using the AC17 procedure. When all unique air conditioning system
designs within a platform have been tested, no additional testing is
required within that platform, and credits may be carried over to
subsequent model years until there is a significant change in the
platform design, at which point a new sequence of testing must be
initiated. No more than one vehicle from each credit-generating
platform is required to be tested in each model year.
* * * * *
    (g) * * *
    (1) For each air conditioning system (as defined in Sec.  86.1803)
selected by the manufacturer to generate air conditioning efficiency
credits, the manufacturer shall perform the AC17 Air Conditioning
Efficiency Test Procedure specified in 40 CFR 1066.845, according to
the requirements of this paragraph (g).
* * * * *
    (3) For the first model year for which an air conditioning system
is expected to generate credits, the manufacturer must select for
testing the projected highest-selling configuration within each
combination of vehicle platform and air conditioning system (as those
terms are defined in Sec.  86.1803). The manufacturer must test at
least one unique air conditioning system within each vehicle platform
in a model year, unless all unique air conditioning systems within a
vehicle platform have been previously tested. A unique air conditioning
system design is a system with unique or substantially different
component designs or types and/or system control strategies (e.g.,
fixed-displacement vs. variable displacement compressors, orifice tube
vs. thermostatic expansion valve, single vs. dual evaporator, etc.). In
the first year of such testing, the tested vehicle configuration shall
be the highest production vehicle configuration within each platform.
In subsequent model years the manufacturer must test other unique air
conditioning systems within the vehicle platform, proceeding from the
highest production untested system until all unique air conditioning
systems within the platform have been tested, or until the vehicle
platform experiences a major redesign. Whenever a new unique air
conditioning system is tested, the highest production configuration
using that system shall be the vehicle selected for testing. Credits
may continue to be generated by the air conditioning system installed
in a vehicle platform provided that:
* * * * *

0
89. Section 86.1869-12 is amended by adding introductory text and
revising paragraphs (b)(2) introductory text, (b)(4)(ii), and (f) to
read as follows:

Sec.  86.1869-12  CO2 credits for off-cycle CO2-
reducing technologies.

    This section describes how manufacturers may generate credits for
off-cycle CO2-reducing technologies. The provisions of this
section do not apply for non-MDPV heavy-duty vehicles, except that
Sec.  86.1819-14(d)(13) describes how to apply paragraphs (c) and (d)
of this section for those vehicles.
* * * * *
    (b) * * *
    (2) The maximum allowable decrease in the manufacturer's combined
passenger automobile and light truck fleet average CO2
emissions attributable to use of the default credit values in paragraph
(b)(1) of this section is 10 grams per mile. If the total of the
CO2 g/mi credit values from paragraph (b)(1) of this section
does not exceed 10 g/mi for any passenger automobile or light truck in
a manufacturer's fleet, then the total off-cycle credits may be
calculated according to paragraph (f) of this section. If the total of
the CO2 g/mi credit values from paragraph (b)(1) of this
section exceeds 10 g/mi for any passenger automobile or light truck in
a manufacturer's fleet, then the gram per mile decrease for the
combined passenger automobile and light truck fleet must be determined
according to paragraph (b)(2)(i) of this section to determine whether
the 10 g/mi limitation has been exceeded.
* * * * *
    (4) * * *
    (ii) High efficiency exterior lighting means a lighting technology
that, when installed on the vehicle, is expected to reduce the total
electrical demand of the exterior lighting system when compared to
conventional lighting systems. To be eligible for this credit, the high
efficiency lighting must be installed in one or more of the following
lighting components: low beam, high beam, parking/position, front and
rear turn signals, front and rear side markers, taillights, and/or
license plate lighting.
* * * * *
    (f) Calculation of total off-cycle credits. Total off-cycle credits
in Megagrams of CO2 (rounded to the nearest whole number)
shall be calculated separately for passenger automobiles and light
trucks according to the following formula:

Total Credits (Megagrams) = (Credit x Production x VLM) / 1,000,000

Where:

Credit = the credit value in grams per mile determined in paragraph
(b), (c) or (d) of this section.
Production = The total number of passenger automobiles or light
trucks, whichever is applicable, produced with the off-cycle
technology to which to the credit value determined in paragraph (b),
(c), or (d) of this section applies.
VLM = vehicle lifetime miles, which for passenger automobiles shall
be 195,264 and for light trucks shall be 225,865.

0
90. Section 86.1870-12 is amended by revising the section heading,
introductory text, and paragraph (a) introductory text and adding
paragraph (a)(3) to read as follows:

Sec.  86.1870-12  CO2 credits for qualifying full-size light
pickup trucks.

    Full-size pickup trucks may be eligible for additional credits
based on the implementation of hybrid technologies or on exhaust
emission

performance, as described in this section. Credits may be generated
under either paragraph (a) or (b) of this section for a qualifying
pickup truck, but not both. The provisions of this section do not apply
for heavy-duty vehicles.
    (a) Credits for implementation of hybrid electric technology. Full
size pickup trucks that implement hybrid electric technologies may be
eligible for an additional credit under this paragraph (a). Pickup
trucks earning the credits under this paragraph (a) may not earn the
credits described in paragraph (b) of this section. To claim this
credit, the manufacturer must measure the recovered energy over the
Federal Test Procedure according to 40 CFR 600.116-12(d) to determine
whether a vehicle is a mild or strong hybrid electric vehicle. To
provide for EPA testing, the vehicle must be able to broadcast battery
pack voltage via an on-board diagnostics parameter ID channel.
* * * * *
    (3) If you produce both mild and strong hybrid electric full size
pickup trucks but do not qualify for credits under paragraph (a)(1) or
(2) of this section, your hybrid electric full size pickup trucks may
be eligible for a credit of 10 grams/mile. To receive this credit in a
given model year, you must produce a quantity of hybrid electric full
size pickup trucks such that the proportion of combined mild and strong
full size hybrid electric pickup trucks produced in a model year, when
compared to your total production of full size pickup trucks, is not
less than the required minimum percentages specified in paragraph
(a)(1) of this section.
* * * * *

0
91. Section 86.1871-12 is amended by revising the introductory text and
paragraphs (a) introductory text, (b)(1), and (d) to read as follows:

Sec.  86.1871-12  Optional early CO2 credit programs.

    Manufacturers may optionally generate CO2 credits in the
2009 through 2011 model years for use in the 2012 and later model years
subject to EPA approval and to the provisions of this section. The
provisions of Sec.  86.1819-14(k)(1) and (2) apply instead of the
provisions of this section for non-MDPV heavy-duty vehicles.
Manufacturers may generate early fleet average credits, air
conditioning leakage credits, air conditioning efficiency credits,
early advanced technology credits, and early off-cycle technology
credits. Manufacturers generating any credits under this section must
submit an early credits report to the Administrator as required in this
section. The terms ``sales'' and ``sold'' as used in this section shall
mean vehicles produced for U.S. sale, where ``U.S.'' means the states
and territories of the United States. The expiration date of unused
CO2 credits is based on the model year in which the credits
are earned, as described in Sec.  86.1865-12(k)(6).
    (a) Early fleet average CO2 reduction credits.
Manufacturers may optionally generate credits for reductions in their
fleet average CO2 emissions achieved in the 2009 through
2011 model years. To generate early fleet average CO2
reduction credits, manufacturers must select one of the four pathways
described in paragraphs (a)(1) through (4) of this section. The
manufacturer may select only one pathway, and that pathway must remain
in effect for the 2009 through 2011 model years. Fleet average credits
(or debits) must be calculated and reported to EPA for each model year
under each selected pathway.
* * * * *
    (b) Early air conditioning leakage and efficiency credits. (1)
Manufacturers may optionally generate air conditioning refrigerant
leakage credits according to the provisions of Sec.  86.1867 and/or air
conditioning efficiency credits according to the provisions of Sec.
86.1868 in model years 2009 through 2011. Credits must be tracked by
model type and model year.
* * * * *
    (d) Early off-cycle technology credits. Manufacturers may
optionally generate credits for the implementation of certain
CO2-reducing technologies according to the provisions of
Sec.  86.1869 in model years 2009 through 2011. Credits must be tracked
by model type and model year.
* * * * *

Subpart T--Manufacturer-Run In-Use Testing Program for Heavy-Duty
Diesel Engines

0
92. Section 86.1910 is amended by revising paragraph (i) to read as
follows:

Sec.  86.1910  How must I prepare and test my in-use engines?

* * * * *
    (i) You may count a vehicle as meeting the vehicle-pass criteria
described in Sec.  86.1912 if a shift day of testing or two-shift days
of testing (with the requisite non-idle/idle operation time as in
paragraph (g) of this section), or if the extended testing you elected
under paragraph (h) of this section does not generate a single valid
NTE sampling event, as described in Sec.  86.1912(b). Count the vehicle
towards meeting your testing requirements under this subpart.
* * * * *

0
93. Section 86.1912 is revised to read as follows:

Sec.  86.1912  How do I determine whether an engine meets the vehicle-
pass criteria?

    In general, the average emissions for each regulated pollutant must
remain at or below the NTE threshold in paragraph (a) of this section
for at least 90 percent of the valid NTE sampling events, as defined in
paragraph (b) of this section. For 2007 through 2009 model year
engines, the average emissions from every NTE sampling event must also
remain below the NTE thresholds in paragraph (g)(2) of this section.
Perform the following steps to determine whether an engine meets the
vehicle-pass criteria:
    (a) Determine the NTE threshold for each pollutant subject to an
NTE standard by adding all three of the following terms and rounding
the result to the same number of decimal places as the applicable NTE
standard:
    (1) The applicable NTE standard.
    (2) The in-use compliance testing margin specified in Sec.  86.007-
11(h), if any.
    (3) An accuracy margin for portable in-use equipment when testing
is performed under the special provisions of Sec.  86.1930, depending
on the pollutant, as follows:
    (i) NMHC: 0.17 g/hp[middot]hr.
    (ii) CO: 0.60 g/hp[middot]hr.
    (iii) NOX: 0.50 g/hp[middot]hr.
    (iv) PM: 0.10 g/hp[middot]hr.
    (v) NOX + NMHC: 0.67 g/hp[middot]hr.
    (4) Accuracy margins for portable in-use equipment when testing is
not performed under the special provisions of Sec.  86.1930 for 2007
through 2009 model year engine families that are selected for testing
in any calendar year as follows:
    (i) NMHC using the emission calculation method specified in 40 CFR
1065.650(a)(1): 0.02 g/hp[middot]hr.
    (ii) NMHC using the emission calculation method specified in 40 CFR
1065.650(a)(3): 0.01 g/hp[middot]hr.
    (iii) NMHC using an alternative emission calculation method we
approve under 40 CFR 1065.915(d)(5)(iv): 0.01 g/hp[middot]hr.
    (iv) CO using the emission calculation method specified in 40 CFR
1065.650(a)(1): 0.5 g/hp[middot]hr.
    (v) CO using the emission calculation method specified in 40 CFR
1065.650(a)(3): 0.25 g/hp[middot]hr.
    (vi) CO using an alternative emission calculation method we approve
under 40 CFR 1065.915(d)(5)(iv): 0.25 g/hp[middot]hr.

    (vii) NOX using the emission calculation method
specified in 40 CFR 1065.650(a)(1): 0.45 g/hp[middot]hr.
    (viii) NOX using the emission calculation method
specified in 40 CFR 1065.650(a)(3): 0.15 g/hp[middot]hr.
    (ix) NOX using an alternative emission calculation
method we approve under 40 CFR 1065.915(d)(5)(iv): 0.15 g/hp[middot]hr.
    (x) NOX + NMHC using the emission calculation method
specified in 40 CFR 1065.650(a)(1): 0.47 g/hp[middot]hr.
    (xi) NOX + NMHC using the emission calculation method
specified in 40 CFR 1065.650(a)(3): 0.16 g/hp[middot]hr.
    (xii) NOX + NMHC using an alternative emission
calculation method we approve under 40 CFR 1065.915(d)(5)(iv): 0.16 g/
hp[middot]hr.
    (xiii) PM: 0.006 g/hp[middot]hr.
    (5) Accuracy margins for portable in-use equipment when testing is
not performed under the special provisions of Sec.  86.1930 for 2010 or
later model year engines families that are selected for testing in any
calendar year as follows:
    (i) NMHC using any emission calculation method specified in 40 CFR
1065.650(a) or an alternative emission calculation method we approve
under 40 CFR 1065.915(d)(5)(iv): 0.01 g/hp[middot]hr.
    (ii) CO using any emission calculation method specified in 40 CFR
1065.650(a) or an alternative emission calculation method we approve
under 40 CFR 1065.915(d)(5)(iv): 0.25 g/hp[middot]hr.
    (iii) NOX using any emission calculation method
specified in 40 CFR 1065.650(a) or an alternative emission calculation
method we approve under 40 CFR 1065.915(d)(5)(iv): 0.15 g/hp[middot]hr.
    (iv) PM: 0.006 g/hp[middot]hr.
    (b) For the purposes of this subpart, a valid NTE sampling event
consists of at least 30 seconds of continuous operation in the NTE
control area. An NTE event begins when the engine starts to operate in
the NTE control area and continues as long as engine operation remains
in this area (see Sec.  86.1370). When determining a valid NTE sampling
event, exclude all engine operation in approved NTE limited testing
regions under Sec.  86.1370-2007(b)(6) and any approved NTE
deficiencies under Sec.  86.007-11(a)(4)(iv). Engine operation in the
NTE control area of less than 30 contiguous seconds does not count as a
valid NTE sampling event; operating periods of less than 30 seconds in
the NTE control area, but outside of any allowed deficiency area or
limited testing region, will not be added together to make a 30 second
or longer event. Exclude any portion of a sampling event that would
otherwise exceed the 5.0 percent limit for the time-weighted carve-out
defined in Sec.  86.1370-2007(b)(7). For EGR-equipped engines, exclude
any operation that occurs during the cold-temperature operation defined
by the equations in Sec.  86.1370-2007(f)(1).
    (c) Calculate the average emission level for each pollutant over
each valid NTE sampling event as specified in 40 CFR part 1065, subpart
G, using each NTE event as an individual test interval. This should
include valid NTE events from all days of testing.
    (d) If the engine has an open crankcase, account for these
emissions by adding 0.00042 g/hp[middot]hr to the PM emission result
for every NTE event.
    (e) Calculate a time-weighted vehicle-pass ratio (Rpass)
for each pollutant. To do this, first sum the time from each valid NTE
sampling event whose average emission level is at or below the NTE
threshold for that pollutant, then divide this value by the sum of the
engine operating time from all valid NTE events for that pollutant.
Round the resulting vehicle-pass ratio to two decimal places.
    (1) Calculate the time-weighted vehicle-pass ratio for each
pollutant as follows:
[GRAPHIC] [TIFF OMITTED] TR25OC16.041

Where:

npass = the number of valid sampling events for which the
average emission level is at or below the NTE threshold.
ntotal = the total number of valid NTE sampling events.

    (2) For both the numerator and the denominator of the vehicle-pass
ratio, use the smallest of the following values for determining the
duration, t, of any NTE sampling event:
    (i) The measured time in the NTE zone that is valid for an NTE
sampling event.
    (ii) 600 seconds.
    (iii) 10 times the length of the shortest valid NTE sampling event
for all testing with that engine.
    (f) The following example illustrates how to select the duration of
NTE sampling events for calculations, as described in paragraph (f) of
this section:

----------------------------------------------------------------------------------------------------------------
                                                                                Duration used
                                           Duration of                                                  in
               NTE sample                  NTE sample            Duration limit applied?           calculations
                                            (seconds)                                                (seconds)
----------------------------------------------------------------------------------------------------------------
1......................................              45  No.....................................              45
2......................................             168  No.....................................             168
3......................................             605  Yes. Use 10 times shortest valid NTE...             450
4......................................             490  Yes. Use 10 times shortest valid NTE...             450
5......................................              65  No.....................................              65
----------------------------------------------------------------------------------------------------------------

    (g) Engines meet the vehicle-pass criteria under this section if
they meet both of the following criteria:
    (1) The vehicle-pass ratio calculated according to paragraph (e) of
this section must be at least 0.90 for each pollutant.
    (2) For model year 2007 through 2009 engines, emission levels from
every valid NTE sampling event must be less than 2.0 times the NTE
thresholds calculated according to paragraph (a) of this section for
all pollutants, except that engines certified to a NOX FEL
at or below 0.50 g/hp[middot]hr may meet the vehicle-pass criteria for
NOX if measured NOX emissions from every valid
NTE sample are less than either 2.0 times the NTE threshold for
NOX or 2.0 g/hp[middot]hr, whichever is greater.

0
94. Section 86.1920 is amended by revising paragraph (b) introductory
text to read as follows:

Sec.  86.1920  What in-use testing information must I report to EPA?

* * * * *
    (b) Within 45 days after the end of each calendar quarter, send us
reports containing the test data from each engine for which testing was
completed during the calendar quarter. Alternatively, you may
separately send us the test data within 30 days after you complete
testing for an engine. If you request it, we may allow additional time
to send us this information. Once you

send us information under this section, you need not send that
information again in later reports. Prepare your test reports as
follows:
* * * * *

Appendix I to Part 86--[Amended]

0
95. Appendix I to part 86 is amended by removing paragraph (f)(3).

PART 600--FUEL ECONOMY AND GREENHOUSE GAS EXHAUST EMISSIONS OF
MOTOR VEHICLES

0
96. The authority citation for part 600 continues to read as follows:

    Authority: 49 U.S.C. 32901-23919q, Pub. L. 109-58.

Subpart A--General Provisions

0
97. Section 600.001 is amended by revising paragraph (a) to read as
follows:

Sec.  600.001   General applicability.

    (a) The provisions of this part apply to 2008 and later model year
automobiles that are not medium duty passenger vehicles, and to 2011
and later model year automobiles including medium-duty passenger
vehicles. The test procedures in subpart B of this part also apply to
2014 and later heavy-duty vehicles subject to standards under 40 CFR
part 86, subpart S.
* * * * *

0
98. Section 600.002 is amended by revising the definitions for ``Engine
code'', ``Subconfiguration'', ``Transmission class'', and ``Vehicle
configuration'' to read as follows:

Sec.  600.002  Definitions.

* * * * *
    Engine code means one of the following:
    (1) For LDV, LDT, and MDPV, engine code means a unique combination,
within an engine-system combination (as defined in Sec.  86.1803 of
this chapter), of displacement, fuel injection (or carburetion or other
fuel delivery system), calibration, distributor calibration, choke
calibration, auxiliary emission control devices, and other engine and
emission control system components specified by the Administrator. For
electric vehicles, engine code means a unique combination of
manufacturer, electric traction motor, motor configuration, motor
controller, and energy storage device.
    (2) For HDV, engine code has the meaning given in Sec.  86.1819-
14(d)(12) of this chapter.
* * * * *
    Subconfiguration means one of the following:
    (1) For LDV, LDT, and MDPV, subconfiguration means a unique
combination within a vehicle configuration of equivalent test weight,
road-load horsepower, and any other operational characteristics or
parameters which the Administrator determines may significantly affect
fuel economy or CO2 emissions within a vehicle
configuration.
    (2) For HDV, subconfiguration has the meaning given in Sec.
86.1819-14(d)(12) of this chapter.
* * * * *
    Transmission class means a group of transmissions having the
following common features: Basic transmission type (e.g., automatic,
manual, automated manual, semi-automatic, or continuously variable);
number of forward gears used in fuel economy testing (e.g., manual
four-speed, three-speed automatic, two-speed semi-automatic); drive
system (e.g., front wheel drive, rear wheel drive; four wheel drive),
type of overdrive, if applicable (e.g., final gear ratio less than
1.00, separate overdrive unit); torque converter type, if applicable
(e.g., non-lockup, lockup, variable ratio); and other transmission
characteristics that may be determined to be significant by the
Administrator.
* * * * *
    Vehicle configuration means one of the following:
    (1) For LDV, LDT, and MDPV, vehicle configuration means a unique
combination of basic engine, engine code, inertia weight class,
transmission configuration, and axle ratio within a base level.
    (2) For HDV, vehicle configuration has the meaning given for
``configuration'' in Sec.  86.1819-14(d)(12) of this chapter.
* * * * *

Subpart B--Fuel Economy and Carbon-Related Exhaust Emission Test
Procedures

0
99. Section 600.113-12 is amended by revising paragraphs (m), (n)
introductory text, (n)(2), and (n)(3) and adding paragraph (o) to read
as follows:

Sec.  600.113-12  Fuel economy, CO2 emissions, and carbon-related
exhaust emission calculations for FTP, HFET, US06, SC03 and cold
temperature FTP tests.

* * * * *
    (m)(1) For automobiles fueled with liquefied petroleum gas and
automobiles designed to operate on gasoline and liquefied petroleum
gas, the fuel economy in miles per gallon of liquefied petroleum gas is
to be calculated using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.042

Where:

mpge = miles per gasoline gallon equivalent of liquefied
petroleum gas.
CWFfuel = carbon weight fraction based on the hydrocarbon
constituents in the liquefied petroleum gas fuel as obtained in
paragraph (f)(5) of this section and rounded according to paragraph
(g)(3) of this section.
SG = Specific gravity of the fuel as determined in paragraph (f)(5)
of this section and rounded according to paragraph (g)(3) of this
section.
3781.8 = Grams of H2O per gallon conversion factor.
CWFHC = Carbon weight fraction of exhaust hydrocarbon =
CWFfuel as determined in paragraph (f)(4) of this section
and rounded according to paragraph (f)(3) of this section.
HC = Grams/mile HC as obtained in paragraph (g)(2) of this section.
CO = Grams/mile CO as obtained in paragraph (g)(2) of this section.
CO2 = Grams/mile CO2 as obtained in paragraph
(g)(2) of this section.

    (2)(i) For automobiles fueled with liquefied petroleum gas and
automobiles designed to operate on gasoline and liquefied petroleum
gas, the carbon-related exhaust emissions in grams per mile while
operating on liquefied petroleum gas is to be calculated for 2012 and
later model year vehicles using the following equation and rounded to
the nearest 1 gram per mile:

CREE = (CWFHC/0.273 x HC) + (1.571 x CO) + CO2

Where:

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

CO = Grams/mile CO as obtained in paragraph (g)(2) of this section.
CO2 = Grams/mile CO2 as obtained in paragraph
(g)(2) of this section.

    (ii) For manufacturers complying with the fleet averaging option
for N2O and CH4 as allowed under Sec.  86.1818 of
this chapter, the carbon-related exhaust emissions in grams per mile
for 2012 and later model year automobiles fueled with liquefied
petroleum gas and automobiles designed to operate on mixtures of
gasoline and liquefied petroleum gas while operating on liquefied
petroleum gas is to be calculated using the following equation and
rounded to the nearest 1 gram per mile:

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

Where:

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

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

0
100. Section 600.116-12 is amended as follows:
0
a. By revising paragraph (c)(1) introductory text.
0
b. By redesignating paragraphs (c)(2) through (9) as paragraphs (c)(3)
through (10), respectively.
0
c. By adding a new paragraph (c)(2).
0
d. By revising newly redesignated paragraph (c)(4).
0
e. By revising newly redesignated paragraph (c)(5) introductory text.
0
f. By revising paragraphs (d)(1)(i)(C), (d)(1)(ii), (d)(2)(ii), and
(d)(3).
    The revisions and addition read as follows:

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

* * * * *
    (c) * * *
    (1) To determine CREE values to demonstrate compliance with GHG
standards, calculate composite values representing combined operation
during charge-depleting and charge-sustaining operation using the
following utility factors except as specified in this paragraph (c):
* * * * *
    (2) Determine fuel economy values to demonstrate compliance with
CAFE standards as follows:
    (i) For vehicles that are not dual fueled automobiles, determine
fuel economy using the utility factors described in paragraph (c)(1) of
this section. Do not use the petroleum-equivalence factors described in
10 CFR 474.3.
    (ii) Except as described in paragraph (c)(2)(iii) of this section,
determine fuel economy for dual fueled automobiles from the following
equation, separately for city and highway driving:
[GRAPHIC] [TIFF OMITTED] TR25OC16.043

Where:

MPGgas = The miles per gallon measured while operating on
gasoline during charge-sustaining operation as determined using the
procedures of SAE J1711.
MPGeelec = The miles per gallon equivalent measured while
operating on electricity. Calculate this value by dividing the
equivalent all-electric range determined from the equation in Sec.
86.1866-12(b)(2)(ii) by the corresponding measured Watt-hours of
energy consumed; apply the appropriate petroleum-equivalence factor
from 10 CFR 474.3 to convert Watt-hours to

gallons equivalent. Note that if vehicles use no gasoline during
charge-depleting operation, MPGeelec is the same as the
charge-depleting fuel economy specified in SAE J1711.

    (iii) For 2016 and later model year dual fueled automobiles, you
may determine fuel economy based on the following equation, separately
for city and highway driving:
[GRAPHIC] [TIFF OMITTED] TR25OC16.044

Where:

UF = The appropriate utility factor for city or highway driving as
described in paragraph (c)(1) of this section.
* * * * *
    (4) You may calculate performance values under paragraphs (c)(1)
through (3) of this section by combining phases during FTP testing. For
example, you may treat the first 7.45 miles as a single phase by adding
the individual utility factors for that portion of driving and
assigning emission levels to the combined phase. Do this consistently
throughout a test run.
    (5) Instead of the utility factors specified in paragraphs (c)(1)
through (3) of this section, calculate utility factors using the
following equation for vehicles whose maximum speed is less than the
maximum speed specified in the driving schedule, where the vehicle's
maximum speed is determined, to the nearest 0.1 mph, from observing the
highest speed over the first duty cycle (FTP, HFET, etc.):
* * * * *
    (d) * * *
    (1) * * *
    (i) * * *
    (C) Determine braking power in kilowatts using the following
equation. Note that during braking events, Pbrake,
Paccel, and Proadload will all be negative (i.e.,
resistive) forces on the vehicle.

Pbrake = Paccel-Proadload

Where:

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

    (ii) The total maximum braking energy (Ebrake) that
could theoretically be recovered is equal to the absolute value of the
sum of all the values of Pbrake determined in paragraph
(d)(1)(i)(C) of this section, divided by 36000 (to convert 10 Hz data
to hours) and rounded to the nearest 0.01 kilowatt-hours.
    (2) * * *
    (ii) At each sampling point where current is flowing into the
battery, calculate the energy flowing into the battery, in Watt-hours,
as follows:
[GRAPHIC] [TIFF OMITTED] TR25OC16.045

Where:

Et = the energy flowing into the battery, in Watt-hours,
at time t in the test;
It = the electrical current, in Amps, at time t in the
test; and
Vnominal = the nominal voltage of the hybrid battery
system determined according to paragraph (d)(4) of this section.
* * * * *
    (3) The percent of braking energy recovered by a hybrid system
relative to the total available energy is determined by the following
equation, rounded to the nearest one percent:
[GRAPHIC] [TIFF OMITTED] TR25OC16.046

Where:

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

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

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

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

    (a) * * *
    (2) * * *
    (iii) All subconfigurations within the new base level are
represented by test data in accordance with Sec.  600.010(c)(1)(iii).
* * * * *

0
102. Section 600.210-12 is amended by revising paragraph (c)(2)(iv)(C)
to read as follows:

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

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

Subpart D--Fuel Economy Labeling

0
103. Section 600.311-12 is amended by revising paragraph (g) to read as
follows:

Sec.  600.311-12  Determination of values for fuel economy labels.

* * * * *
    (g) Smog rating. Establish a rating for exhaust emissions other
than CO2 based on the applicable emission standards for the
appropriate model year as shown in Tables 1 through 3 of this section.
Unless specified otherwise, use the California emission standards to
select the smog rating only for vehicles not certified to any EPA
standards. For Independent Commercial Importers that import vehicles
not subject to Tier 2 or Tier 3 emission standards, the vehicle's smog
rating is 1. Similarly, if a manufacturer certifies vehicles to
emission standards that are less stringent than all the identified
standards for any reason, the vehicle's smog rating is 1. If EPA or
California emission standards change in the future, we may revise the
emission levels corresponding to each rating for future model years as
appropriate to reflect the changed standards. If this occurs, we would
publish the revised ratings as described in Sec.  600.302-12(k),
allowing sufficient lead time to make the

changes; we would also expect to initiate a rulemaking to update the
smog rating in the regulation.

        Table 1 of Sec.   600.311-12--Criteria for Establishing Smog Rating for Model Year 2025 and Later
----------------------------------------------------------------------------------------------------------------
                                                                          California Air Resources Board LEV III
            Rating                 U.S. EPA Tier 3 emission standard                emission standard
----------------------------------------------------------------------------------------------------------------
1.............................  Bin 160................................  LEV 160.
2.............................  Bin 125................................  ULEV125.
4.............................  Bin 70.................................  ULEV70.
5.............................  Bin 50.................................  ULEV50.
6.............................  Bin 30.................................  SULEV30.
7.............................  Bin 20.................................  SULEV20.
10............................  Bin 0..................................  ZEV.
----------------------------------------------------------------------------------------------------------------

                              Table 2 of Sec.   600.311-12--Criteria for Establishing Smog Rating for Model Years 2018-2024
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                California Air Resources Board LEV III
            Rating                 U.S. EPA Tier 3 emission standard         U.S EPA Tier 2 emission standard                emission standard
--------------------------------------------------------------------------------------------------------------------------------------------------------
1.............................  Bin 160................................  Bin 5 through Bin 8....................  LEV 160.
3.............................  Bin 125, Bin 110.......................  Bin 4..................................  ULEV125.
5.............................  Bin 85, Bin 70.........................  Bin 3..................................  ULEV70.
6.............................  Bin 50.................................  .......................................  ULEV50.
7.............................  Bin 30.................................  Bin 2..................................  SULEV30.
8.............................  Bin 20.................................  .......................................  SULEV20.
10............................  Bin 0..................................  Bin 1..................................  ZEV.
--------------------------------------------------------------------------------------------------------------------------------------------------------

           Table 3 of Sec.   600.311-12--Criteria for Establishing Smog Rating Through Model Year 2017
----------------------------------------------------------------------------------------------------------------
                                                                            California Air      California Air
                                    U.S. EPA Tier 2     U.S. EPA Tier 3     Resources Board     Resources Board
             Rating                emission standard   emission standard    LEV II emission    LEV III emission
                                                                               standard            standard
----------------------------------------------------------------------------------------------------------------
1...............................  ..................  ..................  ULEV & LEV II
                                                                           large trucks.
2...............................  Bin 8.............  ..................  SULEV II large
                                                                           trucks.
3...............................  Bin 7.............
4...............................  Bin 6.............  ..................  LEV II, option 1..
5...............................  Bin 5.............  Bin 160...........  LEV II............  LEV160.
6...............................  Bin 4.............  Bin 125, Bin 110..  ULEV II...........  ULEV125.
7...............................  Bin 3.............  Bin 85, Bin 70,     ..................  ULEV70, ULEV50.
                                                       Bin 50.
8...............................  Bin 2 \1\.........  Bin 30............  SULEV II..........  SULEV30.
9...............................  ..................  Bin 20............  PZEV..............  SULEV20, PZEV.
10..............................  Bin 1.............  Bin 0.............  ZEV...............  ZEV.
----------------------------------------------------------------------------------------------------------------
\1\ Vehicles qualify with a rating of 9 instead of 8 if they are certified to the EPA Tier 2, Bin 2 standards,
  and they are sold nationwide in a configuration that is certified in California to the PZEV or SULEV20
  standards.

* * * * *

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

0
104. Section 600.510-12 is amended as follows:
0
a. By revising the entry for ``MPG ='' in paragraph (c)(1)(ii) after
the equation.
0
b. By revising paragraphs (c)(2)(vi) introductory text, (c)(2)(vii)(A)
introductory text, and (h).
    The revisions read as follows:

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

* * * * *
    (c) * * *
    (1) * * *
    (ii) * * *
    MPG = the average fuel economy for a category of vehicles
determined according to paragraph (h) of this section;
* * * * *
    (c) * * *
    (2) * * *
    (vi) For natural gas dual fuel model types, for model years 1993
through 2016, the harmonic average of the following two terms; the
result rounded to the nearest 0.1 mpg:
* * * * *
    (vii)(A) For natural gas dual fuel model types, for model years
after 2016, the combined model type fuel economy determined according
to the following formula and rounded to the nearest 0.1 mpg:
* * * * *
    (h) The increase in average fuel economy determined in paragraph
(c) of this section attributable to dual fueled automobiles is subject
to a maximum value that applies separately to each category of
automobile specified in paragraph (a)(1) of this section. The increase
in average fuel economy attributable to vehicles fueled by electricity
or, for model years 2016 and later, by compressed natural gas, is not
subject to a maximum value. The following maximum values apply under
this paragraph (h):

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

    (1) The Administrator shall calculate the increase in average fuel
economy to determine if the maximum increase provided in this paragraph
(h) has been reached. The Administrator shall calculate the increase in
average fuel economy for each category of automobiles specified in
paragraph (a)(1) of this section by subtracting the average fuel
economy values calculated in accordance with this section, assuming all
alcohol dual fueled automobiles are operated exclusively on gasoline
(or diesel fuel), from the average fuel economy values determined in
paragraph (c) of this section. The difference is limited to the maximum
increase specified in this paragraph (h).
    (2) [Reserved]
* * * * *

PART 1033--CONTROL OF EMISSIONS FROM LOCOMOTIVES

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

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

Subpart A--Overview and Applicability

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

Sec.  1033.1  Applicability.

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

0
107. Section 1033.30 is revised to read as follows:

Sec.  1033.30  Submission of information.

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

Subpart B--Emission Standards and Related Requirements

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

Sec.  1033.101  Exhaust emission standards.

* * * * *
    (f) * * *
    (1) * * *
    (ii) Gaseous-fueled locomotives: Nonmethane-nonethane emissions
(NMNEHC). This includes dual-fuel and flexible-fuel locomotives that
use a combination of a gaseous fuel and a nongaseous fuel.
* * * * *
    (2) * * *
    (i) Certify your Tier 4 and later diesel-fueled locomotives for
operation with only Ultra Low Sulfur Diesel (ULSD) fuel. Use ULSD as
the test fuel for these locomotives. You may alternatively certify Tier
4 and later locomotives using Low Sulfur Diesel Fuel (LSD).
* * * * *
    (iii) Certify your Tier 3 and earlier diesel-fueled locomotives for
operation with either ULSD fuel or LSD fuel if they do not include
sulfur-sensitive technology or if you demonstrate compliance using an
LSD test fuel (including commercial LSD fuel).
* * * * *
    (i) Alternate CO standards. Manufacturers/remanufacturers may
certify locomotives to an alternate CO emission standard of 10.0 g/bhp-
hr instead of the otherwise applicable CO standard if they also certify
those locomotives to alternate PM standards as follows:
    (1) The alternate PM standard for Tier 0, Tier 1, and Tier 2
locomotives is one-half of the otherwise applicable PM standard. For
example, a manufacturer certifying Tier 2 switch locomotives to a 0.065
g/bhp-hr PM standard may certify those locomotives to the alternate CO
standard of 10.0 g/bhp-hr.
    (2) The alternate PM standard for Tier 3 and Tier 4 locomotives is
0.01 g/bhp-hr.
* * * * *

0
109. Section 1033.102 is revised to read as follows:

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

    (a) The Tier 0 and Tier 1 standards of Sec.  1033.101 apply for new
locomotives beginning January 1, 2010, except as specified in Sec.
1033.150(a). The Tier 0 and Tier 1 standards specified in Appendix I of
this part apply for earlier model years.
    (b) Except as specified in Sec.  1033.150(a), the Tier 2 standards
of Sec.  1033.101 apply for new locomotives beginning January 1, 2013.
The Tier 2 standards specified in Appendix I of this part apply for
earlier model years.
    (c) The Tier 3 and Tier 4 standards of Sec.  1033.101 apply for the
model years specified in that section.

0
110. Section 1033.120 is amended by revising paragraph (b) to read as
follows:

Sec.  1033.120  Emission-related warranty requirements.

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

0
111. Section 1033.135 is amended by revising paragraph (b)(3) to read
as follows:

Sec.  1033.135  Labeling.

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

0
112. Section 1033.150 is amended by revising paragraphs (a)(4)(ii) and
(g) introductory text to read as follows:

Sec.  1033.150   Interim provisions.

* * * * *
    (a) * * *
    (4) * * *
    (ii) Calculate all costs in current dollars (for the month prior to
the date

you submit your application). Calculate fuel costs based on a fuel
price adjusted by the Association of American Railroads' monthly
railroad fuel price index (P), which is available at https://www.aar.org/data-center/rail-cost-indexes. (Use values indexed to a
price of 100.0 for July 15, 1990.) Calculate a new fuel price using the
following equation:

Fuel Price = ($2.76 per gallon) x (P/539.8)
* * * * *
    (g) Optional interim Tier 4 compliance provisions for
NOX emissions. For model years 2015 through 2022,
manufacturers may choose to certify some or all of their Tier 4 line-
haul engine families according to the optional compliance provisions of
this paragraph (g). The following provisions apply to all locomotives
in those families:
* * * * *

Subpart C--Certifying Engine Families

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

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

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

0
114. Section 1033.225 is amended by revising the section heading and
adding paragraphs (b)(4) and (g) to read as follows:

Sec.  1033.225  Amending applications for certification.

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

0
115. Section 1033.235 is amended by revising paragraphs (b), (c)
introductory text, (c)(4), and (d)(1) to read as follows:

Sec.  1033.235  Emission testing required for certification.

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

0
116. Section 1033.245 is amended by revising the introductory text and
paragraph (b) introductory text and adding paragraphs (b)(3) through
(5) to read as follows:

Sec.  1033.245  Deterioration factors.

    Establish deterioration factors for each pollutant to determine
whether your locomotives will meet emission standards for each
pollutant throughout the useful life, as described in Sec.  1033.240.
Determine deterioration factors as described in this section, either
with an engineering analysis, with pre-existing test data, or with new
emission measurements. The deterioration factors are intended to
reflect the deterioration expected to result during the useful life of
a locomotive maintained as specified in Sec.  1033.125. If you perform
durability testing, the maintenance that you may perform on your
emission-data locomotive is limited to the maintenance described in
Sec.  1033.125. You may carry across a deterioration factor from one
engine family to another consistent with good engineering judgment.
* * * * *
    (b) Apply deterioration factors as follows:
* * * * *
    (3) Sawtooth and other nonlinear deterioration patterns. The
deterioration factors described in paragraphs (b)(1) and (2) of this
section assume that the highest useful life emissions occur either at
the end of useful life or at the low-hour test point. The provisions of
this paragraph (b)(3) apply where good engineering judgment indicates
that the highest emissions over the useful life will occur between
these two points. For example, emissions may increase with service
accumulation until a certain maintenance step is performed, then return
to the low-hour emission levels and begin increasing again. Base
deterioration factors for locomotives with such emission patterns on
the difference between (or ratio of) the point at which the highest
emissions occur

and the low-hour test point. Note that this applies for maintenance-
related deterioration only where we allow such critical emission-
related maintenance.
    (4) Dual-fuel and flexible-fuel engines. In the case of dual-fuel
and flexible-fuel locomotives, apply deterioration factors separately
for each fuel type by measuring emissions with each fuel type at each
test point. You may accumulate service hours on a single emission-data
engine using the type of fuel or the fuel mixture expected to have the
highest combustion and exhaust temperatures; you may ask us to approve
a different fuel mixture if you demonstrate that a different criterion
is more appropriate.
    (5) Deterioration factor for crankcase emissions. If your engine
vents crankcase emissions to the exhaust or to the atmosphere, you must
account for crankcase emission deterioration, using good engineering
judgment. You may use separate deterioration factors for crankcase
emissions of each pollutant (either multiplicative or additive) or
include the effects in combined deterioration factors that include
exhaust and crankcase emissions together for each pollutant.
* * * * *

0
117. Section 1033.250 is amended by revising paragraphs (b)(3)(iv) and
(c) to read as follows:

Sec.  1033.250  Reporting and recordkeeping.

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

0
118. Section 1033.255 is amended by revising paragraphs (c)(2), (c)(4),
(d), and (e) to read as follows:

Sec.  1033.255  EPA decisions.

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

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

0
119. Section 1033.301 is amended by revising paragraph (a) to read as
follows:

Sec.  1033.301   Applicability.

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

Sec.  1033.320  [Amended]

0
120. Section 1033.320 is amended by redesignating paragraphs (e)(6) and
(e)(7) as paragraphs (e)(5) and (e)(6), respectively.

Subpart F--Test Procedures

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

Sec.  1033.501  General provisions.

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

0
122. Section 1033.515 is amended by revising paragraphs (c)(2)(ii),
(c)(4), and (c)(5)(ii) to read as follows:

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

* * * * *
    (c) * * *
    (2) * * *

    (ii) The sample period is 300 seconds for all test modes except
mode 8. The sample period for test mode 8 is 600 seconds.
* * * * *
    (4) If applicable, begin the smoke test at the start of the test
mode A. Continue collecting smoke data until the completion of test
mode 8. You may perform smoke measurements independent of criteria
pollutant measurements by repeating the test over the duty cycle. If
you choose this option, the minimum time-in-notch is 3.0 minutes for
duty cycles in which only smoke is measured. Refer to Sec.  1033.101 to
determine applicability of smoke testing and Sec.  1033.525 for details
on how to conduct a smoke test.
    (5) * * *
    (ii) Group the modes in the same manner as the test intervals of
the ramped modal cycle and use three different dilution settings for
the groups. Use one setting for both idle modes, one for dynamic brake
through Notch 5, and one for Notch 6 through Notch 8. For each group,
ensure that the mode with the highest exhaust flow (typically normal
idle, Notch 5, and Notch 8) meets the criteria for minimum dilution
ratio in 40 CFR part 1065.
* * * * *

0
123. Section 1033.520 is revised to read as follows:

Sec.  1033.520  Alternative ramped modal cycles.

    (a) Locomotive testing over a ramped modal cycle is intended to
improve measurement accuracy at low emission levels by allowing the use
of batch sampling of PM and gaseous emissions over multiple locomotive
notch settings. Ramped modal cycles combine multiple test modes of a
discrete-mode steady-state into a single sample period. Time in notch
is varied to be proportional to weighting factors. The ramped modal
cycle for line-haul locomotives is shown in Table 1 to this section.
The ramped modal cycle for switch locomotives is shown in Table 2 to
this section. Both ramped modal cycles consist of a warm-up followed by
three test intervals that are each weighted in a manner that maintains
the duty-cycle weighting of the line-haul and switch locomotive duty
cycles in Sec.  1033.530. You may use ramped modal cycle testing for
any locomotives certified under this part.
    (b) Ramped modal testing requires continuous gaseous analyzers and
three separate PM filters (one for each test interval). You may collect
a single batch sample for each test interval, but you must also measure
gaseous emissions continuously to allow calculation of notch caps as
required under Sec.  1033.101.
    (c) You may operate the engine in any way you choose to warm it up.
Then follow the provisions of 40 CFR part 1065, subpart F for general
pre-test procedures (including engine and sampling system pre-
conditioning).
    (d) Begin the test by operating the locomotive over the pre-test
portion of the cycle. For locomotives not equipped with catalysts, you
may begin the test as soon as the engine reaches its lowest idle
setting. For catalyst-equipped locomotives, you may begin the test in
normal idle mode if the engine does not reach its lowest idle setting
within 15 minutes. If you do start in normal idle, run the low idle
mode after normal idle, then resume the specified mode sequence
(without repeating the normal idle mode).
    (e) Start the test according to 40 CFR 1065.530.
    (1) Each test interval begins when operator demand is set to the
first operator demand setting of each test interval of the ramped modal
cycle. Each test interval ends when the time in mode is reached for the
last mode in the test interval.
    (2) For PM emissions (and other batch sampling), the sample period
over which emissions for the test interval are averaged generally
begins within 10 seconds after the operator demand is changed to start
the test interval and ends within 5 seconds of the sampling time for
the test mode is reached (see Table 1 to this section). You may ask to
delay the start of the sample period to account for sample system
residence times longer than 10 seconds.
    (3) Use good engineering judgment when transitioning between test
intervals.
    (i) You should come as close as possible to simultaneously:
    (A) Ending batch sampling of the previous test interval.
    (B) Starting batch sampling of the next test interval.
    (C) Changing the operator demand to the notch setting for the first
mode in the next test interval.
    (ii) Avoid the following:
    (A) Overlapping batch sampling of the two test intervals.
    (B) An unnecessarily long delay before starting the next test
interval.
    (iii) For example, the following sequence would generally be
appropriate:
    (A) End batch sampling for Interval 2 after 304 seconds in Notch 5.
    (B) Switch the operator demand to Notch 6 one second later.
    (C) Begin batch sampling for Interval 3 one second after switching
to Notch 6.
    (4) If applicable, begin the smoke test at the start of the first
test interval of the applicable ramped modal cycle. Continue collecting
smoke data until the completion of final test interval. You may perform
smoke measurements independent of criteria pollutant measurements by
rerunning the test over the duty cycle. If you choose this option, the
minimum time-in-notch is 3.0 minutes for duty cycles in which only
smoke is measured. Refer to Sec.  1033.101 to determine applicability
of the smoke standards and Sec.  1033.525 for details on how to conduct
a smoke test.
    (5) Proceed through each test interval of the applicable ramped
modal cycle in the order specified until the test is completed.
    (6) If you must void a test interval, you may repeat it. To do so,
begin with a warm engine operating at the notch setting for the last
mode in the previous test interval. You do not need to repeat later
test intervals if they were valid. (Note: You must report test results
for all voided tests and test intervals.)
    (7) Following the completion of the third test interval of the
applicable ramped modal cycle, conduct the post-test sampling
procedures specified in 40 CFR 1065.530.
    (f) Calculate your cycle-weighted brake-specific emission rates as
follows:
    (1) For each test interval j:
    (i) Calculate emission rates (Eij) for each pollutant i
as the total mass emissions divided by the total time in the test
interval.
    (ii) Calculate average power (Pj) as the total work
divided by the total time in the test interval.
    (2) For each pollutant, calculate your cycle-weighted brake-
specific emission rate using the following equation, where
wj is the weighting factor for test interval j:
[GRAPHIC] [TIFF OMITTED] TR25OC16.047

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

                       Table 1 to Sec.   1033.520--Line-Haul Locomotive Ramped Modal Cycle
----------------------------------------------------------------------------------------------------------------
                                  Weighting                     Time in mode
      RMC test interval            factor         RMC mode        (seconds)              Notch setting
----------------------------------------------------------------------------------------------------------------
Pre-test idle................              NA              NA      600 to 900  Lowest idle setting.\1\
Interval 1 (Idle test).......           0.380               A             600  Low Idle.\2\
                                                            B             600  Normal Idle.
----------------------------------------------------------------------------------------------------------------
                                               Interval Transition
----------------------------------------------------------------------------------------------------------------
Interval 2...................           0.389               C            1000  Dynamic Brake.\3\
                                                            1             520  Notch 1.
                                                            2             520  Notch 2.
                                                            3             416  Notch 3.
                                                            4             352  Notch 4.
                                                            5             304  Notch 5.
----------------------------------------------------------------------------------------------------------------
                                               Interval Transition
----------------------------------------------------------------------------------------------------------------
Interval 3...................           0.231               6             144  Notch 6.
                                                            7             111  Notch 7.
                                                            8             600  Notch 8.
----------------------------------------------------------------------------------------------------------------
\1\ See paragraph (d) of this section for alternate pre-test provisions.
\2\ Operate at normal idle for modes A and B if not equipped with multiple idle settings.
\3\ Operate at normal idle if not equipped with a dynamic brake.

                        Table 2 to Sec.   1033.520--Switch Locomotive Ramped Modal Cycle
----------------------------------------------------------------------------------------------------------------
                                  Weighting                     Time in mode
      RMC test interval            factor         RMC mode        (seconds)              Notch setting
----------------------------------------------------------------------------------------------------------------
Pre-test idle................              NA              NA      600 to 900  Lowest idle setting.\1\
Interval 1 (Idle test).......           0.598               A             600  Low Idle.\2\
                                                            B             600  Normal Idle.
----------------------------------------------------------------------------------------------------------------
                                               Interval Transition
----------------------------------------------------------------------------------------------------------------
Interval 2...................           0.377               1             868  Notch 1.
                                                            2             861  Notch 2.
                                                            3             406  Notch 3.
                                                            4             252  Notch 4.
                                                            5             252  Notch 5.
----------------------------------------------------------------------------------------------------------------
                                               Interval Transition
----------------------------------------------------------------------------------------------------------------
Interval 3...................           0.025               6            1080  Notch 6.
                                                            7             144  Notch 7.
                                                            8             576  Notch 8.
----------------------------------------------------------------------------------------------------------------
\1\ See paragraph (d) of this section for alternate pre-test provisions.
\2\ Operate at normal idle for modes A and B if not equipped with multiple idle settings.

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

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

    For locomotives using aftertreatment technology with infrequent
regeneration events that may occur during testing, take one of the
following approaches to account for the emission impact of
regeneration:
    (a) You may use the calculation methodology described in 40 CFR
1065.680 to adjust measured emission results. Do this by developing an
upward adjustment factor and a downward adjustment factor for each
pollutant based on measured emission data and observed regeneration
frequency as follows:
    (1) Adjustment factors should generally apply to an entire engine
family, but you may develop separate adjustment factors for different
configurations within an engine family. Use the adjustment factors from
this section for all testing for the engine family.
    (2) You may use carryover or carry-across data to establish
adjustment factors for an engine family as described in Sec.  1033.235,
consistent with good engineering judgment.
    (3) Determine the frequency of regeneration, F, as described in 40
CFR 1065.680 from in-use operating data or from running repetitive
tests in a laboratory. If the engine is designed for regeneration at
fixed time intervals, you may apply good engineering judgment to
determine F based on those design parameters.
    (4) Identify the value of F in each application for the
certification for which it applies.
    (5) Apply the provisions for ramped-modal testing based on
measurements for each test interval rather than the whole ramped-modal
test.
    (b) You may ask us to approve an alternate methodology to account
for regeneration events. We will generally limit approval to cases
where your engines use aftertreatment technology with extremely
infrequent regeneration and you are unable to apply the provisions of
this section.

    (c) You may choose to make no adjustments to measured emission
results if you determine that regeneration does not significantly
affect emission levels for an engine family (or configuration) or if it
is not practical to identify when regeneration occurs. If you choose
not to make adjustments under paragraph (a) or (b) of this section,
your locomotives must meet emission standards for all testing, without
regard to regeneration.

Subpart G--Special Compliance Provisions

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

Sec.  1033.601  General compliance provisions.

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

Sec.  1033.640  [Amended]

0
126. Section 1033.640 is amended by redesignating the second paragraph
(c) and paragraphs (d) and (e) as paragraphs (d) through (f),
respectively.

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

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

Sec.  1033.701  General provisions.

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

0
128. Section 1033.710 is amended by revising paragraph (c) to read as
follows:

Sec.  1033.710  Averaging emission credits.

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

0
129. Section 1033.725 is amended by revising paragraph (b)(2) to read
as follows:

Sec.  1033.725  Requirements for your application for certification.

* * * * *
    (b) * * *
    (2) Detailed calculations of projected emission credits (positive
or negative) based on projected production volumes. We may require you
to include similar calculations from your other engine families to
demonstrate that you will be able to avoid negative credit balances for
the model year. If you project negative emission credits for a family,
state the source of positive emission credits you expect to use to
offset the negative emission credits.

0
130. Section 1033.730 is amended by revising paragraphs (b)(1), (b)(4),
(c)(2), and (d) to read as follows:

Sec.  1033.730  ABT reports.

* * * * *
    (b) * * *
    (1) Engine family designation and averaging sets (whether switch,
line-haul, or both).
* * * * *
    (4) The projected and actual U.S.-directed production volumes for
the model year as described in Sec.  1033.705. If you changed an FEL
during the model year, identify the actual U.S.-directed production
volume associated with each FEL.
* * * * *
    (c) * * *
    (2) State whether you will retain any emission credits for banking.
If you choose to retire emission credits that would otherwise be
eligible for banking, identify the engine families that generated the
emission credits, including the number of emission credits from each
family.
* * * * *
    (d) If you trade emission credits, you must send us a report within
90 days after the transaction, as follows:
    (1) As the seller, you must include the following information in
your report:
    (i) The corporate names of the buyer and any brokers.
    (ii) A copy of any contracts related to the trade.
    (iii) The averaging set corresponding to the engine families that
generated emission credits for the trade, including the number of
emission credits from each averaging set.
    (2) As the buyer, you must include the following information in
your report:
    (i) The corporate names of the seller and any brokers.
    (ii) A copy of any contracts related to the trade.
    (iii) How you intend to use the emission credits, including the
number of emission credits you intend to apply for each averaging set.
* * * * *

0
131. Section 1033.735 is amended by revising paragraphs (a) and (b) to
read as follows:

Sec.  1033.735  Required records.

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

Subpart I--Requirements for Owners and Operators

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

Sec.  1033.815  Maintenance, operation, and repair.

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

Subpart J--Definitions and Other Reference Information

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

Sec.  1033.901  Definitions.

* * * * *
    Designated Compliance Officer means the Director, Diesel Engine
Compliance Center, U.S. Environmental Protection Agency, 2000
Traverwood Drive, Ann Arbor, MI 48105<EMAIL_ADDRESS>epa.gov/otaq/verify.
* * * * *
    Dual-fuel means relating to a locomotive designed for operation on
two different fuels but not on a continuous mixture of those fuels (see
Sec.  1033.601(f)). For purposes of this part, such a locomotive
remains a dual-fuel locomotive even if it is designed for operation on
three or more different fuels.
* * * * *
    Flexible-fuel means relating to a locomotive designed for operation
on any mixture of two or more different fuels (see Sec.  1033.601(f)).
* * * * *
    Remanufacture system or remanufacturing system means all components
(or specifications for components) and instructions necessary to
remanufacture a locomotive or locomotive engine in accordance with
applicable requirements of this part.
* * * * *
    Sulfur-sensitive technology means an emission control technology
that would experience a significant drop in emission control
performance or emission-system durability when a locomotive is operated
on low-sulfur diesel fuel with a sulfur concentration of 300 to 500 ppm
as compared to when it is operated on ultra low-sulfur diesel fuel
(i.e., fuel with a sulfur concentration less than 15 ppm). Exhaust gas
recirculation is not a sulfur-sensitive technology.
* * * * *
    Total hydrocarbon equivalent has the meaning given in 40 CFR
1065.1001. This generally means the sum of the carbon mass
contributions of non-oxygenated hydrocarbon, alcohols and aldehydes, or
other organic compounds that are measured separately as contained in a
gas sample, expressed as exhaust hydrocarbon from petroleum-fueled
locomotives. The atomic hydrogen-to-carbon ratio of the equivalent
hydrocarbon is 1.85:1.
* * * * *

0
134. Section 1033.915 is revised to read as follows:

Sec.  1033.915  Confidential information.

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

0
135. Section 1033.925 is revised to read as follows:

Sec.  1033.925  Reporting and recordkeeping requirements.

    (a) This part includes various requirements to submit and record
data or other information. Unless we specify otherwise, store required
records in any format and on any media and keep them readily available
for eight years after you send an associated application for
certification, or eight years after you generate the data if they do
not support an application for certification. You are expected to keep
your own copy of required records rather than relying on someone else
to keep records on your behalf. We may review these records at any
time. You must promptly send us organized, written records in English
if we ask for them. We may require you to submit written records in an
electronic format.
    (b) The regulations in Sec.  1033.255, 40 CFR 1068.25, and 40 CFR
1068.101 describe your obligation to report truthful and complete
information. This includes information not related to certification.
Failing to properly report information and keep the records we specify
violates 40 CFR 1068.101(a)(2), which may involve civil or criminal
penalties.
    (c) Send all reports and requests for approval to the Designated
Compliance Officer (see Sec.  1033.801).
    (d) Any written information we require you to send to or receive
from another company is deemed to be a required record under this
section. Such records are also deemed to be submissions to EPA. We may
require you to send us these records whether or not you are a
certificate holder.
    (e) Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), the
Office of Management and Budget approves the reporting and
recordkeeping specified in the applicable regulations. Failing to
properly report information and keep the records we specify violates 40
CFR 1068.101(a)(2), which may involve civil or criminal penalties. The
following items illustrate the kind of reporting and recordkeeping we
require for locomotives regulated under this part:
    (1) We specify the following requirements related to locomotive
certification in this part 1033:
    (i) In Sec.  1033.150 we include various reporting and
recordkeeping requirements related to interim provisions.
    (ii) In subpart C of this part we identify a wide range of
information required to certify engines.
    (iii) In Sec.  1033.325 we specify certain records related to
production-line testing.

    (iv) In subpart G of this part we identify several reporting and
recordkeeping items for making demonstrations and getting approval
related to various special compliance provisions.
    (v) In Sec. Sec.  1033.725, 1033.730, and 1033.735 we specify
certain records related to averaging, banking, and trading.
    (vi) In subpart I of this part we specify certain records related
to meeting requirements for remanufactured engines.
    (2) We specify the following requirements related to testing in 40
CFR part 1065:
    (i) In 40 CFR 1065.2 we give an overview of principles for
reporting information.
    (ii) In 40 CFR 1065.10 and 1065.12 we specify information needs for
establishing various changes to published test procedures.
    (iii) In 40 CFR 1065.25 we establish basic guidelines for storing
test information.
    (iv) In 40 CFR 1065.695 we identify the specific information and
data items to record when measuring emissions.
    (3) We specify the following requirements related to the general
compliance provisions in 40 CFR part 1068:
    (i) In 40 CFR 1068.5 we establish a process for evaluating good
engineering judgment related to testing and certification.
    (ii) In 40 CFR 1068.25 we describe general provisions related to
sending and keeping information.
    (iii) In 40 CFR 1068.27 we require manufacturers to make
locomotives available for our testing or inspection if we make such a
request.
    (iv) In 40 CFR part 1068, subpart C, we identify several reporting
and recordkeeping items for making demonstrations and getting approval
related to various exemptions.
    (v) In 40 CFR part 1068, subpart D, we identify several reporting
and recordkeeping items for making demonstrations and getting approval
related to importing locomotives and engines.
    (vi) In 40 CFR 1068.450 and 1068.455 we specify certain records
related to testing production-line locomotives in a selective
enforcement audit.
    (vii) In 40 CFR 1068.501 we specify certain records related to
investigating and reporting emission-related defects.
    (viii) In 40 CFR 1068.525 and 1068.530 we specify certain records
related to recalling nonconforming locomotives.
    (ix) In 40 CFR part 1068, subpart G, we specify certain records for
requesting a hearing.

0
136. Appendix I to part 1033 is added to read as follows:

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

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

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

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

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

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

Subpart A--Overview and Applicability
Sec.
1036.1 Does this part apply for my engines?
1036.2 Who is responsible for compliance?
1036.5 Which engines are excluded from this part's requirements?
1036.10 How is this part organized?
1036.15 Do any other regulation parts apply to me?
1036.30 Submission of information.
Subpart B--Emission Standards and Related Requirements
1036.100 Overview of exhaust emission standards.
1036.108 Greenhouse gas emission standards.
1036.115 Other requirements.
1036.130 Installation instructions for vehicle manufacturers.
1036.135 Labeling.
1036.140 Primary intended service class and engine cycle.
1036.150 Interim provisions.
Subpart C--Certifying Engine Families
1036.205 What must I include in my application?
1036.210 Preliminary approval before certification.
1036.225 Amending my application for certification.
1036.230 Selecting engine families.
1036.235 Testing requirements for certification.
1036.241 Demonstrating compliance with greenhouse gas emission
standards.
1036.250 Reporting and recordkeeping for certification.
1036.255 What decisions may EPA make regarding my certificate of
conformity?
Subpart D--Testing Production Engines
1036.301 Measurements related to GEM inputs in a selective
enforcement audit.
Subpart E--In-use Testing
1036.401 In-use testing.
Subpart F--Test Procedures
1036.501 How do I run a valid emission test?
1036.505 Ramped-modal testing procedures.
1036.510 Engine data and information for vehicle certification.
1036.525 Hybrid engines.
1036.530 Calculating greenhouse gas emission rates.
1036.535 Determining steady-state engine fuel maps and fuel
consumption at idle.
1036.540 Determining cycle-average engine fuel maps.
Subpart G--Special Compliance Provisions
1036.601 What compliance provisions apply?
1036.605 GHG exemption for engines used in specialty vehicles.
1036.610 Off-cycle technology credits and adjustments for reducing
greenhouse gas emissions.
1036.615 Engines with Rankine cycle waste heat recovery and hybrid
powertrains.
1036.620 Alternate CO2 standards based on model year 2011
compression-ignition engines.
1036.625 In-use compliance with family emission limits (FELs).

1036.630 Certification of engine GHG emissions for powertrain
testing.
Subpart H--Averaging, Banking, and Trading for Certification
1036.701 General provisions.
1036.705 Generating and calculating emission credits.
1036.710 Averaging.
1036.715 Banking.
1036.720 Trading.
1036.725 What must I include in my application for certification?
1036.730 ABT reports.
1036.735 Recordkeeping.
1036.740 Restrictions for using emission credits.
1036.745 End-of-year CO2 credit deficits.
1036.750 What can happen if I do not comply with the provisions of
this subpart?
1036.755 Information provided to the Department of Transportation.
Subpart I--Definitions and Other Reference Information
1036.801 Definitions.
1036.805 Symbols, abbreviations, and acronyms.
1036.810 Incorporation by reference.
1036.815 Confidential information.
1036.820 Requesting a hearing.
1036.825 Reporting and recordkeeping requirements.
Appendix I to Part 1036--Default Engine Fuel Maps for Sec.  1036.540

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

Subpart A--Overview and Applicability

Sec.  1036.1  Does this part apply for my engines?

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

Sec.  1036.2  Who is responsible for compliance?

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

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

    (a) The provisions of this part do not apply to engines used in
medium-duty passenger vehicles or other heavy-duty vehicles that are
subject to regulation under 40 CFR part 86, subpart S, except as
specified in 40 CFR part 86, subpart S, and Sec.  1036.150(j). For
example, this exclusion applies for engines used in vehicles certified
to the standards of 40 CFR 86.1819.
    (b) An engine installed in a heavy-duty vehicle that is not used to
propel the vehicle is not a heavy-duty engine. The provisions of this
part therefore do not apply to these engines. Note that engines used to
indirectly propel the vehicle (such as electrical generator engines
that provide power to batteries for propulsion) are subject to this
part. See 40 CFR part 1039, 1048, or 1054 for other requirements that
apply for these auxiliary engines. See 40 CFR part 1037 for
requirements that may apply for vehicles using these engines, such as
the evaporative emission requirements of 40 CFR 1037.103.
    (c) The provisions of this part do not apply to aircraft or
aircraft engines. Standards apply separately to certain aircraft
engines, as described in 40 CFR part 87.
    (d) The provisions of this part do not apply to engines that are
not internal combustion engines. For example, the provisions of this
part do not apply to fuel cells. Note that gas turbine engines are
internal combustion engines.
    (e) The provisions of this part do not apply for model year 2013
and earlier heavy-duty engines unless they were:
    (1) Voluntarily certified to this part.
    (2) Installed in a glider vehicle subject to 40 CFR part 1037.

Sec.  1036.10  How is this part organized?

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

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

    (a) Part 86 of this chapter describes additional requirements that
apply to engines that are subject to this part 1036. This part
extensively references portions of 40 CFR part 86. For example, the
regulations of part 86 specify emission standards and certification
procedures related to criteria pollutants.
    (b) Part 1037 of this chapter describes requirements for
controlling evaporative emissions and greenhouse gas emissions from
heavy-duty vehicles, whether or not they use engines certified under
this part. It also includes standards and requirements that apply
instead of the standards and requirements of this part in some cases.
    (c) Part 1065 of this chapter describes procedures and equipment
specifications for testing engines to measure exhaust emissions.
Subpart F of this part 1036 describes how to apply the provisions of
part 1065 of this chapter to determine whether engines meet the exhaust
emission standards in this part.
    (d) Certain provisions of part 1068 of this chapter apply as
specified in Sec.  1036.601 to everyone, including anyone who
manufactures, imports, installs, owns, operates, or rebuilds any of the
engines subject to this part 1036, or vehicles containing these
engines. Part 1068 of this chapter describes general provisions that
apply broadly, but do not necessarily apply for all engines or all
persons. See Sec.  1036.601 to

determine how to apply the part 1068 regulations for heavy-duty
engines. The issues addressed by these provisions include these seven
areas:
    (1) Prohibited acts and penalties for engine manufacturers, vehicle
manufacturers, and others.
    (2) Rebuilding and other aftermarket changes.
    (3) Exclusions and exemptions for certain engines.
    (4) Importing engines.
    (5) Selective enforcement audits of your production.
    (6) Recall.
    (7) Procedures for hearings.
    (e) Other parts of this chapter apply if referenced in this part.

Sec.  1036.30  Submission of information.

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

Subpart B--Emission Standards and Related Requirements

Sec.  1036.100  Overview of exhaust emission standards.

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

Sec.  1036.108  Greenhouse gas emission standards.

    This section contains standards and other regulations applicable to
the emission of the air pollutant defined as the aggregate group of six
greenhouse gases: Carbon dioxide, nitrous oxide, methane,
hydrofluorocarbons, perfluorocarbons, and sulfur hexafluoride. This
section describes the applicable CO2, N2O, and
CH4 standards for engines. These standards do not apply for
engines used in vehicles subject to (or voluntarily certified to) the
CO2, N2O, and CH4 standards for
vehicles specified in 40 CFR 86.1819.
    (a) Emission standards. Emission standards apply for engines
measured using the test procedures specified in subpart F of this part
as follows:
    (1) CO2 emission standards in this paragraph (a)(1)
apply based on testing as specified in subpart F of this part. The
applicable test cycle for measuring CO2 emissions differs
depending on the engine family's primary intended service class and the
extent to which the engines will be (or were designed to be) used in
tractors. For medium and heavy heavy-duty engines certified as tractor
engines, measure CO2 emissions using the steady-state duty
cycle specified in 40 CFR 86.1362 (referred to as the ramped-modal
cycle, or RMC, even though emission sampling involves measurements from
discrete modes). This is intended for engines designed to be used
primarily in tractors and other line-haul applications. Note that the
use of some RMC-certified tractor engines in vocational applications
does not affect your certification obligation under this paragraph
(a)(1); see other provisions of this part and 40 CFR part 1037 for
limits on using engines certified to only one cycle. For medium and
heavy heavy-duty engines certified as both tractor and vocational
engines, measure CO2 emissions using the steady-state duty
cycle and the transient duty cycle (sometimes referred to as the FTP
engine cycle), both of which are specified in 40 CFR part 86, subpart
N. This is intended for engines that are designed for use in both
tractor and vocational applications. For all other engines (including
engines meeting spark-ignition standards), measure CO2
emissions using the appropriate transient duty cycle specified in 40
CFR part 86, subpart N.
    (i) The CO2 standard is 627 g/hp-hr for all spark-
ignition engines for model years 2016 through 2020. This standard
continues to apply in later model years for all spark-ignition engines
that are not heavy heavy-duty engines.
    (ii) The following CO2 standards apply for compression-
ignition engines (in g/hp-hr):

----------------------------------------------------------------------------------------------------------------
                                                  Medium  heavy-   Heavy  heavy-
           Model years             Light  heavy-      duty--          duty--      Medium  heavy-   Heavy  heavy-
                                       duty         vocational      vocational    duty-- tractor  duty-- tractor
----------------------------------------------------------------------------------------------------------------
2014-2016.......................             600             600             567             502             475
2017-2020.......................             576             576             555             487             460
----------------------------------------------------------------------------------------------------------------

    (iii) The following CO2 standards apply for compression-
ignition engines and all heavy heavy-duty engines (in g/hp-hr):

----------------------------------------------------------------------------------------------------------------
                                                  Medium  heavy-   Heavy  heavy-
           Model years             Light  heavy-      duty--          duty--      Medium  heavy-   Heavy  heavy-
                                       duty         vocational      vocational    duty-- tractor  duty-- tractor
----------------------------------------------------------------------------------------------------------------
2021-2023.......................             563             545             513             473             447
2024-2026.......................             555             538             506             461             436
2027 and later..................             552             535             503             457             432
----------------------------------------------------------------------------------------------------------------

    (iv) You may certify spark-ignition engines to the compression-
ignition standards for the appropriate model year under this paragraph
(a). If you do this, those engines are treated as compression-ignition
engines for all the provisions of this part.
    (2) The CH4 emission standard is 0.10 g/hp-hr when
measured over the applicable transient duty cycle specified in 40 CFR
part 86, subpart N. This standard begins in model year 2014 for
compression-ignition engines and in model year 2016 for spark-ignition
engines. Note that this standard applies for all fuel types just like
the other standards of this section.
    (3) The N2O emission standard is 0.10 g/hp-hr when
measured over the transient duty cycle specified in 40 CFR part 86,
subpart N. This standard begins in model year 2014 for compression-
ignition engines and in model year 2016 for spark-ignition engines.
    (b) Family Certification Levels. You must specify a CO2
Family Certification Level (FCL) for each engine family. The FCL may
not be less than the certified emission level for the engine family.
The CO2 Family Emission Limit (FEL) for the engine family is
equal to the FCL multiplied by 1.03.

    (c) Averaging, banking, and trading. You may generate or use
emission credits under the averaging, banking, and trading (ABT)
program described in subpart H of this part for demonstrating
compliance with CO2 emission standards. Credits (positive
and negative) are calculated from the difference between the FCL and
the applicable emission standard. As described in Sec.  1036.705, you
may use CO2 credits to certify your engine families to FELs
for N2O and/or CH4, instead of the
N2O/CH4 standards of this section that otherwise
apply. Except as specified in Sec. Sec.  1036.150 and 1036.705, you may
not generate or use credits for N2O or CH4
emissions.
    (d) Useful life. The exhaust emission standards of this section
apply for the full useful life, expressed in service miles, operating
hours, or calendar years, whichever comes first. The useful life values
applicable to the criteria pollutant standards of 40 CFR part 86 apply
for the standards of this section, except that the spark-ignition
standards and the standards for model year 2021 and later light heavy-
duty compression-ignition engines apply over a useful life of 15 years
or 150,000 miles, whichever comes first.
    (e) Applicability for testing. The emission standards in this
subpart apply as specified in this paragraph (e) to all duty-cycle
testing (according to the applicable test cycles) of testable
configurations, including certification, selective enforcement audits,
and in-use testing. The CO2 FCLs serve as the CO2
emission standards for the engine family with respect to certification
and confirmatory testing instead of the standards specified in
paragraph (a)(1) of this section. The FELs serve as the emission
standards for the engine family with respect to all other duty-cycle
testing. See Sec. Sec.  1036.235 and 1036.241 to determine which engine
configurations within the engine family are subject to testing. Note
that engine fuel maps and powertrain test results also serve as
standards as described in Sec.  1036.535, Sec.  1036.540, Sec.
1036.630 and 40 CFR 1037.550.
    (f) Multi-fuel engines. For dual-fuel, multi-fuel, and flexible-
fuel engines, perform exhaust testing on each fuel type (for example,
gasoline and E85).
    (1) This paragraph (f)(1) applies where you demonstrate the
relative amount of each fuel type that your engines consume in actual
use. Based on your demonstration, we will specify a weighting factor
and allow you to submit the weighted average of your emission results.
For example, if you certify an E85 flexible-fuel engine and we
determine the engine will produce one-half of its work from E85 and
one-half of its work from gasoline, you may apply a 50 percent
weighting factor to each of your E85 and gasoline emission results.
    (2) If you certify your engine family to N2O and/or
CH4 FELs the FELs apply for testing on all fuel types for
which your engine is designed, to the same extent as criteria emission
standards apply.

Sec.  1036.115  Other requirements.

    (a) The warranty and maintenance requirements, adjustable parameter
provisions, and defeat device prohibition of 40 CFR part 86 apply with
respect to the standards of this part.
    (b) You must perform fuel mapping for your engine as described in
Sec.  1036.510(b).
    (c) You must design and produce your engines to comply with
evaporative emission standards as follows:
    (1) For complete heavy-duty vehicles you produce, you must certify
the vehicles to emission standards as specified in 40 CFR 1037.103.
    (2) For incomplete heavy-duty vehicles, and for engines used in
vehicles you do not produce, you do not need to certify your engines to
evaporative emission standards or otherwise meet those standards.
However, vehicle manufacturers certifying their vehicles with your
engines may depend on you to produce your engines according to their
specifications. Also, your engines must meet applicable exhaust
emission standards in the installed configuration.

Sec.  1036.130  Installation instructions for vehicle manufacturers.

    (a) If you sell an engine for someone else to install in a vehicle,
give the engine installer instructions for installing it consistent
with the requirements of this part. Include all information necessary
to ensure that an engine will be installed in its certified
configuration.
    (b) Make sure these instructions have the following information:
    (1) Include the heading: ``Emission-related installation
instructions''.
    (2) State: ``Failing to follow these instructions when installing a
certified engine in a heavy-duty motor vehicle violates federal law,
subject to fines or other penalties as described in the Clean Air
Act.''
    (3) Provide all instructions needed to properly install the exhaust
system and any other components.
    (4) Describe any necessary steps for installing any diagnostic
system required under 40 CFR part 86.
    (5) Describe how your certification is limited for any type of
application. For example, if you certify heavy heavy-duty engines to
the CO2 standards using only transient FTP testing, you must
make clear that the engine may not be installed in tractors.
    (6) Describe any other instructions to make sure the installed
engine will operate according to design specifications in your
application for certification. This may include, for example,
instructions for installing aftertreatment devices when installing the
engines.
    (7) State: ``If you install the engine in a way that makes the
engine's emission control information label hard to read during normal
engine maintenance, you must place a duplicate label on the vehicle, as
described in 40 CFR 1068.105.''
    (c) Give the vehicle manufacturer fuel map results as described in
Sec.  1036.510(b).
    (d) You do not need installation instructions for engines that you
install in your own vehicles.
    (e) Provide instructions in writing or in an equivalent format. For
example, you may post instructions on a publicly available Web site for
downloading or printing. If you do not provide the instructions in
writing, explain in your application for certification how you will
ensure that each installer is informed of the installation
requirements.

Sec.  1036.135  Labeling.

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

Sec.  1036.140  Primary intended service class and engine cycle.

    You must identify a single primary intended service class for each
engine family that best describes vehicles for which you design and
market the engine, as follows:

    (a) Divide compression-ignition engines into primary intended
service classes based on the following engine and vehicle
characteristics:
    (1) Light heavy-duty engines usually are not designed for rebuild
and do not have cylinder liners. Vehicle body types in this group might
include any heavy-duty vehicle built from a light-duty truck chassis,
van trucks, multi-stop vans, and some straight trucks with a single
rear axle. Typical applications would include personal transportation,
light-load commercial delivery, passenger service, agriculture, and
construction. The GVWR of these vehicles is normally at or below 19,500
pounds.
    (2) Medium heavy-duty engines may be designed for rebuild and may
have cylinder liners. Vehicle body types in this group would typically
include school buses, straight trucks with single rear axles, city
tractors, and a variety of special purpose vehicles such as small dump
trucks, and refuse trucks. Typical applications would include
commercial short haul and intra-city delivery and pickup. Engines in
this group are normally used in vehicles whose GVWR ranges from 19,501
to 33,000 pounds.
    (3) Heavy heavy-duty engines are designed for multiple rebuilds and
have cylinder liners. Vehicles in this group are normally tractors,
trucks, straight trucks with dual rear axles, and buses used in inter-
city, long-haul applications. These vehicles normally exceed 33,000
pounds GVWR.
    (b) Divide spark-ignition engines into primary intended service
classes as follows:
    (1) Spark-ignition engines that are best characterized by paragraph
(a)(1) or (2) of this section are in a separate ``spark-ignition''
primary intended service class.
    (2) Spark-ignition engines that are best characterized by paragraph
(a)(3) of this section share a primary intended service class with
compression-ignition heavy heavy-duty engines. Gasoline-fueled engines
are presumed not to be characterized by paragraph (a)(3) of this
section; for example, vehicle manufacturers may install some number of
gasoline-fueled engines in Class 8 trucks without causing the engine
manufacturer to consider those to be heavy heavy-duty engines.
    (c) References to ``spark-ignition standards'' in this part relate
only to the spark-ignition engines identified in paragraph (b)(1) of
this section. References to ``compression-ignition standards'' in this
part relate to compression-ignition engines, to spark-ignition engines
optionally certified to standards that apply to compression-ignition
engines, and to all engines identified under paragraph (b)(2) of this
section as heavy heavy-duty engines.

Sec.  1036.150  Interim provisions.

    The provisions in this section apply instead of other provisions in
this part.
    (a) Early banking of greenhouse gas emissions. You may generate
CO2 emission credits for engines you certify in model year
2013 (2015 for spark-ignition engines) to the standards of Sec.
1036.108.
    (1) Except as specified in paragraph (a)(2) of this section, to
generate early credits, you must certify your entire U.S.-directed
production volume within that averaging set to these standards. This
means that you may not generate early credits while you produce engines
in the averaging set that are certified to the criteria pollutant
standards but not to the greenhouse gas standards. Calculate emission
credits as described in subpart H of this part relative to the standard
that would apply for model year 2014 (2016 for spark-ignition engines).
    (2) You may generate early credits for an individual compression-
ignition engine family where you demonstrate that you have improved a
model year 2013 engine model's CO2 emissions relative to its
2012 baseline level and certify it to an FCL below the applicable
standard. Calculate emission credits as described in subpart H of this
part relative to the lesser of the standard that would apply for model
year 2014 engines or the baseline engine's CO2 emission
rate. Use the smaller U.S.-directed production volume of the 2013
engine family or the 2012 baseline engine family. We will not allow you
to generate emission credits under this paragraph (a)(2) unless we
determine that your 2013 engine is the same engine as the 2012 baseline
or that it replaces it.
    (3) You may bank credits equal to the surplus credits you generate
under this paragraph (a) multiplied by 1.50. For example, if you have
10 Mg of surplus credits for model year 2013, you may bank 15 Mg of
credits. Credit deficits for an averaging set prior to model year 2014
(2016 for spark-ignition engines) do not carry over to model year 2014
(2016 for spark-ignition engines). We recommend that you notify us of
your intent to use this provision before submitting your applications.
    (b) Model year 2014 N2O standards. In model year 2014 and earlier,
manufacturers may show compliance with the N2O standards
using an engineering analysis. This allowance also applies for later
families certified using carryover CO2 data from model 2014
consistent with Sec.  1036.235(d).
    (c) Engine cycle classification. Through model year 2020, engines
meeting the definition of spark-ignition, but regulated as diesel
engines under 40 CFR part 86, must be certified to the requirements
applicable to compression-ignition engines under this part. Such
engines are deemed to be compression-ignition engines for purposes of
this part. Similarly, through model year 2020, engines meeting the
definition of compression-ignition, but regulated as Otto-cycle under
40 CFR part 86 must be certified to the requirements applicable to
spark-ignition engines under this part. Such engines are deemed to be
spark-ignition engines for purposes of this part. See Sec.  1036.140
for provisions that apply for model year 2021 and later.
    (d) Small manufacturers. The standards of this part apply on a
delayed schedule for manufacturers meeting the small business criteria
specified in 13 CFR 121.201. Apply the small business criteria for
NAICS code 336310 for engine manufacturers with respect to gasoline-
fueled engines and 333618 for engine manufacturers with respect to
other engines; the employee limits apply to the total number employees
together for affiliated companies. Qualifying small manufacturers are
not subject to the greenhouse gas emission standards in Sec.  1036.108
for engines with a date of manufacture on or after November 14, 2011
but before January 1, 2022. In addition, qualifying small manufacturers
producing engines that run on any fuel other than gasoline, E85, or
diesel fuel may delay complying with every later standard under this
part by one model year. Small manufacturers may certify their engines
and generate emission credits under this part 1036 before standards
start to apply, but only if they certify their entire U.S.-directed
production volume within that averaging set for that model year. Note
that engines not yet subject to standards must nevertheless supply fuel
maps to vehicle manufacturers as described in paragraph (n) of this
section. Note also that engines produced by small manufacturers are
subject to criteria pollutant standards.
    (e) Alternate phase-in standards. Where a manufacturer certifies
all of its model year 2013 compression-ignition engines within a given
primary intended service class to the applicable alternate standards of
this paragraph (e), its compression-ignition engines within that
primary intended service class are subject to the standards of this
paragraph (e) for model years 2013

through 2016. This means that once a manufacturer chooses to certify a