Adoption of PC-11 into API 1509

Dec. 10, 2015

Motion Robert Stockwell, OroniteSecond Jim Linden, Total

Set the first licensing date for API CK-4 and FA-4 Standards as Dec. 1, 2016

Passed by Lubricants Group Voice Vote 10-DEC-2015

December 10th, 2015

JW Marriott Austin110 E 2nd Street Austin, Texas 78701

June 21st , 2011 the EMA/TMA made a request of the DEOAP for a new Heavy-Duty Diesel Engine Oil Performance Standard.

Drivers for the new category included:

U.S. Environmental Protection Agency (EPA) is in process of adopting regulations which will mandate improvements in fuel efficiency from heavy-duty on-highway diesel engines and vehicles, beginning in 2014 with additional efficiency improvements beginning in 2017 (the GHG Rule.).

Engine lubricant performance can have a significant influence on an engines’ ability to achieve EPA’s GHG emissions goals.

Anticipated test obsolescence

EMA/TMA requests that the PC-11 category be split into two separate and distinct subcategories with corresponding HTHS performance levels: One that preserves historical heavy-

duty oil criteria One that provides fuel efficiency

benefits.

Improvements or changes in performance, relative to API CJ-4 Oils included: Oxidation stability Aeration benefits Shear stability Scuffing/Adhesive wear control Compatibility with biodiesel blends

Note: Supporting data was provided for the performance improvements requested

Three Phase Process Phase 1: Category Request/Evaluation

NCET Established (June 2011-December 2011)

Phase 2: Category Development NCDT Established (December 2011-December 2015)

Phase 3: Category Implementation DEOAP (December 2015- December 2016)

Consensus Process with Major Stakeholder all included:

API Oil Marketers EMA Representative (On-and Off- Hwy) ACC Representative Engine Tests Labs Trade associations including ASTM, SAE, etc.

Open meetings to allow all interested parties to participate.

Performance Challenges How is shear stability to be evaluated? What oxidation test will be used? Need to better define biodiesel compatibility What should the HTHS be for the lower viscosity/fuel economy specification?

Development Challenges Very aggressive time line required to meet first license date target Multiple new tests to be developed Precision / BOI / VGRA matrix costs likely to be very high Potential resource limitations due to overlap with GF-6

Marketing Challenges How are we to market this? What is the plan for educating the consumer education? What will the new category be called?

A. Support the request for the new category and recommend to DEOAP that the request be forwarded to the API Lubricants Committee for consideration to proceed with category development. This recommendation shall identify the need for the category, recognize its feasibility, provide a timetable for category development, suggest draft language for the category, and identify the proposed method for funding development of the new category. The API Co-Chairperson of the DEOAP shall present the DEOAP recommendation, along with appropriate documentation, to the API Lubricants Committee for consideration at its next meeting.

B. Deny the request, explaining to the sponsor in writing the reasons for the denial. The sponsor has the option of resubmitting the request with additional information.

C. Not reach consensus. If the NCET cannot reach consensus on the request for a new performance category, the API Co-Chairperson shall provide the API Lubricants Committee with the vote outcome and a summary of the reasons for the action.

The NCET’s specific charge is to evaluate the request and to make one of the decisions below:

7

New Category Development Team (NCDT)

API, ACC, EMA, Liaison Members (ILMA, SAE, ASTM) manage development of new category by consensus process

API Drafts user language Develops licensing

Timeline Develops BOI and

VGRA guidelines

EMA Proposes Test Provides Hardware Identifies reference

oil(s) Adjusts category

targets

ASTM Coordinates test

procedure and precision development

Ensures compliance with timetable

Establishes performance limits

ACC Implements template

guideline Revises Code of

Practice

25 & 26 June 2014

PC-11 Specification – Critical TestsCharacteristic PC-11 A

(High HTHS)PC-11 B

(Low HTHS)Test That Measures

Parameter (new)Piston Deposits, Fe and Oil Consumption X X C13Piston Deposits, Al and Oil Consumption X X 1NRing and Liner Wear X X T-12 (New Limits)Soot Valvetrain Wear (Abrasive and Rolling) X X RFWTSoot Valvetrain Wear (Sliding Wear) X X ISBSoot / EGR/ Valvetrain Wear/Valve Stem / GuideWear (Abrasive and Corrosive) X X ISM

Thermal Stability (Oxidation) X X Volvo T-13Oil Aeration X X Cat Oil Aeration TestSoot/Viscosity in EGR Engines X X T-11Elastomer Compatibility X X ASTM D7216 Used Oil Viscometrics (Low Temp) X X MRV (T-11) High Temperature Corrosion X X HTCBTShear Stability KO 90 Pass KO 90 Pass 12.8cSt min Xw-40(ex. 0W-40);

Xw-30 stay in gradeVolatility 13% max 13% max NOACK (D5800)Foaming X X ASTM D892Filter Plugging/ Sludge X X ISM Chemical Limits (Ash, Phos., Sulfur) X X D874, D4951, D2622High Temperature/High Shear Limit (Fresh Oil) 3.5cP min 2.9 – 3.2 cP HTHS (D4683)High Temperature/High Shear Limit (After KO 90) 3.4 min 2.8 min HTHS (D4683)

Blue indicates existing test

Yellow indicates new test/limit

Fuchsia indicates a replacement test with new limits

Volvo T-13 Oxidation TestTest Operating Conditions: Test Engine - MP 8 US10 (500 hp) 360 hr Test Over-fueled, High Peak Cylinder Pressure High Oil Temperature – 130 C Main Gallery Reduced Sump Capacity

Pass/Fail Criteria: IR Peak Oxidation at 360 hrs. Viscosity Increase - % KV40 increase from 300-360hrs

Caterpillar Aeration TestTest Operating Conditions: Test Engine: Caterpillar C-13 50 hr Test 1800 rpm, No Load, 2.2 gal/hr fuel rate Micro-Motion Meter measures oil density to calculate

%aerationPass/Fail Criteria: Average % aeration 40-50hrs.

Specification Units Proposed Limits

New Oil Viscosity PC-11A PC-11BViscosity Grade (SAE J300) xW-30; xW-40 xW-30Fresh Oil HTHS Viscosity, at 150°CxW-30 Grades; minimum mPa-s 3.5 2.9

maximum mPa-s n/a 3.2

xW-40 GradesMeet SAE

J300 n/a

Sheared Oil Viscosity (D7109)Kinematic Viscosity at 100°C, minxW-30 Grades mm2/s 9.3 9.30W-40 mm2/s 12.5 n/aOther xW-40 Grades mm2/s 12.8 n/a

HTHS Viscosity at 150°C, minxW-30 Grades mPa-s 3.4 2.8

*Not to scale**Approx. HTHS scale

16

14

12

10

SAE 30

SAE 40

SAE 20

~3.5

KIN. VISCOSITY (mm2/s) @100°C

HTHS VISCOSITY (mPa-s) @150°C

~4.2

~3.2

~2.9

CJ-4 CK-4

(PC-11A)

FA-4 (PC-11B)

• Numerous options discussed

• Taskforce formed to make recommendations

• SAE J300 Modification for PC-11? SAE 10W- 26 Suffix “L” and “H”

• Direction/suggestion form API LG For the high HTHS (PC-11A) the API LG

was comfortable with the category name CK-4.

For the low HTHS (PC-11B) the discussion centered on how to establish an evergreen aspect to the categories. Minimize Number of Characters Distinct difference between PC-11A High Vis and PC-11B Low Vis. Evergreen Name/Symbol The Low Viscosity oil does not sound like the High Viscosity Oil

High HTHS

Low HTHS

Comments

Option#1

CK-4 CK-4 High HTHS = backward compatibleLow HTHS = Not backwards compatible

Option #2

CK-4 HD 3.0 High HTHS possibly drop “-4”Low HTHS = Nomenclature substantially different then High HTHS

Option #3

CJ-4 Plus

CK-4 High HTHS = backward compatibleLow HTHS = Not backwards compatible

Option#4

CJ-4 Plus

HD 3.0 High HTHS = backward compatibleLow HTHS = Nomenclature substantially different then High HTHS

Option #5

CK-4 DK-4 High HTHS = backward compatibleLow HTHS = D” designation would offer parallel path for coexistence. Not backwards compatible

Option #6

CK-4H CK-4L

Option #7

CK-4 CK-4 RC

• Consumer Focus Group on options provided a lot of good insight

Study coordinated through API and third party.

Options for possible revisions to API donut

• Recommended category naming nomenclature:

• PC-11A = CK-4• PC-11B = FA-4

• API working with external PR firm to develop a communication plan Build API web page for PC-11/CK-4/FA-4 Test

donut options Launch campaign through Motor Oil Matters

Facebook and Twitter Seek out speaking opportunities at industry

events Design MATS booth for new category promotion * Concepts only for

consumer testing

NCDT Taskforces Review and Recommend New Performance Test

Taskforce on Oxidation/Nitration recommends Volvo T-13 for oxidation. Taskforce on Aeration recommends Caterpillar Oil Aeration Test Shear Stability Taskforce recommends more severe limits on current 90 cycle

shear test for xW-40 grades (except for 0W-40) Biodiesel taskforce concluded no available test and no need to include a test at

this time. No scuffing/adhesive wear test. Development of this test continues. Sufficient

data not available soon enough to support inclusion in this category.

BOI/VGRA group recommends precision matrix based on available funding from funding group

Recommended category naming nomenclature and structure to API LG

• PC-11A = CK-4• PC-11B = FA-4

HDEOCP works to develop consensus through exit criteria ballots addressing key issues with new and carryover tests. Carry-over tests from CJ-4 Test limits for new and existing tests

Task Forces for new tests transition into ASTM Surveillance Panels Volvo T-13 Caterpillar Oil Aeration Test

Development of ASTM B ballot – Issued Nov. 2, 2015

NCDT is in Agreement After the ASTM Vote all of its original goals and objectives have been met The team will forward all procedures, facts, data, and information that is

pertinent to the new category to the DEOAP The DEOAP and NCDT meet to ensure that the tests developed under NCDT

guidance satisfy the need expressed by the original sponsor

When the DEOAP and NCDT Meet: Ensure that the tests developed under NCDT guidance satisfy the need

expressed by the original sponsor Performance targets contained in the proposed consumer language are met by

the tests proposed for the category Timetable is acceptable Test methods chosen to define the new standard represent the most cost-

effective means of establishing the new performance level. API BOI/VGRA Guidelines are evaluated and being established DEOAP Co-Chairpersons, complete a Category Development Package and with

a recommendation for formal approval, to the API Lubricants Group API Lubricants Group Approves the complete package including the final

consumer language

For the ASTM Functional Group Review the appropriateness of the test data developed for

discrimination and precision. Agree on the final description for each new performance test and

that the optimum test methods and performance limits have been chosen.

At least one “demonstration” reference oil capable of meeting all minimum performance criteria is required.

For the ACC functional group, Ensure that the ACC Code of Practice includes each of the new

engine performance tests

From SAE and other cooperating agencies Any standards, codes, and publications that are necessary parts of

the new category.

Activity2011 2012 2013 2014 2015 2016 2017

1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q 3Q 4QEMA Requests New Category

NCET

NCDT / DEOAP NCDT

Test Development

HDEOCP

Matrix, BOI, VGRA

Technology DemonstrationLimit Setting & Spec.FinalizationOil Qualification/API Licensing

Toda

y

NCDT DEOAP

First Licensing December 1st, 2016

5.X.X.X CK-4 — For 2017 Heavy-Duty Diesel Engine Service

API Service Category CK-4 describes oils for use in high-speed four-stroke cycle diesel engines designed to meet 2017 model year on-highway and Tier 4 non-road exhaust emission standards as well as for previous model year diesel engines. These oils are formulated for use in all applications with diesel fuels ranging in sulfur content up to 500 ppm (0.05% by weight). However, the use of these oils with greater than 15 ppm (0.0015% by weight) sulfur fuel may impact exhaust aftertreatment system durability and/or oil drain interval.

These oils are especially effective at sustaining emission control system durability where particulate filters and other advanced aftertreatment systems are used. API CK-4 oils are designed to provide enhanced protection against oil oxidation, viscosity loss due to shear, and oil aeration as well as protection against catalyst deactivation, particulate filter blocking, engine wear, piston deposits, degradation of low- and high-temperature properties, and soot related viscosity increase.

Engine oils that meet the API Service Category CK-4 designation have been tested in accordance with the ACC Code of Practice and may use the API Base Oil Interchangeability Guidelines and the API Guidelines for SAE Viscosity-Grade Read Across.

API CK-4 oils exceed the performance criteria of API CJ-4,CI-4 PLUS, CI-4, and CH-4 and can effectively lubricate engines calling for those API Service Categories. When using CK-4 oil with higher than 15 ppm sulfur fuel, consult the engine manufacturer for service interval recommendations.

Marketers may license products meeting API CK-4 requirements as API CJ-4, CI-4 PLUS, CI-4, and CH-4.

5.X.X.X FA-4 — For 2017 Heavy-Duty Diesel Engine Service

API Service Category FA-4 describes certain XW-30 oils specifically formulated for use in select high-speed four-stroke cycle diesel engines designed to meet 2017 model year on-highway greenhouse gas (GHG) emission standards. These oils are formulated for use in on-highway applications with diesel fuel sulfur content up to 15 ppm (0.0015% by weight). Refer to individual engine manufacturer recommendations regarding compatibility with API FA-4 oils.

These oils are blended to a high temperature high shear (HTHS) viscosity range of 2.9cP-3.2cP to assist in reducing GHG emissions. These oils are especially effective at sustaining emission control system durability where particulate filters and other advanced aftertreatment systems are used. API FA-4 oils are designed to provide enhanced protection against oil oxidation, viscosity loss due to shear, and oil aeration as well as protection against catalyst deactivation, particulate filter blocking, engine wear, piston deposits, degradation of low- and high-temperature properties, and soot related viscosity increase.

Engine oils that meet the API Service Category FA-4 designation have been tested in accordance with the ACC Code of Practice and may use the API Base Oil Interchangeability Guidelines and the API Guidelines for SAE Viscosity-Grade Read Across.

API FA-4 oils are not interchangeable or backward compatible with API CK-4, CJ-4, CI-4 PLUS, CI-4, and CH-4 oils. Refer to engine manufacturer recommendations to determine if API FA-4 oils are suitable for use. API FA-4 oils are not recommended for use with fuels having greater than 15 ppm sulfur. For fuels with sulfur contents greater the 15 ppm, refer to engine manufacturer recommendations.

DEOAP is: Reviewing and finalizing user

language Working with API to develop

consumer awareness media plan

Request API LG Ballot API CK-4 and FA-4 for the next generation heavy-duty engine oil category with first licensing December 1st, 2016