Proposed Rule2022-17134
Improvements for Heavy-Duty Engine and Vehicle Fuel Efficiency Test Procedures, and Other Technical Amendments
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
September 13, 2022
Issuing agencies
Transportation DepartmentNational Highway Traffic Safety Administration
Abstract
The National Highway Traffic Safety Administration (NHTSA) is proposing minor technical amendments to the test procedures for heavy- duty engines and vehicles to improve accuracy and reduce testing burden. These amendments affect the certification procedures for fuel efficiency standards and related requirements. These proposed amendments increase compliance flexibility, harmonize with other requirements, add clarity, correct errors, and streamline the regulations. Given the nature of the proposed changes, NHTSA does not expect either significant environmental impacts or significant economic impacts for any sector.
Full Text
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[Federal Register Volume 87, Number 176 (Tuesday, September 13, 2022)]
[Proposed Rules]
[Pages 56156-56202]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2022-17134]
[[Page 56155]]
Vol. 87
Tuesday,
No. 176
September 13, 2022
Part II
Department of Transportation
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National Highway Traffic Safety Administration
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49 CFR Part 535
Improvements for Heavy-Duty Engine and Vehicle Fuel Efficiency Test
Procedures, and Other Technical Amendments; Proposed Rule
Federal Register / Vol. 87 , No. 176 / Tuesday, September 13, 2022 /
Proposed Rules
[[Page 56156]]
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DEPARTMENT OF TRANSPORTATION
National Highway Traffic Safety Administration
49 CFR Part 535
[NHTSA-2020-0079]
RIN 2127-AM28
Improvements for Heavy-Duty Engine and Vehicle Fuel Efficiency
Test Procedures, and Other Technical Amendments
AGENCY: National Highway Traffic Safety Administration, Department of
Transportation.
ACTION: Proposed rule.
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SUMMARY: The National Highway Traffic Safety Administration (NHTSA) is
proposing minor technical amendments to the test procedures for heavy-
duty engines and vehicles to improve accuracy and reduce testing
burden. These amendments affect the certification procedures for fuel
efficiency standards and related requirements. These proposed
amendments increase compliance flexibility, harmonize with other
requirements, add clarity, correct errors, and streamline the
regulations. Given the nature of the proposed changes, NHTSA does not
expect either significant environmental impacts or significant economic
impacts for any sector.
DATES: Comments: Comments are requested on or before November 14, 2022.
ADDRESSES: You may send comments, identified by Docket No. NHTSA-2020-
0079 by any of the following methods:
<bullet> Federal eRulemaking Portal: <a href="https://www.regulations.gov">https://www.regulations.gov</a>.
Follow the instructions for sending comments.
<bullet> Fax: NHTSA: (202) 493-2251.
<bullet> Mail:
[cir] Docket Management Facility, M-30, U.S. Department of
Transportation, West Building, Ground Floor, Rm. W12-140, 1200 New
Jersey Avenue SE, Washington, DC 20590.
<bullet> Hand Delivery:
[cir] West Building, Ground Floor, Rm. W12-140, 1200 New Jersey
Avenue SE, Washington, DC 20590, between 9 a.m. and 4 p.m. Eastern
Time, Monday through Friday, except Federal holidays.
Instructions: All submissions received must include the agency name
and docket number or Regulatory Information Number (RIN) for this
rulemaking. All comments received will be posted without change to
<a href="https://www.regulations.gov">https://www.regulations.gov</a>, including any personal information
provided.
Docket: For access to the dockets to read background documents or
comments received, go to <a href="https://www.regulations.gov">https://www.regulations.gov</a>, and/or: Docket
Management Facility, M-30, U.S. Department of Transportation, West
Building, Ground Floor, Rm. W12-140, 1200 New Jersey Avenue SE,
Washington, DC 20590. The Docket Management NHTSA: Docket Management
Facility, M-30, U.S. Department of Transportation (DOT), West Building,
Ground Floor, Rm. W12-140, 1200 New Jersey Ave. SE, Washington, DC
20590. The DOT Docket Management Facility is open between 9 a.m. and 5
p.m. Eastern Time, Monday through Friday, except Federal holidays.
However, due to current COVID-19 restrictions, access to the office is
limited. Please call ahead if you plan to drop off or pick up a
document to ensure someone is available to assist them. The Docket
Management Facility can be reached at (202) 366-9826 or (202) 366-9317
to arrange a drop off/pick up.
FOR FURTHER INFORMATION CONTACT: Gregory Powell, Office of Rulemaking,
Fuel Economy Division, National Highway Traffic Safety Administration,
1200 New Jersey Avenue SE, Washington, DC 20590; telephone number:
(202) 493-0515.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. General Information
A. Does this action apply to me?
B. What action is the Agency taking?
C. What are the incremental costs and benefits of this action?
II. Medium and Heavy-Duty Fuel Efficiency Program Technical
Amendments
A. Overview
B. Greenhouse Gas Emission Model Supplemental Notice of Proposed
Rulemaking
C. 49 CFR 535.3 Applicability
D. 49 CFR 535.4 Definitions
E. 49 CFR 535.5 Standards
F. 49 CFR 535.6 Measurement and Calculation Procedures
G. 49 CFR 535.7 Averaging, Banking, and Trading (ABT) Credit
Program
H. 49 CFR 535.8 Reporting and Recordkeeping Requirements
I. 49 CFR 535.9 Enforcement Approach
J. 49 CFR 535.10 How do manufacturers comply with fuel
consumption standards?
III. Statutory Authority and Executive Order Reviews
A. Executive Order 12866: Regulatory Planning and Review and
Executive Order 13563: Improving Regulation and Regulatory Review
B. Paperwork Reduction Act (PRA)
C. Regulatory Flexibility Act (RFA)
D. Unfunded Mandates Reform Act (UMRA)
E. Executive Order 13132: Federalism
F. Executive Order 13175: Consultation and Coordination With
Indian Tribal Governments
G. Executive Order 13045: Protection of Children From
Environmental Health Risks and Safety Risks
H. Executive Order 13211: Actions Concerning Regulations That
Significantly Affect Energy Supply, Distribution or Use
I. National Technology Transfer and Advancement Act (NTTAA)
J. Executive Order 12898: Federal Actions To Address
Environmental Justice in Minority Populations and Low-Income
Populations
IV. Regulatory Text
I. General Information
A. Does this action apply to me?
This action would affect companies that manufacture, sell, or
import into the United States new heavy-duty engines and new Class 2b
through 8 trucks, including combination tractors, all types of buses,
vocational vehicles including municipal, commercial, recreational
vehicles, and \3/4\-ton and 1-ton pickup trucks and vans. The heavy-
duty category incorporates all motor vehicles with a gross vehicle
weight rating of 8,500 lbs. or greater, and the engines that power
them, except for medium-duty passenger vehicles already covered by the
corporate average fuel economy standards and greenhouse gas standards
issued for light-duty vehicles.\1\
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\1\ <a href="https://www.ecfr.gov/cgi-bin/text-idx?SID=7031ab132d93d2ab3729f7c3b8e412f0&mc=true&node=pt49.6.535&rgn=div5">https://www.ecfr.gov/cgi-bin/text-idx?SID=7031ab132d93d2ab3729f7c3b8e412f0&mc=true&node=pt49.6.535&rgn=div5</a>.
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Regulated categories and entities include the following:
[[Page 56157]]
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Examples of
Category NAICS codes \A\ potentially
regulated entities
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Industry..................... 333618, 336111, Motor vehicle
336112, 336120, manufacturers and
336211, 336212, engine
336611, 336911, manufacturers.
336999.
Industry..................... 811111, 811112, Commercial
811198, 423110. importers of
vehicles and
vehicle
components.
Industry..................... 335312, 811198...... Alternative fuel
vehicle
converters.
Industry..................... 326199, 332431...... Portable fuel
container
manufacturers.
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\A\ North American Industry Classification System (NAICS).
This list is not intended to be exhaustive, but rather provides a
guide for readers regarding entities likely to be regulated by this
action. If you have questions regarding the applicability of this
action to a particular entity, consult the person listed in the FOR
FURTHER INFORMATION CONTACT section.
B. What action is the Agency taking?
This action proposes to amend the regulations that implement our
fuel efficiency standards for engines and vehicles. The proposed
amendments are technical in nature and include corrections and
clarifications to a variety of existing regulatory provisions to
improve consistency with related EPA standards and with NHTSA's
original intent for those provisions. In other words, this proposal
comprises a variety of small changes for multiple types of engines and
vehicles.
These amendments parallel similar ones in a rulemaking conducted by
the EPA under RIN 2060-AU62. The proposed technical amendments are
intended to maintain the alignment of EPA's Medium and Heavy-Duty
Vehicle Greenhouse Gas Emissions and NHTSA's Fuel Efficiency Standards.
The technical amendments to NHTSA regulations contained in this
proposal are both necessary and completely align with the technical
amendments finalized by EPA under the parallel rulemaking referenced in
this paragraph.
The majority of the amendments being proposed would modify existing
test procedures for heavy-duty highway engines and vehicles. These test
procedure changes would improve accuracy, and in some cases, reduce
test burden.
Other heavy-duty highway amendments would update NHTSA regulations
to enhance implementation of existing fuel efficiency standards. For
example, some changes would reduce the likelihood that manufacturers
would need to conduct unique certification testing for compliance with
NHTSA, Canadian, and Californian standards. Some amendments would make
it easier for manufacturers to more fully account for the fuel
efficiency benefits of advanced fuel efficiency improving technology,
which could provide them the opportunity to generate additional fuel
consumption improvements for compliance. These amendments are described
in Section II.
Additionally, as a matter of housekeeping, NHTSA is proposing to
remove portions of its regulations that were vacated by the United
States Court of Appeals for the District of Columbia Circuit. In
November 2021, that Court ``vacate[d] all portions of the [2016 joint
NHTSA and EPA] rule that apply to trailers.'' Truck Trailer Mfrs.
Ass'n, Inc. v. EPA, 17 F.4th 1198, 1200 (D.C. Cir. 2021). The
underlying statute authorizes NHTSA to examine the fuel efficiency of
and prescribe fuel economy standards for ``commercial medium-duty [and/
or] heavy-duty on-highway vehicles.'' 49 U.S.C. 32902(b)(1)(C); 49
U.S.C. 32902(k)(2). The Court reasoned that trailers do not qualify as
``vehicles'' when that term is used in the fuel economy context because
trailers are motorless and use no fuel. Truck Trailer Mfrs. Ass'n,
Inc., 17 F.4th at 1200, 1204-08. Accordingly, the Court held that NHTSA
does not have the authority to regulate the fuel economy of trailers.
Id. at 1208.\2\ NHTSA is therefore proposing to remove the vacated
trailer provisions from its regulations
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\2\ For similar reasons, the Court also held that the statute
authorizing EPA to regulate the emissions of ``motor vehicles'' does
not encompass trailers. Id. at 1200-03. The Court affirmed, however,
that both agencies still ``can regulate tractors based on the
trailers they pull.'' Id. at 1208. Moreover, NHTSA is still
authorized to regulate trailers in other contexts, such as under 49
U.S.C. Chapter 301. See 49 U.S.C. 30102(a)(7) (defining ``motor
vehicle'' to include ``a vehicle . . . drawn by mechanical power'');
Truck Trailer Mfrs. Ass'n, Inc., 17 F.4th at 1207 (``A trailer is
`drawn by mechanical power.' '').
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C. What are the incremental costs and benefits of this action?
This action would be limited in scope and is not intended to
include amendments that would have significant economic or
environmental impacts. NHTSA has not drafted a Regulatory Impact
Analysis.
II. Medium and Heavy-Duty Fuel Efficiency Program Technical Amendments
A. Overview
In September 2011, NHTSA and EPA finalized Phase 1 of the
Greenhouse Gas Emissions and Fuel Efficiency Standards for Medium- and
Heavy-Duty Engines and Vehicles. The Phase 1 program covered new
commercial heavy-duty vehicles and work trucks manufactured in model
years 2014 to 2018 and beyond, with unique standards for combination
tractors, heavy-duty pickup trucks and vans, and vocational vehicles,
as well as separate standards for engines in tractors and vocational
vehicles. NHTSA and EPA finalized Phase 2 of the standards in October
2016. Besides standards being more stringent, the Phase 2 program also
incorporated enhanced test procedures that (among other things) allow
individual drivetrain and powertrain performance to be reflected in the
vehicle certification process; and included an expanded and improved
compliance simulation model.
Since the promulgation of the Phase 2 regulations, manufacturers
have been revising their internal test procedures for compliance with
the new requirements that begin in model year 2021. In doing so, they
have identified to the agencies several areas in which the test
procedure regulations could be improved (in terms of overall accuracy,
repeatability and clarity) without changing the effective stringency of
the standards.
In its May 12, 2020 NPRM, EPA proposed numerous changes to the test
procedure regulations to address manufacturers' concerns and to address
other issues it had identified. EPA sought comment on those changes and
issued a final rule on December 28, 2020 responding to the comments and
adjusting the regulatory changes as appropriate. NHTSA has carefully
reviewed all technical amendments in the EPA proposal, public comments
to the proposal, and the technical amendments that EPA finalized, and
is proposing to make technical amendments that parallel the technical
amendments that EPA finalized. NHTSA's proposed regulatory changes
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described below consist primarily of references and definitions
contained in NHTSA regulations which were impacted by the technical
amendments finalized by the EPA. This proposal also includes various
minor editorial changes to NHTSA regulations that simply correct
typographical/formatting errors or revise NHTSA's regulatory text to
improve clarity or to update references to EPA regulations that have
changed as a result of the EPA technical amendments.
B. Greenhouse Gas Emission Model Supplemental Notice of Proposed
Rulemaking
In conjunction with its final rule issued on December 28, 2020, EPA
issued a supplemental notice of proposed rulemaking (SNPRM) proposing
further revisions to the Greenhouse Gas Emissions Model (GEM). In the
supplemental notice of proposed rulemaking, EPA proposed to revise GEM
after consideration of comments solicited and received on the Technical
Amendments proposed rule. The details of these changes to the GEM and
other considerations are provided on EPA's website.\3\
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\3\ ``Greenhouse Gas Emissions Model (GEM) for Medium- and
Heavy-Duty Vehicle Compliance.'' (n.d.). <a href="https://www.epa.gov/regulations-emissions-vehicles-and-engines/greenhouse-gas-emissions-model-gem-medium-and-heavy-duty">https://www.epa.gov/regulations-emissions-vehicles-and-engines/greenhouse-gas-emissions-model-gem-medium-and-heavy-duty</a>. Accessed May 18, 2022.
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C. 49 CFR 535.1 Scope
NHTSA is proposing to amend the scope provision of 49 CFR part 535
to remove the reference to trailers, consistent with the 2021 D.C.
Circuit decision as discussed above.
D. 49 CFR 535.3 Applicability
1. 535.3 (a) Enforcement Action Related to Compliance With NHTSA
Standards
NHTSA is proposing clarifications to its MDHD fuel efficiency
program's applicability and compliance. More specifically, NHTSA is
adding the clarification that manufacturers found not to comply with
NHTSA's standards or regulations which apply to the construction of new
and incomplete vehicles in 49 CFR parts 566 through 568 due to
incorrect or fraudulent information will be subject to enforcement in
accordance with Chapter 301 of Title 49 and deemed as not complying
with Part 535. For example, if a manufacturer is unregistered with
NHTSA as a manufacturer, as required by Part 566, or fails to affix an
accurate certification label to a complete or incomplete vehicle, then
the manufacturer concurrently violates both NHTSA's safety and fuel
efficiency regulations. If the manufacturer is unable to correct its
noncompliance(s), the manufacturer fails to comply with NHTSA's fuel
efficiency program and is unable to earn fuel efficiency credits or
must forfeit its credits, if already issued by NHTSA.
2. 535.3(d)(5) Exclusion of Heavy-Duty Trailers
NHTSA is proposing to delete 535.3(d)(5) consistent with the 2021
D.C. Circuit decision, discussed above.
3. 535.3(e)(1)(i) Vocational Vehicle Tire Speed Rating Exemption
NHTSA is proposing to update this section with a new applicability
provision for vocational vehicles, to reflect the rulemaking intention
and to be consistent with EPA regulations. The added provision allows
for vocational vehicles with a date of manufacture before January 1,
2021 to automatically qualify for an exemption under 40 CFR 1037.631 if
the tires installed on the vehicle have a maximum speed rating at or
below 55 miles per hour.
4. 535.3(e)(1)(ii) Request for Exemption
NHTSA is proposing to add a second exemption clause to this section
where vehicle manufacturers may request exemption under the EPA defined
provisions found in 40 CFR 1037.631 and based on other criteria that
are equivalent to those specified in 40 CFR 1037.631(a).
5. 535.3(e)(2)(ii) Early Certification for Small Manufacturers
Vehicle manufacturers that qualify as small businesses are exempt
from the Phase 1 standards, but must meet the Phase 2 standards
beginning January 1, 2022.\4\ However, some vehicle families have been
certified voluntarily to Phase 1 standards by small manufacturers. In
an effort to encourage more voluntary early certification to Phase 1
standards, EPA finalized a new interim provision in 40 CFR
1037.150(y)(4) for small manufacturers that certify their entire U.S.-
directed production volume to the Phase 1 standards for calendar year
2021 (see 85 FR at 28150). These small manufacturers would be allowed
to certify to the Phase 1 standards for model year 2022, instead of the
otherwise applicable Phase 2 standards. The agencies believe that early
compliance with the Phase 1 standards should more than offset any
reduction in benefits that would otherwise be achieved from meeting
Phase 2 standards starting January 1, 2022.\5\
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\4\ In December 2020, EPA proposed further revisions to the
Phase 2 GEM Simulation Model in the December 2020 Notice of Proposed
Rulemaking (NRPM) for technical amendments to the GHG Emissions
Standards and Fuel Efficiency Standards for Medium- and Heavy-Duty
VehicleS. EPA's GEM model is released and can be found <a href="https://www.epa.gov/regulations-emissions-vehicles-and-engines/greenhouse-gas-emissions-model-gem-medium-and-heavy-duty">https://www.epa.gov/regulations-emissions-vehicles-and-engines/greenhouse-gas-emissions-model-gem-medium-and-heavy-duty</a> which incorporates the
revisions being considered.'' (last accessed: May 11, 2022)
\5\ EPA stated that it believed that the magnitude of any impact
on air quality would be small because of the low production volumes
from these small business manufacturers.
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The finalized provision also allows the Phase 1 compliance credits
that small manufacturers generate from model year 2018 through 2022
vocational vehicles to be used through model year 2027. Under the
existing regulations, all manufacturers that generate vehicle credits
under the Phase 1 program can use these credits for compliance in the
Phase 2 averaging, banking, and trading program, but these credits are
only subject to a five-year credit life. As EPA stated in its final
rule, the agencies believe that the limit on credit life can be
problematic for small manufacturers with limited product lines which
allows them less flexibility in averaging, and the longer credit life
will provide them additional flexibility to ensure all their products
are fully compliant by the time the Phase 2 standards are fully phased
in for model year 2027.
EPA received no adverse comment to either proposal for small
manufacturers in Sec. 1037.150(y)(4) and, therefore, finalized the
provisions. NHTSA is proposing to implement parallel changes by
updating Sec. 535.5(e)(2)(ii) with the same provisions which can be
found at Sec. 535.5(e)(2)(ii)(A) and Sec. 535.5(e)(2)(ii)(B),
respectively. These changes would also maintain program alignment
across both agencies.
6. 535.3(e)(3)--Transitional Allowance for Trailers
NHTSA is proposing to delete 535.3(e)(3) consistent with the 2021
D.C. Circuit decision, discussed above.
7. 535.3(j) Potential Enforcement Actions for Incomplete, Incorrect or
Fraudulent Information
NHTSA is proposing to add a new section to the program
applicability regulations. This new section provides clarifications and
potential outcomes under the NHTSA fuel efficiency program, if EPA
denies, suspends or revokes, a manufacturer's certificate of conformity
in accordance with 40 CFR 1036.255 or 1037.225, due to incomplete,
incorrect or fraudulent information.
[[Page 56159]]
E. 49 CFR Part 535.4 Definitions
NHTSA is proposing adding and modifying several definitions to
clarify the meaning of certain terms. Almost all of these definitions
reference EPA regulatory definitions to ensure alignment of the NHTSA
and EPA programs.
1. Adjustable Parameter
NHTSA is proposing to add the definition for adjustable parameter
as having the meaning given in 40 CFR 1037.801.
2. Alternative Fuel Conversion
NHTSA is proposing to add the definition for alternative fuel
conversion as having the meaning given in 40 CFR 85.502.
3. Averaging Sets
NHTSA is proposing to delete ``long trailer'' and ``short trailer''
in reference to averaging sets definition in HD program, consistent
with the 2021 D.C. Circuit decision.
4. Certificate of Conformity
After receiving no adverse comments, EPA finalized clarifying
statements related to the information submitted in an application for a
certificate of conformity. These clarifying statements are related to
determining the date of application submission and the submission date
for any potential changes to applications that are deemed incomplete or
amended. NHTSA is proposing to update its Certificate of Conformity
definition in Part 535 to include the same language finalized by EPA
because the clarifications are also applicable to NHTSA's fuel
efficiency program. These changes would also maintain program alignment
across the agencies.
5. Hybrid Engine, Hybrid Powertrain, and Hybrid Vehicle
NHTSA is proposing to revise its definition of hybrid engine or
hybrid powertrain in 49 CFR part 535.4 to reference directly the EPA
definition for these powertrain types found in 1037.801. EPA changed
its definitions for ``hybrid engine or powertrain'' and ``hybrid
vehicle'' to be consistent with the revised hybrid powertrain test
procedures it recently finalized in part 1036 subpart F, and the
definitions of ``hybrid powertrain'' and ``mild hybrid'' added to 40
CFR part 1036. NHTSA is proposing corresponding revisions to the Part
535 definitions that add examples of systems that qualify as hybrid
engines or powertrains, specifically systems that recover kinetic
energy and use it to power an electric heater in the aftertreatment.
6. Emission Data Engine
NHTSA is proposing to add the definition for emission data engine
as having the meaning given in 40 CFR 1036.801.
7. Engine Configuration
NHTSA is proposing to add the definition for engine configuration
as having the meaning given in 40 CFR 1036.801.
8. Flatbed Trailer
NHTSA is proposing to delete the definition of flatbed trailer,
consistent with the 2021 D.C. Circuit decision.
9. Flexible Fuel
NHTSA is proposing to add the definition for flexible fuel as
having the meaning given in 40 CFR 1036.801.
10. Fuel Type
NHTSA is proposing to add the definition for fuel type as having
the meaning given in 40 CFR 1036.801.
11. Gear Ratio
NHTSA is proposing to add the definition for gear ratio as having
the meaning given in 40 CFR 1036.801.
12. Greenhouse Gas
NHTSA is proposing to add the definition for greenhouse gas as
having the meaning given in 40 CFR 1036.801.
13. Good Engineering Judgment
NHTSA is proposing to add the definition for good engineering
judgement as having the meaning given in 40 CFR 1068.30.
14. Heavy-Duty Engine
NHTSA is proposing to add the definition for heavy-duty engine as
having the meaning given in 40 CFR 1036.801 and 49 CFR part 523.
15. Hybrid
NHTSA is proposing to add the definition for hybrid as having the
meaning given in 40 CFR 1036.801.
16. Identification Number
NHTSA is proposing to add the definition for identification number
as having the meaning given in 40 CFR 1037.801.
17. Manufacturer
NHTSA is proposing to add the definition for manufacturer as having
the meaning given in 40 CFR 1037.801.
18. Model Year
NHTSA is proposing revisions to the definition for model year as it
pertains to vehicles and engine installations. NHTSA is also proposing
to delete references to trailers in this definition, consistent with
the 2021 D.C. Circuit decision.
19. Motor Vehicle
NHTSA is proposing to add the definition for motor vehicle as
having the meaning given in 49 U.S.C. 32901.
20. Multi-Purpose
NHTSA is proposing to add the definition for multi-purpose as
having the meaning given in 40 CFR 1037.801.
21. Neutral-Idle
NHTSA is proposing to add the definition for neutral idle as having
the meaning given in 40 CFR 1037.801.
22. New Vehicles
NHTSA is proposing to add the definition for new vehicles as having
the meaning given to ``new motor vehicle'' given in 40 CFR 1037.801.
23. Percent
NHTSA is proposing to add the definition for percent as having the
meaning given in 40 CFR 1037.801.
24. Placed Into Service
NHTSA is proposing to add the definition for placed into service as
having the meaning given in 40 CFR 1037.801.
25. Phase 2
NHTSA is proposing to delete reference to fuel efficiency and
greenhouse gas emissions standards for trailer regulations, consistent
with the 2021 D.C. Circuit decision.
26. Regulatory Subcategory
NHTSA is proposing to delete the section (4) reference to trailer
subcategory, consistent with the 2021 D.C. Circuit decision.
27. Relating
NHTSA is proposing to add the definition for relating as having the
meaning given in 40 CFR 1037.801.
28. Round
NHTSA is proposing to add the definition for round as having the
meaning given in 40 CFR1065.1001.
29. Standard Payload
NHTSA is proposing to remove the definition of standard payload for
trailers, consistent with the 2021 D.C. Circuit decision.
30. Standard Tractor
NHTSA is proposing to correct the definition for standard tractor
as having
[[Page 56160]]
the meaning given in 40 CFR 1037.801 versus the currently defined 40
CFR 1037.501.
31. Standard Trailer
NHTSA is proposing to correct the definition for standard trailer
as having the meaning given in 40 CFR 1037.801 versus the currently
defined 40 CFR 1037.501.
32. Suspend
NHTSA is proposing to add the definition for suspend as having the
meaning given in 40 CFR 1037.801.
33. Vehicle Service Class
NHTSA is proposing to revise the vehicle service class definition
found in 49 CFR part 535.4 to directly reference EPA regulation 40 CFR
1037.140. NHTSA is proposing this revision to avoid redundancy across
the agencies and align directly with EPA revisions finalized in their
recent technical amendments rulemaking.
The recent EPA technical amendments clarify that the classification
for tractors, where provisions are the same as vocational vehicles, are
applicable to both hybrid and non-hybrid vehicles. The amendments also
clarify that Class 8 hybrid and electric vehicles are Heavy HDVs while
all other vehicles are classified by GVWR classes.
EPA explained in its final rule that prior to these revisions,
manufacturers had expressed concern that the Phase 2 regulations were
not specific enough regarding how to classify hybrid vocational
vehicles, because vocational vehicles are generally classified by the
class of the engines (as opposed to tractors, which are classified
based on GVW), which was not applicable to electrically driven vehicles
that have no engine.
34. Void
NHTSA is proposing to add the definition for void as having the
meaning given in 40 CFR 1037.801.
F. 49 CFR Part 535.5 Standards
1. 49 CFR Part 535.5(a)
NHTSA is proposing to add clarification to the regulatory standards
relating to heavy-duty pickup trucks and vans. More specifically, the
agency is proposing adding language that ensures manufacturer options
for EPA and NHTSA vehicle standards are aligned. Please refer to the
proposed regulatory text for additional details.
2. 49 CFR Part 535.5(b)
NHTSA is proposing to add clarification to the regulatory standards
relating to heavy-duty vocational vehicles. More specifically, the
agency is proposing adding language that ensures manufacturer options
for EPA and NHTSA vehicle standards are aligned. Please refer to the
proposed regulatory text under this section for additional details.
3. 49 CFR Part 535.5(b)(1)
NHTSA is proposing deletion of the mandatory requirements for all
heavy-duty vocational vehicles to be equipped tire pressure monitoring
systems. The proposed revision, however, does not include removal of
this mandatory requirement for motorhomes, as specified under 49 CFR
part 535.5 (b)(6)(vi) and 49 CFR 571.138.
4. 49 CFR Part 535.5(b)(4)
NHTSA is proposing to correct the Vocational HHD Vehicle Regional
compression ignition (CI) standards. The current published standard for
this vehicle class is incorrect, and does not align with EPA GHG
standards for this vehicle type. The incorrect values resulted from an
incorrect calculation during the Phase 2 rulemaking which intended to
maintain alignment of the NHTSA and EPA standards. The proposed
corrected value for this regulatory class is 20.1375 gallons per 1000-
ton miles vs. the currently published standard of 20.2358.
5. 49 CFR Part 535.5(c)
NHTSA is proposing to add clarification to the regulatory standards
relating to truck tractors. More specifically, the agency is proposing
adding language that ensures manufacturer options for EPA and NHTSA
vehicle standards are aligned across both agencies. Please refer to the
proposed regulatory text for additional details.
6. 49 CFR Part 535.5(c)(5)
NHTSA is proposing to revise its Alternate Fuel Consumption
Standards for Tractors above 120,000 GCWR for 2021 model year and
later. The revised standards are directly aligned with the revised GHG
standards for this class of vehicles proposed and finalized by EPA as
part of its technical amendments rulemaking.\6\ The revised standards
provide additional clarity on this vehicle class along with fuel
efficiency standards that increase in three increments, model years
2021-2023, model years 2024-2026, model years 2026 and later.
---------------------------------------------------------------------------
\6\ In December 2020, EPA proposed further revisions to the
Phase 2 GEM Simulation Model in the December 2020 Notice of Proposed
Rulemaking (NRPM) for technical amendments to the GHG Emissions
Standards and Fuel Efficiency Standards for Medium- and Heavy-Duty
Vehicles and is soliciting comments on these revisions. S. The
latest EPA's GEM model is released and can be found <a href="https://www.epa.gov/regulations-emissions-vehicles-and-engines/greenhouse-gas-emissions-model-gem-medium-and-heavy-duty">https://www.epa.gov/regulations-emissions-vehicles-and-engines/greenhouse-gas-emissions-model-gem-medium-and-heavy-duty</a> which incorporates the
revisions being considered.'' (last accessed: May 11, 2022)
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As described in EPA's final rulemaking action, the agencies
originally defined these alternate fuel consumption and greenhouse-gas
standards during the Phase 2 rulemaking, to enable Environment and
Climate Change Canada (ECCC) to fully harmonize with the U.S.'s HD
Phase 2 standards.
In the interim, ECCC has since adopted final standards for these
120,000 to 140,000 pound GCWR tractors, which differ from the optional
standards finalized in Phase 2.\7\ Since the purpose of these standards
was to facilitate certification of vehicles intended for Canada, EPA
proposed optional standards in 40 CFR 1037.670 that would be the same
as the final ECCC standards, and did not receive any adverse comments
regarding that proposal. NHTSA is proposing to adopt these alternative
standards, in gallons per 1,000 ton-miles units, for 120,000 to
140,000-pound GCWR tractors that are equivalent to the EPA and ECCC
standards. This would maintain harmonization across the programs for
all three agencies.
---------------------------------------------------------------------------
\7\ Regulations Amending the Heavy-duty Vehicle and Engine
Greenhouse Gas Emission Regulations and Other Regulations Made Under
the Canadian Environmental Protection Act, 1999: SOR/2018-98, Canada
Gazette, Part II, Volume 152, Number 11, May 16, 2018.
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7. 49 CFR Part 535.5(d)
NHTSA is proposing to add clarifications in 49 CFR part 535.5(d)
and 535.6(d) to expand its regulatory provision to optionally
accommodate powertrain families and subfamilies added by EPA in 40 CFR
1036.108(a) and 1036.230(d) and (f). The EPA provisions allow
manufacturers to apply CO<INF>2</INF> standards to powertrain families
and subfamilies. They also allow manufacturers to optionally certify
powertrains using the engine testing provisions in 40 CFR 1036 instead
of 40 CFR 1037. Manufacturers may choose to include electric powertrain
and hybrid electric powertrain emissions in their engine families or
subfamilies under part 1036 instead of (or in addition to) the
otherwise applicable engine fuel maps. Doing so would provide the same
compliance options for manufacturers under the EPA and NHTSA programs.
[[Page 56161]]
8. 49 CFR Part 535.5(d)(3)
NHTSA is proposing to correct the Heavy-Duty Engine Fuel
Consumption Standards for Phase 1 MHD and HHD compression ignition (CI)
tractor engines. The current published standards for these engine
classes are incorrect, and do not align with EPA GHG standards for
these engine types. The incorrect values resulted from an incorrect
calculation during the Phase 2 rulemaking which intended to maintain
alignment of the NHTSA and EPA standards. The proposed correct values
for these regulatory classes are 4.7839 gallons per 100 hp-hr for MHD
CI tractor engines and 4.5187 gallons per 100 hp-hr for HHD CI tractor
engines.
9. 49 CFR Part 535.5(d)(11)
NHTSA is proposing to correct the Alternate transition option for
Phase 2 engine standards (A) and (C). The current published standards
for these engine standards are incorrect, and do not align with current
EPA GHG standards for these engine types. The incorrect values resulted
from an incorrect calculation during the Phase 2 rulemaking which
intended to maintain alignment for the NHTSA and EPA standards. The
proposed corrected values for these regulatory classes are 5.3241
gallons per 100 hp-hr for MHD vocational vehicle engines and 5.0098
gallons per 100 hp-hr for HHD vocational engines.
10. 49 CFR Part 535.5(e)
NHTSA is proposing to delete 535.3(e), Heavy Duty Trailer,
consistent with the 2021 D.C. Circuit decision, discussed above.
G. 49 CFR Part 535.6 Measurement and Calculation Procedures
1. 49 CFR Part 535.6(b)(1)
NHTSA is proposing to add a reference to EPA's finalized regulation
40 CFR 1037.150 to 49 CFR part 535.6(b)(1). This added reference would
provide clear guidance that would be used to determine the proper
vehicle and vehicle family to select when determining a manufacturer's
regulatory subcategories for vocational vehicles and tractors. The
addition would also maintain program alignment across the agencies.
2. 49 CFR Part 535.6(b)(4)(ii)
NHTSA is proposing to add a reference to EPA's finalized regulation
40 CFR 1037.525 to 49 CFR part 535.6(b)(4)(ii). This added reference
would clarify how to determine a high-roof tractor's aerodynamic
performance. EPA finalized this revision to more clearly relate the
drag areas to the defined effective yaw variable, as recommended by EMA
as a comment to the EPA proposal.\8\ NHTSA is proposing to adopt this
same measurement schema to keep programs aligned across the agencies.
---------------------------------------------------------------------------
\8\ The variables
C<INF>d</INF>A<INF>effective-yaw-coastdown</INF> and
C<INF>d</INF>A<INF>effective-yaw-alt</INF> are now
C<INF>d</INF>A<INF>coastdown</INF>([psi]<INF>eff</INF>) and
C<INF>d</INF>A<INF>alt</INF>([psi]<INF>eff</INF>), respectively.
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3. 49 CFR Part 535.6(b)(5)(i)
NHTSA is proposing to revise 49 CFR part 535.6(b)(5)(i) to change
the reference to an EPA regulation from 40 CFR 1036.510 to 1036.503.
This revision would align the NHTSA regulations with the revised and
finalized EPA regulations. This change would keep the programs of both
agencies aligned.
4. 49 CFR Part 535.6(b)(5)(v)(E)(3)
NHTSA is proposing to add a new requirement in 49 CFR part
535.6(b)(5)(v)(E)(3) that allows manufacturers to characterize torque
converters to allow a manufacturer to determine their own torque
converter capacity factor instead of using the default value provided
in GEM. This change aligns with EPA provisions in 40 CFR 1037.570 and
maintains program alignment across both agencies.
5. 49 CFR Part 535.6(b)(5)(v)(E)(4)
NHTSA is proposing to add a new requirement in 49 CFR part
535.6(b)(5)(v)(E)(4) to allow vocational vehicles to input a value for
neutral coasting in GEM as a compliance option for its fuel consumption
program. This revision would align the NHTSA regulations with the EPA
regulations in 40 CFR 1037.52 and keep both agencies aligned for
program compliance.
6. 49 CFR Part 535.6(d)
Like 49 CFR part 535.5(d), NHTSA is proposing to add clarifications
in NHTSA 535.6(d) to expand its regulatory provision to optionally
accommodate powertrain families and subfamilies added by EPA in 40 CFR
1036.108(a) and 1036.230(d) and (f). The EPA provisions allow
manufacturers to apply CO<INF>2</INF> standards to powertrain families
and subfamilies. They also allow manufacturers to optionally certify
powertrains using the engine testing provisions in 40 CFR 1036 instead
of 40 CFR 1037. Manufacturers may choose to include electric powertrain
and hybrid electric powertrain emissions in their engine families or
subfamilies under part 1036 instead of (or in addition to) the
otherwise applicable engine fuel maps. Doing so would provide the same
compliance options for manufacturers under the EPA and NHTSA programs.
7. 49 CFR Part 535.6(d)(1)
NHTSA is proposing a consolidation of references to EPA regulation
40 CFR 1036.501 for engines in heavy-duty truck tractors and vocational
vehicles that make up each of the manufacturer's regulatory
subcategories.
8. 49 CFR Part 535.6(d)(2)
Like 49 CFR part 535.6(d), NHTSA is proposing to add clarifications
to 535.6(d)(2) that align with the EPA regulation 40 CFR 1036.230(f)
and to expand this regulatory provision to accommodate powertrains
other than engines and to also include sub-families.
9. 49 CFR Part 535.6(d)(3)
NHTSA is proposing to add a new section to 49 CFR part 535.6(d) to
address medium and heavy heavy-duty engines. This new subsection (3)
mirrors and references the recently finalized EPA technical amendment
for 40 CFR 1036.501 addressing the same regulatory items. Subsequently,
existing sections 49 CFR part 535.6(d)(3) and 49 CFR part 535.6(d)(4)
would be incremented by one as a result of inserting this new section,
resulting in the existing 49 CFR part 535.6(d)(3) becoming 49 CFR part
535.6(d)(4), and the existing 49 CFR part 535.6(d)(4) becoming 49 CFR
part 535.6(d)(5).
10. 49 CFR Part 535.6(d)(3)(ii)
NHTSA is proposing to add clarifications to 49 CFR part
535.6(d)(3)(ii) that expand this regulatory provision to accommodate
powertrains other than engines and to also include sub-families.
11. 49 CFR Part 535.6(e)
NHTSA is proposing to delete 49 CFR part 535.6(e) reference to
heavy duty trailer, consistent with the 2021 D.C. Circuit decision.
H. 49 CFR 535.7 Averaging, Banking, and Trading (ABT) Credit Program
1. 49 CFR Part 535.7(a)
NHTSA is proposing to delete reference to trailer manufacturers,
consistent with the 2021 D.C. Circuit decision.
2. 49 CFR Part 535.7(a)(2)(v)
NHTSA is proposing to delete reference to application of using bank
or trade credit to trailer, consistent with the 2021 D.C. Circuit
decision.
[[Page 56162]]
3. 49 CFR Part 535.7(a)(3)(v)
NHTSA is proposing to delete reference to trailer manufacturers
generating credits, consistent with the 2021 D.C. Circuit decision.
4. 49 CFR part 535.7(a)(4)
NHTSA is clarifying its requirements for trading fuel consumption
credits. Tractor, vocational vehicle and engine manufacturers may trade
credits generated for vehicle or engine families or subfamilies while
manufacturers of heavy-duty pickup trucks and vans certified as
complete vehicles may trade credits generated for averaging sets. NHTSA
is also proposing to delete reference to trading credits earned for
compliance with trailer regulations, consistent with the 2021 D.C.
Circuit decision.
5. 49 CFR Part 535.7(a)(4)(v)
NHTSA is proposing to delete reference to trailer manufacturers
generating credits starting in model year 2027 may not bank or trade
credits, consistent with the 2021 D.C. Circuit decision.
6. 49 CFR Part 535.7(a)(8)
The agency is proposing additions to the credit calculation
provisions and to the calculations used for vocational vehicles
transitioning to Phase 2 standards. More specifically, NHTSA is
proposing to mirror the crediting provisions finalized by EPA as part
of their technical amendments rulemaking. These added provisions
include extending credit life, allowing off-cycle credits, allowing
credit values for automatic tire inflation systems, and allowing
automatic engine shutdown systems.
7. 49 CFR Part 535.7(a)(9)(iv)(B)
NHTSA is proposing to provide clarifications regarding production
limits for drayage tractors under the custom chassis allowance, and how
it relates to corporate relationships regarding averaging, banking and
trading of credits.
8. 49 CFR Part 535.7(a)(11)
NHTSA is proposing regulatory provisions that prevent the
calculation of any Phase 1 fuel consumption credits more than once for
compliance unless the regulations explicitly allow it.
9. 49 CFR Part 535.7(b)(1)
NHTSA is proposing to amend the Total MY Fleet FCC equation because
the current CFR shows an incorrect equation.
10. 49 CFR Part 535.7(c)(1)
NHTSA is proposing to amend the Vehicle Family FCC equation because
the current CFR shows an incorrect equation.
11. 49 CFR Part 535.7(d)(1)
NHTSA is proposing to amend the Engine Family FCC equation because
the current CFR shows an incorrect equation.
12. 49 CFR Part 535.7(d)(7)(ii)
NHTSA is proposing to the remove the usage restrictions associated
with model year 2021 and earlier vocational engine credits.
Manufacturers may use Phase 1 credits in the Phase 2 program using an
adjustment factor to prorate credits to compensate for changes in the
technologies and drive cycles used in developing the Phase 2 standards.
NHTSA is also correcting the adjustment factor values used for the
conversion to fuel consumption values in terms of gallons/100 hp-hr
versus the currently published grams of CO<INF>2</INF> reference
values.
13. 49 CFR 535.7(e)
NHTSA is proposing to delete 535.7(e), ABT Provision for Trailers,
consistent with the 2021 D.C. Circuit decision, discussed above.
14. 49 CFR 535.7(f)(2)(v)
NHTSA is proposing to delete the provision formerly labeled as
535.7(f)(2)(v) reference to application of off-cycle provision to
trailers, consistent with the 2021 D.C. Circuit decision, discussed
above.
I. 49 CFR 535.8 Reporting and Recordkeeping Requirements
1. 49 CFR Part 535.8(a)(6)
NHTSA is proposing to amend the address to 1200 New Jersey Avenue,
NVS-200, Office W45-306, SE, Washington, DC 20590, because the current
CFR shows an incorrect address.
2. 49 CFR Part 535.8(b)(11)(i)(C)
Like 49 CFR part 535.6(d), NHTSA is proposing to add clarifications
to 49 CFR part 535.8(b)(11)(i)(C) that expand this regulatory provision
to accommodate powertrains other than engines and to also include sub-
families.
3. 49 CFR Part 535.8(c)(13)(h)(i)
NHTSA is proposing additions to this reporting requirement that
clarify potential enforcement actions associated with the submission of
information that is fraudulent or grossly negligent or otherwise
provided in bad faith.
4. 49 CFR Part 535.8(g)(12)
NHTSA is proposing to delete reference to requirements for trailer
manufacturers, consistent with the 2021 D.C. Circuit decision,
discussed above.
J. 49 CFR 535.9 Enforcement Approach
1. 49 CFR Part 535.9(a)(1)(i)
NHTSA is proposing additional language and clarifications that
NHTSA will perform confirmatory testing and collaborate with EPA
regarding any potential issues with testing results.
2. 49 CFR Part 535.9(a)(1)(v)
NHTSA is proposing additional language and clarifications with
respect to any GEM inputs in a manufacturer's application for
certification or in the end of the year ABT final reports. The proposed
revisions include streamlining references to EPA regulations.
K. 49 CFR 535.10 How do manufacturers comply with fuel consumption
standards?
1. 49 CFR Part 535.10(a)(3)
NHTSA is clarifying that EPA's compliance requirements 40 CFR
1037.601 and 40 CFR part 1068 apply similarly to NHTSA's fuel
consumption program, except for the warranty provisions in 40 CFR
1037.601(a)(5).
2. 49 CFR Part 535.10(a)(6)
NHTSA is proposing the addition of language clarifying that
vehicles required to meet the fuel consumption standards of this part
must also comply with the same requirements as specified in the EPA
regulation 40 CFR 1037.115.
3. 49 CFR Part 535.10(c)
NHTSA is proposing to delete the 535.10(c)(2) reference to box
trailers, as well as the 535.10(c)(3) reference to manufacturer's
compliance if their trailer meet specified standards, consistent with
the 2021 D.C. Circuit decision, discussed above.
III. Statutory Authority and Executive Order Reviews
A. Executive Order 12866: Regulatory Planning and Review and Executive
Order 13563: Improving Regulation and Regulatory Review
This action is not a significant regulatory action and was
therefore not submitted to the Office of Management and Budget (OMB)
for review.
B. Paperwork Reduction Act (PRA)
This action does not impose any new information collection burden
under the PRA. OMB has previously approved the information collection
activities
[[Page 56163]]
contained in the existing regulations and has assigned OMB control
numbers 2060-0104, 2060-0287, 2060-0338, 2060-0545, 2060-0641. This
rule clarifies and simplifies procedures without affecting information
collection requirements.
C. Regulatory Flexibility Act (RFA)
I certify that this action would not have a significant economic
impact on a substantial number of small entities under the RFA. In
making this determination, the impact of concern is any significant
adverse economic impact on small entities. An agency may certify that a
rule will not have a significant economic impact on a substantial
number of small entities if the rule relieves regulatory burden, has no
net burden or otherwise has a positive economic effect on the small
entities subject to the rule. This proposed action is designed to
reduce testing burdens, increase compliance flexibility, and make
various corrections and adjustments to compliance provisions. We
therefore anticipate no costs and no regulatory burden associated with
this proposed rule. We have concluded that this proposed action will
have no significant increase in regulatory burden for directly
regulated small entities.
D. Unfunded Mandates Reform Act (UMRA)
This action does not contain any unfunded mandate as described in
UMRA, 2 U.S.C. 1531-1538, and does not significantly or uniquely affect
small governments. The proposed action imposes no enforceable duty on
any state, local or tribal governments. Requirements for the private
sector do not exceed $100 million in any one year.
E. National Environmental Policy Act (NEPA)
NHTSA has analyzed this proposed rule for the purposes of the
National Environmental Policy Act. The agency has determined that
implementation of this action will not have any significant impact on
the quality of the human environment.
F. Executive Order 13132: Federalism
This action does not have federalism implications. It will not have
substantial direct effects on the states, on the relationship between
the national government and the states, or on the distribution of power
and responsibilities among the various levels of government.
G. Executive Order 13175: Consultation and Coordination With Indian
Tribal Governments
This action does not have tribal implications as specified in
Executive Order 13175. This proposed rule will be implemented at the
Federal level and affects engine and vehicle manufacturers. Thus,
Executive Order 13175 does not apply to this action.
H. Executive Order 13045: Protection of Children From Environmental
Health Risks and Safety Risks
This action is not subject to Executive Order 13045 because it is
not economically significant as defined in Executive Order 12866, and
because there are no environmental health or safety risks created by
this action that could present a disproportionate risk to children.
I. Executive Order 13211: Actions Concerning Regulations That
Significantly Affect Energy Supply, Distribution or Use
This action is not a ``significant energy action'' because it is
not likely to have a significant adverse effect on the supply,
distribution, or use of energy. We have concluded that this action is
not likely to have any adverse energy effects because it is designed
merely to reduce testing burdens, increase compliance flexibility, and
make various corrections and adjustments to compliance provisions.
J. National Technology Transfer and Advancement Act (NTTAA)
Section 12(d) of the National Technology Transfer and Advancement
Act of 1995 (``NTTAA''), Public Law 104-113, 12(d) (15 U.S.C. 272 note)
directs EPA to use voluntary consensus standards in its regulatory
activities unless to do so would be inconsistent with applicable law or
otherwise impractical. Voluntary consensus standards are technical
standards (e.g., materials specifications, test methods, sampling
procedures, and business practices) that are developed or adopted by
voluntary consensus standards bodies. NTTAA directs agencies to provide
Congress, through OMB, explanations when the Agency decides not to use
available and applicable voluntary consensus standards. This action
involves technical standards.
K. Executive Order 12898: Federal Actions To Address Environmental
Justice in Minority Populations and Low-Income Populations
NHTSA believes this action does not have disproportionately high
and adverse human health or environmental effects on minority
populations, low-income populations or indigenous peoples, as specified
in Executive Order 12898 (59 FR 7629, February 16, 1994). Due to the
lack of environmental impact, these proposed regulatory changes will
not have a disproportionate adverse effect on minority populations,
low-income populations, or indigenous peoples.
IV. Regulatory Text
List of Subjects in 49 CFR Part 535
Energy conservation, Fuel, Fuel economy, Motor vehicles.
For the reasons discussed in the preamble, the National Highway
Traffic Safety Administraton proposes to amend 49 CFR part 535 as
follows:
0
1. Revise Part 535 to read as follows:
PART 535--MEDIUM- AND HEAVY-DUTY VEHICLE FUEL EFFICIENCY PROGRAM
Sec.
535.1 Scope.
535.2 Purpose.
535.3 Applicability.
535.4 Definitions.
535.5 Standards.
535.6 Measurement and calculation procedures.
535.7 Averaging, banking, and trading (ABT) credit program.
535.8 Reporting and recordkeeping requirements.
535.9 Enforcement approach.
535.10 How do manufacturers comply with fuel consumption standards?
Authority: 49 U.S.C. 32902.
Sec. 535.1 Scope.
This part establishes fuel consumption standards pursuant to 49
U.S.C. 32902(k) for work trucks and commercial medium- and heavy-duty
on-highway vehicles (hereafter referenced as heavy-duty vehicles), and
engines manufactured for sale in the United States. This part
establishes a credit program manufacturers may use to comply with
standards and requirements for manufacturers to provide reports to the
National Highway Traffic Safety Administration regarding their efforts
to reduce the fuel consumption of heavy-duty vehicles and engines.
Sec. 535.2 Purpose.
The purpose of this part is to reduce the fuel consumption of new
heavy-duty vehicles and engines by establishing maximum levels for fuel
consumption standards while providing a flexible credit program to
assist manufacturers in complying with standards.
[[Page 56164]]
Sec. 535.3 Applicability.
(a) This part applies to manufacturers that produce complete and
incomplete heavy-duty vehicles as defined in 49 CFR part 523, and to
the manufacturers of all heavy-duty engines manufactured for use in the
applicable vehicles for each given model year. Incomplete vehicle
manufacturers must comply with NHTSA's safety requirements in 49 CFR
parts 565, 567 and 568 to comply with part 535. Manufacturers found
under this program not to comply with NHTSA's safety standards or
regulations which apply to the construction of new and incomplete
vehicles in 49 CFR parts 566 through 568 due to incorrect or fraudulent
information will be subject to enforcement in accordance with Chapter
301 of Title 49 and deemed as not complying with Part 535. If the
manufacturer is unable to correct its noncompliance with NHTSA, the
manufacturer fails to comply with the fuel efficiency program and is
unable to earn fuel efficiency credits.
(b) This part also applies to alterers, final stage manufacturers,
and intermediate manufacturers producing vehicles and engines or
assembling motor vehicles or motor vehicle equipment under special
conditions. Manufacturers comply with this part by following the
special conditions in 40 CFR 1037.620, 1037.621, and 1037.622 in which
EPA allows manufacturer to:
(1) Share responsibility for the vehicles they produce.
Manufacturers sharing responsibility for complying with emissions and
fuel consumption standards must submit to the agencies a joint
agreement as specified in 49 CFR 534.8(a);
(2) Have certificate holders sell or ship vehicles that are missing
certain emission-related components to be installed by secondary
vehicle manufacturers;
(3) Ship partially complete vehicles to secondary manufacturers;
(4) Build electric vehicles; and
(5) Build alternative fueled vehicles from all types of heavy-duty
engine conversions. The conversion manufacturer must:
(i) Install alternative fuel conversion systems into vehicles
acquired from vehicle manufacturers prior to first retail sale or prior
to the vehicle's introduction into interstate commerce.
(ii) Be designated by the vehicle manufacturer and EPA to be the
certificate holder.
(iii) Omit alternative fueled vehicles from compliance with vehicle
fuel consumption standards, if-
(A) Excluded from EPA emissions standards; and
(B) A reasonable technical basis exist that the modified vehicle
continues to meet emissions and fuel consumption vehicle standards.
(c) Vehicle and engine manufacturers that must comply with this
part include manufacturers required to have approved certificates of
conformity from EPA as specified in 40 CFR parts 86, 1036, and 1037.
(d) The following heavy-duty vehicles and engines are excluded from
the requirements of this part:
(1) Vehicles and engines manufactured prior to January 1, 2014,
unless certified early under NHTSA's voluntary provisions in Sec.
535.5.
(2) Medium-duty passenger vehicles and other vehicles subject to
the light-duty corporate average fuel economy standards in 49 CFR parts
531 and 533.
(3) Recreational vehicles, including motor homes manufactured
before January 1, 2021, except those produced by manufacturers
voluntarily complying with NHTSA's early vocational standards for model
years 2013 through 2020.
(4) Aircraft vehicles meeting the definition of ``motor vehicle''.
For example, this would include certain convertible aircraft that can
be adjusted to operate on public roads.
(5) Engines installed in heavy-duty vehicles that are not used to
propel vehicles. Note, this includes engines used to indirectly propel
vehicles (such as electrical generator engines that power to batteries
for propulsion).
(6) 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 following heavy-duty vehicles and engines are exempted from
the requirements of this part:
(1) Off-road vehicles. Vehicle manufacturers producing vehicles
intended for off-road may exempt vehicles without requesting approval
from the agencies subject to the criteria in Sec. 535.5(b)(9)(i) and
40 CFR 1037.631(a). If unusual circumstances exist and a manufacturer
is uncertain as to whether its vehicles qualify, the manufacturer
should ask for a preliminary determination from the agencies before
submitting its application for certification in accordance with 40 CFR
1037.205 for the applicable vehicles. Send the request with supporting
information to EPA and the agencies will coordinate in making a
preliminary determination as specified in 40 CFR 1037.210. These
decisions are considered to be preliminary approvals and subject to
final review and approval.
(i) Vocational vehicles with a date of manufacture before January
1, 2021 automatically qualify for an exemption under Sec. 1037.631 if
the tires installed on the vehicle have a maximum speed rating at or
below 55 miles per hour.
(ii) In unusual circumstances, vehicle manufacturers may ask EPA
and NHTSA to exempt vehicles under Sec. 1037.631 based on other
criteria that are equivalent to those specified in Sec. 1037.631(a);
however, the agencies will normally not grant relief in cases where the
vehicle manufacturer has credits or can otherwise comply with
applicable standards. Manufacturers should request approval for an
exemption before producing the subject vehicles. Send your request with
supporting information to the Designated Compliance Officer; EPA will
coordinate in making a determination under Sec. 1037.210. If the
manufacturer introduces into U.S. commerce vehicles that depend on our
approval under this paragraph (h) of this section before we inform you
of our approval, those vehicles violate 40 CFR 1068.101(a)(1) and 40
CFR 535.9.
(2) Small business manufacturers. (i) For Phase 1, small business
manufacturers are exempted from the vehicle and engine standards of
Sec. 535.5, but must comply with the reporting requirements of Sec.
535.8(g).
(ii) For Phase 2, fuel consumption standards apply on a delayed
schedule for manufacturers meeting the small business criteria
specified in 13 CFR 121.201 and in 40 CFR 86.1819- 14(k)(5), 40 CFR
1036.150, and 40 CFR 1037.150. Qualifying manufacturers of truck
tractors, vocational vehicles, heavy duty pickups and vans, and engines
are not subject to the fuel consumption standards for vehicles built
before January 1, 2022 and engines (such as those engines built by
small alternative fuel engine converters) with a date of manufacturer
on or after November 14, 2011 and before January 1, 2022. Qualifying
manufacturers may choose to voluntarily comply early.
(A) Small manufacturers that certify their entire U.S.-directed
production volume to the Phase 1 standards for calendar year 2021 may
certify to the Phase 1 standards for model year 2022 (instead of the
otherwise applicable Phase 2 standards).
(B) Phase 1 vehicle credits small manufacturers generate under
provision (A) of this section for model year 2018 through 2022
vocational vehicles may be used through model year 2027 (instead of
being subject to a five-year credit life).
[[Page 56165]]
(iii) Small business manufacturers producing vehicles and engines
that run on any fuel other than gasoline, E85, or diesel fuel meeting
the criteria specified in 13 CFR 121.201 and in 40 CFR 86.1819-
14(k)(5), 40 CFR 1036.150, and 40 CFR 1037.150 may delay complying with
every new mandatory standard under this part by one model year.
(3) Engines for specialty vehicles. Engines certified to the
alternative standards specified in 40 CFR 86.007-11 and 86.008-10 for
use in specialty vehicles as described in 40 CFR 1037.605. Compliance
with the vehicle provisions in 40 CFR 1037.605 satisfies compliance for
NHTSA under this part.
(f) For model year 2021 and later, vocational vehicle manufacturers
building custom chassis vehicles (e.g., emergency vehicles) may be
exempted from standards in Sec. 535.5(b)(4) and may comply with
alternative fuel consumption standards as specified in Sec.
535.5(b)(6). Manufacturers complying with alternative fuel consumption
standards in Sec. 535.5(b)(6) are restricted in using fuel consumption
credits as specified in Sec. 535.7(c).
(g) The fuel consumption standards in some cases apply differently
for spark-ignition and compression-ignition engines or vehicles as
specified in 40 CFR parts 1036 and 1037. Engine requirements are
similarly differentiated by engine type and by primary intended service
class, as described in 40 CFR 1036.140.
(h) NHTSA may exclude or exempt vehicles and engines under special
conditions allowed by EPA in accordance with 40 CFR parts 85, 86, 1036,
1037, 1039, and 1068. Manufacturers should consult the agencies if
uncertain how to apply any EPA provision under the NHTSA fuel
consumption program. It is recommended that manufacturers seek
clarification before producing a vehicle. Upon notification by EPA of a
fraudulent use of an exemption, NHTSA reserves that right to suspend or
revoke any exemption or exclusion.
(i) In cases where there are differences between the application of
this part and the corresponding EPA program regarding whether a vehicle
is regulated or not (such as due to differences in applicability
resulting from differing agency definitions, etc.), manufacturers
should contact the agencies to identify these vehicles and assess the
applicability of the agencies' standards. The agencies will provide
guidance on how the vehicles can comply. Manufacturers are required to
identify these vehicles in their final reports submitted in accordance
with Sec. 535.8.
(j) If EPA denies, suspends or revokes, a manufacturer's
certificate of conformity in accordance with 40 CFR 1036.255 or
1037.225, due to incomplete, incorrect or fraudulent information, the
vehicles or engines covered by the applicable certificate will be:
(1) ineligible to participate in the NHTSA fuel consumption program
if the certificate is denied.
(2) eligible only for partial crediting under Sec. 535.7, for the
population of vehicles or engines which the certificate remains in
effect before the date of the suspension. The population of vehicle or
engines after the suspension may also be subject to possible fines in
accordance with Sec. 535.9.
(3) ineligible for crediting under Sec. 535.7, and subject to
possible fines in accordance with Sec. 535.9 if fraud exists.
(4) If NHTSA finds a manufacturer has submitted incomplete,
incorrect or fraudulent information, it will contact EPA to deliberate
and determine the appropriate enforcement action.
Sec. 535.4 Definitions.
The terms manufacture and manufacturer are used as defined in
section 501 of the Act and the terms commercial medium-duty and heavy-
duty on highway vehicle, fuel and work truck are used as defined in 49
U.S.C. 32901. See 49 CFR 523.2 for general definitions related to
NHTSA's fuel efficiency programs.
Act means the Motor Vehicle Information and Cost Savings Act, as
amended by Public Law 94-163 and 96-425.
Adjustable parameter has the meaning given in 40 CFR 1037.801.
Administrator means the Administrator of the National Highway
Traffic Safety Administration (NHTSA) or the Administrator's delegate.
Advanced technology means vehicle technology under this fuel
consumption program in Sec. 535.6 and 535.7 and by EPA under 40 CFR
86.1819-14(d)(7), 1036.615, or 1037.615.
Alterers means a manufacturer that modifies an altered vehicle as
defined in 49 CFR 567.3.
Alternative fuel conversion has the meaning given for clean
alternative fuel conversion in 40 CFR 85.502.
Alternative fuel conversion has the meaning given in 40 CFR 85.502.
A to B testing has the meaning given in 40 CFR 1037.801.
Automated manual transmission has the meaning given in 40 CFR
1037.801.
Automatic tire inflation system has the meaning given in 40 CFR
1037.801.
Automatic transmission (AT) has the meaning given in 40 CFR
1037.801.
Auxiliary power unit has the meaning given in 40 CFR 1037.801.
Averaging set means, a set of engines or vehicles in which fuel
consumption credits may be exchanged. Credits generated by one engine
or vehicle family may only be used by other respective engine or
vehicle families in the same averaging set as specified in Sec. 535.7.
Note that an averaging set may comprise more than one regulatory
subcategory. The averaging sets for this HD program are defined as
follows:
(1) Heavy-duty pickup trucks and vans.
(2) Light heavy-duty (LHD) vehicles.
(3) Medium heavy-duty (MHD) vehicles.
(4) Heavy heavy-duty (HHD) vehicles.
(5) Light heavy-duty engines subject to compression-ignition
standards.
(6) Medium heavy-duty engines subject to compression-ignition
standards.
(7) Heavy heavy-duty engines subject to compression-ignition
standards.
(8) Engines subject to spark-ignition standards.
(9) Vehicle types certifying to optional custom chassis standards
as specified in Sec. 535.5(b)(6) form separate averaging sets for each
vehicle type as specified in Sec. 535.7(c).
Axle ratio or Drive axle ratio, ka has the meaning given in 40 CFR
1037.801.
Basic vehicle frontal area has the meaning given in 40 CFR
1037.801.
Cab-complete vehicle has the meaning given in 49 CFR 523.2.
Carryover has the meaning given in 40 CFR 1037.801.
Certificate holder means the manufacturer who holds the certificate
of conformity for the vehicle or engine and that assigns the model year
based on the date when its manufacturing operations are completed
relative to its annual model year period.
Certificate of Conformity means an approval document granted by EPA
to a manufacturer that submits an application for a vehicle or engine
emissions family in 40 CFR 1036.205 and 1037.205. A certificate of
conformity is valid from the indicated effective date until December 31
of the model year for which it is issued. The certificate must be
renewed annually for any vehicle a manufacturer continues to produce.
Information included in an amended application made in accordance with
40 CFR part 1036.225 and 1037.225, before the end of the model year
applies similarly to the NHTSA fuel consumption program as to the EPA.
If a manufacturer amends its application to make the amended
application correct and complete, these changes do not apply
retroactively to
[[Page 56166]]
the NHTSA fuel efficiency program. Also, if EPA or NHTSA determines
that the manufacturer's amended application is not correct and
complete, or otherwise does not conform to its regulations, any changes
finalized by EPA or if EPA suspends, revokes, or voids a certification,
also applies to the NHTSA fuel efficiency program. See Sec. 535.3(j).
Certification has the meaning given in 40 CFR 1037.801.
Certified emission level has the meaning given in 40 CFR 1036.801.
Chassis-cab means the incomplete part of a vehicle that includes a
frame, a completed occupant compartment and that requires only the
addition of cargo-carrying, work-performing, or load- bearing
components to perform its intended functions.
Chief Counsel means the NHTSA Chief Counsel, or his or her
designee.
Class means relating to GVWR classes for vehicles other than
trailers, as follows:
(1) Class 2b vehicles are vehicles with a gross vehicle weight
rating (GVWR) ranging from 8,501 to 10,000 pounds.
(2) Class 3 through Class 8 vehicles are vehicles with a gross
vehicle weight rating (GVWR) of 10,001 pounds or more as defined in 49
CFR 565.15.
Complete sister vehicle is a complete vehicle of the same
configuration as a cab-complete vehicle.
Complete vehicle has the meaning given in 49 CFR part 523.
Compression-ignition (CI) means relating to a type of
reciprocating, internal-combustion engine, such as a diesel engine,
that is not a spark-ignition engine. Note, in accordance with 40 CFR
1036.1, gas turbine engines and other engines not meeting the
definition of compression-ignition are deemed to be compression-
ignition engines for complying with fuel consumption standards.
Configuration means a subclassification within a test group for
passenger cars, light trucks and medium-duty passenger vehicles and
heavy-duty pickup trucks and vans which is based on basic engine,
engine code, transmission type and gear ratios, and final drive ratio.
Container chassis trailer has the same meaning as container chassis
in 40 CFR 1037.801.
Curb weight has the meaning given in 40 CFR 86.1803.
Custom chassis vehicle means a vocational vehicle that is a motor
home, school bus, refuse hauler, concrete mixer, emergency vehicle,
mixed-use vehicle or other buses that are not school buses or motor
coaches. These vehicle types are defined in 49 CFR 523.3. A ``mixed-use
vehicle'' is one that meets at least one of the criteria specified in
40 CFR 1037.631(a)(1) or at least one of the criteria in 40 CFR
1037.631(a)(2), but not both.
Date of manufacture means the date on which the certifying vehicle
manufacturer completes its manufacturing operations, except as follows:
(1) Where the certificate holder is an engine manufacturer that
does not manufacture the complete or incomplete vehicle, the date of
manufacture of the vehicle is based on the date assembly of the vehicle
is completed.
(2) EPA and NHTSA may approve an alternate date of manufacture
based on the date on which the certifying (or primary) vehicle
manufacturer completes assembly at the place of main assembly,
consistent with the provisions of 40 CFR 1037.601 and 49 CFR 567.4.
(3) A vehicle manufacturer that completes assembly of a vehicle at
two or more facilities may ask to use as the month and year of
manufacture, for that vehicle, the month and year in which
manufacturing is completed at the place of main assembly, consistent
with provisions of 49 CFR 567.4, as the model year. Note that such
staged assembly is subject to the provisions of 40 CFR 1068.260(c).
NHTSA's allowance of this provision is effective when EPA approves the
manufacturer's certificates of conformity for these vehicles.
Day cab has the meaning given in 40 CFR 1037.801.
Drayage tractor has the meaning given in 40 CFR 1037.801.
Dual-clutch transmission (DCT) means a transmission has the meaning
given in 40 CFR 1037.801.
Dual-fuel has the meaning given in 40 CFR 1037.801.
Electric vehicle has the meaning given in 40 CFR 1037.801.
Emergency vehicle means a vehicle that meets one of the criteria in
40 CFR 1037.801.
Emission data engine has the meaning given in 40 CFR 1036.801.
Engine configuration has the meaning given in 40 CFR 1036.801.
Engine family has the meaning given in 40 CFR 1036.230.
Manufacturers designate families in accordance with EPA provisions and
may not choose different families between the NHTSA and EPA programs.
Excluded means a vehicle or engine manufacturer or component is not
required to comply with any aspects with the NHTSA fuel consumption
program.
Exempted means a vehicle or engine manufacturer or component is not
required to comply with certain provisions of the NHTSA fuel
consumption program.
Family certification level (FCL) has the meaning given in 40 CFR
1036.801.
Family emission limit (FEL) has the meaning given in 40 CFR
1037.801.
Final drive ratio has the meaning given in 40 CFR 1037.801.
Final-stage manufacturer has the meaning given in 49 CFR 567.3 and
includes secondary vehicle manufacturers as defined in 40 CFR 1037.801.
Fleet in this part means all the heavy-duty vehicles or engines
within each of the regulatory sub- categories that are manufactured by
a manufacturer in a particular model year and that are subject to fuel
consumption standards under Sec. 535.5.
Fleet average fuel consumption is the calculated average fuel
consumption performance value for a manufacturer's fleet derived from
the production weighted fuel consumption values of the unique vehicle
configurations within each vehicle model type that makes up that
manufacturer's vehicle fleet in a given model year. In this part, the
fleet average fuel consumption value is determined for each
manufacturer's fleet of heavy-duty pickup trucks and vans.
Fleet average fuel consumption standard is the actual average fuel
consumption standard for a manufacturer's fleet derived from the
production weighted fuel consumption standards of each unique vehicle
configuration, based on payload, tow capacity and drive configuration
(2, 4 or all- wheel drive), of the model types that makes up that
manufacturer's vehicle fleet in a given model year. In this part, the
fleet average fuel consumption standard is determined for each
manufacturer's fleet of heavy-duty pickup trucks and vans.
Flexible-fuel has the meaning given in 40 CFR 1036.801.
Fuel cell means an electrochemical cell that produces electricity
via the non-combustion reaction of a consumable fuel, typically
hydrogen.
Fuel cell electric vehicle means a motor vehicle propelled solely
by an electric motor where energy for the motor is supplied by a fuel
cell.
Fuel efficiency means the amount of work performed for each gallon
of fuel consumed.
Fuel type has the meaning given in 40 CFR 1037.801.
Gaseous fuel has the meaning given in 40 CFR 1037.801.
Gear ratio or Transmission gear ratio, kg, has the meaning given in
40 CFR 1037.801.
[[Page 56167]]
Good engineering judgment has the meaning given in 40 CFR 1068.30.
See 40 CFR 1068.5 for the administrative process used to evaluate good
engineering judgement.
Greenhouse gas has the meaning given in 40 CFR 1036.801.
Greenhouse gas Emissions Model (GEM) has the meaning given in 40
CFR 1037.801.
Gross axle weight rating (GAWR) has the meaning given in 49 CFR
571.3.
Gross combination weight rating (GCWR) has the meaning given in 49
CFR 571.3.
Gross vehicle weight rating (GVWR) has the meaning given in 49 CFR
571.3.
Heavy-duty off-road vehicle means a heavy-duty vocational vehicle
or vocational tractor that is intended for off-road use.
Heavy-duty engine has the meaning given in 40 CFR 1036.801 and 49
CFR part 523.
Heavy-duty vehicle has the meaning given in 40 CFR 1036.801 and 49
CFR part 523.
Heavy-haul tractor has the meaning given in 40 CFR 1037.801 and 49
CFR part 523.
Heavy heavy-duty (HHD) vehicle has the meaning given in vehicle
service class.
Hybrid has the meaning given in 40 CFR 1036.801.
Hybrid engine or hybrid powertrain has the meaning given in 40 CFR
1037.801.
Hybrid vehicle has the meaning given in 40 CFR 1037.801.
Identification number has the meaning given in 40 CFR 1037.801.
Idle operation has the meaning given in 40 CFR 1037.801.
Incomplete vehicle has the meaning given in 49 CFR part 523. For
the purpose of this regulation, a manufacturer may request EPA and
NHTSA to allow the certification of a vehicle as an incomplete vehicle
if it manufactures the engine and sells the unassembled chassis
components, provided it does not produce and sell the body components
necessary to complete the vehicle.
Innovative technology means technology certified under Sec. 535.7
and by EPA under 40 CFR 86.1819-14(d)(13), 1036.610, and 1037.610 in
the Phase 1 program.
Intermediate manufacturer has the meaning given in 49 CFR 567.3.
Light heavy-duty (LHD) vehicle has the meaning given in vehicle
service class.
Liquefied petroleum gas (LPG) has the meaning given in 40 CFR
1036.801.
Low rolling resistance tire means a tire on a vocational vehicle
with a tire rolling resistance level (TRRL) of 7.7 kg/metric ton or
lower, a steer tire on a tractor with a TRRL of 7.7 kg/metric ton or
lower, or a drive tire on a tractor with a TRRL of 8.1 kg/metric ton or
lower.
Manual transmission (MT) has the meaning given in 40 CFR 1037.801.
Manufacturer has the meaning given in 40 CFR 1036.801.
Medium heavy-duty (MHD) vehicle has the meaning given in vehicle
service class.
Model type has the meaning given in 40 CFR 600.002.
Model year as it applies to vehicles means:
(1) For tractors and vocational vehicles with a date of manufacture
on or after January 1, 2021, the vehicle's model year is the calendar
year corresponding to the date of manufacture; however, the vehicle's
model year may be designated to be the year before the calendar year
corresponding to the date of manufacture if the engine's model year is
also from an earlier year. Note that paragraph (2) of this definition
limits the extent to which vehicle manufacturers may install engines
built in earlier calendar years. Note that 40 CFR 1037.601(a)(2) limits
the extent to which vehicle manufacturers may install engines built in
earlier calendar years.
(2) For Phase 1 tractors and vocational vehicles with a date of
manufacture before January 1, 2021, model year means the manufacturer's
annual new model production period, except as restricted under this
definition. It must include January 1 of the calendar year for which
the model year is named, may not begin before January 2 of the previous
calendar year, and it must end by December 31 of the named calendar
year. The model year may be set to match the calendar year
corresponding to the date of manufacture.
(i) The manufacturer who holds the certificate of conformity for
the vehicle must assign the model year based on the date when its
manufacturing operations are completed relative to its annual model
year period. In unusual circumstances where completion of your assembly
is delayed, we may allow you to assign a model year one year earlier,
provided it does not affect which regulatory requirements will apply.
(ii) Unless a vehicle is being shipped to a secondary manufacturer
that will hold the certificate of conformity, the model year must be
assigned prior to introduction of the vehicle into U.S. commerce. The
certifying manufacturer must re-designate the model year if it does not
complete its manufacturing operations within the originally identified
model year. A vehicle introduced into U.S. commerce without a model
year is deemed to have a model year equal to the calendar year of its
introduction into U.S. commerce unless the certifying manufacturer
assigns a later date.
Model year as it applies to engines means the manufacturer's annual
new model production period, except as restricted under this
definition. It must include January 1 of the calendar year for which
the model year is named, may not begin before January 2 of the previous
calendar year, and it must end by December 31 of the named calendar
year. Manufacturers may not adjust model years to circumvent or delay
compliance with emission standards or to avoid the obligation to
certify annually.
(1) The following provisions apply for production and ABT reports
during the transition to engine-based model year determinations for
tractors and vocational vehicles in 2020 and 2021:
(i) If a manufacturer installs model year 2020 or earlier engines
in its vehicles in calendar year 2020, the manufacturers should include
all those Phase 1 vehicles in its production and ABT reports related to
model year 2020 compliance, although EPA may require the manufacturer
to identify these separately from vehicles produced in calendar year
2019.
(ii) If a manufacturer installs model year 2020 engines in its
vehicles in calendar year 2021, the manufacturer should submit
production and ABT reports for those Phase 1 vehicles separate from the
reports it submits for Phase 2 vehicles with model year 2021 engines.
Motor Vehicle has the meaning given in 49 U.S.C. 32901.
Multi-purpose has the meaning given in 40 CFR 1037.801.
Natural gas has the meaning given in 40 CFR 1036.801. Vehicles that
use a pilot-ignited natural gas engine (which uses a small diesel fuel
ignition system), are still considered natural gas vehicles.
NHTSA Enforcement means the NHTSA Associate Administrator for
Enforcement, or his or her designee.
Neutral coasting has the meaning given in 40 CFR 1037.801.
Neutral idle has the meaning given in 40 CFR 1037.801.
New vehicles has the meaning given to ``new motor vehicle''
provided in 40 CFR 1037.801.
Off-cycle technology means technology certified under Sec. 535.7
and by EPA under 40 CFR 86.1819-14(d)(13), 1036.610, and 1037.610 in
the Phase 2 program.
[[Page 56168]]
Party means the person alleged to have committed a violation of
Sec. 535.9, and includes manufacturers of vehicles and manufacturers
of engines.
Payload means in this part the resultant of subtracting the curb
weight from the gross vehicle weight rating.
Percent has the meaning given in 40 CFR 1036.801.
Petroleum has the meaning given in 40 CFR 1037.801.
Phase 1 means the joint NHTSA and EPA program established in 2011
for fuel efficiency standards and greenhouse gas emissions standards
regulating medium- and heavy-duty engines and vehicles. See Sec. 535.5
for the specific model years that standards apply to vehicles and
engines.
Phase 2 means the joint NHTSA and EPA program established in 2016
for fuel efficiency standards and greenhouse gas emissions standards
regulating medium- and heavy-duty vehicles and engines. See Sec. 535.5
for the specific model years that standards apply to vehicles and
engines.
Pickup truck has the meaning given in 49 CFR part 523.
Placed into service has the meaning given in 40 CFR 1037.801.
Plug-in hybrid electric vehicle (PHEV) means a hybrid electric
vehicle that has the capability to charge the battery or batteries used
for vehicle propulsion from an off-vehicle electric source, such that
the off-vehicle source cannot be connected to the vehicle while the
vehicle is in motion.
Power take-off (PTO) means a secondary engine shaft or other system
on a vehicle that provides substantial auxiliary power for purposes
unrelated to vehicle propulsion or normal vehicle accessories such as
air conditioning, power steering, and basic electrical accessories. A
typical PTO uses a secondary shaft on the engine to transmit power to a
hydraulic pump that powers auxiliary equipment such as a boom on a
bucket truck.
Powertrain family has the meaning given in 40 CFR 1037.231.
Manufacturers choosing to perform powertrain testing as specified in 40
CFR 1037.550, divide product lines into powertrain families that are
expected to have similar fuel consumptions and CO<INF>2</INF> emission
characteristics throughout the useful life.
Preliminary approval means approval granted by an authorized EPA
representative prior to submission of an application for certification,
consistent with the provisions of 40 CFR 1037.210. For requirements
involving NHTSA, EPA will ensure decisions are jointly made and will
convey the decision to the manufacturer.
Primary intended service class has the same meaning for engines as
specified in 40 CFR 1036.140. Manufacturers must identify a single
primary intended service class for each engine family that best
describes vehicles for which it designs and markets the engine, as
follows:
(1) Divide compression-ignition engines into primary intended
service classes based on the following engine and vehicle
characteristics:
(i) Light heavy-duty ``LHD'' 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
below 19,500 pounds.
(ii) Medium heavy-duty ``MHD'' 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 19,500
to 33,000 pounds.
(iii) Heavy heavy-duty ``HHD'' 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.
(2) Divide spark-ignition engines into primary intended service
classes as follows:
(i) Spark-ignition engines that are best characterized by paragraph
(1)(i) or (ii) of this section are in a separate ``spark-ignition''
primary intended service class.
(ii) Spark-ignition engines that are best characterized by
paragraph (1)(iii) 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
(1)(iii) 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.
(iii) 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.
Rechargeable Energy Storage System (RESS) means the component(s) of
a hybrid engine or vehicle that store recovered energy for later use,
such as the battery system in a electric hybrid vehicle.
Refuse hauler has the meaning given in 40 CFR 1037.801.
Regional has the meaning relating to the Regional duty cycle as
specified in 40 CFR 1037.510.
Regulatory category means each of the four types of heavy-duty
vehicles defined in 49 CFR 523.6 and the heavy-duty engines used in
these heavy-duty vehicles.
Regulatory subcategory means the sub-groups in each regulatory
category to which mandatory fuel consumption standards and requirements
apply as specified in 40 CFR 1036.230 and 1037.230 and are defined as
follows:
(1) Heavy-duty pick-up trucks and vans.
(2) Vocational vehicle subcategories have 18 separate vehicle
service classes as shown in Tables 1 and 2 below and include vocational
tractors. Table 1 includes vehicles complying with Phase 1 standards.
Phase 2 vehicles are included in Table 2 which have separate
subcategories to account for engine characteristics, GVWR, and the
selection of duty cycle for vocational vehicles as specified in 40 CFR
1037.510; vehicles may additionally fall into one of the subcategories
defined by the custom-chassis standards in Sec. 535.5(b)(6) and 40
1037.105(h). Manufacturers using the alternate standards in Sec.
535.5(b)(6) and 40 CFR 1037.105(h) should treat each vehicle type as a
separate vehicle subcategory.
Table 1--Phase 1 Vocational Vehicle Subcategories
------------------------------------------------------------------------
-------------------------------------------------------------------------
Vocational LHD vehicles.
Vocational MHD vehicles.
Vocational HHD vehicles.
------------------------------------------------------------------------
[[Page 56169]]
Table 2--Phase 2 Vocational Vehicle Subcategories
------------------------------------------------------------------------
Vocational LHD Vocational MHD Vocational HHD
Engine type vehicles vehicles vehicles
------------------------------------------------------------------------
CI................... Urban.......... Urban.......... Urban.
CI................... Multi-Purpose.. Multi-Purpose.. Multi-Purpose.
CI................... Regional....... Regional....... Regional.
SI................... Urban.......... Urban..........
SI................... Multi-Purpose.. Multi-Purpose..
SI................... Regional....... Regional.......
------------------------------------------------------------------------
(3) Tractor subcategories are shown in Table 3 below for Phase 1
and 2. Table 3 includes 10 separate subcategories for tractors
complying with Phase 1 and 2 standards. The heavy-haul tractor
subcategory only applies for Phase 2.
Table 3--Phase 1 and 2 Truck Tractor Subcategories
------------------------------------------------------------------------
Class 8 sleeper
Class 7 Class 8 day cabs cabs
------------------------------------------------------------------------
Low-roof tractors............... Low-roof day cab Low-roof sleeper
tractors. cab tractors.
Mid-roof tractors............... Mid-roof day cab Mid-roof sleeper
tractors. cab tractors.
High-roof tractors.............. High-roof day cab High-roof sleeper
tractors. cab tractors.
---------------------------------------
Heavy-haul tractors (applies only to
Phase 2 program).
------------------------------------------------------------------------
(5) Engine subcategories are shown for each primary intended
service class in Table 5 below. Table 5 includes 6 separate
subcategories for engines which are the same for Phase 1 and 2
standards.
Table 5--Engine Subcategories
------------------------------------------------------------------------
LHD engines MHD engines HHD engines
------------------------------------------------------------------------
CI engines for vocational CI engines for CI engines for
vehicles. vocational vocational
vehicles. vehicles.
CI engines for CI engines for
truck tractors. truck tractors.
-----------------------------------------------------
All spark-ignition engines.
------------------------------------------------------------------------
Relating to has the meaning given in 40 CFR 1037.801.
Revoke has the same meaning given in 40 CFR 1068.30.
Roof height means the maximum height of a vehicle (rounded to the
nearest inch), excluding narrow accessories such as exhaust pipes and
antennas, but including any wide accessories such as roof fairings.
Measure roof height of the vehicle configured to have its maximum
height that will occur during actual use, with properly inflated tires
and no driver, passengers, or cargo onboard. Determine the base roof
height on fully inflated tires having a static loaded radius equal to
the arithmetic mean of the largest and smallest static loaded radius of
tires a manufacturer offers or a standard tire EPA approves. If a
vehicle is equipped with an adjustable roof fairing, measure the roof
height with the fairing in its lowest setting. Once the maximum height
is determined, roof heights are divided into the following categories:
(1) Low-roof means a vehicle with a roof height of 120 inches or
less.
(2) Mid-roof means a vehicle with a roof height between 121 and 147
inches.
(3) High-roof means a vehicle with a roof height of 148 inches or
more.
Round has the meaning given in 40 CFR 1065.1001.
Secondary vehicle manufacturer has the same meaning as final-stage
manufacturer in 49 CFR part 567.
Service class group means a group of engine and vehicle averaging
sets defined as follows:
(1) Spark-ignition engines, light heavy-duty compression-ignition
engines, light heavy-duty vocational vehicles and heavy-duty pickup
trucks and vans.
(2) Medium heavy-duty compression-ignition engines and medium
heavy-duty vocational vehicles and tractors.
(3) Heavy heavy-duty compression-ignition engines and heavy heavy-
duty vocational vehicles and tractors.
Sleeper cab means a type of truck cab that has a compartment behind
the driver's seat intended to be used by the driver for sleeping. This
includes both cabs accessible from the driver's compartment and those
accessible from outside the vehicle.
Small business manufacturer means a manufacturer meeting the
criteria specified in 13 CFR 121.201. For manufacturers owned by a
parent company, the employee and revenue limits apply to the total
number employees and total revenue of the parent company and all its
subsidiaries.
Spark-ignition (SI) means relating to a gasoline-fueled engine or
any other type of engine with a spark plug (or other sparking device)
and with operating characteristics significantly similar to the
theoretical Otto combustion cycle. Spark-ignition engines usually use a
throttle to regulate intake air flow to control power during normal
operation. Note that some spark-ignition engines are subject to
requirements that apply for compression-ignition engines as described
in 40 CFR 1036.140.
Standard payload means the payload assumed for each vehicle, in
tons, for modeling and calculating emission credits, as follows:
(1) For vocational vehicles:
(i) 2.85 tons for light heavy-duty vehicles.
(ii) 5.6 tons for medium heavy-duty vehicles.
(iii) 7.5 tons for heavy heavy-duty vocational vehicles.
(2) For tractors:
(i) 12.5 tons for Class 7.
[[Page 56170]]
(ii) 19 tons for Class 8.
(iii) 43 tons for heavy-haul tractors.
Standard tractor has the meaning given in 40 CFR 1037.801.
Standard trailer has the meaning given in 40 CFR 1037.801.
Stop start has the meaning given in 40 CFR 1037.801
Subconfiguration means a unique combination within a vehicle
configuration of equivalent test weight, road-load horsepower, and any
other operational characteristics or parameters that EPA determines may
significantly affect CO2 emissions within a vehicle configuration as
defined in 40 CFR 600.002.
Suspend has the meaning given in 40 CFR 1037.801.
Tank trailer has the meaning given in 40 CFR 1037.801.
Test group means the multiple vehicle lines and model types that
share critical emissions and fuel consumption related features and that
are certified as a group by a common certificate of conformity issued
by EPA and is used collectively with other test groups within an
averaging set or regulatory subcategory and is used by NHTSA for
determining the fleet average fuel consumption.
The agencies means the National Highway Traffic Safety
Administration (NHTSA) and the Environmental Protection Agency (EPA) in
this part.
Tire pressure monitoring system (TPMS) has the meaning given in
section S3 of 49 CFR 571.138.
Tire rolling resistance level (TRRL) means a value with units of
kg/metric ton that represents that rolling resistance of a tire
configuration. TRRLs are used as inputs to the GEM model under 40 CFR
1037.520. Note that a manufacturer may assign a value higher than a
measured rolling resistance of a tire configuration.
Towing capacity in this part is equal to the resultant of
subtracting the gross vehicle weight rating from the gross combined
weight rating.
Trade means to exchange fuel consumption credits, either as a buyer
or a seller.
U.S.-directed production volume means the number of vehicle units,
subject to the requirements of this part, produced by a manufacturer
for which the manufacturer has a reasonable assurance that sale was or
will be made to ultimate purchasers in the United States.
Useful life has the meaning given in 40 CFR 1036.801 and 1037.801.
Vehicle configuration means a unique combination of vehicle
hardware and calibration (related to measured or modeled emissions)
within a vehicle family as specified in 40 CFR 1037.801.
Vehicles with hardware or software differences, but that have no
hardware or software differences related to measured or modeled
emissions or fuel consumption can be included in the same vehicle
configuration. Note that vehicles with hardware or software differences
related to measured or modeled emissions or fuel consumption are
considered to be different configurations even if they have the same
GEM inputs and FEL. Vehicles within a vehicle configuration differ only
with respect to normal production variability or factors unrelated to
measured or modeled emissions and fuel consumption for EPA and NHTSA.
Vehicle family has the meaning given in 40 CFR 1037.230.
Manufacturers designate families in accordance with EPA provisions and
may not choose different families between the NHTSA and EPA programs.
If a manufacturer is certifying vehicles within a vehicle family to
more than one FEL, it must subdivide its greenhouse gas and fuel
consumption vehicle families into subfamilies that include vehicles
with identical FELs. Note that a manufacturer may add subfamilies at
any time during the model year.
Vehicle service class has the same meaning for vehicles as
specified in 40 CFR 1037.140.
Vehicle subfamily or subfamily means a subset of a vehicle family
including vehicles subject to the same FEL(s).
Vocational tractor has the meaning given in 40 CFR 1037.801.
Void has the meaning given in 40 CFR 1036.30.
Zero emissions vehicle means an electric vehicle or a fuel cell
vehicle.
Sec. 535.5 Standards.
(a) Heavy-duty pickup trucks and vans. Each manufacturer's fleet of
heavy-duty pickup trucks and vans shall comply with the fuel
consumption standards in this paragraph (a) expressed in gallons per
100 miles. Each vehicle must be manufactured to comply for its full
useful life. For the Phase 1 program, if the manufacturer's fleet
includes conventional vehicles (gasoline, diesel and alternative fueled
vehicles) and advanced technology vehicles (hybrids with powertrain
designs that include energy storage systems, vehicles with waste heat
recovery, electric vehicles and fuel cell vehicles), it may divide its
fleet into two separate fleets each with its own separate fleet average
fuel consumption standard which the manufacturer must comply with the
requirements of this paragraph (a). For Phase 2, manufacturers may
calculate their fleet average fuel consumption standard for a
conventional fleet and multiple advanced technology vehicle fleets.
Advanced technology vehicle fleets should be separated into plug-in
hybrid electric vehicles, electric vehicles and fuel cell vehicles. The
standards in this paragraph (a) correspond to the same requirements for
EPA as specified in 40 CFR 86.1819-14. Manufacturers must apply the
fuel consumption standards in this paragraph (a) to the same vehicles
and engines using the same options used to comply with EPA in 40 CFR
part 86, subpart S. Engines that comply to the standards in this
paragraph are not allowed to comply with the standards in paragraph (d)
of this section.
(1) Mandatory standards. For model years 2016 and later, each
manufacturer must comply with the fleet average standard derived from
the unique subconfiguration target standards (or groups of
subconfigurations approved by EPA in accordance with 40 CFR 86.1819) of
the model types that make up the manufacturer's fleet in a given model
year. Each subconfiguration has a unique attribute-based target
standard, defined by each group of vehicles having the same payload,
towing capacity and whether the vehicles are equipped with a 2-wheel or
4-wheel drive configuration. Phase 1 target standards apply for model
years 2016 through 2020. Phase 2 target standards apply for model year
2021 and afterwards.
(2) Subconfiguration target standards.
(i) Two alternatives exist for determining the subconfiguration
target standards for Phase 1. For each alternative, separate standards
exist for compression-ignition and spark-ignition vehicles:
(A) The first alternative allows manufacturers to determine a fixed
fuel consumption standard that is constant over the model years; and
(B) The second alternative allows manufacturers to determine
standards that are phased-in gradually each year.
(ii) Calculate the subconfiguration target standards as specified
in this paragraph (a)(2)(ii) of this section, using the appropriate
coefficients from Table 6 choosing between the alternatives in
paragraph (a)(2)(i) of this section. For electric or fuel cell heavy-
duty vehicles, use compression-ignition vehicle coefficients ``c'' and
``d'' and for hybrid (including plug-in hybrid), dedicated and dual-
fueled vehicles, use coefficients ``c'' and ``d'' appropriate for the
engine type used. Round each standard to the nearest 0.001 gallons per
100 miles and specify all weights in pounds rounded to the nearest
pound. Calculate the subconfiguration target standards using the
following equation:
[[Page 56171]]
Subconfiguration Target Standard (gallons per 100 miles) = [c x (WF)] +
d
Where:
WF = Work Factor = [0.75 x (Payload Capacity + Xwd)] + [0.25 x
Towing Capacity]
Xwd = 4wd Adjustment = 500 lbs if the vehicle group is equipped with
4wd and all-wheel drive, otherwise equals 0 lbs for 2wd.
Payload Capacity = GVWR (lbs)-Curb Weight (lbs) (for each vehicle
group) Towing
Capacity = GCWR (lbs)-GVWR (lbs) (for each vehicle group)
Table 6--Coefficients for Mandatory Subconfiguration Target Standards
----------------------------------------------------------------------------------------------------------------
Model year(s) c d
----------------------------------------------------------------------------------------------------------------
Phase 1 Alternative 1--Fixed Target Standards
----------------------------------------------------------------------------------------------------------------
CI Vehicle Coefficients
----------------------------------------------------------------------------------------------------------------
2016 to 2018.................................................. 0.0004322 3.330
2019 to 2020.................................................. 0.0004086 3.143
----------------------------------------------------------------------------------------------------------------
SI Vehicle Coefficients
----------------------------------------------------------------------------------------------------------------
2016 to 2017.................................................. 0.0005131 3.961
2018 to 2020.................................................. 0.0004086 3.143
----------------------------------------------------------------------------------------------------------------
Phase 1 Alternative 2--Phased-in Target Standards
----------------------------------------------------------------------------------------------------------------
CI Vehicle Coefficients
----------------------------------------------------------------------------------------------------------------
2016.......................................................... 0.0004519 3.477
2017.......................................................... 0.0004371 3.369
2018 to 2020.................................................. 0.0004086 3.143
----------------------------------------------------------------------------------------------------------------
SI Vehicle Coefficients
----------------------------------------------------------------------------------------------------------------
2016.......................................................... 0.0005277 4.073
2017.......................................................... 0.0005176 3.983
2018 to 2020.................................................. 0.0004951 3.815
----------------------------------------------------------------------------------------------------------------
Phase 2--Fixed Target Standards
----------------------------------------------------------------------------------------------------------------
CI Vehicle Coefficients
----------------------------------------------------------------------------------------------------------------
2021.......................................................... 0.0003988 3.065
2022.......................................................... 0.0003880 2.986
2023.......................................................... 0.0003792 2.917
2024.......................................................... 0.0003694 2.839
2025.......................................................... 0.0003605 2.770
2026.......................................................... 0.0003507 2.701
2027 and later................................................ 0.0003418 2.633
----------------------------------------------------------------------------------------------------------------
SI Vehicle Coefficients
----------------------------------------------------------------------------------------------------------------
2021.......................................................... 0.0004827 3.725
2022.......................................................... 0.0004703 3.623
2023.......................................................... 0.0004591 3.533
2024.......................................................... 0.0004478 3.443
2025.......................................................... 0.0004366 3.364
2026.......................................................... 0.0004253 3.274
2027 and later................................................ 0.0004152 3.196
----------------------------------------------------------------------------------------------------------------
(3) Fleet average fuel consumption standard. (i) For the Phase 1
program, calculate each manufacturer's fleet average fuel consumption
standard for a conventional fleet and a combined advanced technology
fleet separately based on the subconfiguration target standards
specified in paragraph (a)(2) of this section, weighted to production
volumes and averaged using the following equation combining all the
applicable vehicles in a manufacturer's U.S.-directed fleet
(compression-ignition, spark-ignition and advanced technology vehicles)
for a given model year, rounded to the nearest 0.001 gallons per 100
miles:
[GRAPHIC] [TIFF OMITTED] TP13SE22.000
[[Page 56172]]
Where:
Subconfiguration Target Standardi = fuel consumption standard for
each group of vehicles with same payload, towing capacity and drive
configuration (gallons per 100 miles).
Volumei = production volume of each unique subconfiguration of a
model type based upon payload, towing capacity and drive
configuration.
(A) A manufacturer may group together subconfigurations that have
the same test weight (ETW), GVWR, and GCWR. Calculate work factor and
target value assuming a curb weight equal to two times ETW minus GVWR.
(B) A manufacturer may group together other subconfigurations if it
uses the lowest target value calculated for any of the
subconfigurations.
(ii) For Phase 1, manufacturers must select an alternative for
subconfiguration target standards at the same time they submit the
model year 2016 pre-model year Report, specified in Sec. 535.8. Once
selected, the decision cannot be reversed and the manufacturer must
continue to comply with the same alternative for subsequent model
years.
(4) Voluntary standards. (i) Manufacturers may choose voluntarily
to comply early with fuel consumption standards for model years 2013
through 2015, as determined in paragraphs (a)(4)(iii) and (iv) of this
section, for example, in order to begin accumulating credits through
over-compliance with the applicable standard. A manufacturer choosing
early compliance must comply with all the vehicles and engines it
manufactures in each regulatory category for a given model year.
(ii) A manufacturer must declare its intent to voluntarily comply
with fuel consumption standards at the same time it submits a Pre-Model
Report, prior to the compliance model year beginning as specified in
Sec. 535.8; and, once selected, the decision cannot be reversed and
the manufacturer must continue to comply for each subsequent model year
for all the vehicles and engines it manufactures in each regulatory
category for a given model year.
(iii) Calculate separate subconfiguration target standards for
compression-ignition and spark- ignition vehicles for model years 2013
through 2015 using the equation in paragraph (a)(2)(ii) of this
section, substituting the appropriate values for the coefficients in
the following table as appropriate:
Table 7--Coefficients for Voluntary Subconfiguration Target Standards
----------------------------------------------------------------------------------------------------------------
Model year(s) c d
----------------------------------------------------------------------------------------------------------------
CI Vehicle Coefficients
----------------------------------------------------------------------------------------------------------------
2013 and 14................................................... 0.0004695 3.615
2015.......................................................... 0.0004656 3.595
----------------------------------------------------------------------------------------------------------------
SI Vehicle Coefficients
----------------------------------------------------------------------------------------------------------------
2013 and 14................................................... 0.0005424 4.175
2015.......................................................... 0.0005390 4.152
----------------------------------------------------------------------------------------------------------------
(iv) Calculate the fleet average fuel consumption standards for
model years 2013 through 2015 using the equation in paragraph (a)(3) of
this section.
(5) Exclusion of vehicles not certified as complete vehicles. The
vehicle standards in paragraph (a) of this section do not apply for
vehicles that are chassis-certified with respect to EPA's criteria
pollutant test procedure in 40 CFR part 86, subpart S. Any chassis-
certified vehicles must comply with the vehicle standards and
requirements of paragraph (b) of this section and the engine standards
of paragraph (d) of this section for engines used in these vehicles. A
vehicle manufacturer choosing to comply with this paragraph and that is
not the engine manufacturer is required to notify the engine
manufacturers that their engines are subject to paragraph (d) of this
section and that it intends to use their engines in excluded vehicles.
(6) Optional certification under this section. Manufacturers may
certify certain complete or cab- complete vehicles to the fuel
consumption standards of this section. All vehicles optionally
certified under this paragraph (a)(6) are deemed to be subject to the
fuel consumption standards of this section given the following
conditions:
(i) For fuel consumption compliance, manufacturers may certify any
complete or cab-complete spark-ignition vehicles above 14,000 pounds
GVWR and at or below 26,000 pounds GVWR to the fuel consumption
standards of this section.
(ii) Manufacturers may apply the provisions of this section to cab-
complete vehicles based on a complete sister vehicle. In unusual
circumstances, manufacturers may ask the agencies to apply these
provisions to Class 2b or Class 3 incomplete vehicles that do not meet
the definition of cab-complete.
(A) Except as specified in paragraph (a)(6)(iii) of this section,
for purposes of this section, a complete sister vehicle is a complete
vehicle of the same vehicle configuration as the cab- complete vehicle.
A manufacturer may not apply the provisions of this paragraph (a)(6) to
any vehicle configuration that has a four-wheel rear axle if the
complete sister vehicle has a two- wheel rear axle.
(B) Calculate the target value for the fleet-average fuel
consumption standard under paragraph (a)(3) of this section based on
the work factor value that applies for the complete sister vehicle.
(C) Test these cab-complete vehicles using the same equivalent test
weight and other dynamometer settings that apply for the complete
vehicle from which you used the work factor value (the complete sister
vehicle). For fuel consumption certification, manufacturers may submit
the test data from that complete sister vehicle instead of performing
the test on the cab- complete vehicle.
(D) Manufacturers are not required to produce the complete sister
vehicle for sale to use the provisions of this paragraph (a)(6)(ii).
This means the complete sister vehicle may be a carryover vehicle from
a prior model year or a vehicle created solely for the purpose of
testing.
(iii) For fuel consumption purposes, if a cab-complete vehicle is
not of the same vehicle configuration as a complete sister vehicle due
only to certain factors unrelated to coastdown performance,
manufacturers may use the road-load coefficients from the complete
sister vehicle for certification testing of the cab-complete vehicle,
but it may not use fuel consumption data from the complete sister
vehicle for certifying the cab-complete vehicle.
[[Page 56173]]
(7) Loose engines. For model year 2023 and earlier spark-ignition
engines with identical hardware compared with engines used in vehicles
certified to the standards of this section, where such engines are sold
as loose engines or as engines installed in incomplete vehicles that
are not cab-complete vehicles. Manufacturers may certify such engines
to the standards of this section, subject to the following provisions:
(i) For 2020 and earlier model years, the maximum allowable U.S.-
directed production volume of engines manufacturers may sell under this
paragraph (a)(7) in any given model year is ten percent of the total
U.S-directed production volume of engines of that design that the
manufacturer produces for heavy-duty applications for that model year,
including engines it produces for complete vehicles, cab-complete
vehicles, and other incomplete vehicles. The total number of engines a
manufacturer may certify under this paragraph (a)(7), of all engine
designs, may not exceed 15,000 in any model year. Engines produced in
excess of either of these limits are not covered by your certificate.
For example, a manufacturer produces 80,000 complete model year 2017
Class 2b pickup trucks with a certain engine and 10,000 incomplete
model year 2017 Class 3 vehicles with that same engine, and the
manufacturer did not apply the provisions of this paragraph (a)(7) to
any other engine designs, it may produce up to 10,000 engines of that
design for sale as loose engines under this paragraph (a)(7). If a
manufacturer produced 11,000 engines of that design for sale as loose
engines, the last 1,000 of them that it produced in that model year
2017 would be considered uncertified.
(ii) For model years 2021 through 2023, the U.S.-directed
production volume of engines manufacturers sell under this paragraph
(a)(7) in any given model year may not exceed 10,000 units. This
paragraph (a)(7) does not apply for engines certified to the standards
of paragraph (d) of this section and 40 CFR 1036.108.
(iii) Vehicles using engines certified under this paragraph (a)(7)
are subject to the fuel consumption and emission standards of paragraph
(b) of this section and 40 CFR 1037.105 and engine standards in 40 CFR
1036.150(j).
(iv) For certification purposes, engines are deemed to have a fuel
consumption target values and test result equal to the fuel consumption
target value and test result for the complete vehicle in the applicable
test group with the highest equivalent test weight, except as specified
in paragraph (a)(7)(iv)(B) of this part. Manufacturers use these values
to calculate target values and the fleet- average fuel consumption
rate. Where there are multiple complete vehicles with the same highest
equivalent test weight, select the fuel consumption target value and
test result as follows:
(A) If one or more of the fuel consumption test results exceed the
applicable target value, use the fuel consumption target value and test
result of the vehicle that exceeds its target value by the greatest
amount.
(B) If none of the fuel consumption test results exceed the
applicable target value, select the highest target value and set the
test result equal to it. This means that the manufacturer may not
generate fuel consumption credits from vehicles certified under this
paragraph (a)(7).
(8) Alternative fuel vehicle conversions. Alternative fuel vehicle
conversions may demonstrate compliance with the standards of this part
or other alternative compliance approaches allowed by EPA in 40 CFR
85.525.
(9) Advanced, innovative and off-cycle technologies. For vehicles
subject to Phase 1 standards, manufacturers may generate separate
credit allowances for advanced and innovative technologies as specified
in Sec. 535.7(f)(1) and (2). For vehicles subject to Phase 2
standards, manufacturers may generate separate credits allowance for
off-cycle technologies in accordance with Sec. 535.7(f)(2). Separate
credit allowances for advanced technology vehicles cannot be generated;
instead manufacturers may use the credit multipliers specified in Sec.
535.7(f)(1)(iv) through model year 2026.
(10) Useful life. The following useful life values apply for the
standards of this section:
(i) 120,000 miles or 10 years, whichever comes first, for Class 2b
through Class 3 heavy-duty pickup trucks and vans certified to Phase 1
standards.
(ii) 150,000 miles or 15 years, whichever comes first, for Class 2b
through Class 3 heavy-duty pickup trucks and vans certified to Phase 2
standards.
(iii) For Phase 1 credits that you calculate based on a useful life
of 120,000 miles, multiply any banked credits that you carry forward
for use into the Phase 2 program by 1.25. For Phase 1 credit deficits
that you generate based on a useful life of 120,000 miles multiply the
credit deficit by 1.25 if offsetting the shortfall with Phase 2
credits.
(11) Compliance with standards. A manufacturer complies with the
standards of this part as described in Sec. 535.10.
(b) Heavy-duty vocational vehicles. Each manufacturer building
complete or incomplete heavy- duty vocational vehicles shall comply
with the fuel consumption standards in this paragraph (b) expressed in
gallons per 1000 ton-miles. Manufacturers must apply the fuel
consumption standards in this paragraph (b) to the same vehicles using
the same options used to comply with EPA in 40 CFR 1037.105. Engines
used in heavy-duty vocational vehicles shall comply with the standards
in paragraph (d) of this section. Each vehicle must be manufactured to
comply for its full useful life. Standards apply to the vehicle
subfamilies based upon the vehicle service classes within each of the
vocational vehicle regulatory subcategories in accordance with Sec.
535.4 and based upon the applicable modeling and testing specified in
Sec. 535.6. Determine the duty cycles that apply to vocational
vehicles according to 40 CFR 1037.140 and 1037.150(z).
(1) Mandatory standards. Heavy-duty vocational vehicle subfamilies
produced for Phase 1 must comply with the fuel consumption standards in
paragraph (b)(3) of this section. For Phase 2, each vehicle
manufacturer of heavy-duty vocational vehicle subfamilies must comply
with the fuel consumption standards in paragraph (b)(4) of this
section.
(i) For model years 2016 to 2020, the heavy-duty vocational vehicle
category is subdivided by GVWR into three regulatory subcategories as
defined in Sec. 535.4, each with its own assigned standard.
(ii) For model years 2021 and later, the heavy-duty vocational
vehicle category is subdivided into 15 regulatory subcategories
depending upon whether vehicles are equipped with a compression or
spark-ignition engine, as defined in Sec. 535.4. Standards also differ
based upon vehicle service class and intended vehicle duty cycles. See
40 CFR 1037.140 and 1037.150(z).
(iii) For purposes of certifying vehicles to fuel consumption
standards, manufacturers must divide their product lines in each
regulatory subcategory into vehicle families that have similar
emissions and fuel consumption features, as specified by EPA in 40 CFR
1037.230. These families will be subject to the applicable standards.
Each vehicle family is limited to a single model year.
(2) Voluntary compliance. (i) For model years 2013 through 2015, a
manufacturer may choose voluntarily to comply early with the fuel
consumption standards provided in paragraph (b)(3)
[[Page 56174]]
of this section. For example, a manufacturer may choose to comply early
in order to begin accumulating credits through over-compliance with the
applicable standards. A manufacturer choosing early compliance must
comply with all the vehicles and engines it manufactures in each
regulatory category for a given model year.
(ii) A manufacturer must declare its intent to voluntarily comply
with fuel consumption standards and identify its plans to comply before
it submits its first application for a certificate of conformity for
the respective model year as specified in Sec. 535.8; and, once
selected, the decision cannot be reversed and the manufacturer must
continue to comply for each subsequent model year for all the vehicles
and engines it manufactures in each regulatory category for a given
model year.
(3) Regulatory subcategory standards for model years 2013 to 2020.
The mandatory and voluntary fuel consumption standards for heavy-duty
vocational vehicles are given in the following table:
Table 8--Phase 1 Vocational Vehicle Fuel Consumption Standards
[Gallons per 1000 ton-miles]
----------------------------------------------------------------------------------------------------------------
Regulatory subcategories Vocational LHD Vehicles Vocational MHD Vehicles Vocational HHD Vehicles
----------------------------------------------------------------------------------------------------------------
Model Years 2013 to 2016 Voluntary Standards
----------------------------------------------------------------------------------------------------------------
Standard............................. 38.1139 22.9862 22.2004
----------------------------------------------------------------------------------------------------------------
Model Years 2017 to 2020 Mandatory Standards
----------------------------------------------------------------------------------------------------------------
Standard............................. 36.6405 22.1022 21.8075
----------------------------------------------------------------------------------------------------------------
(4) Regulatory subcategory standards for model years 2021 and
later. The mandatory fuel consumption standards for heavy-duty
vocational vehicles are given in the following table:
BILLING CODE 4910-59-P
[[Page 56175]]
[GRAPHIC] [TIFF OMITTED] TP13SE22.002
[[Page 56176]]
[GRAPHIC] [TIFF OMITTED] TP13SE22.003
BILLING CODE 4910-59-C
(5) Subfamily standards. Manufacturers may specify a family
emission limit (FEL) in terms of fuel consumption for each vehicle
subfamily. The FEL may not be less than the result of fuel consumption
modeling from 40 CFR 1037.520. The FELs is the fuel consumption
standards for the vehicle subfamily instead of the standards specified
in paragraph (b)(3) and (4) of this section and can be used for
calculating fuel consumption credits in accordance with Sec. 535.7.
(6) Alternate standards for custom chassis vehicles for model years
2021 and later. Manufacturers may elect to certify certain vocational
vehicles to the alternate standards for custom chassis vehicles
specified in this paragraph (b)(6) instead of the standards specified
in paragraph (b)(4) of this section. Note that, although these
standards were established for custom chassis vehicles, manufacturers
may apply these provisions to any qualifying vehicle even though these
standards were established for custom chassis vehicles. For example,
large diversified vehicle manufacturers may certify vehicles to the
refuse hauler standards of this section as long as the manufacturer
ensures that those vehicles qualify as refuse haulers when placed into
service. GEM simulates vehicle operation for each type of vehicle based
on an assigned vehicle service class, independent of the vehicle's
actual characteristics, as shown in Table 10 of this section; however,
standards apply for the vehicle's useful life based on its actual
characteristics as specified in paragraph (b)(10) of this section.
Vehicles certified to these alternative standards must use engines
certified to requirements under paragraph (d) of this section and 40
CFR part 1036 for the appropriate model year, except that motor homes
and emergency vehicles may use engines certified with the loose-engine
provisions of paragraph
[[Page 56177]]
(a)(7) of this section and 40 CFR 1037.150(m). This also applies for
vehicles meeting standards under paragraphs (a)(6)(iv) through (vi) of
this section. The fuel consumption standards for custom chassis
vehicles are given in the following table:
Table 10--Phase 2 Custom Chassis Fuel Consumption Standards
[Gallon per 1,000 ton-mile]
----------------------------------------------------------------------------------------------------------------
Vehicle type \1\ Assigned vehicle service class MY 2021 MY 2027
----------------------------------------------------------------------------------------------------------------
School Bus.................................... MHD Vehicle..................... 28.5855 26.6208
Motor Home.................................... MHD Vehicle..................... 22.3969 22.2004
Coach Bus..................................... HHD Vehicle..................... 20.6287 20.1375
Other bus..................................... HHD Vehicle..................... 29.4695 28.0943
Refuse hauler................................. HHD Vehicle..................... 30.7466 29.2731
Concrete mixer................................ HHD Vehicle..................... 31.3360 31.0413
Mixed-use vehicle............................. HHD Vehicle..................... 31.3360 31.0413
Emergency Vehicle............................. HHD Vehicle..................... 31.8271 31.3360
----------------------------------------------------------------------------------------------------------------
\1\ Vehicle types are generally defined in Sec. 535.3. ``Other bus'' includes any bus that is not a school bus
or a coach bus. A ``mixed-use vehicle'' is one that meets at least one of the criteria specified in 40 CFR
1037.631(a)(1) or at least one of the criteria in 40 CFR 1037.631(a)(2), but not both.
(i) Manufacturers may generate or use fuel consumption credits for
averaging to demonstrate compliance with the alternative standards as
described in Sec. 535.7(c). This requires that manufacturers specify a
Family Emission Limit (FEL) for fuel consumption for each vehicle
subfamily. The FEL may not be less than the result of emission modeling
as described in this paragraph (b). These FELs serve as the fuel
consumption standards for the vehicle subfamily instead of the
standards specified in this paragraph (b)(6). Manufacturers may only
use fuel consumption credits for vehicles certified to the optional
standards in this paragraph (b)(6) as specified in Sec. 535.7(c)(6)
through (8) and you may not bank or trade fuel consumption credits from
any vehicles certified under this paragraph (b)(6).
(ii) For purposes of this paragraph (b)(6), each separate vehicle
type identified in Table 10 of this section is in a separate averaging
set.
(iii) For purposes of emission and fuel consumption modeling under
40 CFR 1037.520, consider motor homes and coach buses to be subject to
the Regional duty cycle, and consider all other vehicles to be subject
to the Urban duty cycle.
(iv) Emergency vehicles are deemed to comply with the standards of
this paragraph (b)(6) if manufacturers use tires with TRRL at or below
8.4 kg/ton (8.7 g/ton for model years 2021 through 2026).
(v) Concrete mixers are deemed to comply with the standards of this
paragraph (b)(6) if manufacturers use tires with TRRL at or below 7.1
kg/ton (7.6 g/ton for model years 2021 through 2026).
(vi) Motor homes are deemed to comply with the standards of this
paragraph (b)(6) if manufacturers use the following technologies:
(A) Tires with TRRL at or below 6.0 kg/ton (6.7 g/ton for model
years 2021 through 2026).
(B) Automatic tire inflation systems or tire pressure monitoring
systems with wheels on all axles.
(C) Tire pressure monitoring systems must use low pressure warning
and malfunction telltales in clear view of the driver as specified in
S4.3 and S4.4 of 49 CFR 571.138.
(vii) Small business manufacturers using the alternative standards
for custom chassis vehicles under this paragraph (b)(6) may use fuel
consumption credits subject to the unique provisions in Sec.
535.7(a)(9).
(7) Advanced, innovative and off-cycle technologies. For vocational
vehicles subfamilies subject to Phase 1 standards, manufacturers must
create separate vehicle subfamilies for vehicles that contain advanced
or innovative technologies and group those vehicles together in a
vehicle subfamily if they use the same advanced or innovative
technologies. Manufacturers may generate separate credit allowances for
advanced and innovative technologies as specified in Sec. 535.7(f)(1)
and (2). For vehicle subfamilies subject to Phase 2 standards,
manufacturers may generate separate credit allowances for off-cycle
technologies in accordance with Sec. 535.7(f)(2). Separate credit
allowances for advanced technology vehicles cannot be generated but
instead manufacturers may use the credit multipliers specified in Sec.
535.7(f)(1)(iv) through model year 2026.
(8) Certifying across service classes. A manufacturer may
optionally certify vocational vehicle subfamilies to the standards and
useful life applicable to a heavier vehicle service class (such as MHD
vocational vehicles instead of LHD vocational vehicles). Provisions
related to generating fuel consumption credits apply as follows:
(i) If a manufacturer certifies all its vehicles from a given
vehicle service class in a given model year to the standards and useful
life that applies for a heavier vehicle service class, it may generate
credits as appropriate for the heavier service class.
(ii) Class 8 hybrid vehicles with light or medium heavy-duty
engines may be certified to compression-ignition standards for the
Heavy HDV service class. A manufacturer may generate and use credits as
allowed for the Heavy HDV service class.
(iii) Except as specified in paragraphs (b)(8)(i) and (ii) of this
section, a manufacturer may not generate credits with the vehicle. If
you include lighter vehicles in a subfamily of heavier vehicles with an
FEL below the standard, exclude the production volume of lighter
vehicles from the credit calculation. Conversely, if a manufacturer
includes lighter vehicles in a subfamily with an FEL above the
standard, it must include the production volume of lighter vehicles in
the credit calculation.
(9) Off-road exemptions. This section provides an exemption for
heavy-duty vocational vehicle subfamilies, including vocational
tractors that are intended to be used extensively in off-road
environments such as forests, oil fields, and construction sites from
the fuel consumption standards in this paragraph (b). Vehicle exempted
by this part do not comply with vehicle standards in this paragraph
(b), but the engines in these vehicles must meet the engine
requirements of paragraph (d) of this section. Note that manufacturers
may not include these exempted vehicles in any credit calculations
under this part.
[[Page 56178]]
(i) Qualifying criteria. Vocational vehicles intended for off-road
use are exempt without request, subject to the provisions of this
section, if they are primarily designed to perform work off-road (such
as in oil fields, mining, forests, or construction sites), and they
meet at least one of the criteria of paragraph (b)(9)(i)(A) of this
section and at least one of the criteria of paragraph (b)(9)(i)(B) of
this section. See paragraph (b)(6) of this section for alternate
standards that apply for vehicles meeting only one of these sets of
criteria.
(A) The vehicle must have affixed components designed to work
inherently in an off-road environment (such as hazardous material
equipment or off-road drill equipment) or be designed to operate at low
speeds such that it is unsuitable for normal highway operation.
(B) The vehicle must meet one of the following criteria:
(1) Have an axle that has a gross axle weight rating (GAWR) at or
above 29,000 pounds.
(2) Have a speed attainable in 2.0 miles of not more than 33 mi/hr.
(3) Have a speed attainable in 2.0 miles of not more than 45 mi/hr,
an unloaded vehicle weight that is not less than 95 percent of its
gross vehicle weight rating, and no capacity to carry occupants other
than the driver and operating crew.
(4) Have a maximum speed at or below 54 mi/hr. A manufacturer may
consider the vehicle to be appropriately speed-limited if engine speed
at 54 mi/hr is at or above 95 percent of the engine's maximum test
speed in the highest available gear. A manufacturer may alternatively
limit vehicle speed by programming the engine or vehicle's electronic
control module in a way that is tamper-resistant.
(ii) Tractors. The provisions of this section may apply for
tractors only if each tractor qualifies as a vocational tractor under
paragraph (c)(9) of this section or is granted approval for the
exemption as specified in paragraph (b)(9)(iii) of this section.
(iii) Preliminary Approval before Certification. If a manufacturer
has unusual circumstances where it may be questionable whether its
vehicles qualify for the off-road exemption of this part, the
manufacturer may send the agencies information before finishing its
application for certification (see 40 CFR 1037.205) for the applicable
vehicles and ask for a preliminary informal approval. The agencies will
review the request and make an appropriate determination in accordance
with 40 CFR 1037.210. The agencies will generally not reverse a
decision where they have given a manufacturer preliminary approval,
unless the agencies find new information supporting a different
decision. However, the agencies will normally not grant relief in cases
where the vehicle manufacturer has credits or can otherwise comply with
the applicable standards.
(iv) Recordkeeping and reporting. (A) A manufacturer must keep
records to document that its exempted vehicle configurations meet all
applicable requirements of this section. Keep these records for at
least eight years after you stop producing the exempted vehicle model.
The agencies may review these records at any time.
(B) A manufacturer must also keep records of the individual
exempted vehicles you produce, including the vehicle identification
number and a description of the vehicle configuration.
(C) Within 90 days after the end of each model year, manufacturers
must send to EPA a report as specified in Sec. 535.8(g)(7) and EPA
will make the report available to NHTSA.
(v) Compliance. (A) Manufacturers producing vehicles meeting the
off-road exemption criteria in paragraph (b)(9)(i) of this section or
that are granted a preliminary approval comply with the standards of
this part.
(B) In situations where a manufacturer would normally ask for a
preliminary approval subject to paragraph (b)(9)(iii) of this section
but introduces its vehicle into U.S. commerce without seeking approval
first from the agencies, those vehicles violate compliance with the
fuel consumption standards of this part and the EPA provisions under 40
CFR 1068.101(a)(1).
(C) If at any time, the agencies find new information that
contradicts a manufacturer's use of the off-road exemption of this
part, the manufacturers vehicles will be determined to be non-compliant
with the regulations of this part and the manufacturer may be liable
for civil penalties.
(10) Useful life. The following useful life values apply for the
standards of this section:
(i) 110,000 miles or 10 years, whichever comes first, for
vocational LHD vehicles certified to Phase 1 standards.
(ii) 150,000 miles or 15 years, whichever comes first, for
vocational LHD vehicles certified to Phase 2 standards.
(iii) 185,000 miles or 10 years, whichever comes first, for
vocational MHD vehicles for Phase 1 and 2.
(iv) 435,000 miles or 10 years, whichever comes first, for
vocational HHD vehicles for Phase 1 and 2.
(v) For Phase 1 credits calculated based on a useful life of
110,000 miles, multiply any banked credits carried forward for use into
the Phase 2 program by 1.36. For Phase 1 credit deficits generated
based on a useful life of 110,000 miles multiply the credit deficit by
1.36, if offsetting the shortfall with Phase 2 credits.
(11) Recreational vehicles. Recreational vehicles manufactured
after model year 2020 must comply with the fuel consumption standards
of this section. Manufacturers producing these vehicles may also
certify to fuel consumption standards from 2014 through model year
2020. Manufacturers may earn credits retroactively for early compliance
with fuel consumption standards. Once selected, a manufacturer cannot
reverse the decision and the manufacturer must continue to comply for
each subsequent model year for all the vehicles it manufacturers in
each regulatory subcategory for a given model year.
(12) Loose engines. Manufacturers may certify certain spark-
ignition engines along with chassis-certified heavy-duty vehicles where
there are identical engines used in those vehicles as described in 40
CFR 86.1819(k)(8) and 40 CFR 1037.150(m). Vehicles in which those
engines are installed are subject to standards under this part.
(13) Compliance with standards. A manufacturer complies with the
standards of this part as described in Sec. 535.10.
(c) Truck tractors. Each manufacturer building truck tractors,
except vocational tractors or vehicle constructed in accordance with
Sec. 571.7(e), with a GVWR above 26,000 pounds shall comply with the
fuel consumption standards in this paragraph (c) expressed in gallons
per 1000 ton-miles. Manufacturers must apply the fuel consumption
standards in this paragraph (c) to the same vehicles using the same
options used to comply with EPA in 40 CFR 1037.106. Engines used in
heavy-duty truck tractors vehicles shall comply with the standards in
paragraph (d) of this section. Each vehicle must be manufactured to
comply for its full useful life. Standards apply to the vehicle
subfamilies within each of the tractor vehicle regulatory subcategories
in accordance with Sec. 535.4 and 40 CFR 1037.230 and based upon the
applicable modeling and testing specified in Sec. 535.6. Determine the
vehicles in each regulatory subcategory in accordance with 40 CFR
1037.140.
[[Page 56179]]
(1) Mandatory standards. For model years 2016 and later, each
manufacturer's truck tractor subfamilies must comply with the fuel
consumption standards in paragraph (c)(3) of this section.
(i) Based on the roof height and the design of the cab, the truck
tractor category is divided into subcategories as described in Sec.
535.4. The standards that apply to each regulatory subcategory are
shown in paragraphs (c)(2) and (3) of this section, each with its own
assigned standard.
(A) When calculating a vehicle's roof height and trailer's length
should be determined from nominal design specifications, as provided in
40 CFR 1037.140.
(B) Specify design values for roof height and trailer length to the
nearest inch.
(ii) For purposes of certifying vehicles to fuel consumption
standards, manufacturers must divide their product lines in each
regulatory subcategory into vehicles subfamilies that have similar
emissions and fuel consumption features, as specified by EPA in 40 CFR
1037.230, and these subfamilies will be subject to the applicable
standards. Each vehicle subfamily is limited to a single model year.
(iii) Standards for truck tractor engines are given in paragraph
(d) of this section.
(2) Voluntary compliance. (i) For model years 2013 through 2015, a
manufacturer may choose voluntarily to comply early with the fuel
consumption standards provided in paragraph (c)(3) of this section. For
example, a manufacturer may choose to comply early in order to begin
accumulating credits through over-compliance with the applicable
standards. A manufacturer choosing early compliance must comply with
all the vehicles and engines it manufacturers in each regulatory
category for a given model year.
(ii) A manufacturer must declare its intent to voluntarily comply
with fuel consumption standards and identify its plans to comply before
it submits its first application for a certificate of conformity for
the respective model year as specified in Sec. 535.8; and, once
selected, the decision cannot be reversed and the manufacturer must
continue to comply for each subsequent model year for all the vehicles
and engines it manufacturers in each regulatory category for a given
model year.
(3) Regulatory subcategory standards. The fuel consumption
standards for truck tractors, except for vocational tractors, are given
in the following table:
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(4) Subfamily standards. Manufacturers may generate or use fuel
consumption credits for averaging, banking, and trading as described in
Sec. 535.7(c). This requires that manufacturers calculate a credit
quantity if they specify a family emission limit (FEL) that is
different than the standard specified in this section. The FEL may not
be less than the result of emission and fuel consumption modeling from
40 CFR 1037.520. These FELs serve as the emission standards for the
specific vehicle subfamily instead of the standards specified in
paragraph (c)(2) of this section.
(5) Alternate standards for tractors at or above 120,000 pounds
GCWR. Manufacturers may certify tractors at or above 120,000 pounds
GCWR to the following fuel consumption standards in the following
table:
Table 12--Alternate Fuel Consumption Standards for Tractors Above 120,000 Pounds GCWR for 2021 MY and Later
[Gallons per 1,000 ton-miles]
----------------------------------------------------------------------------------------------------------------
Model years Model years Model years
Regulatory subcategory 2021-2023 2024-2026 2026 and later
----------------------------------------------------------------------------------------------------------------
Heavy Class 8 Low-Roof Day Cab.................................. 5.25540 4.99018 4.80354
Heavy Class 8 Low-Roof Sleeper Cab.............................. 4.62672 4.37132 4.16503
Heavy Class 8 Mid-Roof Day Cab.................................. 5.46169 5.18664 4.99018
Heavy Class 8 Mid-Roof Sleeper Cab.............................. 4.87230 4.60707 4.39096
Heavy Class 8 High-Roof Day Cab................................. 5.35363 5.04912 4.77407
Heavy Class 8 High-Roof Sleeper Cab............................. 4.62672 4.34185 4.02750
----------------------------------------------------------------------------------------------------------------
(6) Advanced, innovative and off-cycle technologies. For tractors
subject to Phase 1 standards, manufacturers must create separate
vehicle subfamilies for vehicles that contain advanced or innovative
technologies and group those vehicles together in a vehicle subfamily
if they use the same advanced or innovative technologies. Manufacturers
may generate separate credit allowances for advanced and innovative
technologies as specified in Sec. 535.7(f)(1) and (2). For vehicles
subject to Phase 2 standards, manufacturers may generate separate
credits allowance for off-cycle technologies in accordance with Sec.
535.7(f)(2). Separate credit allowances for advanced technology
vehicles cannot be generated but instead manufacturers may use the
credit multipliers specified in Sec. 535.7(f)(1)(iv) through model
year 2026.
(7) Certifying across service classes. Manufacturers may certify
Class 7 tractors to Class 8 tractors standards as follows:
(i) A manufacturer may optionally certify 4x2 tractors with heavy
heavy-duty engines to the standards and useful life for Class 8
tractors, with no restriction on generating or using fuel consumption
credits within the Class 8 averaging set.
(ii) A manufacturer may optionally certify a Class 7 tractor to the
standards and useful life applicable to Class 8 tractors. Credit
provisions apply as follows:
(A) If a manufacturer certifies all of its Class 7 tractors to
Class 8 standards, it may use these Heavy HDV credits without
restriction.
(B) This paragraph (c)(7)(ii)(B) applies if a manufacturer
certifies some Class 7 tractors to Class 8 standards under this
paragraph (c)(7)(ii) but not all of them. If a manufacturer includes
Class 7 tractors in a subfamily of Class 8 tractors with an FEL below
the standard, exclude the production volume of Class 7 tractors from
the credit calculation. Conversely, if a manufacturer includes Class 7
tractors in a subfamily of Class 8 tractors with an FEL above the
standard, it must include the production volume of Class 7 tractors in
the credit calculation.
(8) Expanded families. Manufacturers may combine dissimilar
vehicles into single vehicle subfamilies for applying standards and for
testing in special circumstances as follows:
(i) For a Phase 1 vehicle model that straddles a roof-height, cab
type, or GVWR division, manufacturers can include all the vehicles in
the same vehicle family if it certifies the vehicle family to the more
stringent standard. For roof height, the manufacturer must certify to
the taller roof standard. For cab-type and GVWR, the manufacturers must
certify to the numerically lower standard.
(ii) For a Phase 2 vehicle model that includes a range of GVWR
values that straddle weight classes, manufacturers may include all the
vehicles in the same vehicle family if it certifies the vehicle family
to the numerically lower fuel consumption standard from the affected
service classes. Vehicles that are optionally certified to a more
stringent standard under this paragraph are subject to useful-life and
all other provisions corresponding to the weight class with the
numerically lower fuel consumption standard. For a Phase 2 tractor
model that includes a range of roof heights that straddle
subcategories, a manufacturer may include all the vehicles in the same
vehicle family if it certifies the vehicle family to the appropriate
subcategory as follows:
(A) A manufacturer may certify mid-roof tractors as high-roof
tractors, but it may not certify high-roof tractors as mid-roof
tractors.
(B) For tractor families straddling the low-roof/mid-roof division,
a manufacturer may certify the family based on the primary roof-height
as long as no more than 10 percent of the tractors are certified to the
otherwise inapplicable subcategory. For example, if 95-percent of the
tractors in the family are less than 120 inches tall, and the other 5
percent are 122 inches tall, a manufacturer may certify the tractors as
a single family in the low-roof subcategory.
(C) Determine the appropriate aerodynamic bin number based on the
actual roof height if the C<INF>d</INF>A value is measured. However,
use the GEM input for the bin based on the standards to which the
manufacturer certifies. For example, of a manufacturer certifies as mid
roof tractors some low-roof tractors with a measured C<INF>d</INF>A
value of 4.2 m\2\, it qualifies as Bin IV; and must input into GEM the
mid-roof Bin IV value of 5.85 m\2\.
(9) Vocational tractors. Tractors meeting the definition of
vocational tractors in 49 CFR 523.2 must comply with requirements for
heavy-duty vocational vehicles specified in paragraphs (b) and (d) of
this section. For Phase 1, Class 7 and Class 8 tractors certified or
exempted as vocational tractors are limited in production to no more
than 21,000 vehicles in any three consecutive model years. If a
manufacturer is determined as not applying this allowance in good faith
by
[[Page 56182]]
EPA in its applications for certification in accordance with 40 CFR
1037.205 and 1037.610, a manufacturer must comply with the tractor fuel
consumption standards in paragraph (c)(3) of this section. No
production limit applies for vocational tractors subject to Phase 2
standards.
(10) Small business manufacturers converting to mid roof or high
roof configurations. Small manufacturers are to allowed convert low and
mid roof tractors to high roof configurations without recertification,
provided it is for the purpose of building a custom sleeper tractor or
conversion to a natural gas tractor as specified in 40 CFR 1037.150(r).
(11) Useful life. The following useful life values apply for the
standards of this section:
(i) 185,000 miles or 10 years, whichever comes first, for vehicles
at or below 33,000 pounds GVWR.
(ii) 435,000 miles or 10 years, whichever comes first, for vehicles
above 33,000 pounds GVWR.
(12) Conversion to high-roof configurations. Secondary vehicle
manufacturers that qualify as small manufacturers may convert low- and
mid-roof tractors to high-roof configurations without recertification
for the purpose of building a custom sleeper tractor or converting it
to run on natural gas, as follows:
(i) The original low- or mid-roof tractor must be covered by a
valid certificate of conformity by EPA.
(ii) The modifications may not increase the frontal area of the
tractor beyond the frontal area of the equivalent high-roof tractor
with the corresponding standard trailer. If a manufacturer cannot use
the original manufacturer's roof fairing for the high-roof tractor, use
good engineering judgment to achieve similar or better aerodynamic
performance.
(iii) The agencies may require that these manufacturers submit
annual production reports as described in Sec. 535.8 and 40 CFR
1037.250 indicating the original roof height for requalified vehicles.
(13) Compliance with standards. A manufacturer complies with the
standards of this part as described in Sec. 535.10.
(d) Heavy-duty engines. Each manufacturer of heavy-duty engines
shall comply with the fuel consumption standards in this paragraph (d)
expressed in gallons per 100 horsepower-hour. Manufacturers must apply
the fuel consumption standards in this paragraph (d) to the same
engines using the same options used to comply with EPA in 40 CFR
1036.108. Each engine must be manufactured to comply for its full
useful life, expressed in service miles, operating hours, or calendar
years, whatever comes first. The provisions of this part apply to all
new 2014 model year and later heavy-duty engines fueled by conventional
and alternative fuels and manufactured for use in heavy-duty tractors
or vocational vehicles. Standards apply to the engine and powertrain
families and sub-families based upon the primary intended service
classes within each of the engine regulatory subcategories as described
inSec. 535.4 and based upon the applicable modeling and testing
specified in Sec. 535.6.
(1) Mandatory standards. Manufacturers of heavy-duty engine
families shall comply with the mandatory fuel consumption standards in
paragraphs (d)(3) through (6) of this section for model years 2017 and
later for compression-ignition engines and for model years 2016 and
later for spark-ignition engines.
(i) The heavy-duty engine regulatory category is divided into six
regulatory subcategories, five compression-ignition subcategories and
one spark-ignition subcategory, as shown in Table 14 of this section.
(ii) Separate standards exist for engine families manufactured for
use in heavy-duty vocational vehicles and in truck tractors.
(iii) For purposes of certifying engines to fuel consumption
standards, manufacturers must divide their product lines in each
regulatory subcategory into engine families. Fuel consumption standards
apply each model year to the same engine families used to comply with
EPA standards in 40 CFR 1036.108 and 40 CFR 1037.230. An engine family
is designated under the EPA program based upon testing specified in 40
CFR part 1036, subpart F, and the engine family's primary intended
service class. Each engine family manufactured for use in a heavy-duty
tractor or vocational vehicle must be certified to the primary intended
service class that it is designed for in accordance with 40 CFR
1036.108 and 1036.140.
(2) Voluntary compliance. (i) For model years 2013 through 2016 for
compression-ignition engine families, and for model year 2015 for
spark-ignition engine families, a manufacturer may choose voluntarily
to comply with the fuel consumption standards provided in paragraphs
(d)(3) through (5) of this section. For example, a manufacturer may
choose to comply early in order to begin accumulating credits through
over-compliance with the applicable standards. A manufacturer choosing
early compliance must comply with all the vehicles and engines it
manufacturers in each regulatory category for a given model year except
in model year 2013 the manufacturer may comply with individual engine
families as specified in 40 CFR 1036.150(a)(2).
(ii) A manufacturer must declare its intent to voluntarily comply
with fuel consumption standards and identify its plans to comply before
it submits its first application for a certificate of conformity for
the respective model year as specified in Sec. 535.8; and, once
selected, the decision cannot be reversed and the manufacturer must
continue to comply for each subsequent model year for all the vehicles
and engines it manufacturers in each regulatory category for a given
model year.
(3) Regulatory subcategory standards. The primary fuel consumption
standards for heavy-duty engine families are given in the following
table:
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(4) Alternate subcategory standards. The alternative fuel
consumption standards for heavy-duty compression-ignition engine
families are as follows:
(i) Manufacturers entering the voluntary program in model years
2014 through 2016, may choose to certify compression-ignition engine
families unable to meet standards provided in paragraph (d)(3) of this
section to the alternative fuel consumption standards of this paragraph
(d)(4).
(ii) Manufacturers may not certify engines to these alternate
standards if they are part of an averaging set in which they carry a
balance of banked credits. For purposes of this section, manufacturers
are deemed to carry credits in an averaging set if they carry credits
from advance technology that are allowed to be used in that averaging
set in accordance with Sec. 535.7(d)(12).
(iii) The emission standards of this section are determined as
specified by EPA in 40 CFR 1036.620(a) through (c) and should be
converted to equivalent fuel consumption values.
(5) Alternate phase-in standards. Manufacturers have the option to
comply with EPA emissions standards for compression-ignition engine
families using an alternative phase-in schedule that correlates with
EPA's OBD standards. If a manufacturer chooses to use the alternative
phase-in schedule for meeting EPA standards and optionally chooses to
comply early with the NHTSA fuel consumption program, it must use the
same phase-in schedule beginning in model year 2013 for fuel
consumption standards and must remain in the program for each model
year thereafter until model year 2020. The fuel consumption standard
for each model year of the alternative phase-in schedule is provided in
Table 15 of this section. Note that engine families certified to these
standards are not eligible for early credits under Sec. 535.7.
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(6) Alternative fuel conversions. Engines that have been converted
to operate on alternative fuels may demonstrate compliance with the
standards of this part or other alternative compliance approaches
allowed by EPA in 40 CFR 85.525.
(7) Optional certification under this section. Manufacturers
certifying spark-ignition engines to the compression-ignition standards
for EPA must treat those engines as compression-ignition engines for
all the provisions of this part.
(8) Advanced, innovative and off-cycle technologies. For engines
subject to Phase 1 standards, manufacturers must create separate engine
families for engines that contain advanced or innovative technologies
and group those engines together in an engine family if they use the
same advanced or innovative technologies. Manufacturers may generate
separate credit allowances for advanced and innovative technologies as
specified in Sec. 535.7(f)(1) and (2). For engines subject to Phase 2
standards, manufacturers may generate separate credits allowance for
off-cycle technologies in accordance with Sec. 535.7(f)(2). Credit
incentives for advanced technology engines do not apply during the
Phase 2 period.
(9) 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 following useful
life values apply for the standards of this section:
(i) 120,000 miles or 11 years, whichever comes first, for CI and SI
LHD engines certified to Phase 1 standards.
[[Page 56185]]
(ii) 150,000 miles or 15 years, whichever comes first, for CI and
SI LHD and spark-ignition engines certified to Phase 2 standards.
(iii) 185,000 miles or 10 years, whichever comes first, for CI MHD
engines certified to Phase 1 and for Phase 2.
(iv) 435,000 miles or 10 years, whichever comes first, for CI HHD
engines certified to Phase 1 and for Phase 2.
(v) For Phase 1 credits that manufacturers calculate based on a
useful life of 110,000 miles, multiply any banked credits that it
carries forward for use into the Phase 2 program by 1.36. For Phase 1
credit deficits that manufacturers generate based on a useful life of
110,000 miles multiply the credit deficit by 1.36, if offsetting the
shortfall with Phase 2 credits.
(10) Loose engines. This paragraph (d)(10) describes alternate
emission and fuel consumption standards for loose engines certified
under. The standards of this paragraph (d) and 1036.108 do not apply
for loose engines certified under paragraph (a) of this section and 40
CFR 86.1819- 14(k)(8). The standards in 40 CFR 1036.150(j) apply for
the emissions and equivalent fuel consumption measured with the engine
installed in a complete vehicle consistent with the provisions of 40
CFR 86.1819-14(k)(8)(vi).
(11) Alternate transition option for Phase 2 engine standards. (i)
Manufacturers may optionally elect to comply with the model year 2021
primary (Phase 2) vocational vehicle and tractor engine standards in
paragraph (d)(3) of this section beginning in model year 2020 (e.g.,
comply with the more stringent standards one year early). The model
year 2021 standard would apply to these manufacturers for model years
2020 through 2023. Manufacturers that voluntarily certify their engines
to model year 2021 standards early would then be eligible for less
stringent engine tractor standards in model years 2024 through 2026, as
follows:
(A) 5.3242 gallons per 100 hp-hr for MHD vocational vehicle
engines.
(B) 4.5874 gallons per 100 hp-hr for MHD tractor engines.
(C) 5.0098 gallons per 100 hp-hr for HHD vocational vehicle
engines.
(D) 4.3418 gallons per 100 hp-hr for HHD tractor engines.
(ii) The primary standard in paragraph (d)(3) of this section
applies for all manufacturers in model year 2027 and later years.
(iii) Manufacturers may apply these provisions separately for
medium heavy-duty engines and heavy heavy-duty engines. This election
applies to all engines in each segment. For example, if a manufacturer
elects this alternate option for its medium heavy-duty engines, all of
the manufacturer's medium heavy-duty vocational and tractor engines
must comply. Engine fuel consumption credits generated under Sec.
535.7(d) for manufacturers complying early with the model year 2021
standards follow the temporary extended credit life allowance in Sec.
535.7(d)(9).
(12) Compliance with standards. A manufacturer complies with the
standards of this part as described in Sec. 535.10.
Sec. 535.6 Measurement and calculation procedures.
This part describes the measurement and calculation procedures
manufacturers use to determine annual fuel consumption performance
results. Manufacturers use the fuel consumption results determined in
this part for calculating credit balances specified in Sec. 535.7 and
then determine whether they comply with standards as specified in Sec.
535.10. Manufacturers must use EPA emissions test results for deriving
NHTSA's fuel consumption performance rates. Consequently, manufacturers
conducting testing for certification or annual demonstration testing
and providing CO<INF>2</INF> emissions data to EPA must also provide
equivalent fuel consumption results to NHTSA for all values. NHTSA and
EPA reserve the right to verify separately or in coordination the
results of any testing and measurement established by manufacturers in
complying with the provisions of this program and as specified in 40
CFR 1037.301 and Sec. 535.9. Any carry over data from the Phase 1
program may be carried into the Phase 2 only with approval from EPA and
by using good engineering judgment considering differences in testing
protocols between test procedures.
(a) Heavy-duty pickup trucks and vans. This section describes the
method for determining the fuel consumption performance rates for test
groups and for fleets of complete heavy-duty pickup trucks and vans
each model year. The NHTSA heavy-duty pickup truck and van fuel
consumption performance rates correspond to the same requirements for
EPA as specified in 40 CFR 86.1819-14.
(1) For the Phase 1 program, if the manufacturer's fleet includes
conventional vehicles (gasoline, diesel and alternative fueled
vehicles) and advanced technology vehicles (hybrids with powertrain
designs that include energy storage systems, vehicles with waste heat
recovery, electric vehicles and fuel cell vehicles), it may divide its
fleet into two separate fleets each with its own separate fleet average
fuel consumption performance rate. For Phase 2, manufacturers may
calculate their fleet average fuel consumption rates for a conventional
fleet and separate advanced technology vehicle fleets. Advanced
technology vehicle fleets should be separated into plug-in hybrid
electric vehicles, electric vehicles and fuel cell vehicles.
(2) Vehicles in each fleet should be selected and divided into test
groups or subconfigurations according to EPA in 40 CFR 86.1819-14(d).
(3) Use the EPA CO2 emissions test results for each test group, in
grams per mile, for the selected vehicles.
(i) Use CO<INF>2</INF> emissions test results for vehicles fueled
by conventional and alternative fuels, including dedicated and dual-
fueled (multi-fuel and flexible-fuel) vehicles using each fuel type as
specified in 40 CFR 86.1819-14(d)(10).
(ii) Use CO<INF>2</INF> emissions test results for dual-fueled
vehicles using a weighted average of the manufacturer's emission
results as specified in 40 CFR 600.510-12(k) for light-duty trucks.
(iii) All electric vehicles are deemed to have zero emissions of
CO<INF>2</INF>, CH<INF>4</INF>, and N<INF>2</INF>O. No emission testing
is required for such electric vehicles. Assign the fuel consumption
test group result to a value of zero gallons per 100 miles in paragraph
(a)(4) of this section.
(iv) Use CO<INF>2</INF> emissions test results for cab-complete and
incomplete vehicles based upon the applicable complete sister vehicles
as determined in 40 CFR 1819-14(j)(2).
(v) Use CO<INF>2</INF> emissions test results for loose engines
using applicable complete vehicles as determined in 40 CFR 86.1819-
14(k)(8).
(vi) Manufacturers can choose to analytically derive CO<INF>2</INF>
emission rates (ADCs) for test groups or subconfigurations. Use ADCs
for test groups or subconfigurations in accordance with 40 CFR 86.1819-
14 (d) and (g).
(4) Calculate equivalent fuel consumption results for all test
groups, in gallons per 100 miles, from CO<INF>2</INF>emissions test
group results, in grams per miles, and round to the nearest 0.001
gallon per 100 miles.
(i) Calculate the equivalent fuel consumption test group results as
follows for compression-ignition vehicles and alternative fuel
compression-ignition vehicles. CO<INF>2</INF> emissions test group
result (grams per mile)/10,180 grams per gallon of diesel fuel) x
(10\2\) = Fuel consumption test group result (gallons per 100 mile).
[[Page 56186]]
(ii) Calculate the equivalent fuel consumption test group results
as follows for spark-ignition vehicles and alternative fuel spark-
ignition vehicles. CO<INF>2</INF>emissions test group result (grams per
mile)/8,877 grams per gallon of gasoline fuel) x (10\2\) = Fuel
consumption test group result (gallons per 100 mile).
(5) Calculate the fleet average fuel consumption result, in gallons
per 100 miles, from the equivalent fuel consumption test group results
and round the fuel consumption result to the nearest 0.001 gallon per
100 miles. Calculate the fleet average fuel consumption result using
the following equation.
[GRAPHIC] [TIFF OMITTED] TP13SE22.001
Where:
Fuel Consumption Test Group Resulti = fuel consumption performance
for each test group as defined in 49 CFR 523.4.
Volumei = production volume of each test group.
(6) Compare the fleet average fuel consumption standard to the
fleet average fuel consumption performance. The fleet average fuel
consumption performance must be less than or equal to the fleet fuel
consumption standard to comply with standards in Sec. 535.5(a).
(b) Heavy-duty vocational vehicles and tractors. This section
describes the method for determining the fuel consumption performance
rates for vehicle families of heavy-duty vocational vehicles and
tractors. The NHTSA heavy-duty vocational vehicle and tractor fuel
consumption performance rates correspond to the same requirements for
EPA as specified in 40 CFR 1037, subpart F.
(1) Select vehicles and vehicle family configurations as specified
in 40 CFR 1037.150 and 1037.230 for vehicles that make up each of the
manufacturer's regulatory subcategories of vocational vehicles and
tractors. For the Phase 2 program, select powertrain, axle and
transmission families in accordance with 40 CFR 1037.231 and 1037.232.
(2) Follow the EPA testing requirements in 40 CFR 1037.230 and
1037.501 to derive inputs for the Greenhouse gas Emissions Model (GEM).
(3) Enter inputs into GEM, in accordance with 40 CFR 1037.520, to
derive the emissions and fuel consumption performance results for all
vehicles (conventional, alternative fueled and advanced technology
vehicles).
(4) For Phase 1 and 2, all of the following GEM inputs apply for
vocational vehicles and other tractor regulatory subcategories, as
follows:
(i) Model year and regulatory subcategory (see Sec. 535.3 and 40
CFR 1037.230).
(ii) Coefficient of aerodynamic drag (C<INF>d</INF>A) or drag area,
as described in 40 CFR 1037.520(b), 40 CFR 1037.525, 1037.527 and
1037.528. Alternatively, manufacturers may use C<INF>d</INF>A values as
specified in 40 CFR 1037.530, 1037.532 or 1037.534 if used for
determining CO<INF>2</INF> compliance for EPA. Manufacturers must use
the same compliance approach for determining C<INF>d</INF>A values in
GEM for the NHTSA and EPA programs.
(iii) Steer and drive tire rolling resistance, as described in 40
CFR 1037.520(c).
(iv) Vehicle speed limiters, as described in 40 CFR 1037.520(d)
(tractors only).
(v) Vehicle weight reduction, as described in 40 CFR 1037.520(e)
(tractors only for Phase 1).
(vi) Automatic engine shutdown systems, as described in 40 CFR
1037.660 (only for Phase 1 Class 8 sleeper cabs). For Phase 1, enter a
GEM input value of 5.0 g/ton-mile, or an adjusted value as specified in
40 CFR 1037.660.
(5) For Phase 2 vehicles, the GEM inputs described in paragraphs
(b)(4)(i) through (v) of this section continue to apply. Note that the
provisions related to vehicle speed limiters and automatic engine
shutdown systems are available for vocational vehicles in Phase 2. The
additional GEM inputs that apply for vocational vehicles and other
tractor regulatory subcategories for demonstrating compliance with
Phase 2 standards are as follows:
(i) Engine characteristics. Enter information from the engine
manufacturer to describe the installed engine and its operating
parameters as described in 40 CFR 1036.503 and 1037.520(f).
(ii) Vehicle information. Enter information in accordance with 40
CFR 1037.520(g) for the vehicle and its operating parameters including:
(A) Transmission make, model and type;
(B) Drive axle configuration;
(C) Drive axle ratio, ka;
(D) For Phase 2, GEM inputs associated with powertrain testing
include powertrain family, transmission calibration identifier, test
data from 40 CFR 1037.550 and 1037.551, and the powertrain test
configuration (dynamometer connected to transmission output or wheel
hub). Test Phase 1 hybrid systems according to 40 CFR 1037.555 to
determine GEM inputs.
(iii) Idle-reduction technologies. Identify whether the
manufacturer's vehicle has qualifying idle- reduction technologies,
subject to the qualifying criteria in 40 and 1037.660 and enter values
for stop start and neutral idle technologies as specified in 40 CFR
1037.520(h).
(iv) Axle and transmission efficiency. Manufacturers may use axle
efficiency maps as described in 40 CFR 1037.560 and transmission
efficiency maps as described in 40 CFR 1037.565 to replace the default
values in GEM.
(v) Additional reduction technologies. Enter input values in GEM as
follows to characterize the percentage CO<INF>2</INF> emission
reduction corresponding to certain technologies and vehicle
configurations, or enter 0 as specified in 40 CFR 1037.520(j):
(A) Intelligent controls
(B) Accessory load
(C) Tire-pressure systems
(D) Extended-idle reduction
(E) Additional GEM inputs may apply as follows:
(1) Enter 1.7 and 0.9, respectively, for school buses and coach
buses that have at least seven available forward gears.
(2) If the agencies approve an off-cycle technology under Sec.
535.7(f) and 40 CFR 1037.610 in the form of an improvement factor,
enter the improvement factor expressed as a percentage reduction in
CO<INF>2</INF> emissions. (Note: In the case of approved off-cycle
technologies whose benefit is quantified as a g/ton-mile credit, apply
the credit to the GEM result, not as a GEM input value.)
(3) Manufacturers may use values to characterize torque converters
as inputs to GEM as specified in the procedure defined in 40 CFR
1037.570.
(4) Vocational vehicle manufacturers may optionally use values for
neutral coasting in GEM as in 40 CFR 1037.520
[[Page 56187]]
(vi) Vehicles with hybrid power take-off (PTO). For vocational
vehicles, determine the delta PTO emission result of the manufacturer's
engine and hybrid power take-off system as described in 40 CFR
1037.540.
(vii) Aerodynamic improvements for vocational vehicles. For
vocational vehicles certified using the Regional duty cycle,
enter[Delta]C<INF>d</INF>Avalues to account for using rear fairings and
a reduced minimum frontal area as specified in 40 CFR 1037.520(m) and
1037.527.
(viii) Alternate fuels. For fuels other than those identified in
GEM, perform the simulation by identifying the vehicle as being diesel-
fueled if the engine is subject to the compression-ignition standard,
or as being gasoline-fueled if the engine is subject to the spark-
ignition standards. Correct the engine or powertrain fuel map for mass-
specific net energy content as described in 40 CFR 1036.535(b).
(ix) Custom Chassis Vehicles. A simplified version of GEM applies
for custom chassis vehicle subject Sec. 535.5(b)(6) in accordance with
40 CFR 1037.520(a)(2)(ii).
(6) In unusual circumstances, manufacturers may ask EPA to use
weighted average results of multiple GEM runs to represent special
technologies for which no single GEM run can accurately reflect.
(7) From the GEM results, select the CO<INF>2</INF> family
emissions level (FEL) and equivalent fuel consumption values for
vocational vehicle and tractor families in each regulatory subcategory
for each model year. Equivalent fuel consumption FELs are derived in
GEM and expressed to the nearest 0.0001 gallons per 1000 ton-mile. For
families containing multiple subfamilies, identify the FELs for each
subfamily.
(8) The fuel consumption of electric vehicles (as defined in Sec.
1037.801) are deemed to be zero. No emission testing is required for
electric vehicles. Use good engineering judgment to apply other
requirements of this part to electric vehicles.
(c) [Reserved]
(d) Heavy-duty engines. This section describes the method for
determining equivalent fuel consumption family certification level
(FCL) values for engine and powertrain families and subfamilies of
heavy-duty truck tractors and vocational vehicles. The NHTSA heavy-duty
engine fuel consumption FCLs are determined from the EPA FCLs tested in
accordance with 40 CFR 1036, subpart F. Each engine and powertrain
family must use the same primary intended service class as designated
for EPA in accordance with 40 CFR 1036.140.
(1) Manufacturers must select emission-data engines representing
the tested configuration of each engine family specified in 40 CFR
1036.501 for engines in heavy-duty truck tractors and vocational
vehicles that make up each of the manufacturer's regulatory
subcategories.
(2) Standards in Sec. 535.5(d) apply to the CO<INF>2</INF>
emissions rates for each emissions-data engine in an engine or
powertrain family subject to the procedures and equipment specified in
40 CFR part 1036, subpart F. Determine equivalent fuel consumptions
rates using CO<INF>2</INF> emissions rates in grams per hp-hr measured
to at least one more decimal place than that of the applicable EPA
standard in 40 CFR 1036.108.
(i) Use the CO<INF>2</INF> emissions test results for engines
running on each fuel type for conventional, dedicated, multi -fueled
(dual-fuel, and flexible-fuel) engines as specified in 40 CFR part
1036, subpart F.
(ii) Use the CO<INF>2</INF> emissions result for multi-fueled
engines using the same weighted fuel mixture emission results as
specified in 40 CFR 1036.235 and 40 CFR part 1036, subpart F.
(iii) Use the CO<INF>2</INF> emissions test results for hybrid
engines as described in 40 CFR 1036.525.
(iv) All electric vehicles are deemed to have zero emissions of
CO<INF>2</INF> and zero fuel consumption. No emission or fuel
consumption testing is required for such electric vehicles.
(3) Use the CO<INF>2</INF> emissions test results for medium and
heavy heavy-duty engines certified as tractor and other line haul
engine families using the steady-state duty cycle specified in Sec.
1036.501 (referred to as the Supplementary Emissions Test, or SET) and
as both tractor and vocational engines using the steady-state duty
cycle and the transient duty cycle (sometimes referred to as the FTP
engine cycle)-for each model year. Use the CO<INF>2</INF> emissions
test results for all other engines (including engines meeting spark-
ignition standards) using the appropriate transient duty cycle
specified in 40 CFR 1036.501.
(i) If a manufacturer certifies an engine family for use both as a
vocational engine and as a tractor engine, the manufacturer must split
the family into two separate subfamilies in accordance with 40 CFR
1036.230. The manufacturer may assign the numbers and configurations of
engines within the respective subfamilies at any time prior to the
submission of the end-of-year report required by 40 CFR 1036.730 and
Sec. 535.8. The manufacturer must track into which type of vehicle
each engine is installed, although EPA may allow the manufacturer to
use statistical methods to determine this for a fraction of its
engines.
(ii) The following engines are excluded from the engine and
powertrain families and subfamilies used to determine fuel consumption
FCL values and the benefit for these engines is determined as an
advanced technology credit under the ABT provisions provided in Sec.
535.7(e); these provisions apply only for the Phase 1 program:
(A) Engines certified as hybrid engines or power packs.
(B) Engines certified as hybrid engines designed with PTO
capability and that are sold with the engine coupled to a transmission.
(C) Engines with Rankine cycle waste heat recovery.
(4) Manufacturers generating CO<INF>2</INF> emissions rates to
demonstrate compliance to EPA vehicle standards for model years 2021
and later, using engine fuel maps determined in accordance with 40 CFR
1036.535 and 1036.540 or engine powertrain results in accordance with
40 CFR 1036.630 and 40 CFR 1037.550 for each engine configuration, must
use the same compliance pathway and model years for certifying under
the NHTSA program. Manufacturers may omit providing equivalent fuel
consumption FCLs under this section if all of its engines will be
installed in vehicles that are certified based on powertrain testing as
described in 40 CFR 1037.550.
(5) Calculate equivalent fuel consumption values from the emissions
CO<INF>2</INF> FCLs levels for certified engines, in gallons per 100
hp-hr and round each fuel consumption value to the nearest 0.0001
gallon per 100 hp-hr.
(i) Calculate equivalent fuel consumption FCL values for
compression-ignition engines and alternative fuel compression-ignition
engines. CO<INF>2</INF> FCL value (grams per hp-hr)/10,180 grams per
gallon of diesel fuel) x (10\2\) = Fuel consumption FCL value (gallons
per 100 hp-hr).
(ii) Calculate equivalent fuel consumption FCL values for spark-
ignition engines and alternative fuel spark-ignition engines.
CO<INF>2</INF> FCL value (grams per hp-hr)/8,877 grams per gallon of
gasoline fuel) x (10\2\) = Fuel consumption FCL value (gallons per 100
hp-hr).
(iii) Manufacturers may carryover fuel consumption data from a
previous model year if allowed to carry over emissions data for EPA in
accordance with 40 CFR 1036.235.
(iv) If a manufacturer uses an alternate test procedure under 40
CFR 1065.10
[[Page 56188]]
and subsequently the data is rejected by EPA, NHTSA will also reject
the data.
Sec. 535.7 Averaging, banking, and trading (ABT) credit program.
(a) General provisions. After the end of each model year,
manufacturers must comply with the fuel consumption standards in Sec.
535.5 for averaging, banking and trading credits. Manufacturers comply
with standards if the sum of averaged, banked and traded credits
generate a ``zero'' credit balance or a credit surplus within an
averaging set of vehicles or engines. Manufacturers fail to comply with
standards if the sum of the credit flexibilities generate a credit
deficit (or shortfall) in an averaging set. Credit shortfalls must be
offset by banked or traded credits within three model years after the
shortfall is incurred. These processes are hereafter referenced as the
NHTSA ABT credit program. The following provisions apply to all fuel
consumption credits.
(1) Credits (or fuel consumption credits (FCCs)). Credits in this
part mean a calculated weighted value representing the difference
between the fuel consumption performance and the standard of a vehicle
or engine family or fleet within a particular averaging set. Positive
credits represent cases where a vehicle or engine family or fleets
perform better than the applicable standard (the fuel consumption
performance is less than the standard) whereas negative credits
represent underperforming cases. The value of a credit is calculated
according to paragraphs (b) through (e) of this section. FCCs are only
considered earned or useable for averaging, banking or trading after
EPA and NHTSA have verified the information in a manufacturer's final
reports required in Sec. 535.8. Types of FCCs include the following:
(i) Conventional credits. Credits generated by vehicle or engine
families or fleets containing conventional vehicles (i.e., gasoline,
diesel and alternative fueled vehicles).
(ii) Early credits. Credits generated by vehicle or engine families
or fleets produced for model year 2013. Early credits are multiplied by
an incentive factor of 1.5 times.
(iii) Advanced technology credits. Credits generated by vehicle or
engine families or subconfigurations containing vehicles with advanced
technologies (i.e., hybrids with regenerative braking, vehicles
equipped with Rankine-cycle engines, electric and fuel cell vehicles)
and incentivized under this ABT credit program in paragraph (f)(1) of
this section and by EPA under 40 CFR 86.1819-14(d)(7), 1036.615, and
1037.615.
(iv) Innovative and off-cycle technology credits. Credits can be
generated by vehicle or engine families or subconfigurations having
fuel consumption reductions resulting from technologies not reflected
in the GEM simulation tool or in the FTP chassis dynamometer and that
were not in common use with heavy-duty vehicles or engines before model
year 2010 that are not reflected in the specified test procedure.
Manufacturers should prove that these technologies were not in common
use in heavy-duty vehicles or engines before model year 2010 by
demonstrating factors such as the penetration rates of the technology
in the market. NHTSA will not approve any request if it determines that
these technologies do not qualify. The approach for determining
innovative and off-cycle technology credits under this fuel consumption
program is described in paragraph (f)(2) of this section and by EPA
under 40 CFR 86.1819-14(d)(13), 1036.610, and 1037.610.
(2) Averaging. Averaging is the summing of a manufacturer's
positive and negative FCCs for engines or vehicle families or fleets
within an averaging set. The principle averaging sets are defined in
Sec. 535.4.
(i) A credit surplus occurs when the net sum of the manufacturer's
generated credits for engines or vehicle families or fleets within an
averaging set is positive (a zero-credit balance is when the sum equals
zero).
(ii) A credit deficit occurs when the net sum of the manufacturer's
generated credits for engines or vehicle families or fleets within an
averaging set is negative.
(iii) Positive credits, other than advanced technology credits,
generated and calculated within an averaging set may only be used to
offset negative credits within the same averaging set.
(iv) Manufacturers may certify one or more vehicle families (or
subfamilies) to an FEL above the applicable fuel consumption standard,
subject to any applicable FEL caps and other provisions allowed by EPA
in 40 CFR parts 1036 and 1037, if the manufacturer shows in its
application for certification to EPA that its projected balance of all
FCC transactions in that model year is greater than or equal to zero or
that a negative balance is allowed by EPA under 40 CFR 1036.745 and
1037.745.
(v) If a manufacturer certifies a vehicle family to an FEL that
exceeds the otherwise applicable standard, it must obtain enough FCC to
offset the vehicle family's deficit by the due date of its final report
required in Sec. 535.8. The emission credits used to address the
deficit may come from other vehicle families that generate FCCs in the
same model year (or from the next three subsequent model years), from
banked FCCs from previous model years, or from FCCs generated in the
same or previous model years that it obtained through trading.
(vi) Manufacturers may certify a vehicle or engine family using an
FEL (as described in Sec. 535.6) below the fuel consumption standard
(as described in Sec. 535.5) and choose not to generate conventional
fuel consumption credits for that family. Manufacturers do not need to
calculate fuel consumption credits for those families and do not need
to submit or keep the associated records described in Sec. 535.8 for
these families. Manufacturers participating in NHTSA's FCC program must
provide reports as specified in Sec. 535.8.
(3) Banking. Banking is the retention of surplus FCC in an
averaging set by the manufacturer for use in future model years for the
purpose of averaging or trading.
(i) Surplus credits may be banked by the manufacturer for use in
future model years, or traded, given the restriction that the credits
have an expiration date of five model years after the year in which the
credits are generated. For example, banked credits earned in model year
2014 may be utilized through model year 2019. Surplus credits will
become banked credits unless a manufacturer contacts NHTSA to expire
its credits.
(ii) Surplus credits become earned or usable banked FCCs when the
manufacturer's final report is approved by both agencies. However, the
agencies may revoke these FCCs at any time if they are unable to verify
them after reviewing the manufacturer's reports or auditing its
records.
(iii) Banked FCC retain the designation from the averaging set and
model year in which they were generated.
(iv) Banked credits retain the designation of the averaging set in
which they were generated.
(4) Trading. Trading is a transaction that transfers banked family
regulatory subcategory or averaging set fuel consumption credits.
Tractor, vocational vehicle and engine manufacturers may trade credits
generated for vehicle or engine families or subfamilies while
manufacturers of heavy-duty pickup trucks and vans certified as
complete vehicles may trade credit credits generated for averaging
sets. A manufacturer may use traded FCCs for
[[Page 56189]]
averaging, banking, or further trading transactions.
(i) Manufacturers may only trade banked credits to other
manufacturers to use for compliance with fuel consumption standards.
Traded FCCs, other than advanced technology credits, may be used only
within the averaging set in which they were generated. Manufacturers
may only trade credits to other entities for the purpose of expiring
credits.
(ii) Advanced technology credits can be traded across different
averaging sets.
(iii) The agencies may revoke traded FCCs at any time if they are
unable to verify them after reviewing the manufacturer's reports or
auditing its records.
(iv) If a negative FCC balance results from a transaction, both the
buyer and seller are liable, except in cases the agencies deem to
involve fraud. See Sec. 535.9 for cases involving fraud. EPA also may
suspend, revoke or void the certificates of all vehicle families
participating in a trade that results in a manufacturer having a
negative balance of emission credits. See 40 CFR 1037.745 and Sec.
535.3(j).
(v) Manufacturers with deficits or projecting deficits before or
during a production model year may not trade credits until its
available credits exceed the deficit. Manufacturers with a deficit may
not trade credits if the deadline to offset that credit deficit has
passed.
(5) Credit deficit (or credit shortfall). A credit shortfall or
deficit occurs when the sum of the manufacturer's generated credits for
engines or vehicle families or fleets within an averaging set is
negative. Credit shortfalls must be offset by an available credit
surplus within three model years after the shortfall was incurred. If
the shortfall cannot be offset, the manufacturer is liable for civil
penalties as discussed in Sec. 535.9.
(6) FCC credit plan. (i) Each model year manufacturers submit
credit plan in their certificates of conformity as required in 40 CFR
1036.725(b)(2) and 40 CFR 1037.725(b)(2). The plan is required to
contain equivalent fuel consumption information in accordance Sec.
535.8(c). The plan must include:
(A) Detailed calculations of projected emission and fuel
consumption credits (positive or negative) based on projected U.S.-
directed production volumes. The agencies may require a manufacturer to
include similar calculations from its other engine or vehicle families
to project its net credit balances for the model year. If a
manufacturer projects negative emission and/or fuel consumption credits
for a family, it must state the source of positive emission and/or fuel
consumption credits it expects to use to offset the negative credits
demonstrating how it plans to resolve any credit deficits that might
occur for a model year within a period of up to three model years after
that deficit has occurred.
(B) Actual emissions and fuel consumption credit balances, credit
transactions, and credit trades.
(i) Manufacturers are required to provide updated credit plans
after receiving their final verified reports from EPA and NHTSA after
the end of each model year.
(ii) The agencies may determine that a manufacturer's plan is
unreasonable or unrealistic based on a consideration of past and
projected use of specific technologies, the historical sales mix of its
vehicle models, subsequent failure to follow any submitted plans, and
limited expected access to traded credits.
(iii) The agencies may also consider the plan unreasonable if the
manufacturer's credit deficit increases from one model year to the
next. The agencies may require that the manufacturers must send interim
reports describing its progress toward resolving its credit deficit
over the course of a model year.
(iv) If NHTSA determines that a manufacturers plan is unreasonable
or unrealistic, the manufacturer is deemed as not comply with fuel
consumption standards as specified in Sec. 535.10(c) and the
manufacturer may be liable for civil penalties.
(7) Revoked credits. NHTSA may revoke fuel consumption credits if
unable to verify any information after auditing reports or records or
conducting confirmatory testing. In the cases where EPA revokes
emissions CO<INF>2</INF> credits, NHTSA will revoke the equivalent
amount of fuel consumption credits.
(8) Transition to Phase 2 standards. The following provisions allow
for enhanced use of fuel consumption credits from Phase 1 tractors and
vocational vehicles for meeting the Phase 2 standards:
(i) Fuel consumption credits a manufacturer generates for light and
medium heavy-duty vocational vehicles in model years 2018 through 2021
may be used through model year 2027, instead of being limited to a
five-year credit life as specified in this part.
(ii) The ma
[…truncated; see source link]Indexed from Federal Register on September 13, 2022.
This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.