We may require you to deliver your test vehicles to a facility we
designate for our testing. Alternatively, you may choose to deliver
another vehicle that is identical in all material respects to the test
vehicle. Where certification is based on testing components such as
tires, we may require you to deliver test components to a facility we
designate for our testing.

Sec.  1037.205  What must I include in my application?

    This section specifies the information that must be in your
application, unless we ask you to include less information under Sec.
1037.201(c). We may require you to provide additional information to
evaluate your application. Note that references to testing and
emission-data vehicles refer to testing vehicles to measure aerodynamic
drag, assess hybrid vehicle performance, and/or measure evaporative
emissions.
    (a) Describe the vehicle family's specifications and other basic
parameters of the vehicle's design and emission controls. List the fuel
type on

which your vehicles are designed to operate (for example, ultra low-
sulfur diesel fuel).
    (b) Explain how the emission control system operates. As
applicable, describe in detail all system components for controlling
greenhouse gas and evaporative emissions, including all auxiliary
emission control devices (AECDs) and all fuel-system components you
will install on any production vehicle. Identify the part number of
each component you describe. For this paragraph (b), treat as separate
AECDs any devices that modulate or activate differently from each
other.
    (c) For vehicles subject to air conditioning standards, include:
    (1) The refrigerant leakage rates (leak scores).
    (2) The refrigerant capacity of the air conditioning systems.
    (3) The corporate name of the final installer of the air
conditioning system.
    (d) Describe any vehicles you selected for testing and the reasons
for selecting them.
    (e) Describe any test equipment and procedures that you used,
including any special or alternate test procedures you used (see Sec.
1037.501).
    (f) Describe how you operated any emission-data vehicle before
testing, including the duty cycle and the number of vehicle operating
miles used to stabilize emission levels. Explain why you selected the
method of service accumulation. Describe any scheduled maintenance you
did.
    (g) List the specifications of any test fuel to show that it falls
within the required ranges we specify in 40 CFR part 1065.
    (h) Identify the vehicle family's useful life.
    (i) Include the maintenance instructions and warranty statement you
will give to the ultimate purchaser of each new vehicle (see Sec. Sec.
1037.120 and 1037.125).
    (j) Describe your emission control information label (see Sec.
1037.135).
    (k) Identify the emission standards or FELs to which you are
certifying vehicles in the vehicle family. For families containing
multiple subfamilies, this means that you must identify multiple
CO2 FELs. For example, you may identify the highest and
lowest FELs to which any of your subfamilies will be certified and also
list all possible FELs in between (which will be in 1 g/ton-mile
increments).
    (l) Where applicable, identify the vehicle family's deterioration
factors and describe how you developed them. Present any emission test
data you used for this (see Sec.  1037.241(c)).
    (m) Where applicable, state that you operated your emission-data
vehicles as described in the application (including the test
procedures, test parameters, and test fuels) to show you meet the
requirements of this part.
    (n) Present evaporative test data to show your vehicles meet the
evaporative emission standards we specify in subpart B of this part, if
applicable. Report all valid test results from emission-data vehicles
and indicate whether there are test results from invalid tests or from
any other tests of the emission-data vehicle, whether or not they were
conducted according to the test procedures of subpart F of this part.
We may require you to report these additional test results. We may ask
you to send other information to confirm that your tests were valid
under the requirements of this part and 40 CFR part 86.
    (o) Report modeling results for ten configurations. Include
modeling inputs and detailed descriptions of how they were derived.
Unless we specify otherwise, include the configuration with the highest
modeling result, the lowest modeling result, and the configurations
with the highest projected sales.
    (p) Describe all adjustable operating parameters (see Sec.
1037.115), including production tolerances. You do not need to include
parameters that do not affect emissions covered by your application.
Include the following in your description of each parameter:
    (1) The nominal or recommended setting.
    (2) The intended physically adjustable range.
    (3) The limits or stops used to establish adjustable ranges.
    (4) Information showing why the limits, stops, or other means of
inhibiting adjustment are effective in preventing adjustment of
parameters on in-use vehicles to settings outside your intended
physically adjustable ranges.
    (q) [Reserved]
    (r) Unconditionally certify that all the vehicles in the vehicle
family comply with the requirements of this part, other referenced
parts of the CFR, and the Clean Air Act.
    (s) Include good-faith estimates of U.S.-directed production
volumes by subfamily. We may require you to describe the basis of your
estimates.
    (t) Include the information required by other subparts of this
part. For example, include the information required by Sec.  1037.725
if you participate in the ABT program.
    (u) Include other applicable information, such as information
specified in this part or 40 CFR part 1068 related to requests for
exemptions.
    (v) Name an agent for service located in the United States. Service
on this agent constitutes service on you or any of your officers or
employees for any action by EPA or otherwise by the United States
related to the requirements of this part.

Sec.  1037.210  Preliminary approval before certification.

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

Sec.  1037.220  Amending maintenance instructions.

    You may amend your emission-related maintenance instructions after
you submit your application for certification as long as the amended
instructions remain consistent with the provisions of Sec.  1037.125.
You must send the Designated Compliance Officer a written request to
amend your application for certification for a vehicle family if you
want to change the emission-related maintenance instructions in a way
that could affect emissions. In your request, describe the proposed
changes to the maintenance instructions. If operators follow the
original maintenance instructions rather than the newly specified
maintenance, this does not allow you to disqualify those vehicles from
in-use testing or deny a warranty claim.
    (a) If you are decreasing or eliminating any specified maintenance,
you may distribute the new maintenance instructions to your customers
30 days after we receive your request, unless we disapprove your
request. This would generally include replacing one maintenance step
with another. We may approve a shorter time or waive this requirement.
    (b) If your requested change would not decrease the specified
maintenance, you may distribute the new maintenance instructions
anytime after you send your request. For example,

this paragraph (b) would cover adding instructions to increase the
frequency of filter changes for vehicles in severe-duty applications.
    (c) You need not request approval if you are making only minor
corrections (such as correcting typographical mistakes), clarifying
your maintenance instructions, or changing instructions for maintenance
unrelated to emission control. We may ask you to send us copies of
maintenance instructions revised under this paragraph (c).

Sec.  1037.225  Amending applications for certification.

    Before we issue you a certificate of conformity, you may amend your
application to include new or modified vehicle configurations, subject
to the provisions of this section. After we have issued your
certificate of conformity, you may send us an amended application
requesting that we include new or modified vehicle configurations
within the scope of the certificate, subject to the provisions of this
section. You must amend your application if any changes occur with
respect to any information that is included or should be included in
your application.
    (a) You must amend your application before you take any of the
following actions:
    (1) Add a vehicle configuration to a vehicle family. In this case,
the vehicle configuration added must be consistent with other vehicle
configurations in the vehicle family with respect to the criteria
listed in Sec.  1037.230.
    (2) Change a vehicle configuration already included in a vehicle
family in a way that may affect emissions, or change any of the
components you described in your application for certification. This
includes production and design changes that may affect emissions any
time during the vehicle's lifetime.
    (3) Modify an FEL for a vehicle family as described in paragraph
(f) of this section.
    (b) To amend your application for certification, send the relevant
information to the Designated Compliance Officer.
    (1) Describe in detail the addition or change in the vehicle model
or configuration you intend to make.
    (2) Include engineering evaluations or data showing that the
amended vehicle family complies with all applicable requirements. You
may do this by showing that the original emission-data vehicle is still
appropriate for showing that the amended family complies with all
applicable requirements.
    (3) If the original emission-data vehicle or emission modeling for
the vehicle family is not appropriate to show compliance for the new or
modified vehicle configuration, include new test data or emission
modeling showing that the new or modified vehicle configuration meets
the requirements of this part.
    (c) We may ask for more test data or engineering evaluations. You
must give us these within 30 days after we request them.
    (d) For vehicle families already covered by a certificate of
conformity, we will determine whether the existing certificate of
conformity covers your newly added or modified vehicle. You may ask for
a hearing if we deny your request (see Sec.  1037.820).
    (e) For vehicle families already covered by a certificate of
conformity, you may start producing the new or modified vehicle
configuration anytime after you send us your amended application and
before we make a decision under paragraph (d) of this section. However,
if we determine that the affected vehicles do not meet applicable
requirements, we will notify you to cease production of the vehicles
and may require you to recall the vehicles at no expense to the owner.
Choosing to produce vehicles under this paragraph (e) is deemed to be
consent to recall all vehicles that we determine do not meet applicable
emission standards or other requirements and to remedy the
nonconformity at no expense to the owner. If you do not provide
information required under paragraph (c) of this section within 30 days
after we request it, you must stop producing the new or modified
vehicles.
    (f) You may ask us to approve a change to your FEL in certain cases
after the start of production. The changed FEL may not apply to
vehicles you have already introduced into U.S. commerce, except as
described in this paragraph (f). You may ask us to approve a change to
your FEL in the following cases:
    (1) You may ask to raise your FEL for your vehicle subfamily at any
time. In your request, you must show that you will still be able to
meet the emission standards as specified in subparts B and H of this
part. Use the appropriate FELs with corresponding production volumes to
calculate emission credits for the model year, as described in subpart
H of this part.
    (2) Where testing applies, you may ask to lower the FEL for your
vehicle subfamily only if you have test data from production vehicles
showing that emissions are below the proposed lower FEL. Otherwise, you
may ask to lower your FEL for your vehicle subfamily at any time. The
lower FEL applies only to vehicles you produce after we approve the new
FEL. Use the appropriate FELs with corresponding production volumes to
calculate emission credits for the model year, as described in subpart
H of this part.
    (3) You may ask to add an FEL for your vehicle family at any time.

Sec.  1037.230  Vehicle families, sub-families, and configurations.

    (a) For purposes of certifying your vehicles to greenhouse gas
standards, divide your product line into families of vehicles as
specified in this section. Your vehicle family is limited to a single
model year. Group vehicles in the same vehicle family if they are the
same in all the following aspects:
    (1) The regulatory sub-category (or equivalent in the case of
vocational tractors), as follows:
    (i) Vocational vehicles at or below 19,500 pounds GVWR.
    (ii) Vocational vehicles (other than vocational tractors) above
19,500 pounds GVWR and at or below 33,000 pounds GVWR.
    (iii) Vocational vehicles (other than vocational tractors) above
33,000 pounds GVWR.
    (iv) Low-roof tractors above 26,000 pounds GVWR and at or below
33,000 pounds GVWR.
    (v) Mid-roof tractors above 26,000 pounds GVWR and at or below
33,000 pounds GVWR.
    (vi) High-roof tractors above 26,000 pounds GVWR and at or below
33,000 pounds GVWR.
    (vii) Low-roof day cab tractors above 33,000 pounds GVWR.
    (viii) Low-roof sleeper cab tractors above 33,000 pounds GVWR.
    (ix) Mid-roof day cab tractors above 33,000 pounds GVWR.
    (x) Mid-roof sleeper cab tractors above 33,000 pounds GVWR.
    (xi) High-roof day cab tractors above 33,000 pounds GVWR.
    (xii) High-roof sleeper cab tractors above 33,000 pounds GVWR.
    (xiii) Vocational tractors.
    (2) Vehicle technology as follows:
    (i) Group together vehicles that do not contain advanced or
innovative technologies.
    (ii) Group together vehicles that contain the same advanced/
innovative technologies.
    (b) If the vehicles in your family are being certified to more than
one FEL, subdivide your greenhouse gas vehicle families into
subfamilies that include vehicles with identical FELs. Note that you
may add subfamilies at any time during the model year.
    (c) Group vehicles into configurations consistent with the
definition of ``vehicle configuration'' in Sec.  1037.801.

Note that vehicles with hardware or software differences that are
related to measured or modeled emissions are considered to be different
vehicle configurations even if they have the same GEM inputs and FEL.
Note also, that you are not required to separately identify all
configurations for certification. See paragraph (g) of this section for
provisions allowing you to group certain hardware differences into the
same configuration. Note that you are not required to identify all
possible configurations for certification; also, you are required to
include in your end-of year report only those configurations you
produced.
    (d) For a vehicle model that straddles a roof-height, cab type, or
GVWR division, you may include all the vehicles in the same vehicle
family if you certify the vehicle family to the more stringent
standards. For roof height, this means you must certify to the taller
roof standards. For cab-type and GVWR, this means you must certify to
the numerically lower standards.
    (e) [Reserved]
    (f) You may divide your families into more families than specified
in this section.
    (g) You may ask us to allow you to group into the same
configuration vehicles that have very small body hardware differences
that do not significantly affect drag areas. Note that this allowance
does not apply for substantial differences, even if the vehicles have
the same measured drag areas.

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

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

Sec.  1037.250  Reporting and recordkeeping.

    (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 vehicles you produced in each vehicle
family during the model year(based on information available at the time
of the report). Report by vehicle identification number and vehicle
configuration and identify the subfamily identifier. Report uncertified
vehicles sold to secondary vehicle manufacturers. Small manufacturers
may omit the reporting requirements of this paragraph (a).
    (b) Organize and maintain the following records:
    (1) A copy of all applications and any summary information you send
us.
    (2) Any of the information we specify in Sec.  1037.205 that you
were not required to include in your application.
    (3) A detailed history of each emission-data vehicle, if
applicable.
    (4) Production figures for each vehicle family divided by assembly
plant.
    (5) Keep a list of vehicle identification numbers for all the
vehicles you produce under each certificate of conformity.
    (c) Keep 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.  1037.255  What decisions may EPA make regarding my certificate of
conformity?

    (a) If we determine your application is complete and shows that the
vehicle family meets all the requirements of this part and the Act, we
will issue a certificate of conformity for your vehicle family for that
model year. We may make the approval subject to additional conditions.
    (b) We may deny your application for certification if we determine
that your vehicle family fails to comply with emission standards or
other requirements of this part or the Clean Air Act. We will base our
decision on all available information. If we deny your application, we
will explain why in writing.
    (c) In addition, we may deny your application or suspend or revoke
your certificate if you do any of the following:
    (1) Refuse to comply with any testing or reporting requirements.
    (2) Submit false or incomplete information (paragraph (e) of this
section applies if this is fraudulent). This includes doing anything
after submission of your application to render any of the submitted
information false or incomplete.
    (3) Render any test data inaccurate.
    (4) Deny us from completing authorized activities despite our
presenting a warrant or court order (see 40 CFR 1068.20). This includes
a failure to provide reasonable assistance.
    (5) Produce vehicles for importation into the United States at a
location where local law prohibits us from carrying out authorized
activities.
    (6) Fail to supply requested information or amend your application
to include all vehicles being produced.
    (7) Take any action that otherwise circumvents the intent of the
Act or this part, with respect to your engine family.
    (d) We may void the certificate of conformity for a vehicle 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.  1037.820).

Subpart D--[Reserved]

Subpart E--In-Use Testing

Sec.  1037.401  General provisions.

    We may perform in-use testing of any vehicle subject to the
standards of this part. For example, we may test vehicles to verify
drag areas or other GEM inputs.

Subpart F--Test and Modeling Procedures

Sec.  1037.501  General testing and modeling provisions.

    This subpart specifies how to perform emission testing and emission
modeling required elsewhere in this part.
    (a) [Reserved]
    (b) Where exhaust emission testing is required, use the equipment
and procedures in 40 CFR part 1066 to determine whether your vehicles
meet the duty-cycle emission standards in subpart B of this part.
Measure the emissions of all the exhaust constituents subject to
emission standards as specified in 40 CFR part 1066. Use the applicable
duty cycles specified in Sec.  1037.510.
    (c) [Reserved]
    (d) Use the applicable fuels specified 40 CFR part 1065 to perform
valid tests.
    (1) For service accumulation, use the test fuel or any commercially
available fuel that is representative of the fuel that in-use vehicles
will use.
    (2) For diesel-fueled vehicles, use the appropriate diesel fuel
specified for emission testing. Unless we specify otherwise, the
appropriate diesel test fuel is ultra low-sulfur diesel fuel.
    (3) For gasoline-fueled vehicles, use the gasoline specified for
``General Testing''.
    (e) You may use special or alternate procedures as specified in 40
CFR 1065.10.
    (f) This subpart is addressed to you as a manufacturer, but it
applies equally to anyone who does testing for you, and to us when we
perform testing to determine if your vehicles meet emission standards.
    (g) Apply this paragraph (g) whenever we specify use of standard
trailers. Unless otherwise specified, a tolerance of 2
inches applies for all nominal trailer dimensions.
    (1) The standard trailer for high-roof tractors must meet the
following criteria:
    (i) It is an unloaded two-axle dry van box trailer 53.0 feet long,
102 inches wide, and 162 inches high (measured from the ground with the
trailer level).
    (ii) It has a king pin located with its center 360.5
inches from the front of the trailer and a minimized trailer gap (no
greater than 45 inches).
    (iii) It has a smooth surface with nominally flush rivets and does
not include any aerodynamic features such as side fairings, boat tails,
or gap reducers. It may have a scuff band of no more than 0.13 inches
in thickness.
    (iv) It includes dual 22.5 inch wheels, standard mudflaps, and
standard landing gear. The centerline of the rear-most axle must be 146
inches from the rear of the trailer.
    (2) The standard trailer for mid-roof tractors is an empty two-axle
tanker trailer 421 feet long by 140 inches high.
    (i) It has a 401 feet long cylindrical tank with a
70007 gallon capacity, smooth surface, and rounded ends.
    (ii) The standard tanker trailer does not include any aerodynamic
features such as side fairings, but does include a centered 20 inch
manhole, side-centered ladder, and lengthwise walkway. It includes dual
24.5 inch wheels.
    (3) The standard trailer for low-roof tractors is an unloaded two-
axle flat bed trailer 531 feet long and 102 inches wide.
    (i) The deck height is 60.00.5 inches in the front and
55.00.5 inches in the rear. The standard trailer does not
include any aerodynamic features such as side fairings.
    (ii) It includes an air suspension and dual 22.5 inch wheels on
tandem axles spread up to 122 inches apart between axle centerlines,
measured along the length of the trailer.

Sec.  1037.510  Duty-cycle exhaust testing.

    This section applies where exhaust emission testing is required,
such as when applying the provisions of Sec.  1037.615. Note that for
most vehicles, testing under this section is not required.
    (a) Where applicable, measure emissions by testing the vehicle on a
chassis dynamometer with the applicable test cycles. Each test cycle
consists of a series of speed commands over time: variable speeds for
the transient test and constant speeds for the cruise tests. None of
these cycles include vehicle starting or warmup; each test cycle begins
with a running, warmed-up vehicle. Start sampling emissions at the
start of each cycle. The transient cycle is specified in Appendix I to
this part. For the 55 mph and 65 mph cruise cycles, sample emissions
for 300 second cycles with constant vehicle speeds of 55.0 mph and 65.0
mph, respectively. The tolerance around these speed setpoints is 1.0 mph.
    (b) Calculate the official emission result from the following
equation:
[GRAPHIC] [TIFF OMITTED] TR15SE11.011

Where:

payload = the standard payload, in tons, as specified in Sec.
1037.705.
w = weighting factor for the appropriate test cycle, as described in
paragraph (c) of this section.
m = grams of CO2 emitted over the appropriate test cycle.
D = miles driven over the appropriate test cycle.

    (c) Apply weighting factors specific to each type of vehicle and
for each duty cycle as described in the following table:

                          Table 1 to Sec.   1037.510--Weighting Factors for Duty Cycles
----------------------------------------------------------------------------------------------------------------
                                                                                55 mph cruise     65 mph cruise
                                                             Transient  (%)          (%)               (%)
----------------------------------------------------------------------------------------------------------------
Vocational................................................                42                21                37
Vocational Hybrid Vehicles................................                75                 9                16
Day Cabs..................................................                19                17                64
Sleeper Cabs..............................................                 5                 9                86
----------------------------------------------------------------------------------------------------------------

     (d) For transient testing, compare actual second-by-second vehicle
speed with the speed specified in the test cycle and ensure any
differences are consistent with the criteria as specified in 40 CFR
part 1066. If the speeds do not conform to these criteria, the test is
not valid and must be repeated.
    (e) Run test cycles as specified in 40 CFR part 86. For cruise
cycle testing of vehicles equipped with cruise control, use the
vehicle's cruise control to control the vehicle speed. For vehicles
equipped with adjustable VSLs, test the vehicle with the VSL at its
highest setting.
    (f) Test the vehicle using its adjusted loaded vehicle weight,
unless we determine this would be unrepresentative of in-use operation
as specified in 40 CFR 1065.10(c)(1).
    (g) For hybrid vehicles, correct for the net energy change of the
energy storage device as described in 40 CFR 1066.501.

Sec.  1037.520  Modeling CO2 emissions to show compliance.

    This section describes how to use the GEM simulation tool
(incorporated by reference in Sec.  1037.810) to show compliance with
the CO2 standards of Sec. Sec.  1037.105 and 1037.106. Use
good engineering judgment when demonstrating compliance using the GEM.
    (a) General modeling provisions. To run the GEM, enter all
applicable inputs as specified by the model. All seven of the following
inputs apply for sleeper cab tractors, while some do not apply for
other regulatory subcategories:
    (1) Regulatory subcategory (such as ``Class 8 Combination--Sleeper
Cab--High Roof'').
    (2) Coefficient of aerodynamic drag, as described in paragraph (b)
of this section. Leave this field blank for vocational vehicles.
    (3) Steer tire rolling resistance, as described in paragraph (c) of
this section.
    (4) Drive tire rolling resistance, as described in paragraph (c) of
this section.
    (5) Vehicle speed limit, as described in paragraph (d) of this
section. Leave this field blank for vocational vehicles.
    (6) Vehicle weight reduction, as described in paragraph (e) of this
section. Leave this field blank for vocational vehicles.
    (7) Extended idle reduction credit, as described in paragraph (f)
of this section. Leave this field blank for vehicles other than Class 8
sleeper cabs.
    (b) Coefficient of aerodynamic drag and drag area. Determine the
appropriate drag area as follows:
    (1) Use the recommended method or an alternate method to establish
a value for the vehicle's drag area, expressed in m\2\ and rounded to
two decimal places. Where we allow you to group multiple configurations
together, measure the drag area of the worst-case configuration.
Measure drag areas specified in Sec.  1037.521.
    (2) Determine the bin level for your vehicle based on the drag area
from paragraph (b)(1) of this section as shown in the following tables:

                           Table 1 to Sec.   1037.520--High-Roof Day and Sleeper Cabs
----------------------------------------------------------------------------------------------------------------
                                                               If your measured CDA    Then your CD input is . .
                         Bin level                               (m\2\) is . . .                   .
----------------------------------------------------------------------------------------------------------------
                                               High-Roof Day Cabs
----------------------------------------------------------------------------------------------------------------
Bin I.....................................................                     >= 8.0                       0.79
Bin II....................................................                    7.1-7.9                       0.72
Bin III...................................................                    6.2-7.0                       0.63
Bin IV....................................................                    5.6-6.1                       0.56
Bin V.....................................................                     <= 5.5                       0.51
----------------------------------------------------------------------------------------------------------------
                                             High-Roof Sleeper Cabs
----------------------------------------------------------------------------------------------------------------
Bin I.....................................................                     >= 7.6                       0.75
Bin II....................................................                    6.7-7.5                       0.68
Bin III...................................................                    5.8-6.6                       0.60
Bin IV....................................................                    5.2-5.7                       0.52
Bin V.....................................................                     <= 5.1                       0.47
----------------------------------------------------------------------------------------------------------------

                           Table 2 to Sec.   1037.520-- Low-Roof Day and Sleeper Cabs
----------------------------------------------------------------------------------------------------------------
                                                               If your measured CDA    Then your CD input is . .
                         Bin level                               (m\2\) is . . .                   .
----------------------------------------------------------------------------------------------------------------
                                          Low-Roof Day and Sleeper Cabs
----------------------------------------------------------------------------------------------------------------
Bin I.....................................................                     >= 5.1                       0.77
Bin II....................................................                     <= 5.0                       0.71
----------------------------------------------------------------------------------------------------------------
                                          Mid-Roof Day and Sleeper Cabs
----------------------------------------------------------------------------------------------------------------
Bin I.....................................................                     >= 5.6                       0.87
Bin II....................................................                     <= 5.5                       0.82
----------------------------------------------------------------------------------------------------------------

    (3) For low- and mid-roof tractors, you may determine your drag
area bin based on the drag area bin of an equivalent high-roof tractor.
If the high-roof tractor is in Bin I or Bin II, then you may assume
your equivalent low- and mid-roof tractors are in Bin I. If the high-
roof tractor is in Bin III, Bin IV, or Bin V, then you may assume your
equivalent low- and mid-roof tractors are in Bin II.
    (c) Steer and drive tire rolling resistance. You must have a tire
rolling resistance level (TRRL) for each tire

configuration. For purposes of this section, you may consider tires
with the same SKU number to be the same configuration.
    (1) Measure tire rolling resistance in kg per metric ton as
specified in ISO 28580 (incorporated by reference in Sec.  1037.810),
except as specified in this paragraph (c). Use good engineering
judgment to ensure that your test results are not biased low. You may
ask us to identify a reference test laboratory to which you may
correlate your test results. Prior to beginning the test procedure in
Section 7 of ISO 28580 for a new bias-ply tire, perform a break-in
procedure by running the tire at the specified test speed, load, and
pressure for 602 minutes.
    (2) For each tire design tested, measure rolling resistance of at
least three different tires of that specific design and size. Perform
the test at least once for each tire. Use the arithmetic mean of these
results as your test result. You may use this value as your GEM input
or select a higher TRRL. You must test at least one tire size for each
tire model, and may use engineering analysis to determine the rolling
resistance of other tire sizes of that model. Note that for tire sizes
that you do not test, we will treat your analytically derived rolling
resistances the same as test results, and we may perform our own
testing to verify your values. We may require you to test a small sub-
sample of untested tire sizes that we select.
    (3) If you obtain your test results from the tire manufacturer or
another third party, you must obtain a signed statement from them
verifying the tests were conducted according to the requirements of
this part. Such statements are deemed to be submissions to EPA.
    (4) For tires marketed as light truck tires and that have load
ranges C, D, or E, use as the GEM input TRRL at or above the measured
rolling resistance multiplied by 0.87.
    (d) Vehicle speed limit. If the vehicles will be equipped with a
vehicle speed limiter, input the maximum vehicle speed to which the
vehicle will be limited (in miles per hour rounded to the nearest 0.1
mile per hour) as specified in Sec.  1037.640. Otherwise leave this
field blank. Use good engineering judgment to ensure the limiter is
tamper resistant. We may require you to obtain preliminary approval for
your designs.
    (e) Vehicle weight reduction. For purposes of this paragraph (e),
high-strength steel is steel with tensile strength at or above 350 MPa.
    (1) Vehicle weight reduction inputs for wheels are specified
relative to dual-wide tires with conventional steel wheels. For
purposes of this paragraph (e)(1), a light-weight aluminum wheel is one
that weighs at least 21 lb less than a comparable conventional steel
wheel. The inputs are listed in Table 4 to this section. For example, a
tractor with aluminum steel wheels and eight (4x2) dual-wide aluminum
drive wheels would have an input of 210 lb (2x21 + 8x21).

       Table 3 to Sec.   1037.520--Wheel-Related Weight Reductions
------------------------------------------------------------------------
                                                              Weight
                                                          reduction  (lb
               Weight reduction technology                  per tire or
                                                              wheel)
------------------------------------------------------------------------
Single-Wide Drive Tire with
    Steel Wheel.........................................              84
    Aluminum Wheel......................................             139
    Light-Weight Aluminum Wheel.........................             147
Steer Tire or Dual-wide Drive Tire with . . .
    High-Strength Steel Wheel...........................               8
    Aluminum Wheel......................................              21
    Light-Weight Aluminum Wheel.........................              30
------------------------------------------------------------------------

    (2) Vehicle weight reduction inputs for components other than
wheels are specified relative to mild steel components as specified in
the following table:

     Table 4 to Sec.   1037.520--Nonwheel-Related Weight Reductions
------------------------------------------------------------------------
                                                         High-strength
  Weight reduction technologies     Aluminum weight      steel weight
                                    reduction (lb)      reduction (lb)
------------------------------------------------------------------------
Door............................                  20                   6
Roof............................                  60                  18
Cab rear wall...................                  49                  16
Cab floor.......................                  56                  18
Hood Support Structure System...                  15                   3
Fairing Support Structure System                  35                   6
Instrument Panel Support                           5                   1
 Structure......................
Brake Drums--Drive (4)..........                 140                  11
Brake Drums--Non Drive (2)......                  60                   8
Frame Rails.....................                 440                  87
Crossmember--Cab................                  15                   5
Crossmember--Suspension.........                  25                   6
Crossmember--Non Suspension (3).                  15                   5
Fifth Wheel.....................                 100                  25
Radiator Support................                  20                   6
Fuel Tank Support Structure.....                  40                  12
Steps...........................                  35                   6
Bumper..........................                  33                  10
Shackles........................                  10                   3
Front Axle......................                  60                  15
Suspension Brackets, Hangers....                 100                  30
Transmission Case...............                  50                  12
Clutch Housing..................                  40                  10
Drive Axle Hubs (8).............                 160                   4
Non Drive Front Hubs (2)........                  40                   5
Driveshaft......................                  20                   5
Transmission/Clutch Shift Levers                  20                   4
------------------------------------------------------------------------

     (3) You may ask to apply the innovative technology provisions of
Sec.  1037.610 for weight reductions not covered by this paragraph (e).
    (f) Extended idle reduction credit. If your tractor is equipped
with idle reduction technology meeting the requirements of Sec.
1037.660 that will automatically shut off the main engine after 300
seconds or less, use 5.0 g/ton-mile as the input (or a lesser value
specified in Sec.  1037.660). Otherwise leave this field blank.

Sec.  1037.521  Aerodynamic measurements.

    This section describes how to determine the aerodynamic drag area
(CDA) of your vehicle using the coastdown procedure in 40
CFR part 1066 or an alternative method correlated to it.
    (a) General. The primary method for measuring the aerodynamic drag
area of vehicles is specified in paragraph (b) of this section. You may
determine the drag area using an alternate method, consistent with the
provisions of this section and good engineering judgment, based on wind
tunnel testing, computational fluid dynamic modeling, or constant-speed
road load testing. See 40 CFR 1068.5 for provisions describing how we
may evaluate your engineering judgment. All drag areas measured using
an alternative method (CDAalt) must be adjusted
to be equivalent to the corresponding drag areas that would have been
measured using the coastdown procedure as follows:
    (1) Unless good engineering judgment requires otherwise, assume
that coastdown drag areas are proportional to drag areas measured using
alternative methods. This means you may apply a single constant
adjustment factor (Falt-aero) for a given alternate drag
area method using the following equation:

CDA = CDAalt x Falt-aero

    (2) Determine Falt-aero by performing coastdown testing
and applying your alternate method on the same vehicle. Unless we
approve another vehicle, the vehicle must be a Class 8, high-roof,
sleeper cab with a full aerodynamics package, pulling a standards
trailer. Where you have more than one model meeting these criteria, use
the model with the highest projected sales. If you do not have such a
model you may use your most comparable model with prior approval. If
good engineering judgment allows the use of a single, constant value of
Falt-aero, calculate it from this coastdown drag area
(CDAcoast) divided by alternative drag area
(CDAalt):

Falt-aero = CDAcoast /
CDAalt

    (3) Calculate Falt-aero to at least three decimal
places. For example, if your coastdown testing results in a drag area
of 6.430, but your wind tunnel method results in a drag area of 6.200,
Falt-aero would be 1.037.
    (b) Recommended method. Perform coastdown testing as described in
40 CFR part 1066, subpart D, subject to the following additional
provisions:
    (1) The specifications of this paragraph (b)(1) apply when
measuring drag areas for tractors. Test high-roof tractors with a
standard box trailer. Test low- and mid-roof tractors without a trailer
(sometimes referred to as in a ``bobtail configuration''). You may test
low- and mid-roof tractors with a trailer to evaluate innovative
technologies.
    (2) The specifications of this paragraph (b)(2) apply for tractors
and standard trailers. Use tires mounted on steel rims in a dual
configuration (except for steer tires). The tires must--
    (i) Be SmartWay-Verified tires or have a rolling resistance below
5.1 kg/ton.
    (ii) Have accumulated at least 2,175 miles of prior use but have no
less than 50 percent of their original tread depth (as specified for
truck cabs in SAE J1263).
    (iii) Not be retreads or have any apparent signs of chunking or
uneven wear.
    (iv) Be size 295/75R22.5 or 275/80R22.5.
    (3) Calculate the drag area (CDA) in m\2\ from the
coastdown procedure specified in 40 CFR part 1066.
    (c) Approval. You must obtain preliminary approval before using any
methods other than coastdown testing to determine drag coefficients.
Send your request for approval to the Designated Compliance Officer.
Keep records of the information specified in this paragraph (c). Unless
we specify otherwise, include this information with your request. You
must provide any information we require to evaluate whether you are
apply the provisions of this section consistent with good engineering
judgment.
    (1) Include all of the following for your coastdown results:
    (i) The name, location, and description of your test facilities,
including background/history, equipment and capability, and track and
facility elevation, along with the grade and size/length of the track.
    (ii) Test conditions for each test result, including date and time,
wind speed and direction, ambient temperature and humidity, vehicle
speed, driving distance, manufacturer name, test vehicle/model type,
model year, applicable model engine family, tire type and rolling
resistance, weight of tractor-trailer (as tested), and driver
identifier(s).
    (iii) Average drag area result as calculated in 40 CFR 1066,
subpart D) and all of the individual run results (including voided or
invalid runs).
    (2) Identify the name and location of the test facilities for your
wind tunnel method (if applicable). Also include the following things
to describe the test facility:
    (i) Background/history.
    (ii) The layout (with diagram), type, and construction (structural
and material) of the wind tunnel.
    (iii) Wind tunnel design details: corner turning vane type and
material, air settling, mesh screen specification, air straightening
method, tunnel volume, surface area, average duct area, and circuit
length.
    (iv) Wind tunnel flow quality: temperature control and uniformity,
airflow quality, minimum airflow velocity, flow uniformity, angularity
and stability, static pressure variation, turbulence intensity, airflow
acceleration and deceleration times, test duration flow quality, and
overall airflow quality achievement.
    (v) Test/working section information: test section type (e.g.,
open, closed, adaptive wall) and shape (e.g., circular, square, oval),
length, contraction ratio, maximum air velocity, maximum dynamic
pressure, nozzle width and height, plenum dimensions and net volume,
maximum allowed model scale, maximum model height above road, strut
movement rate (if applicable), model support, primary boundary layer
slot, boundary layer elimination method, and photos and diagrams of the
test section.
    (vi) Fan section description: fan type, diameter, power, maximum
rotational speed, maximum top speed, support type, mechanical drive,
and sectional total weight.
    (vii) Data acquisition and control (where applicable): acquisition
type, motor control, tunnel control, model balance, model pressure
measurement, wheel drag balances, wing/body panel balances, and model
exhaust simulation.
    (viii) Moving ground plane or rolling road (if applicable):
construction and material, yaw table and range, moving ground length
and width, belt type, maximum belt speed, belt suction mechanism,
platen instrumentation, temperature control, and steering.
    (ix) Facility correction factors and purpose.
    (3) Include all of the following for your computational fluid
dynamics (CFD) method (if applicable):
    (i) Official name/title of the software product.

    (ii) Date and version number for the software product.
    (iii) Manufacturer/company name, address, phone number and Web
address for software product.
    (iv) Identify if the software code is Navier-Stokes or Lattice-
Boltzmann based.
    (4) Include all of the following for any other method (if
applicable):
    (i) Official name/title of the procedure(s).
    (ii) Description of the procedure.
    (iii) Cited sources for any standardized procedures that the method
is based on.
    (iv) Modifications/deviations from the standardized procedures for
the method and rational for modifications/deviations.
    (v) Data comparing this requested procedure to the coastdown
reference procedure.
    (vi) Information above from the other methods as applicable to this
method (e.g., source location/address, background/history).
    (d) Wind tunnel methods. (1) You may measure drag areas consistent
with the modified SAE procedures described in this paragraph (d) using
any wind tunnel recognized by the Subsonic Aerodynamic Testing
Association. If your wind tunnel is not capable of testing in
accordance with these modified SAE procedures, you may ask us to
approve your alternate test procedures if you demonstrate that your
procedures produce equivalent data. For purposes of this paragraph (d),
data are equivalent if they are the same or better with respect to
repeatability and unbiased correlation with coastdown testing. Note
that, for wind tunnels not capable of these modified SAE procedures,
good engineering judgment may require you to base your alternate method
adjustment factor on more than one vehicle. You may not develop your
correction factor until we have approved your alternate method. The
applicable SAE procedures are SAE J1252, SAE J1594, and SAE J2071
(incorporated by reference in Sec.  1037.810). The following
modifications apply for SAE J1252:
    (i) The minimum Reynold's number (Remin) is 1.0 x 10\6\
instead of the value specified in section 5.2 of the SAE procedure.
Your model frontal area at zero yaw angle may exceed the recommended 5
percent of the active test section area, provided it does not exceed 25
percent.
    (ii) For full-scale wind tunnel testing, use good engineering
judgment to select a test article (tractor and trailer) that is a
reasonable representation of the test article used for the reference
method testing. For example, where your wind tunnel is not long enough
to test the tractor with a standard 53 foot trailer, it may be
appropriate to use shorter box trailer. In such a case, the correlation
developed using the shorter trailer would only be valid for testing
with the shorter trailer.
    (iii) For reduced-scale wind tunnel testing, a one-eighth (1/8th)
or larger scale model of a heavy-duty tractor and trailer must be used,
and the model must be of sufficient design to simulate airflow through
the radiator inlet grill and across an engine geometry representative
of those commonly used in your test vehicle.
    (2) You must perform wind tunnel testing and the coastdown
procedure on the same tractor model and provide the results for both
methods. Conduct the wind tunnel tests at a zero yaw angle and, if so
equipped, utilizing the moving/rolling floor (i.e., the moving/rolling
floor should be on during the test, as opposed to static) for
comparison to the coastdown procedure, which corrects to a zero yaw
angle for the oncoming wind.
    (e) Computational fluid dynamics (CFD). You may determine drag
areas using a CFD method, consistent with good engineering judgment and
the requirements of this paragraph (e) using commercially available CFD
software code. Conduct the analysis assuming zero yaw angle, and
ambient conditions consistent with coastdown procedures. For simulating
a wind tunnel test, the analysis should accurately model the particular
wind tunnel and assume a wind tunnel blockage ratio consistent with SAE
J1252 (incorporated by reference in Sec.  1037.810) or one that matches
the selected wind tunnel, whichever is lower. For simulation of open
road conditions similar to that experienced during coastdown test
procedures, the CFD analysis should assume a blockage ratio at or below
0.2 percent.
    (1) Take the following steps for CFD code with a Navier-Stokes
formula solver:
    (i) Perform an unstructured, time-accurate, analysis using a mesh
grid size with total volume element count of at least 50 million cells
of hexahedral and/or polyhedral mesh cell shape, surface elements
representing the geometry consisting of no less than 6 million
elements, and a near-wall cell size corresponding to a y+ value of less
than 300, with the smallest cell sizes applied to local regions of the
tractor and trailer in areas of high flow gradients and smaller
geometry features.
    (ii) Perform the analysis with a turbulence model and mesh
deformation enabled (if applicable) with boundary layer resolution of
95 percent. Once result convergence is achieved,
demonstrate the convergence by supplying multiple, successive
convergence values for the analysis. The turbulence model may use k-
epsilon (k-[egr]), shear stress transport k-omega (SST k-[omega]), or
other commercially accepted methods.
    (2) For Lattice-Boltzman based CFD code, perform an unstructured,
time-accurate analysis using a mesh grid size with total surface
elements of at least 50 million cells using cubic volume elements and
triangular and/or quadrilateral surface elements with a near wall cell
size of no greater than 6 mm on local regions of the tractor and
trailer in areas of high flow gradients and smaller geometry features,
with cell sizes in other areas of the mesh grid starting at twelve
millimeters and increasing in size from this value as the distance from
the tractor-trailer model increases.
    (3) All CFD analysis should be conducted using the following
conditions:
    (i) A tractor-trailer combination using the manufacturer's tractor
and the standard trailer, as applicable.
    (ii) An environment with a blockage ratio at or below 0.2 percent
to simulate open road conditions, a zero degree yaw angle between the
oncoming wind and the tractor-trailer combination.
    (iii) Ambient conditions consistent with the coastdown test
procedures specified in this part.
    (iv) Open grill with representative back pressures based on data
from the tractor model,
    (v) Turbulence model and mesh deformation enabled (if applicable).
    (vi) Tires and ground plane in motion consistent with and
simulating a vehicle moving in the forward direction of travel.
    (vii) The smallest cell size should be applied to local regions on
the tractor and trailer in areas of high flow gradients and smaller
geometry features (e.g., the a-pillar, mirror, visor, grille and
accessories, trailer leading and trailing edges, rear bogey, tires, and
tractor-trailer gap).
    (viii) Simulate a speed of 55 mph.
    (4) You may ask us to allow you to perform CFD analysis using
parameters and criteria other than those specified in this paragraph
(e), consistent with good engineering judgment, if you can demonstrate
that the specified conditions are not feasible (e.g., insufficient
computing power to conduct such analysis, inordinate length of time to
conduct analysis, equivalent flow characteristics with more feasible

criteria/parameters) or improved criteria may yield better results
(e.g., different mesh cell shape and size). To support this request, we
may require that you supply data demonstrating that your selected
parameters/criteria will provide a sufficient level of detail to yield
an accurate analysis, including comparison of key characteristics
between your criteria/parameters and the criteria specified in
paragraphs (e)(1) and (2) of this section (e.g., pressure profiles,
drag build-up, and/or turbulent/laminar flow at key points on the front
of the tractor and/or over the length of the tractor-trailer
combination).
    (f) Yaw sweep corrections. You may optionally apply this paragraph
(f) for vehicles with aerodynamic features that are more effective at
reducing wind-averaged drag than is predicted by zero-yaw drag. You may
correct your zero-yaw drag area as follows if the ratio of the zero-yaw
drag area divided by yaw sweep drag area for your vehicle is greater
than 0.8065 (which represents the ratio expected for a typical
aerodynamic Class 8 high-roof sleeper cab tractor):
    (1) Determine the zero-yaw drag area and the yaw sweep drag area
for your vehicle using the same alternate method as specified in this
subpart. Measure drag area for 0[deg], -6[deg], and +6[deg]. Use the
arithmetic mean of the -6[deg] and +6[deg] drag areas as the 6[deg] drag area.
    (2) Calculate your yaw sweep correction factor (CFys)
using the following equation:
[GRAPHIC] [TIFF OMITTED] TR15SE11.012

    (3) Calculate your corrected drag area for determining the
aerodynamic bin by multiplying the measured zero-yaw drag area by
CFys. The correction factor may be applied to drag areas
measured using other procedures. For example, we would apply
CFys to drag areas measured using the recommended coastdown
method. If you use an alternative method, you would also need to apply
an alternative correction (Falt-aero) and calculate the
final drag area using the following equation:

    CDA = Falt-aero [middot] CFys
[middot] (CDA)zero-alt

    (4) You may ask us to apply CFys to similar vehicles
incorporating the same design features.
    (5) As an alternative, you may choose to calculate the wind-
averaged drag area according to SAE J1252 (incorporated by reference in
Sec.  1037.810) and substitute this value into the equation in
paragraph (f)(2) of this section for the 6[deg] yaw-
averaged drag area.

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

    This section describes the procedure for quantifying the reduction
in greenhouse gas emissions as a result of running power take-off (PTO)
devices with a hybrid powertrain. The procedures are written to test
the PTO so that all the energy is produced with the engine. The full
test for the hybrid vehicle is from a fully charged renewable energy
storage system (RESS) to a depleted RESS and then back to a fully
charged RESS. These procedures may be used for whole vehicles or with a
post-transmission hybrid system. When testing just the post-
transmission hybrid system, you must include all hardware for the PTO
system. You may ask us to modify the provisions of this section to
allow testing hybrid vehicles other than electric-battery hybrids,
consistent with good engineering judgment.
    (a) Select two vehicles for testing as follows:
    (1) Select a vehicle with a hybrid powertrain to represent the
vehicle family. If your vehicle family includes more than one vehicle
model, use good engineering judgment to select the vehicle type with
the maximum number of PTO circuits that has the smallest potential
reduction in greenhouse gas emissions.
    (2) Select an equivalent conventional vehicle as specified in Sec.
1037.615.
    (b) Measure PTO emissions from the fully warmed-up conventional
vehicle as follows:
    (1) Without adding any additional restrictions, instrument the
vehicle with pressure transducers at the outlet of the hydraulic pump
for each circuit.
    (2) Operate the PTO system with no load for at least 15 seconds.
Measure the pressure and record the average value over the last 10
seconds (pmin). Apply maximum operator demand to the PTO
system until the pressure relief valve opens and pressure stabilizes;
measure the pressure and record the average value over the last 10
seconds (pmax).
    (3) Denormalize the PTO duty cycle in Appendix II of this part
using the following equation:

prefi = NPi [middot] (pmax-
min) + pmin

Where:

    prefi = the reference pressure at each point i in the
PTO cycle.
    NPi= the normalized pressure at each point i in the
PTO cycle.
    pmax= the maximum pressure measured in paragraph
(b)(2) of this section.
    pmin= the minimum pressure measured in paragraph
(b)(2) of this section.

    (4) If the PTO system has two circuits, repeat paragraph (b)(2) and
(3) of this section for the second PTO circuit.
    (5) Install a system to control pressures in the PTO system during
the cycle.
    (6) Start the engine.
    (7) Operate the vehicle over one or both of the denormalized PTO
duty cycles, as applicable. Collect CO2 emissions during
operation over each duty cycle.
    (8) Use the provisions of 40 CFR part 1066 to collect and measure
emissions. Calculate emission rates in grams per test without rounding.
    (9) For each test, validate the pressure in each circuit with the
pressure specified from the cycle according to 40 CFR 1065.514.
Measured pressures must meet the specifications in the following table
for a valid test:

                   Table 1 of Sec.   1037.525--Statistical Criteria for Validating Duty Cycles
----------------------------------------------------------------------------------------------------------------
                  Parameter                                                Pressure
----------------------------------------------------------------------------------------------------------------
Slope, [verbar]a1[verbar]...................  0.950 <= a1 <= 1.030.
Absolute value of intercept, [bond]a0[bond].  <= 2.0% of maximum mapped pressure.
Standard error of estimate, SEE.............  <= 10% of maximum mapped pressure.
Coefficient of determination,  r\2\.........  >= 0.970.
----------------------------------------------------------------------------------------------------------------

    (10) Continue testing over the three vehicle drive cycles, as
otherwise required by this part.
    (11) Calculate combined cycle-weighted emissions of the four cycles
as specified in paragraph (d) of this section.
    (c) Measure PTO emissions from the fully warmed-up hybrid vehicle
as follows:
    (1) Perform the steps in paragraphs (b)(1) through (5) of this
section.
    (2) Prepare the vehicle for testing by operating it as needed to
stabilize the battery at a full state of charge. For electric hybrid
vehicles, we recommend running back-to-back PTO tests until engine
operation is initiated to charge the battery. The battery should be
fully charged once engine operation stops. The ignition should remain
in the ``on'' position.
    (3) Turn the vehicle and PTO system off while the sampling system
is being prepared.
    (4) Turn the vehicle and PTO system on such that the PTO system is
functional, whether it draws power from the engine or a battery.
    (5) Operate the vehicle over the PTO cycle(s) without turning the
vehicle off, until the engine starts and then shuts down. The test
cycle is completed once the engine shuts down. Measure emissions as
described in paragraphs (b)(2) and (3) of this section. Use good
engineering judgment to minimize the variability in testing between the
two types of vehicles.
    (6) Refer to paragraph (b)(9) of this section for cycle validation.
    (7) Continue testing over the three vehicle drive cycles, as
otherwise required by this part.
    (8) Calculate combined cycle-weighted emissions of the four cycles
as specified in paragraph (d) of this section.
    (d) Calculate combined cycle-weighted emissions of the four cycles
for vocational vehicles as follows:
    (1) Calculate the g/ton-mile emission rate for the driving portion
of the test specified in Sec.  1037.510.
    (2) Calculate the g/hr emission rate for the PTO portion of the
test by dividing the total mass emitted over the cycle (grams) by the
time of the test (hours). For testing where fractions of a cycle were
run (for example, where three cycles are completed and the halfway
point of a fourth PTO cycle is reached before the engine starts and
shuts down again), use the following procedures to calculate the time
of the test:
    (i) Add up the time run for all complete tests.
    (ii) For fractions of a test, use the following equation to
calculate the time:
[GRAPHIC] [TIFF OMITTED] TR15SE11.013

Where:
ttest = time of the incomplete test.
i = the number of each measurement interval.
N = the total number of measurement intervals.
NPcircuit--1 = Normalized pressure command from circuit 1
of the PTO cycle.
NPcircuit--2 = Normalized pressure command from circuit 2
of the PTO cycle. Let NPcircuit--2 = 1 if there is only
one circuit.
tcycle = time of a complete cycle.

    (iii) Sum the time from complete cycles (paragraph (d)(2)(i) of
this section) and from partial cycles (paragraph (d)(2)(ii) of this
section).
    (3) Convert the g/hr PTO result to an equivalent g/mi value based
on the assumed fraction of engine operating time during which the PTO
is operating (28 percent) and an assumed average vehicle speed while
driving (27.1 mph). The conversion factor is: Factor = (0.280)/(1.000-
0.280)/(27.1 mph) = 0.0144 hr/mi. Multiply the g/hr emission rate by
0.0144 hr/mi.
    (4) Divide the g/mi PTO emission rate by the standard payload and
add this value to the g/ton-mile emission rate for the driving portion
of the test.
    (e) Follow the provisions of Sec.  1037.615 to calculate
improvement factors and benefits for advanced technologies.

Sec.  1037.550  Special procedures for testing post-transmission hybrid
systems.

    This section describes the procedure for simulating a chassis test
with a post-transmission hybrid system for A to B testing. The hardware
that must be included in these tests is the engine, the transmission,
the hybrid electric motor, the power electronics between the hybrid
electric motor and the RESS, and the RESS. You may ask us to modify the
provisions of this section to allow testing non-electric hybrid
vehicles, consistent with good engineering judgment.
    (a) Set up the engine according to 40 CFR 1065.110 to account for
work inputs and outputs and accessory work.
    (b) Collect CO2 emissions while operating the system
over the test cycles specified in Sec.  1037.510.
    (c) Collect and measure emissions as described in 40 CFR part 1066.
Calculate emission rates in grams per ton-mile without rounding.
Determine values for A, B, C, and M for the vehicle being simulated as
specified in 40 CFR part 1066. If you will apply an improvement factor
or test results to multiple vehicle configurations, use values of A, B,
C, M, kd, and r that represent the vehicle configuration
with the smallest potential reduction in greenhouse gas emissions as a
result of the hybrid capability.
    (d) Calculate the transmission output shaft's angular speed target
for the driver model, fnref,driver, from the linear speed
associated with the vehicle cycle using the following equation:
[GRAPHIC] [TIFF OMITTED] TR15SE11.014

Where:
Scyclei = vehicle speed of the test cycle for each point
i.
kd = final drive ratio (the angular speed of the
transmission output shaft divided by the angular speed of the drive
axle), as declared by the manufacturer.
r = radius of the loaded tires, as declared by the manufacturer.

    (e) Use either speed control or torque control to program the
dynamometer to follow the test cycle, as follows:
    (1) Speed control. Program dynamometers using speed control as
described in this paragraph (e)(1). We recommend speed control for
automated manual transmissions or other designs where there is a power
interrupt during shifts. Calculate the transmission output shaft's
angular speed target for the dynamometer, fnref,dyno, from
the measured linear speed at the dynamometer rolls using the following
equation:

[GRAPHIC] [TIFF OMITTED] TR15SE11.015

Where:
[GRAPHIC] [TIFF OMITTED] TR15SE11.016

t = elapsed time in the driving schedule as measured by the
dynamometer, in seconds.
Let ti-1 = 0.
[GRAPHIC] [TIFF OMITTED] TR15SE11.017

Where:
Ti = instantaneous measured torque at the transmission
output shaft.
fn,i = instantaneous measured angular speed of the
transmission output shaft.

    (2) Torque control. Program dynamometers using torque control as
described in this paragraph (e)(2).
    (i) Calculate the transmission output shaft's torque target,
Trefi, using the following equation:
[GRAPHIC] [TIFF OMITTED] TR15SE11.018

Where:
FRi = total road load force at the surface of the roll,
calculated using the equation in 40 CFR 1066.210(d)(4), as specified
in paragraph (e)(2)(ii) of this section.

    (ii) Calculate the total road load force based on instantaneous
speed values, Si, calculated from the equation in paragraph
(e)(1) of this section.
    (3) For each test, validate the measured transmission output
shaft's speed or torque with the corresponding reference values
according to 40 CFR 1065.514(e). You may delete points when the vehicle
is braking or stopped. Perform the validation based on speed and torque
values at the transmission output shaft. For steady-state tests (55 mph
and 65 mph cruise), apply cycle-validation criteria by treating the
sampling periods from the two tests as a continuous sampling period.
Perform this validation based on the following parameters for either
speed-control or torque-control, as applicable:

  Table 1 of Sec.   1037.550--Statistical Criteria for Validating Duty
                                 Cycles
------------------------------------------------------------------------
          Parameter               Speed control        Torque control
------------------------------------------------------------------------
Slope, a1...................  0.950 <= a1 <= 1.030  0.950 <= a1 <=
                                                     1.030.
Absolute value of intercept,  <=2.0% of maximum     <=2.0% of maximum
 a0.                           test speed.           torque.
Standard error of estimate,   <=5% of maximum test  <=10% of maximum
 SEE.                          speed.                torque.
Coefficient of                =0.970...  =0.850.
 determination, r \2\.
------------------------------------------------------------------------

     (f) Send a brake signal when throttle position is equal to zero
and vehicle speed is greater than the reference vehicle speed from the
test cycle. The brake signal should be turned off when the torque
measured at the transmission output shaft is less than the reference
torque. Set a delay before changing the brake state using good
engineering judgment to prevent the brake signal from dithering.
    (g) The driver model should be designed to follow the cycle as
closely as possible and must meet the requirements of 40 CFR
1066.430(e) for transient testing and Sec.  1037.510 for steady-state
testing.
    (h) Correct for the net energy change of the energy storage device
as described in 40 CFR 1066.501.
    (i) Follow the provisions of Sec.  1037.510 to weight the cycle
results and Sec.  1037.615 to calculate improvement factors and
benefits for advanced technologies.

Subpart G--Special Compliance Provisions

Sec.  1037.601  What compliance provisions apply to these vehicles?

    (a) Engine and vehicle manufacturers, as well as owners and
operators of vehicles subject to the requirements of this part, and all
other persons, must observe the provisions of this part, the provisions
of the Clean Air Act, and the following provisions of 40 CFR part 1068:
    (1) The exemption and importation provisions of 40 CFR part 1068,
subparts C and D, apply for vehicles subject to this part 1037, except
that the hardship exemption provisions of 40 CFR 1068.245, 1068.250,
and 1068.255 do not apply for motor vehicles.
    (2) Manufacturers may comply with the defect reporting requirements
of 40 CFR 1068.501 instead of the defect reporting requirements of 40
CFR part 85.
    (b) Vehicles exempted from the applicable standards of 40 CFR part
86 are exempt from the standards of this part without request.
Similarly, vehicles are exempt without request if the installed engine
is exempted from the applicable standards in 40 CFR part 86.
    (c) The prohibitions of 40 CFR 86.1854 apply for vehicles subject
to the requirements of this part. The actions prohibited under this
provision include the introduction into U.S. commerce of a complete or
incomplete vehicle subject to the standards of this part where the
vehicle is not covered by a valid certificate of conformity or
exemption.
    (d) Except as specifically allowed by this part, it is a violation
of section 203(a)(1) of the Clean Air Act (42 U.S.C. 7522(a)(1)) to
introduce into U.S. commerce a tractor containing an engine not
certified for use in tractors; or to introduce into U.S. commerce a
vocational vehicle containing a light heavy-duty or medium heavy-duty
engine not certified for use in vocational vehicles. This prohibition
applies especially to the vehicle manufacturer.
    (e) A vehicle manufacturer that completes assembly of a vehicle at
two or more facilities may ask to use as the date of manufacture for
that vehicle the date on which manufacturing is completed at the place
of main assembly, consistent with provisions of

49 CFR 567.4. Note that such staged assembly is subject to the
provisions of 40 CFR 1068.260(c). Include your request in your
application for certification, along with a summary of your staged-
assembly process. You may ask to apply this allowance to some or all of
the vehicles in your vehicle family. Our approval is effective when we
grant your certificate. We will not approve your request if we
determine that you intend to use this allowance to circumvent the
intent of this part.

Sec.  1037.610  Vehicles with innovative technologies.

    (a) You may ask us to apply the provisions of this section for
CO2 emission reductions resulting from vehicle technologies
that were not in common use with heavy-duty vehicles before model year
2010 that are not reflected in the GEM simulation tool. These
provisions may be applied for CO2 emission reductions
reflected using the specified test procedures, provided they are not
reflected in the GEM. We will apply these provisions only for
technologies that will result in measurable, demonstrable, and
verifiable real-world CO2 emission reductions.
    (b) The provisions of this section may be applied as either an
improvement factor or as a separate credit, consistent with good
engineering judgment. We recommend that you base your credit/adjustment
on A to B testing of pairs of vehicles differing only with respect to
the technology in question.
    (1) Calculate improvement factors as the ratio of in-use emissions
with the technology divided by the in-use emissions without the
technology. Use the improvement-factor approach where good engineering
judgment indicates that the actual benefit will be proportional to
emissions measured over the test procedures specified in this part.
    (2) Calculate separate credits (g/ton-mile) based on the difference
between the in-use emission rate with the technology and the in-use
emission rate without the technology. Multiply this difference by the
number of vehicles, standard payload, and useful life. Use the
separate-credit approach where good engineering judgment indicates that
the actual benefit will be not be proportional to emissions measured
over the test procedures specified in this part.
    (3) We may require you to discount or otherwise adjust your
improvement factor or credit to account for uncertainty or other
relevant factors.
    (c) You may perform A to B testing by measuring emissions from the
vehicles during chassis testing or from in-use on-road testing. We
recommend that you perform on-road testing according to SAE J1321 Joint
TMC/SAE Fuel Consumption Test Procedure Type II Reaffirmed 1986-10 or
SAE J1526 Joint TMC/SAE Fuel Consumption In-Service Test Procedure Type
III Issued 1987-06 (see Sec.  1037.810 for information availability of
SAE standards), subject to the following provisions:
    (1) The minimum route distance is 100 miles.
    (2) The route selected must be representative in terms of grade. We
will take into account published and relevant research in determining
whether the grade is representative.
    (3) The vehicle speed over the route must be representative of the
drive-cycle weighting adopted for each regulatory subcategory. For
example, if the route selected for an evaluation of a combination
tractor with a sleeper cab contains only interstate driving, the
improvement factor would apply only to 86 percent of the weighted
result.
    (4) The ambient air temperature must be between 5 and 35[deg]C,
unless the technology requires other temperatures for demonstration.
    (5) We may allow you to use a Portable Emissions Measurement System
(PEMS) device for measuring CO2 emissions during the on-road
testing.
    (d) Send your request to the Designated Compliance Officer. Include
a detailed description of the technology and a recommended test plan.
Also state whether you recommend applying these provisions using the
improvement-factor method or the separate-credit method. We recommend
that you do not begin collecting test data (for submission to EPA)
before contacting us. For technologies for which the engine
manufacturer could also claim credits (such as transmissions in certain
circumstances), we may require you to include a letter from the engine
manufacturer stating that it will not seek credits for the same
technology.
    (e) We may seek public comment on your request, consistent with the
provisions of 40 CFR 86.1866. However, we will generally not seek
public comment on credits or adjustments based on A to B chassis
testing performed according to the duty-cycle testing requirements of
this part or in-use testing performed according to paragraph (c) of
this section.

Sec.  1037.615  Hybrid vehicles and other advanced technologies.

    (a) This section applies for hybrid vehicles with regenerative
braking, vehicles equipped with Rankine-cycle engines, electric
vehicles, and fuel cell vehicles. You may not generate credits for
engine features for which the engines generate credits under 40 CFR
part 1036.
    (b) Generate advanced technology emission credits for hybrid
vehicles that include regenerative braking (or the equivalent) and
energy storage systems, fuel cell vehicles, and vehicles equipped with
Rankine-cycle engines as follows:
    (1) Measure the effectiveness of the advanced system by chassis
testing a vehicle equipped with the advanced system and an equivalent
conventional vehicle. Test the vehicles as specified in subpart F of
this part. For purposes of this paragraph (b), a conventional vehicle
is considered to be equivalent if it has the same footprint (as defined
in 40 CFR 86.1803), vehicle service class, aerodynamic drag, and other
relevant factors not directly related to the hybrid powertrain. If you
use Sec.  1037.525 to quantify the benefits of a hybrid system for PTO
operation, the conventional vehicle must have same number of PTO
circuits and have equivalent PTO power. If you do not produce an
equivalent vehicle, you may create and test a prototype equivalent
vehicle. The conventional vehicle is considered Vehicle A and the
advanced vehicle is considered Vehicle B. We may specify an alternate
cycle if your vehicle includes a power take-off.
    (2) Calculate an improvement factor and g/ton-mile benefit using
the following equations and parameters:
    (i) Improvement Factor = [(Emission Rate A)--(Emission Rate B)]/
(Emission Rate A)
    (ii) g/ton-mile benefit = Improvement Factor x (GEM Result B)
    (iii) Emission Rates A and B are the g/ton-mile CO2
emission rates of the conventional and advanced vehicles, respectively,
as measured under the test procedures specified in this section. GEM
Result B is the g/ton-mile CO2 emission rate resulting from
emission modeling of the advanced vehicle as specified in Sec.
1037.520.
    (3) Use the equations of Sec.  1037.705 to convert the g/ton-mile
benefit to emission credits (in Mg). Use the g/ton-mile benefit in
place of the (Std-FEL) term.
    (c) See Sec.  1037.525 for special testing provisions related to
hybrid vehicles equipped with power take-off units.
    (d) You may use an engineering analysis to calculate an improvement
factor for fuel cell vehicles based on measured emissions from the fuel
cell vehicle.
    (e) For electric vehicles, calculate CO2 credits using
an FEL of 0 g/ton-mile.

    (f) As specified in subpart H of this part, credits generated under
this section may be used under this part 1037 outside of the averaging
set in which they were generated or used under 40 CFR part 1036.
    (g) You may certify using both provisions of this section and the
innovative technology provisions of Sec.  1037.610, provided you do not
double count emission benefits.

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

    This section specifies how manufacturers may introduce partially
complete vehicles into U.S. commerce.
    (a) The provisions of this section allow manufacturers to ship
partially complete vehicles to secondary vehicle manufacturers or
otherwise introduce them into U.S. commerce in the following
circumstances:
    (1) Tractors. Manufacturers may introduce partially complete
tractors into U.S. commerce if they are covered by a certificate of
conformity for tractors and will be in their certified tractor
configuration before they reach the ultimate purchasers. For example,
this would apply for sleepers initially shipped without the sleeper
compartments attached. Note that delegated assembly provisions may
apply (see 40 CFR 1068.261).
    (2) Vocational vehicles. Manufacturers may introduce partially
complete vocational vehicles into U.S. commerce if they are covered by
a certificate of conformity for vocational vehicles and will be in
their certified vocational configuration before they reach the ultimate
purchasers. Note that delegated assembly provisions may apply (see 40
CFR 1068.261).
    (3) Uncertified vehicles that will be certified by secondary
vehicle manufacturers. Manufacturers may introduce into U.S. commerce
partially complete vehicles for which they do not hold a certificate of
conformity only as allowed by paragraph (b) of this section.
    (b) The provisions of this paragraph (b) generally apply where the
secondary vehicle manufacturer has substantial control over the design
and assembly of emission controls. In determining whether a
manufacturer has substantial control over the design and assembly of
emission controls, we would consider the degree to which the secondary
manufacturer would be able to ensure that the engine and vehicle will
conform to the regulations in their final configurations.
    (1) A secondary manufacturer may finish assembly of partially
complete vehicles in the following cases:
    (i) It obtains a vehicle that is not fully assembled with the
intent to manufacture a complete vehicle in a certified configuration.
    (ii) It obtains a vehicle with the intent to modify it to a
certified configuration before it reaches the ultimate purchaser. For
example, this may apply for converting a gasoline-fueled vehicle to
operate on natural gas under the terms of a valid certificate.
    (2) Manufacturers may introduce partially complete vehicles into
U.S. commerce as described in this paragraph (b) if they have a written
request for such vehicles from a secondary vehicle manufacturer that
will finish the vehicle assembly and has certified the vehicle (or the
vehicle has been exempted or excluded from the requirements of this
part). The written request must include a statement that the secondary
manufacturer has a certificate of conformity (or exemption/exclusion)
for the vehicle and identify a valid vehicle family name associated
with each vehicle model ordered (or the basis for an exemption/
exclusion). The original vehicle manufacturer must apply a removable
label meeting the requirements of 40 CFR 1068.45 that identifies the
corporate name of the original manufacturer and states that the vehicle
is exempt under the provisions of Sec.  1037.620. The name of the
certifying manufacturer must also be on the label or, alternatively, on
the bill of lading that accompanies the vehicles during shipment. The
original manufacturer may not apply a permanent emission control
information label identifying the vehicle's eventual status as a
certified vehicle.
    (3) If you are the secondary manufacturer and you will hold the
certificate, you must include the following information in your
application for certification:
    (i) Identify the original manufacturer of the partially complete
vehicle or of the complete vehicle you will modify.
    (ii) Describe briefly how and where final assembly will be
completed. Specify how you have the ability to ensure that the vehicles
will conform to the regulations in their final configuration. (Note:
This section prohibits using the provisions of this paragraph (b)
unless you have substantial control over the design and assembly of
emission controls.)
    (iii) State unconditionally that you will not distribute the
vehicles without conforming to all applicable regulations.
    (4) If you are a secondary manufacturer and you are already a
certificate holder for other families, you may receive shipment of
partially complete vehicles after you apply for a certificate of
conformity but before the certificate's effective date. This exemption
allows the original manufacturer to ship vehicles after you have
applied for a certificate of conformity. Manufacturers may introduce
partially complete vehicles into U.S. commerce as described in this
paragraph (b)(4) if they have a written request for such vehicles from
a secondary manufacturer stating that the application for certification
has been submitted (instead of the information we specify in paragraph
(b)(2) of this section). We may set additional conditions under this
paragraph (b)(4) to prevent circumvention of regulatory requirements.
    (5) Both original and secondary manufacturers must keep the records
described in this section for at least five years, including the
written request for exempted vehicles and the bill of lading for each
shipment (if applicable). The written request is deemed to be a
submission to EPA.
    (6) These provisions are intended only to allow secondary
manufacturers to obtain or transport vehicles in the specific
circumstances identified in this section so any exemption under this
section expires when the vehicle reaches the point of final assembly
identified in paragraph (b)(3)(ii) of this section.
    (7) For purposes of this section, an allowance to introduce
partially complete vehicles into U.S. commerce includes a conditional
allowance to sell, introduce, or deliver such vehicles into commerce in
the United States or import them into the United States. It does not
include a general allowance to offer such vehicles for sale because
this exemption is intended to apply only for cases in which the
certificate holder already has an arrangement to purchase the vehicles
from the original manufacturer. This exemption does not allow the
original manufacturer to subsequently offer the vehicles for sale to a
different manufacturer who will hold the certificate unless that second
manufacturer has also complied with the requirements of this part. The
exemption does not apply for any individual vehicles that are not
labeled as specified in this section or which are shipped to someone
who is not a certificate holder.
    (8) We may suspend, revoke, or void an exemption under this
section, as follows:
    (i) We may suspend or revoke your exemption if you fail to meet the
requirements of this section. We may suspend or revoke an exemption
related to a specific secondary manufacturer if that manufacturer sells
vehicles that are

in not in a certified configuration in violation of the regulations. We
may disallow this exemption for future shipments to the affected
secondary manufacturer or set additional conditions to ensure that
vehicles will be assembled in the certified configuration.
    (ii) We may void an exemption for all the affected vehicles if you
intentionally submit false or incomplete information or fail to keep
and provide to EPA the records required by this section.
    (iii) The exemption is void for a vehicle that is shipped to a
company that is not a certificate holder or for a vehicle that is
shipped to a secondary manufacturer that is not in compliance with the
requirements of this section.
    (iv) The secondary manufacturer may be liable for penalties for
causing a prohibited act where the exemption is voided due to actions
on the part of the secondary manufacturer.
    (c) Provide instructions along with partially complete vehicles
including all information necessary to ensure that an engine will be
installed in its certified configuration.

Sec.  1037.630  Special purpose tractors.

    (a) General provisions. This section allows a vehicle manufacturer
to reclassify certain tractors as vocational tractors. Vocational
tractors are treated as vocational vehicles and are exempt from the
standards of Sec.  1037.106. Note that references to ``tractors''
outside of this section mean non-vocational tractors.
    (1) This allowance is intended only for vehicles that do not
typically operate at highway speeds, or would otherwise not benefit
from efficiency improvements designed for line-haul tractors. This
allowance is limited to the following vehicle and application types:
    (i) Low-roof tractors intended for intra-city pickup and delivery,
such as those that deliver bottled beverages to retail stores.
    (ii) Tractors intended for off-road operation (including mixed
service operation), such as those with reinforced frames and increased
ground clearance.
    (iii) Tractors with a GCWR over 120,000 pounds.
    (2) Where we determine that a manufacturer is not applying this
allowance in good faith, we may require the manufacturer to obtain
preliminary approval before using this allowance.
    (b) Requirements. The following requirements apply with respect to
tractors reclassified under this section:
    (1) The vehicle must fully conform to all requirements applicable
to vocational vehicles under this part.
    (2) Vehicles reclassified under this section must be certified as a
separate vehicle family. However, they remain part of the vocational
regulatory sub-category and averaging set that applies for their weight
class.
    (3) You must include the following additional statement on the
vehicle's emission control information label under Sec.  1037.135:
``THIS VEHICLE WAS CERTIFIED AS A VOCATIONAL TRACTOR UNDER 40 CFR
1037.630.''.
    (4) You must keep records for three years to document your basis
for believing the vehicles will be used as described in paragraph
(a)(1) of this section. Include in your application for certification a
brief description of your basis.
    (c) Production limit. No manufacturer may produce more than 21,000
vehicles under this section in any consecutive three model year period.
This means you may not exceed 6,000 in a given model year if the
combined total for the previous two years was 15,000. The production
limit applies with respect to all Class 7 and Class 8 tractors
certified or exempted as vocational tractors. Note that in most cases,
the provisions of paragraph (a) of this section will limit the
allowable number of vehicles to be a number lower than the production
limit of this paragraph (c).
    (d) Off-road exemption. All the provisions of this section apply
for vocational tractors exempted under Sec.  1037.631, except as
follows:
    (1) The vehicles are required to comply with the requirements of
Sec.  1037.631 instead of the requirements that would otherwise apply
to vocational vehicles. Vehicles complying with the requirements of
Sec.  1037.631 and using an engine certified to the standards of 40 CFR
part 1036 are deemed to fully conform to all requirements applicable to
vocational vehicles under this part.
    (2) The vehicles must be labeled as specified under Sec.  1037.631
instead of as specified in paragraph (b)(3) of this section.

Sec.  1037.631  Exemption for vocational vehicles intended for off-road
use.

    This section provides an exemption from the greenhouse gas
standards of this part for certain vocational vehicles intended to be
used extensively in off-road environments such as forests, oil fields,
and construction sites. This section does not exempt the engine used in
the vehicle from the standards of 40 CFR part 86 or part 1036. Note
that you may not include these exempted vehicles in any credit
calculations under this part.
    (a) Qualifying criteria. Vocational vehicles intended for off-road
use meeting either the criteria of paragraph (a)(1) or (a)(2) of this
section are exempt without request, subject to the provisions of this
section.
    (1) Vehicles are exempt if the tires installed on the vehicle have
a maximum speed rating at or below 55 mph.
    (2) Vehicles are exempt if they were primarily designed to perform
work off-road (such as in oil fields, forests, or construction sites),
and they meet at least one of the criteria of paragraph (a)(2)(i) of
this section and at least one of the criteria of paragraph (a)(2)(ii)
of this section.
    (i) The vehicle must have affixed components designed to work in an
off-road environment (i.e., hazardous material equipment or off-road
drill equipment) or be designed to operate at low speeds such that it
is unsuitable for normal highway operation.
    (ii) The vehicle must meet one of the following criteria:
    (A) Have an axle that has a gross axle weight rating (GAWR) of
29,000 pounds.
    (B) Have a speed attainable in 2 miles of not more than 33 mph.
    (C) Have a speed attainable in 2 miles of not more than 45 mph, an
unloaded vehicle weight that is not less than 95 percent of its gross
vehicle weight rating (GVWR), and no capacity to carry occupants other
than the driver and operating crew.
    (b) Tractors. The provisions of this section may apply for tractors
only if each tractor qualifies as a vocational tractor under Sec.
1037.630.
    (c) Recordkeeping and reporting. (1) You must keep records to
document that your exempted vehicle configurations meet all applicable
requirements of this section. Keep these records for at least eight
years after you stop producing the exempted vehicle model. We may
review these records at any time.
    (2) You must also keep records of the individual exempted vehicles
you produce, including the vehicle identification number and a
description of the vehicle configuration.
    (3) Within 90 days after the end of each model year, you must send
to the Designated Compliance Officer a report with the following
information:
    (i) A description of each exempted vehicle configuration, including
an explanation of why it qualifies for this exemption.
    (ii) The number of vehicles exempted for each vehicle
configuration.
    (d) Labeling. You must include the following additional statement
on the vehicle's emission control information label under Sec.
1037.135: ``THIS VEHICLE

WAS EXEMPTED UNDER 40 CFR 1037.631.''.

Sec.  1037.640  Variable vehicle speed limiters.

    This section specifies provisions that apply for vehicle speed
limiters (VSLs) that you model under Sec.  1037.520. This does not
apply for VSLs that you do not model under Sec.  1037.520.
    (a) General. The regulations of this part do not constrain how you
may design VSLs for your vehicles. For example, you may design your VSL
to have a single fixed speed limit or a soft-top speed limit. You may
also design your VSL to expire after accumulation of a predetermined
number of miles. However, designs with soft tops or expiration features
are subject to proration provisions under this section that do not
apply to fixed VSLs that do not expire.
    (b) Definitions. The following definitions apply for purposes of
this section:
    (1) Default speed limit means the speed limit that normally applies
for the vehicle, except as follows:
    (i) The default speed limit for adjustable VSLs must represent the
speed limit that applies when the VSL is adjusted to its highest
setting under paragraph (c) of this section.
    (ii) For VSLs with soft tops, the default speed does not include
speeds possible only during soft-top operation.
    (iii) For expiring VSLs, the default does not include speeds that
are possible only after expiration.
    (2) Soft-top speed limit means the highest speed limit that applies
during soft-top operation.
    (3) Maximum soft-top duration means the maximum amount of time that
a vehicle could operate above the default speed limit.
    (4) Certified VSL means a VSL configuration that applies when a
vehicle is new and until it expires.
    (5) Expiration point means the mileage at which a vehicle's
certified VSL expires (or the point at which tamper protections
expire).
    (6) Effective speed limit has the meaning given in paragraph (d) of
this section.
    (c) Adjustments. You may design your VSL to be adjustable; however,
this may affect the value you use in the GEM.
    (1) Except as specified in paragraph (c)(2) of this section, any
adjustments that can be made to the engine, vehicle, or their controls
that change the VSL's actual speed limit are considered to be
adjustable operating parameters. Compliance is based on the vehicle
being adjusted to the highest speed limit within this range.
    (2) The following adjustments are not adjustable parameters:
    (i) Adjustments made only to account for changing tire size or
final drive ratio.
    (ii) Adjustments protected by encrypted controls or passwords.
    (iii) Adjustments possible only after the VSL's expiration point.
    (d) Effective speed limit. (1) For VSLs without soft tops or
expiration points that expire before 1,259,000 miles, the effective
speed limit is the highest speed limit that results by adjusting the
VSL or other vehicle parameters consistent with the provisions of
paragraph (c) of this section.
    (2) For VSLs with soft tops and/or expiration points, the effective
speed limit is calculated as specified in this paragraph (d)(2), which
is based on 10 hours of operation per day (394 miles per day for day
cabs and 551 miles per day for sleeper cabs). Note that this
calculation assumes that a fraction of this operation is speed limited
(3.9 hours and 252 miles for day cabs, and 7.3 hours and 474 miles for
sleeper cabs). Use the following equation to calculate the effective
speed limit, rounded to the nearest 0.1 mph:

Effective speed = ExF * [STF* STSL + (1-STF) * DSL] + (1-ExF)*65 mph

Where:

ExF = expiration point miles/1,259,000 miles
STF = maximum number of allowable soft top operation hours per day/
3.9 hours for day cabs (or maximum miles per day/252)
STF = maximum number of allowable soft top operation hours per day/
7.3 hours for sleeper cabs (or maximum miles per day/474)
STSL = the soft top speed limit
DSL = the default speed limit

Sec.  1037.645  In-use compliance with family emission limits (FELs).

    You may ask us to apply a higher in-use FEL for certain in-use
vehicles, subject to the provisions of this section. Note that Sec.
1037.225 contains provisions related to changing FELs during a model
year.
    (a) Purpose. This section is intended to address circumstances in
which it is in the public interest to apply a higher in-use FEL based
on forfeiting an appropriate number of emission credits.
    (b) FELs. We may apply higher in-use FELs to your vehicles as
follows:
    (1) Where your vehicle family includes more than one sub-family
with different FELs, we may apply a higher FEL within the family than
was applied to the vehicle's configuration in your final ABT report.
For example, if your vehicle family included three sub-families with
FELs of 200 g/ton-mile, 210 g/ton-mile, and 220 g/ton-mile, we may
apply a 220 g/ton-mile in-use FEL to vehicles that were originally
designated as part of the 200 g/ton-mile or 210 g/ton-mile sub-
families.
    (2) Without regard to the number of sub-families in your certified
vehicle family, we may specify new sub-families with higher FELs than
were included in your final ABT report. We may apply these higher FELs
as in-use FELs for your vehicles. For example, if your vehicle family
included three sub-families with FELs of 200 g/ton-mile, 210 g/ton-
mile, and 220 g/ton-mile, we may specify a new 230 g/ton-mile sub-
family.
    (3) In specifying sub-families and in-use FELs, we would intend to
accurately reflect the actual in-use performance of your vehicles,
consistent with the specified testing and modeling provisions of this
part.
    (c) Equivalent families. We may apply the higher FELs to other
families in other model years if they used equivalent emission
controls.
    (d) Credit forfeiture. Where we specify higher in-use FELs under
this section, you must forfeit CO2 emission credits based on
the difference between the in-use FEL and the otherwise applicable FEL.
Calculate the amount of credits to be forfeited using the applicable
equation in Sec.  1037.705, by substituting the otherwise applicable
FEL for the standard and the in-use FEL for the otherwise applicable
FEL.
    (e) Requests. Submit your request to the Designated Compliance
Officer. Include the following in your request:
    (1) The vehicle family name, model year, and name/description of
the configuration(s) affected.
    (2) A list of other vehicle families/configurations/model years
that may be affected.
    (3) The otherwise applicable FEL for each configuration along with
your recommendations for higher in-use FELs.
    (4) Your source of credits for forfeiture.
    (f) Relation to recall. You may not request higher in-use FELs for
any vehicle families for which we have made a determination of
nonconformance and ordered a recall. You may, however, make such
requests for vehicle families for which you are performing a voluntary
emission recall.
    (g) Approval. We may approve your request if we determine that you
meet the requirements of this section and such approval is in the
public interest. We may include appropriate conditions with our
approval or we may approve your request with modifications.

Sec.  1037.650  Tire manufacturers.

    This section describes how the requirements of this part apply with

respect to tire manufacturers that choose to provide test data or
emission warranties for purposes of this part.
    (a) Testing. You are responsible as follows for test tires and
emission test results that you provide to vehicle manufacturers for the
purpose of the manufacturer submitting them to EPA for certification
under this part:
    (1) Such test results are deemed under Sec.  1037.825 to be
submissions to EPA. This means that you may be subject to criminal
penalties under 18 U.S.C. 1001 if you knowingly submit false test
results to the manufacturer.
    (2) You may not cause a vehicle manufacturer to violate the
regulations by rendering inaccurate emission test results you provide
(or emission test results from testing of test tires you provide) to
the vehicle manufacturer.
    (3) Your provision of test tires and emission test results to
vehicle manufacturers for the purpose of certifying under this part is
deemed to be an agreement to provide tires to EPA for confirmatory
testing under Sec.  1037.201.
    (b) Warranty. You may contractually agree to process emission
warranty claims on behalf of the manufacturer certifying the vehicle
with respect to tires you produce.
    (1) Your fulfillment of the warranty requirements of this part is
deemed to fulfill the vehicle manufacturer's warranty obligations under
this part with respect to tires you warrant.
    (2) You may not cause a vehicle manufacturer to violate the
regulations by failing to fulfill the emission warranty requirements
that you contractually agreed to fulfill.

Sec.  1037.655  Post-useful life vehicle modifications.

    This section specifies vehicle modifications that may occur after a
vehicle reaches the end of its regulatory useful life. It does not
apply with respect to modifications that occur within the useful life
period. It also does not apply with respect to engine modifications or
recalibrations. Note that many such modifications to the vehicle during
the useful life and to the engine at any time are presumed to violate
42 U.S.C. 7522(a)(3)(A).
    (a) General. Except as allowed by this section, it is prohibited
for any person to remove or render inoperative any emission control
device installed to comply with the requirements of this part 1037.
    (b) Allowable modifications. You may modify a vehicle for the
purpose of reducing emissions, provided you have a reasonable technical
basis for knowing that such modification will not increase emissions of
any other pollutant. Reasonable technical basis has the meaning given
in 40 CFR 1068.30. This generally requires you to have information that
would lead an engineer or other person familiar with engine and vehicle
design and function to reasonably believe that the modifications will
not increase emissions of any regulated pollutant.
    (c) Examples of allowable modifications. The following are examples
of allowable modifications:
    (1) It is generally allowable to remove tractor roof fairings after
the end of the vehicle's useful life if the vehicle will no longer be
used primarily to pull box trailers.
    (2) Other fairings may be removed after the end of the vehicle's
useful life if the vehicle will no longer be used significantly on
highways with vehicle speed of 55 miles per hour or higher.
    (d) Examples of prohibited modifications. The following are
examples of modifications that are not allowable:
    (1) No person may disable a vehicle speed limiter prior to its
expiration point.
    (2) No person may remove aerodynamic fairings from tractors that
are used primarily to pull box trailers on highways.

Sec.  1037.660  Automatic engine shutdown systems.

    This section specifies requirements that apply for certified
automatic engine shutdown systems (AES) that are modeled under Sec.
1037.520. It does not apply for AES systems that you do not model under
Sec.  1037.520.
    (a) Minimum requirements. Your AES system must meet all of the
requirements of this paragraph (a) to be modeled under Sec.  1037.520.
The system must shut down the engine within 300 seconds when all the
following conditions are met:
    (1) The transmission is set in neutral with the parking brake
engaged (or the transmission is set to park if so equipped).
    (2) The operator has not reset the system timer within the 300
seconds by changing the position of the accelerator, brake, or clutch
pedal; or by some other mechanism we approve.
    (3) None of the override conditions of paragraph (b) of this
section are met.
    (b) Override conditions. The system may delay shutting the engine
down while any of the conditions of this paragraph (b) apply. Engines
equipped with auto restart may restart during override conditions. Note
that these conditions allow the system to delay shutdown or restart,
but do not allow it to reset the timer. The system may delay shutdown--
    (1) While an exhaust emission control device is regenerating. The
period considered to be regeneration for purposes of this allowance
must be consistent with good engineering judgment and may differ in
length from the period considered to be regeneration for other
purposes. For example, in some cases it may be appropriate to include a
cool down period for this purpose but not for infrequent regeneration
adjustment factors.
    (2) If necessary while servicing the vehicle, provided the
deactivation of the AES system is accomplished using a diagnostic scan
tool. The system must be automatically reactivated when the engine is
shutdown for more than 60 minutes.
    (3) If the vehicle's main battery state-of-charge is not sufficient
to allow the main engine to be restarted.
    (4) If the external ambient temperature reaches a level below which
or above which the cabin temperature cannot be maintained within
reasonable heat or cold exposure threshold limit values for the health
and safety of the operator (not merely comfort).
    (5) If the vehicle's engine coolant temperature is too low
according to the manufacturer's engine protection guidance. This may
also apply for fuel or oil temperatures. This allows the engine to
continue operating until it reaches a predefined temperature at which
the shutdown sequence of paragraph (a) of this section would resume.
    (6) The system may delay shutdown while the vehicle's main engine
is operating in power take-off (PTO) mode. For purposes of this
paragraph (b)(6), an engine is considered to be in PTO mode when a
switch or setting designating PTO mode is enabled.
    (c) Expiration of AES systems. The AES system may include an
expiration point (in miles) after which the AES system may be disabled.
If your vehicle is equipped with an expiring AES system that expires
before 1,259,000 miles adjust the model input as follows:

Input = 5 g CO2/ton-mile x (miles at expiration/1,259,000
miles)

    (d) Adjustable parameters. Provisions that apply generally with
respect to adjustable parameters also apply to the AES system operating
parameters, except the following are not considered to be adjustable
parameters:
    (1) Accelerator, brake, and clutch pedals, with respect to
resetting the idle timer. Parameters associated with other timer reset
mechanisms we approve are also not adjustable parameters.

    (2) Bypass parameters allowed for vehicle service under paragraph
(b)(2) of this section.
    (3) Parameters that are adjustable only after the expiration point.

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

Sec.  1037.701  General provisions.

    (a) You may average, bank, and trade (ABT) emission credits for
purposes of certification as described in this subpart and in subpart B
of this part to show compliance with the standards of Sec. Sec.
1037.105 and 1037.106. Participation in this program is voluntary.
    (b) The definitions of Subpart I of this part apply to this
subpart. The following definitions also apply:
    (1) Actual emission credits means emission credits you have
generated that we have verified by reviewing your final report.
    (2) Averaging set means a set of vehicles in which emission credits
may be exchanged. Credits generated by one vehicle may only be used by
other vehicles in the same averaging set. Note that an averaging set
may comprise more than one regulatory subcategory. See Sec.  1037.740.
    (3) Broker means any entity that facilitates a trade of emission
credits between a buyer and seller.
    (4) Buyer means the entity that receives emission credits as a
result of a trade.
    (5) Reserved emission credits means emission credits you have
generated that we have not yet verified by reviewing your final report.
    (6) Seller means `the entity that provides emission credits during
a trade.
    (7) Standard means the emission standard that applies under subpart
B of this part for vehicles not participating in the ABT program of
this subpart.
    (8) Trade means to exchange emission credits, either as a buyer or
seller.
    (c) Emission credits may be exchanged only within an averaging set
as specified in Sec.  1037.740.
    (d) You may not use emission credits generated under this subpart
to offset any emissions that exceed an FEL or standard, except as
allowed by Sec.  1037.645.
    (e) You may trade emission credits generated from any number of
your vehicles to the vehicle purchasers or other parties to retire the
credits. Identify any such credits in the reports described in Sec.
1037.730. Vehicles 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.
    (f) Emission credits may be used in the model year they are
generated. Surplus emission credits may be banked for future model
years. Surplus emission credits may sometimes be used for past model
years, as described in Sec.  1037.745.
    (g) You may increase or decrease an FEL during the model year by
amending your application for certification under Sec.  1037.225. The
new FEL may apply only to vehicles you have not already introduced into
commerce.
    (h) See Sec.  1037.740 for special credit provisions that apply for
credits generated under Sec.  1037.104(d)(7), Sec.  1037.615 or 40 CFR
1036.615.
    (i) Unless the regulations explicitly allow it, you may not
calculate credits more than once for any emission reduction. For
example, if you generate CO2 emission credits for a given
hybrid vehicle under this part, no one may generate CO2
emission credits for the hybrid engine under 40 CFR part 1036. However,
credits could be generated for identical engine used in vehicles that
did not generate credits under this part.

Sec.  1037.705  Generating and calculating emission credits.

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

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

Where:

Std = the emission standard associated with the specific tractor
regulatory subcategory (g/ton-mile).
FEL = the family emission limit for the vehicle subfamily (g/ton-
mile).
Payload tons = the prescribed payload for each class in tons (2.85
tons for light heavy-duty vehicles, 5.6 tons for medium heavy-duty
vehicles, and 7.5 tons for heavy heavy-duty vehicles).
Volume = U.S.-directed production volume of the vehicle subfamily.
For example, if you produce three configurations with the same FEL,
the subfamily production volume would be the sum of the production
volumes for these three configurations.
UL = useful life of the vehicle (110,000 miles for light heavy-duty
vehicles, 185,000 miles for medium heavy-duty vehicles, and 435,000
miles for heavy heavy-duty vehicles).

    (2) For tractors:

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

Where:

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

    (c) As described in Sec.  1037.730, compliance with the
requirements of this subpart is determined at the end of the model year
based on actual U.S.-directed production volumes. Keep appropriate
records to document these production volumes. Do not include any of the
following vehicles to calculate emission credits:
    (1) Vehicles that you do not certify to the CO2
standards of this part because they are permanently exempted under
subpart G of this part or under 40 CFR part 1068.
    (2) Exported vehicles.
    (3) Vehicles not subject to the requirements of this part, such as
those excluded under Sec.  1037.5.
    (4) Any other vehicles, where we indicate elsewhere in this part
1037 that they are not to be included in the calculations of this
subpart.

Sec.  1037.710  Averaging.

    (a) Averaging is the exchange of emission credits among your
vehicle families. You may average emission credits only within the same
averaging set.
    (b) You may certify one or more vehicle families (or subfamilies)
to an FEL above the applicable standard, subject to any applicable FEL
caps and other provisions in subpart B of this part, if you show in
your application for certification that your projected balance of all
emission-credit transactions in that model year is greater than or
equal to zero or that a negative balance is allowed under Sec.
1037.745.
    (c) If you certify a vehicle family to an FEL that exceeds the
otherwise applicable standard, you must obtain

enough emission credits to offset the vehicle family's deficit by the
due date for the final report required in Sec.  1037.730. The emission
credits used to address the deficit may come from your other vehicle
families that generate emission credits in the same model year (or from
later model years as specified in Sec.  1037.745), from emission
credits you have banked, or from emission credits you obtain through
trading.

Sec.  1037.715  Banking.

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

Sec.  1037.720  Trading.

    (a) Trading is the exchange of emission credits between
manufacturers, or the transfer of credits to another party to retire
them. You may use traded emission credits for averaging, banking, or
further trading transactions. Traded emission credits remain subject to
the averaging-set restrictions based on the averaging set in which they
were generated.
    (b) You may trade actual emission credits as described in this
subpart. You may also trade reserved emission credits, but we may
revoke these emission credits based on our review of your records or
reports or those of the company with which you traded emission credits.
You may trade banked credits within an averaging set to any certifying
manufacturer.
    (c) If a negative emission credit balance results from a
transaction, both the buyer and seller are liable, except in cases we
deem to involve fraud. See Sec.  1037.255(e) for cases involving fraud.
We may void the certificates of all vehicle families participating in a
trade that results in a manufacturer having a negative balance of
emission credits. See Sec.  1037.745.

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

    (a) You must declare in your application for certification your
intent to use the provisions of this subpart for each vehicle family
that will be certified using the ABT program. You must also declare the
FELs you select for the vehicle family or subfamily for each pollutant
for which you are using the ABT program. Your FELs must comply with the
specifications of subpart B of this part, including the FEL caps. FELs
must be expressed to the same number of decimal places as the
applicable standards.
    (b) Include the following in your application for certification:
    (1) A statement that, to the best of your belief, you will not have
a negative balance of emission credits for any averaging set when all
emission credits are calculated at the end of the year; or a statement
that you will have a negative balance of emission credits for one or
more averaging sets but that it is allowed under Sec.  1037.745.
    (2) Calculations of projected emission credits (positive or
negative) based on projected U.S.-directed production volumes. We may
require you to include similar calculations from your other vehicle
families to project your net credit balances for the model year. If you
project negative emission credits for a family or subfamily, state the
source of positive emission credits you expect to use to offset the
negative emission credits.

Sec.  1037.730  ABT reports.

    (a) If any of your vehicle families are certified using the ABT
provisions of this subpart, you must send an end-of-year report within
90 days after the end of the model year and a final report within 270
days after the end of the model year.
    (b) Your end-of-year and final reports must include the following
information for each vehicle family participating in the ABT program:
    (1) Vehicle-family and subfamily designations.
    (2) The regulatory subcategory and emission standards that would
otherwise apply to the vehicle family.
    (3) The FEL for each pollutant. If you change the FEL after the
start of production, identify the date that you started using the new
FEL and/or give the vehicle identification number for the first vehicle
covered by the new FEL. In this case, identify each applicable FEL and
calculate the positive or negative emission credits as specified in
Sec.  1037.225.
    (4) The projected and actual U.S.-directed production volumes for
the model year. If you changed an FEL during the model year, identify
the actual production volume associated with each FEL.
    (5) Useful life.
    (6) Calculated positive or negative emission credits for the whole
vehicle family. Identify any emission credits that you traded, as
described in paragraph (d)(1) of this section.
    (7) If you have a negative credit balance for the averaging set in
the given model year, specify whether the vehicle family (or certain
subfamilies with the vehicle family) have a credit deficit for the
year. Consider for example, a manufacturer with three vehicle families
(``A'', ``B'', and ``C'') in a given averaging set. If family A
generates enough credits to offset the negative credits of family B but
not enough to also offset the negative credits of family C (and the
manufacturer has no banked credits in the averaging set), the
manufacturer may designate families A and B as having no deficit for
the model year, provided it designates family C as having a deficit for
the model year.
    (c) Your end-of-year and final reports must include the following
additional information:
    (1) Show that your net balance of emission credits from all your
participating vehicle families in each averaging set in the applicable
model year is not negative, except as allowed under Sec.  1037.745.
    (2) State whether you will reserve any emission credits for
banking.
    (3) State that the report's contents are accurate.
    (d) If you trade emission credits, you must send us a report within
90 days after the transaction, as follows:
    (1) As the seller, you must include the following information in
your report:
    (i) The corporate names of the buyer and any brokers.
    (ii) A copy of any contracts related to the trade.
    (iii) The vehicle families that generated emission credits for the
trade, including the number of emission credits from each family.
    (2) As the buyer, you must include the following information in
your report:
    (i) The corporate names of the seller and any brokers.
    (ii) A copy of any contracts related to the trade.
    (iii) How you intend to use the emission credits, including the
number of emission credits you intend to apply to each vehicle family
(if known).
    (e) Send your reports electronically to the Designated Compliance
Officer using an approved information format. If you want to use a
different format,

send us a written request with justification for a waiver.
    (f) Correct errors in your end-of-year report or final report as
follows:
    (1) You may correct any errors in your end-of-year report when you
prepare the final report, as long as you send us the final report by
the time it is due.
    (2) If you or we determine within 270 days after the end of the
model year that errors mistakenly decreased your balance of emission
credits, you may correct the errors and recalculate the balance of
emission credits. You may not make these corrections for errors that
are determined more than 270 days after the end of the model year. If
you report a negative balance of emission credits, we may disallow
corrections under this paragraph (f)(2).
    (3) If you or we determine anytime that errors mistakenly increased
your balance of emission credits, you must correct the errors and
recalculate the balance of emission credits.

Sec.  1037.735  Recordkeeping.

    (a) You must organize and maintain your records as described in