The provisions in this section apply instead of other provisions in this part.
(a) Early banking of greenhouse gas emissions. You may generate CO2 emission credits for engines you certify in model year 2013 (2015 for spark-ignition engines) to the standards of Sec. 1036.108.
(1) Except as specified in paragraph (a)(2) of this section, to generate early credits, you must certify your entire U.S.-directed production volume within that averaging set to these standards. This means that you may not generate early credits while you produce engines in the averaging set that are certified to the criteria pollutant standards but not to the greenhouse gas standards. Calculate emission credits as described in subpart H of this part relative to the standard that would apply for model year 2014 (2016 for spark-ignition engines).
(2) You may generate early credits for an individual compression-ignition engine family where you demonstrate that you have improved a model year 2013 engine model's CO2 emissions relative to its 2012 baseline level and certify it to an FCL below the applicable standard. Calculate emission credits as described in subpart H of this part relative to the lesser of the standard that would apply for model year 2014 engines or the baseline engine's CO2 emission rate. Use the smaller U.S.-directed production volume of the 2013 engine family or the 2012 baseline engine family. We will not allow you to generate emission credits under this paragraph (a)(2) unless we determine that your 2013 engine is the same engine as the 2012 baseline or that it replaces it.
(3) You may bank credits equal to the surplus credits you generate under this paragraph (a) multiplied by 1.50. For example, if you have 10 Mg of surplus credits for model year 2013, you may bank 15 Mg of credits. Credit deficits for an averaging set prior to model year 2014 (2016 for spark-ignition engines) do not carry over to model year 2014 (2016 for spark-ignition engines). We recommend that you notify us of your intent to use this provision before submitting your applications.
(b) Model year 2014 N2O standards. In model year 2014 and earlier, manufacturers may show compliance with the N2O standards using an engineering analysis. This allowance also applies for later families certified using carryover CO2 data from model 2014 consistent with Sec. 1036.235(d).
(c) Engine cycle classification. Engines meeting the definition of spark-ignition, but regulated as diesel engines under 40 CFR part 86, must be certified to the requirements applicable to compression-ignition engines under this part. Such engines are deemed to be compression-ignition engines for purposes of this part. Similarly, engines meeting the definition of compression-ignition, but regulated as Otto-cycle under 40 CFR part 86 must be certified to the requirements applicable to spark-ignition engines under this part. Such engines are deemed to be spark-ignition engines for purposes of this part.
(d) Small manufacturers. Manufacturers meeting the small business criteria specified for ``Gasoline Engine and Engine Parts Manufacturing'' or ``Other Engine Equipment Manufacturers'' in 13 CFR 121.201 are not subject to the greenhouse gas emission standards in Sec. 1036.108. Qualifying manufacturers must notify the Designated Compliance Officer before importing or introducing into U.S. commerce excluded engines. This notification must include a description of the manufacturer's qualification as a small business under 13 CFR 121.201. You must label your excluded engines with the statement: ``THIS ENGINE IS EXCLUDED UNDER 40 CFR 1036.150(d).''
(e) Alternate phase-in standards. Where a manufacturer certifies all of its model year 2013 compression-ignition engines within a given primary intended service class to the applicable alternate standards of this paragraph (e), its compression-ignition engines within that primary intended service class are subject to the standards of this paragraph (e) for model years 2013 through 2016. This means that once a manufacturer chooses to certify a primary intended service class to the standards of this paragraph (e), it is not allowed to opt out of these standards. Engines certified to these standards are not eligible for early credits under paragraph (a) of this section. ----------------------------------------------------------------------------------------------------------------
Tractors LHD Engines MHD Engines HHD Engines----------------------------------------------------------------------------------------------------------------Model Years 2013-2015................ NA..................... 512 g/hp-hr............ 485 g/hp-hr.Model Years 2016 and later \a\....... NA..................... 487 g/hp-hr............ 460 g/hp-hr.----------------------------------------------------------------------------------------------------------------Vocational LHD Engines MHD Engines HHD Engines----------------------------------------------------------------------------------------------------------------Model Years 2013-2015................ 618 g/hp-hr............ 618 g/hp-hr............ 577 g/hp-hr.----------------------------------------------------------------------------------------------------------------Model Years 2016 and later \a\....... 576 g/hp-hr............ 576 g/hp-hr............ 555 g/hp-hr.----------------------------------------------------------------------------------------------------------------\a\ Note: These alternate standards for 2016 and later are the same as the otherwise applicable standards for
2017 and later.
(f) Separate OBD families. This paragraph (f) applies where you separately certify engines for the purpose of applying OBD requirements (for engines used in vehicles under 14,000 pounds GVWR) from non-OBD engines that could be certified as a single engine family. You may treat the two engine families as a single engine family in certain respects for the purpose of this part, as follows:
(1) This paragraph applies only where the two families are identical in all respects except for the engine ratings offered and the inclusion of OBD.
(2) For purposes of this part and 40 CFR part 86, the two families remain two separate families except for the following:
(i) Specify the testable configurations of the non-OBD engine family as the testable configurations for the OBD family.
(ii) Submit the same CO2, N2O, and CH4 emission data for both engine families.
(g) Assigned deterioration factors. You may use assigned deterioration factors (DFs) without performing your own durability emission tests or engineering analysis as follows:
(1) You may use an assigned additive DF of 0.0 g/hp-hr for CO2 emissions from engines that do not use advanced or innovative technologies. If we determine it to be consistent with good engineering judgment, we may allow you to use an assigned additive DF of 0.0 g/hp-hr for CO2 emissions from your engines with advanced or innovative technologies.
(2) You may use an assigned additive DF of 0.020 g/hp-hr for N2O emissions from any engine.
(3) You may use an assigned additive DF of 0.020 g/hp-hr for CH4 emissions from any engine.
(h) Advanced technology credits. If you generate credits from engines certified for advanced technology you may multiply these credits by 1.5, except that you may not apply this multiplier and the early-credit multiplier of paragraph (a) of this section.
(i) CO2 credits for low N2O emissions. If you certify your model year 2014, 2015, or 2016 engines to an N2O FEL less than 0.04 g/hp-hr (provided you measure N2O emissions from your emission-data engines), you may generate additional CO2 credits under this paragraph (i). Calculate the additional CO2 credits from the following equation instead of the equation in Sec. 1036.705: CO2 Credits (Mg) = (0.04 - FELN2O) [middot] (CF) [middot] (Volume) [middot] (UL) [middot] (10-6) [middot] (298) [76 FR 57381, Sept. 15, 2011, as amended at 78 FR 36389, June 17, 2013]