 through 1037.106, as specified in this paragraph
(c). Qualifying manufacturers must notify the Designated Compliance
Officer before introducing these excluded vehicles into U.S. commerce.
This notification must include a description of the manufacturer's
qualification as a small business under 13 CFR 121.201.
    (d) Air conditioning leakage for vocational vehicles. The air
conditioning leakage standard of Sec.  1037.115 does not apply for
vocational vehicles.
    (e) Approval of alternate methods to determine drag coefficients.
For model years before 2017, you must obtain preliminary approval
before using any methods other than coastdown testing to determine drag
coefficients under Sec.  1037.520.
    (f) Model year 2014 N2O standards. In model year 2014,
manufacturers may show compliance with the N2O standards
using an engineering analysis.
    (g) Electric vehicles. All electric vehicles are deemed to have
zero emissions of CO2, CH4, and N2O.
No emission testing is required for such electric vehicles.

Subpart C--Certifying Vehicle Families

Sec.  1037.201  General requirements for obtaining a certificate of
conformity.

    (a) You must send us a separate application for a certificate of
conformity for each vehicle family. A certificate of conformity is
valid from the indicated effective date until December 31 of the model
year for which it is issued. You must renew your certification annually
for any vehicles you continue to produce.
    (b) The application must contain all the information required by
this part and must not include false or incomplete statements or
information (see Sec.  1037.255).
    (c) We may ask you to include less information than we specify in
this subpart, as long as you maintain all the information required by
Sec.  1037.250.
    (d) You must use good engineering judgment for all decisions
related to your application (see 40 CFR 1068.5).
    (e) An authorized representative of your company must approve and
sign the application.
    (f) See Sec.  1037.255 for provisions describing how we will
process your application.
    (g) We may require you to deliver your test vehicles to a facility
we designate for our testing. Alternatively, you may choose to deliver
another vehicle that is identical in all material respects to the test
vehicle. Where certification is based on testing components such as
tires, we may require you to deliver test components to a facility we
designate for our testing.

Sec.  1037.205  What must I include in my application?

    This section specifies the information that must be in your
application, unless we ask you to include less information under Sec.
1037.201(c). We may require you to provide additional information to
evaluate your application. Note that references to testing and
emission-data vehicles refer to testing vehicles to measure aerodynamic
drag, assess hybrid vehicle performance, and/or measure evaporative
emissions.
    (a) Describe the vehicle family's specifications and other basic
parameters of the vehicle's design and emission controls. List the fuel
type on which your vehicles are designed to operate (for example, ultra
low-sulfur diesel fuel). List each distinguishable vehicle
configuration in the vehicle family.
    (b) Explain how the emission control system operates. As
applicable, describe in detail all system components for controlling
greenhouse gas and evaporative emissions, including all auxiliary
emission control devices (AECDs) and all fuel-system components you
will install on any production vehicle. Identify the part number of
each component you describe. For this paragraph (b), treat as separate
AECDs any devices that modulate or activate differently from each
other.
    (c) [Reserved]
    (d) Describe any vehicles you selected for testing and the reasons
for selecting them.
    (e) Describe any test equipment and procedures that you used,
including any special or alternate test procedures you used (see Sec.
1037.501).
    (f) Describe how you operated any emission-data vehicle before
testing, including the duty cycle and the number of vehicle operating
miles used to stabilize emission levels. Explain why you selected the
method of service accumulation. Describe any scheduled maintenance you
did.
    (g) List the specifications of any test fuel to show that it falls
within the required ranges we specify in 40 CFR part 1065.
    (h) Identify the vehicle family's useful life.
    (i) Include the maintenance instructions you will give to the
ultimate purchaser of each new vehicle (see Sec.  1037.125).
    (j) Describe your emission control information label (see Sec.
1037.135).
    (k) Identify the emission standards or FELs to which you are
certifying vehicles in the vehicle family. For families containing
multiple subfamilies, identify the FELs for each subfamily.
    (l) Where applicable, identify the vehicle family's deterioration
factors and describe how you developed them. Present any emission test
data you used for this.
    (m) Where applicable, state that you operated your emission-data
vehicles as described in the application (including the test
procedures, test parameters, and

test fuels) to show you meet the requirements of this part.
    (n) Present evaporative test data to show your vehicles meet the
evaporative emission standards we specify in subpart B of this part, if
applicable. Report all test results, including test results from
invalid tests or from any other tests, whether or not they were
conducted according to the test procedures of subpart F of this part.
We may ask you to send other information to confirm that your tests
were valid under the requirements of this part and 40 CFR part 86.
    (o) Report modeling results for each subfamily. Include modeling
inputs and detailed descriptions of how they were derived.
    (p) Describe all adjustable operating parameters (see Sec.
1037.115(e)), including production tolerances. You do not need to
include parameters that do not affect emissions covered by your
application. Include the following in your description of each
parameter:
    (1) The nominal or recommended setting.
    (2) The intended physically adjustable range.
    (3) The limits or stops used to establish adjustable ranges.
    (4) Information showing why the limits, stops, or other means of
inhibiting adjustment are effective in preventing adjustment of
parameters on in-use vehicles to settings outside your intended
physically adjustable ranges.
    (q) [Reserved]
    (r) Unconditionally certify that all the vehicles in the vehicle
family comply with the requirements of this part, other referenced
parts of the CFR, and the Clean Air Act.
    (s) Include good-faith estimates of U.S.-directed production
volumes. Include a justification for the estimated production volumes
if they are substantially different than actual production volumes in
earlier years for similar vehicle models.
    (t) Include the information required by other subparts of this
part. For example, include the information required by Sec.  1037.725
if you participate in the ABT program.
    (u) Include other applicable information, such as information
specified in this part or 40 CFR part 1068 related to requests for
exemptions.
    (v) Name an agent for service located in the United States. Service
on this agent constitutes service on you or any of your officers or
employees for any action by EPA or otherwise by the United States
related to the requirements of this part.

Sec.  1037.210  Preliminary approval before certification.

    If you send us information before you finish the application, we
may review it and make any appropriate determinations. Decisions made
under this section are considered to be preliminary approval, subject
to final review and approval. We will generally not reverse a decision
where we have given you preliminary approval, unless we find new
information supporting a different decision. If you request preliminary
approval related to the upcoming model year or the model year after
that, we will make best-efforts to make the appropriate determinations
as soon as practicable. We will generally not provide preliminary
approval related to a future model year more than two years ahead of
time.

Sec.  1037.220  Amending maintenance instructions.

    You may amend your emission-related maintenance instructions after
you submit your application for certification as long as the amended
instructions remain consistent with the provisions of Sec.  1037.125.
You must send the Designated Compliance Officer a written request to
amend your application for certification for a vehicle family if you
want to change the emission-related maintenance instructions in a way
that could affect emissions. In your request, describe the proposed
changes to the maintenance instructions. If operators follow the
original maintenance instructions rather than the newly specified
maintenance, this does not allow you to disqualify those vehicles from
in-use testing or deny a warranty claim.
    (a) If you are decreasing or eliminating any specified maintenance,
you may distribute the new maintenance instructions to your customers
30 days after we receive your request, unless we disapprove your
request. This would generally include replacing one maintenance step
with another. We may approve a shorter time or waive this requirement.
    (b) If your requested change would not decrease the specified
maintenance, you may distribute the new maintenance instructions
anytime after you send your request. For example, this paragraph (b)
would cover adding instructions to increase the frequency of filter
changes for vehicles in severe-duty applications.
    (c) You need not request approval if you are making only minor
corrections (such as correcting typographical mistakes), clarifying
your maintenance instructions, or changing instructions for maintenance
unrelated to emission control. We may ask you to send us copies of
maintenance instructions revised under this paragraph (c).

Sec.  1037.225  Amending applications for certification.

    Before we issue you a certificate of conformity, you may amend your
application to include new or modified vehicle configurations, subject
to the provisions of this section. After we have issued your
certificate of conformity, you may send us an amended application
requesting that we include new or modified vehicle configurations
within the scope of the certificate, subject to the provisions of this
section. You must amend your application if any changes occur with
respect to any information that is included or should be included in
your application.
    (a) You must amend your application before you take any of the
following actions:
    (1) Add a vehicle configuration to a vehicle family. In this case,
the vehicle configuration added must be consistent with other vehicle
configurations in the vehicle family with respect to the criteria
listed in Sec.  1037.230.
    (2) Change a vehicle configuration already included in a vehicle
family in a way that may 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 vehicle's lifetime.
    (3) Modify an FEL for a vehicle family as described in paragraph
(f) of this section.
    (b) To amend your application for certification, send the relevant
information to the Designated Compliance Officer.
    (1) Describe in detail the addition or change in the vehicle model
or configuration you intend to make.
    (2) Include engineering evaluations or data showing that the
amended vehicle family complies with all applicable requirements. You
may do this by showing that the original emission-data vehicle is still
appropriate for showing that the amended family complies with all
applicable requirements.
    (3) If the original emission-data vehicle or emission modeling for
the vehicle family is not appropriate to show compliance for the new or
modified vehicle configuration, include new test data or emission
modeling showing that the new or modified vehicle configuration meets
the requirements of this part.
    (c) We may ask for more test data or engineering evaluations. You
must give

us these within 30 days after we request them.
    (d) For vehicle families already covered by a certificate of
conformity, we will determine whether the existing certificate of
conformity covers your newly added or modified vehicle. You may ask for
a hearing if we deny your request (see Sec.  1037.820).
    (e) For vehicle families already covered by a certificate of
conformity, you may start producing the new or modified vehicle
configuration anytime after you send us your amended application and
before we make a decision under paragraph (d) of this section. However,
if we determine that the affected vehicles do not meet applicable
requirements, we will notify you to cease production of the vehicles
and may require you to recall the vehicles at no expense to the owner.
Choosing to produce vehicles under this paragraph (e) is deemed to be
consent to recall all vehicles that we determine do not meet applicable
emission standards or other requirements and to remedy the
nonconformity at no expense to the owner. If you do not provide
information required under paragraph (c) of this section within 30 days
after we request it, you must stop producing the new or modified
vehicles.
    (f) You may ask us to approve a change to your FEL in certain cases
after the start of production. The changed FEL may not apply to
vehicles you have already introduced into U.S. commerce, except as
described in this paragraph (f). If we approve a changed FEL after the
start of production, you must include the new FEL on the emission
control information label for all vehicles produced after the change.
You may ask us to approve a change to your FEL in the following cases:
    (1) You may ask to raise your FEL for your vehicle 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 with corresponding production volumes to
calculate emission credits for the model year, as described in subpart
H of this part.
    (2) Where testing applies, you may ask to lower the FEL for your
vehicle family only if you have test data from production vehicles
showing that emissions are below the proposed lower FEL. Otherwise, you
may ask to lower your FEL for your vehicle family at any time. The
lower FEL applies only to vehicles you produce after we approve the new
FEL. Use the appropriate FELs with corresponding production volumes to
calculate emission credits for the model year, as described in subpart
H of this part.

Sec.  1037.230  Vehicle families.

    (a) For purposes of certifying your vehicles to greenhouse gas
standards, divide your product line into families of vehicles that have
similar basic structures and are subject to the same standards. Your
vehicle family is limited to a single model year. Group vehicles in the
same vehicle family if they are the same in all the following aspects:
    (1) The regulatory sub-category, as follows:
    (i) Vocational vehicles at or below 19,500 pounds GVWR.
    (ii) Vocational vehicles above 19,500 pounds GVWR but at or below
33,000 pounds GVWR.
    (iii) Vocational vehicles above 33,000 pounds GVWR.
    (iv) Low-roof and mid-roof day cab tractors above 26,000 pounds
GVWR but at or below 33,000 pounds GVWR.
    (v) High-roof tractors above 26,000 pounds GVWR but at or below
33,000 pounds GVWR.
    (vi) Low-roof day cab tractors above 33,000 pounds GVWR.
    (vii) Low-roof sleeper cab tractors above 33,000 pounds GVWR.
    (viii) Mid-roof day cab tractors above 33,000 pounds GVWR.
    (ix) Mid-roof sleeper cab tractors above 33,000 pounds GVWR.
    (x) High-roof day cab tractors above 33,000 pounds GVWR.
    (xi) High-roof sleeper cab tractors above 33,000 pounds GVWR.
    (2) Vehicle width (as measured from hub to hub on the front axle).
    (3) Basic design of the vehicle passenger and engine compartments.
For purposes of this criterion, consider only those features from the
B-pillar forward.
    (4) Whether or they are certified using the provisions of this part
for hybrid vehicles or other advanced technologies.
    (b) Subdivide your greenhouse gas vehicle families into subfamilies
that include vehicles from identical bins for the aerodynamic drag
coefficient for each modeling input, as specified in Sec.  1037.520(b).
For example, all vehicles within a tractor vehicle family would be
included in the same subfamily if they are all in the ``SmartWay''
aerodynamic bin and in the ``Automatic Engine Shut-Off Only'' bin, none
of them include weight reduction or vehicle speed limiters, and they
all use the same tires.
    (c) For a vehicle model that straddles a roof-height division, you
may include all the vehicles in the same vehicle family if you certify
the vehicle family to the more stringent standards.
    (d) Divide your vehicles that are subject to evaporative emission
standards into groups of vehicles with similar physical features
expected to affect evaporative emissions. Group vehicles in the same
evaporative emission family if they are the same in all the following
aspects, unless we approve a better way of grouping vehicles into
families that have similar emission control characteristics:
    (1) Method of vapor storage, including the number of vapor storage
devices, the working material, and the total working capacity of vapor
storage (as determined under 40 CFR 86.1232-96(h)(1)(iv)). You may
consider the working capacity to be the same if the values differ by 20
grams or less.
    (2) Method of purging stored vapors.
    (3) Material for liquid fuel hose.

Sec.  1037.241  Demonstrating compliance with exhaust emission
standards for greenhouse gas pollutants.

    (a) For purposes of certification, your vehicle family is
considered in compliance with the emission standards in Sec.  1037.105
or Sec.  1037.106 if all vehicle configurations in that family have
modeled CO2 emission rates (as specified in subpart F of
this part) at or below the applicable standards. See 40 CFR part 86,
subpart S, for showing compliance with the standards of Sec.  1037.104.
Note that your FELs are considered to be the applicable emission
standards with which you must comply if you participate in the ABT
program in subpart H of this part.
    (b) Your vehicle family is deemed not to comply if any vehicle
configuration in that family has a modeled CO2 emission rate
that is above its FEL.
    (c) We may require you to provide an engineering analysis showing
that the performance of your emission controls will not deteriorate
during the useful life with proper maintenance. If we determine that
your emission controls are likely to deteriorate during the useful
life, we may require you to develop and apply deterioration factors
(DFs) consistent with good engineering judgment. For example, you may
need to apply a DF to address deterioration of battery performance for
a hybrid-electric vehicle.

Sec.  1037.243  Demonstrating compliance with evaporative emission
standards.

    (a) For purposes of certification, your evaporative emission family
is considered in compliance with the evaporative emission standards in
subpart B of this part if you do either of the following:
    (1) You have test results showing emission levels at or below the
standards in Sec.  1037.103.

    (2) For vehicles above 26,000 pounds GVWR, you prepare an
engineering analysis showing that your vehicles in the family will
comply with applicable standards throughout the useful life.
    (b) Your evaporative emission family is deemed not to comply if any
vehicle representing the family has test results showing emission
levels above any of the standards in Sec.  1037.103, with or without
deterioration factors. For vehicles above 26,000 pounds GVWR, your
evaporative emission family is deemed not to comply if your engineering
analysis is not adequate to show that all the vehicles in the family
will comply with applicable emission standards throughout the useful
life.
    (c) To compare emission levels with emission standards, apply
deterioration factors to the measured emission levels. Establish an
additive deterioration factor for the vehicle family, as described in
40 CFR 86.007-23(b).
    (1) For vehicles at or below 26,000 pounds GVWR, establish the
deterioration factor based on testing before and after service
accumulation. Collect emission data using measurements to one more
decimal place than the applicable standard. Use good engineering
judgment to perform service accumulation in a way that incorporates the
effects of ambient conditions and engine and vehicle operation to
ensure that emission measurements represent actual degradation of
emission controls from in-use vehicles over the useful life.
    (2) For vehicles above 26,000 pounds GVWR, establish the
deterioration factor based on an engineering analysis that takes into
account the expected aging from in-use vehicles. Your analysis must
take into account your testing to establish deterioration factors under
paragraph (c)(1) of this section.
    (d) You may ask us to approve deterioration factors for a vehicle
family based on emission measurements from similar highway vehicles if
you have already given us these data for certifying the other vehicles
in the same or earlier model years. Use good engineering judgment to
decide whether the two vehicles are similar. We will approve your
request if you show us that the emission measurements from other
vehicles reasonably represent in-use deterioration for the vehicle
family for which you have not yet determined deterioration factors.
    (e) Apply the deterioration factor to the official emission result,
as described in paragraph (c) of this section, then round the adjusted
figure to the same number of decimal places as the emission standard.
Compare the rounded emission levels to the emission standard for each
emission-data vehicle.

Sec.  1037.250  Reporting and recordkeeping.

    (a) Within 45 days after the end of the model year, send the
Designated Compliance Officer a report including the total U.S.-
directed production volume of vehicles you produced in each vehicle
family during the model year. Report the volumes by vehicle
configuration, and identify the transmission, axle ratio, and engine in
addition to subfamily identifiers. Small manufacturers may omit this
requirement.
    (b) Organize and maintain the following records:
    (1) A copy of all applications and any summary information you send
us.
    (2) Any of the information we specify in Sec.  1037.205 that you
were not required to include in your application.
    (3) A detailed history of each emission-data vehicle, if
applicable.
    (4) Production figures for each vehicle family divided by assembly
plant.
    (5) Keep a list of vehicle identification numbers for all the
vehicles you produce under each certificate of conformity.
    (c) Keep data from routine emission tests (such as test cell
temperatures and relative humidity readings) for one year after we
issue the associated certificate of conformity. Keep all other
information specified in this section for eight years after we issue
your certificate.
    (d) Store these records in any format and on any media, as long as
you can promptly send us organized, written records in English if we
ask for them. You must keep these records readily available. We may
review them at any time.

Sec.  1037.255  What decisions may EPA make regarding my certificate of
conformity?

    (a) If we determine your application is complete and shows that the
vehicle family meets all the requirements of this part and the Act, we
will issue a certificate of conformity for your vehicle family for that
model year. We may make the approval subject to additional conditions.
    (b) We may deny your application for certification if we determine
that your vehicle family fails to comply with emission standards or
other requirements of this part or the Clean Air Act. We will base our
decision on all available information. If we deny your application, we
will explain why in writing.
    (c) In addition, we may deny your application or suspend or revoke
your certificate if you do any of the following:
    (1) Refuse to comply with any testing or reporting requirements.
    (2) Submit false or incomplete information (paragraph (e) of this
section applies if this is fraudulent).
    (3) Render any test data inaccurate.
    (4) Deny us from completing authorized activities despite our
presenting a warrant or court order (see 40 CFR 1068.20). This includes
a failure to provide reasonable assistance.
    (5) Produce vehicles for importation into the United States at a
location where local law prohibits us from carrying out authorized
activities.
    (6) Fail to supply requested information or amend your application
to include all vehicles being produced.
    (7) Take any action that otherwise circumvents the intent of the
Act or this part.
    (d) We may void your certificate if you do not keep the records we
require or do not give us information as required under this part or
the Act.
    (e) We may void your certificate if we find that you intentionally
submitted false or incomplete information.
    (f) If we deny your application or suspend, revoke, or void your
certificate, you may ask for a hearing (see Sec.  1037.820).

Subpart D--[Reserved]

Subpart E--In-Use Testing

Sec.  1037.401  General provisions.

    We may perform in-use testing of any vehicle subject to the
standards of this part.

Subpart F--Test and Modeling Procedures

Sec.  1037.501  General testing and modeling provisions.

    This subpart specifies how to perform emission testing and emission
modeling required elsewhere in this part.
    (a) Use the equipment and procedures specified in 40 CFR part 86,
subpart M, to determine whether vehicles meet the diurnal, running
loss, hot soak, and spitback standards specified in Sec.  1037.103. For
certification vehicles only, you may ask us to approve subtraction of
nonfuel emissions (such as from off-gassing plastic components) from
your measured test results. In your request, describe the sources of
nonfuel emissions and estimate the decay rate. Quantify the nonfuel
emissions based on separate testing.
    (b) Where emission testing is required, use the equipment and
procedures in 40 CFR part 1066 to determine whether your vehicles meet
the duty-cycle emission standards in subpart B of this part. Measure
the

emissions of all the exhaust constituents subject to emission standards
as specified in 40 CFR part 1066. Use the applicable duty cycles
specified in Sec.  1037.510.
    (c) [Reserved]
    (d) Use the applicable fuels specified 40 CFR part 1065 to perform
valid tests.
    (1) For service accumulation, use the test fuel or any commercially
available fuel that is representative of the fuel that in-use vehicles
will use.
    (2) For diesel-fueled vehicles, use the appropriate diesel fuel
specified for emission testing. Unless we specify otherwise, the
appropriate diesel test fuel is the ultra low-sulfur diesel fuel.
    (3) For gasoline-fueled vehicles, use the gasoline specified for
``General Testing''.
    (e) You may use special or alternate procedures to the extent we
allow them under 40 CFR 1065.10.
    (f) This subpart is addressed to you as a manufacturer, but it
applies equally to anyone who does testing for you, and to us when we
perform testing to determine if your vehicles meet emission standards.
    (g) Apply the specification of this paragraph (g) whenever we
specify use of standard trailers. A tolerance of  2 inches
applies for all trailer dimensions. Manufacturers may test with longer
trailers. For coastdown testing, load trailers as necessary to reach
test weight.
    (1) The standard trailer for high-roof tractors is a two-axle dry
van box trailer with dimensions of 53.0 feet long, by 102 inches wide,
by 162 inches high. The standard trailer has a minimized trailer gap
(maximum of 45 inches) and does not include any aerodynamic features
such as side fairings, boat tails, or gap reducers.
    (2) The standard trailer for mid-roof tractors is a two-axle tanker
trailer with dimensions of 40.0 feet long by 124 inches high, and
having a 7200  7 gallon tank capacity. The standard trailer
does not include any aerodynamic features such as side fairings.
    (3) The standard trailer for low-roof tractors is a two-axle flat
bed trailer with dimensions of 48.0 feet long and 102 inches wide. The
standard trailer does not include any aerodynamic features such as side
fairings. It includes a payload of dense material (such as steel plate)
covered completely with one or more tarps. For aerodynamic modeling,
use an amount equivalent to a standard payload of 25,000 pounds for
Class 7 and 38,000 pounds for Class 8.

Sec.  1037.510  Duty-cycle testing.

    This section applies where exhaust emission testing is required,
such as when applying the provisions of Sec.  1037.610.
    (a) Where applicable, measure emissions by testing the vehicle on a
dynamometer with the applicable test cycles. Each test cycle consists
of a series of speed commands over time: Variable speeds for the
transient test and constant speed for the cruise tests. None of these
cycles include vehicle starting or warmup; each test cycle begins with
a running, warmed-up vehicle. Start sampling emissions at the start of
each cycle. The transient cycle is specified in Appendix I to this
part. The 55 mph and 65 mph Cruise cycles are 300 second cycles with
constant vehicle speeds of 55.0 mph and 65.0 mph, respectively. The
tolerance around these speed setpoints is 1.0 mph.
    (b) Calculate the official emission result from the following
weighting factors:
BILLING CODE 6560-50-P
[GRAPHIC] [TIFF OMITTED] TP30NO10.102

    (c) For transient testing, compare actual second-by-second vehicle
speed with the speed specified in the test cycle and ensure any
differences are consistent with the criteria as specified in 40 CFR
part 1066. If the speeds do not conform to these criteria, the test is
not valid and must be repeated.
    (d) Run test cycles as specified in 40 CFR part 86. For cruise
cycle testing of vehicles equipped with cruise control, use the
vehicle's cruise control to control the vehicle speed.

Sec.  1037.520  Modeling CO2 emissions to show compliance.

    This section describes how to use the GEM computer model
(incorporated by reference in Sec.  1037.810) to show compliance with
the CO2 standards of Sec. Sec.  1037.105 and 1037.106. Use
good engineering judgment when demonstrating compliance using the GEM
model.
    (a) General modeling provisions. To run the GEM model, enter all
applicable inputs as specified by the model. All seven of the following
inputs apply for sleeper cab tractors, while some do not apply for
other regulatory subcategories:
    (1) Regulatory class (such as ``Class 8 Combination--Sleeper Cab--
High Roof'').
    (2) Coefficient of aerodynamic drag, as described in paragraph (b)
of this section. Leave this field blank for vocational vehicles.
    (3) Steer tire rolling resistance, as described in paragraph (c) of
this section.
    (4) Drive tire rolling resistance, as described in paragraph (c) of
this section.
    (5) Vehicle speed limit, as described in paragraph (d) of this
section. Leave this field blank for vocational vehicles.
    (6) Vehicle weight reduction, as described in paragraph (e) of this
section. Leave this field blank for vocational vehicles.
    (7) Extended idle reduction credit, as described in paragraph (f)
of this section. Leave this field blank for vehicles other than Class 8
sleeper cabs.
    (b) Coefficient of aerodynamic drag. Determine the appropriate drag
coefficient as follows:
    (1) Use the recommended method or an alternate method to establish
a value for the vehicle's drag coefficient, rounded to two decimal
places as follows:
    (i) Recommended method. Perform coastdown testing as described in
this paragraph (b)(1)(i) to establish the drag coefficient. Use the
procedures specified in 40 CFR part 1066, subpart C, with a standard
trailer.

    (A) Calculate the drag coefficient, CD, from the
following equation:
[GRAPHIC] [TIFF OMITTED] TP30NO10.103

Where:

D = a coefficient derived from the coastdown procedures in 40 CFR
part 1066, as described in paragraph (b)(1)(i)(B) of this section.
[rho] = standard air density. Use [rho] = 1.167 kg/m\3\.
A = standard frontal area, in m\2\, as shown in the following table:
[GRAPHIC] [TIFF OMITTED] TP30NO10.104

    (B) Determine the value of D analytically from the data collected
during coastdown testing as specified in 40 CFR 1066.210, based on one
of the following equations:
[GRAPHIC] [TIFF OMITTED] TP30NO10.105

    (ii) Alternate methods. You may determine a drag coefficient using
an alternate method, consistent with good engineering judgment, based
on wind tunnel testing, computational fluid dynamic modeling, or
constant-speed road load testing. See 40 CFR 1068.5 for provisions
describing how we may evaluate your engineering judgment. Use (or
assume) a standard trailer for tractor testing and modeling.
    (2) Determine the bin category for your vehicle based on the drag
coefficient from paragraph (b)(1) of this section as shown in the
following table:
[GRAPHIC] [TIFF OMITTED] TP30NO10.106

    (3) Except as specified in paragraph (b)(4) of this section,
determine the modeling input for drag coefficient from the following
table, based on the vehicle's bin category as described in paragraph
(b)(2) of this section:

[GRAPHIC] [TIFF OMITTED] TP30NO10.107

    (4) If your drag coefficient from paragraph (b)(1) of this section
is below the range of drag coefficient values specified for the
applicable bin category in Sec.  1037.141, you may use the drag
coefficient determined in paragraph (b)(3) of this section only with
our approval. We will approve your request if you demonstrate that you
developed your drag coefficient consistent with good engineering
judgment. If we deny your request, you must use the drag coefficient
corresponding to your vehicle's apparent bin category.
    (c) Steer and drive tire rolling resistance. Measure tire rolling
resistance in kg per metric ton as specified in ISO test method
28580:2009 (incorporated by reference in Sec.  1037.810). For each tire
design (including size), measure rolling resistance of at least three
different tires of that specific design and perform the test three
times for each tire (for a total of at least nine tests per tire
design). Use the arithmetic mean of these results. If you obtain your
test results from the tire manufacturer or another third party, you
must obtain a signed statement from them verifying the tests were
conducted according to the requirements of this part. Such statements
are deemed to be submissions to EPA.
    (d) Vehicle speed limit. If the vehicles will be equipped with a
tamper-proof vehicle speed limiter, input the maximum vehicle speed to
which the vehicle will be limited, in miles per hour. Otherwise leave
this field blank. Use good engineering judgment to ensure the limiter
is tamper proof. We may require you to obtain preliminary approval for
your designs.
    (e) Vehicle weight reduction. Vehicle weight reduction inputs are
specified relative to dual-wide tires with conventional steel wheels.
For purposes of this paragraph (e), a light-weight aluminum wheel is
one that weighs at least 21 lb less than a comparable conventional
steel wheel, and a high-strength steel wheel is one that weighs at
least 8 lb less than a comparable conventional steel wheel. The inputs
are listed in Table 4 to this section. For example, a tractor with
aluminum steer wheels and eight (4 x 2) dual-wide aluminum drive wheels
would have an input of 210 lb (2 x 21 + 8 x 21).
[GRAPHIC] [TIFF OMITTED] TP30NO10.108

BILLING CODE 6560-50-C
    (f) Extended idle reduction credit. If your vehicle is equipped
with idle reduction technology that will automatically shut off the
main engine after 300 seconds or less, use 5 g/ton-mile as the input.
Otherwise leave this field blank.

Sec.  1037.525  Special procedures for testing hybrid vehicles with
power take-off.

    This section describes the procedure for quantifying the reduction
in greenhouse gas emissions as a result of running power take-off (PTO)
devices with a hybrid powertrain. You may ask us to modify the
provisions of this section to allow testing non-electric hybrid
vehicles, consistent with good engineering judgment.
    (a) Select two vehicles for testing as follows:
    (1) Select a vehicle with a hybrid powertrain to represent the
vehicle family. If your vehicle family includes

more than one vehicle model, use good engineering judgment to select
the vehicle type with the maximum number of PTO circuits that has the
smallest potential reduction in greenhouse gas emissions.
    (2) Select an equivalent conventional vehicle as specified in Sec.
1037.610.
    (b) Measure PTO emissions from the conventional vehicle as follows:
    (1) Start the engine.
    (2) Operate the vehicle over the PTO duty cycle(s) specified in
Appendix II of this part. If there is only one PTO circuit, use duty
cycle 1; if there are two PTO circuits, use both specified
duty cycles. Collect CO2 emissions during operation over the
specified duty cycle(s).
    (3) Use the provisions of 40 CFR part 1066 to collect and measure
emissions. Calculate emission rates in grams per test without rounding.
    (4) Continue testing over the three vehicle drive cycles, as
otherwise required by this part.
    (5) Calculate combined cycle-weighted emissions of the four cycles
as specified in paragraph (d) of this section.
    (c) Measure PTO emissions from the hybrid vehicle as follows:
    (1) Prepare the vehicle for testing by operating it as needed to
stabilize the battery at a full state of charge.
    (2) Turn the vehicle ``on'' such that the PTO system is functional,
whether it draws power from the engine or a battery.
    (3) Operate the vehicle over the PTO cycle(s) and measure emissions
as described in paragraphs (b)(2) and (3) of this section. Use good
engineering judgment to minimize the variability in testing between the
two types of vehicles.
    (4) Continue testing over the three vehicle drive cycles, as
otherwise required by this part.
    (5) Calculate combined cycle-weighted emissions of the four cycles
as specified in paragraph (d) of this section.
    (d) Calculate combined cycle-weighted emissions of the four cycles
for vocational vehicles as follows:
[GRAPHIC] [TIFF OMITTED] TP30NO10.109

Where:

payload = the standard payload, in tons, as specified in Sec.
1037.705.
m1 = grams of CO2 emitted over the PTO test
cycle.
m2 = grams of CO2 emitted over the transient
test cycle.
m3 = grams of CO2 emitted over the 55 mph
cruise test cycle.
m4 = grams of CO2 emitted over the 65 mph
cruise test cycle.

    (e) Follow the provisions of Sec.  1037.610 to calculate
improvement factors and benefits for advanced technologies.

Subpart G--Special Compliance Provisions

Sec.  1037.601  What compliance provisions apply to these vehicles?

    (a) Engine and vehicle manufacturers, as well as owners and
operators of vehicles subject to the requirements of this part, and all
other persons, must observe the provisions of this part, the provisions
of the Clean Air Act, and the following provisions of 40 CFR part 1068:
    (1) The exemption and importation provisions of 40 CFR part 1068,
subparts C and D, apply for vehicles subject to this part 1037, except
that the hardship exemption provisions of 40 CFR 1068.245, 1068.250,
and 1068.255 do not apply for motor vehicles.
    (2) The recall provisions of 40 CFR part 1068, subpart F, apply for
vehicles subject to this part 1037. The recall provisions of 40 CFR
part 85, subpart S do not apply.
    (b) Vehicles exempted from the applicable standards of 40 CFR part
86 are exempt from the standards of this part without request.
Similarly, vehicles are exempt without request if the installed engine
is exempted from the applicable standards in 40 CFR part 86.
    (c) The prohibitions of 40 CFR 86.1854-12 apply for vehicles
subject to the requirements of this part.
    (d) Except as specifically allowed by this part, it is a violation
of section 203(a)(1) of the Clean Air Act (42 U.S.C. 7522(a)(1)) to
introduce into U.S. commerce a tractor containing an engine not
certified for use in tractors or to introduce into U.S. commerce a
vocational vehicle containing an engine not certified for use in
vocational vehicles. This prohibition generally applies to the vehicle
manufacturer.

Sec.  1037.610  Hybrid vehicles and other advanced technologies.

    (a) This section applies for hybrid vehicles with regenerative
braking, vehicles equipped with Rankine-cycle engines, electric
vehicles, and fuel cell vehicles. You may not generate credits for
engine features for which the engines generate credits under 40 CFR
part 1036.
    (b) Generate advanced technology emission credits for hybrid
vehicles that include regenerative braking (or the equivalent) and
energy storage systems and vehicles equipped with Rankine-cycle engines
as follows:
    (1) Measure the effectiveness of the hybrid system by chassis
testing a vehicle equipped with the hybrid system and an equivalent
conventional vehicle. For purposes of this paragraph (b), a
conventional vehicle is considered to be equivalent if it has the same
footprint, intended service class, aerodynamic drag, and other factors
not directly related to the hybrid powertrain. If you do not produce an
equivalent vehicle, you may create and test a prototype equivalent
vehicle. The conventional vehicle is considered Vehicle A and the
hybrid vehicle is considered Vehicle B. We may specify an alternate
cycle if your vehicle includes a power take-off.
    (2) Calculate an improvement factor and g/ton-mile benefit using
the following equations and parameters:

(i) Improvement Factor = [(Emission Rate A)-(Emission Rate B)]/
(Emission Rate A)
(ii) g/ton-mile benefit = Improvement Factor x (Modeling Result B)

    (iii) Emission Rates A and B are the g/ton-mile CO2
emission rates of the conventional and hybrid vehicles, respectively,
as measured under the test procedures specified in this section.
Modeling Result B is the g/ton-mile CO2 emission rate
resulting from emission modeling of the hybrid vehicle as specified in
Sec.  1037.520.
    (3) Use the equations of Sec.  1037.705 to convert the g/ton-mile
benefit to emission credits (in Mg). Use the g/ton-mile benefit in
place of the (Std-FEL) term.
    (c) See Sec.  1037.525 for special testing provisions related to
hybrid vehicles equipped with power take-off units.
    (d) You may use an engineering analysis to calculate an improvement
factor for fuel cell vehicles based on measured emissions from the fuel
cell vehicle.
    (e) For electric vehicles, calculate CO2 credits using
an FEL of 0 g/ton-mile.

    (f) Credits generated under this section may be used outside of the
averaging set in which they were generated, or you may convert the
credits into engine-based credits for use under 40 CFR part 1036,
consistent with good engineering judgment.

Sec.  1037.611  Vehicles with innovative technologies.

    This section applies for CO2 reductions resulting from
technologies that were not in common use before 2010 that are not
reflected in the specified test procedures and emission models. We may
allow you to generate emission credits for model years through 2018
consistent with the provisions of 40 CFR 86.1866-12(d).

Sec.  1037.620  Shipment of incomplete vehicles to secondary vehicle
manufacturers.

    This section specifies how manufacturers may introduce partially
complete vehicles into U.S. commerce.
    (a) The provisions of this section allow manufacturers to ship
partially complete vehicles to secondary vehicle manufacturers or
otherwise introduce them into U.S. commerce in the following
circumstances:
    (1) Tractors. Manufacturers may introduce partially complete
tractors into U.S. commerce if they are covered by a certificate of
conformity for tractors and will be in their certified tractor
configuration before they reach the ultimate purchasers. Note that
delegated assembly provisions may apply.
    (2) Vehicles meeting the definition of ``tractor'' intended for
vocational use. A manufacturer may introduce into U.S. commerce a
partially complete vehicle meeting the definition of ``tractor'' that
is covered by a certificate of conformity for vocational vehicles only
as allowed by paragraph (b) of this section.
    (3) Other vocational vehicles. Manufacturers may introduce
partially complete vocational vehicles (not meeting the definition of
``tractor'') into U.S. commerce if they are covered by a certificate of
conformity for vocational vehicles and will be in their certified
vocational configuration before they reach the ultimate purchasers.
Note that delegated assembly provisions may apply.
    (4) Uncertified vehicles that will be certified by secondary
vehicle manufacturers. Manufacturers may introduce into U.S. commerce
partially complete vehicles for which they do not hold a certificate of
conformity only as allowed by paragraph (c) of this section.
    (b) Manufacturers introducing partially complete vehicles into U.S.
commerce under paragraph (a)(2) of this section must have a written
request for such vehicles from the manufacturer that will complete
assembly of the vehicle. The written request must include a statement
that the manufacturer completing assembly is aware that the vehicle
must not be delivered to an ultimate purchaser in a configuration that
meets the definition of a tractor.
    (c) The provisions of this paragraph (c) generally apply where the
secondary vehicle manufacturer has substantial control over the design
and assembly of emission controls. In determining whether a
manufacturer has substantial control over the design and assembly of
emission controls, we would consider the degree to which the secondary
manufacturer would be able to ensure that the engine and vehicle will
conform to the regulations in their final configurations.
    (1) Secondary manufacturers may finish assembly of partially
complete vehicles in the following cases:
    (i) You obtain a vehicle that is not fully assembled with the
intent to manufacture a complete vehicle.
    (ii) You obtain a vehicle with the intent to modify it before it
reaches the ultimate purchaser. For example, this may apply for
converting a gasoline-fueled vehicle to operate on natural gas.
    (2) Manufacturers may introduce partially complete vehicles into
U.S. commerce as described in this section if they have a written
request for such vehicles from a secondary vehicle manufacturer that
has certified the vehicle and will finish the vehicle assembly. The
written request must include a statement that the secondary
manufacturer has a certificate of conformity for the vehicle and
identify a valid vehicle family name associated with each vehicle model
ordered (or the basis for an exemption). The original vehicle
manufacturer must apply a removable label meeting the requirements of
40 CFR 1068.45 that identifies the corporate name of the original
manufacturer and states that the vehicle is exempt under the provisions
of Sec.  1037.620. The name of the certifying manufacturer must also be
on the label or, alternatively, on the bill of lading that accompanies
the vehicles during shipment. The original manufacturer may not apply a
permanent emission control information label identifying the vehicle's
eventual status as a certified vehicle.
    (3) The manufacturer that will hold the certificate must include
the following information in its application for certification:
    (i) Identify the original manufacturer of the partially complete
vehicle or of the complete vehicle you will modify.
    (ii) Describe briefly how and where final assembly will be
completed. Specify how you have the ability to ensure that the vehicles
will conform to the regulations in their final configuration. (Note:
This section prohibits using the provisions of this section unless you
have substantial control over the design and assembly of emission
controls.)
    (iii) State unconditionally that you will not distribute the
vehicles without conforming to all applicable regulations.
    (4) If you are a certificate holder, you may receive shipment of
partially complete vehicles after you apply for a certificate of
conformity but before the certificate's effective date. This exemption
allows the original manufacturer to ship vehicles after you have
applied for a certificate of conformity. Manufacturers may introduce
partially complete vehicles into U.S. commerce as described in this
paragraph (c)(4) if they have a written request for such vehicles from
a secondary manufacturer stating that the application for certification
has been submitted (instead of the information we specify in paragraph
(c)(2) of this section). We may set additional conditions under this
paragraph (c)(4) to prevent circumvention of regulatory requirements.
    (5) The provisions of this section also apply for shipping
partially complete vehicles if the vehicle is covered by a valid
exemption and there is no valid vehicle family name that could be used
to represent the vehicle model. Unless we approve otherwise in advance,
you may do this only when shipping vehicles to secondary manufacturers
that are certificate holders. In this case, the secondary manufacturer
must identify the regulatory cite identifying the applicable exemption
instead of a valid vehicle family name when ordering vehicles from the
original manufacturer.
    (6) Both original and secondary manufacturers must keep the records
described in this section for at least five years, including the
written request for vehicles and the bill of lading for each shipment
(if applicable). The written request is deemed to be a submission to
EPA.
    (7) These provisions are intended only to allow you to obtain or
transport vehicles in the specific circumstances identified in this
section so any exemption under this section expires when the vehicle
reaches the point of final assembly identified in paragraph (c)(3)(ii)
of this section.

    (8) For purposes of this section, an allowance to introduce
partially complete vehicles into U.S. commerce includes a conditional
allowance to sell, introduce, or deliver such vehicles into commerce in
the United States or import them into the United States. It does not
include a general allowance to offer such vehicles for sale because
this exemption is intended to apply only for cases in which the
certificate holder already has an arrangement to purchase the vehicles
from the original manufacturer. This exemption does not allow the
original manufacturer to subsequently offer the vehicles for sale to a
different manufacturer who will hold the certificate unless that second
manufacturer has also complied with the requirements of this part. The
exemption does not apply for any individual vehicles that are not
labeled as specified in this section or which are shipped to someone
who is not a certificate holder.
    (9) We may suspend, revoke, or void an exemption under this
section, as follows:
    (i) We may suspend or revoke your exemption if you fail to meet the
requirements of this section. We may suspend or revoke your exemption
for a specific secondary manufacturer if that manufacturer sells
vehicles that are in not in a certified configuration in violation of
the regulations. We may disallow this exemption for future shipments to
the affected secondary manufacturer or set additional conditions to
ensure that vehicles will be assembled in the certified configuration.
    (ii) We may void your exemption for all the affected vehicles if
you intentionally submit false or incomplete information or fail to
keep and provide to EPA the records required by this section.
    (iii) The exemption is void for a vehicle that is shipped to a
company that is not a certificate holder or for a vehicle that is
shipped to a secondary manufacturer that is not in compliance with the
requirements of this section.
    (d) Provide instructions along with partially complete vehicles
including all information necessary to ensure that an engine will be
installed in its certified configuration.

Sec.  1037.630  Exemption for vehicles intended for offroad use.

    This section provides an exemption from the greenhouse gas
standards of this part for certain vehicles intended to be used
extensively in offroad environments such as forests, oil fields, and
construction sites. This exemption does not exempt the engine from the
standards of 40 CFR part 86 or part 1036.
    (a) Vocational vehicles. Vocational vehicles meeting both of the
following criteria are exempt without request, subject to the
provisions of this section:
    (1) The tires installed on the vehicle must be lug tires or contain
a speed rating at or below 60 mph. For purposes of this section, a lug
tire is one for which the elevated portion of the tread covers less
than one-half of the tread surface.
    (2) The vehicle must include a vehicle speed limiter governed to 55
mph or less.
    (b) Tractors. Tractors meeting all the following criteria are
exempt without request, subject to the provisions of this section:
    (1) The tires installed on the vehicle must be lug tires or contain
a speed rating at or below 60 mph. For purposes of this section, a lug
tire is one for which the elevated portion of the tread covers less
than one-half of the tread surface.
    (2) The vehicle must include a vehicle speed limiter governed to 55
mph or less.
    (3) The vehicle must either--
    (i) Contain PTO controls; or
    (ii) Have GVWR greater than 57,000 pounds and have axle
configurations other than 4x2, 6x2, or 6x4 (axle configurations are
expressed as total number of wheel hubs by number of drive wheel hubs).
    (4) The frame of the vehicle must have a resisting bending moment
(RBM) greater than 2,000,000 inch-pounds. Use good engineering judgment
to determine the RBM for the frame.
    (c) Recordkeeping and reporting. (1) You must keep records to
document that your exempted vehicle configurations meet all applicable
requirements of this section. Keep these records for at least eight
years after you stop producing the exempted vehicle model. We may
review these records at any time.
    (2) You must also keep records of the individual exempted vehicles
you produce, including the vehicle identification number and a
description of the vehicle configuration.
    (3) Within 90 days after the end of each model year, you must send
to the Designated Compliance Officer a report with the following
information:
    (i) A description of each exempted vehicle configuration, including
an explanation of why it qualifies for this exemption.
    (ii) The number of vehicles exempted for each vehicle
configuration.
    (d) Preapproval. You may ask for preliminary approval that your
vehicles qualify for this exemption. We may also require you to ask for
preliminary approval for this exemption if we determine that you have
not acted in good faith when applying this exemption in earlier model
years.
    (e) Other vehicles. In unusual circumstances, you may ask us to
approve an exemption under this section for vehicles not fully meeting
the criteria of either paragraph (a) or (b) of this section. We will
approve your request only where we determine conclusively that the
vehicles will be used primarily in offroad applications and cannot
practically incorporate the greenhouse gas reducing design features.

Subpart H--Averaging, Banking, and Trading for Certification

Sec.  1037.701  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 Sec. Sec.  1037.105 and 1037.106.
Participation in this program is voluntary.
    (b) Section 1037.740 restricts the use of emission credits to
certain averaging sets.
    (c) The definitions of subpart I of this part apply to this
subpart. The following definitions also apply:
    (1) Actual emission credits means emission credits you have
generated that we have verified by reviewing your final report.
    (2) Averaging set means a set of vehicles in which emission credits
may be exchanged. Credits generated by one vehicle may only be used by
other vehicles in the same averaging set. Note that an averaging set
may comprise more than one regulatory subcategory. See Sec.  1037.740.
    (3) Broker means any entity that facilitates a trade of emission
credits between a buyer and seller.
    (4) Buyer means the entity that receives emission credits as a
result of a trade.
    (5) Reserved emission credits means emission credits you have
generated that we have not yet verified by reviewing your final report.
    (6) Seller means the entity that provides emission credits during a
trade.
    (7) Standard means the emission standard that applies under subpart
B of this part for vehicles not participating in the ABT program of
this subpart.
    (8) Trade means to exchange emission credits, either as a buyer or
seller.
    (d) You may not use emission credits generated under this subpart
to offset any emissions that exceed an FEL or standard.

    (e) [Reserved]
    (f) Emission credits may be used in the model year they are
generated. Surplus emission credits may be used for past model years or
banked for future model years.
    (g) You may increase or decrease an FEL during the model year by
amending your application for certification under Sec.  1037.225. The
new FEL may apply only to vehicles you have not already introduced into
commerce. Each vehicle's emission control information label must
include the applicable FELs.

Sec.  1037.705  Generating and calculating emission credits.

    The provisions of this section apply separately for calculating
emission credits by pollutant.
    (a) [Reserved]
    (b) For each participating family or subfamily, calculate positive
or negative emission credits relative to the otherwise applicable
emission standard. Calculate positive emission credits for a family or
subfamily that has an FEL below the standard. Calculate negative
emission credits for a family or subfamily that has an FEL above the
standard. Sum your positive and negative credits for the model year
before rounding. Round the sum of emission credits to the nearest
megagram (Mg), using consistent units throughout the following
equations:
    (1) For vocational vehicles:

Emission credits (Mg) = (Std - FEL) x (Payload Tons) x (Volume) x (UL)
x (10-6)

Where:

Std = the standard associated with the specific tractor regulatory
subcategory (g/ton-mile).
FEL = the family emission limit for the vehicle subfamily (g/ton-
mile).
Payload tons = the prescribed payload for each class in tons (2.85
tons for light heavy-duty vehicles, 5.6 tons for medium heavy-duty
vehicles, and 19 tons for heavy heavy-duty vehicles).
Volume = (projected or actual) production volume of the vehicle
subfamily.
UL = useful life of the vehicle (110,000 miles for light heavy-duty
vehicles, 185,000 miles for medium heavy-duty vehicles, and 435,000
miles for heavy heavy-duty vehicles).

    (2) For tractors:

Emission credits (Mg) = (Std - FEL) x (Payload tons) x (Volume) x (UL)
x (10-6)

Where:

Std = the standard associated with the specific tractor regulatory
subcategory (g/ton-mile).
FEL = the family emission limit for the vehicle subfamily (g/ton-
mile).
Payload tons = the prescribed payload for each class in tons (12.5
tons for Class 7 and 19 tons for Class 8).
Volume = (projected or actual) production volume of the vehicle
subfamily.
UL = useful life of the tractor (435,000 miles for Class 8 and
185,000 miles for Class 7).

    (c) As described in Sec.  1037.730, compliance with the
requirements of this subpart is determined at the end of the model year
based on actual values for U.S.-directed production volumes. See Sec.
1037.745 for provisions allowing you to continue production in cases
where you have (or expect to have) a negative credit balance at the end
of the year. Do not include any of the following vehicles to calculate
emission credits:
    (1) Vehicles that you do not certify because they are exempted
under subpart G of this part or under 40 CFR part 1068.
    (2) Exported vehicles.
    (3) Vehicles not subject to the requirements of this part, such as
those excluded under Sec.  1037.5.
    (4) Any other vehicles, where we indicate elsewhere in this part
1037 that they are not to be included in the calculations of this
subpart.

Sec.  1037.710  Averaging.

    (a) Averaging is the exchange of emission credits among your
vehicle families. You may average emission credits only within the same
averaging set.
    (b) You may certify one or more vehicle families to an FEL above
the applicable standard, subject to any applicable FEL caps and other
provisions in subpart B of this part, if you show in your application
for certification that your projected balance of all emission-credit
transactions in that model year is greater than or equal to zero (or is
otherwise allowed by this part).
    (c) If you certify a vehicle family to an FEL that exceeds the
otherwise applicable standard, you must obtain enough emission credits
to offset the vehicle family's deficit by the applicable due date: The
due date for the final report required in Sec.  1037.730. The emission
credits used to address the deficit may come from your other vehicle
families that generate emission credits in the same model year (or from
later model years as specified in Sec.  1037.745), from emission
credits you have banked, or from emission credits you obtain through
trading.

Sec.  1037.715  Banking.

    (a) Banking is the retention of surplus emission credits by the
manufacturer generating the emission credits for use in future model
years for averaging or trading.
    (b) You may designate any emission credits you plan to bank in the
reports you submit under Sec.  1037.730 as reserved credits. During the
model year and before the due date for the final report, you may
designate your reserved emission credits for averaging or trading.
    (c) Reserved credits become actual emission credits when you submit
your final report. However, we may revoke these emission credits if we
are unable to verify them after reviewing your reports or auditing your
records.

Sec.  1037.720  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 may
be used only within the averaging set in which they were generated.
    (b) You may trade actual emission credits as described in this
subpart. You may also trade reserved emission credits, but we may
revoke these emission credits based on our review of your records or
reports or those of the company with which you traded emission credits.
You may trade banked credits within an averaging set to any certifying
manufacturer.
    (c) If a negative emission credit balance results from a
transaction, both the buyer and seller are liable, except in cases we
deem to involve fraud. See Sec.  1037.255(e) for cases involving fraud.
We may void the certificates of all vehicle families participating in a
trade that results in a manufacturer having a negative balance of
emission credits. See Sec.  1037.745.

Sec.  1037.725  What must I include in my application for
certification?

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

averaging set when all emission credits are calculated at the end of
the year; or a statement that you will have a negative balance of
emission credits for one or more averaging sets but that it is allowed
under Sec.  1037.745.
    (2) 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 vehicle
families to project your net credit balance for the model year. If you
project negative emission credits for a family or subfamily, state the
source of positive emission credits you expect to use to offset the
negative emission credits.

Sec.  1037.730  ABT reports.

    (a) If any of your vehicle 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, conditioned upon you sending the final
report on time. We will not waive this requirement where you have a
deficit for that model year or an outstanding deficit for a prior model
year.
    (b) Your end-of-year and final reports must include the following
information for each vehicle family participating in the ABT program:
    (1) Vehicle-family and subfamily designations.
    (2) The emission standards that would otherwise apply to the
vehicle family.
    (3) The FEL for each pollutant. If you change the FEL after the
start of production, identify the date that you started using the new
FEL and/or give the vehicle identification number for the first vehicle
covered by the new FEL. In this case, identify each applicable FEL and
calculate the positive or negative emission credits as specified in
Sec.  1037.225.
    (4) The projected and actual U.S.-directed production volumes for
the model year. If you changed an FEL during the model year, identify
the actual production volume associated with each FEL.
    (5) Useful life.
    (6) Calculated positive or negative emission credits for the whole
vehicle family. Identify any emission credits that you traded, as
described in paragraph (d)(1) of this section.
    (7) If you have a negative credit balance for the averaging set in
the given model year, specify whether the vehicle family (or certain
subfamilies with the vehicle family) have a credit deficit for the
year. Consider for example, a manufacturer with three vehicle families
(``A'', ``B'', and ``C'') in a given averaging set. If family A
generates enough credits to offset the negative credits of family B but
not enough to also offset the negative credits of family C (and the
manufacturer has no banked credits in the averaging set), the
manufacturer may designate families A and B as having no deficit for
the model year, provided it designates family C as having a deficit for
the model year.
    (c) Your end-of-year and final reports must include the following
additional information:
    (1) Show that your net balance of emission credits from all your
participating vehicle families in each averaging set in the applicable
model year is not negative (or is negative but allowed under Sec.
1037.745).
    (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 vehicle families that generated emission credits for the
trade, including the number of emission credits from each family.
    (2) As the buyer, you must include the following information in
your report:
    (i) The corporate names of the seller and any brokers.
    (ii) A copy of any contracts related to the trade.
    (iii) How you intend to use the emission credits, including the
number of emission credits you intend to apply to each vehicle family
(if known).
    (e) Send your reports electronically to the Designated Compliance
Officer using an approved information format. If you want to use a
different format, send us a written request with justification for a
waiver.
    (f) Correct errors in your end-of-year report or final report as
follows:
    (1) You may correct any errors in your end-of-year report when you
prepare the final report, as long as you send us the final report by
the time it is due.
    (2) If you or we determine within 270 days after the end of the
model year that errors mistakenly decreased your balance of emission
credits, you may correct the errors and recalculate the balance of
emission credits. You may not make these corrections for errors that
are determined more than 270 days after the end of the model year. If
you report a negative balance of emission credits, we may disallow
corrections under this paragraph (f)(2).
    (3) If you or we determine anytime that errors mistakenly increased
your balance of emission credits, you must correct the errors and
recalculate the balance of emission credits.

Sec.  1037.735  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 vehicles if you do not keep all the records
required under this section. You must therefore keep these records to
continue to bank valid credits. Store these records in any format and
on any media, as long as you can promptly send us organized, written
records in English if we ask for them. You must keep these records
readily available. We may review them at any time.
    (c) Keep a copy of the reports we require in Sec. Sec.  1037.725
and 1037.730.
    (d) Keep records of the vehicle identification number for each
vehicle you produce that generates or uses emission credits under the
ABT program. You may identify these numbers as a range. If you change
the FEL after the start of production, identify the date you started
using each FEL and the range of vehicle identification numbers
associated with each FEL. You must also identify the purchaser and
destination for each vehicle you produce to the extent this information
is available.
    (e) We may require you to keep additional records or to send us
relevant information not required by this section in accordance with
the Clean Air Act.

Sec.  1037.740  What restrictions apply for using emission credits?

    The following restrictions apply for using emission credits:
    (a) Averaging sets. Emission credits may be exchanged only within
an averaging set. There are eleven principal averaging sets for
vehicles subject to this subpart.
    (1) Vocational vehicles at or below 19,500 pounds GVWR.
    (2) Vocational vehicles above 19,500 pounds GVWR but at or below
33,000 pounds GVWR.
    (3) Vocational vehicles over 33,000 pounds GVWR.
    (4) Low and mid roof day cab tractors at or above 26,000 pounds
GVWR but below 33,000 pounds GVWR.

    (5) High roof tractors at or above 26,000 pounds GVWR but below
33,000 pounds GVWR.
    (6) Low roof day cab tractors at or above 33,000 pounds GVWR.
    (7) Low roof sleeper cab tractors at or above 33,000 pounds GVWR.
    (8) Mid roof day cab tractors at or above 33,000 pounds GVWR.
    (9) Mid roof sleeper cab tractors at or above 33,000 pounds GVWR.
    (10) High roof day cab tractors at or above 33,000 pounds GVWR.
    (11) High roof sleeper cab tractors at or above 33,000 pounds GVWR.
    (12) Note that other separate averaging sets also apply for
emission credits not related to this subpart. For example, under Sec.
1037.104, an additional averaging set comprises all vehicles subject to
the standards of that section. Separate averaging sets also apply for
engines under 40 CFR part 1036, including engines used in vehicles
subject to this subpart.
    (b) Emission credits for later tiers of standards. CO2
credits generated relative to the standards of this part may not be
used for later tiers of standards, except that credits generated before
model year 2017 may be used for the tier of standards that begins in
2017.
    (c) Applying credits to prior year deficits. Where your credit
balance for the prior year is negative (i.e., there was a credit
deficit) you may apply only credits that are surplus after meeting your
current year credit obligations.
    (d) Other restrictions. Other sections of this part specify
additional restrictions for using emission credits under certain
special provisions.

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

    Except as allowed by this section, the certificate of any vehicle
family certified to an FEL above the applicable standard for which you
do not have sufficient credits for the model year when you submit your
end-of-year report is void.
    (a) Your certificate for a vehicle family for which you do not have
sufficient CO2 credits will be 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 a vehicle family at the end of
model year 2015, you must generate (or otherwise obtain) a surplus of
at least 500 Mg in that same averaging set by the end of model year
2018.
    (b) You may apply only surplus credits to your deficit. You may not
apply credits to a prior-year deficit if they were generated in a model
year for which any of your vehicle families for that averaging set had
an end-of-year credit deficit.
    (c) If you do not remedy the deficit with surplus credits within
three model years, your certificate is void for that vehicle family.
Note that voiding a certificate applies ab initio (that is,
retroactively). Where the net deficit is less than the total amount of
negative credits originally generated by the family, we will void the
certificate only with respect to the number of vehicles needed to reach
the amount of the net deficit. For example, if the original vehicle
family generated 500 Mg of negative credits, and the manufacturer's net
deficit after three years was 250 Mg, we would void the certificate
with respect to half of the vehicles in the family.

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

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

Sec.  1037.755  Information provided to the Department of
Transportation.

    (a) We may require you to submit a pre-certification compliance
report to us for the upcoming model year or the year after the upcoming
model year.
    (b) After receipt of each manufacturer's final report as specified
in Sec.  1037.730 and completion of any verification testing required
to validate the manufacturer's submitted final data, we will issue a
report to the Department of Transportation with CO2 emission
information and will verify the accuracy of manufacturers' equivalent
fuel consumption data that is required to be reported by NHTSA in 49
CFR 535.8. We will send a report to DOT for each vehicle manufacturer
based on each regulatory category and subcategory, including sufficient
information for NHTSA to determine fuel consumption and associated
credit values. See 49 CFR 535.8 to determine if NHTSA deems submission
of this information to EPA to also be a submission to NHTSA.

Subpart I--Definitions and Other Reference Information

Sec.  1037.801  Definitions.

    The following definitions apply to this part. The definitions apply
to all subparts unless we note otherwise. All undefined terms have the
meaning the Act gives to them. The definitions follow:
    Act means the Clean Air Act, as amended, 42 U.S.C. 7401-7671q.
    Adjustable parameter means any device, system, or element of design
that someone can adjust (including those which are difficult to access)
and that, if adjusted, may affect emissions or vehicle performance
during emission testing or normal in-use operation. You may ask us to
exclude a parameter that is difficult to access if it cannot be
adjusted to affect emissions without significantly degrading vehicle
performance, or if you otherwise show us that it will not be adjusted
in a way that affects emissions during in-use operation.
    Aftertreatment means relating to a catalytic converter, particulate
filter, or any other system, component, or technology mounted
downstream of the exhaust valve (or exhaust port) whose design function
is to decrease emissions in the vehicle exhaust before it is exhausted
to the environment. Exhaust-gas recirculation (EGR) and turbochargers
are not aftertreatment.
    Alcohol-fueled vehicle means a vehicle that is designed to run
using an alcohol fuel. For purposes of this definition, alcohol fuels
do not include fuels with a nominal alcohol content below 25 percent by
volume.
    Auxiliary emission control device means any element of design that
senses temperature, motive speed, engine RPM, transmission gear, or any
other parameter for the purpose of activating, modulating, delaying, or
deactivating the operation of any part of the emission control system.
    Averaging set has the meaning given in Sec.  1037.701.
    B-pillar means the first vertical structure to the rear of the
windshield or rear-most part of the driver's seat, whichever is further
to the rear. Note: The first vertical structure to the rear of the
windshield is generally the structure

of the body into which the driver's door closes.
    Cab-complete vehicle means a vehicle that is first sold as an
incomplete vehicle that substantially includes its cab. Vehicles known
commercially as chassis-cabs, cab-chassis, box-deletes, bed-deletes,
cut-away vans are considered cab-complete vehicles. For purposes of
this definition, a cab includes a steering column and passenger
compartment. Note a vehicle lacking some components of the cab is a
cab-complete vehicle if it substantially includes the cab.
    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.
    Carbon-related exhaust emissions (CREE) has the meaning given in 40
CFR 600.002. Note that CREE represents the combined mass of carbon
emitted as HC, CO, and CO2, expressed as having a molecular
weight equal to that of CO2.
    Carryover means relating to certification based on emission data
generated from an earlier model year.
    Certification means relating to the process of obtaining a
certificate of conformity for a vehicle family that complies with the
emission standards and requirements in this part.
    Certified emission level means the highest deteriorated emission
level in a vehicle family for a given pollutant from either transient
or steady-state testing.
    Class means relating to GVWR classes, as follows:
    (1) Class 2B means heavy-duty motor vehicles at or below 10,000
pounds GVWR.
    (2) Class 3 means heavy-duty motor vehicles above 10,000 pounds
GVWR but at or below 14,000 pounds GVWR.
    (3) Class 4 means heavy-duty motor vehicles above 14,000 pounds
GVWR but at or below 16,000 pounds GVWR.
    (4) Class 5 means heavy-duty motor vehicles above 16,000 pounds
GVWR but at or below 19,500 pounds GVWR.
    (5) Class 6 means heavy-duty motor vehicles above 19,500 pounds
GVWR but at or below 26,000 pounds GVWR.
    (6) Class 7 means heavy-duty motor vehicles above 26,000 pounds
GVWR but at or below 33,000 pounds GVWR.
    (7) Class 8 means heavy-duty motor vehicles above 33,000 pounds
GVWR.
    Complete vehicle has the meaning given in the definition of vehicle
in this section.
    Compression-ignition means relating to a type of reciprocating,
internal-combustion engine that is not a spark-ignition engine.
    Curb weight has the meaning given in 40 CFR 86.1803, consistent
with the provisions of Sec.  1037.140.
    Day cab means a type of tractor cab that is not a sleeper cab.
    Designated Compliance Officer means the Manager, Heavy-Duty and
Nonroad Engine Group (6405-J), U.S. Environmental Protection Agency,
1200 Pennsylvania Ave., NW., Washington, DC 20460.
    Designated Enforcement Officer means the Director, Air Enforcement
Division (2242A), U.S. Environmental Protection Agency, 1200
Pennsylvania Ave., NW., Washington, DC 20460.
    Deteriorated emission level means the emission level that results
from applying the appropriate deterioration factor to the official
emission result of the emission-data vehicle. Note that where no
deterioration factor applies, references in this part to the
deteriorated emission level mean the official emission result.
    Deterioration factor means the relationship between 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.
    Electric vehicle means a vehicle that does not include an engine,
and is powered solely by an external source of electricity and/or solar
power. Note that this does not include hybrid-electric or fuel-cell
vehicles that use a chemical fuel such as gasoline, diesel fuel, or
hydrogen. Electric vehicles may also be referred to as all-electric
vehicles to distinguish them from hybrid-electric vehicles.
    Emission control system means any device, system, or element of
design that controls or reduces the emissions of regulated pollutants
from a vehicle.
    Emission-data vehicle means a vehicle that is tested for
certification. This includes a vehicle tested to establish
deterioration factors.
    Emission-related maintenance means maintenance that substantially
affects emissions or is likely to substantially affect emission
deterioration.
    Excluded means relating to vehicles that are not subject to some or
all of the requirements of this part as follows:
    (1) A vehicle that has been determined to not be a motor vehicle is
excluded from this part.
    (2) Certain vehicles are excluded from the requirements of this
part under Sec.  1037.5.
    (3) Specific regulatory provisions of this part may exclude a
vehicle generally subject to this part from one or more specific
standards or requirements of this part.
    Exempted has the meaning given in 40 CFR 1068.30.
    Family emission limit (FEL) means an emission level declared by the
manufacturer to serve in place of an otherwise applicable emission