§ 1036.205 - Requirements for an application for certification.

§ 1036.205 Requirements for an application for certification.

Cross Reference

Link to an amendment published at 89 FR 29741, Apr. 22, 2024.

This section specifies the information that must be in your application, unless we ask you to include less information under § 1036.201(c). We may require you to provide additional information to evaluate your application.

(a) Identify the engine family's primary intended service class and describe how that conforms to the specifications in § 1036.140. Also, describe the engine family's specifications and other basic parameters of the engine's design and emission controls with respect to compliance with the requirements of this part. List the fuel type on which your engines are designed to operate (for example, gasoline, diesel fuel, or natural gas). For engines that can operate on multiple fuels, identify whether they are dual-fuel or flexible-fuel engines; also identify the range of mixtures for operation on blended fuels, if applicable. List each engine configuration in the engine family. List the rated power for each engine configuration.

(b) Explain how the emission control system operates. Describe in detail all system components for controlling greenhouse gas and criteria pollutant emissions, including all auxiliary emission control devices (AECDs) and all fuel-system components you will install on any production or test engine. Identify the part number of each component you describe. For this paragraph (b), treat as separate AECDs any devices that modulate or activate differently from each other. Include all the following:

(1) Give a general overview of the engine, the emission control strategies, and all AECDs.

(2) Describe each AECD's general purpose and function.

(3) Identify the parameters that each AECD senses (including measuring, estimating, calculating, or empirically deriving the values). Include engine-based parameters and state whether you simulate them during testing with the applicable procedures.

(4) Describe the purpose for sensing each parameter.

(5) Identify the location of each sensor the AECD uses.

(6) Identify the threshold values for the sensed parameters that activate the AECD.

(7) Describe the parameters that the AECD modulates (controls) in response to any sensed parameters, including the range of modulation for each parameter, the relationship between the sensed parameters and the controlled parameters and how the modulation achieves the AECD's stated purpose. Use graphs and tables, as necessary.

(8) Describe each AECD's specific calibration details. This may be in the form of data tables, graphical representations, or some other description.

(9) Describe the hierarchy among the AECDs when multiple AECDs sense or modulate the same parameter. Describe whether the strategies interact in a comparative or additive manner and identify which AECD takes precedence in responding, if applicable.

(10) Explain the extent to which the AECD is included in the applicable test procedures specified in subpart F of this part.

(11) Do the following additional things for AECDs designed to protect engines or vehicles:

(i) Identify any engine and vehicle design limits that make protection necessary and describe any damage that would occur without the AECD.

(ii) Describe how each sensed parameter relates to the protected components' design limits or those operating conditions that cause the need for protection.

(iii) Describe the relationship between the design limits/parameters being protected and the parameters sensed or calculated as surrogates for those design limits/parameters, if applicable.

(iv) Describe how the modulation by the AECD prevents engines and vehicles from exceeding design limits.

(v) Explain why it is necessary to estimate any parameters instead of measuring them directly and describe how the AECD calculates the estimated value, if applicable.

(vi) Describe how you calibrate the AECD modulation to activate only during conditions related to the stated need to protect components and only as needed to sufficiently protect those components in a way that minimizes the emission impact.

(c) Explain in detail how the engine diagnostic system works, describing especially the engine conditions (with the corresponding diagnostic trouble codes) that cause the malfunction indicator to go on. You may ask us to approve conditions under which the diagnostic system disregards trouble codes as described in § 1036.110.

(d) Describe the engines you selected for testing and the reasons for selecting them.

(e) Describe any test equipment and procedures that you used, including any special or alternate test procedures you used (see § 1036.501).

(f) Describe how you operated the emission-data engine before testing, including the duty cycle and the number of engine operating hours used to stabilize emission levels. Explain why you selected the method of service accumulation. Describe any scheduled maintenance you did.

(g) List the specifications of the test fuel to show that it falls within the required ranges we specify in 40 CFR part 1065.

(h) Identify the engine family's useful life.

(i) Include the warranty statement and maintenance instructions you will give to the ultimate purchaser of each new engine (see §§ 1036.120 and 1036.125).

(j) Include the emission-related installation instructions you will provide if someone else installs your engines in their vehicles (see § 1036.130).

(k) Describe your emission control information label (see § 1036.135). We may require you to include a copy of the label.

(l) Identify the duty-cycle emission standards from §§ 1036.104(a) and (b) and 1036.108(a) that apply for the engine family. Also identify FELs and FCLs as follows:

(1) Identify the NO_X FEL over the FTP for the engine family.

(2) Identify the CO₂ FCLs for the engine family; also identify any FELs that apply for CH₄ and N₂O. The actual U.S.-directed production volume of configurations that have CO₂ emission rates at or below the FCL and CH₄ and N₂O emission rates at or below the applicable standards or FELs must be at least one percent of your actual (not projected) U.S.-directed production volume for the engine family. Identify configurations within the family that have emission rates at or below the FCL and meet the one percent requirement. For example, if your U.S.-directed production volume for the engine family is 10,583 and the U.S.-directed production volume for the tested rating is 75 engines, then you can comply with this provision by setting your FCL so that one more rating with a U.S.-directed production volume of at least 31 engines meets the FCL. Where applicable, also identify other testable configurations required under § 1036.230(f)(2)(ii).

(m) Identify the engine family's deterioration factors and describe how you developed them (see §§ 1036.240 and 1036.241). Present any test data you used for this. For engines designed to discharge crankcase emissions to the ambient atmosphere, use the deterioration factors for crankcase emission to determine deteriorated crankcase emission levels of NO_X, HC, PM, and CO as specified in § 1036.240(e).

(n) State that you operated your emission-data engines as described in the application (including the test procedures, test parameters, and test fuels) to show you meet the requirements of this part.

(o) Present emission data from all valid tests on an emission-data engine to show that you meet emission standards. Note that § 1036.235 allows you to submit an application in certain cases without new emission data. Present emission data as follows:

(1) For hydrocarbons (such as NMHC or NMHCE), NO_X, PM, and CO, as applicable, show your engines meet the applicable exhaust emission standards we specify in § 1036.104. Show emission figures for duty-cycle exhaust emission standards before and after applying adjustment factors for regeneration and deterioration factors for each engine.

(2) For CO₂, CH₄, and N₂O, show that your engines meet the applicable emission standards we specify in § 1036.108. Show emission figures before and after applying deterioration factors for each engine. In addition to the composite results, show individual measurements for cold-start testing and hot-start testing over the transient test cycle. For each of these tests, also include the corresponding exhaust emission data for criteria emissions.

(3) If we specify more than one grade of any fuel type (for example, a summer grade and winter grade of gasoline), you need to submit test data only for one grade, unless the regulations of this part specify otherwise for your engine.

(p) State that all the engines in the engine family comply with the off-cycle emission standards we specify in § 1036.104 for all normal operation and use when tested as specified in § 1036.530. Describe any relevant testing, engineering analysis, or other information in sufficient detail to support your statement. We may direct you to include emission measurements representing typical engine in-use operation at a range of ambient conditions. For example, we may specify certain transient and steady-state engine operation that is typical for the types of vehicles that use your engines. See § 1036.210.

(q) We may ask you to send information to confirm that the emission data you submitted were from valid tests meeting the requirements of this part and 40 CFR part 1065. You must indicate whether there are test results from invalid tests or from any other tests of the emission-data engine, whether or not they were conducted according to the test procedures of subpart F of this part. We may require you to report these additional test results.

(r) Describe all adjustable operating parameters (see § 1036.115(f)), including production tolerances. For any operating parameters that do not qualify as adjustable parameters, include a description supporting your conclusion (see 40 CFR 1068.50(c)). Include the following in your description of each adjustable parameter:

(1) For practically adjustable operating parameters, include the nominal or recommended setting, the intended practically adjustable range, and the limits or stops used to establish adjustable ranges. State that the limits, stops, or other means of inhibiting adjustment are effective in preventing adjustment of parameters on in-use engines to settings outside your intended practically adjustable ranges and provide information to support this statement.

(2) For programmable operating parameters, state that you have restricted access to electronic controls to prevent parameter adjustment on in-use engines that would allow operation outside the practically adjustable range. Describe how your engines are designed to prevent unauthorized adjustments.

(s) Provide the information to read, record, and interpret all the information broadcast by an engine's onboard computers and ECMs as described in § 1036.115(d). State that, upon request, you will give us any hardware, software, or tools we would need to do this.

(t) State whether your certification is limited for certain engines. For example, you might certify engines only for use in tractors, in emergency vehicles, or in vehicles with hybrid powertrains. If this is the case, describe how you will prevent use of these engines in vehicles for which they are not certified.

(u) Unconditionally certify that all the engines in the engine family comply with the requirements of this part, other referenced parts of the CFR, and the Clean Air Act. Note that § 1036.235 specifies which engines to test to show that engines in the entire family comply with the requirements of this part.

(v) Include good-faith estimates of nationwide U.S.-directed production volumes. Include a justification for the estimated production volumes if they are substantially different than actual production volumes in earlier years for similar models.

(w) Include the information required by other subparts of this part. For example, include the information required by § 1036.725 if you participate in the ABT program.

(x) Include other applicable information, such as information specified in this part or 40 CFR part 1068 related to requests for exemptions.

(y) Name an agent for service located in the United States. Service on this agent constitutes service on you or any of your officers or employees for any action by EPA or otherwise by the United States related to the requirements of this part.

(z) For imported engines, identify the following:

(1) Describe your normal practice for importing engines. For example, this may include identifying the names and addresses of anyone you have authorized to import your engines. Engines imported by nonauthorized agents are not covered by your certificate.

(2) The location of a test facility in the United States where you can test your engines if we select them for testing under a selective enforcement audit, as specified in 40 CFR part 1068, subpart E.

(aa) Include information needed to certify vehicles to greenhouse gas standards under 40 CFR part 1037 as described in § 1036.505.

[88 FR 4487, Jan. 24, 2023, as amended at 89 FR 29741, Apr. 22, 2024]