SORE - Potential Amendments to Subpart A, Part 1065 California Exhaust Emission Standards and Test Procedures for New 2013 and Later Small Off Road Engines, Engine-Testing Procedures
Potential Amendments to the California Exhaust Emission Standards and Test Procedures for New 2013 and Later Small Off-Road Engines; Engine-Testing Procedures (Part 1065) as of March 24, 2021.
This page consists of material released as part of the development process for the Proposed Amendments to the Small Off-Road Engine (SORE) Regulations.
For the Proposed Amendments and other rulemaking documents that the Board will consider for adoption during the public hearing in December 2021, please refer to the SORE rulemaking page.
(Note: The potential amendments are shown in underline to indicate additions and
strikeout to indicate deletions from the existing regulatory text.)
State of California
AIR RESOURCES BOARDAir Resources Board CALIFORNIA EXHAUST EMISSION STANDARDS AND TEST PROCEDURES FOR NEW 2013 AND LATER SMALL OFF‑ROAD ENGINESCalifornia Exhaust Emission Standards and Test Procedures for New 2013 and Later Small Off‑Road Engines ENGINE‑TESTING PROCEDURESEngine‑Testing Procedures
PART Part 1065)
Adopted: October 25, 2012
Amended: MMMM DD, YYYY
CALIFORNIA EXHAUST EMISSION STANDARDS AND TEST PROCEDURES FOR NEW 2013 AND LATER SMALL OFF-ROAD ENGINESCalifornia Exhaust Emission Standards and Test Procedures for New 2013 and Later Small Off-Road Engines
The following provisions of Part 1065, Title 40, Code of Federal Regulations, as promulgated by the United States Environmental Protection Agency on the date listed, are adopted and incorporated herein by this reference for 2013 model year and later small off-road engines as the California Exhaust Emission Standards and Test Procedures for New 2013 and Later Small Off-Road Engines, except as altered or replaced by the provisions set forth below.
PART 1065 – ENGINE-TESTING PROCEDURESPart 1065 – Engine-Testing Procedures SOURCESource: 76 FR 37977, June 28, 2011, unless otherwise noted.
Subpart A–Applicability and General Provisions
§ 1065.1 Applicability.
(a) (1) This part applies to 2013 and later model year small off‑road engines regulated under Title 13, California Code of Regulations, Chapter 9, Article 1, and subject to the emission standards in § 2403(b)(1) of that Article. These provisions do not apply to engines and equipment that fall within the scope of the preemption of Section 209(e)(1)(A) of the Federal Clean Air Act, as amended, and as defined by regulation of the Environmental Protection Agency.
(2) Every new small off‑road engine that is manufactured for sale, sold, offered for sale, introduced or delivered or imported into California for introduction into commerce and that is subject to any of the standards prescribed herein is required to be covered by an Executive Order issued pursuant to Article 1, Chapter 9, Title 13, California Code of Regulations, including these Test Procedures.
(b) The procedures of this part may apply to other types of engines, as described in this part and in the standard‑setting part.
(c) The term “you” means anyone performing testing under this part other than
(1) This part is addressed primarily to manufacturers of engines
, vehicles, equipment, and vessels, and equipment, but it applies equally to anyone who does testing under this part for such manufacturers.
(2) This part applies to any manufacturer or supplier of test equipment, instruments, supplies, or any other goods or services related to the procedures, requirements, recommendations, or options in this part.
(d) Paragraph (a) of this section identifies the parts of the
CFR California Code of Regulations that define emission standards and other requirements for particular types of engines. In this part, we refer to each section of the Article 1, Chapter 9, Title 13, California Code of Regulations, and the incorporated CFR “California Exhaust Emission Standards and Test Procedures for New 2013 Small Off-Road Engines; Engine-Testing Procedures (Part 1054),” adopted October 25, 2012, and amended MMMM DD, YYYY, hereinafter referred to as part 1054, generically as the "standard‑setting part.”
(e) Unless we specify otherwise, the terms “procedures” and “test procedures” in this part include all aspects of engine testing, including the equipment specifications, calibrations, calculations, and other protocols and procedural specifications needed to measure emissions.
(f) For vehicles, equipment, or vessels subject to this part and regulated under vehicle‑based, equipment‑based, or vessel‑based standards,
use good engineering judgment to interpret the term “engine” in this part to include vehicles, equipment, or vessels, where appropriate.
(g) For additional information regarding these test procedures, visit our Web site at
§ 1065.2 Submitting information to CARB under this part.
(a) You are responsible for statements and information in your applications for certification, requests for approved procedures, selective enforcement audits, laboratory audits, production‑line test reports, field test reports, or any other statements you make to us related to this part 1065. If you provide statements or information to someone for submission to
EPA CARB, you are responsible for these statements and information as if you had submitted them to EPA CARB yourself.
(b) In the standard‑setting part
and in 40 CFR 1068.101, we describe your obligation to report truthful and complete information and the consequences of failing to meet this obligation. See also 18 U.S.C. 1001 and 42 U.S.C. 7413(c)(2). This obligation applies whether you submit this information directly to EPA CARB or through someone else.
(c) We may void any certificates or approvals associated with a submission of information if we find that you intentionally submitted false, incomplete, or misleading information. For example, if we find that you intentionally submitted incomplete information to mislead
EPA CARB when requesting approval to use alternate test procedures, we may void the certificates for all engines families certified based on emission data collected using the alternate procedures. This would also apply if you ignore data from incomplete tests or from repeat tests with higher emission results.
(d) We may require an authorized representative of your company to approve and sign the submission, and to certify that all of the information submitted is accurate and complete. This includes everyone who submits information, including manufacturers and others.
40 CFR 1068.10 Title 17, California Code of Regulations, Section 91000‑91022 for provisions related to confidential information. Note however that under 40 CFR 2.301 Title 17, California Code of Regulations, Section 96021, emission data is generally not eligible for confidential treatment.
(f) Nothing in this part should be interpreted to limit our ability under
Clean Air Act section 208 (42 U.S.C. 7542) Title 13, California Code of Regulations, Section 2400, and the California Health and Safety Code to verify that engines conform to the regulations.
§ 1065.5 Overview of this part 1065 and its relationship to the standard‑setting part.
(a) This part specifies procedures that apply generally to testing various categories of engines. See the standard‑setting part for directions in applying specific provisions in this part for a particular type of engine. Before using this part's procedures, read the standard‑setting part to answer at least the following questions:
(1) What duty cycles must I use for laboratory testing?
(2) Should I warm up the test engine before measuring emissions, or do I need to measure cold‑start emissions during a warm‑up segment of the duty cycle?
(3) Which exhaust constituents do I need to measure? Measure all exhaust constituents that are subject to emission standards, any other exhaust constituents needed for calculating emission rates, and any additional exhaust constituents as specified in the standard‑setting part. Alternatively, you may omit the measurement of N2O and CH4 for an engine, provided it is not subject to an N2O or CH4 emission standard. If you omit the measurement of N2O and CH4, you must provide other information and/or data that will give us a reasonable basis for estimating the engine's emission rates.
(4) Do any unique specifications apply for test fuels?
(5) What maintenance steps may I take before or between tests on an emission‑data engine?
(6) Do any unique requirements apply to stabilizing emission levels on a new engine?
(7) Do any unique requirements apply to test limits, such as ambient temperatures or pressures?
(8) Is field testing required or allowed, and are there different emission standards or procedures that apply to field testing?
(9) Are there any emission standards specified at particular engine‑operating conditions or ambient conditions?
(10) Do any unique requirements apply for durability testing?
(b) The testing specifications in the standard‑setting part may differ from the specifications in this part. In cases where it is not possible to comply with both the standard‑setting part and this part, you must comply with the specifications in the standard‑setting part. The standard‑setting part may also allow you to deviate from the procedures of this part for other reasons.
(c) The following table shows how this part divides testing specifications into subparts:
Table 1 of § 1065.5—Description of Part 1065 Subparts
|This subpart||Describes these specifications or procedures|
Applicability and general provisions.
Equipment for testing.
Measurement instruments for testing.
Calibration and performance verifications for measurement systems.
How to prepare engines for testing, including service accumulation.
How to run an emission test over a predetermined duty cycle.
Test procedure calculations.
Fuels, engine fluids, analytical gases, and other calibration standards.
Special procedures related to oxygenated fuels.
How to test with portable emission measurement systems (PEMS).
§ 1065.10 Other procedures.
(a) Your testing. The procedures in this part apply for all testing you do to show compliance with emission standards, with certain exceptions
listed noted in this section. In some other sections in this part, we allow you to use other procedures (such as less precise or less accurate procedures) if they do not affect your ability to show that your engines comply with the applicable emission standards. This generally requires emission levels to be far enough below the applicable emission standards so that any errors caused by greater imprecision or inaccuracy do not affect your ability to state unconditionally that the engines meet all applicable emission standards.
(b) Our testing. These procedures generally apply for testing that we do to determine if your engines comply with applicable emission standards. We may perform other testing as allowed by the Act.
(c) Exceptions. We may allow or require you to use procedures other than those specified in this part in the following cases, which may apply to laboratory testing, field testing, or both. We intend to publicly announce when we allow or require such exceptions. All of the test procedures noted here as exceptions to the specified procedures are considered generically as “other procedures.” Note that the terms “special procedures” and “alternate procedures” have specific meanings; “special procedures” are those allowed by § 1065.10(c)(2) and “alternate procedures” are those allowed by § 1065.10(c)(7).
(1) The objective of the procedures in this part is to produce emission measurements equivalent to those that would result from measuring emissions during in‑use operation using the same engine configuration as installed in a
vehicle, equipment, or vessel piece of equipment. However, in unusual circumstances where these procedures may result in measurements that do not represent in‑use operation, you must notify us if good engineering judgment indicates that the specified procedures cause unrepresentative emission measurements for your engines. Note that you need not notify us of unrepresentative aspects of the test procedure if measured emissions are equivalent to in‑use emissions. This provision does not obligate you to pursue new information regarding the different ways your engine might operate in use, nor does it obligate you to collect any other in‑use information to verify whether or not these test procedures are representative of your engine's in‑use operation. If you notify us of unrepresentative procedures under this paragraph (c)(1), we will cooperate with you to establish whether and how the procedures should be appropriately changed to result in more representative measurements. While the provisions of this paragraph (c)(1) allow us to be responsive to issues as they arise, we would generally work toward making these testing changes generally applicable through rulemaking. We will allow reasonable lead time for compliance with any resulting change in procedures. We will consider the following factors in determining the importance of pursuing changes to the procedures:
(i) Whether supplemental emission standards or other requirements in the standard‑setting part address the type of operation of concern or otherwise prevent inappropriate design strategies.
(ii) Whether the unrepresentative aspect of the procedures affect your ability to show compliance with the applicable emission standards.
(iii) The extent to which the established procedures require the use of emission‑control technologies or strategies that are expected to ensure a comparable degree of emission control under the in‑use operation that differs from the specified procedures.
(2) You may request to use special procedures if your engine cannot be tested using the specified procedures. For example, this may apply if your engine cannot operate on the specified duty cycle. In this case, tell us in writing why you cannot satisfactorily test your engine using this part's procedures and ask to use a different approach. We will approve your request if we determine that it would produce emission measurements that represent in‑use operation and we determine that it can be used to show compliance with the requirements of the standard‑setting part. Where we approve special procedures that differ substantially from the specified procedures, we may preclude you from participating in averaging, banking, and trading with the affected engine families.
(3) In a given model year, you may use procedures required for later model year engines without request. If you upgrade your testing facility in stages, you may rely on a combination of procedures for current and later model year engines as long as you can ensure
, using good engineering judgment, that the combination you use for testing does not affect your ability to show compliance with the applicable emission standards.
(4) In a given model year, you may ask to use procedures allowed for earlier model year engines. We will approve this only if you show us that using the procedures allowed for earlier model years does not affect your ability to show compliance with the applicable emission standards.
(5) You may ask to use emission data collected using other procedures, such as those of the
California Air Resources Board United States Environmental Protection Agency or the International Organization for Standardization. We will approve this only if you show us that using these other procedures does not affect your ability to show compliance with the applicable emission standards.
(6) During the 12 months following the effective date of any change in the provisions of this part 1065, you may use data collected using procedures specified in the previously applicable version of this part 1065. This also applies for changes to test procedures specified in the standard‑setting part to the extent that these changes do not correspond to new emission standards. This paragraph (c)(6) does not restrict the use of carryover certification data otherwise allowed by the standard‑setting part.
(7) You may request to use alternate procedures that are equivalent to the
allowed specified procedures, or procedures that are more accurate or more precise than the allowed specified procedures. We may perform tests with your engines using either the approved alternate procedures or the specified procedures. The following provisions apply to requests for alternate procedures:
(i) Applications. Follow the instructions in § 1065.12.
(ii) Submission. Submit requests in writing to the Designated Compliance Officer.
(iii) Notification. We may approve your request by telling you directly, or we may issue guidance announcing our approval of a specific alternate procedure, which would make additional requests for approval unnecessary.
(d) Advance approval.If we require you to request approval to use other procedures under paragraph (c) of this section, you may not use them until we approve your request.
§ 1065.12 Approval of alternate procedures.
(a) To get approval for an alternate procedure under § 1065.10(c), send the Designated Compliance Officer an initial written request describing the alternate procedure and why you believe it is equivalent to the specified procedure. Anyone may request alternate procedure approval. This means that an individual engine manufacturer may request to use an alternate procedure. This also means that an instrument manufacturer may request to have an instrument, equipment, or procedure approved as an alternate procedure to those specified in this part. We may approve your request based on this information alone,
or, as described in this section, we may ask you to submit to us in writing whether or not it includes all the information specified in this section. Where we determine that your original submission does not include enough information for us to determine that the alternate procedure is equivalent to the specified procedure, we may ask you to submit supplemental information showing that your alternate procedure is consistently and reliably at least as accurate and repeatable as the specified procedure.
(b) We may make our approval under this section conditional upon meeting other requirements or specifications. We may limit our approval, for example, to certain time frames, specific duty cycles, or specific emission standards. Based upon any supplemental information we receive after our initial approval, we may amend a previously approved alternate procedure to extend, limit, or discontinue its use. We intend to publicly announce alternate procedures that we approve.
(c) Although we will make every effort to approve only alternate procedures that completely meet our requirements, we may revoke our approval of an alternate procedure if new information shows that it is significantly not equivalent to the specified procedure.
If we do this, we will grant time to switch to testing using an allowed procedure, considering the following factors:
(1) The cost, difficulty, and availability to switch to a procedure that we allow.
(2) The degree to which the alternate procedure affects your ability to show that your engines comply with all applicable emission standards.
(3) Any relevant factors considered in our initial approval.
(d) If we do not approve your proposed alternate procedure based on the information in your initial request, we may ask you to send
the following information to fully evaluate your request: additional information to fully evaluate your request. While we consider the information specified in this paragraph (d) and the statistical criteria of paragraph (e) of this section to be sufficient to demonstrate equivalence, it may not be necessary to include all the information or meet the specified statistical criteria. For example, systems that do not meet the statistical criteria in paragraph (e) of this section because they have a small bias toward high emission results could be approved since they would not adversely affect your ability to demonstrate compliance with applicable standards.
(1) Theoretical basis. Give a brief technical description explaining why you believe the proposed alternate procedure should result in emission measurements equivalent to those using the specified procedure. You may include equations, figures, and references. You should consider the full range of parameters that may affect equivalence. For example, for a request to use a different NOX measurement procedure, you should theoretically relate the alternate detection principle to the specified detection principle over the expected concentration ranges for NO, NO2, and interference gases. For a request to use a different PM measurement procedure, you should explain the principles by which the alternate procedure quantifies particulate mass similarly to the specified procedures.
(2) Technical description. Describe briefly any hardware or software needed to perform the alternate procedure. You may include dimensioned drawings, flowcharts, schematics, and component specifications. Explain any necessary calculations or other data manipulation.
(3) Procedure execution. Describe briefly how to perform the alternate procedure and recommend a level of training an operator should have to achieve acceptable results.
Summarize the installation, calibration, operation, and maintenance procedures in a step‑by‑step format. Describe how any calibration is performed using
NIST SI‑traceable standards or other similar standards we approve. Calibration must be specified by using known quantities and must not be specified as a comparison with other allowed procedures.
(4) Data‑collection techniques. Compare measured emission results using the proposed alternate procedure and the specified procedure, as follows:
(i) Both procedures must be calibrated independently to
NIST SI‑traceable standards or to other similar standards we approve.
(ii) Include measured emission results from all applicable duty cycles. Measured emission results should show that the test engine meets all applicable emission standards according to specified procedures.
(iii) Use statistical methods to evaluate the emission measurements, such as those described in paragraph (e) of this section.
(e)We may give you specific directions regarding methods for statistical analysis, or we may approve other methods that you propose.Absent any other directions from us, use a t‑test and an F‑test calculated according to § 1065.602 to evaluate whether your proposed alternate procedure is equivalent to the specified procedure. We may give you specific directions regarding methods for statistical analysis, or we may approve other methods that you propose. Such alternate methods may be more or less stringent than those specified in this paragraph (e). In determining the appropriate statistical criteria, we will consider the repeatability of measurements made with the reference procedure. For example, less stringent statistical criteria may be appropriate for measuring emission levels being so low that they adversely affect the repeatability of reference measurements. We recommend that you consult a statistician if you are unfamiliar with these statistical tests. Perform the tests as follows:
(1) Repeat measurements for all applicable duty cycles at least seven times for each procedure. You may use laboratory duty cycles to evaluate field‑testing procedures.
Be sure to include all available results to evaluate the precision and accuracy of the proposed alternate procedure, as described in § 1065.2.
(2) Demonstrate the accuracy of the proposed alternate procedure by showing that it passes a two‑sided t‑test. Use an unpaired t‑test, unless you show that a paired t‑test is appropriate under both of the following provisions:
(i) For paired data, the population of the paired differences from which you sampled paired differences must be independent. That is, the probability of any given value of one paired difference is unchanged by knowledge of the value of another paired difference. For example, your paired data would violate this requirement if your series of paired differences showed a distinct increase or decrease that was dependent on the time at which they were sampled.
(ii) For paired data, the population of paired differences from which you sampled the paired differences must have a normal (i.e., Gaussian) distribution. If the population of paired difference is not normally distributed, consult a statistician for a more appropriate statistical test, which may include transforming the data with a mathematical function or using some kind of non‑parametric test.
(3) Show that t is less than the critical tvalue, tcrit, tabulated in § 1065.602, for the following confidence intervals:
(i) 90% for a proposed alternate procedure for laboratory testing.
(ii) 95% for a proposed alternate procedure for field testing.
(4) Demonstrate the precision of the proposed alternate procedure by showing that it passes an F‑test. Use a set of at least seven samples from the reference procedure and a set of at least seven samples from the alternate procedure to perform an F‑test. The sets must meet the following requirements:
(i) Within each set, the values must be independent. That is, the probability of any given value in a set must be unchanged by knowledge of another value in that set. For example, your data would violate this requirement if a set showed a distinct increase or decrease that was dependent upon the time at which they were sampled.
(ii) For each set, the population of values from which you sampled must have a normal (i.e., Gaussian) distribution. If the population of values is not normally distributed, consult a statistician for a more appropriate statistical test, which may include transforming the data with a mathematical function or using some kind of non‑parametric test.
(iii) The two sets must be independent of each other. That is, the probability of any given value in one set must be unchanged by knowledge of another value in the other set. For example, your data would violate this requirement if one value in a set showed a distinct increase or decrease that was dependent upon a value in the other set. Note that a trend of emission changes from an engine would not violate this requirement.
(iv) If you collect paired data for the paired t‑test in paragraph (e)(2) in this section, use caution when selecting sets from paired data for the F‑test. If you do this, select sets that do not mask the precision of the measurement procedure. We recommend selecting such sets only from data collected using the same engine, measurement instruments, and test cycle.
(5) Show that F is less than the critical F value, F crit, tabulated in § 1065.602. If you have several F‑test results from several sets of data, show that the mean F‑test value is less than the mean critical F value for all the sets. Evaluate F crit, based on the following confidence intervals:
(i) 90% for a proposed alternate procedure for laboratory testing.
(ii) 95% for a proposed alternate procedure for field testing.
§ 1065.15 Overview of procedures for laboratory and field testing.
This section outlines the procedures to test engines that are subject to emission standards.
(a) In the standard‑setting part, we set brake‑specific emission standards in g/(kW·hr) (or g/(hp·hr)), for the following constituents:
(1) Total oxides of nitrogen, NOX.
s (HC), which may be expressed in the following ways:
(i) Total hydrocarbon
(ii) Nonmethane hydrocarbon
s, NMHC, which results from subtracting methane (CH4) from THC.
(iii) Nonmethane‑nonethane hydrocarbon, NMNEHC, which results from subtracting methane, CH4, and ethane, C2H6, from THC
iiiiv) Total hydrocarbon‑equivalent, THCE, which results from adjusting THC mathematically to be equivalent on a carbon‑mass basis.
ivv) Nonmethane hydrocarbon‑equivalent, NMHCE, which results from adjusting NMHC mathematically to be equivalent on a carbon‑mass basis.
(3) Particulate mass, PM.
(4) Carbon monoxide, CO.
(5) Carbon dioxide, CO2.
(6) Methane, CH4.
(7) Nitrous oxide, N2O.
(b) Note that some engines are not subject to standards for all the emission constituents identified in paragraph (a) of this section. Note also that the standard‑setting part may include standards for pollutants not listed in paragraph (a) of this section.
(c) We generally set brake‑specific emission standards over test intervals and/or duty cycles, as follows:
(1) Engine operation. Testing may involve measuring emissions and work in a laboratory‑type environment or in the field, as described in paragraph (f) of this section. For most laboratory testing, the engine is operated over one or more duty cycles specified in the standard‑setting part. However, laboratory testing may also include non‑duty cycle testing (such as simulation of field testing in a laboratory). For field testing, the engine is operated under normal in‑use operation. The standard‑setting part specifies how test intervals are defined for field testing. Refer to the definitions of “duty cycle” and “test interval” in § 1065.1001. Note that a single duty cycle may have multiple test intervals and require weighting of results from multiple test intervals to calculate a composite brake‑specific emissions value to compare to the standard.
(2) Constituent determination. Determine the total mass of each constituent over a test interval by selecting from the following methods:
(i) Continuous sampling. In continuous sampling, measure the constituent's concentration continuously from raw or dilute exhaust. Multiply this concentration by the continuous (raw or dilute) flow rate at the emission sampling location to determine the constituent's flow rate. Sum the constituent's flow rate continuously over the test interval. This sum is the total mass of the emitted constituent.
(ii) Batch sampling. In batch sampling, continuously extract and store a sample of raw or dilute exhaust for later measurement. Extract a sample proportional to the raw or dilute exhaust flow rate. You may extract and store a proportional sample of exhaust in an appropriate container, such as a bag, and then measure
HC, CO, and NOX NOX, HC, CO, CO2, CH4, N2O, and CH2O concentrations in the container after the test interval. You may deposit PM from proportionally extracted exhaust onto an appropriate substrate, such as a filter. In this case, divide the PM by the amount of filtered exhaust to calculate the PM concentration. Multiply batch sampled concentrations by the total (raw or dilute) flow from which it was extracted during the test interval. This product is the total mass of the emitted constituent.
(iii) Combined sampling. You may use continuous and batch sampling simultaneously during a test interval, as follows:
(A) You may use continuous sampling for some constituents and batch sampling for others.
(B) You may use continuous and batch sampling for a single constituent, with one being a redundant measurement. See § 1065.201 for more information on redundant measurements.
(3) Work determination. Determine work over a test interval by one of the following methods:
(i) Speed and torque. Synchronously multiply speed and brake torque to calculate instantaneous values for engine brake power. Sum engine brake power over a test interval to determine total work.
(ii) Fuel consumed and brake‑specific fuel consumption. Directly measure fuel consumed or calculate it with chemical balances of the fuel, intake air, and exhaust. To calculate fuel consumed by a chemical balance, you must also measure either intake‑air flow rate or exhaust flow rate. Divide the fuel consumed during a test interval by the brake‑specific fuel consumption to determine work over the test interval. For laboratory testing, calculate the brake‑specific fuel consumption using fuel consumed and speed and torque over a test interval. For field testing, refer to the standard‑setting part and § 1065.915 for selecting an appropriate value for brake‑specific fuel consumption.
(d) Refer to § 1065.650 for calculations to determine brake‑specific emissions.
(e) The following figure illustrates the allowed measurement configurations described in this part 1065:
(f) This part 1065 describes how to test engines in a laboratory‑type environment or in the field.
(1) This affects test intervals and duty cycles as follows:
(i) For laboratory testing, you generally determine brake‑specific emissions for duty‑cycle testing by using an engine dynamometer in a laboratory or other environment. This typically consists of one or more test intervals, each defined by a duty cycle, which is a sequence of modes, speeds, and/or torques (or powers) that an engine must follow. If the standard‑setting part allows it, you may also simulate field testing with an engine dynamometer in a laboratory or other environment.
(ii) Field testing consists of normal in‑use engine operation while an engine is installed in a
vehicle, equipment, or vessel piece of equipment rather than following a specific engine duty cycle. The standard‑setting part specifies how test intervals are defined for field testing.
(2) The type of testing may also affect what test equipment may be used. You may use “lab‑grade” test equipment for any testing. The term “lab‑grade” refers to equipment that fully conforms to the applicable specifications of this part. For some testing you may alternatively use “field‑grade” equipment. The term “field‑grade” refers to equipment that fully conforms to the applicable specifications of subpart J of this part, but does not fully conform to other specifications of this part. You may use “field‑grade” equipment for field testing. We also specify in this part and in the standard‑setting parts certain cases in which you may use “field‑grade” equipment for testing in a laboratory‑type environment. (Note: Although “field‑grade” equipment is generally more portable than “lab‑grade” test equipment, portability is not relevant to whether equipment is considered to be “field‑grade” or “lab‑grade”.)
§ 1065.20 Units of measure and overview of calculations.
(a) System of units. The procedures in this part generally follow the International System of Units (SI), as detailed in NIST Special Publication 811,
1995 Edition, “Guide for the Use of the International System of Units (SI),” which we incorporate by reference in § 1065.1010. This document is available on the Internet at http://physics.nist.gov/Pubs/SP811/contents.html. Note the The following exceptions apply:
(1) We designate
rotational frequency angular speed, fn, of an engine's crankshaft in revolutions per minute (r ev/min), rather than the SI unit of reciprocal seconds (1/s) radians per second (rad/s). This is based on the commonplace use of r ev/min in many engine dynamometer laboratories. Also, we use the symbol fn to identify rotational frequency in rev/min, rather than the SI convention of using n. This avoids confusion with our usage of the symbol n for a molar quantity.
(2) We designate brake‑specific emissions in grams per kilowatt‑hour (g/(kW·hr)), rather than the SI unit of grams per megajoule (g/MJ). In addition, we use the symbol hr to identify hour, rather than the SI convention of using h. This is based on the fact that engines are generally subject to emission standards expressed in g/kW·hr. If we specify engine standards in grams per horsepower·hour (g/(hp·hr)) in the standard‑setting part, convert units as specified in paragraph (d) of this section.
(3) We generally designate temperatures in units of degrees Celsius (°C) unless a calculation requires an absolute temperature. In that case, we designate temperatures in units of Kelvin (K). For conversion purposes throughout this part, 0 °C equals 273.15 K.
(b) Concentrations. This part does not rely on amounts expressed in parts per million or similar units. Rather, we express such amounts in the following SI units:
(1) For ideal gases, µmol/mol, formerly ppm (volume).
(2) For all substances, cm3/m3, formerly ppm (volume).
(3) For all substances, mg/kg, formerly ppm (mass).
(c) Absolute pressure. Measure absolute pressure directly or calculate it as the sum of atmospheric pressure plus a differential pressure that is referenced to atmospheric pressure. Always use absolute pressure values for multiplying or dividing by pressure.
(d) Units conversion. Use the following conventions to convert units:
(1) Testing. You may record values and perform calculations with other units. For testing with equipment that involves other units, use the conversion factors from NIST Special Publication 811, as described in paragraph (a) of this section.
(2) Humidity. In this part, we identify humidity levels by specifying dewpoint, which is the temperature at which pure water begins to condense out of air. Use humidity conversions as described in § 1065.645.
(3) Emission standards. If your standard is in g/(hp·hr) units, convert kW to hp before any rounding by using the conversion factor of 1 hp (550 ft·lbf/s) = 0.7456999 kW. Round the final value for comparison to the applicable standard.
(e) Rounding. You are required to round certain final values, such as final emission values. You may round intermediate values when transferring data as long as you maintain at least six significant digits (which requires more than six decimal places for values less than 0.1), or all significant digits if fewer than six digits are available. Unless the standard‑setting part specifies otherwise,
round only final values, not do not round other intermediate values. Round values to the number of significant digits necessary to match the number of decimal places of the applicable standard or specification . For information not related to standards or specifications, use good engineering judgment to record the appropriate number of significant digits. as described in this paragraph (e). Note that specifications expressed as percentages have infinite precision (as described in paragraph (e)(7) of this section). Use the following rounding convention, which is consistent with ASTM E29 and NIST SP 811:
(1) If the first (left‑most) digit to be removed is less than five, remove all the appropriate digits without changing the digits that remain. For example, 3.141593 rounded to the second decimal place is 3.14.
(2) If the first digit to be removed is greater than five, remove all the appropriate digits and increase the lowest‑value remaining digit by one. For example, 3.141593 rounded to the fourth decimal place is 3.1416.
(3) If the first digit to be removed is five with at least one additional non‑zero digit following the five, remove all the appropriate digits and increase the lowest‑value remaining digit by one. For example, 3.141593 rounded to the third decimal place is 3.142.
(4) If the first digit to be removed is five with no additional non‑zero digits following the five, remove all the appropriate digits, increase the lowest‑value remaining digit by one if it is odd and leave it unchanged if it is even. For example, 1.75 and 1.750 rounded to the first decimal place are 1.8; while 1.85 and 1.850 rounded to the first decimal place are also 1.8. Note that this rounding procedure will always result in an even number for the lowest‑value digit.
(5) This paragraph (e)(5) applies if the regulation specifies rounding to an increment other than decimal places or powers of ten (to the nearest 0.01, 0.1, 1, 10, 100, etc.). To round numbers for these special cases, divide the quantity by the specified rounding increment. Round the result to the nearest whole number as described in paragraphs (e)(1) through (4) of this section. Multiply the rounded number by the specified rounding increment. This value is the desired result. For example, to round 0.90 to the nearest 0.2, divide 0.90 by 0.2 to get a result of 4.5, which rounds to 4. Multiplying 4 by 0.2 gives 0.8, which is the result of rounding 0.90 to the nearest 0.2.
(6) The following tables further illustrate the rounding procedures specified in this paragraph (e):
(7) This paragraph (e)(7) applies where we specify a limit or tolerance as some percentage of another value (such as ±2% of a maximum concentration). You may show compliance with such specifications either by applying the percentage to the total value to calculate an absolute limit, or by converting the absolute value to a percentage by dividing it by the total value.
(i) Do not round either value (the absolute limit or the calculated percentage), except as specified in paragraph (e)(7)(ii) of this section. For example, assume we specify that an analyzer must have a repeatability of ±1% of the maximum concentration or better, the maximum concentration is 1059 ppm, and you determine repeatability to be ±6.3 ppm. In this example, you could calculate an absolute limit of ±10.59 ppm (1059 ppm × 0.01) or calculate that the 6.3 ppm repeatability is equivalent to a repeatability of 0.5949008498584%.
(ii) Prior to July 1, 2013, you may treat tolerances (and equivalent specifications) specified in percentages as having fixed rather than infinite precision. For example, 2% would be equivalent to 1.51% to 2.50% and 2.0% would be equivalent to 1.951% to 2.050%. Note that this allowance applies whether or not the percentage is explicitly specified as a percentage of another value.
(8) You may use measurement devices that incorporate internal rounding, consistent with the provisions of this paragraph (e)(8). You may use devices that use any rounding convention if they report six or more significant digits. You may use devices that report fewer than six digits, consistent with
good engineering judgment and the accuracy, repeatability, and noise specifications of this part. Note that this provision does not necessarily require you to perform engineering analysis or keep records.
(f) Interpretation of ranges. Interpret a range as a tolerance unless we explicitly identify it as an accuracy, repeatability, linearity, or noise specification. See § 1065.1001 for the definition of tolerance. In this part, we specify two types of ranges:
(1) Whenever we specify a range by a single value and corresponding limit values above and below that value, target any associated control point to that single value. Examples of this type of range include “± 10% of maximum pressure”, or “(30 ± 10) kPa”.
(2) Whenever we specify a range by the interval between two values, you may target any associated control point to any value within that range. An example of this type of range is “(40 to 50) kPa”.
(g) Scaling of specifications with respect to an applicable standard. Because this part 1065 is applicable to a wide range of engines and emission standards, some of the specifications in this part are scaled with respect to an engine's applicable standard or maximum power. This ensures that the specification will be adequate to determine compliance, but not overly burdensome by requiring unnecessarily high‑precision equipment. Many of these specifications are given with respect to a “flow‑weighted mean” that is expected at the standard or during testing. Flow‑weighted mean is the mean of a quantity after it is weighted proportional to a corresponding flow rate. For example, if a gas concentration is measured continuously from the raw exhaust of an engine, its flow‑weighted mean concentration is the sum of the products (dry‑to‑wet corrected, if applicable) of each recorded concentration times its respective exhaust flow rate, divided by the sum of the recorded flow rates. As another example, the bag concentration from a CVS system is the same as the flow‑weighted mean concentration, because the CVS system itself flow‑weights the bag concentration. Refer to § 1065.602 for information needed to estimate and calculate flow‑weighted means. Wherever a specification is scaled to a value based upon an applicable standard, interpret the standard to be the family emission limit if the engine is certified under an emission credit program in the standard‑setting part.
§ 1065.25 Recordkeeping.
The procedures in this part include various requirements to record data or other information. Refer to the standard‑setting part regarding recordkeeping requirements. If the standard‑setting part does not specify recordkeeping requirements, store these records in any format and on any media and keep them readily available for one year after you send an associated application for certification, or one year after you generate the data if they do not support an application for certification. You must promptly send us organized, written records in English if we ask for them. We may review them at any time.
(a) The procedures in this part include various requirements to record data or other information. Refer to the standard‑setting part and §1065.695 regarding specific recordkeeping requirements.
(b) You must promptly send us organized, written records in English if we ask for them. We may review them at any time.
(c) We may waive specific reporting or recordkeeping requirements we determine to be unnecessary for the purposes of this part and the standard‑setting part. Note that while we will generally keep the records required by this part, we are not obligated to keep records we determine to be unnecessary for us to keep. For example, while we require you to keep records for invalid tests so that we may verify that your invalidation was appropriate, it is not necessary for us to keep records for our own invalid tests.