for 2012 and later model year automobiles fueled with liquefied
petroleum gas and automobiles designed to operate on mixtures of
gasoline and liquefied petroleum gas while operating on liquefied
petroleum gas is to be calculated using the following equation and
rounded to the nearest 1 gram per mile:

CREE = [(CWFexHC/0.273) x NMHC] + (1.571 x CO) +
CO2 + (298 x N2O) + (25 x CH4)

Where:

CREE means the carbon-related exhaust emission value as defined in
Sec.  600.002.
CWFHC = Carbon weight fraction of exhaust hydrocarbon =
CWFfuel as determined in paragraph (f)(5) of this section
and rounded according to paragraph (g)(3) of this section.
NMHC = Grams/mile HC as obtained in paragraph (g)(2) of this
section.
CO = Grams/mile CO as obtained in paragraph (g)(2) of this section.
CO2 = Grams/mile CO2 as obtained in paragraph
(g)(2) of this section.
N2O = Grams/mile N2O as obtained in paragraph
(g)(2) of this section.
CH4 = Grams/mile CH4 as obtained in paragraph
(g)(2) of this section.

    (n) Manufacturers shall determine CO2 emissions and
carbon-related exhaust emissions for electric vehicles, fuel cell
vehicles, and plug-in hybrid electric vehicles according to the
provisions of this paragraph (n). Subject to the limitations on the
number of vehicles produced and delivered for sale as described in
Sec.  86.1866 of this chapter, the manufacturer may be allowed to use a
value of 0 grams/mile to represent the emissions of fuel cell vehicles
and the proportion of electric operation of a electric vehicles and
plug-in hybrid electric vehicles that is derived from electricity that
is generated from sources that are not onboard the vehicle, as
described in paragraphs (n)(1) through (3) of this section. For
purposes of labeling under this part, the CO2 emissions for
electric vehicles shall be 0 grams per mile. Similarly, for purposes of
labeling under this part, the CO2 emissions for plug-in
hybrid electric vehicles shall be 0 grams per mile for the proportion
of electric operation that is derived from electricity that is
generated from sources that are not onboard the vehicle. For
manufacturers no longer eligible to use 0 grams per mile to represent
electric operation, and for all 2026 and later model year electric
vehicles, fuel cell vehicles, and plug-in hybrid electric vehicles, the
provisions of this paragraph (n) shall be used to determine the non-
zero value for CREE for purposes of meeting the greenhouse gas emission
standards described in Sec.  86.1818 of this chapter.
* * * * *
    (2) For plug-in hybrid electric vehicles the carbon-related exhaust
emissions in grams per mile is to be calculated according to the
provisions of Sec.  600.116, except that the CREE for charge-depleting
operation shall be the sum of the CREE associated with gasoline
consumption and the net upstream CREE determined according to paragraph
(n)(1) of this section, rounded to the nearest one gram per mile.
    (3) For 2012 and later model year fuel cell vehicles, the carbon-
related exhaust emissions in grams per mile shall be calculated using
the method specified in paragraph (n)(1) of this section, except that
CREEUP shall be determined according to procedures
established by the Administrator under Sec.  600.111-08(f). As
described in Sec.  86.1866 of this chapter the value of CREE may be set
equal to zero for a certain number of 2012 through 2025 model year fuel
cell vehicles.
    (o) Equations for fuels other than those specified in this section
may be used with advance EPA approval. Alternate calculation methods
for fuel economy and carbon-related exhaust emissions may be used in
lieu of the methods described in this section if shown to yield
equivalent or superior results and if approved in advance by the
Administrator.
0
83. Section 600.116-12 is amended as follows:
0
a. By revising paragraph (c)(1) introductory text.
0
b. By redesignating paragraphs (c)(2) through (9) as paragraphs (c)(3)
through (10), respectively.
0
c. By adding a new paragraph (c)(2).
0
d. By revising newly redesignated paragraph (c)(4).
0
e. By revising newly redesignated paragraph (c)(5) introductory text.
0
f. By revising paragraphs (d)(1)(i)(C), (d)(1)(ii), (d)(2)(ii), and
(d)(3).
    The revisions and addition read as follows:

Sec.  600.116-12  Special procedures related to electric vehicles and
hybrid electric vehicles.

* * * * *
    (c) * * *
    (1) To determine CREE values to demonstrate compliance with GHG
standards, calculate composite values representing combined operation
during charge-depleting and charge-sustaining operation using the
following utility factors except as specified in this paragraph (c):
* * * * *
    (2) Determine fuel economy values to demonstrate compliance with
CAFE standards as follows:
    (i) For vehicles that do not qualify as dual fueled automobiles
under 49 CFR 538.5, determine fuel economy using the utility factors
described in paragraph (c)(1) of this section. Do not use the
petroleum-equivalence factors described in 10 CFR 474.3.
    (ii) For vehicles that qualify as dual fueled automobiles under 49
CFR 538.5, determine fuel economy based on the procedure described in
paragraph (c)(2)(i) of this section, or based on the

following equation, separately for city and highway driving:
[GRAPHIC] [TIFF OMITTED] TP13JY15.025

Where:

MPGgas = The miles per gallon measured while operating on
gasoline during charge-sustaining operation as determined using the
procedures of SAE J1711 (incorporated by reference in Sec.
600.011).
MPGeelec = The miles per gallon equivalent measured while
operating on electricity.

    Calculate this value by dividing the equivalent all-electric range
determined from the equation in Sec.  86.1866-12(b)(2)(ii) by the
corresponding measured Watt-hours of energy consumed; apply the
appropriate petroleum-equivalence factor from 10 CFR 474.3 to convert
Watt-hours to gallons equivalent. Note that if vehicles use no gasoline
during charge-depleting operation, MPGeelec is the same as
the charge-depleting fuel economy specified in SAE J1711.
* * * * *
    (4) You may calculate performance values under paragraphs (c)(1)
through (3) of this section by combining phases during FTP testing. For
example, you may treat the first 7.45 miles as a single phase by adding
the individual utility factors for that portion of driving and
assigning emission levels to the combined phase. Do this consistently
throughout a test run.
    (5) Instead of the utility factors specified in paragraphs (c)(1)
through (3) of this section, calculate utility factors using the
following equation for vehicles whose maximum speed is less than the
maximum speed specified in the driving schedule, where the vehicle's
maximum speed is determined, to the nearest 0.1 mph, from observing the
highest speed over the first duty cycle (FTP, HFET, etc.):
* * * * *
    (d) * * *
    (1) * * *
    (i) * * *
    (C) Determine braking power in kilowatts using the following
equation. Note that during braking events, Pbrake,
Paccel, and Proadload will all be negative (i.e.,
resistive) forces on the vehicle.

Pbrake = Paccel-Proadload

Where:

Paccel = the value determined in paragraph (d)(1)(i)(B)
of this section;
Proadload = the value determined in paragraph
(d)(1)(i)(A) of this section; and
Pbrake = 0 if Paccel is greater than or equal
to Proadload.

    (ii) The total maximum braking energy (Ebrake) that
could theoretically be recovered is equal to the absolute value of the
sum of all the values of Pbrake determined in paragraph
(d)(1)(i)(C) of this section, divided by 36000 (to convert 10 Hz data
to hours) and rounded to the nearest 0.01 kilowatt-hours.
    (2) * * *
    (ii) At each sampling point where current is flowing into the
battery, calculate the energy flowing into the battery, in Watt-hours,
as follows:
[GRAPHIC] [TIFF OMITTED] TP13JY15.026

Where:

Et = the energy flowing into the battery, in Watt-hours,
at time t in the test;
It = the electrical current, in Amps, at time t in the
test; and
Vnominal = the nominal voltage of the hybrid battery
system determined according to paragraph (d)(4) of this section.
* * * * *
    (3) The percent of braking energy recovered by a hybrid system
relative to the total available energy is determined by the following
equation, rounded to the nearest one percent:
[GRAPHIC] [TIFF OMITTED] TP13JY15.027

Where:

Erec = The actual total energy recovered, in kilowatt-
hours, as determined in paragraph (d)(2) of this section; and
Ebrake = The theoretical maximum amount of energy, in
kilowatt-hours, that could be recovered by a hybrid electric vehicle
over the FTP test cycle, as determined in paragraph (d)(1) of this
section.
* * * * *

Subpart C--Procedures for Calculating Fuel Economy and Carbon-
Related Exhaust Emission Values

0
84. Section 600.208-12 is amended by revising paragraph (a)(2)(iii) to
read as follows:

Sec.  600.208-12  Calculation of FTP-based and HFET-based fuel economy,
CO2 emissions, and carbon-related exhaust emissions for a
model type.

    (a) * * *
    (2) * * *
    (iii) All subconfigurations within the new base level are
represented by test data in accordance with Sec.  600.010(c)(1)(iii).
* * * * *
0
85. Section 600.210-12 is amended by revising paragraph (c)(2)(iv)(C)
to read as follows:

Sec.  600.210-12  Calculation of fuel economy and CO2
emission values for labeling.

* * * * *
    (c) * * *
    (2) * * *
    (iv) * * *
    (C) Calculate a composite city CO2 emission rate and a
composite highway CO2 emission rate by combining the
separate results for battery and engine operation using the procedures
described in Sec.  600.116. Use these values to calculate the vehicle's
combined CO2 emissions as described in paragraph (c)(2)(i)
of this section.
* * * * *

Subpart F--Procedures for Determining Manufacturer's Average Fuel
Economy and Manufacturer's Average Carbon-Related Exhaust Emissions

0
86. Section 600.510-12 is amended by revising paragraph (h) to read as
follows:

Sec.  600.510-12  Calculation of average fuel economy and average
carbon-related exhaust emissions.

* * * * *
    (h) The increase in average fuel economy determined in paragraph
(c) of this section attributable to dual fueled automobiles is subject
to a maximum value that applies separately to each category of
automobile specified in paragraph (a)(1) of this section. The increase
in average fuel economy attributable to vehicles fueled by electricity
or, for model years 2016 and later, by compressed natural gas, is not
subject to a maximum value. The following maximum values apply under
this paragraph (h):

------------------------------------------------------------------------
                                                               Maximum
                         Model year                            increase
                                                                (mpg)
------------------------------------------------------------------------
1993-2014..................................................          1.2
2015.......................................................          1.0
2016.......................................................          0.8
2017.......................................................          0.6
2018.......................................................          0.4
2019.......................................................          0.2
2020 and later.............................................          0.0
------------------------------------------------------------------------

    (1) The Administrator shall calculate the increase in average fuel
economy to determine if the maximum increase provided in this paragraph
(h) has been reached. The Administrator shall calculate the increase in
average fuel economy for each category of automobiles specified in
paragraph (a)(1) of this section by subtracting the average fuel
economy values calculated in accordance with this section, assuming all
alcohol dual fuel automobiles are operated exclusively on

gasoline (or diesel fuel), from the average fuel economy values
determined in paragraph (c) of this section. The difference is limited
to the maximum increase specified in this paragraph (h).
    (2) [Reserved]
* * * * *

PART 1033--CONTROL OF EMISSIONS FROM LOCOMOTIVES

0
87. The authority citation for part 1033 continues to read as follows:

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

Subpart A--Overview and Applicability

0
88. Section 1033.1 is amended by revising paragraph (e) to read as
follows:

Sec.  1033.1  Applicability.

* * * * *
    (e) The provisions of this part apply as specified for locomotives
manufactured or remanufactured on or after July 7, 2008. See Sec.
1033.102 to determine whether the standards of this part or the
standards specified in Appendix I of this part apply for model years
2008 through 2012. For example, for a locomotive that was originally
manufactured in 2007 and remanufactured on April 10, 2014, the
provisions of this part begin to apply on April 10, 2014.
0
89. Section 1033.30 is revised to read as follows:

Sec.  1033.30  Submission of information.

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

Subpart B--Emission Standards and Related Requirements

0
90. Section 1033.101 is amended by revising paragraphs (f)(1)(ii) and
(f)(2)(i) and (iii) to read as follows:

Sec.  1033.101  Exhaust emission standards.

* * * * *
    (f) * * *
    (1) * * *
    (ii) Gaseous-fueled locomotives: NMHC emissions. This includes
dual-fuel and flexible-fuel locomotives that use a combination of a
gaseous fuel and a nongaseous fuel.
* * * * *
    (2) * * *
    (i) Certify your Tier 4 and later diesel-fueled locomotives for
operation with only Ultra Low Sulfur Diesel (ULSD) fuel. Use ULSD as
the test fuel for these locomotives. You may alternatively certify Tier
4 and later locomotives using Low Sulfur Diesel Fuel (LSD).
* * * * *
    (iii) Certify your Tier 3 and earlier diesel-fueled locomotives for
operation with either ULSD fuel or LSD fuel if they do not include
sulfur-sensitive technology or if you demonstrate compliance using an
LSD test fuel (including commercial LSD fuel).
* * * * *
0
91. Section 1033.102 is revised to read as follows:

Sec.  1033.102  Transition to the standards specified in this subpart.

    (a) Except as specified in Sec.  1033.150(a), the Tier 0 and Tier 1
standards of Sec.  1033.101 apply for new locomotives beginning January
1, 2010, except as specified in Sec.  1033.150(a). The Tier 0 and Tier
1 standards specified in Appendix I of this part apply for earlier
model years.
    (b) Except as specified in Sec.  1033.150(a), the Tier 2 standards
of Sec.  1033.101 apply for new locomotives beginning January 1, 2013.
The Tier 2 standards specified in Appendix I of this part apply for
earlier model years.
    (c) The Tier 3 and Tier 4 standards of Sec.  1033.101 apply for the
model years specified in that section.
0
92. Section 1033.120 is amended by revising paragraph (b) to read as
follows:

Sec.  1033.120  Emission-related warranty requirements.

* * * * *
    (b) Warranty period. Except as specified in this paragraph, the
minimum warranty period is one-third of the useful life. Your emission-
related warranty must be valid for at least as long as the minimum
warranty periods listed in this paragraph (b) in MW-hrs of operation
(or miles for Tier 0 locomotives not equipped with MW-hr meters) and
years, whichever comes first. You may offer an emission-related
warranty more generous than we require. The emission-related warranty
for the locomotive may not be shorter than any basic mechanical
warranty you provide without charge for the locomotive. Similarly, the
emission-related warranty for any component may not be shorter than any
warranty you provide without charge for that component. This means that
your warranty may not treat emission-related and nonemission-related
defects differently for any component. If you provide an extended
warranty to individual owners for any components covered in paragraph
(c) of this section for an additional charge, your emission-related
warranty must cover those components for those owners to the same
degree. If the locomotive does not record MW-hrs, we base the warranty
periods in this paragraph (b) only on years. The warranty period begins
when the locomotive is placed into service, or back into service after
remanufacture.
* * * * *
0
93. Section 1033.1135 is amended by revising paragraph (b)(3) to read
as follows:

Sec.  1033.135  Labeling.

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

Subpart C--Certifying Engine Families

0
94. Section 1033.201 is amended by revising paragraphs (a) and (g) to
read as follows:

Sec.  1033.201  General requirements for obtaining a certificate of
conformity.

* * * * *
    (a) You must send us a separate application for a certificate of
conformity for each engine family. A certificate of conformity is valid
for new production from the indicated effective date, until the end of
the model year for which it is issued, which may not extend beyond
December 31 of that year. No certificate will be issued after December
31 of the model year. You may amend your application for certification
after the end of the model year in certain circumstances as described
in Sec. Sec.  1033.220 and 1033.225. You must renew your certification
annually for any locomotives you continue to produce.
* * * * *
    (g) We may require you to deliver your test locomotives (including
test engines, as applicable) to a facility we designate for our testing
(see Sec.  1033.235(c)). Alternatively, you may choose to deliver
another engine/locomotive that is identical in all material respects to
the test locomotive, or another engine/locomotive that we determine can
appropriately serve as an emission-data locomotive for the engine
family.
* * * * *
0
95. Section 1033.225 is amended by revising the introductory text and

adding paragraph (b)(4) to read as follows:

Sec.  1033.225  Amending applications for certification.

    Before we issue you a certificate of conformity, you may amend your
application to include new or modified locomotive configurations,
subject to the provisions of this section. After we have issued your
certificate of conformity, but before the end of the model year, you
may send us an amended application requesting that we include new or
modified locomotive configurations within the scope of the certificate,
subject to the provisions of this section. Before the end of the model
year, you must also amend your application if any changes occur with
respect to any information that is included or should be included in
your application. For example, you must amend your application if you
determine that your actual production variation for an adjustable
parameter exceeds the tolerances specified in your application. After
the end of the model year, you may amend your application only to
update maintenance instructions as described in Sec.  1033.220 or to
modify an FEL as described in paragraph (f) of this section.
* * * * *
    (b) * * *
    (4) Include any other information needed to make your application
correct and complete.
* * * * *
0
96. Section 1033.235 is amended by revising paragraphs (b), (c)(4), and
(d)(1) to read as follows:

Sec.  1033.235  Emission testing required for certification.

* * * * *
    (b) Test your emission-data locomotives using the procedures and
equipment specified in subpart F of this part. In the case of dual-fuel
locomotives, measure emissions when operating with each type of fuel
for which you intend to certify the locomotive. In the case of
flexible-fuel locomotives, measure emissions when operating with the
fuel mixture that best represents in-use operation or is most likely to
have the highest NOX emissions, though you may ask us
instead to perform tests with both fuels separately if you can show
that intermediate mixtures are not likely to occur in use.
    (c) * * *
    (4) Before we test one of your locomotives, we may calibrate it
within normal production tolerances for anything we do not consider an
adjustable parameter. For example, this would apply for a parameter
that is subject to production variability because it is adjustable
during production, but is not considered an adjustable parameter (as
defined in Sec.  1033.901) because it is permanently sealed.
    (d) * * *
    (1) The engine family from the previous model year differs from the
current engine family only with respect to model year, items identified
in Sec.  1033.225(a), or other factors not related to emissions. We may
waive this criterion for differences we determine not to be relevant.
* * * * *
0
97. Section 1033.245 is amended by revising the introductory text and
paragraph (b) introductory text and adding paragraphs (b)(3) through
(5) to read as follows:

Sec.  1033.245  Deterioration factors.

    Establish deterioration factors for each pollutant to determine
whether your locomotives will meet emission standards for each
pollutant throughout the useful life, as described in Sec.  1033.240.
Determine deterioration factors as described in this section, either
with an engineering analysis, with pre-existing test data, or with new
emission measurements. The deterioration factors are intended to
reflect the deterioration expected to result during the useful life of
a locomotive maintained as specified in Sec.  1033.125. If you perform
durability testing, the maintenance that you may perform on your
emission-data locomotive is limited to the maintenance described in
Sec.  1033.125. You may carry across a deterioration factor from one
engine family to another consistent with good engineering judgment.
* * * * *
    (b) Apply deterioration factors as follows:
* * * * *
    (3) Sawtooth deterioration patterns. The deterioration factors
described in paragraphs (b)(1) and (2) of this section assume that the
highest useful life emissions occur either at the end of useful life or
at the low-hour test point. The provisions of this paragraph (b)(3)
apply where good engineering judgment indicates that the highest
emissions over the useful life will occur between these two points. For
example, emissions may increase with service accumulation until a
certain maintenance step is performed, then return to the low-hour
emission levels and begin increasing again. Base deterioration factors
for locomotives with such emission patterns on the difference between
(or ratio of) the point of the sawtooth at which the highest emissions
occur and the low-hour test point. Note that this applies for
maintenance-related deterioration only where we allow such critical
emission-related maintenance.
    (4) Dual-fuel and flexible-fuel engines. In the case of dual-fuel
and flexible-fuel locomotives, apply deterioration factors separately
for each fuel type by measuring emissions with each fuel type at each
test point. You may accumulate service hours on a single emission-data
engine using the type of fuel or the fuel mixture expected to have the
highest combustion and exhaust temperatures; you may ask us to approve
a different fuel mixture if you demonstrate that a different criterion
is more appropriate.
    (5) Deterioration factor for crankcase emissions. If your engine
vents crankcase emissions to the exhaust or to the atmosphere, you must
account for crankcase emission deterioration, using good engineering
judgment. You may use separate deterioration factors for crankcase
emissions of each pollutant (either multiplicative or additive) or
include the effects in combined deterioration factors that include
exhaust and crankcase emissions together for each pollutant.
* * * * *
0
98. Section 1033.250 is amended by revising paragraphs (b)(3)(iv) and
(c) to read as follows:

Sec.  1033.250  Reporting and recordkeeping.

* * * * *
    (b) * * *
    (3) * * *
    (iv) All your emission tests (valid and invalid), including the
date and purpose of each test and documentation of test parameters as
specified in part 40 CFR part 1065, and the date and purpose of each
test.
* * * * *
    (c) Keep required data from emission tests and all other
information specified in this section for eight years after we issue
your certificate. If you use the same emission data or other
information for a later model year, the eight-year period restarts with
each year that you continue to rely on the information.
* * * * *
0
99. Section 1033.255 is amended by revising paragraphs (c)(2), (c)(4),
(d), and (e) to read as follows:

Sec.  1033.255  EPA decisions.

* * * * *
    (c) * * *
    (2) Submit false or incomplete information (paragraph (e) of this
section applies if this is fraudulent).

This includes doing anything after submission of your application to
render any of the submitted information false or incomplete.
* * * * *
    (4) Deny us from completing authorized activities (see 40 CFR
1068.20). This includes a failure to provide reasonable assistance.
* * * * *
    (d) We may void the certificate of conformity for an engine family
if you fail to keep records, send reports, or give us information as
required under this part or the Act. Note that these are also
violations of 40 CFR 1068.101(a)(2).
    (e) We may void your certificate if we find that you intentionally
submitted false or incomplete information. This includes rendering
submitted information false or incomplete after submission.
* * * * *

Subpart F--Test Procedures

0
100. Section 1033.501 is amended by revising paragraph (a)(3) and
adding paragraphs (a)(4), (a)(5), and (j) to read as follows:

Sec.  1033.501  General provisions.

    (a) * * *
    (3) The following provisions apply for engine mapping, duty cycle
generation, and cycle validation to account for the fact that
locomotive operation and locomotive duty cycles are based on operator
demand from locomotive notch settings, not on target values for engine
speed and load:
    (i) The provisions related to engine mapping, duty cycle
generation, and cycle validation in 40 CFR 1065.510, 1065.512, and
1065.514 do not apply for testing complete locomotives.
    (ii) The provisions related to engine mapping and duty cycle
generation in 40 CFR 1065.510 and 1065.512 are not required for testing
with an engine dynamometer; however, the cycle validation criteria of
40 CFR 1065.514 apply for such testing. Demonstrate compliance with
cycle validation criteria based on manufacturer-declared values for
maximum torque, maximum power, and maximum test speed, or determine
these values from an engine map generated according to 40 CFR 1065.510.
If you test using a ramped-modal cycle, you may perform cycle
validation over all the test intervals together.
    (4) If you perform discrete-mode testing and use only one batch
fuel measurement to determine your mean raw exhaust flow rate, you must
target a constant sample flow rate over the mode. Verify proportional
sampling as described in 40 CFR 1065.545 using the mean raw exhaust
molar flow rate paired with each recorded sample flow rate.
    (5) If you perform discrete-mode testing by grouping the modes in
the same manner as the test intervals of the ramped modal cycle using
three different dilution settings for the groups, as allowed in Sec.
1033.515(c)(5)(ii), you may verify proportional sampling over each
phase instead of each discrete mode.
* * * * *
    (j) The following provisions apply for locomotives using
aftertreatment technology with infrequent regeneration events that may
occur during testing:
    (1) Adjust measured emissions to account for aftertreatment
technology with infrequent regeneration as described in Sec.  1033.535.
    (2) Invalidate a smoke test if active regeneration starts to occur
during the test.
0
101. Section 1033.515 is amended by revising paragraphs (c)(2)(ii) and
(c)(5)(ii) to read as follows:

Sec.  1033.515  Discrete-mode steady-state emission tests of
locomotives and locomotive engines.

* * * * *
    (c) * * *
    (2) * * *
    (ii) The sample period is 300 seconds for all test modes except
mode 8. The sample period for test mode 8 is 600 seconds.
* * * * *
    (5) * * *
    (ii) Group the modes in the same manner as the test intervals of
the ramped modal cycle and use three different dilution settings for
the groups. Use one setting for both idle modes, one for dynamic brake
through Notch 5, and one for Notch 6 through Notch 8. For each group,
ensure that the mode with the highest exhaust flow (typically normal
idle, Notch 5, and Notch 8) meets the criteria for minimum dilution
ratio in 40 CFR part 1065.
* * * * *
0
102. Section 1033.520 is revised to read as follows:

Sec.  1033.520  Alternative ramped modal cycles.

    (a) Locomotive testing over a ramped modal cycle is intended to
improve measurement accuracy at low emission levels by allowing the use
of batch sampling of PM and gaseous emissions over multiple locomotive
notch settings. Ramped modal cycles combine multiple test modes of a
discrete-mode steady-state into a single sample period. Time in notch
is varied to be proportional to weighting factors. The ramped modal
cycle for line-haul locomotives is shown in Table 1 to this section.
The ramped modal cycle for switch locomotives is shown in Table 2 to
this section. Both ramped modal cycles consist of a warm-up followed by
three test intervals that are each weighted in a manner that maintains
the duty cycle weighting of the line-haul and switch locomotive duty
cycles in Sec.  1033.530. You may use ramped modal cycle testing for
any locomotives certified under this part.
    (b) Ramped modal testing requires continuous gaseous analyzers and
three separate PM filters (one for each test interval). You may collect
a single batch sample for each test interval, but you must also measure
gaseous emissions continuously to allow calculation of notch caps as
required under Sec.  1033.101.
    (c) You may operate the engine in any way you choose to warm it up.
Then follow the provisions of 40 CFR part 1065, subpart F for general
pre-test procedures (including engine and sampling system pre-
conditioning).
    (d) Begin the test by operating the locomotive over the pre-test
portion of the cycle. For locomotives not equipped with catalysts, you
may begin the test as soon as the engine reaches its lowest idle
setting. For catalyst-equipped locomotives, you may begin the test in
normal idle mode if the engine does not reach its lowest idle setting
within 15 minutes. If you do start in normal idle, run the low idle
mode after normal idle, then resume the specified mode sequence
(without repeating the normal idle mode).
    (e) Start the test according to 40 CFR 1065.530.
    (1) Each test interval begins when operator demand is set to the
first operator demand setting of each test interval of the ramped modal
cycle. Each test interval ends when the time in mode is reached for the
last mode in the test interval.
    (2) For PM emissions (and other batch sampling), the sample period
over which emissions for the test interval are averaged generally
begins within 10 seconds after the operator demand is changed to start
the test interval and ends within 5 seconds of the sampling time for
the test mode is reached (see Table 1 to this section). You may ask to
delay the start of the sample period to account for sample system
residence times longer than 10 seconds.
    (3) Use good engineering judgment when transitioning between test
intervals.
    (i) You should come as close as possible to simultaneously:

    (A) Ending batch sampling of the previous test interval.
    (B) Starting batch sampling of the next test interval.
    (C) Changing the operator demand to the notch setting for the first
mode in the next test interval.
    (ii) Avoid the following:
    (A) Overlapping batch sampling of the two test intervals.
    (B) An unnecessarily long delay before starting the next test
interval.
    (iii) For example, the following sequence would generally be
appropriate:
    (A) End batch sampling for Interval 2 after 304 seconds in Notch 5.
    (B) Switch the operator demand to Notch 6 one second later.
    (C) Begin batch sampling for Interval 3 one second after switching
to Notch 6.
    (4) If applicable, begin the smoke test at the start of the first
test test interval of the applicable ramped modal cycle. Continue
collecting smoke data until the completion of final test interval.
Refer to Sec.  1033.101 to determine applicability of the smoke
standards and Sec.  1033.525 for details on how to conduct a smoke
test.
    (5) Proceed through each test interval of the applicable ramped
modal cycle in the order specified until the test is completed.
    (6) If you must void a test interval, you may repeat it. To do so,
begin with a warm engine operating at the notch setting for the last
mode in the previous test interval. You do not need to repeat later
test intervals if they were valid. (Note: you must report test results
for all voided tests and test test intervals.)
    (7) Following the completion of the third test test interval of the
applicable ramped modal cycle, conduct the post-test sampling
procedures specified in 40 CFR 1065.530.
    (f) Calculate your cycle-weighted brake-specific emission rates as
follows:
    (1) For each test interval j:
    (i) Calculate emission rates (Eij) for each pollutant i
as the total mass emissions divided by the total time in the test
interval.
    (ii) Calculate average power (Pj) as the total work
divided by the total time in the test interval.
    (2) For each pollutant, calculate your cycle-weighted brake-
specific emission rate using the following equation, where
wj is the weighting factor for test interval j:
[GRAPHIC] [TIFF OMITTED] TP13JY15.028

    (g) The following tables define applicable ramped modal cycles for
line-haul and switch locomotives:

                                           Table 1 to Sec.   1033.520--Line-Haul Locomotive Ramped Modal Cycle
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                Time in mode
              RMC test interval                Weighting factor       RMC mode          (seconds)                        Notch setting
--------------------------------------------------------------------------------------------------------------------------------------------------------
Pre-test idle...............................                 NA                 NA         600 to 900  Lowest idle setting.\1\
Interval 1 (Idle test)......................              0.380                  A                600  Low Idle.\2\
                                                                                B                600  Normal Idle.
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                   Interval Transition
--------------------------------------------------------------------------------------------------------------------------------------------------------
Interval 2..................................              0.389                  C              1,000  Dynamic Brake.\3\
                                                                                1                520  Notch 1.
                                                                                2                520  Notch 2.
                                                                                3                416  Notch 3.
                                                                                4                352  Notch 4.
                                                                                5                304  Notch 5.
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                   Interval Transition
--------------------------------------------------------------------------------------------------------------------------------------------------------
Interval 3..................................              0.231                  6                144  Notch 6.
                                                                                7                111  Notch 7.
                                                                                8                600  Notch 8.
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ See paragraph (d) of this section for alternate pre-test provisions.
\2\ Operate at normal idle for modes A and B if not equipped with multiple idle settings.
\3\ Operate at normal idle if not equipped with a dynamic brake.

                                            Table 2 to Sec.   1033.520--Switch Locomotive Ramped Modal Cycle
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                Time in mode
              RMC test interval                Weighting factor       RMC mode          (seconds)                        Notch setting
--------------------------------------------------------------------------------------------------------------------------------------------------------
Pre-test idle...............................                 NA                 NA         600 to 900  Lowest idle setting.\1\
Interval 1 (Idle test)......................              0.598                  A                600  Low Idle.\2\
                                                                                B                600  Normal Idle.
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                   Interval Transition
--------------------------------------------------------------------------------------------------------------------------------------------------------
Interval 2..................................              0.377                  1                868  Notch 1.
                                                                                2                861  Notch 2.
                                                                                3                406  Notch 3.
                                                                                4                252  Notch 4.
                                                                                5                252  Notch 5.
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                   Interval Transition
--------------------------------------------------------------------------------------------------------------------------------------------------------
Interval 3..................................              0.025                  6              1,080  Notch 6.
                                                                                7                144  Notch 7.

                                                                                8                576  Notch 8.
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ See paragraph (d) of this section for alternate pre-test provisions.
\2\ Operate at normal idle for modes A and B if not equipped with multiple idle settings.

0
103. Section 1033.535 is revised to read as follows:

Sec.  1033.535  Adjusting emission levels to account for infrequently
regenerating aftertreatment devices.

    For locomotives using aftertreatment technology with infrequent
regeneration events that may occur during testing, take one of the
following approaches to account for the emission impact of
regeneration:
    (a) You may use the calculation methodology described in 40 CFR
1065.680 to adjust measured emission results. Do this by developing an
upward adjustment factor and a downward adjustment factor for each
pollutant based on measured emission data and observed regeneration
frequency as follows:
    (1) Adjustment factors should generally apply to an entire engine
family, but you may develop separate adjustment factors for different
configurations within an engine family. Use the adjustment factors from
this section for all testing for the engine family.
    (2) You may use carryover or carry-across data to establish
adjustment factors for an engine family as described in Sec.  1033.235,
consistent with good engineering judgment.
    (3) Determine the frequency of regeneration, F, as described in 40
CFR 1065.680 from in-use operating data or from running repetitive
tests in a laboratory. If the engine is designed for regeneration at
fixed time intervals, you may apply good engineering judgment to
determine F based on those design parameters.
    (4) Identify the value of F in each application for the
certification for which it applies.
    (5) Apply the provisions for ramped-modal testing based on
measurements for each test interval rather than the whole ramped-modal
test.
    (b) You may ask us to approve an alternate methodology to account
for regeneration events. We will generally limit approval to cases
where your engines use aftertreatment technology with extremely
infrequent regeneration and you are unable to apply the provisions of
this section.
    (c) You may choose to make no adjustments to measured emission
results if you determine that regeneration does not significantly
affect emission levels for an engine family (or configuration) or if it
is not practical to identify when regeneration occurs. If you choose
not to make adjustments under paragraph (a) or (b) of this section,
your locomotives must meet emission standards for all testing, without
regard to regeneration.

Subpart G--Special Compliance Provisions

0
104. Section 1033.601 is amended by adding paragraph (f) to read as
follows:

Sec.  1033.601  General compliance provisions.

* * * * *
    (f) Multi-fuel locomotives. Subpart C of this part describes how to
test and certify dual-fuel and flexible-fuel locomotives. Some multi-
fuel locomotives may not fit either of those defined terms. For such
locomotives, we will determine whether it is most appropriate to treat
them as single-fuel locomotives, dual-fuel locomotives, or flexible-
fuel locomotives based on the range of possible and expected fuel
mixtures. For example, a locomotive might burn natural gas but initiate
combustion with a pilot injection of diesel fuel. If the locomotive is
designed to operate with a single fueling algorithm (i.e., fueling
rates are fixed at a given engine speed and load condition), we would
generally treat it as a single-fuel locomotive, In this context, the
combination of diesel fuel and natural gas would be its own fuel type.
If the locomotive is designed to also operate on diesel fuel alone, we
would generally treat it as a dual-fueled locomotive. If the locomotive
is designed to operate on varying mixtures of the two fuels, we would
generally treat it as a flexible-fueled locomotive. To the extent that
requirements vary for the different fuels or fuel mixtures, we may
apply the more stringent requirements.

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

0
105. Section 1033.701 is amended by adding paragraph (k) to read as
follows:

Sec.  1033.701  General provisions.

* * * * *
    (k) You may use either of the following approaches to retire or
forego emission credits:
    (1) You may retire emission credits generated from any number of
your locomotives. This may be considered donating emission credits to
the environment. Identify any such credits in the reports described in
Sec.  1033.730. Locomotives must comply with the applicable FELs even
if you donate or sell the corresponding emission credits under this
paragraph (e). Those credits may no longer be used by anyone to
demonstrate compliance with any EPA emission standards.
    (2) You may certify a family using an FEL below the emission
standard as described in this part and choose not to generate emission
credits for that family. If you do this, you do not need to calculate
emission credits for those families and you do not need to submit or
keep the associated records described in this subpart for that family.
0
106. Section 1033.710 is amended by revising paragraph (c) to read as
follows:

Sec.  1033.710  Averaging emission credits.

* * * * *
    (c) If you certify an engine family to an FEL that exceeds the
otherwise applicable emission standard, you must obtain enough emission
credits to offset the engine family's deficit by the due date for the
final report required in Sec.  1033.730. The emission credits used to
address the deficit may come from your other engine families that
generate emission credits in the same model year, from emission credits
you have banked from previous model years, or from emission credits
generated in the same or previous model years that you obtained through
trading or by transfer.
0
107. Section 1033.725 is amended by revising paragraph (b)(2) to read
as follows:

Sec.  1033.725  Requirements for your application for certification.

* * * * *
    (b) * * *
    (2) Detailed calculations of projected emission credits (positive
or negative) based on projected production volumes. We may require you
to include similar calculations from your other engine families to
demonstrate that you will be able to avoid negative credit balances

for the model year. If you project negative emission credits for a
family, state the source of positive emission credits you expect to use
to offset the negative emission credits.
0
108. Section 1033.730 is amended by revising paragraphs (b)(1), (b)(4),
and (c)(2) to read as follows:

Sec.  1033.730  ABT reports.

* * * * *
    (b) * * *
    (1) Engine family designation and averaging sets (whether switch,
line-haul, or both).
* * * * *
    (4) The projected and actual U.S.-directed production volumes for
the model year as described in Sec.  1033.705. If you changed an FEL
during the model year, identify the actual U.S.-directed production
volume associated with each FEL.
* * * * *
    (c) * * *
    (2) State whether you will retain any emission credits for banking.
If you choose to retire emission credits that would otherwise be
eligible for banking, identify the engine families that generated the
emission credits, including the number of emission credits from each
family.
* * * * *
0
109. Section 1033.735 is amended by revising paragraphs (a) and (b) to
read as follows:

Sec.  1033.735  Required records.

    (a) You must organize and maintain your records as described in
this section.
    (b) Keep the records required by this section for at least eight
years after the due date for the end-of-year report. You may not use
emission credits for any engines if you do not keep all the records
required under this section. You must therefore keep these records to
continue to bank valid credits.
* * * * *

Subpart I--Requirements for Owners and Operators

0
110. Section 1033.815 is amended by revising paragraphs (b) and (e)
introductory text to read as follows:

Sec.  1033.815  Maintenance, operation, and repair.

* * * * *
    (b) Perform unscheduled maintenance in a timely manner. This
includes malfunctions identified through the locomotive's emission
control diagnostics system and malfunctions discovered in components of
the diagnostics system itself. For most repairs, this paragraph (b)
requires that the maintenance be performed no later than the
locomotive's next periodic (92-day or 184-day) inspection. See
paragraph (e) of this section, for reductant replenishment requirements
in a locomotive equipped with an SCR system.
* * * * *
    (e) For locomotives equipped with emission controls requiring the
use of specific fuels, lubricants, or other fluids, proper maintenance
includes complying with the manufacturer/remanufacturer's
specifications for such fluids when operating the locomotives. This
requirement applies without regard to whether misfueling permanently
disables the emission controls. For locomotives certified on ultra-low
sulfur diesel fuel, but that do not include sulfur-sensitive emission
controls, you may use low-sulfur diesel fuel instead of ultra-low
sulfur diesel fuel, consistent with good engineering judgment. The
following additional provisions apply for locomotives equipped with SCR
systems requiring the use of urea or other reductants:
* * * * *

Subpart J--Definitions and Other Reference Information

0
111. Section 1033.901 is amended as follows:
0
a. By revising the definition for ``Designated Compliance Officer''.
0
b. By adding definitions for ``Dual-fuel'' and ``Flexible-fuel''.
0
c. By revising the definitions for ``Remanufacture system or
remanufacturing system'' and ``Total hydrocarbon equivalent''.
    The revisions and addition read as follows:

Sec.  1033.901  Definitions.

* * * * *
    Designated Compliance Officer means the Director, Diesel Engine
Compliance Center, U.S. Environmental Protection Agency, 2000
Traverwood Drive, Ann Arbor, MI 48105<EMAIL_ADDRESS>epa.gov/otaq/verify.
* * * * *
    Dual-fuel means relating to a locomotive designed for operation on
two different fuels but not on a continuous mixture of those fuels (see
Sec.  1033.601(f)). For purposes of this part, such a locomotive
remains a dual-fuel locomotive even if it is designed for operation on
three or more different fuels.
* * * * *
    Flexible-fuel means relating to a locomotive designed for operation
on any mixture of two or more different fuels (see Sec.  1033.601(f)).
* * * * *
    Remanufacture system or remanufacturing system means all components
(or specifications for components) and instructions necessary to
remanufacture a locomotive or locomotive engine in accordance with
applicable requirements of this part.
* * * * *
    Total hydrocarbon equivalent has the meaning given in 40 CFR
1065.1001. This generally means the sum of the carbon mass
contributions of non-oxygenated hydrocarbon, alcohols and aldehydes, or
other organic compounds that are measured separately as contained in a
gas sample, expressed as exhaust hydrocarbon from petroleum-fueled
locomotives. The atomic hydrogen-to-carbon ratio of the equivalent
hydrocarbon is 1.85:1.
* * * * *
0
112. Section 1033.915 is revised to read as follows:

Sec.  1033.915  Confidential information.

    The provisions of 40 CFR 1068.10 apply for information you consider
confidential.
0
113. Section 1033.925 is revised to read as follows:

Sec.  1033.925  Reporting and recordkeeping requirements.

    (a) This part includes various requirements to submit and record
data or other information. Unless we specify otherwise, store required
records in any format and on any media and keep them readily available
for eight years after you send an associated application for
certification, or eight years after you generate the data if they do
not support an application for certification. You are expected to keep
your own copy of required records rather than relying on someone else
to keep records on your behalf. We may review these records at any
time. You must promptly send us organized, written records in English
if we ask for them. We may require you to submit written records in an
electronic format.
    (b) The regulations in Sec.  1033.255, 40 CFR 1068.25, and 40 CFR
1068.101 describe your obligation to report truthful and complete
information. This includes information not related to certification.
Failing to properly report information and keep the records we specify
violates 40 CFR 1068.101(a)(2), which may involve civil or criminal
penalties.
    (c) Send all reports and requests for approval to the Designated
Compliance Officer (see Sec.  1033.801).

    (d) Any written information we require you to send to or receive
from another company is deemed to be a required record under this
section. Such records are also deemed to be submissions to EPA. We may
require you to send us these records whether or not you are a
certificate holder.
    (e) Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), the
Office of Management and Budget approves the reporting and
recordkeeping specified in the applicable regulations. Failing to
properly report information and keep the records we specify violates 40
CFR 1068.101(a)(2), which may involve civil or criminal penalties. The
following items illustrate the kind of reporting and recordkeeping we
require for locomotives regulated under this part:
    (1) We specify the following requirements related to locomotive
certification in this part 1033:
    (i) In Sec.  1033.150 we state the requirements for interim
provisions.
    (ii) In subpart C of this part we identify a wide range of
information required to certify engines.
    (iii) In Sec.  1033.325 we specify certain records related to
production-line testing.
    (iv) In subpart G of this part we identify several reporting and
recordkeeping items for making demonstrations and getting approval
related to various special compliance provisions.
    (v) In Sec. Sec.  1033.725, 1033.730, and 1033.735 we specify
certain records related to averaging, banking, and trading.
    (vi) In subpart I of this part we specify certain records related
to meeting requirements for remanufactured engines.
    (2) We specify the following requirements related to testing in 40
CFR part 1065:
    (i) In 40 CFR 1065.2 we give an overview of principles for
reporting information.
    (ii) In 40 CFR 1065.10 and 1065.12 we specify information needs for
establishing various changes to published test procedures.
    (iii) In 40 CFR 1065.25 we establish basic guidelines for storing
test information.
    (iv) In 40 CFR 1065.695 we identify the specific information and
data items to record when measuring emissions.
    (3) We specify the following requirements related to the general
compliance provisions in 40 CFR part 1068:
    (i) In 40 CFR 1068.5 we establish a process for evaluating good
engineering judgment related to testing and certification.
    (ii) In 40 CFR 1068.25 we describe general provisions related to
sending and keeping information.
    (iii) In 40 CFR 1068.27 we require manufacturers to make
locomotives available for our testing or inspection if we make such a
request.
    (iv) In 40 CFR part 1068, subpart C, we identify several reporting
and recordkeeping items for making demonstrations and getting approval
related to various exemptions.
    (v) In 40 CFR part 1068, subpart D, we identify several reporting
and recordkeeping items for making demonstrations and getting approval
related to importing locomotives and engines.
    (vi) In 40 CFR 1068.450 and 1068.455 we specify certain records
related to testing production-line locomotives in a selective
enforcement audit.
    (vii) In 40 CFR 1068.501 we specify certain records related to
investigating and reporting emission-related defects.
    (viii) In 40 CFR 1068.525 and 1068.530 we specify certain records
related to recalling nonconforming locomotives.
0
114. Appendix I to part 1033 is added to read as follows:

Appendix I to Part 1033--Original Standards for Tier 0, Tier 1 and Tier
2 Locomotives

    (a) The following emission standards applied for new locomotives
not yet subject to this part 1033:

--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                Standards (g/bhp-hr)
             Type of standard                 Year of original                 Tier             --------------------------------------------------------
                                                 manufacture                                            NOX             PM-primary      PM-alternate \a\
--------------------------------------------------------------------------------------------------------------------------------------------------------
Line-haul.................................             1973-1992  Tier 0.......................                9.5               0.60               0.30
                                                       1993-2004  Tier 1.......................                7.4               0.45               0.22
                                                       2005-2011  Tier 2.......................                5.5               0.20               0.10
Switch....................................             1973-1992  Tier 0.......................               14.0               0.72               0.36
                                                       1993-2004  Tier 1.......................               11.0               0.54               0.27
                                                       2005-2011  Tier 2.......................                8.1               0.24               0.12
--------------------------------------------------------------------------------------------------------------------------------------------------------
\a\ Locomotives certified to the alternate PM standards are also subject to alternate CO standards of 10.0 for the line-haul cycle and 12.0 for the
  switch cycle.

    (b) The original Tier 0, Tier 1, and Tier 2 standards for HC and
CO emissions and smoke are the same standards identified in Sec.
1033.101.

0
115. Part 1036 is revised to read as follows:

PART 1036--CONTROL OF EMISSIONS FROM NEW AND IN-USE HEAVY-DUTY
HIGHWAY ENGINES

Subpart A--Overview and Applicability
Sec.
1036.1 Does this part apply for my engines?
1036.2 Who is responsible for compliance?
1036.5 Which engines are excluded from this part's requirements?
1036.10 How is this part organized?
1036.15 Do any other regulation parts apply to me?
1036.30 Submission of information.
Subpart B--Emission Standards and Related Requirements
1036.100 Overview of exhaust emission standards.
1036.108 Greenhouse gas emission standards.
1036.115 Other requirements.
1036.130 Installation instructions for vehicle manufacturers.
1036.135 Labeling.
1036.140 Primary intended service class and engine cycle.
1036.150 Interim provisions.
Subpart C--Certifying Engine Families
1036.205 What must I include in my application?
1036.210 Preliminary approval before certification.
1036.225 Amending my application for certification.
1036.230 Selecting engine families.
1036.235 Testing requirements for certification.
1036.241 Demonstrating compliance with greenhouse gas emission
standards.
1036.250 Reporting and recordkeeping for certification.
1036.255 What decisions may EPA make regarding my certificate of
conformity?
Subpart D--Testing Production Engines
1036.301 Measurements related to GEM inputs in a selective
enforcement audit.
Subpart E--In-use Testing
1036.401 In-use testing.

Subpart F--Test Procedures
1036.501 How do I run a valid emission test?
1036.525 Hybrid engines.
1036.530 Calculating greenhouse gas emission rates.
1036.535 Determining engine fuel maps and fuel consumption at idle.
Subpart G--Special Compliance Provisions
1036.601 What compliance provisions apply?
1036.610 Off-cycle technology credits and adjustments for reducing
greenhouse gas emissions.
1036.615 Engines with Rankine cycle waste heat recovery and hybrid
powertrains.
1036.620 Alternate CO2 standards based on model year 2011
compression-ignition engines.
1036.625 In-use compliance with family emission limits (FELs).
1036.630 Certification of engine GHG emissions for powertrain
testing.
Subpart H--Averaging, Banking, and Trading for Certification
1036.701 General provisions.
1036.705 Generating and calculating emission credits.
1036.710 Averaging.
1036.715 Banking.
1036.720 Trading.
1036.725 What must I include in my application for certification?
1036.730 ABT reports.
1036.735 Recordkeeping.
1036.740 Restrictions for using emission credits.
1036.745 End-of-year CO2 credit deficits.
1036.750 What can happen if I do not comply with the provisions of
this subpart?
1036.755 Information provided to the Department of Transportation.
Subpart I--Definitions and Other Reference Information
1036.801 Definitions.
1036.805 Symbols, abbreviations, and acronyms.
1036.810 Incorporation by reference.
1036.815 Confidential information.
1036.820 Requesting a hearing.
1036.825 Reporting and recordkeeping requirements.

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

Subpart A--Overview and Applicability

Sec.  1036.1  Does this part apply for my engines?

    (a) Except as specified in Sec.  1036.5, the provisions of this
part apply for engines that will be installed in heavy-duty vehicles
above 14,000 pounds GVWR for propulsion. These provisions also apply
for engines that will be installed in incomplete heavy-duty vehicles at
or below 14,000 pounds GVWR unless the engine is installed in a vehicle
that is covered by a certificate of conformity under 40 CFR part 86,
subpart S.
    (b) This part does not apply with respect to exhaust emission
standards for HC, CO, NOX, or PM except as follows:
    (1) The provisions of Sec.  1036.601 apply.
    (2) 40 CFR parts 85 and/or 86 may specify that certain provisions
apply.
    (c) The provisions of this part also apply for fuel conversions of
all engines described in paragraph (a) of this section as described in
40 CFR 85.502.
    (d) Gas turbine heavy-duty engines and other heavy-duty engines not
meeting the definition compression-ignition or spark-ignition are
deemed to be compression-ignition engines for purposes of this part.

Sec.  1036.2  Who is responsible for compliance?

    The regulations in this part 1036 contain provisions that affect
both engine manufacturers and others. However, the requirements of this
part are generally addressed to the engine manufacturer(s). The term
``you'' generally means the engine manufacturer(s), especially for
issues related to certification. Additional requirements and
prohibitions apply to other persons as specified in Sec.  1036.601 and
40 CFR part 1068.

Sec.  1036.5  Which engines are excluded from this part's requirements?

    (a) The provisions of this part do not apply to engines used in
medium-duty passenger vehicles or other heavy-duty vehicles that are
subject to regulation under 40 CFR part 86, subpart S, except as
specified in 40 CFR part 86, subpart S, and Sec.  1036.108(a)(4). For
example, this exclusion applies for engines used in vehicles certified
to the standards of 40 CFR 86.1819.
    (b) An engine installed in a heavy-duty vehicle that is not used to
propel the vehicle is not a heavy-duty engine. The provisions of this
part therefore do not apply to these engines. Note that engines used to
indirectly propel the vehicle (such as electrical generator engines
that provide power to batteries for propulsion) are subject to this
part. See 40 CFR part 1039, 1048, or 1054 for other requirements that
apply for these auxiliary engines. See 40 CFR part 1037 for
requirements that may apply for vehicles using these engines, such as
the evaporative emission requirements of 40 CFR 1037.103.
    (c) The provisions of this part do not apply to aircraft or
aircraft engines. Standards apply separately to certain aircraft
engines, as described in 40 CFR part 87.
    (d) The provisions of this part do not apply to engines that are
not internal combustion engines. For example, the provisions of this
part do not apply to fuel cells.
    (e) The provisions of this part do not apply for model year 2013
and earlier heavy-duty engines unless they were voluntarily certified
to this part.

Sec.  1036.10  How is this part organized?

    This part 1036 is divided into the following subparts:
    (a) Subpart A of this part defines the applicability of this part
1036 and gives an overview of regulatory requirements.
    (b) Subpart B of this part describes the emission standards and
other requirements that must be met to certify engines under this part.
Note that Sec.  1036.150 describes certain interim requirements and
compliance provisions that apply only for a limited time.
    (c) Subpart C of this part describes how to apply for a certificate
of conformity.
    (d) [Reserved]
    (e) Subpart E of this part describes provisions for testing in-use
engines.
    (f) Subpart F of this part describes how to test your engines
(including references to other parts of the Code of Federal
Regulations).
    (g) Subpart G of this part describes requirements, prohibitions,
and other provisions that apply to engine manufacturers, vehicle
manufacturers, owners, operators, rebuilders, and all others.
    (h) Subpart H of this part describes how you may generate and use
emission credits to certify your engines.
    (i) Subpart I of this part contains definitions and other reference
information.

Sec.  1036.15  Do any other regulation parts apply to me?

    (a) Part 86 of this chapter describes additional requirements that
apply to engines that are subject to this part 1036. This part
extensively references portions of 40 CFR part 86. For example, the
regulations of part 86 specify emission standards and certification
procedures related to criteria pollutants.
    (b) Part 1037 of this chapter describes requirements for
controlling evaporative emissions and greenhouse gas emissions from
heavy-duty vehicles, whether or not they use engines certified under
this part. It also includes standards and requirements that apply
instead of the standards and requirements of this part in some cases.
    (c) Part 1065 of this chapter describes procedures and equipment
specifications for testing engines to measure exhaust emissions.
Subpart F of this part 1036 describes how to apply the provisions of
part 1065 of this chapter to determine whether engines meet the exhaust
emission standards in this part.

    (d) Certain provisions of part 1068 of this chapter apply as
specified in Sec.  1036.601 to everyone, including anyone who
manufactures, imports, installs, owns, operates, or rebuilds any of the
engines subject to this part 1036, or vehicles containing these
engines. Part 1068 of this chapter describes general provisions that
apply broadly, but do not necessarily apply for all engines or all
persons. See Sec.  1036.601 to determine how to apply the part 1068
regulations for heavy-duty engines. The issues addressed by these
provisions include these seven areas:
    (1) Prohibited acts and penalties for engine manufacturers, vehicle
manufacturers, and others.
    (2) Rebuilding and other aftermarket changes.
    (3) Exclusions and exemptions for certain engines.
    (4) Importing engines.
    (5) Selective enforcement audits of your production.
    (6) Recall.
    (7) Procedures for hearings.
    (e) Other parts of this chapter apply if referenced in this part.

Sec.  1036.30  Submission of information.

    Unless we specify otherwise, send all reports and requests for
approval to the Designated Compliance Officer (see Sec.  1036.801). See
Sec.  1036.825 for additional reporting and recordkeeping provisions.

Subpart B--Emission Standards and Related Requirements

Sec.  1036.100  Overview of exhaust emission standards.

    Engines used in vehicles certified to the applicable chassis
standards for greenhouse gases described in 40 CFR 86.1819 are not
subject to the standards specified in this part. All other engines
subject to this part must meet the greenhouse gas standards in Sec.
1036.108 in addition to the criteria pollutant standards of 40 CFR part
86.

Sec.  1036.108  Greenhouse gas emission standards.

    This section contains standards and other regulations applicable to
the emission of the air pollutant defined as the aggregate group of six
greenhouse gases: Carbon dioxide, nitrous oxide, methane,
hydrofluorocarbons, perfluorocarbons, and sulfur hexafluoride. This
section describes the applicable CO2, N2O, and
CH4 standards for engines. These standards do not apply for
engines used in vehicles subject to (or voluntarily certified to) the
CO2, N2O, and CH4 standards for
vehicles specified in 40 CFR 86.1819.
    (a) Emission standards. Emission standards apply for engines
measured using the test procedures specified in subpart F of this part
as follows:
    (1) CO2 emission standards apply as specified in this
paragraph (a)(1). The applicable test cycle for measuring
CO2 emissions differs depending on the engine family's
primary intended service class and the extent to which the engines will
be (or were designed to be) used in tractors. For medium and heavy
heavy-duty engines certified as tractor engines, measure CO2
emissions using the steady-state duty cycle specified in 40 CFR 86.1362
(referred to as the ramped-modal cycle, or RMC, even though emission
sampling involves measurements from discrete modes). This is intended
for engines designed to be used primarily in tractors and other line-
haul applications. Note that the use of some RMC-certified tractor
engines in vocational applications does not affect your certification
obligation under this paragraph (a)(1); see other provisions of this
part and 40 CFR part 1037 for limits on using engines certified to only
one cycle. For medium and heavy heavy-duty engines certified as both
tractor and vocational engines, measure CO2 emissions using
the steady-state duty cycle and the transient duty cycle (sometimes
referred to as the FTP engine cycle), both of which are specified in 40
CFR part 86, subpart N. This is intended for engines that are designed
for use in both tractor and vocational applications. For all other
engines (including all spark-ignition engines), measure CO2
emissions using the appropriate transient duty cycle specified in 40
CFR part 86, subpart N.
    (i) The CO2 standard for model year 2016 and later
spark-ignition engines is 627 g/hp-hr.
    (ii) The following CO2 standards apply for compression-
ignition engines, including engines that are deemed to be compression-
ignition engines under Sec.  1036.1 (in g/hp-hr):

----------------------------------------------------------------------------------------------------------------
                                                   Medium heavy-   Heavy heavy-
           Model years             Light heavy-       duty--          duty--       Medium heavy-   Heavy heavy-
                                       duty         vocational      vocational    duty-- tractor  duty-- tractor
----------------------------------------------------------------------------------------------------------------
2014-2016.......................             600             600             567             502             475
2017-2020.......................             576             576             555             487             460
2021-2023.......................             565             565             544             479             453
2024-2026.......................             556             556             536             469             443
2027 and later..................             553             553             533             466             441
----------------------------------------------------------------------------------------------------------------

    (2) The CH4 emission standard is 0.10 g/hp-hr when
measured over the applicable transient duty cycle specified in 40 CFR
part 86, subpart N. This standard begins in model year 2014 for
compression-ignition engines and in model year 2016 for spark-ignition
engines. Note that this standard applies for all fuel types just as the
other standards of this section do.
    (3) N2O emission standards applies as follows for
engines when measured over the appropriate transient duty cycle
specified in 40 CFR part 86, subpart N:
    (i) An emission standard of 0.05 g/hp-hr applies for model year
2021 and later engines.
    (ii) An emission standard of 0.10 g/hp-hr applies for compression-
ignition engines for model years 2014 through 2020.
    (iii) An emission standard of 0.10 g/hp-hr applies for spark-
ignition engines for model years 2016 through 2020.
    (b) Family certification levels. You must specify a CO2
Family Certification Level (FCL) for each engine family. The FCL may
not be less than the certified emission level for the engine family.
The CO2 Family Emission Limit (FEL) for the engine family is
equal to the FCL multiplied by 1.03.
    (c) Averaging, banking, and trading. You may generate or use
emission credits under the averaging, banking, and trading (ABT)
program described in subpart H of this part for demonstrating
compliance with CO2 emission standards. Credits (positive
and negative) are calculated from the difference between the FCL and
the applicable emission standard. As described in Sec.  1036.705, you
may use CO2 credits to certify your engine families to FELs
for N2O and/or CH4, instead of the
N2O/CH4 standards of this

section that otherwise apply. Except as specified in Sec. Sec.
1036.150 and 1036.705, you may not generate or use credits for
N2O or CH4 emissions.
    (d) Useful life. The exhaust emission standards of this section
apply for the full useful life, expressed in service miles, operating
hours, or calendar years, whichever comes first. The useful life values
applicable to the criteria pollutant standards of 40 CFR part 86 apply
for the standards of this section, except that model year 2021 and
later spark-ignition engines and light heavy-duty compression-ignition
engines are subject to the standards of this section over a useful life
of 15 years or 150,000 miles, whichever comes first.
    (e) Applicability for testing. The emission standards in this
subpart apply as specified in this paragraph (e) to all duty-cycle
testing (according to the applicable test cycles) of testable
configurations, including certification, selective enforcement audits,
and in-use testing. The CO2 FCLs serve as the CO2
emission standards for the engine family with respect to certification
and confirmatory testing instead of the standards specified in
paragraph (a)(1) of this section. The FELs serve as the emission
standards for the engine family with respect to all other duty-cycle
testing. See Sec. Sec.  1036.235 and 1036.241 to determine which engine
configurations within the engine family are subject to testing. Note
that fuel maps and powertrain test results also serve as standards as
described in Sec.  1036.535, Sec.  1036.630 and 40 CFR 1037.550.
    (f) Multi-fuel engines. For dual-fuel, multi-fuel, and flexible-
fuel engines, perform exhaust testing on each fuel type (for example,
gasoline and E85).
    (1) This paragraph (f)(1) applies where you demonstrate the
relative amount of each fuel type that your engines consume in actual
use. Based on your demonstration, we will specify a weighting factor
and allow you to submit the weighted average of your emission results.
For example, if you certify an E85 flexible-fuel engine and we
determine the engine will produce one-half of its work from E85 and
one-half of its work from gasoline, you may apply a 50% weighting
factor to each of your E85 and gasoline emission results.
    (2) If you certify your engine family to N2O and/or
CH4 FELs the FELs apply for testing on all fuel types for
which your engine is designed, to the same extent as criteria emission
standards apply.

Sec.  1036.115  Other requirements.

    (a) The warranty and maintenance requirements, adjustable parameter
provisions, and defeat device prohibition of 40 CFR part 86 apply with
respect to the standards of this part.
    (b) You must create a fuel map and establish idle-specific fuel-
consumption values for your engine as described in Sec.  1036.535. You
may alternatively perform powertrain testing as specified in Sec.
1036.630 and 40 CFR 1037.550 for some or all of your configurations
within the engine family.
    (c) You must design and produce your engines to comply with
evaporative emission standards as follows:
    (1) For complete heavy-duty vehicles you produce, you must certify
the vehicles to emission standards as specified in 40 CFR 1037.103.
    (2) For incomplete heavy-duty vehicles, and for engines used in
vehicles you do not produce, you do not need to certify your engines to
evaporative emission standards or otherwise meet those standards.
However, vehicle manufacturers certifying their vehicles with your
engines may depend on you to produce your engines according to their
specifications. Also, your engines must meet applicable exhaust
emission standards in the installed configuration.

Sec.  1036.130  Installation instructions for vehicle manufacturers.

    (a) If you sell an engine for someone else to install in a vehicle,
give the engine installer instructions for installing it consistent
with the requirements of this part. Include all information necessary
to ensure that an engine will be installed in its certified
configuration.
    (b) Make sure these instructions have the following information:
    (1) Include the heading: ``Emission-related installation
instructions''.
    (2) State: ``Failing to follow these instructions when installing a
certified engine in a heavy-duty motor vehicle violates federal law,
subject to fines or other penalties as described in the Clean Air
Act.''
    (3) Provide all instructions needed to properly install the exhaust
system and any other components.
    (4) Describe any necessary steps for installing any diagnostic
system required under 40 CFR part 86.
    (5) Describe how your certification is limited for any type of
application. For example, if you certify heavy heavy-duty engines to
the CO2 standards using only steady-state transient FTP
testing, you must make clear that the engine may not be installed in
tractors.
    (6) Describe any other instructions to make sure the installed
engine will operate according to design specifications in your
application for certification. This may include, for example,
instructions for installing aftertreatment devices when installing the
engines.
    (7) State: ``If you install the engine in a way that makes the
engine's emission control information label hard to read during normal
engine maintenance, you must place a duplicate label on the vehicle, as
described in 40 CFR 1068.105.''
    (c) Give the vehicle manufacturer fuel map results as described in
Sec.  1036.535 or powertrain results as described in Sec.  1036.630 and
40 CFR 1037.550 for each engine configuration, as appropriate.
    (d) You do not need installation instructions for engines that you
install in your own vehicles.
    (e) Provide instructions in writing or in an equivalent format. For
example, you may post instructions on a publicly available Web site for
downloading or printing. If you do not provide the instructions in
writing, explain in your application for certification how you will
ensure that each installer is informed of the installation
requirements.

Sec.  1036.135  Labeling.

    Label your engines as described in 40 CFR 86.007-35(a)(3), with the
following additional information:
    (a) [Reserved]
    (b) Identify the emission control system. Use terms and
abbreviations as described in 40 CFR 1068.45 or other applicable
conventions.
    (c) Identify any limitations on your certification. For example, if
you certify heavy heavy-duty engines to the CO2 standards
using only transient cycle testing, include the statement ``VOCATIONAL
VEHICLES ONLY''.
    (d) You may ask us to approve modified labeling requirements in
this part 1036 if you show that it is necessary or appropriate. We will
approve your request if your alternate label is consistent with the
requirements of this part. We may also specify modified labeling
requirement to be consistent with the intent of 40 CFR part 1037.

Sec.  1036.140  Primary intended service class and engine cycle.

    (a) You must identify a single primary intended service class for
each engine family. Select the class that best describes vehicles for
which you design and market the engine. There are three primary
intended service classes for vehicles with engines that are not
gasoline-fueled: Light heavy-duty, medium heavy-duty, and heavy heavy-
duty. Unless otherwise specified, engines that qualify as medium heavy-

duty or heavy heavy-duty engines and do not operate on gasoline must
meet all the emission standards and other requirements of this part
that apply for compression-ignition engines, even if they qualify under
the definitions as spark-ignition engines. Also, spark-ignition engines
that qualify as light heavy-duty engines must meet all the emission
standards and other requirements of this part that apply for spark-
ignition engines, regardless of fuel. These spark-ignition light-heavy-
duty engines and all sizes of gasoline-fueled heavy-duty engines
together form a separate primary intended service class. For purposes
of this section, dual-fuel and flexible fuel engines that operate on
gasoline are considered gasoline-fueled engines.
    (b) Divide engines other than gasoline-fueled engines into primary
intended service classes based on the following engine and vehicle
characteristics:
    (1) Light heavy-duty engines usually are not designed for rebuild
and do not have cylinder liners. Vehicle body types in this group might
include any heavy-duty vehicle built from a light-duty truck chassis,
van trucks, multi-stop vans, motor homes and other recreational
vehicles, and some straight trucks with a single rear axle. Typical
applications would include personal transportation, light-load
commercial delivery, passenger service, agriculture, and construction.
The GVWR of these vehicles is normally below 19,500 pounds.
    (2) Medium heavy-duty engines may be designed for rebuild and may
have cylinder liners. Vehicle body types in this group would typically
include school buses, straight trucks with dual rear axles, city
tractors, and a variety of special purpose vehicles such as small dump
trucks, and refuse trucks. Typical applications would include
commercial short haul and intra-city delivery and pickup. Engines in
this group are normally used in vehicles whose GVWR ranges from 19,500
to 33,000 pounds.
    (3) Heavy heavy-duty engines are designed for multiple rebuilds and
have cylinder liners. Vehicles in this group are normally tractors,
trucks, and buses used in inter-city, long-haul applications. These
vehicles normally exceed 33,000 pounds GVWR.

Sec.  1036.150  Interim provisions.

    The provisions in this section apply instead of other provisions in
this part.
    (a) Early banking of greenhouse gas emissions. You may generate
CO2 emission credits for engines you certify in model year
2013 (2015 for spark-ignition engines) to the standards of Sec.
1036.108.
    (1) Except as specified in paragraph (a)(2) of this section, to
generate early credits, you must certify your entire U.S.-directed
production volume within that averaging set to these standards. This
means that you may not generate early credits while you produce engines
in the averaging set that are certified to the criteria pollutant
standards but not to the greenhouse gas standards. Calculate emission
credits as described in subpart H of this part relative to the standard
that would apply for model year 2014 (2016 for spark-ignition engines).
    (2) You may generate early credits for an individual compression-
ignition engine family where you demonstrate that you have improved a
model year 2013 engine model's CO2 emissions relative to its
2012 baseline level and certify it to an FCL below the applicable
standard. Calculate emission credits as described in subpart H of this
part relative to the lesser of the standard that would apply for model
year 2014 engines or the baseline engine's CO2 emission
rate. Use the smaller U.S.-directed production volume of the 2013
engine family or the 2012 baseline engine family. We will not allow you
to generate emission credits under this paragraph (a)(2) unless we
determine that your 2013 engine is the same engine as the 2012 baseline
or that it replaces it.
    (3) You may bank credits equal to the surplus credits you generate
under this paragraph (a) multiplied by 1.50. For example, if you have
10 Mg of surplus credits for model year 2013, you may bank 15 Mg of
credits. Credit deficits for an averaging set prior to model year 2014
(2016 for spark-ignition engines) do not carry over to model year 2014
(2016 for spark-ignition engines). We recommend that you notify us of
your intent to use this provision before submitting your applications.
    (b) Model year 2014 N2O standards. In model year 2014
and earlier, manufacturers may show compliance with the N2O
standards using an engineering analysis. This allowance also applies
for later families certified using carryover CO2 data from
model 2014 consistent with Sec.  1036.235(d).
    (c) Engine cycle classification. Through model year 2020, engines
meeting the definition of spark-ignition, but regulated as diesel
engines under 40 CFR part 86, must be certified to the requirements
applicable to compression-ignition engines under this part. Such
engines are deemed to be compression-ignition engines for purposes of
this part. Similarly, engines meeting the definition of compression-
ignition, but regulated as Otto-cycle under 40 CFR part 86 must be
certified to the requirements applicable to spark-ignition engines
under this part. Such engines are deemed to be spark-ignition engines
for purposes of this part. See Sec.  1036.140 for provisions that apply
for model year 2021 and later.
    (d) Small manufacturers. Standards apply on a delayed schedule for
manufacturers meeting the small business criteria specified in 13 CFR
121.201. Apply the small business criteria for NAICS code 336310 for
engine manufacturers with respect to gasoline-fueled engines, 333618
for engine manufacturers with respect to other engines, and 811198 with
respect to fuel conversions with engines manufactured by a different
company. Qualifying manufacturers are not subject to the greenhouse gas
emission standards in Sec.  1036.108 for engines built before January
1, 2022. In addition, qualifying manufacturers producing engines that
run on any fuel other than gasoline, E85, or diesel fuel may delay
complying with every new standard under this part by one model year.
Small businesses may certify their engines and generate emission
credits under this part 1036 before standards start to apply, but only
if they certify their entire U.S.-directed production volume within
that averaging set for that model year.
    (e) Alternate phase-in standards. Where a manufacturer certifies
all of its model year 2013 compression-ignition engines within a given
primary intended service class to the applicable alternate standards of
this paragraph (e), its compression-ignition engines within that
primary intended service class are subject to the standards of this
paragraph (e) for model years 2013 through 2016. This means that once a
manufacturer chooses to certify a primary intended service class to the
standards of this paragraph (e), it is not allowed to opt out of these
standards. Engines certified to these standards are not eligible for
early credits under paragraph (a) of this section.

----------------------------------------------------------------------------------------------------------------
              Tractors                     LHD Engines             MHD Engines               HHD Engines
----------------------------------------------------------------------------------------------------------------
Model Years 2013-2015..............  NA....................  512 g/hp-hr...........  485 g/hp-hr.

Model Years 2016 and later.\a\.....  NA....................  487 g/hp-hr...........  460 g/hp-hr.
Vocational.........................  LHD Engines...........  MHD Engines...........  HHD Engines.
Model Years 2013-2015..............  618 g/hp-hr...........  618 g/hp-hr...........  577 g/hp-hr.
Model Years 2016 and later.\a\.....  576 g/hp-hr...........  576 g/hp-hr...........  555 g/hp-hr.
----------------------------------------------------------------------------------------------------------------
\a\ Note: These alternate standards for 2016 and later are the same as the otherwise applicable standards for
  2017 and later.

    (f) Separate OBD families. This paragraph (f) applies where you
separately certify engines for the purpose of applying OBD requirements
(for engines used in vehicles under 14,000 pounds GVWR) from non-OBD
engines that could be certified as a single engine family. You may
treat the two engine families as a single engine family in certain
respects for the purpose of this part, as follows:
    (1) This paragraph (f) applies only where the two families are
identical in all respects except for the engine ratings offered and the
inclusion of OBD.
    (2) For purposes of this part and 40 CFR part 86, the two families
remain two separate families except for the following:
    (i) Specify the testable configurations of the non-OBD engine
family as the testable configurations for the OBD family.
    (ii) Submit the same CO2, N2O, and
CH4 emission data for both engine families.
    (g) Assigned deterioration factors. You may use assigned
deterioration factors (DFs) without performing your own durability
emission tests or engineering analysis as follows:
    (1) You may use an assigned additive DF of 0.0 g/hp-hr for
CO2 emissions from engines that do not use advanced or off-
cycle technologies. If we determine it to be consistent with good
engineering judgment, we may allow you to use an assigned additive DF
of 0.0 g/hp-hr for CO2 emissions from your engines with
advanced or off-cycle technologies.
    (2) You may use an assigned additive DF of 0.020 g/hp-hr for
N2O emissions from any engine through model year 2020, and
0.010 g/hp-hr for later model years.
    (3) You may use an assigned additive DF of 0.020 g/hp-hr for
CH4 emissions from any engine.
    (h) Advanced technology credits. If you generate credits from model
year 2020 and earlier engines certified for advanced technology you may
multiply these credits by 1.5, except that you may not apply this
multiplier and the early-credit multiplier of paragraph (a) of this
section.
    (i) CO2 credits for low N2O emissions. If you
certify your model year 2014, 2015, or 2016 engines to an
N2O FEL less than 0.04 g/hp-hr (provided you measure
N2O emissions from your emission-data engines), you may
generate additional CO2 credits under this paragraph (i).
Calculate the additional CO2 credits from the following
equation instead of the equation in Sec.  1036.705:

CO2 Credits (Mg) = (0.04 - FELN2O) [middot] (CF)
[middot] (Volume) [middot] (UL) [middot] (10-6) [middot]
(298)
    (j) Alternate standards under 40 CFR part 86. This paragraph (j)
describes alternate emission standards for engines certified under 40
CFR 86.1819-14(k)(8). The standards of Sec.  1036.108 do not apply for
these engines. The standards in this paragraph (j) apply for emissions
measured with the engine installed in a complete vehicle consistent
with the provisions of 40 CFR 86.1819-14(k)(8)(vi). The CO2
standard for the engines equals the test result specified in 40 CFR
86.1819-14(k)(8)(vi) multiplied by 1.10 and rounded to the nearest 0.1
g/mile. The N2O and CH4 standards are both 0.05
g/mile (or any alternate standards that apply to the corresponding
vehicle test group). The only requirements of this part that apply to
these engines are those in this paragraph (j) and those in Sec. Sec.
1036.115 through 1036.135.
    (k) ABT reports. Through model year 2017, you may submit a final
report under Sec.  1036.730 up to 270 days after the end of the model
year, as long as you send a draft report with the same information
within 90 days after the end of the model year.
    (l) Credit adjustment for spark-ignition engines and light heavy-
duty compression-ignition engines. For emission credits generated from
model year 2020 and earlier spark-ignition engines and light heavy-duty
compression-ignition engines, multiply any banked credits that you
carry forward to demonstrate compliance with model year 2021 and later
standards by 1.36.
    (m) Infrequent regeneration. For model year 2020 and earlier, you
may invalidate any test interval with respect to CO2
measurements if an infrequent regeneration event occurs during the test
interval.
    (n) Supplying fuel maps. Certifying engine manufacturers must
supply vehicle manufacturers with fuel maps (or powertrain test
results) as described in Sec.  1036.130 for model year 2020 engines.

Subpart C--Certifying Engine Families

Sec.  1036.205  What must I include in my application?

    Submit an application for certification as described in 40 CFR
86.007-21, with the following additional information:
    (a) Describe the engine family's specifications and other basic
parameters of the engine's design and emission controls with respect to
compliance with the requirements of this part. Describe in detail all
system components for controlling greenhouse gas emissions, including
all auxiliary emission control devices (AECDs) and all fuel-system
components you will install on any production or test engine. Identify
the part number of each component you describe. For this paragraph (a),
treat as separate AECDs any devices that modulate or activate
differently from each other.
    (b) Describe any test equipment and procedures that you used if you
performed any tests that did not also involve measurement of criteria
pollutants. Describe any special or alternate test procedures you used
(see 40 CFR 1065.10(c)).
    (c) Include the emission-related installation instructions you will
provide if someone else installs your engines in their vehicles (see
Sec.  1036.130).
    (d) Describe the label information specified in Sec.  1036.135. We
may require you to include a copy of the label.
    (e) Identify the CO2 FCLs with which you are certifying
engines in the engine family; also identify any FELs that apply for
CH4 and N2O. The actual U.S.-directed production
volume of configurations that have CO2 emission rates at or
below the FCL and CH4 and N2O emission rates at
or below the applicable standards or FELs must be at least one percent
of your actual (not projected) U.S.-directed production volume for the
engine family. Identify configurations within the family that have
emission rates at or below the FCL and meet the one percent
requirement. For example, if your U.S.-directed production volume for
the engine family is 10,583 and the U.S.-directed

production volume for the tested rating is 75 engines, then you can
comply with this provision by setting your FCL so that one more rating
with a U.S.-directed production volume of at least 31 engines meets the
FCL. Where applicable, also identify other testable configurations
required under Sec.  1036.230(b)(2).
    (f) Identify the engine family's deterioration factors and describe
how you developed them (see Sec.  1036.241). Present any test data you
used for this.
    (g) Present emission data to show that you meet emission standards,
as follows:
    (1) Present exhaust emission data for CO2,
CH4, and N2O on an emission-data engine to show
that your engines meet the applicable emission standards we specify in
Sec.  1036.108. Show emission figures before and after applying
deterioration factors for each engine. In addition to the composite
results, show individual measurements for cold-start testing and hot-
start testing over the transient test cycle.
    (2) Note that Sec.  1036.235 allows you to submit an application in
certain cases without new emission data.
    (h) State whether your certification is limited for certain
engines. For example, if you certify heavy heavy-duty engines to the
CO2 standards using only transient testing, the engines may
be installed only in vocational vehicles.
    (i) Unconditionally certify that all the engines in the engine
family comply with the requirements of this part, other referenced
parts of the CFR, and the Clean Air Act. Note that Sec.  1036.235
specifies which engines to test to show that engines in the entire
family comply with the requirements of this part.
    (j) Include the information required by other subparts of this
part. For example, include the information required by Sec.  1036.725
if you participate in the ABT program.
    (k) Include the warranty statement and maintenance instructions if
we request them.
    (l) Include other applicable information, such as information
specified in this part or 40 CFR part 1068 related to requests for
exemptions.
    (m) For imported engines or equipment, identify the following:
    (1) Describe your normal practice for importing engines. For
example, this may include identifying the names and addresses of any
agents you have authorized to import your engines. Engines imported by
nonauthorized agents are not covered by your certificate.
    (2) The location of a test facility in the United States where you
can test your engines if we select them for testing under a selective
enforcement audit, as specified in 40 CFR part 1068, subpart E.
    (n) Include information needed to certify vehicles to GHG standards
under 40 CFR part 1037, as follows:
    (1) Identify the engine parameters used for GEM modeling as
described in 40 CFR 1037.520.
    (2) Report the measured fuel consumption rate and NOX
emission level corresponding to each point of the fuel map and at each
measured idle point as described in Sec.  1036.535.
    (3) State whether your application is intended to cover engine
emissions measured during powertrain testing under 40 CFR 1037.550;
include any associated test results and powertrain information. You may
omit the fuel map specified in paragraph (n)(2) of this section (but
not the idle points) if you certify the powertrain test results. If you
omit the fuel map data, you will be deemed to not be certifying a fuel
map.

Sec.  1036.210  Preliminary approval before certification.

    If you send us information before you finish the application, we
may review it and make any appropriate determinations, especially for
questions related to engine family definitions, auxiliary emission
control devices, adjustable parameters, deterioration factors, testing
for service accumulation, and maintenance. Decisions made under this
section are considered to be preliminary approval, subject to final
review and approval. We will generally not reverse a decision where we
have given you preliminary approval, unless we find new information
supporting a different decision. If you request preliminary approval
related to the upcoming model year or the model year after that, we
will make best-efforts to make the appropriate determinations as soon
as practicable. We will generally not provide preliminary approval
related to a future model year more than two years ahead of time.

Sec.  1036.225  Amending my application for certification.

    Before we issue you a certificate of conformity, you may amend your
application to include new or modified engine configurations, subject
to the provisions of this section. After we have issued your
certificate of conformity, but before the end of the model year, you
may send us an amended application requesting that we include new or
modified engine configurations within the scope of the certificate,
subject to the provisions of this section. You must amend your
application if any changes occur with respect to any information that
is included or should be included in your application.
    (a) You must amend your application before you take any of the
following actions:
    (1) Add an engine configuration to an engine family. In this case,
the engine configuration added must be consistent with other engine
configurations in the engine family with respect to the criteria listed
in Sec.  1036.230.
    (2) Change an engine configuration already included in an engine
family in a way that may affect emissions, or change any of the
components you described in your application for certification. This
includes production and design changes that may affect emissions any
time during the engine's lifetime.
    (3) Modify an FEL and FCL for an engine family as described in
paragraph (f) of this section.
    (b) To amend your application for certification, send the relevant
information to the Designated Compliance Officer.
    (1) Describe in detail the addition or change in the engine model
or configuration you intend to make.
    (2) Include engineering evaluations or data showing that the
amended engine family complies with all applicable requirements. You
may do this by showing that the original emission-data engine is still
appropriate for showing that the amended family complies with all
applicable requirements.
    (3) If the original emission-data engine for the engine family is
not appropriate to show compliance for the new or modified engine
configuration, include new test data showing that the new or modified
engine configuration meets the requirements of this part.
    (4) Include any other information needed to make your application
correct and complete.
    (c) We may ask for more test data or engineering evaluations. You
must give us these within 30 days after we request them.
    (d) For engine families already covered by a certificate of
conformity, we will determine whether the existing certificate of
conformity covers your newly added or modified engine. You may ask for
a hearing if we deny your request (see Sec.  1036.820).
    (e) For engine families already covered by a certificate of
conformity, you may start producing the new or modified engine
configuration any time after you send us your amended application and
before we make a decision under paragraph (d) of this section. However,
if we determine that the affected engines do not meet applicable
requirements, we will notify

you to cease production of the engines and may require you to recall
the engines at no expense to the owner. Choosing to produce engines
under this paragraph (e) is deemed to be consent to recall all engines
that we determine do not meet applicable emission standards or other
requirements and to remedy the nonconformity at no expense to the
owner. If you do not provide information required under paragraph (c)
of this section within 30 days after we request it, you must stop
producing the new or modified engines.
    (f) You may ask us to approve a change to your FEL in certain cases
after the start of production, but before the end of the model year. If
you change an FEL for CO2, your FCL for CO2 is
automatically set to your new FEL divided by 1.03. The changed FEL may
not apply to engines you have already introduced into U.S. commerce,
except as described in this paragraph (f). You may ask us to approve a
change to your FEL in the following cases:
    (1) You may ask to raise your FEL for your engine family at any
time. In your request, you must show that you will still be able to
meet the emission standards as specified in subparts B and H of this
part. Use the appropriate FELs/FCLs with corresponding production
volumes to calculate emission credits for the model year, as described
in subpart H of this part.
    (2) You may ask to lower the FEL for your engine family only if you
have test data from production engines showing that emissions are below
the proposed lower FEL (or below the proposed FCL for CO2).
The lower FEL/FCL applies only to engines you produce after we approve
the new FEL/FCL. Use the appropriate FELs/FCLs with corresponding
production volumes to calculate emission credits for the model year, as
described in subpart H of this part.

Sec.  1036.230  Selecting engine families.

    See 40 CFR 86.001-24 for instructions on how to divide your product
line into families of engines that are expected to have similar
emission characteristics throughout the useful life. You must certify
your engines to the standards of Sec.  1036.108 using the same engine
families you use for criteria pollutants under 40 CFR part 86. The
following provisions also apply:
    (a) Engines certified as hybrid engines may not be included in an
engine family with engines with conventional powertrains. Note that
this does not prevent you from including engines in a conventional
family if they are used in hybrid vehicles, as long as you certify them
conventionally.
    (b) If you certify engines in the family for use as both vocational
and tractor engines, you must split your family into two separate
subfamilies. Indicate in the application for certification that the
engine family is to be split.
    (1) Calculate emission credits relative to the vocational engine
standard for the number of engines sold into vocational applications
and relative to the tractor engine standard for the number of engines
sold into non-vocational tractor applications. You may assign the
numbers and configurations of engines within the respective subfamilies
at any time before submitting the final report required by Sec.
1036.730. If the family participates in averaging, banking, or trading,
you must identify the type of vehicle in which each engine is
installed; we may alternatively allow you to use statistical methods to
determine this for a fraction of your engines. Keep records to document
this determination.
    (2) If you restrict use of the test configuration for your split
family to only tractors, or only vocational vehicles, you must identify
a second testable configuration for the other type of vehicle (or an
unrestricted configuration). Identify this configuration in your
application for certification. The FCL for the engine family applies
for this configuration as well as the primary test configuration.
    (c) If you certify in separate engine families engines that could
have been certified in vocational and tractor engine subfamilies in the
same engine family, count the two families as one family for purposes
of determining your obligations with respect to the OBD requirements
and in-use testing requirements of 40 CFR part 86. Indicate in the
applications for certification that the two engine families are covered
by this paragraph (c).
    (d) Engine configurations within an engine family must use
equivalent greenhouse gas emission controls. Unless we approve it, you
may not produce nontested configurations without the same emission
control hardware included on the tested configuration. We will only
approve it if you demonstrate that the exclusion of the hardware does
not increase greenhouse gas emissions.

Sec.  1036.235  Testing requirements for certification.

    This section describes the emission testing you must perform to
show compliance with the greenhouse gas emission standards in Sec.
1036.108.
    (a) Select a single emission-data engine from each engine family as
specified in 40 CFR part 86. The standards of this part apply only with
respect to emissions measured from this tested configuration and other
configurations identified in Sec.  1036.205(e). Note that
configurations identified in Sec.  1036.205(e) are considered to be
``tested configurations'' whether or not you actually tested them for
certification. However, you must apply the same (or equivalent)
emission controls to all other engine configurations in the engine
family.
    (b) Test your emission-data engines using the procedures and
equipment specified in subpart F of this part. In the case of dual-fuel
and flexible-fuel engines, measure emissions when operating with each
type of fuel for which you intend to certify the engine. (Note:
Measurement of criteria emissions from flexible-fuel engines generally
involves operation with the fuel mixture that best represents in-use
operation, or with the fuel mixture with the highest emissions.)
Measure CO2, CH4, and N2O emissions
using the specified duty cycle(s), including cold-start and hot-start
testing as specified in 40 CFR part 86, subpart N. The following
provisions apply regarding test cycles for demonstrating compliance
with tractor and vocational standards:
    (1) If you are certifying the engine for use in tractors, you must
measure CO2 emissions using the ramped-modal cycle and
measure CH4, and N2O emissions using the
specified transient cycle.
    (2) If you are certifying the engine for use in vocational
applications, you must measure CO2, CH4, and
N2O emissions using the specified transient duty cycle,
including cold-start and hot-start testing as specified in 40 CFR part
86, subpart N.
    (3) You may certify your engine family for both tractor and
vocational use by submitting CO2 emission data from both
ramped-modal and transient cycle testing and specifying FCLs for both.
    (4) Engines certified for use in tractors may also be used in
vocational vehicles; however, you may not knowingly circumvent the
intent of this part (to reduce in-use emissions of CO2) by
certifying engines designed for vocational vehicles (and rarely used in
tractors) to the ramped-modal cycle and not the transient cycle. For
example, we would generally not allow you to certify all your engines
to the ramped-modal cycle without certifying any to the transient
cycle.
    (c) We may measure emissions from any of your emission-data
engines.
    (1) We may decide to do the testing at your plant or any other
facility. If we

do this, you must deliver the engine to a test facility we designate.
The engine you provide must include appropriate manifolds,
aftertreatment devices, electronic control units, and other emission-
related components not normally attached directly to the engine block.
If we do the testing at your plant, you must schedule it as soon as
possible and make available the instruments, personnel, and equipment
we need.
    (2) If we measure emissions on your engine, the results of that
testing become the official emission results for the engine. Unless we
later invalidate these data, we may decide not to consider your data in
determining if your engine family meets applicable requirements. This
applies equally to testing for fuel maps under Sec.  1036.535 and to
engine-based powertrain testing under Sec.  1036.630 and 40 CFR
1037.550, except that the results of our testing at individual test
points do not become the official emission result if they are lower
than your declared values.
    (3) Before we test one of your engines, we may set its adjustable
parameters to any point within the physically adjustable ranges.
    (4) Before we test one of your engines, we may calibrate it within
normal production tolerances for anything we do not consider an
adjustable parameter. For example, this would apply for an engine
parameter that is subject to production variability because it is
adjustable during production, but is not considered an adjustable
parameter (as defined in Sec.  1036.801) because it is permanently
sealed. For parameters that relate to a level of performance that is
itself subject to a specified range (such as maximum power output), we
will generally perform any calibration under this paragraph (c)(4) in a
way that keeps performance within the specified range.
    (d) You may ask to use carryover emission data from a previous
model year instead of doing new tests, but only if all the following
are true:
    (1) The engine family from the previous model year differs from the
current engine family only with respect to model year, items identified
in Sec.  1036.225(a), or other characteristics unrelated to emissions.
We may waive this criterion for differences we determine not to be
relevant.
    (2) The emission-data engine from the previous model year remains
the appropriate emission-data engine under paragraph (b) of this
section.
    (3) The data show that the emission-data engine would meet all the
requirements that apply to the engine family covered by the application
for certification.
    (e) We may require you to test a second engine of the same
configuration in addition to the engine tested under paragraph (a) of
this section.
    (f) If you use an alternate test procedure under 40 CFR 1065.10 and
later testing shows that such testing does not produce results that are
equivalent to the procedures specified in subpart F of this part, we
may reject data you generated using the alternate procedure.

Sec.  1036.241  Demonstrating compliance with greenhouse gas emission
standards.

    (a) For purposes of certification, your engine family is considered
in compliance with the emission standards in Sec.  1036.108 if all
emission-data engines representing the tested configuration of that
engine family have test results showing official emission results and
deteriorated emission levels at or below the standards. Note that your
FCLs are considered to be the applicable emission standards with which
you must comply for certification.
    (b) Your engine family is deemed not to comply if any emission-data
engine representing the tested configuration of that engine family has
test results showing an official emission result or a deteriorated
emission level for any pollutant that is above an applicable emission
standard (generally the FCL). Note that you may increase your FCL if
any certification test results exceed your initial FCL.
    (c) Apply deterioration factors to the measured emission levels for
each pollutant to show compliance with the applicable emission
standards. Your deterioration factors must take into account any
available data from in-use testing with similar engines. Apply
deterioration factors as follows:
    (1) Additive deterioration factor for greenhouse gas emissions.
Except as specified in paragraphs (c)(2) and (3) of this section, use
an additive deterioration factor for exhaust emissions. An additive
deterioration factor is the difference between the highest exhaust
emissions (typically at the end of the useful life) and exhaust
emissions at the low-hour test point. In these cases, adjust the
official emission results for each tested engine at the selected test
point by adding the factor to the measured emissions. If the factor is
less than zero, use zero. Additive deterioration factors must be
specified to one more decimal place than the applicable standard.
    (2) Multiplicative deterioration factor for greenhouse gas
emissions. Use a multiplicative deterioration factor for a pollutant if
good engineering judgment calls for the deterioration factor for that
pollutant to be the ratio of the highest exhaust emissions (typically
at the end of the useful life) to exhaust emissions at the low-hour
test point. Adjust the official emission results for each tested engine
at the selected test point by multiplying the measured emissions by the
deterioration factor. If the factor is less than one, use one. A
multiplicative deterioration factor may not be appropriate in cases
where testing variability is significantly greater than engine-to-
engine variability. Multiplicative deterioration factors must be
specified to one more significant figure than the applicable standard.
    (3) Sawtooth deterioration patterns. The deterioration factors
described in paragraphs (c)(1) and (2) of this section assume that the
highest useful life emissions occur either at the end of useful life or
at the low-hour test point. The provisions of this paragraph (c)(3)
apply where good engineering judgment indicates that the highest useful
life emissions will occur between these two points. For example,
emissions may increase with service accumulation until a certain
maintenance step is performed, then return to the low-hour emission
levels and begin increasing again. Such a pattern may occur with
battery-based electric hybrid engines. Base deterioration factors for
engines with such emission patterns on the difference between (or ratio
of) the point of the sawtooth at which the highest emissions occur and
the low-hour test point. Note that this applies for maintenance-related
deterioration only where we allow such critical emission-related
maintenance.
    (4) [Reserved]
    (5) Dual-fuel and flexible-fuel engines. In the case of dual-fuel
and flexible-fuel engines, apply deterioration factors separately for
each fuel type by measuring emissions with each fuel type at each test
point. You may accumulate service hours on a single emission-data
engine using the type of fuel or the fuel mixture expected to have the
highest combustion and exhaust temperatures; you may ask us to approve
a different fuel mixture if you demonstrate that a different criterion
is more appropriate.
    (d) Calculate emission data using measurements to at least one more
decimal place than the applicable standard. Apply the deterioration
factor to the official emission result, as described in paragraph (c)
of this section, then round the adjusted figure to the same number of
decimal places as the emission standard. Compare the rounded emission
levels to the emission standard for each emission-data engine.

    (e) If you identify more than one configuration in Sec.
1036.205(e), we may test (or require you to test) any of the identified
configurations. We may also require you to provide an engineering
analysis that demonstrates that untested configurations listed in Sec.
1036.205(e) comply with their FCL.

Sec.  1036.250  Reporting and recordkeeping for certification.

    (a) Within 90 days after the end of the model year, send the
Designated Compliance Officer a report including the total U.S.-
directed production volume of engines you produced in each engine
family during the model year (based on information available at the
time of the report). Report the production by serial number and engine
configuration. Small manufacturers may omit this requirement. You may
combine this report with reports required under subpart H of this part.
    (b) Organize and maintain the following records:
    (1) A copy of all applications and any summary information you send
us.
    (2) Any of the information we specify in Sec.  1036.205 that you
were not required to include in your application.
    (c) Keep routine data from emission tests required by this part
(such as test cell temperatures and relative humidity readings) for one
year after we issue the associated certificate of conformity. Keep all
other information specified in this section for eight years after we
issue your certificate.
    (d) Store these records in any format and on any media, as long as
you can promptly send us organized, written records in English if we
ask for them. You must keep these records readily available. We may
review them at any time.

Sec.  1036.255  What decisions may EPA make regarding my certificate of
conformity?

    (a) If we determine your application is complete and shows that the
engine family meets all the requirements of this part and the Act, we
will issue a certificate of conformity for your engine 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 engine family fails to comply with emission standards or
other requirements of this part or the Clean Air Act. We will base our
decision on all available information. If we deny 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). This includes doing anything
after submission of your application to render any of the submitted
information false or incomplete.
    (3) Render inaccurate any test data.
    (4) Deny us from completing authorized activities (see 40 CFR
1068.20). This includes a failure to provide reasonable assistance.
    (5) Produce engines for importation into the United States at a
location where local law prohibits us from carrying out authorized
activities.
    (6) Fail to supply requested information or amend your application
to include all engines being produced.
    (7) Take any action that otherwise circumvents the intent of the
Act or this part, with respect to your engine family.
    (d) We may void the certificate of conformity for an engine family
if you fail to keep records, send reports, or give us information as
required under this part or the Act. Note that these are also
violations of 40 CFR 1068.101(a)(2).
    (e) We may void your certificate if we find that you intentionally
submitted false or incomplete information. This includes rendering
submitted information false or incomplete after submission.
    (f) If we deny your application or suspend, revoke, or void your
certificate, you may ask for a hearing (see Sec.  1036.820).

Subpart D--Testing Production Engines

Sec.  1036.301  Measurements related to GEM inputs in a selective
enforcement audit.

    (a) Selective enforcement audits apply for engines as specified in
40 CFR part 1068, subpart E. This section describes how this applies
uniquely in certain circumstances.
    (b) Selective enforcement audit provisions apply with respect to
your fuel maps as follows:
    (1) A selective enforcement audit for fuel maps would consist of
performing measurements with production engines to determine the fuel-
consumption rates at each of the specified points under the engine map
as declared for GEM simulations, and running GEM over one or more
applicable duty cycles based on those measured values, using GEM inputs
that represent any applicable vehicle configuration for which the
engine is being used. The engine is considered passing for a given
configuration if the new modeled emission result for every applicable
duty cycle is at or below the modeled emission result corresponding to
the declared GEM inputs.
    (2) We may specify up to ten unique vehicle configurations for an
audit to verify that an engine's fuel map is part of a complying
certified engine configuration. If the audit includes fuel-map testing
in conjunction with engine testing relative to exhaust emission
standards, the fuel-map simulations for the whole set of vehicles and
duty cycles counts as a single test result for purposes of evaluating
whether the engine family meets the pass-fail criteria under 40 CFR
1068.420. If the audit includes only fuel-map testing, the fuel-map
simulation for each vehicle configuration counts as a separate test for
the engine.
    (c) If your certification includes powertrain testing as specified
in 40 CFR 1036.630, the selective enforcement audit provisions apply
with respect to powertrain test results as specified in 40 CFR 1037.301
and 1037.550. We may allow manufacturers to instead perform the engine-
based testing to simulate the powertrain test as specified in 40 CFR
1037.551.
    (d) We may suspend or revoke certificates, based on the outcome of
a selective enforcement audit, for any appropriate configurations
within one or more engine families.

Subpart E--In-Use Testing

Sec.  1036.401  In-use testing.

    We may perform in-use testing of any engine family subject to the
standards of this part, consistent with the Clean Air Act and the
provisions of Sec.  1036.235. Note that this provision does not affect
your obligation to test your in-use engines as described in 40 CFR part
86, subpart T.

Subpart F--Test Procedures

Sec.  1036.501  How do I run a valid emission test?

    (a) Use the equipment and procedures specified in 40 CFR 86.1305 to
determine whether engines meet the emission standards in Sec.
1036.108. These same procedures apply for determining engine fuel maps
and fuel consumption at idle as specified in Sec.  1036.535. These
procedures also apply for engine-based measurement procedures to
simulate powertrain testing as specified in 40 CFR 1037.551.
    (b) You may use special or alternate procedures to the extent we
allow them under 40 CFR 1065.10.
    (c) This subpart is addressed to you as a manufacturer, but it
applies equally to anyone who does testing for you, and to us when we
perform testing to

determine if your engines meet emission standards.
    (d) For engines that use aftertreatment technology with infrequent
regeneration events, apply infrequent regeneration adjustment factors
as described in Sec.  1036.530.
    (e) Test hybrid engines as described in Sec.  1036.525 and 40 CFR
part 1065.
    (f) Determine engine fuel maps and fuel consumption at idle as
described in Sec.  1036.535.
    (g) The following additional provisions apply for testing to
demonstrate compliance with the emission standards in Sec.  1036.108
for model year 2021 and later engines:
    (1) When calculating total engine work, exclude work during any
portion of the duty cycle that has a zero reference value for
normalized torque.
    (2) If your engine is intended for installation in a vehicle
equipped with stop-start technology, you may use good engineering
judgment to turn the engine off during the idle portions of the duty
cycle to represent in-use operation, consistent with good engineering
judgment.
    (3) Use continuous sampling (not batch sampling) to measure
CO2 emissions over the ramped-modal cycle specified in 40