[Title 40 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2008 Edition]
[From the U.S. Government Printing Office]



[[Page i]]

          

           40


          Part 790 to End

                         Revised as of July 1, 2008


          Protection of Environment
          



________________________

          Containing a codification of documents of general 
          applicability and future effect

          As of July 1, 2008
          With Ancillaries
                    Published by
                    Office of the Federal Register
                    National Archives and Records
                    Administration
                    A Special Edition of the Federal Register

[[Page ii]]

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                            Table of Contents



                                                                    Page
  Explanation.................................................       v

  Title 40:
          Chapter I--Environmental Protection Agency 
          (Continued)                                                3
          Chapter IV--Environmental Protection Agency and 
          Department of Justice                                   1101
          Chapter V--Council on Environmental Quality             1109
          Chapter VI--Chemical Safety and Hazard Investigation 
          Board                                                   1155
          Chapter VII--Environmental Protection Agency and 
          Department of Defense; Uniform National Discharge 
          Standards for Vessels of the Armed Forces               1191
  Finding Aids:
      Material Approved for Incorporation by Reference........    1203
      Table of CFR Titles and Chapters........................    1207
      Alphabetical List of Agencies Appearing in the CFR......    1227
      List of CFR Sections Affected...........................    1237

[[Page iv]]





                     ----------------------------

                     Cite this Code: CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus, 40 CFR 790.1 refers 
                       to title 40, part 790, 
                       section 1.

                     ----------------------------

[[Page v]]



                               EXPLANATION

    The Code of Federal Regulations is a codification of the general and 
permanent rules published in the Federal Register by the Executive 
departments and agencies of the Federal Government. The Code is divided 
into 50 titles which represent broad areas subject to Federal 
regulation. Each title is divided into chapters which usually bear the 
name of the issuing agency. Each chapter is further subdivided into 
parts covering specific regulatory areas.
    Each volume of the Code is revised at least once each calendar year 
and issued on a quarterly basis approximately as follows:

Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1

    The appropriate revision date is printed on the cover of each 
volume.

LEGAL STATUS

    The contents of the Federal Register are required to be judicially 
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie 
evidence of the text of the original documents (44 U.S.C. 1510).

HOW TO USE THE CODE OF FEDERAL REGULATIONS

    The Code of Federal Regulations is kept up to date by the individual 
issues of the Federal Register. These two publications must be used 
together to determine the latest version of any given rule.
    To determine whether a Code volume has been amended since its 
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Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative 
List of Parts Affected,'' which appears in the Reader Aids section of 
the daily Federal Register. These two lists will identify the Federal 
Register page number of the latest amendment of any given rule.

EFFECTIVE AND EXPIRATION DATES

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citations for the regulations are referred to by volume number and page 
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Code a note has been inserted to reflect the future effective date. In 
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inserted following the text.

OMB CONTROL NUMBERS

    The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires 
Federal agencies to display an OMB control number with their information 
collection request.

[[Page vi]]

Many agencies have begun publishing numerous OMB control numbers as 
amendments to existing regulations in the CFR. These OMB numbers are 
placed as close as possible to the applicable recordkeeping or reporting 
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OBSOLETE PROVISIONS

    Provisions that become obsolete before the revision date stated on 
the cover of each volume are not carried. Code users may find the text 
of provisions in effect on a given date in the past by using the 
appropriate numerical list of sections affected. For the period before 
January 1, 1986, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, or 1973-1985, published in seven separate volumes. For 
the period beginning January 1, 1986, a ``List of CFR Sections 
Affected'' is published at the end of each CFR volume.

INCORPORATION BY REFERENCE

    What is incorporation by reference? Incorporation by reference was 
established by statute and allows Federal agencies to meet the 
requirement to publish regulations in the Federal Register by referring 
to materials already published elsewhere. For an incorporation to be 
valid, the Director of the Federal Register must approve it. The legal 
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This material, like any other properly issued regulation, has the force 
of law.
    What is a proper incorporation by reference? The Director of the 
Federal Register will approve an incorporation by reference only when 
the requirements of 1 CFR part 51 are met. Some of the elements on which 
approval is based are:
    (a) The incorporation will substantially reduce the volume of 
material published in the Federal Register.
    (b) The matter incorporated is in fact available to the extent 
necessary to afford fairness and uniformity in the administrative 
process.
    (c) The incorporating document is drafted and submitted for 
publication in accordance with 1 CFR part 51.
    Properly approved incorporations by reference in this volume are 
listed in the Finding Aids at the end of this volume.
    What if the material incorporated by reference cannot be found? If 
you have any problem locating or obtaining a copy of material listed in 
the Finding Aids of this volume as an approved incorporation by 
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20408, or call 202-741-6010.

CFR INDEXES AND TABULAR GUIDES

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also included in this volume.
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that volume.
    The Federal Register Index is issued monthly in cumulative form. 
This index is based on a consolidation of the ``Contents'' entries in 
the daily Federal Register.
    A List of CFR Sections Affected (LSA) is published monthly, keyed to 
the revision dates of the 50 CFR titles.

[[Page vii]]


REPUBLICATION OF MATERIAL

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INQUIRIES

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    Raymond A. Mosley,
    Director,
    Office of the Federal Register.
    July 1, 2008.







[[Page ix]]



                               THIS TITLE

    Title 40--Protection of Environment is composed of thirty-one 
volumes. The parts in these volumes are arranged in the following order: 
parts 1-49, parts 50-51, part 52 (52.01-52.1018), part 52 (52.1019-End), 
parts 53-59, part 60 (60.1-End), part 60 (Appendices), parts 61-62, part 
63 (63.1-63.599), part 63 (63.600-63.1199), part 63 (63.1200-63.1439), 
part 63 (63.1440-63.6175), part 63 (63.6580-63.8830), part 63 (63.8980-
End) parts 64-71, parts 72-80, parts 81-84, part 85-Sec.  86.599-99, 
part 86 (86.600-1-End), parts 87-99, parts 100-135, parts 136-149, parts 
150-189, parts 190-259, parts 260-265, parts 266-299, parts 300-399, 
parts 400-424, parts 425-699, parts 700-789, and part 790 to End. The 
contents of these volumes represent all current regulations codified 
under this title of the CFR as of July 1, 2008.

    Chapter I--Environmental Protection Agency appears in all thirty-one 
volumes. Regulations issued by the Council on Environmental Quality, 
including an Index to Parts 1500 through 1508, appear in the volume 
containing part 790 to End. The OMB control numbers for title 40 appear 
in Sec.  9.1 of this chapter.

    For this volume, Michele Bugenhagen was Chief Editor. The Code of 
Federal Regulations publication program is under the direction of 
Michael L. White, assisted by Ann Worley.

[[Page 1]]



                   TITLE 40--PROTECTION OF ENVIRONMENT




                  (This book contains part 790 to End)

  --------------------------------------------------------------------
                                                                    Part

chapter i--Environmental Protection Agency (Continued)......         790

chapter iv--Environmental Protection Agency and Department 
  of Justice................................................        1400

chapter v--Council on Environmental Quality.................        1500

chapter vi--Chemical Safety and Hazard Investigation Board..        1600

chapter vii--Environmental Protection Agency and Department 
  of Defense; Uniform National Discharge Standards for 
  Vessels of the Armed Forces...............................        1700

[[Page 3]]



         CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY (CONTINUED)




  --------------------------------------------------------------------


  Editorial Note: Nomenclature changes to chapter I appear at 65 FR 
47324, 47325, Aug. 2, 2000, and 66 FR 34375, 34376, June 28, 2001.

         SUBCHAPTER R--TOXIC SUBSTANCES CONTROL ACT (CONTINUED)
Part                                                                Page
790             Procedures governing testing consent 
                    agreements and test rules...............           5
791             Data reimbursement..........................          26
792             Good laboratory practice standards..........          33
795             Provisional test guidelines.................          46
796             Chemical fate testing guidelines............          80
797             Environmental effects testing guidelines....         101
798             Health effects testing guidelines...........         141
799             Identification of specific chemical 
                    substance and mixture testing 
                    requirements............................         226
                       SUBCHAPTERS S-T [RESERVED]
                  SUBCHAPTER U--AIR POLLUTION CONTROLS
1033            Control of emissions from locomotives.......         476
1039            Control of emissions from new and in-use 
                    nonroad compression-ignition engines....         550
1042            Control of emissions from new and in-use 
                    marine compression-ignition engines and 
                    vessels.................................         628
1048            Control of emissions from new, large nonroad 
                    spark-ignition engines..................         702
1051            Control of emissions from recreational 
                    engines and vehicles....................         764
1065            Test procedures and equipment...............         827
1068            General compliance provisions for nonroad 
                    programs................................        1058

[[Page 5]]



          SUBCHAPTER R_TOXIC SUBSTANCES CONTROL ACT (CONTINUED)


PART 790_PROCEDURES GOVERNING TESTING CONSENT AGREEMENTS AND TEST RULES--Table of Contents

                      Subpart A_General Provisions

Sec.
790.1 Scope, purpose, and authority.
790.2 Applicability.
790.3 Definitions.
790.5 Submission of information.
790.7 Confidentiality.

  Subpart B_Procedures for Developing Consent Agreements and Test Rules

790.20 Recommendation and designation of testing candidates by the ITC.
790.22 Procedures for gathering information and negotiating consent 
          agreements on chemicals which the ITC has recommended for 
          testing with an intent to designate.
790.24 Criteria for determining whether a consensus exists concerning 
          the provisions of a draft consent agreement.
790.26 Initiation and completion of rulemaking proceedings on ITC-
          designated chemicals.
790.28 Procedures for developing consent agreements and/or test rules 
          for chemicals that have not been designated or recommended 
          with intent to designate by the ITC.

  Subpart C_Implementation, Enforcement, and Modification of Test Rules

790.40 Promulgation of test rules.
790.42 Persons subject to a test rule.
790.45 Submission of letter of intent to conduct testing or exemption 
          application.
790.48 Procedure if no one submits a letter of intent to conduct 
          testing.
790.50 Submission of study plans.
790.52 Phase II test rule.
790.55 Modification of test standards or schedules during conduct of 
          test.
790.59 Failure to comply with a test rule.

   Subpart D_Implementation, Enforcement and Modification of Consent 
                               Agreements

790.60 Contents of consent agreements.
790.62 Submission of study plans and conduct of testing.
790.65 Failure to comply with a consent agreement.
790.68 Modification of consent agreements.

                  Subpart E_Exemptions From Test Rules

790.80 Submission of exemption applications.
790.82 Content of exemption application.
790.85 Submission of equivalence data.
790.87 Approval of exemption applications.
790.88 Denial of exemption application.
790.90 Appeal of denial of exemption application.
790.93 Termination of conditional exemption.
790.97 Hearing procedures.
790.99 Statement of financial responsibility.

Appendix A to Subpart E--Schedule for Developing Consent Agreements and 
          Test Rules

    Authority: 15 U.S.C. 2603.



                      Subpart A_General Provisions



Sec.  790.1  Scope, purpose, and authority.

    (a) This part establishes procedures for gathering information, 
conducting negotiations, and developing and implementing test rules or 
consent agreements on chemical substances and mixtures under section 4 
of TSCA.
    (b) Section 4 of the Act authorizes EPA to require manufacturers and 
processors of chemical substances and mixtures to test these chemicals 
to determine whether they have adverse health or environmental effects. 
Section 4 (a) empowers the Agency to promulgate rules which require such 
testing. In addition, EPA has implied authority to enter into 
enforceable consent agreements requiring testing where they provide 
procedural safeguards equivalent to those that apply where testing is 
conducted by rule.
    (c) EPA intends to use enforceable consent agreements to accomplish 
testing where a consensus exists among EPA, affected manufacturers and/
or processors, and interested members of the public concerning the need 
for and scope of testing. If such a consensus does not exist and the 
Agency believes that it can make the findings specified in section 4(a), 
EPA will initiate proceedings to promulgate test rules which will be 
codified in part 799 of this chapter.

[[Page 6]]

    (d) Appendix A to this part presents timetables for various steps in 
the evaluation of chemicals under consideration for testing, the 
initiation and completion of negotiations to develop consent agreements, 
and the proposal and promulgation of test rules. All deadlines which are 
imposed by the Act are binding on EPA and will be observed by the 
Agency. The remaining deadlines represent target dates that EPA intends 
to meet.

[51 FR 23712, June 30, 1986]



Sec.  790.2  Applicability.

    This part is applicable to manufacturers and processors of chemical 
substances or mixtures who are subject to the testing requirements of a 
consent agreement or a rule under section 4(a) of the Act. The 
procedures for test rules are applicable to each test rule in part 799 
or this chapter unless otherwise stated in specific test rules in part 
799 of this chapter.

[51 FR 23712, June 30, 1986]



Sec.  790.3  Definitions.

    Terms defined in the Act and not explicitly defined herein are used 
with the meaning given in the Act. For the purpose of this part:
    Act means the Toxic Substances Control Act, 15 U.S.C. 2601 et seq.
    Additive means a chemical substance that is intentionally added to 
another chemical substance to improve its stability or impart some other 
desirable quality.
    Chemical means a chemical substance or mixture.
    Consortium means an association of manufacturers and/or processors 
who have made an agreement to jointly sponsor testing.
    EPA means the U.S. Environmental Protection Agency.
    Equivalence data means chemical data or biological test data 
intended to show that two substances or mixtures are equivalent.
    Equivalent means that a chemical substance or mixture is able to 
represent or substitute for another in a test or series of tests, and 
that the data from one substance can be used to make scientific and 
regulatory decisions concerning the other substance.
    Exemption means an exemption from a testing requirement of a test 
rule promulgated under section 4 of the Act and part 799 of this 
chapter.
    Impurity means a chemical substance which is uninitentionally 
present with another chemical substance.
    Joint sponsor means a person who sponsors testing pursuant to 
section 4(b)(3)(A) of the Act.
    Joint sponsorship means the sponsorship of testing by two or more 
persons in accordance with section

4(b)(3)(A) of the Act.
    Person means an individual, partnership, corporation, association, 
scientific or academic establishment, or organizational unit thereof, 
and any other legal entity.
    Principal sponsor means an individual sponsor or the joint sponsor 
who assumes primary responsibility for the direction of a study and for 
oral and written communication with EPA.
    Protocol means the plan and procedures which are to be followed in 
conducting a test.
    Reimbursement period refers to a period that begins when the data 
from the last non-duplicative test to be completed under a test rule are 
submitted to EPA and ends after an amount of time equal to that which 
had been required to develop data or after five years, whichever is 
later.
    Sponsor means the person or persons who design, direct and finance 
the testing of a substance or mixture.
    Test substance means the form of chemical substance or mixture that 
is specified for use in testing.

[49 FR 39782, Oct. 10, 1984, as amended at 51 FR 23712, June 30, 1986]



Sec.  790.5  Submission of information.

    (a) All submissions to EPA under this part must bear the Code of 
Federal Regulations (CFR) section number of the subject chemical test 
rule, or indicate the identity of the consent agreement. For all 
submissions under this part, six copies must be provided to EPA.
    (b) Submissions containing both confidential business information or 
non-confidential business information must be addressed to the Document 
Control Office (DCO) (7407M), Office of Pollution Prevention and Toxics 
(OPPT),

[[Page 7]]

Environmental Protection Agency, 1200 Pennsylvania Ave., NW., 
Washington, DC 20460-0001, ATTN: TSCA Section 4.

[50 FR 20656, May 17, 1985, as amended at 51 FR 23712, June 30, 1986; 58 
FR 34205, June 23, 1993; 60 FR 31922, June 19, 1995; 60 FR 34466, July 
3, 1995; 71 FR 33642, June 12, 2006]



Sec.  790.7  Confidentiality.

    (a) Any person subject to the requirements of a consent agreement or 
a test rule under section 4 of the Act may assert a claim of 
confidentiality for certain information submitted to EPA in response to 
the consent agreement or the test rule. Any information claimed as 
confidential will be treated in accordance with the procedures in part 2 
of this title and section 14 of the Act. Failure to assert a claim of 
confidentiality at the time the information is submitted will result in 
the information being made available to the public without further 
notice to the submitter.
    (b) A claim of confidentiality must be asserted by circling or 
otherwise marking the specific information claimed as confidential and 
designating it with the words ``confidential business information,'' 
``trade secret,'' or another appropriate phrase indicating its 
confidential character.
    (c) If a person asserts a claim of confidentiality for study plan 
information described in Sec. Sec.  790.50(c)(1)(iii)(D), (iv), (v), and 
(vi) and 790.62(b)(6), (7), (8), (9), and (10), the person must provide 
a detailed written substantiation of the claim by answering the 
questions in this paragraph. Failure to provide written substantiation 
at the time the study plan information is submitted will be considered a 
waiver of the claim of confidentiality, and the study plan information 
will be disclosed to the public without further notice.
    (1) Would disclosure of the study plan information disclose 
processes used in the manufacture or processing of a chemical substance 
or mixture? Describe how this would occur.
    (2) Would disclosure of the study plan information disclose the 
portion of a mixture comprised by any of the substances in the mixture? 
Describe how this would occur.
    (3) What harmful effects to your competitive position, if any, do 
you think would result from disclosure of this information? How would a 
competitor use such information? How substantial would the harmful 
effects be? What is the causal relationship between disclosure and the 
harmful effects?
    (4) For what period of time should confidential treatment be given? 
Until a specific date, the occurrence of a specific event, or 
permanently? Why?
    (5) What measures have you taken to guard against disclosure of this 
information to others?
    (6) To what extent has this information been disclosed to others? 
What precautions have been taken in connection with such disclosures?
    (7) Has this information been disclosed to the public in any forms? 
Describe the circumstances.
    (8) Has the information been disclosed in a patent?
    (9) Has EPA, another Federal agency, or any Federal court made any 
pertinent confidentiality determination regarding this information? If 
so, copies of such determinations must be included in the 
substantiation.
    (d) If the substantiation provided under paragraph (c) of this 
section contains information which the submitter considers confidential, 
the submitter must assert a separate claim of confidentiality for that 
information at the time of submission in accordance with paragraph (b) 
of this section.

[49 FR 39782, Oct. 10, 1984, as amended at 51 FR 23713, June 30, 1986]



  Subpart B_Procedures for Developing Consent Agreements and Test Rules

    Source: 51 FR 23713, June 30, 1986, unless otherwise noted.



Sec.  790.20  Recommendation and designation of testing candidates by the ITC.

    (a) Recommendations with intent to designate. The ITC has advised 
EPA that it will discharge its responsibilities under section 4(e) of 
the Act in the following manner:
    (1) When the ITC identifies a chemical substance or mixture that it 
believes should receive expedited consideration by EPA for testing, the 
ITC

[[Page 8]]

may add the substance or mixture to its list of chemicals recommended 
for testing and include a statement that the ITC intends to designate 
the substance or mixture for action by EPA in accordance with section 
4(e)(1)(B) of the Act.
    (2) Chemical substances or mixtures selected for expedited review 
under paragraph (a)(1) of this section may, at a later time, be 
designated for EPA action within 12 months of such designation. The 
ITC's subsequent decision would be based on the ITC's review of TSCA 
sections 8(a) and 8(d) data and other relevant information.
    (3) Where the ITC concludes that a substance or mixture warrants 
testing consideration but that expedited EPA review of testing needs is 
not justified, the ITC will add the substance or mixture to its list of 
testing recommendations without expressing an intent to designate the 
substance or mixture for EPA action in accordance with section 
4(e)(1)(B) of the Act.
    (4) The ITC reserves its right to designate any chemical that it 
determines the Agency should, within 12 months of the date first 
designated, initiate a proceeding under section 4(a) of the Act.
    (b) EPA consideration of ITC recommendations. (1) Where a substance 
or mixture is designated for EPA action under section 4(e)(1)(B) of the 
Act, the Agency will take either one of the following actions within 12 
months after receiving the ITC designation:
    (i) Initiate rulemaking proceedings under section 4(a) of the Act.
    (ii) Publish a Federal Register notice explaining the Agency's 
reasons for not initiating such rulemaking proceedings. EPA may conclude 
that rulemaking proceedings under section 4(a) of the Act are 
unnecessary if it determines that the findings specified in section 4(a) 
of the Act cannot be made or if the Agency has entered into a consent 
agreement requiring testing in accordance with the provisions of this 
subpart.
    (2) Where a substance or mixture has been recommended for testing by 
the ITC without an intent to designate, EPA will use its best efforts to 
act on the ITC's recommendations as rapidly as possible consistent with 
its other priorities and responsiblities. EPA may respond to the ITC's 
recommendations either by:
    (i) Initiating rulemaking proceedings under section 4(a) of the Act.
    (ii) Publishing a Federal Register notice explaining the Agency's 
reasons for concluding that testing is unnecessary.
    (iii) Entering into a consent agreement in accordance with this 
subpart.



Sec.  790.22  Procedures for gathering information and negotiating consent agreements on chemicals which the ITC has recommended for testing with an intent to 
          designate.

    (a) Preliminary EPA evaluation. Following receipt of an ITC report 
containing a recommendation with an intent to designate, EPA will use 
the following procedure for completing a preliminary evaluation of 
testing needs. Appendix A \1\ to this part presents the schedule that 
EPA intends to follow for this purpose.
---------------------------------------------------------------------------

    \1\ Editorial Note: Appendix A appears at the end of subpart E.
---------------------------------------------------------------------------

    (1) EPA will publish the ITC report in the Federal Register and 
announce that interested persons have 30 days to submit comments on the 
ITC's testing recommendations.
    (2) EPA will publish a Federal Register notice adding all ITC-
recommended chemicals to the automatic reporting provisions of its rules 
under sections 8(a) and 8(d) of the Act (40 CFR parts 712 and 716).
    (3) EPA will hold a public ``focus meeting'' to discuss the ITC's 
testing recommendations and obtain comments and information from 
interested parties.
    (4) EPA will evaluate submissions received under the sections 8(a) 
and 8(d) reporting requirements, comments filed on the ITC's 
recommendations, and other information and data compiled by the Agency.
    (5) EPA will make a preliminary staff determination of the need for 
testing and, where testing appears warranted, will tentatively select 
the studies to be performed.
    (6) EPA will hold a public meeting to announce its preliminary 
testing determinations.

[[Page 9]]

    (b) Negotiation procedures for consent agreements. Where EPA 
believes that testing is necessary, the Agency will explore whether a 
consent agreement can be negotiated that satisfies the testing needs 
identified by the Agency. EPA will use the following procedures for 
negotiating, formulating and accepting consent agreements. Appendix A 
\1\ to this part presents the schedule that EPA intends to follow for 
this purpose.
    (1) In the Federal Register notice described in paragraph (a)(1) of 
this section, EPA will explain its procedures and timetable for 
negotiating consent agreements and invite persons interested in 
participating in or monitoring negotiations to contact the Agency in 
writing.
    (2) Persons who respond to EPA's notice by the announced date of the 
Agency's course-setting meeting will be deemed ``interested parties'' 
for purposes of any negotiations that EPA conducts.
    (3) Following the course-setting meeting announcing EPA's 
preliminary testing determinations, the Agency will meet with 
manufacturers, processors and other interested parties for the purpose 
of attempting to negotiate a consent agreement. To facilitate attendance 
at these meetings, EPA will contact all interested parties who have 
expressed a desire to participate in or monitor negotiations under 
paragraph (b)(2) of this section and advise them of meeting dates.
    (4) All negotiating meetings will be open to members of the public. 
The minutes of each meeting will be prepared by EPA. Meeting minutes, 
testing proposals, background documents and other materials exchanged at 
or prepared for negotiating meetings will be included in the public file 
established by EPA on each ITC-recommended chemical. Materials in this 
file will be made available for inspection in the OPPTS Reading Room 
during EPA working hours.
    (5) While negotiations are underway, EPA will promptly circulate 
meeting minutes, testing proposals, correspondence and other relevant 
materials to interested parties who expressed a desire to participate in 
or monitor negotiations pursuant to paragraph (b)(2) of this section.
    (6) As negotiations progress, EPA will make a tentative decision 
either to proceed with formulation of a consent agreement or to initiate 
rulemaking. EPA will terminate negotiations after 10 weeks and proceed 
with rulemaking unless negotiations are likely to result in a draft 
consent agreement within 4 additional weeks. By the end of this 4-week 
period, EPA either will have prepared a draft consent agreement 
reflecting the apparent consensus of the parties or will terminate 
negotiations and proceed with rulemaking. If EPA decides to proceed with 
rulemaking, no further opportunity for negotiations will be provided. 
EPA will promptly send written notice to all interested parties of the 
termination of negotiations.
    (7) Where EPA prepares a draft consent agreement, it will be 
circulated for comment to all interested parties who expressed a desire 
to participate in or monitor negotiations under paragraph (b)(2) of this 
section. A period of 4 weeks will be provided for submitting comments or 
written objections under Sec.  790.24(a).
    (8) If necessary, EPA will hold a public meeting to discuss comments 
on the draft consent agreement and to determine whether revisions in the 
agreement are appropriate.
    (9) Where a consensus exists concerning the contents of a draft 
consent agreement, it will be circulated to EPA management and 
interested parties for final approval and signature.
    (10) Upon final approval of a consent agreement, EPA will publish a 
Federal Register notice that summarizes the agreement, describes the ITC 
recommendations for the test substance, outlines the chemical's use and 
exposure characteristics, and explains the background, objectives and 
rationale of the testing to be conducted, and codifies in subpart C of 
part 799 the name of the substance(s) to be tested and the citation to 
the Federal Register notice of the agreement.

[[Page 10]]



Sec.  790.24  Criteria for determining whether a consensus exists concerning the provisions of a draft consent agreement.

    (a) EPA will enter into consent agreements only where there is a 
consensus among the Agency, one or more manufacturers and/or processors 
who agree to conduct or sponsor the testing, and all other interested 
parties who identify themselves in accordance with Sec.  790.22(b)(2). 
EPA will not enter into a consent agreement in either of the following 
circumstances:
    (1) EPA and affected manufacturers and/or processors cannot reach a 
consensus on the testing requirements or other provisions to be included 
in the consent agreement.
    (2) A draft consent agreement is considered inadequate by other 
interested parties who, pursuant to Sec.  790.22(b)(2), have asked to 
participate in or monitor negotiations; and these parties have submitted 
timely written objections to the draft consent agreement which provide a 
specific explanation of the grounds on which the draft agreement is 
objectionable.
    (b) EPA may reject objections described in paragraph (a)(2) of this 
section only where the Agency concludes the objections are either:
    (1) Not made in good faith.
    (2) Untimely.
    (3) Do not involve the adequacy of the proposed testing program or 
other features of the agreement that may affect EPA's ability to fulfill 
the goals and purposes of the Act.
    (4) Not accompanied by a specific explanation of the grounds on 
which the draft agreement is considered objectionable.
    (c) The unwillingness of some manufacturers and/or processors of a 
prospective test chemical to sign the draft consent agreement does not, 
in itself, establish a lack of consensus if EPA concludes that those 
manufacturers and/or processors who are prepared to sign the agreement 
are capable of accomplishing the testing to be required and that the 
draft agreement will achieve the purposes of the Act in all other 
respects.



Sec.  790.26  Initiation and completion of rulemaking proceedings on ITC-designated chemicals.

    (a) Where EPA concludes that a consensus does not exist concerning 
the provisions of a draft consent agreement and that the findings 
specified by section 4(a) can be made, the Agency will proceed with 
rulemaking under section 4(a) of TSCA.
    (b) When EPA decides to proceed with rulemaking under paragraph (a) 
of this section, the Agency intends to publish a rulemaking proposal and 
a final rule or a notice terminating the rulemaking proceeding in 
accordance with the schedule specified in Appendix A \1\ to this part.
---------------------------------------------------------------------------

    \1\ Editorial Note: Appendix A appears at the end of subpart E.
---------------------------------------------------------------------------

    (c) Where the testing recommendations of the ITC raise unusually 
complex and novel issues that require additional Agency review and 
opportunity for public comment, the Agency may publish an Advance Notice 
of Proposed Rulemaking (ANPR). The schedule that EPA intends to follow 
for rulemaking proceedings initiated by publication of an ANPR is 
presented in appendix A \1\ to this part.



Sec.  790.28  Procedures for developing consent agreements and/or test rules for chemicals that have not been designated or recommended with intent to designate 
          by the ITC.

    (a) Where EPA believes that testing is needed, it may also develop 
consent agreements and/or test rules on chemical substances or mixtures 
that either:
    (1) Have been recommended but not ``recommended with intent to 
designate'' by the ITC.
    (2) Have been selected for testing consideration by EPA on its own 
initiative.
    (b) When EPA wishes to initiate negotiations concerning chemicals 
described in paragraph (a) of this section, it will publish a Federal 
Register notice describing its tentative evaluation of testing needs, 
announcing a date for a public course-setting meeting, and inviting 
persons interested in participating in or monitoring negotiations to

[[Page 11]]

contact the Agency in writing. Any negotiations that EPA conducts will 
conform to the procedures specified in Sec.  790.22(b) and, to the 
extent feasible, will follow the schedules presented in appendix A \1\ 
to this part.
    (c) EPA will enter into consent agreements on chemicals described in 
paragraph (a) of this section only if there is a consensus among EPA, 
affected manufacturers and/or processors, and any other persons who have 
asked to participate in or monitor negotiations. In determining whether 
such a consensus exists, EPA will employ the criteria specified in Sec.  
790.24. In the absence of consensus, EPA will initiate rulemaking if it 
concludes that the findings specified in section 4(a) of the Act can be 
made. The schedule for initiating and completing such rulemaking 
proceedings will, to the extent feasible, follow the schedule specified 
in appendix A \1\ to this part.
---------------------------------------------------------------------------

    \1\ Editorial Note: Appendix A appears at the end of subpart E.
---------------------------------------------------------------------------



  Subpart C_Implementation, Enforcement, and Modification of Test Rules

    Source: 50 FR 20657, May 17, 1985, unless otherwise noted. 
Redesignated at 51 FR 23713, June 30, 1986.



Sec.  790.40  Promulgation of test rules.

    (a) If EPA determines that it is necessary to test a chemical 
substance or mixture by rule under section 4 of the Act, it will 
promulgate a test rule in part 799 of this chapter.
    (b) EPA will promulgate specific test rules in part 799 of this 
chapter either by a single-phase rulemaking procedure or by a two-phase 
rulemaking procedure.
    (1) Under single-phase test rule development, EPA will promulgate a 
test rule in part 799 of this chapter through a notice and comment 
rulemaking which specifies the following:
    (i) Identification of the chemical for which testing is required 
under the rule.
    (ii) The health or environmental effect or effects or other 
characteristics for which testing is being required.
    (iii) Which test substance(s) must be tested.
    (iv) Standards for the development of test data.
    (v) The EPA Good Laboratory Practice requirements for the required 
testing.
    (vi) Schedule for submission of interim reports and/or final reports 
to EPA.
    (vii) Who must submit either letters of intent to conduct testing or 
exemption applications.
    (viii) What types of data EPA will examine in determining 
equivalence if more than one test substance is to be tested.
    (2) Under two-phase test rule development, EPA will promulgate a 
Phase I test rule in part 799 of this chapter through a notice and 
comment rulemaking which specifies the following:
    (i) Identification of the chemical for which testing is required 
under the rule.
    (ii) The health or environmental effect or effects or other 
characteristics for which testing is being required.
    (iii) Which test substance(s) must be tested.
    (iv) A reference to appropriate guidelines for the development of 
test data.
    (v) The EPA Good Laboratory Practice requirements for the required 
testing.
    (vi) Who must submit either letters of intent to conduct testing and 
study plans, or exemption applications.
    (vii) What types of data EPA will examine in determining equivalence 
if more than one test substance is to be tested.
    (3) Under two-phase test rule development, test standards and 
schedules will be developed in a second phase of rulemaking as described 
in Sec. Sec.  790.50 and 790.52.

[50 FR 20657, May 17, 1985. Redesignated and amended at 51 FR 23713, 
June 30, 1986; 54 FR 36313, Sept. 1, 1989]



Sec.  790.42  Persons subject to a test rule.

    (a) Each test rule described in Sec.  790.40 will specify whether 
manufacturers, processors, or both are subject to the requirement for 
testing of the subject chemical under section 4(b)(3)(B) of the

[[Page 12]]

Act and will indicate who will be required to submit letters of intent 
to conduct testing.
    (1) If testing is being required to allow evaluation of risks:
    (i) Primarily associated with manufacture of the chemical, or
    (ii) Associated with both manufacturer and processing of the 
chemical, or
    (iii) Associated with distribution in commerce, use, and/or disposal 
activities concerning the chemical, each manufacturer of the chemical 
will be subject and must comply with the requirements of the test rule.
    (2) While legally subject to the test rule in circumstances 
described in paragraphs (a)(1) (ii) and (iii) of this section, 
processors of the chemical must comply with the requirements of the test 
rule only if processors are directed to do so in a subsequent notice as 
set forth in Sec.  790.48(b).
    (3) If testing is being required to allow evaluation of risks 
associated solely with processing of the chemical, processors will be 
subject and must comply with the requirements of the test rule.
    (4) While legally subject to the test rule in circumstances 
described in paragraph (a)(1) of this section, persons who manufacture 
less than 500 kg (1,100 lb) of the chemical annually during the period 
from the effective date of the test rule to the end of the reimbursement 
period, must comply with the requirements of the test rule only if such 
manufacturers are directed to do so in a subsequent notice as set forth 
in Sec.  790.48, or if directed to do so in a particular test rule.
    (5) While legally subject to the test rule in circumstances 
described in paragraph (a)(1) of this section, persons who manufacture 
small quantities of the chemical solely for research and development 
(meaning quantities that are not greater than those necessary for 
purposes of scientific experimentation or analysis or chemical research 
on, or analysis of, such chemical or another chemical, including such 
research or analysis for development of a product) from the effective 
date of the test rule to the end of the reimbursement period, must 
comply with the requirements of the test rule only if such manufacturers 
are directed to do so in subsequent notice set forth in Sec.  790.48, or 
if directed to do so in a particular test rule.
    (6) If testing is being required to allow evaluation of risks 
associated primarily with manufacture of a chemical for research and 
development (R & D) purposes, manufacturers of the chemical for R & D 
will be subject and must comply with the requirements of the test rule.
    (b) [Reserved]

[50 FR 20657, May 17, 1985. Redesignated at 51 FR 23713, June 30, 1986, 
and amended at 55 FR 18884, May 7, 1990]



Sec.  790.45  Submission of letter of intent to conduct testing or exemption application.

    (a) No later than 30 days after the effective date of a test rule 
described in Sec.  790.40, each person subject to that rule and required 
to comply with the requirements of that rule as provided in Sec.  
790.42(a) must, for each test required, either notify EPA by letter of 
his or her intent to conduct testing or submit to EPA an application for 
an exemption from testing requirements for the test.
    (b) EPA will consider letters of intent to test as commitments to 
sponsor the tests for which they are submitted unless EPA agrees to the 
substitution of an exemption application in instances where more than 
one person indicates an intent to sponsor equivalent tests.
    (c) Each letter of intent to conduct testing must include:
    (1) Identification of test rule.
    (2) Name, address, and telephone number of the firm(s) which will be 
sponsoring the tests.
    (3) Name, address, and telephone number of the appropriate 
individual to contact for further information.
    (4) For sponsors participating in a testing consortium--a list of 
all members of the consortium, the signature of an authorized 
representative of each member, and a designation of who is to serve as 
principal sponsor.
    (5) A list of the testing requirements for which the sponsor(s) 
intends to conduct tests.

[[Page 13]]

    (6) If EPA is requiring testing of more than one representative 
substance--which test substance the sponsor(s) intends to use in each of 
the tests.
    (d)(1) Any person not manufacturing or processing the subject 
chemical as of the effective date of the test rule describing in Sec.  
790.40 or by 30 days after the effective date of the rule who, before 
the end of the reimbursement period, manufacturers or processes the test 
chemical and who is subject to and required to comply with the 
requirements of the test rule must submit the letter of intent to test 
or an exemption application required by paragraph (a) of this section by 
the date manufacture or processing begins, or
    (2) When both manufacturers and processors are subject to the rule, 
any person not processing the subject chemical as of the effective date 
of the test rule described in Sec.  790.40 or by 30 days after 
publication of the Federal Register notice described in Sec.  
790.48(b)(2) who, before the end of the reimbursement period, processes 
the test chemical and who is required to comply with the requirements of 
the rule must submit the letter of intent to test or an exemption 
application required by Sec.  790.48(b)(3) of the date processing 
begins.
    (e) Manufacturers subject to a test rule described in Sec.  790.40 
who do not submit to EPA either a letter of their intent to conduct 
tests or a request for an exemption from testing for each test for which 
testing is required in the test rule will be considered in violation of 
that rule beginning on the 31st day after the effective date of the test 
rule described in Sec.  790.40 or on the date manufacture begins as 
described in paragraph (d) of this section.
    (f) Processors subject to a test rule described in Sec.  790.40 and 
required to comply with the requirements of test rule pursuant to Sec.  
790.42(a)(2) or a Federal Register notice as described in Sec.  
790.48(b)(2) who do not submit to EPA either a letter of their intent to 
conduct tests or a request for an exemption for each test for which 
testing is required in the test rule will be considered in violation of 
that rule beginning on the 31st day after the effective date of the test 
rule described in Sec.  790.40 or 31 days after publication of the 
Federal Register notice described in Sec.  790.48(b)(2) or on the date 
processing begins as described in paragraph (d) of this section, as 
appropriate.



Sec.  790.48  Procedure if no one submits a letter of intent to conduct testing.

    (a) If only manufacturers are subject to the rule. (1) This 
paragraph applies if testing is being required solely to allow 
evaluation of risks associated with manufacturing and the test rule 
described in Sec.  790.40 states that manufacturers only are responsible 
for testing.
    (2) If no manufacturer subject to the test rule has notified EPA of 
its intent to conduct one or more of the required tests within 30 days 
after the effective date of the test rule described in Sec.  790.40, EPA 
will notify all manufacturers, including those described in Sec.  
790.42(a)(4) and (a)(5), by certified mail or by publishing a notice of 
this fact in the Federal Register specifying the tests for which no 
letter of intent has been submitted and will give such manufacturers an 
opportunity to take corrective action.
    (3) If no manufacturer submits a letter of intent to conduct one or 
more of the required tests within 30 days after receipt of the certified 
letter or publication of the Federal Register notice described in 
paragraph (a)(2) of this section, all manufacturers subject to the rule 
will be in violation of the test rule from the 31st day after receipt of 
the certified letter or publication of the Federal Register notice 
described in this paragraph.
    (b) If manufacturers and processors are subject to the rule. (1) 
This paragraph applies if testing is being required to allow evaluation 
of risks associated with manufacturing and processing or with 
distribution in commerce, use, or disposal of the chemical and the test 
rule described in Sec.  790.40 states that manufacturers and processors 
are responsible for testing.
    (2) If no manufacturer subject to the rule has notified EPA of its 
intent to conduct testing for one or more of the required tests within 
30 days after the effective date of the test rule described in Sec.  
790.40, EPA will publish a notice in the Federal Register of this fact

[[Page 14]]

specifying the tests for which no letter of intent has been submitted.
    (3) No later than 30 days after the date of publication of the 
Federal Register notice described in paragraph (b)(2) of this section, 
each person described in Sec.  790.40(a)(4) and (5) and each person 
processing the subject chemical as of the effective date of the test 
rule described in Sec.  790.40 or by 30 days after the date of 
publication of the Federal Register notice described in paragraph (b)(2) 
of this section must, for each test specified in the Federal Register 
notice, either notify EPA by letter of his or her intent to conduct 
testing or submit to EPA an application for an exemption from testing 
requirements for the test.
    (4) If no manufacturer or processor of the test chemical has 
submitted a letter of intent to conduct one or more of the required 
tests within 30 days after the date of publication of the Federal 
Register notice described in paragraph (b)(2) of this section, EPA will 
notify all manufacturers and processors by certified letter or publish a 
Federal Register notice of this fact specifying the tests for which no 
letter of intent has been submitted. This letter or Federal Register 
notice will give the manufacturers and processors an opportunity to take 
corrective action.
    (5) If no manufacturer or processor submits a letter of intent to 
conduct one or more of the required tests within 30 days after receipt 
of the certified letter or publication of the Federal Register notice 
described in paragraph (b)(4) of this section, all manufacturers and 
processors subject to the rule will be in violation of the test rule 
from the 31st day after receipt of the certified letter or publication 
of the Federal Register notice described in paragraph (b)(4) of this 
section.
    (c) Only processors are subject to the rule. (1) This paragraph 
applies if testing is being required solely to allow evaluation of risks 
associated with processing and the test rule described in Sec.  790.40 
states that only processors are responsible for testing.
    (2) If no processor subject to the rule has notified EPA of its 
intent to conduct one or more of the required tests within 30 days after 
the effective date of the test rule described in Sec.  790.40, EPA will 
notify all the processors by certified mail or publish a notice in the 
Federal Register of this fact, specifying the tests for which no letter 
of intent has been submitted and give the processors an opportunity to 
take corrective action.
    (3) If no processor submits a letter of intent to conduct one or 
more of the required tests within 30 days after receipt of the certified 
letter or publication of the Federal Register notice described in 
paragraph (c)(2) of this section, all processors subject to the rule 
will be in violation of the test rule from the 31st day after receipt of 
the certified letter or publication of the Federal Register notice 
described in this paragraph.

[50 FR 20657, May 17, 1985. Redesignated at 51 FR 23713, June 30, 1986, 
and amended at 55 FR 18884, May 7, 1990]



Sec.  790.50  Submission of study plans.

    (a) Who must submit study plans. (1) Persons who notify EPA of their 
intent to conduct tests in compliance with the requirements of a single 
phase test rule as described in Sec.  790.40(b)(1) must submit study 
plans for those tests prior to the initiation of each of these tests, 
unless directed by a particular test rule or consent agreement to submit 
study plans at a specific time.
    (2) Persons who notify EPA of their intent to conduct tests in 
compliance with the requirements of a Phase I test rule as described in 
Sec.  790.40(b)(2) must submit the proposed study plans for those tests 
on or before 90 days after the effective date of the Phase I rule; or, 
for processors complying with the notice described in Sec.  
790.48(b)(2), 90 days after the publication date of that notice; or 60 
days after the date manufacture or processing begins as described in 
Sec.  790.45(d), as appropriate, to the address in Sec.  790.5(b).
    (3) Study plans must be prepared according to the requirements of 
this subpart B and part 792 of this chapter. Only one set of study plans 
should be prepared and submitted by persons who are jointly sponsoring 
testing.
    (4) Any person subject to a test rule may submit a study plan for 
any test

[[Page 15]]

required by the rule at any time, regardless of whether the person 
previously submitted an application for exemption from testing for that 
test.
    (5) Unless EPA has granted an extension of time for submission of 
proposed study plans, manufacturers who notify EPA that they intend to 
conduct testing in compliance with the requirements of a Phase I test 
rule as described in Sec.  790.40(b)(2) and who do not submit proposed 
study plans for those tests on or before 90 days after the effective 
date of the Phase I test rule or 60 days after the date manufacture 
begins as described in Sec.  790.45(d) will be considered in violation 
of the test rule as if no letter of intent to test had been submitted.
    (6) Unless EPA has granted an extension of time for submission of 
proposed study plans, processors who notify EPA that they intend to 
conduct testing in compliance with the requirements of a Phase I test 
rule as described in Sec.  790.40(b)(2) and who do not submit proposed 
study plans for those tests on or before 90 days after the effective 
date of the Phase I test rule or 90 days after the publication date of 
the notice described in Sec.  790.48(b)(2), or 60 days after the date 
processing begins as described in Sec.  790.45(d), as appropriate, will 
be considered in violation of the test rule as if no letter of intent to 
test had been submitted.
    (b) Extensions of time for submission of study plans. (1) EPA may 
grant requests for additional time for the development of study plans on 
a case-by-case basis. Requests for additional time for study plan 
development must be made in writing to EPA at the address in Sec.  
790.5(b). Each extension request must state why EPA should grant the 
extension.
    (2) Under two-phase rulemaking, extension requests must be submitted 
to EPA within 60 days after the effective date of the Phase I test rule 
as described in Sec.  790.40(b)(2); or for processors complying with the 
notice described in Sec.  790.48(b)(2), 60 days after the publication 
date of that notice; or 30 days after the date manufacture or processing 
begins as described in Sec.  790.45(d), as appropriate.
    (3) EPA will notify the submitter by certified mail of EPA's 
decision to grant or deny an extension request.
    (4) Persons who have been granted an extension of time for 
submission of study plans as described in paragraph (b)(1) of this 
section and who do not submit proposed study plans in compliance with 
the requirements of a Phase I test rule in accordance with the new 
deadline granted by EPA will be considered in violation of the test rule 
as if no letter of intent to test had been submitted as described in 
Sec.  790.45(e) and (f).
    (c) Content of study plans. (1) All study plans are required to 
contain the following information:
    (i) Identity of the test rule.
    (ii) The specific test requirements of that rule to be covered by 
the study plan.
    (iii)(A) The names and addresses of the test sponsors.
    (B) The names, addresses, and telephone numbers of the responsible 
administrative officials and project manager(s) in the principal 
sponsor's organization.
    (C) The name, address, and telephone number of the appropriate 
individual to contact for oral and written communications with EPA.
    (D)(1) The names and addresses of the testing facilities and the 
names, addresses, and telephone numbers of the testing facilities' 
administrative officials and project manager(s) responsible for the 
testing.
    (2) Brief summaries of the training and experience of each 
professional involved in the study, including study director, 
veterinarian(s), toxicologist(s), pathologist(s), chemist(s), 
microbiologist(s), and laboratory assistants.
    (iv) Identity and data on the chemical substance(s) being tested, 
including physical constants, spectral data, chemical analysis, and 
stability under test and storage conditions, as appropriate.
    (v) Study protocol, including the rationale for any combination of 
test protocols; the rationale for species/strain selection; dose 
selection (and supporting data); route(s) or method(s) of exposure; 
description of diet to be used and its source; including nutrients

[[Page 16]]

and contaminants and their concentrations; for in vitro test systems, a 
description of culture medium and its source; and a summary of expected 
spontaneous chronic diseases (including tumors), genealogy, and life 
span.
    (vi) Schedule for initiation and completion of each short-term test 
and of each major phase of long-term tests; dates for submission of 
interim progress and final reports to EPA that are within the reporting 
deadlines specified by EPA In the final test rule.
    (2) Information required in paragraph (c)(1)(iii)(D) of this section 
is not required in proposed study plans submitted in compliance with the 
requirements of a Phase I test rule if the information is not available 
at the time of study plan submission; however, the information must be 
submitted before the initiation of testing.
    (d) Incomplete study plans. (1) Upon receipt of a study plan, EPA 
will review the study plan to determine whether it complies with 
paragraph (c) of this section. If EPA determines that the study plan 
does not comply with paragraph (c) of this section, EPA will notify the 
submitter that the submission is incomplete and will identify the 
deficiencies and the steps necessary to complete the submission.
    (2) The submitter will have 15 days after the day it receives this 
notice to submit appropriate information to make the study plan 
complete.
    (3) If the submitter fails to provide appropriate information to 
complete a proposed study plan submitted in compliance with the 
requirements of a Phase I test rule on or before 15 days after receipt 
of the notice, the submitter will be considered in violation of the test 
rule as if no letter of intent to conduct the test had been submitted as 
described in Sec.  790.45(e) and (f).
    (e) Amendments to study plans. Test sponsors shall submit all 
amendments to study plans to the Director, Office of Compliance 
Monitoring at the address in Sec.  790.5(d).

[50 FR 20657, May 17, 1985. Redesignated and amended at 51 FR 23713, 
June 30, 1986; 52 FR 36569, Sept. 30, 1987; 54 FR 36313, Sept. 1, 1989; 
55 FR 18884, May 7, 1990; 58 FR 34205, June 23, 1993; 60 FR 34466, July 
3, 1995]



Sec.  790.52  Phase II test rule.

    (a) If EPA determines that the proposed study plan described in 
Sec.  790.50(a)(2) complies with Sec.  790.50(c), EPA will publish a 
proposed Phase II test rule in the Federal Register requesting comments 
on the ability of the proposed study plan to ensure that data from the 
test will be reliable and adequate.
    (b) EPA will provide a 45-day comment period and will provide an 
opportunity for an oral presentation upon the request of any person. EPA 
may extend the comment period if it appears from the nature of the 
issues raised by EPA's review or from public comments that further 
comment is warranted.
    (c) After receiving and considering public comments on the study 
plan, EPA will adopt, as proposed or as modified in response to EPA 
review and public comments, the study protocol section of the study 
plan, as defined by Sec.  790.50(c)(1)(v) of this chapter, as the test 
standard for the required testing, and the schedule section of the study 
plan, as defined by Sec.  790.50(c)(1)(vi) of this chapter, as the 
schedule for the required testing in a final Phase II test rule.

[50 FR 20657, May 17, 1985. Redesignated at 51 FR 23713, June 30, 1986, 
and amended at 52 FR 36569, Sept. 30, 1987]



Sec.  790.55  Modification of test standards or schedules during conduct of test.

    (a) Application. Any test sponsor who wishes to modify the test 
schedule for the mandatory testing conditions or requirements (i.e., 
``shall statements'') in the test standard for any test required by a 
test rule must submit an application in accordance with this paragraph. 
Application for modification must be made in writing to EPA at the 
address in Sec.  790.5(b), or by phone with written confirmation to 
follow within 10 working days. Applications must include an appropriate 
explanation and rationale for the modification. Where a test sponsor 
requests EPA to provide guidance or to clarify a non-mandatory testing 
requirement (i.e., ``should statements'') in a test standard, the test 
sponsor should submit these requests to EPA at the address in Sec.  
790.5(b).

[[Page 17]]

    (b) Adoption. (1) Where EPA concludes that the requested 
modification of a test standard or schedule for a test required under a 
test rule is appropriate, EPA will proceed in accordance with this 
paragraph (b).
    (2) Where, in EPA's judgment, the requested modification of the test 
standard or schedule would not alter the scope of the test or 
significantly change the schedule for completing the test, EPA will not 
ask for public comment before approving the modification. EPA will 
notify the test sponsor by letter of EPA's approval. EPA will place 
copies of each application and EPA approval letter in the rulemaking 
record for the test rule in question. EPA will publish a notice annually 
in the Federal Register indicating the test standards or schedules for 
tests required in test rules which have been modified under this 
paragraph (b)(2) and describing the nature of the modifications. Until 
the Federal Register notice is published, any modification approved by 
EPA under this paragraph (b)(2) shall apply only to the test sponsor who 
applied for the modification under this paragraph (a) of this section.
    (3) Where, in EPA's judgment, the requested modification of a test 
standard or schedule would significantly alter the scope of the test or 
significantly change the schedule for completing the test, EPA will 
publish a notice in the Federal Register requesting comment on the 
proposed modification. However, EPA will approve a requested 
modification of a test standard under paragraph (b)(3) of this section 
without first seeking public comment if EPA believes that an immediate 
modification to the test standard is necessary to preserve the accuracy 
or validity of an ongoing test. EPA may also modify a testing 
requirement or test condition in a test standard if EPA determines that 
the completion or achievement of this requirement or condition is not 
technically feasible. EPA may approve a test schedule extension under 
paragraph (b)(3) of this section without first seeking public comment if 
EPA determines, on a case-by-case basis, that a delay of over 12 months 
is not the fault of the test sponsor and is the result of unforeseen 
circumstances such as a lack of laboratory availability, lack of 
availability of suitable test substance (e.g., 14-C labelled test 
substance), lack of availability of healthy test organisms, or the 
unexpected failure of a long-term test. EPA will publish an annual 
notice in the Federal Register announcing the approval of any test 
standard modifications and test schedule extensions under paragraph 
(b)(3) of this section and provide a brief rationale of why the 
modification was granted.
    (4) For purposes of this paragraph (b), a requested modification of 
a test standard or schedule for a test required under a test rule would 
alter the scope of the test or significantly change the schedule for 
completing the test if the modification would:
    (i) Change the test species.
    (ii) Change the route of administration of the test chemical.
    (iii) Change the period of time during which the test species is 
exposed to the test chemical.
    (iv) Except as provided in paragraph (b)(3) of this section, extend 
the final reporting deadline more than 12 months from the date specified 
in the final rule.
    (c) Disapproval. Where EPA concludes that the requested modification 
of a test standard or schedule for a test required under a test rule is 
not appropriate, EPA will so notify the test sponsor in writing.
    (d) Timing. (1) Test sponsors should submit all applications for 
test schedule modifications at least 60 days before the reporting 
deadline for the test in question.
    (2) EPA will not normally approve any test schedule extensions 
submitted less than 30 days before the reporting deadline for the test 
in question.
    (3) Except as provided in paragraph (b)(3) of this section, EPA may 
grant extensions for up to 1 year but will normally limit extensions to 
a period of time equal to the in-life portion of the test plus 60 days.
    (4) EPA will normally approve only one deadline extension for each 
test.
    (5) Test sponsors should submit requests for test standard 
modifications as soon as they determine that the test

[[Page 18]]

cannot be successfully completed according to the test standard 
specified in the rule.

[50 FR 20657, May 17, 1985. Redesignated at 51 FR 23713, June 30, 1986, 
and amended at 52 FR 36571, Sept. 30, 1987; 54 FR 36314, Sept. 1, 1989; 
60 FR 34466, July 3, 1995]



Sec.  790.59  Failure to comply with a test rule.

    (a) Persons who notified EPA of their intent to conduct a test 
required in a test rule in part 799 of this chapter and who fail to 
conduct the test in accordance with the test standards and schedules 
adopted in the test rule, or as modified in accordance with Sec.  
790.55, will be in violation of the rule.
    (b) Any person who fails or refuses to comply with any aspect of 
this part or a test rule under part 799 of this chapter is in violation 
of section 15 of the Act. EPA will treat violations of the Good 
Laboratory Practice standards as indicated in Sec.  792.17 of this 
chapter.



   Subpart D_Implementation, Enforcement and Modification of Consent 
                               Agreements

    Source: 51 FR 23715, June 30, 1986, unless otherwise noted.



Sec.  790.60  Contents of consent agreements.

    (a) Standard provisions. All consent agreements will contain the 
following provisions:
    (1) Identification of the chemical(s) to be tested.
    (2) The health effects, environmental effects and/or other 
characteristics for which testing will be required.
    (3) The names and addresses of each manufacturer and/or processor 
who will sign the agreement.
    (4) The name and address of the manufacturer, processor or other 
entity who has agreed to act as the principal test sponsor.
    (5) The technical or commercial grade, level of purity or other 
characteristics of the test substances(s) or mixture(s).
    (6) Standards for the development of test data.
    (7) A requirement that testing will be conducted in accordance with 
the EPA Good Laboratory Practice (GLP) regulations (40 CFR part 792).
    (8) Schedules with reasonable deadlines for submitting interim 
progress and/or final reports to EPA.
    (9) A requirement that the principal sponsor will submit a study 
plan to EPA in accordance with Sec.  790.62.
    (10) A statement that the results of testing conducted pursuant to 
the consent agreement will be announced to the public in accordance with 
the procedures specified in section 4(d) of the Act and that the 
disclosure of data generated by such testing will be governed by section 
14(b) of the Act.
    (11) A requirement that the manufacturers and/or processors signing 
the consent agreement will comply with the notification requirements of 
section 12(b)(1) of the Act and part 707 of this chapter if they export 
or intend to export the substance or mixture for which the submission of 
data is required under the agreement and a statement that any other 
person who exports or intends to export such substance or mixture is 
subject to the above cited export notification requirements.
    (12) A requirement that, in the event EPA promulgates a significant 
new use rule applicable to the test chemical under section 5(a)(2), the 
consent agreement will have the status of a test rule for purposes of 
section 5(b)(1)(A) and manufacturers and/or processors signing the 
agreement will comply with the data submission requirements imposed by 
that provision.
    (13) A statement that each manufacturer and/or processor signing the 
agreement agrees that violation of its requirements will constitute a 
``prohibited act'' under section 15(1) of the Act and will trigger all 
provisions of TSCA applicable to a violation of section 15.
    (14) A statement that, in the event one or more provisions of the 
agreement are determined to be unenforceable by a court, the remainder 
of the agreement would not be presumed to be valid and EPA will then 
either initiate a rulemaking proceeding or publish in the Federal 
Register the Administrator's reason for not initiating such a 
proceeding.

[[Page 19]]

    (15) A statement that the Agency may conduct laboratory inspections 
and/or study audits of the testing being conducted pursuant to the 
consent agreement in accordance with the authority and procedures 
contained in section 11 of the Act.
    (16) A statement that EPA acceptance of a consent agreement 
constitutes ``final agency action'' for purposes of 5 U.S.C. 704.
    (17) Any other requirements that the parties agree are necessary to 
achieve the purposes of the Act.
    (b) Contents of standards for the development of data. The standards 
for the development of the data included in consent agreements will be 
based on the TSCA test guidelines in 40 CFR parts 796, 797, and 798, the 
Organization for Economic Cooperation and Development (OECD) test 
guidelines, the EPA pesticide assessment guidelines published by The 
National Technical Information Service (NTIS), or other suitable test 
methodologies. During the negotiation of consent agreements, EPA will 
initially propose suitable test guidelines as the required test 
standards; manufacturers and processors or other interested parties may 
then suggest alternative methodologies or modifications to the Agency's 
proposed guidelines. These alternative methodologies or modifications 
will be adopted only where, in the judgment of EPA, they will develop at 
least equally reliable and adequate data on the chemical substance or 
mixture subject to the agreement.
    (c) Statement of rationale for consent agreement. EPA will prepare a 
written explanation of the basis for each consent agreement. This 
document will summarize the agreement, describe any ITC testing 
recommendations for the chemical involved, outline the chemical's use 
and exposure characteristics, and explain the objectives of the testing 
to be conducted and the rationale for the specific studies selected. 
This document will be published in the Federal Register and, for ITC-
designated chemicals, will constitute the statement of EPA's reasons for 
not initiating rulemaking required by section 4(e)(1)(B) of the Act.

[51 FR 23715, June 30, 1986, as amended at 54 FR 36314, Sept. 1, 1989]



Sec.  790.62  Submission of study plans and conduct of testing.

    (a) Timing of submission. The principal sponsor of testing conducted 
pursuant to a consent agreement shall submit a study plan no later than 
45 days prior to the initiation of testing.
    (b) Content of study plans. All study plans are required to contain 
the following information:
    (1) Identity of the consent agreement under which testing will be 
performed.
    (2) The specific test requirements to be covered by the study plan.
    (3) The name and address of the principal test sponsor.
    (4) The names, addresses, and telephone numbers of the responsible 
administrative official[s] and project manager[s] in the principal 
sponsor's organization.
    (5) The names, addresses, and telephone numbers of the technical 
contacts at each manufacturer and/or processor subject to the agreement.
    (6) The names and addresses of the testing facilities responsible 
for the testing and the names, addresses, and telephone numbers of the 
administrative officials[s] and project manager[s] assigned to oversee 
the testing program at these facilities.
    (7) Brief summaries of the training and experience of each 
professional involved in the study, including study director, 
veterinarian[s], toxicologist[s], pathologist[s], chemist[s], 
microbiologist[s], and laboratory assistants.
    (8) Identity and supporting data on the chemical substance[s] being 
tested, including physical constants, spectral data, chemical analysis, 
and stability under test and storage conditions, as appropriate.
    (9) Study protocol, including the rationale for any combination of 
test protocols; the rationale for species/strain selection; dose 
selection (and supporting data); route(s) or method(s) of exposure; 
description of diet to be used and its source, including nutrients and 
contaminants and their concentrations; for in vitro test systems, a 
description of culture medium and its source; and a summary of expected 
spontaneous chronic diseases (including tumors), genealogy, and life 
span.

[[Page 20]]

    (10) A schedule, with reasonable timeables and deadlines, for 
initiation and completion of each short-term test and of each major 
phases of long-term tests, and submission of interim progress and/or 
final reports to EPA.
    (c) Review and modification. (1) Upon receipt of a study plan, EPA 
will review it to determine whether it complies with paragraph (b) of 
this section. If EPA determines that the study plan does not comply with 
paragraph (b) of this section, EPA will notify the submitter that the 
plan is incomplete and will identify the deficiencies and the steps 
necessary to complete the plan. It is the responsibility of the test 
sponsor to review the study protocols to determine if they comply with 
all the mandatory testing conditions and requirements in the test 
standards (i.e., ``shall statements'').
    (2) The submitter will have 15 days after the day it receives a 
notice under paragraph (c)(1) of this section to submit appropriate 
information to make the study plan complete.
    (3) If the submitter fails to provide appropriate information to 
complete a study plan within 15 days after having received a notice 
under paragraph (c)(1) of this section, the submitter will be considered 
to be in violation of the consent agreement and subject to enforcement 
proceedings pursuant to Sec.  790.65 (c) and (d).
    (4) The test sponsor shall submit any amendments to study plans to 
EPA at the address specified in Sec.  790.5(b).
    (d) Functions of the principal test sponsor. When testing is being 
conducted pursuant to a consent agreement, the principal test sponsor 
will be responsible for submitting interim progress and final reports to 
EPA, informing the Agency of any proposed changes in standards for the 
development of data, study plans or testing schedules, and communicating 
with the Agency about laboratory inspections and other matters affecting 
the progress of testing.

[51 FR 23715, June 30, 1986, as amended at 54 FR 36314, Sept. 1, 1989; 
60 FR 34466, July 3, 1995]



Sec.  790.65  Failure to comply with a consent agreement.

    (a) Manufacturers and/or processors who have signed a consent 
agreement and who fail to comply with the test requirements, test 
standards, GLP regulations, schedules, or other provisions contained in 
the consent agreement, or in modifications to the agreement adopted 
pursuant to Sec.  790.68, will be in violation of the consent agreement.
    (b) The Agency considers failure to comply with any aspect of a 
consent agreement to be a ``prohibited act'' under section 15 of TSCA, 
subject to all of the provisions of the Act applicable to violations of 
section 15. Section 15(1) of TSCA makes it unlawful for any person to 
fail or refuse to comply with any rule or order issued under section 4. 
Consent agreements adopted pursuant to this part are ``orders issued 
under section 4'' for purposes of section 15(1) of TSCA.
    (c) Manufacturers and/or processors who violate consent agreements 
are subject to criminal and/or civil liability. Under the penalty 
provisions of section 16 of TSCA, such firms could be subject to a civil 
penalty of up to $25,000 per violation with each day in violation 
constituting a separate violation of section 15. Intentional violations 
could lead to the imposition of criminal penalties of up to $25,000 for 
each day of violation and imprisonment for up to one year. In addition, 
EPA could invoke the remedies available under section 17 of TSCA, 
including seeking an injunction to compel adherence to the requirements 
of the consent agreement.
    (d) Noncompliance with a consent agreement will constitute conduct 
``in violation of this Act'' under section 20(a)(1) of TSCA. Thus, 
failure to comply with the requirements of a consent agreement could 
result in a citizens' civil action under section 20(a)(1) of TSCA.



Sec.  790.68  Modification of consent agreements.

    (a) Changes in the scope of testing. (1) Manufacturers or processors 
subject to a consent agreement, other persons or EPA may seek 
modifications in the scope of testing performed under the consent 
agreement. If, upon receiving a request for modification, EPA determines 
that new issues have been raised that warrant reconsideration of the 
scope of testing, or if EPA determines

[[Page 21]]

on its own that such reconsideration is appropriate, EPA will publish a 
Federal Register notice describing the proposed modification and 
soliciting public comment. If, based on the comments received, EPA 
concludes that differences of opinion may exist about the proposed 
modification, EPA will establish a schedule for conducting negotiations 
and invite parties who wish to participate in or monitor these 
negotiations to contact the Agency in writing. Any negotiations that EPA 
conducts will conform to the procedures specified in Sec.  790.22(b).
    (2) The scope of testing required by a consent agreement will be 
modified only where there is a consensus concerning the modified testing 
requirements among EPA, affected manufacturers and/or processors, and 
other persons who have asked to participate in or monitor negotiations 
under paragraph (a)(1) of this section. In determining whether a 
consensus exists, EPA will employ the criteria specified in Sec.  
790.24. In the absence of consensus, EPA may initiate rulemaking under 
section 4(a) of the Act if it concludes that any testing beyond that 
required by the consent agreement is necessary and that the other 
statutory findings required by section 4(a) can be made. While such 
rulemaking proceedings are underway, the consent agreement will remain 
in effect unless EPA finds that the testing required by the agreement is 
or may be unnecessary in view of the testing requirements included in 
EPA's proposed rule.
    (b) Changes in test standards or schedules. (1) Any test sponsor who 
wishes to modify the test schedule for any test required under a consent 
order must submit an application in accordance with this paragraph. 
Application for modification must be made in writing to EPA at the 
address in Sec.  790.5(b), or by phone with written confirmation to 
follow within 10 working days. Applications must include an appropriate 
explanation and rationale for the modification. EPA will consider only 
those applications that request modifications to mandatory testing 
conditions or requirements (``shall statements'' in the consent order). 
Where a test sponsor requests EPA to provide guidance or to clarify a 
non-mandatory testing requirement (i.e., ``should statements''), the 
test sponsor should submit these requests to EPA at the address in 
section 790.5(b).
    (2)(i) Where EPA concludes that the requested modification of a test 
standard or schedule for a test required under a consent agreement is 
appropriate, EPA will proceed in accordance with this paragraph (b)(2).
    (ii) Where, in EPA's judgment, the requested modification of a test 
standard or schedule would not alter the scope of the test or 
significantly change the schedule for completing the test, EPA will not 
ask for public comment before approving the modification. EPA will 
notify the test sponsor, and any other persons who have signed the 
consent agreement, by letter of EPA's approval. EPA will place copies of 
each application and EPA approval letter in the administrative record 
maintained for the consent agreement in question. EPA will publish a 
notice annually in the Federal Register indicating the test standards or 
schedules for test required in consent agreements which have been 
modified under this paragraph (b)(2)(ii) and describing the nature of 
the modifications.
    (iii) Where, in EPA's judgment, the requested modification of a test 
standard or schedule would significantly alter the scope of the test or 
significantly change the schedule for completing the test, EPA will 
publish a notice in the Federal Register requesting comment on the 
proposed modification. However, EPA will approve a requested 
modification of a test standard under paragraph (b)(2)(iii) of this 
section without first seeking public comment if EPA believes that an 
immediate modification to the test standard is necessary to preserve the 
accuracy or validity of an ongoing test. EPA also may modify a testing 
requirement or test condition in a test standard if EPA determines that 
the completion or achievement of this requirement or condition is not 
technically feasible. EPA may approve a requested modification of a test 
schedule under paragraph (b)(2)(iii) of this section without first 
seeking public comment if EPA determines, on a case-by-case basis, that 
a delay of over 12 months is not the fault of the test sponsor and is 
due

[[Page 22]]

to unforeseen circumstances such as a lack of laboratory availability, 
lack of availability of suitable test substance (e.g., 14-C labelled 
test substance), lack of availability of healthy test organisms, or the 
unexpected failure of a long-term test. EPA will publish an annual 
notice in the Federal Register announcing the approval of any test 
standard modifications and test scheduled extensions under paragraph 
(b)(2)(iii) of this section, and provide a brief rationale of why the 
modification was granted.
    (iv) For purposes of this paragraph (b)(2), a requested modification 
of a test standard of schedule for a test required under a consent 
agreement would alter the scope of the test or significantly change the 
schedule for completing the test if the modification would:
    (A) Change the test species.
    (B) Change the route of administration of the test chemical.
    (C) Change the period of time during which the test species is 
exposed to the test chemical.
    (D) Except as provided in paragraph (b)(2)(iii) of this section, 
extend the final reporting deadline more than 12 months from the date 
specified in the consent order.
    (3) Where EPA concludes that the requested modification of a test 
standard or schedule for a test requirement under a consent agreement is 
not appropriate, EPA will so notify the test sponsor in writing.
    (c) Timing. (1) Test sponsors should submit all applications for 
test schedule modifications at least 60 days before the reporting 
deadline for the test in question.
    (2) EPA will not normally approve any test schedule extensions 
submitted less than 30 days before the reporting deadline for the test 
in question.
    (3) Except as provided in paragraph (b)(2)(iii) of this section, EPA 
may grant extensions as shown necessary for up to 1 year but will 
normally limit extensions to a period of time equal to the in-life 
portion of the test plus 60 days.
    (4) EPA will normally approve only one deadline extension for each 
test.
    (5) Test sponsors should submit requests for test standard 
modifications as soon as they determine that the test cannot be 
successfully completed according to the test standard specified in the 
consent order.

[51 FR 23715, June 30, 1986, as amended at 52 FR 36571, Sept. 30, 1987; 
54 FR 36314, Sept. 1, 1989; 60 FR 34466, July 3, 1995]



                  Subpart E_Exemptions From Test Rules

    Source: 50 FR 20660, May 17, 1985, unless otherwise noted.



Sec.  790.80  Submission of exemption applications.

    (a) Who should file applications. (1) Any manufacturer or processor 
subject to a test rule in part 799 of this chapter may submit an 
application to EPA for an exemption from performing any or all of the 
tests required under the test rule.
    (2) Processors will not be required to apply for an exemption or 
conduct testing unless EPA so specifies in a test rule or in a special 
Federal Register notice as described in Sec.  790.48(b)(2) under the 
following circumstances:
    (i) If testing is being required to allow evaluation of risks 
associated with manufacturing and processing or with distribution in 
commerce, use, or disposal of the chemical and manufacturers do not 
submit notice(s) of intent to conduct the required testing; or
    (ii) If testing is being required solely to allow evaluation of 
risks associated with processing of the chemical.
    (b) When applications must be filed. (1) Exemption applications must 
be filed within 30 days after the effective date of the test rule 
described in Sec.  790.40 or, if being submitted in compliance with the 
Federal Register notice described in Sec.  790.48(b)(2), within 30 days 
after the publication of that notice.
    (2) Exemption applications must be filed by the date manufacture or 
processing begins by any person not manufacturing or processing the 
subject chemical as of the effective date of the test rule described in 
Sec.  790.40 or by 30 days after the effective date of the test rule 
described in Sec.  790.40, who, before the end of the reimbursement 
period, manufactures or processes the test substance and who is subject 
to the requirement to submit either a letter of

[[Page 23]]

intent to test or an exemption application.
    (3) When both manufacturers and processors are subject to the rule, 
exemption applications must be filed by the date processing begins by 
any person not processing as of the effective date of the test rule 
described in Sec.  790.40 or by 30 days after publication of the Federal 
Register notice described in Sec.  790.48(b)(2) who, before the end of 
the reimbursement period, processes the test substance and who is 
subject to the requirement to submit either a letter of intent to test 
or an exemption application.
    (c) Scope of application. A person may apply for an exemption from 
all, or one or more, specific testing requirements in a test rule in 
part 799 of this chapter.

[50 FR 20660, May 17, 1985, as amended at 58 FR 34205, June 23, 1993]



Sec.  790.82  Content of exemption application.

    The exemption application must contain:
    (a) The identity of the test rule, the chemical identity, and the 
CAS No. of the test substance on which the application is based.
    (b) The specific testing requirement(s) from which an exemption is 
sought and the basis for the exemption request.
    (c) Name, address, and telephone number of applicant.
    (d) Name, address, and telephone number of appropriate individual to 
contact for further information.
    (e)(1) If required in the test rule to establish equivalence:
    (i) The chemical identity of the test substance on which the 
application is based.
    (ii) Equivalence data specified in Sec.  790.85.
    (2) If a test rule requires testing of a single representative 
substance, EPA will consider all forms of the chemical subject to that 
rule to be equivalent and will not require the submission of equivalence 
data as described in Sec.  790.85.

[50 FR 20660, May 17, 1985, as amended at 54 FR 36315, Sept. 1, 1989]



Sec.  790.85  Submission of equivalence data.

    If EPA requires in a test rule promulgated under section 4 of the 
Act the testing of two or more test substances which are forms of the 
same chemical, each exemption applicant must submit the following data:
    (a) The chemical identity of each technical-grade chemical substance 
or mixture manufactured and/or processed by the applicant for which the 
exemption is sought. The exact type of identifying data required will be 
specified in the test rule, but may include all characteristics and 
properties of the applicant's substance or mixture, such as boiling 
point, melting point, chemical analysis (including identification and 
amount of impurities), additives, spectral data, and other physical or 
chemical information that may be relevant in determining whether the 
applicant's substance or mixture is equivalent to the specific test 
substance.
    (b) The basis for the applicant's belief that the substance or 
mixture is equivalent to the test substance or mixture.
    (c) Any other data which exemption applicants are directed to submit 
in the test rule which may bear on a determination of equivalence. This 
may include a description of the process by which each technical-grade 
chemical substance or mixture for which an exemption is sought is 
manufactured or processed prior to use or distribution in commerce by 
the applicant.



Sec.  790.87  Approval of exemption applications.

    (a) EPA will conditionally approve exemption applications if:
    (1)(i) For single-phase test rules, EPA has received a letter of 
intent to conduct the testing from which exemption is sought;
    (ii) For two-phase test rules, EPA has received a complete proposed 
study plan for the testing from which exemption is sought and has 
adopted the study plan, as proposed or modified, as test standards and 
schedules in a final Phase II test rule; and
    (2) The chemical substance or mixture with respect to which the 
application was submitted is equivalent to a test substance or mixture 
for which the

[[Page 24]]

required data have been or are being submitted in accordance with a test 
rule; and
    (3) Submission of the required test data concerning that chemical 
substance or mixture would be duplicative of data which have been or are 
being submitted to EPA in accordance with a test rule.
    (b)(1) If a single representative substance is to be tested under a 
test rule, EPA will consider all forms of the chemical subject to that 
rule to be equivalent and will contact the exemption applicant only if 
information is missing or unclear.
    (2) If two or more representative substances are to be tested under 
a test rule, EPA will evaluate equivalence claims made in each exemption 
application according to the criteria discussed in the test rule.
    (i) If EPA finds an equivalence claim to be in error or inadequately 
supported, the applicant will be notified by certified mail. The 
applicant will be given 15 days to provide clarifying information.
    (ii) Exemption applicants will be notified that equivalence has been 
accepted or rejected.
    (c) The final Phase II test rule which adopts the study plans in 
two-phase rulemaking, a separate Federal Register notice in single-phase 
rulemaking, or a letter by certified mail will give exemption applicants 
final notice that they have received a conditional exemption. All 
conditional exemptions thus granted are contingent upon the test 
sponsors' successful completion of testing according to the 
specifications in the test rule.



Sec.  790.88  Denial of exemption application.

    (a) EPA may deny any exemption application if:
    (1) EPA determines that the applicant has failed to demonstrate that 
the applicant's chemical is equivalent to the test substance; or
    (2) The exemption applicant fails to submit any of the information 
specified in Sec.  790.82; or
    (3) The exemption applicant fails to submit any of the information 
specified in Sec.  790.85 if required in the test rule; or
    (4)(i) For single-phase test rules, EPA has not received a letter of 
intent to conduct the test for which exemption is sought; or
    (ii) For two-phase test rules, EPA has not received an adequate 
study plan for the test for which exemption is sought; or
    (5) The study sponsor(s) fails to initiate the required testing by 
the deadlines adopted in the test rule; or
    (6) The study sponsor(s) fails to submit data as required in the 
test standard and deadlines for submission of test data as adopted in 
the test rule or as modified in accordance with Sec.  790.55.
    (b) EPA will notify the exemption applicant by certified mail or 
Federal Register notice of EPA's determination that the exemption 
application is denied.



Sec.  790.90  Appeal of denial of exemption application.

    (a) Within 30 days after receipt of notification that EPA has denied 
an application for exemption, the applicant may file an appeal with EPA.
    (b) The appeal shall indicate the basis for the applicant's request 
for reconsideration.
    (c)(1) The applicant may also include a request for a hearing. 
Hearings will be held according to the procedures described in Sec.  
790.97.
    (2) Hearing requests must be in writing and must be received by EPA 
within 30 days of receipt of the letter or publication of the Federal 
Register notice described in Sec.  790.88(b). Hearing requests must 
provide reasons why a hearing is necessary.
    (d) If EPA determines that there are material issues of fact, then 
the request for a hearing will be granted. If EPA denies a hearing 
request, EPA will base its decision on the written submission.
    (e) EPA will notify the applicant of its decision within 60 days 
after EPA receives the appeal described in paragraph (a) of this section 
or within 60 days after completion of a hearing described in paragraph 
(c) of this section.
    (f) The filing of an appeal from the denial of an exemption shall 
not act to stay the applicant's legal obligations under a test rule 
promulgated under section 4 of the Act.

[[Page 25]]



Sec.  790.93  Termination of conditional exemption.

    (a) EPA shall terminate a conditional exemption if it determines 
that:
    (1) The test which provided the basis for approval of the exemption 
application has not been started by the deadlines for initiation of 
testing adopted in the test rule or modified in accordance with Sec.  
790.55; or
    (2) Data required by the test rule have not been generated in 
accordance with the test standards or submitted in accordance with the 
deadlines for submission of test data that were adopted in the test rule 
or modified in accordance with Sec.  790.55; or
    (3) The testing has not been conducted or the data have not been 
generated in accordance with the Good Laboratory Practice requirements 
in part 792 of this chapter.
    (b) If EPA determines that one or more of the criteria listed in 
paragraph (a) of this section has been met, EPA will notify each holder 
of an affected conditional exemption by certified mail or Federal 
Register notice of EPA's intent to terminate that conditional exemption.
    (c) Within 30 days after receipt of a letter of notification or 
publication of a notice in the Federal Register that EPA intends to 
terminate a conditional exemption, the exemption holder may submit 
information to rebut EPA's preliminary decision or notify EPA by letter 
of its intent to conduct the required test pursuant to the test standard 
established in the final test rule. Such a letter of intent shall 
contain all of the information required by Sec.  790.45(c).
    (d)(1) The exemption holder may also include a request for a 
hearing. Hearings will be held in accordance with the procedures set 
forth in Sec.  790.97.
    (2) Hearing requests must be in writing and must be received by EPA 
within 30 days after receipt of the letter or publication in the Federal 
Register notice described in paragraph (b) of this section.
    (e) EPA will notify the exemption holder by certified letter or by 
Federal Register notice of EPA's final decision concerning termination 
of conditional exemptions and will give instructions as to what actions 
the former exemption holder must take to avoid being found in violation 
of the test rule.



Sec.  790.97  Hearing procedures.

    (a) Hearing requests must be in writing to EPA and must include the 
applicant's basis for appealing EPA's decision.
    (b) If more than one applicant has requested a hearing on similar 
grounds, all of those appeals will be considered at the same hearing 
unless confidentiality claims preclude a joint hearing.
    (c) EPA will notify each applicant of EPA's decision within 60 days 
after the hearing.



Sec.  790.99  Statement of financial responsibility.

    Each applicant for an exemption shall submit the following sworn 
statement with his or her application:

    I understand that if this application is granted before the 
reimbursement period described in section 4(c)(3)(B) of TSCA expires, I 
must pay fair and equitable reimbursement to the person or persons who 
incurred or shared in the costs of complying with the requirement to 
submit data and upon whose data the granting of my application was 
based.



   Sec. Appendix A to Subpart E of Part 790--Schedule for Developing 
                    Consent Agreements and Test Rules

    EPA intends to follow the schedule set forth in this Appendix to 
evaluate testing candidates, conduct negotiations, develop consent 
agreements where appropriate, and propose and promulate test rules in 
those instances where testing can be required under section 4(a) of TSCA 
but agreement cannot be reached in timely manner on a consent agreement. 
Where deadlines are imposed by the statute, they are binding on EPA and 
will be observed by the Agency. The remaining dates represent targets 
that EPA intends to meet.
    This schedule is based on what EPA currently believes are reasonable 
target dates. As EPA gains experience with the process and determines 
the feasibility of these schedules, it may adjust the schedule 
accordingly. EPA will solicit public comment before implementing any 
changes in the schedule.

------------------------------------------------------------------------
           Week \1\                               Event
------------------------------------------------------------------------
0.............................  Receive ITC report, recommendation.

[[Page 26]]

 
2.............................  Publish ITC report, 8(a) and 8(d)
                                 notices, and invitation for public
                                 participation in negotiations.
3-6...........................  Comment period on ITC report.
6.............................  Public focus meeting.
7-14..........................  8(a) and 8(d) reporting period.
22............................  Public meeting on course-setting
                                 decision and deadline for requests to
                                 participate in negotiations.
22-30.........................  Negotiations.
32............................  EPA decision point: consent agreement or
                                 test rule.
------------------------------------------------------------------------
\1\ The dates contained in the left-hand column are calculated from the
  date EPA receives the ITC report recommending a chemical for testing.


------------------------------------------------------------------------
      Week          Consent Agreement      Week          Test Rule
------------------------------------------------------------------------
36-40..........  Comment period on          32-60  Rule preparation,
                  consent agreement.                agency review and
                                                    sign-off.
42.............  Comment resolution            62  Publish proposed rule
                  meeting if necessary.             in Federal
                                                    Register.\1\
48.............  Sign-off consent          70-106  Agency reviews
                  agreement and Federal             comments;
                  Register notice.                  preparation of final
                                                    rule or no-test
                                                    decision, agency
                                                    review and sign-
                                                    off.\1\
50.............  Publish Federal              108  Publish final rule or
                  Register notice.                  no-test decision in
                                                    Federal Register.\1\
------------------------------------------------------------------------
\1\ As stated in Sec.   790.26, EPA may publish an Advance Notice of
  Proposed Rulemaking (ANPR) where the testing recommendations of the
  ITC raise unusually novel and complex issues that require additional
  Agency review and opportunity for public comment. EPA intends to
  publish such ANPRs by Week 62 following receipt of the initial ITC
  report; to publish a proposed rule or decision-not-to-test by Week
  108; and to publish a final rule or notice terminating the rulemaking
  process by Week 154.


[51 FR 23717, June 30, 1986]



PART 791_DATA REIMBURSEMENT--Table of Contents

                      Subpart A_General Provisions

Sec.
791.1 Scope and authority.
791.2 Applicability.
791.3 Definitions.

                      Subpart B_Hearing Procedures

791.20 Initiation of reimbursement proceeding.
791.22 Consolidation of hearings.
791.27 Pre-hearing preparation.
791.29 Appointment of hearing officer.
791.30 Hearing procedures.
791.31 Expedited procedures.
791.34 Serving of notice.
791.37 The award.
791.39 Fees and expenses.

                   Subpart C_Basis for Proposed Order

791.40 Basis for the proposed order.
791.45 Processors.
791.48 Production volume.
791.50 Costs.
791.52 Multiple tests.

                            Subpart D_Review

791.60 Review.

                          Subpart E_Final Order

791.85 Availability of final Agency order.

                        Subpart F_Prohibited Acts

791.105 Prohibited acts.

    Authority: 15 U.S.C. 2603 and 2607.

    Source: 48 FR 31791, July 11, 1983, unless otherwise noted.



                      Subpart A_General Provisions



Sec.  791.1  Scope and authority.

    (a) This part establishes procedures and criteria to be used in 
determining fair amounts of reimbursement for testing costs incurred 
under section 4(a) of the Toxic Substances Control Act (TSCA) (15 U.S.C. 
2603(a)).
    (b) Section 4(c) of TSCA requires EPA to develop rules for the 
determination of fair and equitable reimbursement (15 U.S.C. 2603 (c)).



Sec.  791.2  Applicability.

    (a) This rule is potentially applicable to all manufacturers, 
importers and processors who may be required by a specific test rule 
promulgated under section 4(a) of TSCA to conduct tests and submit data, 
and who seek the assistance of the Administrator in determining the 
amount or method of reimbursement. Persons subject to a test rule have 
an obligation from the date the test rule becomes effective until the 
end of the reimbursement period, either to test or to obtain an 
exemption and pay reimbursement.
    (b) The provisions of this rule will take effect only when private 
efforts to resolve a dispute have failed and a manufacturer or processor 
requests EPA's assistance.

[[Page 27]]



Sec.  791.3  Definitions.

    Terms defined in the Act, and not explicitly defined herein, are 
used with the meanings given in the Act.
    (a) The Act refers to the Toxic Substances Control Act (TSCA) (15 
U.S.C. 2601 et seq.).
    (b) The Agency or EPA refers to the Environmental Protection Agency.
    (c) Byproduct refers to a chemical substance produced without a 
separate commercial intent during the manufacture, processing, use or 
disposal of another chemical substance or mixture.
    (d) Dispute refers to a present controversy between parties subject 
to a test rule over the amount or method of reimbursement for the cost 
of developing health and environmental data on the test chemical.
    (e) Exemption holder refers to a manufacturer or processor, subject 
to a test rule, that has received an exemption under sections 4(c)(1) or 
4(c)(2) of TSCA from the requirement to conduct a test and submit data.
    (f) Impurity refers to a chemical substance unintentionally present 
with another chemical substance or mixture.
    (g) A party refers to a person subject to a section 4 test rule, 
who:
    (1) Seeks reimbursement from another person under these rules, or
    (2) From whom reimbursement is sought under these rules.
    (h) Reimbursement period refers to a period that begins when the 
data from the last non-duplicative test to be completed under a test 
rule is submitted to EPA and ends after an amount of time equal to that 
which had been required to develop that data or after 5 years, whichever 
is later.
    (i) Small business refers to a manufacturer or importer whose annual 
sales, when combined with those of its parent company (if any) are less 
than $30 million.
    (j) Test rule refers to a regulation ordering the development of 
data on health or environmental effects or chemical fate for a chemical 
substance or mixture pursuant to TSCA section 4(a).



                      Subpart B_Hearing Procedures



Sec.  791.20  Initiation of reimbursement proceeding.

    (a) When persons subject to a test rule are unable to reach an 
agreement on the amount or method of reimbursement for test data 
development as described in TSCA section 4(c)(3)(A), any of them may 
initiate a proceeding by filing two signed copies of a request for a 
hearing with a regional office of the American Arbitration Association 
and mailing a copy of the request to EPA, and to each person from whom 
they seek reimbursement, or who seeks reimbursement from them.
    (b) The request for hearing must contain the following:
    (1) The names and addresses of the filing party and its counsel, if 
any.
    (2) Identification of the test rule under which the dispute arose.
    (3) A list of the parties from whom reimbursement is sought or who 
are seeking reimbursement, a brief description of the attempts to reach 
agreement and a concise explanation of the issues on which the parties 
are unable to agree.
    (c) The request for a hearing shall be accompanied by the 
appropriate administrative fee, as provided in a current Fee Schedule of 
the American Arbitration Association.



Sec.  791.22  Consolidation of hearings.

    (a) Promptly upon receipt of the request for a hearing, the 
Administrator will publish a notice in the Federal Register, advising 
those subject to the test rule that a request for a hearing has been 
made.
    (b) Any other person wishing to participate in the hearing shall so 
notify EPA within 45 days of the Federal Register notice. EPA will 
promptly inform the regional office of the American Arbitration 
Association where the request has been filed of the additional parties.



Sec.  791.27  Pre-hearing preparation.

    (a) Responses to requests for hearings. After filing of the request 
for hearing, if any other party desires to file an answer it shall be 
made in writing and filed with the American Arbitration Association, and 
a copy thereof shall

[[Page 28]]

be mailed to the other parties within a period of fourteen days from the 
date of receiving the complete list of parties. After the hearing 
officer is appointed, however, no new or different claim may be 
submitted except with the hearing officer's consent.
    (b) Pre-hearing conference. At the request of the parties or at the 
discretion of the American Arbitration Association, a pre-hearing 
conference with a representative of the American Arbitration Association 
and the parties or their counsel will be scheduled in appropriate cases 
to arrange for an exchange of information and the stipulation of 
uncontested facts so as to expedite the proceedings.
    (c) Fixing of locale. The parties may mutually agree on the locale 
where the hearing is to be held. If the locale is not designated within 
45 days from the time the complete list of parties is received, the 
American Arbitration Association shall have power to determine the 
locale. Its decision shall be final and binding. If any party requests, 
and informs the other parties of its request, that the hearing be held 
in a specific locale and the other parties file no objection thereto 
within 14 days of the request, the locale shall be the one requested.
    (d) Time and place. The hearing officer shall fix the time and place 
for each hearing. The American Arbitration Association will mail notice 
to each party at least 14 days in advance.



Sec.  791.29  Appointment of hearing officer.

    (a) Qualifications of hearing officer. All hearing officers shall be 
neutral, subject to disqualification for the reasons specified in 
paragraph (f) of this section.
    (b) Appointment from panel. Promptly after receiving the complete 
list of parties at the close of the notice period described in Sec.  
791.22, the American Arbitration Association shall submit simultaneously 
to each party to the dispute an identical list of names. Each party to 
the dispute shall have thirty days from the mailing date in which to 
cross off any names objected to, number the remaining names to indicate 
the order of preference, and return the list to the American Arbitration 
Association. If a party does not return the list within the time 
specified, all persons named therein shall be deemed acceptable to that 
party. From among the persons who have been approved on all lists, and 
in accordance with the designated order of mutual preference, the 
American Arbitration Association shall invite the acceptance of a 
hearing officer to serve. If the parties fail to agree upon any of the 
persons named, or if acceptable hearing officers are unable to act, or 
if for any other reason the appointment cannot be made from the 
submitted lists, the American Arbitration Association shall have the 
power to make the appointment without the submission of any additional 
list.
    (c) Nationality of hearing officer in international dispute. If one 
of the parties is a national or resident of a country other than the 
United States, the hearing officer shall upon the request of any party, 
be appointed from among the nationals of a country other than that of 
the parties.
    (d) Number of hearing officers. The dispute shall be heard and 
determined by one hearing officer unless the American Arbitration 
Association, in its discretion, directs that a greater number of hearing 
officers be appointed.
    (e) Notice of appointment. Notice of the appointment of the hearing 
officer, together with a copy of these rules, and the signed acceptance 
of the hearing officer shall be filed prior to the opening of the first 
hearing.
    (f) Disclosure and challenge procedure. A person appointed as 
hearing officer shall disclose to the American Arbitration Association 
any circumstances likely to affect impartiality, including any bias or 
any financial or personal interest in the result of the hearing or any 
past or present relationship with the parties or their counsel. Upon 
receipt of such information from such hearing officer or other source, 
the American Arbitration Association shall communicate such information 
to the parties, and, if it deems it appropriate to do so, to the hearing 
officer and others. Thereafter, the American Arbitration Association 
shall determine whether the hearing officer should be disqualified and 
shall inform the parties of its decision, which shall be conclusive.

[[Page 29]]

    (g) Vacancies. If any hearing officer should resign, die, withdraw, 
refuse, be disqualified or be unable to perform the duties of the 
office, the American Arbitration Association may, on proof satisfactory 
to it, declare the office vacant. Vacancies shall be filled in 
accordance with the applicable provisions of these rules and the matter 
shall be reheard unless the parties shall agree otherwise.



Sec.  791.30  Hearing procedures.

    (a) Representation by counsel. Any party may be represented by 
counsel. A party intending to be so represented shall notify the other 
parties and the American Arbitration Association of the name and address 
of counsel at least 5 days prior to the date set for the hearing at 
which counsel is first to appear. When a hearing is initiated by 
counsel, or where an attorney replies for the other party, such notice 
is deemed to have been given.
    (b) Stenographic record. The American Arbitration Association shall 
make the necessary arrangements for the taking of a stenographic record. 
The parties shall share the cost of such record.
    (c) Attendance at hearings. The hearing officer shall have the power 
to require the exclusion of anyone, including a party or other essential 
person, during the testimony of any witness to protect confidential 
business information. It shall be discretionary with the hearing officer 
to determine the propriety of the attendance of any other person.
    (d) Oaths. Hearing officers shall swear or affirm their neutrality 
and their dedication to a fair and equitable resolution. Witnesses shall 
swear or affirm that they are telling the truth.
    (e) Order of proceedings. (1) A hearing shall be opened by the 
filing of the oath of the hearing officer and by the recording of the 
place, time and date of the hearing, the presence of the hearing officer 
and parties, and counsel, if any, and by the receipt by the hearing 
officer of the request for hearing and answer, if any.
    (2) The hearing officer may, at the beginning of the hearing, ask 
for statements clarifying the issues involved.
    (3) The party or parties seeking reimbursement shall then present a 
claim and proofs and witnesses, who shall submit to questions or other 
examination. The party or parties from whom reimbursement is sought 
shall then present a defense and proofs and witnesses, who shall submit 
to questions or other examination. The hearing officer has discretion to 
vary this procedure but shall afford full and equal opportunity to all 
parties for the presentation of any material or relevant proofs.
    (4) Exhibits, when offered by any party, shall be received in 
evidence by the hearing officer. The names and addresses of all 
witnesses and exhibits in order received shall be made a part of the 
record.
    (f) Hearing in the absence of a party. A hearing may proceed in the 
absence of any party which, after due notice, fails to be present or 
fails to obtain an adjournment. An award shall not be made solely on the 
default of a party. The hearing officer shall require the parties who 
are present to submit such evidence as the hearing officer may require 
for the making of an award.
    (g) Evidence. (1) The parties may offer such evidence as they desire 
and shall produce such additional evidence as the hearing officer may 
deem necessary to an understanding and determination of the dispute. The 
hearing officer shall be the judge of the relevancy and materiality of 
the evidence offered and conformity to legal rules of evidence shall not 
be necessary. All evidence shall be taken in the presence of all the 
hearing officers and of all the parties, except where any of the parties 
is absent in default, has waived the right to be present, or has been 
excluded by the hearing officer to protect confidential business 
information.
    (2) All documents not filed with the hearing officer at the hearing, 
but arranged for by agreement of the parties, shall be filed with the 
American Arbitration Association for transmission to the hearing 
officer, according to the agreed-upon schedule. All parties shall be 
afforded opportunity to examine such documents.
    (h) Evidence by affidavit and filing of documents. The hearing 
officer shall receive and consider the evidence of witnesses by 
affidavit, but shall give it only such weight as the hearing officer

[[Page 30]]

deems it entitled to after consideration of any objections made to its 
admission.
    (i) Closing of hearings. The hearing officer shall specifically 
inquire of all parties whether they have any further proofs to offer or 
witnesses to be heard. Upon receiving negative replies, the hearing 
officer shall declare the hearings closed and record the time of closing 
of the hearing. If briefs are to be filed, the hearings shall be 
declared closed as of the final date set by the hearing officer for the 
receipt of briefs. If documents are to be filed as provided for in 
paragraph (g)(2) of this section and the date set for their receipt is 
later than that set for the receipt of briefs, the later date shall be 
the date of closing the hearings.
    (j) Reopening of hearings. The hearings may be reopened on the 
hearing officer's own motion, or upon application of a party at any time 
before the award is made. If the reopening of the hearings would prevent 
the making of the award within the specified time the matter may not be 
reopened, unless the parties agree upon the extension of the time limit.
    (k) Waiver of oral hearings. The parties may provide, by written 
agreement, for the waiver of oral hearings. If the parties are unable to 
agree as to the procedure, the American Arbitration Association shall 
specify a fair and equitable procedure.
    (l) Waiver of rules. Any party who proceeds with the hearing after 
knowledge that any provision or requirement of these rules has not been 
complied with and who fails to state objection thereto in writing, shall 
be deemed to have waived the right to object.
    (m) Extensions of time. The parties may modify any period of time by 
mutual agreement. The American Arbitration Association for good cause 
may extend any period of time established by these rules, except the 
time for making the award. (Sec.  791.37(a)) The American Arbitration 
Association shall notify the parties of any such extension of time and 
its reason therefor.
    (n) Communication with hearing officer. There shall be no direct 
communication between the parties and a hearing officer other than at 
oral hearings. Any other oral or written communications from the parties 
to the hearing officer shall be directed to the American Arbitration 
Association for transmittal to the hearing officer.



Sec.  791.31  Expedited procedures.

    Unless the American Arbitration Association in its discretion 
determines otherwise, the Expedited Procedures described in this section 
shall be applied in any case where the total claim of any party does not 
exceed $5,000, exclusive of interest and hearing costs, and may be 
applied in other cases if the parties agree.
    (a) Application of rules. The expedited hearings will be conducted 
according to the same procedures as the regular ones, except for those 
specifically changed by the expedited rules in this section, Sec.  
791.31.
    (b) Notice by telephone. The parties shall accept all notices from 
the American Arbitration Association by telephone. Such notices by the 
American Arbitration Association shall subsequently be confirmed in 
writing to the parties. Notwithstanding the failure to confirm in 
writing any notice or objection hereunder, the proceeding shall 
nonetheless be valid if notice or obligation has, in fact, been given by 
telephone.
    (c) Appointment and qualifications of hearing officers. The American 
Arbitration Association shall submit simultaneously to each party to the 
dispute an identical list of five persons from which one hearing officer 
shall be appointed. Each party shall have the right to strike two names 
from the list on a peremptory basis. The list is returnable to the 
American Arbitration Association within 10 days from the date of 
mailing. If for any reasons the appointment cannot be made from the 
list, the American Arbitration Association shall have the authority to 
make the appointment without the submission of additional lists. Such 
appointment shall be subject to disqualification for the reasons 
specified in Sec.  791.29(f). The parties shall be given notice by 
telephone by the American Arbitration Association of the appointment of 
the hearing officer. The parties shall notify the American Arbitration 
Association, by telephone, within 7 days of any objections to the 
hearing

[[Page 31]]

officer(s) appointed. Any objection by a party to such hearing officer 
shall be confirmed in writing to the American Arbitration Association 
with a copy to the other parties.
    (d) Time and place of hearing. The hearing officer shall fix the 
date, time and place of the hearing. The American Arbitration 
Association will notify the parties by telephone, 7 days in advance of 
the hearing date. Formal notice of hearing will be sent by the American 
Arbitration Association to the parties.
    (e) The hearing. Generally, the hearing shall be completed within 1 
day. The hearing officer, for good cause shown, may schedule an 
additional hearing to be held within 5 days.
    (f) Time of award. Unless otherwise agreed to by the parties, the 
Award shall be rendered not later than 15 business days from the date of 
the closing of the hearing.



Sec.  791.34  Serving of notice.

    (a) Each party shall be deemed to have consented that any papers, 
notices or process necessary or proper for the initiation or 
continuation of a hearing under these rules and for any appeal to EPA or 
any court action in connection therewith may be served upon such party 
by mail addressed to such party or its attorney at its last known 
address or by personal service, within or without the state wherein the 
arbitration is to be held (whether such party be within or without the 
United States of America), provided that reasonable opportunity to be 
heard with regard thereto has been granted such party.
    (b) The American Arbitration Association shall, upon the written 
request of a party, furnish to such party, at its expense, certified 
facsimiles of any papers in the American Arbitration Association's 
possession that may be required in appeal to EPA or judicial proceedings 
relating to the hearing.



Sec.  791.37  The award.

    (a) Time of award. The award shall be made promptly by the hearing 
officer and, unless otherwise agreed by the parties, no later than 30 
days from the date of closing the hearings, or if oral hearings have 
been waived, from the date of transmitting the final statements and 
proofs to the hearing officer.
    (b) Form of award. The award shall be in writing and shall be signed 
either by the sole hearing officer or by at least a majority if there is 
more than one. It shall contain a concise statement of its basis and 
rationale, and a timetable for payment of any ordered reimbursement.
    (c) Delivery of award to parties. Parties shall accept as legal 
delivery of the award the delivery of the award or a true copy thereof 
by certified mail to the party at its last known address or to its 
attorney, or by personal service.



Sec.  791.39  Fees and expenses.

    (a) Administrative fees. (1) As a not-for-profit organization, the 
American Arbitration Association shall prescribe an Administrative Fee 
Schedule and a Refund Schedule to compensate it for the cost of 
providing administrative services. The schedule in effect at the time of 
filing or the time of refund shall be applicable.
    (2) The administrative fees shall be advanced by the initiating 
party or parties, subject to final apportionment by the hearing officer 
in the award. The administrative fee is increased by 10 percent of the 
original for each additional party.
    (3) Fees and expenses in excess of the limit contained in section 
26(b) of TSCA ($2,500 per person, or $100 per small business) will be 
paid by EPA.
    (b) Expenses. Subject to paragraph (a)(3) of this section, all 
expenses of the hearing, including the cost of recording (though not 
transcribing) the hearing and required traveling and other expenses of 
the hearing officer and of American Arbitration Association 
representatives, and the expenses of any witness or the cost of any 
proofs produced at the direct request of the hearing officer, shall be 
borne equally by the parties, unless they agree otherwise, or unless the 
hearing officer, in the award, assesses such expenses or any part 
thereof against any specified party or parties.
    (c) Hearing officer's fee. Hearing officers will normally serve 
without a fee. In prolonged or special cases the American Arbitration 
Association in consultation with the Administrator may

[[Page 32]]

determine that payment of a fee by the parties is appropriate and may 
establish a reasonable amount, taking into account the extent of service 
by the hearing officer and other relevant circumstances of the case. Any 
arrangements for compensation shall be made through the American 
Arbitration Association and not directly between the parties and the 
hearing officer.



                   Subpart C_Basis for Proposed Order



Sec.  791.40  Basis for the proposed order.

    (a) The hearing officer shall propose a fair and equitable amount of 
reimbursement. The formula in paragraph (b) of this section shall be 
presumed to be fair and equitable as applied to all persons subject to a 
test rule. However, the hearing officer has the discretion to modify the 
formula, or to use some other basis for allocation if necessary. 
Additional factors that may be taken into account include, but are not 
limited to, relative amounts of exposure attributable to each person and 
the effect of the reimbursement share on competitive position.
    (b) In general, each person's share of the test cost shall be in 
proportion to its share of the total production volume of the test 
chemical:
[GRAPHIC] [TIFF OMITTED] TC15NO91.044

Where:

R=the reimbursement share owed by company X.
C=the total cost of the testing required by the test rule.
Vx=the volume of the test chemical produced or imported by 
company X over the period defined by Sec.  791.48.
Vt=the total volume of the test chemical produced or imported 
over the period defined by Sec.  791.48.

    (c) The burden of proposing modifications to the formula shall lie 
with the party requesting the modification.



Sec.  791.45  Processors.

    (a) Generally, processors will be deemed to have fulfilled their 
testing and reimbursement responsibilities indirectly, through higher 
prices passed on by those directly responsible, the manufacturers. There 
are three circumstances in which processors will have a responsibility 
to provide reimbursement directly to those paying for the testing:
    (1) When a test rule or subsequent Federal Register notice 
pertaining to a test rule expressly obligates processors as well as 
manufacturers to assume direct testing and data reimbursement 
responsibilities.
    (2) When one or more manufacturers demonstrate to the hearing 
officer that it is necessary to include processors in order to provide 
fair and equitable reimbursement in a specific case.
    (3) When one or more processors voluntarily agree to reimburse 
manufacturers for a portion of test costs. Only those processors who 
volunteer will incur the obligation.
    (b) A hearing including processors shall be initiated in the same 
way as those including only manufacturers. Voluntary negotiations must 
be attempted in good faith first, and the request for a hearing must 
contain the names of the parties and a description of the unsuccessful 
negotiations.
    (c) When processors as well as manufacturers are required to provide 
reimbursement, the hearing officer will decide for each case how the 
reimbursement should be allocated among the participating parties. When 
a test rule is applicable solely to processors, the hearing officer will 
apply the formula to the amount of the test chemical purchased or 
processed.



Sec.  791.48  Production volume.

    (a) Production volume will be measured over a period that begins one 
calendar year before publication of the final test rule in the Federal 
Register and continues up to the latest data available upon resolution 
of a dispute.
    (b) For the purpose of determining fair reimbursement shares, 
production volume shall include amounts of the test chemical imported in 
bulk form and mixtures, and the total domestic production of the 
chemical including that produced as a byproduct. Impurities will not be 
included unless the test rule specifically includes them.

[[Page 33]]

    (c) Amounts of the test chemical manufactured for export will not be 
included unless covered by a finding under TSCA section 12(a)(2).
    (d) Chemicals excluded from the jurisdiction of TSCA by section 
3(2)(B) need not be included in the computation of production volume. 
(Chemicals used as intermediates to produce pesticides are covered by 
TSCA.)
    (e) The burden of establishing the fact that particular amounts of 
the test chemical are produced for exempt purposes lies with the party 
seeking to exclude those amounts from the calculation of his production 
volume.



Sec.  791.50  Costs.

    (a) All costs reasonable and necessary to comply with the test rule, 
taking into account the practices of other laboratories in conducting 
similar tests, are eligible for reimbursement. Necessary costs include:
    (1) Direct and indirect costs of planning, conducting, analyzing and 
submitting the test results to EPA.
    (2) A reasonable profit, and a reasonable rate of interest and 
depreciation on the tester's initial capital investment.
    (3) The cost of repeating or repairing tests where failure was 
demonstrably due to some cause other than negligence of the tester.
    (b) Costs attributable to tests beyond those specified by EPA shall 
not be eligible for reimbursement under this rule.



Sec.  791.52  Multiple tests.

    When more than one of a particular kind of test required by the test 
rule is performed, the additional costs will be shared among all those 
holding exemptions. The costs of all the tests will be added together 
and each exemption holder shall be responsible for a share of the total 
which is equal to its share of the total production of the test 
chemical. The exemption holders shall divide their shares between test 
sponsors in proportion to the costs of their respective tests. Those 
sponsoring a particular test do not have to obtain exemptions for that 
test and therefore do not have reimbursement responsibilities for the 
same tests done by others.



                            Subpart D_Review



Sec.  791.60  Review.

    (a) The hearing officer's proposed order shall become the final 
Agency order 30 days after issuance unless within the 30-day period one 
of the parties requests Agency review or the Administrator of his own 
initiative decides to review the proposed order.
    (b) The proposed order may be reviewed upon the record of the 
hearing and the petitions for review. If necesary, the Administrator may 
order the transcription of the stenographic record of the hearing, 
written briefs, oral arguments or any other reasonable aids to making an 
equitable decision.
    (c) The final Agency order may be reviewed in federal court as 
provided by 26 U.S.C. 2603(c).



                          Subpart E_Final Order



Sec.  791.85  Availablity of final Agency order.

    The final Agency order shall be available to the public for 
inspection and copying pursuant to 5 U.S.C. 552(a)(2), subject to 
necessary confidentiality restrictions.



                        Subpart F_Prohibited Acts



Sec.  791.105  Prohibited acts.

    Failure to provide information required by the Agency or to pay the 
amounts awarded under this rule within time alloted in the final order 
shall constitute a violation of 15 U.S.C. 2614(1) or 2614(3).



PART 792_GOOD LABORATORY PRACTICE STANDARDS--Table of Contents

                      Subpart A_General Provisions

Sec.
792.1 Scope.
792.3 Definitions.
792.10 Applicability to studies performed under grants and contracts.
792.12 Statement of compliance or non-compliance.
792.15 Inspection of a testing facility.
792.17 Effects of non-compliance.

                  Subpart B_Organization and Personnel

792.29 Personnel.

[[Page 34]]

792.31 Testing facility management.
792.33 Study director.
792.35 Quality assurance unit.

                          Subpart C_Facilities

792.41 General.
792.43 Test system care facilities.
792.45 Test system supply facilities.
792.47 Facilities for handling test, control, and reference substances.
792.49 Laboratory operation areas.
792.51 Specimen and data storage facilities.

                           Subpart D_Equipment

792.61 Equipment design.
792.63 Maintenance and calibration of equipment.

                 Subpart E_Testing Facilities Operation

792.81 Standard operating procedures.
792.83 Reagents and solutions.
792.90 Animal and other test system care.

            Subpart F_Test, Control, and Reference Substances

792.105 Test, control, and reference substance characterization.
792.107 Test, control, and reference substance handling.
792.113 Mixtures of substances with carriers.

              Subpart G_Protocol for and Conduct of A Study

792.120 Protocol.
792.130 Conduct of a study.
792.135 Physical and chemical characterization studies.

Subparts H-I [Reserved]

                      Subpart J_Records and Reports

792.185 Reporting of study results.
792.190 Storage and retrieval of records and data.
792.195 Retention of records.

    Authority: 15 U.S.C. 2603.

    Source: 54 FR 34043, Aug. 17, 1989, unless otherwise noted.



                      Subpart A_General Provisions



Sec.  792.1  Scope.

    (a) This part prescribes good laboratory practices for conducting 
studies relating to health effects, environmental effects, and chemical 
fate testing. This part is intended to ensure the quality and integrity 
of data submitted pursuant to testing consent agreements and test rules 
issued under section 4 of the Toxic Substances Control Act (TSCA) (Pub. 
L. 94-469, 90 Stat. 2006, 15 U.S.C. 2603 et seq.).
    (b) This part applies to any study described by paragraph (a) of 
this section which any person conducts, initiates, or supports on or 
after September 18, 1989.
    (c) It is EPA's policy that all data developed under section 5 of 
TSCA be in accordance with provisions of this part. If data are not 
developed in accordance with the provisions of this part, EPA will 
consider such data insufficient to evaluate the health and environmental 
effects of the chemical substances unless the submitter provides 
additional information demonstrating that the data are reliable and 
adequate.



Sec.  792.3  Definitions.

    As used in this part the following terms shall have the meanings 
specified:
    Batch means a specific quantity or lot of a test, control, or 
reference substance that has been characterized according to Sec.  
792.105(a).
    Carrier means any material, including but not limited to, feed, 
water, soil, and nutrient media, with which the test substance is 
combined for administration to a test system.
    Control substance means any chemical substance or mixture, or any 
other material other than a test substance, feed, or water, that is 
administered to the test system in the course of a study for the purpose 
of establishing a basis for comparison with the test substance for 
chemical or biologicaI measurements.
    EPA means the U.S. Environmental Protection Agency.
    Experimental start date means the first date the test substance is 
applied to the test system.
    Experimental termination date means the last date on which data are 
collected directly from the study.
    FDA means the U.S. Food and Drug Administration.
    Person includes an individual, partnership, corporation, 
association, scientific or academic establishment, government agency, or 
organizational unit thereof, and any other legal entity.
    Quality assurance unit means any person or organizational element, 
except

[[Page 35]]

the study director, designated by testing facility management to perform 
the duties relating to quality assurance of the studies.
    Raw data means any laboratory worksheets, records, memoranda, notes, 
or exact copies thereof, that are the result of original observations 
and activities of a study and are necessary for the reconstruction and 
evaluation of the report of that study. In the event that exact 
transcripts of raw data have been prepared (e.g., tapes which have been 
transcribed verbatim, dated, and verified accurate by signature), the 
exact copy or exact transcript may be substituted for the original 
source as raw data. ``Raw data'' may include photographs, microfilm or 
microfiche copies, computer printouts, magnetic media, including 
dictated observations, and recorded data from automated instruments.
    Reference substance means any chemical substance or mixture, or 
analytical standard, or material other than a test substance, feed, or 
water, that is administered to or used in analyzing the test system in 
the course of a study for the purposes of establishing a basis for 
comparison with the test substance for known chemical or biological 
measurements.
    Specimen means any material derived from a test system for 
examination or analysis.
    Sponsor means:
    (1) A person who initiates and supports, by provision of financial 
or other resources, a study;
    (2) A person who submits a study to the EPA in response to a TSCA 
section 4(a) test rule and/or a person who submits a study under a TSCA 
section 4 testing consent agreement or a TSCA section 5 rule or order to 
the extent the agreement, rule or order references this part; or
    (3) A testing facility, if it both initiates and actually conducts 
the study.
    Study means any experiment at one or more test sites, in which a 
test substance is studied in a test system under laboratory conditions 
or in the environment to determine or help predict its effects, 
metabolism, environmental and chemical fate, persistence, or other 
characteristics in humans, other living organisms, or media. The term 
``study'' does not include basic exploratory studies carried out to 
determine whether a test substance or a test method has any potential 
utility.
    Study completion date means the date the final report is signed by 
the study director.
    Study director means the individual responsible for the overall 
conduct of a study.
    Study initiation date means the date the protocol is signed by the 
study director.
    Test substance means a substance or mixture administered or added to 
a test system in a study, which substance or mixture is used to develop 
data to meet the requirements of a TSCA section 4(a) test rule and/or is 
developed under a TSCA section 4 testing consent agreement or section 5 
rule or order to the extent the agreement, rule or order references this 
part.
    Test system means any animal, plant, microorganism, chemical or 
physical matrix, including but not limited to, soil or water, or 
components thereof, to which the test, control, or reference substance 
is administered or added for study. ``Test system'' also includes 
appropriate groups or components of the system not treated with the 
test, control, or reference substance.
    Testing facility means a person who actually conducts a study, i.e., 
actually uses the test substance in a test system. ``Testing facility'' 
encompasses only those operational units that are being or have been 
used to conduct studies.
    TSCA means the Toxic Substances Control Act (15 U.S.C, 2601 et seq.)
    Vehicle means any agent which facilitates the mixture, dispersion, 
or solubilization of a test substance with a carrier.



Sec.  792.10  Applicability to studies performed under grants and contracts.

    When a sponsor or other person utilizes the services of a consulting 
laboratory, contractor, or grantee to perform all or a part of a study 
to which this part applies, it shall notify the consulting laboratory, 
contractor, or grantee that the service is, or is part of, a study that 
must be conducted in compliance with the provisions of this part.

[[Page 36]]



Sec.  792.12  Statement of compliance or non-compliance.

    Any person who submits to EPA a test required by a testing consent 
agreement or a test rule issued under section 4 of TSCA shall include in 
the submission a true and correct statement, signed by the sponsor and 
the study director, of one of the following types:
    (a) A statement that the study was conducted in accordance with this 
part; or
    (b) A statement describing in detail all differences between the 
practices used in the study and those required by this part; or
    (c) A statement that the person was not a sponsor of the study, did 
not conduct the study, and does not know whether the study was conducted 
in accordance with this part.



Sec.  792.15  Inspection of a testing facility.

    (a) A testing facility shall permit an authorized employee or duly 
designated representative of EPA or FDA, at reasonable times and in a 
reasonable manner, to inspect the facility and to inspect (and in the 
case of records also to copy) all records and specimens required to be 
maintained regarding studies to which this part applies. The records 
inspection and copying requirements shall not apply to quality assurance 
unit records of findings and problems, or to actions recommended and 
taken, except the EPA may seek production of these records in litigation 
or formal adjudicatory hearings.
    (b) EPA will not consider reliable for purposes of showing that a 
chemical substance or mixture does not present a risk of injury to 
health or the environment any data developed by a testing facility or 
sponsor that refuses to permit inspection in accordance with this part. 
The determination that a study will not be considered reliable does not, 
however, relieve the sponsor of a required test of any obligation under 
any applicable statute or regulation to submit the results of the study 
to EPA.
    (c) Since a testing facility is a place where chemicals are stored 
or held, it is subject to inspection under section 11 of TSCA.



Sec.  792.17  Effects of non-compliance.

    (a) The sponsor or any other person who is conducting or has 
conducted a test to fulfill the requirements of a testing consent 
agreement or a test rule issued under section 4 of TSCA will be in 
violation of section 15 of TSCA if:
    (1) The test is not being or was not conducted in accordance with 
any requirement of this part;
    (2) Data or information submitted to EPA under this part (including 
the statement required by Sec.  792.12) include information or data that 
are false or misleading, contain significant omissions, or otherwise do 
not fulfill the requirements of this part; or
    (3) Entry in accordance with Sec.  792.15 for the purpose of 
auditing test data or inspecting test facilities is denied. Persons who 
violate the provisions of this part may be subject to civil or criminal 
penalties under section 16 of TSCA, legal action in United States 
district court under section 17 of TSCA, or criminal prosecution under 
18 U.S.C. 2 or 1001.
    (b) EPA, at its discretion, may not consider reliable for purposes 
of showing that a chemical substance or mixture does not present a risk 
of injury to health or the environment any study which was not conducted 
in accordance with this part. EPA, at its discretion, may rely upon such 
studies for purposes of showing adverse effects. The determination that 
a study will not be considered reliable does not, however, relieve the 
sponsor of a required test of the obligation under any applicable 
statute or regulation to submit the results of the study to EPA.
    (c) If data submitted to fulfill a requirement of a testing consent 
agreement or a test rule issued under section 4 of TSCA are not 
developed in accordance with this part, EPA may determine that the 
sponsor has not fulfilled its obligations under section 4 of TSCA and 
may require the sponsor to develop data in accordance with the 
requirements of this part in order to satisfy such obligations.

[[Page 37]]



                  Subpart B_Organization and Personnel



Sec.  792.29  Personnel.

    (a) Each individual engaged in the conduct of or responsible for the 
supervision of a study shall have education, training, and experience, 
or combination thereof, to enable that individual to perform the 
assigned functions.
    (b) Each testing facility shall maintain a current summary of 
training and experience and job description for each individual engaged 
in or supervising the conduct of a study.
    (c) There shall be a sufficient number of personnel for the timely 
and proper conduct of the study according to the protocol.
    (d) Personnel shall take necessary personal sanitation and health 
precautions designed to avoid contamination of test, control, and 
reference substances and test systems.
    (e) Personnel engaged in a study shall wear clothing appropriate for 
the duties they perform. Such clothing shall be changed as often as 
necessary to prevent microbiological, radiological, or chemical 
contamination of test systems and test, control, and reference 
substances.
    (f) Any individual found at any time to have an illness that may 
adversely affect the quality and integrity of the study shall be 
excluded from direct contact with test systems, test, control, and 
reference substances and any other operation or function that may 
adversely affect the study until the condition is corrected. All 
personnel shall be instructed to report to their immediate supervisors 
any health or medical conditions that may reasonably be considered to 
have an adverse effect on a study.



Sec.  792.31  Testing facility management.

    For each study, testing facility management shall:
    (a) Designate a study director as described in Sec.  792.33 before 
the study is initiated.
    (b) Replace the study director promptly if it becomes necessary to 
do so during the conduct of a study.
    (c) Assure that there is a quality assurance unit as described in 
Sec.  792.35.
    (d) Assure that test, control, and reference substances or mixtures 
have been appropriately tested for identity, strength, purity, 
stability, and uniformity, as applicable.
    (e) Assure that personnel, resources, facilities, equipment, 
materials and methodologies are available as scheduled.
    (f) Assure that personnel clearly understand the functions they are 
to perform.
    (g) Assure that any deviations from these regulations reported by 
the quality assurance unit are communicated to the study director and 
corrective actions are taken and documented.



Sec.  792.33  Study director.

    For each study, a scientist or other professional of appropriate 
education, training, and experience, or combination thereof, shall be 
identified as the study director. The study director has overall 
responsibility for the technical conduct of the study, as well as for 
the interpretation, analysis, documentation, and reporting of results, 
and represents the single point of study control. The study director 
shall assure that:
    (a) The protocol, including any change, is approved as provided by 
Sec.  792.120 and is followed.
    (b) All experimental data, including observations of unanticipated 
responses of the test system are accurately recorded and verified.
    (c) Unforeseen circumstances that may affect the quality and 
integrity of the study are noted when they occur, and corrective action 
is taken and documented.
    (d) Test systems are as specified in the protocol.
    (e) All applicable good laboratory practice regulations are 
followed.
    (f) All raw data, documentation, protocols, specimens, and final 
reports are transferred to the archives during or at the close of the 
study.



Sec.  792.35  Quality assurance unit.

    (a) A testing facility shall have a quality assurance unit which 
shall be responsible for monitoring each study to assure management that 
the facilities, equipment, personnel, methods, practices, records, and 
controls are in

[[Page 38]]

conformance with the regulations in this part. For any given study, the 
quality assurance unit shall be entirely separate from and independent 
of the personnel engaged in the direction and conduct of that study. The 
quality assurance unit shall conduct inspections and maintain records 
appropriate to the study.
    (b) The quality assurance unit shall:
    (1) Maintain a copy of a master schedule sheet of all studies 
conducted at the testing facility indexed by test substance and 
containing the test system, nature of study, date study was initiated, 
current status of each study, identity of the sponsor, and name of the 
study director.
    (2) Maintain copies of all protocols pertaining to all studies for 
which the unit is responsible.
    (3) Inspect each study at intervals adequate to ensure the integrity 
of the study and maintain written and properly signed records of each 
periodic inspection showing the date of the inspection, the study 
inspected, the phase or segment of the study inspected, the person 
performing the inspection, findings and problems, action recommended and 
taken to resolve existing problems, and any scheduled date for re-
inspection. Any problems which are likely to affect study integrity 
found during the course of an inspection shall be brought to the 
attention of the study director and management immediately.
    (4) Periodically submit to management and the study director written 
status reports on each study, noting any problems and the corrective 
actions taken.
    (5) Determine that no deviations from approved protocols or standard 
operating procedures were made without proper authorization and 
documentation.
    (6) Review the final study report to assure that such report 
accurately describes the methods and standard operating procedures, and 
that the reported results accurately reflect the raw data of the study.
    (7) Prepare and sign a statement to be included with the final study 
report which shall specify the dates inspections were made and findings 
reported to management and to the study director.
    (c) The responsibilities and procedures applicable to the quality 
assurance unit, the records maintained by the quality assurance unit, 
and the method of indexing such records shall be in writing and shall be 
maintained. These items including inspection dates, the study inspected, 
the phase or segment of the study inspected, and the name of the 
individual performing the inspection shall be made available for 
inspection to authorized employees or duly designated representatives of 
EPA or FDA.
    (d) An authorized employee or a duly designated representative of 
EPA or FDA shall have access to the written procedures established for 
the inspection and may request testing facility management to certify 
that inspections are being implemented, performed, documented, and 
followed up in accordance with this paragraph.



                          Subpart C_Facilities



Sec.  792.41  General.

    Each testing facility shall be of suitable size and construction to 
facilitate the proper conduct of studies. Testing facilities which are 
not located within an indoor controlled environment shall be of suitable 
location to facilitate the proper conduct of studies. Testing facilities 
shall be designed so that there is a degree of separation that will 
prevent any function or activity from having an adverse effect on the 
study.



Sec.  792.43  Test system care facilities.

    (a) A testing facility shall have a sufficient number of animal 
rooms or other test system areas, as needed, to ensure: proper 
separation of species or test systems, isolation of individual projects, 
quarantine or isolation of animals or other test systems, and routine or 
specialized housing of animals or other test systems.
    (1) In tests with plants or aquatic animals, proper separation of 
species can be accomplished within a room or area by housing them 
separately in different chambers or aquaria. Separation of species is 
unnecessary where the protocol specifies the simultaneous exposure of 
two or more species in the

[[Page 39]]

same chamber, aquarium, or housing unit.
    (2) Aquatic toxicity tests for individual projects shall be isolated 
to the extent necessary to prevent cross-contamination of different 
chemicals used in different tests.
    (b) A testing facility shall have a number of animal rooms or other 
test system areas separate from those described in paragraph (a) of this 
section to ensure isolation of studies being done with test systems or 
test, control, and reference substances known to be biohazardous, 
including volatile substances, aerosols, radioactive materials, and 
infectious agents.
    (c) Separate areas shall be provided, as appropriate, for the 
diagnosis, treatment, and control of laboratory test system diseases. 
These areas shall provide effective isolation for the housing of test 
systems either known or suspected of being diseased, or of being 
carriers of disease, from other test systems.
    (d) Facilities shall have proper provisions for collection and 
disposal of contaminated water, soil, or other spent materials. When 
animals are housed, facilities shall exist for the collection and 
disposal of all animal waste and refuse or for safe sanitary storage of 
waste before removal from the testing facility. Disposal facilities 
shall be so provided and operated as to minimize vermin infestation, 
odors, disease hazards, and environmental contamination.
    (e) Facilities shall have provisions to regulate environmental 
conditions (e.g., temperature, humidity, photoperiod) as specified in 
the protocol.
    (f) For marine test organisms, an adequate supply of clean sea water 
or artificial sea water (prepared from deionized or distilled water and 
sea salt mixture) shall be available. The ranges of composition shall be 
as specified in the protocol.
    (g) For freshwater organisms, an adequate supply of clean water of 
the appropriate hardness, pH, and temperature, and which is free of 
contaminants capable of interfering with the study shall be available as 
specified in the protocol.
    (h) For plants, an adequate supply of soil of the appropriate 
composition, as specified in the protocol, shall be available as needed.



Sec.  792.45  Test system supply facilities.

    (a) There shall be storage areas, as needed, for feed, nutrients, 
soils, bedding, supplies, and equipment. Storage areas for feed, 
nutrients, soils, and bedding shall be separated from areas where the 
test systems are located and shall be protected against infestation or 
contamination. Perishable supplies shall be preserved by appropriate 
means.
    (b) When appropriate, plant supply facilities shall be provided. 
These include:
    (1) Facilities, as specified in the protocol, for holding, 
culturing, and maintaining algae and aquatic plants.
    (2) Facilities, as specified in the protocol, for plant growth, 
including but not limited to, greenhouses, growth chambers, light banks, 
and fields.
    (c) When appropriate, facilities for aquatic animal tests shall be 
provided. These include but are not limited to aquaria, holding tanks, 
ponds, and ancillary equipment, as specified in the protocol.



Sec.  792.47  Facilities for handling test, control, and reference substances.

    (a) As necessary to prevent contamination or mixups, there shall be 
separate areas for:
    (1) Receipt and storage of the test, control, and reference 
substances.
    (2) Mixing of the test, control, and reference substances with a 
carrier, e.g., feed.
    (3) Storage of the test, control, and reference substance mixtures.
    (b) Storage areas for test, control, and/or reference substance and 
for test, control, and/or reference mixtures shall be separate from 
areas housing the test systems and shall be adequate to preserve the 
identity, strength, purity, and stability of the substances and 
mixtures.



Sec.  792.49  Laboratory operation areas.

    Separate laboratory space and other space shall be provided, as 
needed, for the performance of the routine and specialized procedures 
required by studies.

[[Page 40]]



Sec.  792.51  Specimen and data storage facilities.

    Space shall be provided for archives, limited to access by 
authorized personnel only, for the storage and retrieval of all raw data 
and specimens from completed studies.



                           Subpart D_Equipment



Sec.  792.61  Equipment design.

    Equipment used in the generation, measurement, or assessment of data 
and equipment used for facility environmental control shall be of 
appropriate design and adequate capacity to function according to the 
protocol and shall be suitably located for operation, inspection, 
cleaning, and maintenance.



Sec.  792.63  Maintenance and calibration of equipment.

    (a) Equipment shall be adequately inspected, cleaned, and 
maintained. Equipment used for the generation, measurement, or 
assessment of data shall be adequately tested, calibrated, and/or 
standardized.
    (b) The written standard operating procedures required under Sec.  
792.81(b)(11) shall set forth in sufficient detail the methods, 
materials, and schedules to be used in the routine inspection, cleaning, 
maintenance, testing, calibration, and/or standardization of equipment, 
and shall specify, when appropriate, remedial action to be taken in the 
event of failure or malfunction of equipment. The written standard 
operating procedures shall designate the person responsible for the 
performance of each operation.
    (c) Written records shall be maintained of all inspection, 
maintenance, testing, calibrating, and/or standardizing operations. 
These records, containing the date of the operation, shall describe 
whether the maintenance operations were routine and followed the written 
standard operating procedures. Written records shall be kept of 
nonroutine repairs performed on equipment as a result of failure and 
malfunction. Such records shall document the nature of the defect, how 
and when the defect was discovered, and any remedial action taken in 
response to the defect.



                 Subpart E_Testing Facilities Operation



Sec.  792.81  Standard operating procedures.

    (a) A testing facility shall have standard operating procedures in 
writing, setting forth study methods that management is satisfied are 
adequate to insure the quality and integrity of the data generated in 
the course of a study. All deviations in a study from standard operating 
procedures shall be authorized by the study director and shall be 
documented in the raw data. Significant changes in established standard 
operating procedures shall be properly authorized in writing by 
management.
    (b) Standard operating procedures shall be established for, but not 
limited to, the following:
    (1) Test system room preparation.
    (2) Test system care.
    (3) Receipt, identification, storage, handling, mixing, and method 
of sampling of the test, control, and reference substances.
    (4) Test system observations.
    (5) Laboratory or other tests.
    (6) Handling of test systems found moribund or dead during study.
    (7) Necropsy of test systems or postmortem examination of test 
systems.
    (8) Collection and identification of specimens.
    (9) Histopathology.
    (10) Data handling, storage and retrieval.
    (11) Maintenance and calibration of equipment.
    (12) Transfer, proper placement, and identification of test systems.
    (c) Each laboratory or other study area shall have immediately 
available manuals and standard operating procedures relative to the 
laboratory or field procedures being performed. Published literature may 
be used as a supplement to standard operating procedures.
    (d) A historical file of standard operating procedures, and all 
revisions thereof, including the dates of such revisions, shall be 
maintained.



Sec.  792.83  Reagents and solutions.

    All reagents and solutions in the laboratory areas shall be labeled 
to indicate identity, titer or concentration,

[[Page 41]]

storage requirements, and expiration date. Deteriorated or outdated 
reagents and solutions shall not be used.



Sec.  792.90  Animal and other test system care.

    (a) There shall be standard operating procedures for the housing, 
feeding, handling, and care of animals and other test systems.
    (b) All newly received test systems from outside sources shall be 
isolated and their health status or appropriateness for the study shall 
be evaluated. This evaluation shall be in accordance with acceptable 
veterinary medical practice or scientific methods.
    (c) At the initiation of a study, test systems shall be free of any 
disease or condition that might interfere with the purpose or conduct of 
the study. If during the course of the study, the test systems contract 
such a disease or condition, the diseased test systems should be 
isolated, if necessary. These test systems may be treated for disease or 
signs of disease provided that such treatment does not interfere with 
the study. The diagnosis, authorization of treatment, description of 
treatment, and each date of treatment shall be documented and shall be 
retained.
    (d) Warm-blooded animals, adult reptiles, and adult terrestrial 
amphibians used in laboratory procedures that require manipulations and 
observations over an extended period of time, or in studies that require 
these test systems to be removed from and returned to their test system-
housing units for any reason (e.g., cage cleaning, treatment, etc.), 
shall receive appropriate identification (e.g., tattoo, color code, ear 
tag, ear punch, etc.). All information needed to specifically identify 
each test system within the test system-housing unit shall appear on the 
outside of that unit. Suckling mammals and juvenile birds are excluded 
from the requirement of individual identification unless otherwise 
specified in the protocol.
    (e) Except as specified in paragraph (e)(1) of this section, test 
systems of different species shall be housed in separate rooms when 
necessary. Test systems of the same species, but used in different 
studies, should not ordinarily be housed in the same room when 
inadvertent exposure to test, control, or reference substances or test 
system mixup could affect the outcome of either study. If such mixed 
housing is necessary, adequate differentiation by space and 
identification shall be made.
    (1) Plants, invertebrate animals, aquatic vertebrate animals, and 
organisms that may be used in multispecies tests need not be housed in 
separate rooms, provided that they are adequately segregated to avoid 
mixup and cross contamination.
    (2) [Reserved]
    (f) Cages, racks, pens, enclosures, aquaria, holding tanks, ponds, 
growth chambers, and other holding, rearing, and breeding areas, and 
accessory equipment, shall be cleaned and sanitized at appropriate 
intervals.
    (g) Feed, soil, and water used for the test systems shall be 
analyzed periodically to ensure that contaminants known to be capable of 
interfering with the study and reasonably expected to be present in such 
feed, soil, or water are not present at levels above those specified in 
the protocol. Documentation of such analyses shall be maintained as raw 
data.
    (h) Bedding used in animal cages or pens shall not interfere with 
the purpose or conduct of the study and shall be changed as often as 
necessary to keep the animals dry and clean.
    (i) If any pest control materials are used, the use shall be 
documented. Cleaning and pest control materials that interfere with the 
study shall not be used.
    (j) All plant and animal test systems shall be acclimatized to the 
environmental conditions of the test, prior to their use in a study.



            Subpart F_Test, Control, and Reference Substances



Sec.  792.105  Test, control, and reference substance characterization.

    (a) The identity, strength, purity, and composition, or other 
characteristics which will appropriately define the test, control, or 
reference substance shall be determined for each batch and shall be 
documented before its use in a study. Methods of synthesis, fabrication, 
or derivation of the test, control,

[[Page 42]]

or reference substance shall be documented by the sponsor or the testing 
facility, and such location of documentation shall be specified.
    (b) When relevant to the conduct of the study the solubility of each 
test, control, or reference substance shall be determined by the testing 
facility or the sponsor before the experimental start date. The 
stability of the test, control or reference substance shall be 
determined before the experimental start date or concomitantly according 
to written standard operating procedures, which provide for periodic 
analysis of each batch.
    (c) Each storage container for a test, control, or reference 
substance shall be labeled by name, chemical abstracts service number 
(CAS) or code number, batch number, expiration date, if any, and, where 
appropriate, storage conditions necessary to maintain the identity, 
strength, purity, and composition of the test, control, or reference 
substance. Storage containers shall be assigned to a particular test 
substance for the duration of the study.
    (d) For studies of more than 4 weeks experimental duration, reserve 
samples from each batch of test, control, and reference substances shall 
be retained for the period of time provided by Sec.  792.195.
    (e) The stability of test, control, and reference substances under 
storage conditions at the test site shall be known for all studies.



Sec.  792.107  Test, control, and reference substance handling.

    Procedures shall be established for a system for the handling of the 
test, control, and reference substances to ensure that:
    (a) There is proper storage.
    (b) Distribution is made in a manner designed to preclude the 
possibility of contamination, deterioration, or damage.
    (c) Proper identification is maintained throughout the distribution 
process.
    (d) The receipt and distribution of each batch is documented. Such 
documentation shall include the date and quantity of each batch 
distributed or returned.



Sec.  792.113  Mixtures of substances with carriers.

    (a) For each test, control, or reference substance that is mixed 
with a carrier, tests by appropriate analytical methods shall be 
conducted:
    (1) To determine the uniformity of the mixture and to determine, 
periodically, the concentration of the test, control, or reference 
substance in the mixture.
    (2) When relevant to the conduct of the experiment, to determine the 
solubility of each test, control, or reference substance in the mixture 
by the testing facility or the sponsor before the experimental start 
date.
    (3) To determine the stability of the test, control or reference 
substance in the mixture before the experimental start date or 
concomitantly according to written standard operating procedures, which 
provide for periodic analysis of each batch.
    (b) Where any of the components of the test, control, or reference 
substance carrier mixture has an expiration date, that date shall be 
clearly shown on the container. If more than one component has an 
expiration date, the earliest date shall be shown.
    (c) If a vehicle is used to facilitate the mixing of a test 
substance with a carrier, assurance shall be provided that the vehicle 
does not interfere with the integrity of the test.



              Subpart G_Protocol for and Conduct of A Study



Sec.  792.120  Protocol.

    (a) Each study shall have an approved written protocol that clearly 
indicates the objectives and all methods for the conduct of the study. 
The protocol shall contain but shall not necessarily be limited to the 
following information:
    (1) A descriptive title and statement of the purpose of the study.
    (2) Identification of the test, control, and reference substance by 
name, chemical abstracts service (CAS) number or code number.
    (3) The name and address of the sponsor and the name and address of 
the testing facility at which the study is being conducted.

[[Page 43]]

    (4) The proposed experimental start and termination dates.
    (5) Justification for selection of the test system.
    (6) Where applicable, the number, body weight, sex, source of 
supply, species, strain, substrain, and age of the test system.
    (7) The procedure for identification of the test system.
    (8) A description of the experimental design, including methods for 
the control of bias.
    (9) Where applicable, a description and/or identification of the 
diet used in the study as well as solvents, emulsifiers and/or other 
materials used to solubilize or suspend the test, control, or reference 
substances before mixing with the carrier. The description shall include 
specifications for acceptable levels of contaminants that are reasonably 
expected to be present in the dietary materials and are known to be 
capable of interfering with the purpose or conduct of the study if 
present at levels greater than established by the specifications.
    (10) The route of administration and the reason for its choice.
    (11) Each dosage level, expressed in milligrams per kilogram of body 
or test system weight or other appropriate units, of the test, control, 
or reference substance to be administered and the method and frequency 
of administration.
    (12) The type and frequency of tests, analyses, and measurements to 
be made.
    (13) The records to be maintained.
    (14) The date of approval of the protocol by the sponsor and the 
dated signature of the study director.
    (15) A statement of the proposed statistical method.
    (b) All changes in or revisions of an approved protocol and the 
reasons therefor shall be documented, signed by the study director, 
dated, and maintained with the protocol.



Sec.  792.130  Conduct of a study.

    (a) The study shall be conducted in accordance with the protocol.
    (b) The test systems shall be monitored in conformity with the 
protocol.
    (c) Specimens shall be identified by test system, study, nature, and 
date of collection. This information shall be located on the specimen 
container or shall accompany the specimen in a manner that precludes 
error in the recording and storage of data.
    (d) In animal studies where histopathology is required, records of 
gross findings for a specimen from postmortem observations shall be 
available to a pathologist when examining that specimen 
histopathologically.
    (e) All data generated during the conduct of a study, except those 
that are generated by automated data collection systems, shall be 
recorded directly, promptly, and legibly in ink. All data entries shall 
be dated on the day of entry and signed or initialed by the person 
entering the data. Any change in entries shall be made so as not to 
obscure the original entry, shall indicate the reason for such change, 
and shall be dated and signed or identified at the time of the change. 
In automated data collection systems, the individual responsible for 
direct data input shall be identified at the time of data input. Any 
change in automated data entries shall be made so as not to obscure the 
original entry, shall indicate the reason for change, shall be dated, 
and the responsible individual shall be identified.



Sec.  792.135  Physical and chemical characterization studies.

    (a) All provisions of the GLPs shall apply to physical and chemical 
characterization studies designed to determine stability, solubility, 
octanol water partition coefficient, volatility, and persistence (such 
as biodegradation, photodegradation, and chemical degradation studies).
    (b) The following GLP standards shall not apply to studies designed 
to determine physical and chemical characteristics of a test, control, 
or reference substance:

Section 792.31 (c), (d), and (g)
Section 792.35 (b) and (c)
Section 792.43
Section 792.45
Section 792.47
Section 792.49
Section 792.81(b) (1), (2), (6) through (9), and (12)
Section 792.90
Section 792.105 (a) through (d)

[[Page 44]]

Section 792.113
Section 792.120(a) (5) through (12), and (15)
Section 792.185(a) (5) through (8), (10), (12), and (14)
Section 792.195 (c) and (d)

Subparts H-I [Reserved]



                      Subpart J_Records and Reports



Sec.  792.185  Reporting of study results.

    (a) A final report shall be prepared for each study and shall 
include, but not necessarily be limited to, the following:
    (1) Name and address of the facility performing the study and the 
dates on which the study was initiated and was completed, terminated, or 
discontinued.
    (2) Objectives and procedures stated in the approved protocol, 
including any changes in the original protocol.
    (3) Statistical methods employed for analyzing the data.
    (4) The test, control, and reference substances identified by name, 
chemical abstracts service (CAS) number or code number, strength, 
purity, and composition, or other appropriate characteristics.
    (5) Stability, and when relevant to the conduct of the study, the 
solubility of the test, control, and reference substances under the 
conditions of administration.
    (6) A description of the methods used.
    (7) A description of the test system used. Where applicable, the 
final report shall include the number of animals or other test organisms 
used, sex, body weight range, source of supply, species, strain and 
substrain, age, and procedure used for identification.
    (8) A description of the dosage, dosage regimen, route of 
administration, and duration.
    (9) A description of all circumstances that may have affected the 
quality or integrity of the data.
    (10) The name of the study director, the names of other scientists 
or professionals and the names of all supervisory personnel, involved in 
the study.
    (11) A description of the transformations, calculations, or 
operations performed on the data, a summary and analysis of the data, 
and a statement of the conclusions drawn from the analysis.
    (12) The signed and dated reports of each of the individual 
scientists or other professionals involved in the study, including each 
person who, at the request or direction of the testing facility or 
sponsor, conducted an analysis or evaluation of data or specimens from 
the study after data generation was completed.
    (13) The locations where all specimens, raw data, and the final 
report are to be stored.
    (14) The statement prepared and signed by the quality assurance unit 
as described in Sec.  792.35(b)(7).
    (b) The final report shall be signed and dated by the study 
director.
    (c) Corrections or additions to a final report shall be in the form 
of an amendment by the study director. The amendment shall clearly 
identify that part of the final report that is being added to or 
corrected and the reasons for the correction or addition, and shall be 
signed and dated by the person responsible. Modification of a final 
report to comply with the submission requirements of EPA does not 
constitute a correction, addition, or amendment to a final report.
    (d) A copy of the final report and of any amendment to it shall be 
maintained by the sponsor and the test facility.



Sec.  792.190  Storage and retrieval of records and data.

    (a) All raw data, documentation, records, protocols, specimens, and 
final reports generated as a result of a study shall be retained. 
Specimens obtained from mutagenicity tests, specimens of soil, water, 
and plants, and wet specimens of blood, urine, feces, and biological 
fluids, do not need to be retained after quality assurance verification. 
Correspondence and other documents relating to interpretation and 
evaluation of data, other than those documents contained in the final 
report, also shall be retained.
    (b) There shall be archives for orderly storage and expedient 
retrieval of all raw data, documentation, protocols, specimens, and 
interim and final reports. Conditions of storage shall minimize 
deterioration of the documents or

[[Page 45]]

specimens in accordance with the requirements for the time period of 
their retention and the nature of the documents of specimens. A testing 
facility may contract with commercial archives to provide a repository 
for all material to be retained. Raw data and specimens may be retained 
elsewhere provided that the archives have specific reference to those 
other locations.
    (c) An individual shall be identified as responsible for the 
archives.
    (d) Only authorized personnel shall enter the archives.
    (e) Material retained or referred to in the archives shall be 
indexed to permit expedient retrieval.



Sec.  792.195  Retention of records.

    (a) Record retention requirements set forth in this section do not 
supersede the record retention requirements of any other regulations in 
this subchapter.
    (b)(1) Except as provided in paragraph (c) of this section, 
documentation records, raw data, and specimens pertaining to a study and 
required to be retained by this part shall be retained in the archive(s) 
for a period of at least ten years following the effective date of the 
applicable final test rule.
    (2) In the case of negotiated testing agreements, each agreement 
will contain a provision that, except as provided in paragraph (c) of 
this section, documentation records, raw data, and specimens pertaining 
to a study and required to be retained by this part shall be retained in 
the archive(s) for a period of at least ten years following the 
publication date of the acceptance of a negotiated test agreement.
    (3) In the case of testing submitted under section 5, except for 
those items listed in paragraph (c) of this section, documentation 
records, raw data, and specimens pertaining to a study and required to 
be retained by this part shall be retained in the archive(s) for a 
period of at least five years following the date on which the results of 
the study are submitted to the agency.
    (c) Wet specimens, samples of test, control, or reference 
substances, and specially prepared material which are relatively fragile 
and differ markedly in stability and quality during storage, shall be 
retained only as long as the quality of the preparation affords 
evaluation. Specimens obtained from mutagenicity tests, specimens of 
soil, water, and plants, and wet specimens of blood, urine, feces, 
biological fluids, do not need to be retained after quality assurance 
verification. In no case shall retention be required for longer periods 
than those set forth in paragraph (b) of this section.
    (d) The master schedule sheet, copies of protocols, and records of 
quality assurance inspections, as required by Sec.  792.35(c) shall be 
maintained by the quality assurance unit as an easily accessible system 
of records for the period of time specified in paragraph (b) of this 
section.
    (e) Summaries of training and experience and job descriptions 
required to be maintained by Sec.  792.29(b) may be retained along with 
all other testing facility employment records for the length of time 
specified in paragraph (b) of this section.
    (f) Records and reports of the maintenance and calibration and 
inspection of equipment, as required by Sec.  792.63 (b) and (c), shall 
be retained for the length of time specified in paragraph (b) of this 
section.
    (g) If a facility conducting testing or an archive contracting 
facility goes out of business, all raw data, documentation, and other 
material specified in this section shall be transferred to the archives 
of the sponsor of the study. The EPA shall be notified in writing of 
such a transfer.
    (h) Specimens, samples, or other non-documentary materials need not 
be retained after EPA has notified in writing the sponsor or testing 
facility holding the materials that retention is no longer required by 
EPA. Such notification normally will be furnished upon request after EPA 
or FDA has completed an audit of the particular study to which the 
materials relate and EPA has concluded that the study was conducted in 
accordance with this part.
    (i) Records required by this part may be retained either as original 
records or as true copies such as photocopies, microfilm, microfiche, or 
other accurate reproductions of the original records.

[[Page 46]]



PART 795_PROVISIONAL TEST GUIDELINES--Table of Contents

Subpart A [Reserved]

             Subpart B_Provisional Chemical Fate Guidelines

Sec.
795.70 Indirect photolysis screening test: Sunlight photolysis in waters 
          containing dissolved humic substances.

         Subpart C_Provisional Environmental Effects Guidelines

795.120 Gammarid acute toxicity test.

             Subpart D_Provisional Health Effects Guidelines

795.225 Dermal pharmacokinetics of DGBE and DGBA.
795.228 Oral/dermal pharmacokinetics.
795.231 Pharmacokinetics of isopropanal.
795.232 Inhalation and dermal pharmacokinetics of commercial hexane.
795.250 Developmental neurotoxicity screen.

    Authority: 15 U.S.C. 2603.

Subpart A [Reserved]



             Subpart B_Provisional Chemical Fate Guidelines



Sec.  795.70  Indirect photolysis screening test: Sunlight photolysis in waters containing dissolved humic substances.

    (a) Introduction. (1) Chemicals dissolved in natural waters are 
subject to two types of photoreaction. In the first case, the chemical 
of interest absorbs sunlight directly and is transformed to products 
when unstable excited states of the molecule decompose. In the second 
case, reaction of dissolved chemical is the result of chemical or 
electronic excitation transfer from light-absorbing humic species in the 
natural water. In contrast to direct photolysis, this photoreaction is 
governed initially by the spectroscopic properties of the natural water.
    (2) In general, both indirect and direct processes can proceed 
simultaneously. Under favorable conditions the measurement of a 
photoreaction rate constant in sunlight (KpE) in a natural 
water body will yield a net value that is the sum of two first-order 
reaction rate constants for the direct (kDE) and indirect 
(kIE) pathways which can be expressed by the relationship

                               Equation 1

kpE=kDE+kIE.


This relationship is obtained when the reaction volume is optically thin 
so that a negligible fraction of the incident light is absorbed and is 
sufficiently dilute in test chemical; thus the direct and indirect 
photoreaction processes become first-order.
    (3) In pure water only, direct photoreaction is possible, although 
hydrolysis, biotransformation, sorption, and volatilization also can 
decrease the concentraton of a test chemical. By measuring 
kpE in a natural water and kDE in pure water, 
kIE can be calculated.
    (4) Two protocols have been written that measure kDE in 
sunlight or predict kDE in sunlight from laboratory 
measurements with monochromatic light (USEPA (1984) under paragraph 
(f)(14) and (15) of this section; Mill et al. (1981) under paragraph 
(f)(9) of this section; Mill et al. (1982) under paragraph (f)(10) of 
this section; Mill et al. (1983) under paragraphs (f)(11) of this 
section). As a preface to the use of the present protocol, it is not 
necessary to know kDE; it will be determined under conditions 
that definitively establish whether kIE is significant with 
respect to kDE.
    (5) This protocol provides a cost effective test method for 
measuring kIE for test chemicals in a natural water 
(synthetic humic water, SHW) derived from commercial humic material. It 
describes the preparation and standardization of SHW. To implement the 
method, a test chemical is exposed to sunlight in round tubes containing 
SHW and tubes containing pure water for defined periods of time based on 
a screening test.
    (6) To correct for variations in solar irradiance during the 
reaction period, an actinometer is simultaneously insolated. From these 
data, an indirect photoreaction rate constant is calculated that is 
applicable to clear-sky, near-surface, conditions in fresh water bodies.

[[Page 47]]

    (7) In contrast to kDE, which, once measured, can be 
calculated for different seasons and latitudes, kIE only 
applies to the season and latitude for which it is determined. This 
condition exists because the solar action spectrum for indirect 
photoreaction in humic-containing waters is not generally known and 
would be expected to change for different test chemicals. For this 
reason, kpE, which contains kIE, is likewise valid 
only for the experimental data and latitude.
    (8) The value of kpE represents an atypical quantity 
because kIE will change somewhat from water body to water 
body as the amount and quality of dissolved aquatic humic substances 
change. Studies have shown, however, that for optically-matched natural 
waters, these differences are usually within a factor of two (Zepp et 
al. (1981) under paragraph (f)(17) of this section).
    (9) This protocol consists of three separate phases that should be 
completed in the following order: In Phase 1, SHW is prepared and 
adjusted; in Phase 2, the test chemical is irradiated in SHW and pure 
water (PW) to obtain approximate sunlight photoreaction rate constants 
and to determine whether direct and indirect photoprocesses are 
important; in Phase 3, the test chemical is again irradiated in PW and 
SHW. To correct for photobleaching of SHW and also solar irradiance 
variations, tubes containing SHW and actinometer solutions are exposed 
simultaneously. From these data kpE is calculated that is the 
sum of kIE and kDE (Equation 1) (Winterle and Mill 
(1985) under paragraph (f)(12) of this section).
    (b) Phase 1--Preparation and standardization of synthetic natural 
water--(1) Approach. (i) Recent studies have demonstrated that natural 
waters can promote the indirect (or sensitized) photoreaction of 
dissolved organic chemicals. This reactivity is imparted by dissolved 
organic material (DOM) in the form of humic substances. These materials 
absorb sunlight and produce reactive intermediates that include singlet 
oxygen (\1\02) (Zepp et al. (1977) under paragraph (f)(20) of 
this section, Zepp et al. (1981) under paragraph (f)(17) of this 
section, Zepp et al. (1981) under paragraph (f)(18) of this section, 
Wolff et al. (1981) under paragraph (f)(16) of this section, Haag et al. 
(1984) under paragraph (f)(6) of this section, Haag et al. (1984) under 
paragraph (f)(7) of this section); peroxy radicals (RO2-) 
(Mill et al. (1981) under paragraph (f)(9) of this section; Mill et al. 
(1983) under paragraph (f)(8) of this section); hydroxyl radicals (HO-) 
(Mill et al. (1981) under paragraph (f)(9) of this section, Draper and 
Crosby (1981, 1984) under paragraphs (f)(3) and (4) of this section); 
superoxide anion (02--) and hydroperoxy radicals 
(HO-). (Cooper and Zika (1983) under paragraph (f)(1) of this section, 
Draper and Crosby (1983) under paragraph (f)(2) of this section); and 
triplet excited states of the humic substances (Zepp et al. (1981) under 
paragraph (f)(17) of this section, Zepp et al. (1985) under paragraph 
(f)(21) of this section). Synthetic humic waters, prepared by extracting 
commercial humic or fulvic materials with water, photoreact similarly to 
natural waters when optically matched (Zepp et al. (1981) under 
paragraphs (f)(17) and (18) of this section).
    (ii) The indirect photoreactivity of a chemical in a natural water 
will depend on its response to these reactive intermediates, and 
possibly others yet unknown, as well as the ability of the water to 
generate such species. This latter feature will vary from water-to-water 
in an unpredictable way, judged by the complexity of the situation.
    (iii) The approach to standardizing a test for indirect 
photoreactivity is to use a synthetic humic water (SHW) prepared by 
water-extracting commercial humic material. This material is 
inexpensive, and available to any laboratory, in contrast to a specific 
natural water. The SHW can be diluted to a dissolved organic carbon 
(DOC) content and uv-visible absorbance typical of most surface fresh 
waters.
    (iv) In recent studies it has been found that the reactivity of SHW 
mixtures depends on pH, and also the history of sunlight exposure (Mill 
et al. (1983) under paragraph (f)(11) of this section). The SHW 
solutions initially photobleach with a time-dependent rate constant. As 
such, an SHW test system has been designed that is buffered to maintain 
pH and is pre-aged in sunlight to produce, subsequently, a predictable 
bleaching behavior.

[[Page 48]]

    (v) The purpose of Phase 1 is to prepare, pre-age, and dilute SHW to 
a standard mixture under defined, reproducible conditions.
    (2) Procedure. (i) Twenty grams of Aldrich humic acid are added to a 
clean 2-liter Pyrex Erlenmeyer flask. The flask is filled with 2 liters 
of 0.1 percent NaOH solution. A stir bar is added to the flask, the 
flask is capped, and the solution is stirred for 1 hour at room 
temperature. At the end of this time the dark brown supernatant is 
decanted off and either filtered through coarse filter paper or 
centrifuged and then filtered through 0.4 )m microfilter. The pH is 
adjusted to 7.0 with dilute H2SO4 and filter 
sterilized through a 0.2 )m filter into a rigorously cleaned 2-liter 
Erlenmeyer flask. This mixture contains roughly 60 ppm DOC and the 
absorbance (in a 1 cm path length cell) is approximately 1.7 at 313 nm 
and 0.7 at 370 nm.
    (ii) Pre-aging is accomplished by exposing the concentrated solution 
in the 2-liter flask to direct sunlight for 4 days in early spring or 
late fall; 3 days in late spring, summer, or early fall. At this time 
the absorbance of the solution is measured at 370 nm, and a dilution 
factor is calculated to decrease the absorbance to 0.50 in a 1 cm path 
length cell. If necessary, the pH is re-adjusted to 7.0. Finally, the 
mixture is brought to exact dilution with a precalculated volume of 
reagent-grade water to give a final absorbance of 0.500 in a 1-cm path 
length cell at 370 nm. It is tightly capped and refrigerated.
    (iii) This mixture is SHW stock solution. Before use it is diluted 
10-fold with 0.010 M phosphate buffer to produce a pH 7.0 mixture with 
an absorbance of 5.00x10-2 at 370 nm, and a dissolved organic 
carbon of about 5 ppm. Such values are characteristic of many surface 
fresh waters.
    (3) Rationale. The foregoing procedure is designed to produce a 
standard humic-containing solution that is pH controlled, and 
sufficiently aged that its photobleaching first-order rate constant is 
not time dependent. It has been demonstrated that after 7 days of winter 
sunlight exposure, SHW solutions photobleached with a nearly constant 
rate constant (Mill et al. (1983) under paragraph (f)(11) of this 
section).
    (c) Phase 2--Screening test--(1) Introduction and purpose. (i) Phase 
2 measurements provide approximate solar photolysis rate constants and 
half-lives of test chemicals in PW and SHW. If the photoreaction rate in 
SHW is significantly larger than in PW (factor of  2X) then 
the test chemical is subject to indirect photoreaction and Phase 3 is 
necessary. Phase 2 data are needed for more accurate Phase 3 
measurements, which require parallel solar irradiation of actinometer 
and test chemical solutions. The actinometer composition is adjusted 
according to the results of Phase 2 for each chemical, to equalize as 
much as possible photoreaction rate constants of chemical in SHW and 
actinometer.
    (ii) In Phase 2, sunlight photoreaction rate constants are measured 
in round tubes containing SHW and then mathematically corrected to a 
flat water surface geometry. These rate constants are not corrected to 
clear-sky conditions.
    (2) Procedure. (i) Solutions of test chemicals should be prepared 
using sterile, air-saturated, 0.010 M, pH 7.0 phosphate buffer and 
reagent-grade (or purer) chemicals.\1\ Reaction mixtures should be 
prepared with chemicals at concentrations at less than one-half their 
solubility in pure water and at concentrations such that, at any 
wavelengths above 290 nm, the absorbance in a standard quartz sample 
cell with a 1-cm path length is less than 0.05. If the chemicals are too 
insoluble in water to permit reasonable handling or analytical 
procedures, 1-volume percent acetonitrile may be added to the buffer as 
a cosolvent.
---------------------------------------------------------------------------

    \1\ The water should be ASTM Type IIA, or an equivalent grade.
---------------------------------------------------------------------------

    (ii) This solution should be mixed 9.00:1.00 by volume with PW or 
SHW stock solution to provide working solutions. In the case of SHW, it 
gives a ten-fold dilution of SHW stock solution. Six mL aliquots of each 
working solution should then be transferred to separate 12 x 100 mm 
quartz tubes with screw tops and tightly sealed with Mininert valves.\2\ 
Twenty four tubes are required for each chemical solution

[[Page 49]]

(12 samples and 12 dark controls), to give a total of 48 tubes.
---------------------------------------------------------------------------

    \2\ Mininert Teflon sampling vials are available from Alltech 
Associates, Inc., 202 Campus Dr., Arlington Heights, IL 60004.
---------------------------------------------------------------------------

    (iii) The sample tubes are mounted in a photolysis rack with the 
tops facing geographically north and inclined 30[deg] from the 
horizontal. The rack should be placed outdoors over a black background 
in a location free of shadows and excessive reflection.
    (iv) Reaction progress should be measured with an analytical 
technique that provides a precision of at least 5 
percent. High pressure liquid chromatography (HPLC) or gas chromatograph 
(GC) have proven to be the most general and precise analytical 
techniques.
    (v) Sample and control solution concentrations are calculated by 
averaging analytical measurements for each solution. Control solutions 
should be analyzed at least twice at zero time and at other times to 
determine whether any loss of chemical in controls or samples has 
occurred by some adventitious process during the experiment.
    (vi) Whenever possible the following procedures should be completed 
in clear, warm, weather so that solutions will photolyze more quickly 
and not freeze.
    (A) Starting at noon on day zero, expose to sunlight 24 sample tubes 
mounted on the rack described above. Tape 24 foil-wrapped controls to 
the bottom of the rack.
    (B) Analyze two sample tubes and two unexposed controls in PW and 
SHW for chemical at 24 hours. Calculate the round tube photolysis rate 
constants (kp)SHW and (kp)W 
if the percent conversions are J 20 percent but F 80 percent. The rate 
constants (kp)SHW and (kp)W 
are calculated, respectively, from Equations 2 and 3:

                               Equation 2

(kp)SHW=(1/t)Pn(Co/
    Ct)SHW (in d-1)

                               Equation 3

(kp)W=(1/t)Pn(Co/
    Ct)W (in d-1),


where the subscript identifies a reaction in SHW or PW; t is the 
photolysis time in calendar days; Co is the initial molar 
concentration; and Ct is the molar concentration in the 
irradiated tube at t. In this case t=1 day.

    (C) If less than 20 percent conversion occurs in SHW in 1 day, 
repeat the procedure for SHW and PW at 2 days, 4 days, 8 days, or 16 
days, or until 20 percent conversion is reached. Do not extend the 
experiment past 16 days. If less than 20 percent photoreaction occurs in 
SHW at the end of 16 days the chemical is ``photoinert''. Phase 3 is not 
applicable.
    (D) If more than 80 percent photoreaction occurs at the end of day 1 
in SHW, repeat the experiment with eight each of the remaining foil-
wrapped PW and SHW controls. Divide these sets into four sample tubes 
each, leaving four foil-wrapped controls taped to the bottom of the 
rack.
    (1) Expose tubes of chemical in SHW and PW to sunlight starting at 
0900 hours and remove one tube and one control at 1, 2, 4, and 8 hours. 
Analyze all tubes the next day.
    (2) Extimate (kp)SHW for the first tube in 
which photoreaction is J 20 percent but F 80 percent. If more than 80 
percent conversion occurs in the first SHW tube, report: ``The half-life 
is less than one hour'' and end all testing. The chemical is 
``photolabile.'' Phase 3 is not applicable.
    (3) The rate constants (kp)SHW and 
(kp)W are calculated from equations 2 and 3 but 
the time of irradiation must be adjusted to reflect the fact that day-
averaged rate constants are approximately one-third of rate constants 
averaged over only 8 daylight hours. For 1 hour of insolation enter 
t=0.125 day into equation 2. For reaction times of 2, 4, and 8 hours 
enter 0.25, 0.50 and 1.0 days, respectively. Proceed to Phase 3 testing.
    (4) Once (kp)SHW and 
(kp)W are measured, determine the ratio R from 
equation 4:

                               Equation 4

R=(kp)SHW/(kp)W.


The coefficient R, defined by Equation 4, is equal to 
[(kI+kD)/kD]. If R is in the range 0 to 
1, the photoreaction is inhibited by the synthetic humic water and Phase 
3 does not apply. If R is in the range 1 to 2, the test chemical is 
marginally susceptable to indirect photolysis. In this case, Phase 3 
studies are optional. If R is greater than 2,

[[Page 50]]

Phase 3 measurements are necessary to measure kpE and to 
evaluate kIE.
    (vii) Since the rate of photolysis in tubes is faster than the rate 
in natural water bodies, values of near-surface photolysis rate 
constants in natural and pure water bodies, kpE and 
kDE, respectively, can be obtained from 
(kp)SHW and (kp)W from 
Equations 5 and 6:

                               Equation 5

kpE=0.45(kp)SHW

                               Equation 6

kDE=0.45(kp)W.


The factor 0.45 is an approximate geometric correction for scattered 
light in tubes versus horizontal surfaces. A rough value of 
kIE, the rate constant for indirect photolysis in natural 
waters or SHW, can be estimated from the difference between 
kpE and kDE using Equation 7:

                               Equation 7

kIE=kpE-kDE.

    (3) Criteria for Phase 2. (i) If no loss of chemical is found in 
dark control solutions compared with the analysis in tubes at zero time 
(within experimental error), any loss of chemical in sunlight is assumed 
to be due to photolysis, and the procedure provides a valid estimate of 
kpE and kDE. Any loss of chemical in the dark-
control solutions may indicate the intervention of some other loss 
process such as hydrolysis, microbial degradation, or volatilization. In 
this case, more detailed experiments are needed to trace the problem and 
if possible eliminate or minimize the source of loss.
    (ii) Rate constants determined by the Phase 2 protocol depend upon 
latitude, season, and weather conditions. Note that 
(kp)SHW and kD values apply to round 
tubes and kpE and kDE values apply to a natural 
water body. Because both (kp)SHW and kD 
are measured under the same conditions the ratio 
((kp)SHW/kD) is a valid measure of the 
susceptibility of a chemical to indirect photolysis. However, since SHW 
is subject to photobleaching, (kp)SHW will 
decrease with time because the indirect rate will diminish. Therefore, R 
2 is considered to be a conservative limit because 
(kp)SHW will become systematically smaller with 
time.
    (4) Rationale. The Phase 2 protocol is a simple procedure for 
evaluating direct and indirect sunlight photolysis rate constants of a 
chemical at a specific time of year and latitude. It provides a rough 
rate constant for the chemical in SHW that is necessary for Phase 3 
testing. By comparison with the direct photoreaction rate constant, it 
can be seen whether the chemical is subject to indirect photoreaction 
and whether Phase 3 tests are necessary.
    (5) Scope and limitations. (i) Phase 2 testing separates test 
chemicals into three convenient categories: ``Photolabile'', 
``photoinert'', and those chemicals having sunlight half-lives in round 
tubes in the range of 1 hour to 50 days. Chemicals in the first two 
categories fall outside the practical limits of the test, and cannot be 
used in Phase 3. All other chemicals are suitable for Phase 3 testing.
    (ii) The test procedure is simple and inexpensive, but does require 
that the chemical dissolve in water at sufficient concentrations to be 
measured by some analytical technique but not have appreciable 
absorbance in the range 290 to 825 nm. Phase 2 tests should be done 
during a clear-sky period to obtain the best results. Testing will be 
less accurate for chemicals with half-lives of less than 1 day because 
dramatic fluctuations in sunlight intensity can arise from transient 
weather conditions and the difficulty of assigning equivalent reaction 
times. Normal diurnal variations also affect the photolysis rate 
constant. Phase 3 tests should be started as soon as possible after the 
Phase 2 tests to ensure that the (kp)SHW estimate 
remains valid.
    (6) Illustrative Example. (i) Chemical A was dissolved in 0.010 M pH 
7.0 buffer. The solution was filtered through a 0.2 )m filter, air 
saturated, and analyzed. It contained 1.7x10 -5 M A, five-
fold less than its water solubility of 8.5x10 -5 M at 25 
[deg]C. A uv spectrum (1-cm path length) versus buffer blank showed no 
absorbance greater than 0.05 in the wavelength interval 290 to 825 nm, a 
condition required for the Phase 2 protocol. The 180 mL mixture was 
diluted

[[Page 51]]

by the addition of 20 mL of SHW stock solution.
    (ii) The SHW solution of A was photolyzed in sealed quartz tubes 
(12x100 mm) in the fall season starting on October 1. At the end of 1 
and 2 days, respectively, the concentration of A was found to be 1.13x10 
-5 M and 0.92x10 -5 M compared to unchanged dark 
controls (1.53x10 -5 M).
    (iii) The tube photolysis rate constant of chemical A was calculated 
from Equation 2 under paragraph (c)(2)(vi)(B) of this section. The first 
time point at day 1 was used because the fraction of A remaining was in 
the range 20 to 80 percent:

(kp)SHW=(1/1d)Pn(1.53x10 -5/1.13 x10 
    -5) (kp)SHW=0.30 d-1.

    (iv) From this value, kpE was found to be 0.14 d-\1\ 
using equation 5 under paragraph (c)(2)(vii) of this section:

kpE=0.45(0.30 d-1)=0.14d-1.

    (v) From measurements in pure water, kD for chemical A 
was found to be 0.085 d-1. Because the ratio of 
(kp)SHW/kD(=3.5) is greater than 2, 
Phase 3 experiments were started.
    (d) Phase 3--Indirect photoreaction with actinometer: Calculation of 
kIE and kpE--(1) Introduction and purpose.
    (i) The purpose of Phase 3 is to measure kIo, the 
indirect photolysis rate constant in tubes, and then to calculate 
kpE for the test chemical in a natural water. If the 
approximate (kp)SHW determined in Phase 2 is not 
significantly greater than kD measured for the experiment 
date of Phase 2, then Phase 3 is unnecessary because the test chemical 
is not subject to indirect photoreaction.
    (ii) In the case (kp)SHW is significantly 
larger than kD, Phase 3 is necessary. The rate constant 
(kp)SHW is used to choose an actinometer 
composition that matches the actinometer rate to the test chemical rate. 
Test chemical solutions in SHW and in pure water buffer are then 
irradiated in sunlight in parallel with actinometer solutions, all in 
tubes.
    (iii) The actinometer used is the p-nitroacetophenone-pyridine 
(PNAP/PYR) system developed by Dulin and Mill (1982) under paragraph 
(f)(5) of this section and is used in two EPA test guidelines (USEPA 
(1984) under paragraphs (f) (14) and (15) of this section). By varying 
the pyridine concentration, the PNAP photolysis half-life can be 
adjusted over a range of several hours to several weeks. The starting 
PNAP concentration is held constant.
    (iv) SHW is subject to photobleaching that decreases its ability to 
promote indirect photolysis based on its ability to absorb sunlight. 
This effect will be significant when the test period exceeds a few days. 
To correct for photobleaching, tubes containing SHW are irradiated in 
action to the other tubes above.
    (v) At any time, the loss of test chemical is given by Equation 8 
assuming actinometric correction to constant light flux:

                               Equation 8

-(d[C]/dt)=kI[C]+kD[C].

    (vi) The indirect photolysis rate constant, kI, is 
actually time dependent because SHW photobleaches; the rate constant 
kI, after pre-aging, obeys the formula:

                               Equation 9

kI=kIo exp(-kt),


in which kIo is the initial indirect photoreaction rate 
constant and k is the SHW photobleaching rate constant. After 
substituting equation 9 for kI in Equation 8 under paragraph 
(d)(1)(v) of this section, and rearranging, one obtains

-(d[C]/[C]=kIo[exp(-kt)]dt+kD dt.


This expression is integrated to give Equation 10:

                               Equation 10

Pn(Co/C)SHW=(kIo/k)[1-exp(-
    kt)]+kD t.


The term (kIo/k) can now be evaluated. Since in pure water, 
Pn(Co/C)W=kD t, then subtracting this 
equation from Equation 10 gives

                               Equation 11

Pn(Co/C)SHW-Pn(co/
    C)W=(kIo/k)[1-exp(-kt)].


The photobleaching fraction, [1-exp(-kt)], is equivalent to the 
expression [1-

[[Page 52]]

(A370/A[deg]370)], where A[deg]370 and 
A370 are the absorbances at 370 nm, and are proportional to 
humic sensitizer content at times zero and t. Therefore, 
(kIo/k) is derived from the slope of a linear regression 
using [Pn(Co/C)SHW-Pn(Co/
C)W] as the dependent variable and [1-(A370/
A[deg]370)SHW] as the independent variable.
    (vii) To evaluate kIo, the parameter k has to be 
evaluated under standard sunlight conditions. Therefore, the photolysis 
rate constant for the PNAP/PYR actinometer (kA) is used to 
evaluate k by linear regression on Equation 12:

                               Equation 12

Pn(A[deg]370/A370)=(k/
    kA)Pn(Co/C)PNAP,


where the slope is (k/kA) and the value of kA is 
calculated from the concentration of pyridine and the absorption of 
light by PNAP: kA=2.2(0.0169)[PYR]ka. Values of 
ka are listed in the following Table 1.

 Table 1--Day Averaged Rate Constant (ka) \1\ for Sunlight Absorption by
          PNAP as a Function of Season and Decadic Latitude \2\
------------------------------------------------------------------------
                                                       Season
                 Latitude                 ------------------------------
                                           Spring  Summer   Fall  Winter
------------------------------------------------------------------------
20[deg]N.................................     515     551    409     327
30[deg]N.................................     483     551    333     232
40[deg]N.................................     431     532    245     139
50[deg]N.................................     362     496    154      64
------------------------------------------------------------------------
\1\ ka=@ ega Lg in the units of day \-1\, (Mill et al. (1982) under
  paragraph (f)(10) of this section).
\2\ For use in Equation 15 under paragraph (d)(2)(i) of this section.


The value of kIo is then given by Equation 13:

                               Equation 13

kIo=(kIo/k)(k/kA)kA.

    (viii) To obtain kD, determine the ratio (kD/
kA) from a linear regression of Pn(Co/
C)W versus Pn(Co/C)PNAP according to 
Equation 13a:

                              Equation 13a

Pn(Co/C)W=(kD/
    kA)Pn(Co/C)PNAP.


The slope is (kD/kA), and kD is 
obtained by multiplication of this slope with the known value of 
kA: i.e., kD=(kD/
kA)kA.
    (ix) Then, (kp)SHW values in SHW are 
determined by summing kD and KIo as follows:

                               Equation 14

(kp)SHW=kIo+kD.

    (x) Finally, kpE is calculated from the precise 
relationship, Equation 5a:

                               Equation 5a

kpE=0.455(kp)SHW.

    (2) Procedure. (i) Using the test chemical photoreaction rate 
constant in round tubes, (kp) SHW' determined in 
Phase 2 under paragraph (c) of this section, and the absorption rate 
constant, k[alpha] found in Table 1, under paragraph (d)(1)(vii) of this 
section, calculate the molar pyridine concentration required by the 
PNAP/PYR actinometer using Equation 15:

                               Equation 15

[PYR]/M=26.9[(kp) SHW/ka].


This pyridine concentration makes the actinometer rate constant match 
the test chemical rate constant.
    (A) The variable ka (= @ e ga Lg) 
is equal to the day-averaged rate constant for sunlight absorption by 
PNAP (USEPA (1984) under paragraph (f)(14) of this section; Mill et al. 
(1982) under paragraph (f)(10) of this section, Zepp and Cline (1977) 
under paragraph (f)(19) of this section) which changes with season and 
latitude.
    (B) The variable ka is selected from Table 1 under 
paragraph (d)(1)(vii) of this section for the season nearest the mid-
experiment date of Phase 2 studies and the decadic latitude nearest the 
experimental site.
    (ii) Once [PYR] is determined, an actinometer solution is prepared 
by adding 1.00 mL of 1.0x10-2 M (0.165 gms/100 mL) PNAP stock 
solution (in CH3 CN solvent) and the required volume, V, of 
PYR to a 1 liter volumetric flask. The flask is then filled with 
distilled water to give 1 liter of solution. The volume V can be 
calculated from Equation 16:

                               Equation 16

V/mL=[PYR]/0.0124.


[[Page 53]]



The PNAP/PYR solutions should be wrapped with aluminum foil and kept out 
of bright light after preparation.
    (iii) The following solutions should be prepared and individually 
added in 6.00 mL aliquots to 12/100 mm quartz sample tubes; 8 tubes 
should be filled with each solution:
    (A) PNAP/PYR actinometer solution.
    (B) Test chemical in pH 7.0, 0.010 M phosphate buffer.
    (C) Test chemcial in pH 7.0, 0.010 M phosphate buffer/SHW.
    (D) pH 7.0, 0.010 M phosphate buffer/SHW. Four tubes of each set are 
wrapped in foil and used as controls.
    (iv) The tubes are placed in the photolysis rack (Phase 2, 
Procedure) at 0900 hours on day zero, with the controls taped to the 
bottom of the rack. One tube of each composition is removed, along with 
their respective controls, according to a schedule found in Table 2, 
which categorizes sampling times on the basis of 
(kp)SHW determined in Phase 1.

    Table 2--Category and Sampling Procedure for Test and Actinometry
                                Solutions
------------------------------------------------------------------------
            Category                 kp (d-1)SHW      Sampling procedure
------------------------------------------------------------------------
A..............................  5.5 J Kp J 0.69      Sample at 0, 1, 2,
                                                       4, and 8h.
B..............................  0.69 kp   Sample at 0, 1, 2,
                                  J 0.017              4, and 8d.
C..............................  0.17 kp   Sample at 0, 4, 8,
                                  J 0.043              16, and 32d.
------------------------------------------------------------------------

    (v) The tubes containing PNAP, test chemical, and their controls are 
analyzed for residual concentrations soon after the end of the 
experiment. PNAP is conveniently analyzed by HPLC, using a 30 cm 
C18 reverse phase column and a uv detector set at 280 nm. The 
mobile phase is 2 percent acetic acid, 50 percent acetonitrile and 48 
percent water (2 mL/min flow rate). Tubes containing only SHW (solution 
D) should be analyzed by absorption spectroscopy at 370 nm after storage 
at 4 [deg]C in the dark. The absorbance range to be measured is 0.05 to 
0.01 AU (1 cm).
    (vi) If controls are well-behaved and show no significant loss of 
chemical or absorbance change, then kI can be calculated. In 
tabular form (see Table 4 under paragraph (d)(6)(iii)(A) of this 
section) arrange the quantities Pn(Co/Ct) 
SHW, Pn(Co/Ct)SHW, [1-
(A370/A\o\370)], Pn(A\o\370/
A370), and Pn(Co/C)PNAP in order of 
increasing time. According to Equation 11 under paragraph (d)(1)(vi) of 
this section in the form of Equation 17,

                               Equation 17

Pn(Co/C)SHW-Pn(Co/
    C)W=(kIo/k)[1-(A370/
    A\o\370)],


plot the quantities [Pn(Co/Ct)SHW-
Pn(Co/Ct)W] versus the independent 
variable [1-(A370/A\o\370)]. Obtain the slope (S1) 
by least square linear regression. Under the assumptions of the 
protocol, S1=(kIo/k).
    (vii) According to Equation 12 under paragraph (d)(1)(vii) of this 
section, plot the quantities Pn(A\o\370/A370) 
versus the independent variable Pn(Co/
Ct)PNAP. Obtain the slope (S2) by least squares 
linear regression on Equation 12 under paragraph (d)(1)(vii) of this 
section. Under the assumptions of the protocol, S2=(k/kA).
    (viii) Then, using Equation 13a under paragraph (d)(1)(vii) of this 
section, determine the slope (S3) by least squares linear regression. 
Under the assumptions of the protocol, S3 is equal to (kD/
kA).
    (ix) From Equation 18

                               Equation 18

kA=0.0372[PYR]ka,


calculate kA using ka values found in Table 1 
under paragraph (d)(1)(vii) of this section. The value of ka 
chosen must correspond to the date closest to the mid-experiment date 
and latitude closest to that of the experimental site.
    (x) The indirect photoreaction rate constant, kIo, is 
determined using Equation 19,

                               Equation 19

kIo=(S1)(kA)(S2),


by incorporating the quantities kA, S1, and S2 determined as 
described in paragraphs (d)(2) (ix), (vi), and (vii) of this section, 
respectively.
    (xi) The rate constant kD is calculated from Equation 20,

                               Equation 20

kD=(S3)(kA),


[[Page 54]]



using the quantities S3 and kA determined as described above.
    (xii) Then, (kp)SHW is obtained by summing 
kD and kIo, as described by Equation 14 in 
paragraph (d)(1)(ix) of this section:

                               Equation 14

(kp)SHW=kIo+kD.

    (xiii) Finally, kpE is obtained by multiplying 
(kp) SNW by the factor 0.455, as described by 
Equation 5a in paragraph (d)(1)(x) of this section:

                               Equation 5a

kpE=0.455 (kp)SHW


As determined, kpE is the net environmental photoreaction 
rate constant. It applies to clear sky conditions and is valid for 
predicting surface photoreaction rates in an average humic containing 
freshwater body. It is strictly valid only for the experimental latitude 
and season.
    (3) Criteria for Phase 3. As in Phase 2, Phase 3 tests are assumed 
valid if the dark controls are well behaved and show no significant loss 
of chemical. In such a case, loss of test chemical in irradiated samples 
is due to photoreaction.
    (4) Rationale. Simultaneous irradiation of a test chemical and 
actinometer provide a means of evaluating sunlight intensities during 
the reaction period. Parallel irradiation of SHW solutions allows 
evaluation of the extent of photobleaching and loss of sensitizing 
ability of the natural water.
    (5) Scope and limitations of Phase 3 protocol. Test chemicals that 
are classified as having half-lives in SHW in the range of 1 hour to 50 
days in Phase 2 listing are suitable for use in Phase 3 testing. Such 
chemicals have photoreaction half-lives in a range accommodated by the 
PNAP/PYR actinometry in sunlight and also accommodate the persistence of 
SHW in sunlight.
    (6) Illustrative example. (i) From Phase 2 testing, under paragraph 
(c)(6)(iii) of this section, chemical A was found to have a photolysis 
rate constant, (kp)SHW' of 0.30 d-1 in 
fall in round tubes at latitude 33[deg] N. Using Table 1 under paragraph 
(d)(1)(vii) of this section for 30[deg] N, the nearest decadic latitude, 
a fall value of ka equal to 333 d-1 is found for 
PNAP. Substitution of (kp)SHW and ka 
into Equation 15 under paragraph (d)(2)(i) of this section gives [PYR] = 
0.0242 M. This is the concentration of pyridine that gives an 
actinometer rate constant of 0.30 d-1 in round tubes in fall 
at this latitude.
    (ii) The actinometer solution was made up by adding a volume of 
pyridine (1.95 mL) calculated from equation 16 under paragraph 
(d)(2)(ii) of this section to a 1 liter volumetric flask containing 1.00 
mL of 1.00 x 10-2 M PNAP in acetonitrile. The flask was 
filled to the mark with distilled water to give final concentrations of 
[PYR]=0.0242 M and [PNAP]=1.00x10-5 M. Ten tubes of each of 
the following solutions were placed in the photolysis rack at 1,200 
hours on day zero:
    (A) Chemical A (1.53x10-5 M) in standard SHW (0.010 M, pH 
7 phosphate buffer).
    (B) Chemical A (1.53x10-5), in 0.010 M, pH 7 phosphate 
buffer.
    (C) SHW standard solution diluted with water 0.90 to 1.00 to match 
solution A.
    (D) PNAP/PYR actinometer solution. Ten additional foil-wrapped 
controls of each mixture were taped to the bottom of the rack.
    (iii) The test chemical had been placed in category B, Table 2 under 
the paragraph (d)(2)(iv) of this section, on the basis of its Phase 2 
rate constant under paragraph (c) of this section. Accordingly, two 
tubes of each irradiated solution and two tubes of each blank solution 
were removed at 0, 1, 2, 4, and 8 days at 1,200 hours. The averaged 
analytical results obtained at the end of the experiment are shown in 
the following Table 3.

                     Table 3--Chemical Analytical Results for Illustrative Example, Phase 3
----------------------------------------------------------------------------------------------------------------
                                                  10\5\[C]\SHW\,                                   10\5\ [PNAP],
                       Day                               M        10\5\[C]\W\, M     A\SHW\370           M
----------------------------------------------------------------------------------------------------------------
0...............................................           1.53            1.53           0.0500           1.00
1...............................................           1.03            1.40           0.0470           0.810

[[Page 55]]

 
2...............................................           0.760           1.30           0.0440           0.690
4...............................................           0.300           1.01           0.0370           0.380
8...............................................           0.130           0.800          0.0320           0.220
----------------------------------------------------------------------------------------------------------------


Data for solutions A through D are given in column 2 through 5, 
respectively. No significant chemical loss was found in the dark 
controls.
    (A) From these items the functions Pn(Co/C) 
SNW' Pn(Co/C)W' [1--(A370/
A\o\370)SNW], Pn(A\o\370/
A370), and Pn(Co/C)PNAP were 
calculated, as shown in the following Table 4 which was derived from 
Table 3 under paragraph (d)(6)(iii) of this section:

            Table 4--Photoreaction Function for Illustrative Examples, Phase 3, Derived From Table 3
----------------------------------------------------------------------------------------------------------------
                                                                    1-(A 370 /     Pn(A\o\370 /
               Day                  Pn(Co/C)SHW      Pn(Co/C)W       A\o\370)          A370)      Pn(Co /C) PNAP
----------------------------------------------------------------------------------------------------------------
0...............................           0              0               0               0                0
1...............................           0.396          0.0888          0.0600          0.0618           0.211
2...............................           0.700          0.163           0.120           0.128            0.371
4...............................           1.629          0.415           0.260           0.301            0.968
8...............................           2.465          0.648           0.360           0.446            1.514
----------------------------------------------------------------------------------------------------------------

    (B) Slope S1=(kIo/k) was calculated according to Equation 
17 under paragraph (d)(2)(vi) of this section and was found to be 4.96 
by a least squares regression with a correlation coefficient equal to 
0.9980. The following Figure 1 shows a plot of Equation 17 under 
paragraph (d)(2)(vi) of this section and its best-fit line.
[GRAPHIC] [TIFF OMITTED] TC01AP92.034

   Figure 1--Graphic determination of S1=(kIo/k) based on 
         Equation 17 under paragraph (d)(2)(vi) of this section.
    (C) Slope S2=(k/ka) was also derived from Table 4 under 
paragraph (d)(6)(iii)(A) of this section by a fit of 
Pn(A\o\370 /A370) SHW and 
Pn(Co /C)PNAP to Equation 12 under paragraph 
(d)(l)(vii) of this section. This plot is displayed in the following 
Figure 2; the slope S2 was found to be 0.295 and the correlation 
coefficient was equal to 0.9986.

[[Page 56]]

[GRAPHIC] [TIFF OMITTED] TC01AP92.035

    Figure 2--Graphic determination of S2=(k/kA) based on 
        Equation 12 under paragraph (d)(1)(vii) of this section.
    (D) Using the data in columns 3 and 6 in Table 4 under paragraph 
(d)(6)(iii)(A) of this section, slope S3 was calculated by regression 
from Equation 13a under paragraph (d)(1)(viii) of this section and was 
found to be 0.428 with correlation coefficient equal to 0.99997.
    (E) Using Equation 18 under paragraph (d)(2)(ix) of this section, 
kA was found to be =0.300 d-1.
    (F) The values of S1, S2, and kA were then combined in 
Equation 19 under paragraph (d)(2)(x) of this section to give 
kIo as follows:

                               Equation 19

kIo=(4.96)(0.300)(0.295)=0.439 d-1.

    (G) The rate constant kD was calculated from the product 
of S3 and kA as expressed in Equation 20 under paragraph 
(d)(2)(xi) of this section as follows:

                               Equation 20

kD=(0.428)(0.300)=0.128d-1.

    (H) The sum of kD and kIo was multiplied by 
0.455 to obtain kpE as follows:

                               Equation 21

kpE=(0.455)(0.439+0.128)d-1=0.258 d-1.

    (I) Since kpE is a first-order rate constant, the half-
life, t1/2E, is given by Equation 22:

                               Equation 22

t1/2E=0.693/kpE.

Substituting the value of kpE from Equation 21 under 
paragraph (d)(6)(iii)(H) of this section in Equation 22 yielded

                               Equation 23

t1/2E=0.693/0.258d-1=2.7 d.

    (e) Data and reporting--(1) Test conditions--(i) Specific analytical 
and recovery procedures. (A) Provide a detailed description or reference 
for the analytical procedures used, including the calibration data and 
precision.
    (B) If extraction methods were used to separate the solute from the 
aqueous solution, provide a description of the extraction method as well 
as the recovery data.
    (ii) Other test conditions. (A) Report the site and latitude where 
the photolysis experiments were carried out.
    (B) Report the dates of photolysis, weather conditions, times of 
exposure, and the duration of exposure.
    (C) If acetonitrile was used to solubilize the test chemical, report 
the volume percent.
    (D) If a significant loss of test chemical occurred in the control 
solutions for pure water and SHW, indicate the causes and how they were 
eliminated or minimized.
    (2) Test data report--(i) Phase 2 Screening Test under paragraph (c) 
of this section. (A) Report the initial molar concentration of test 
chemical, Co, in pure water and SHW for each replicate and 
the mean value.
    (B) Report the molar concentration of test chemical, Ct, 
in pure water and SHW for each replicate and the mean value for each 
time point t.
    (C) Report the molar concentration of test chemical for each 
replicate control sample and the mean value for each time point.
    (D) Report the values of (kp)SHW and 
(kp)W for the time point t in which the fraction 
of test chemical photoreacted is in the range 20 to 80 percent.
    (E) If small losses of test chemical were observed in SHW and pure 
water, report a first-order rate constant loss, 
(kp)loss. Calculate and report 
(kp)obs for SHW and/or pure water. Calculate and 
report the corrected first-order rate

[[Page 57]]

constant for SHW and/or pure water using the relationship expressed in 
Equation 24:

                               Equation 24

kp=(kp)obs-
    (kp)loss.

    (F) Report the value of R calculated from Equation 4 under paragraph 
(c)(2)(vi)(D)(4) of this section.
    (G) Report the values of kpE and kDE obtained 
from Equations 5 and 6, respectively under paragraph (c)(2)(vii) of this 
section; report the corresponding half-life calculated from Equation 22 
under paragraph (d)(6)(iii)(I) of this section.
    (ii) Phase 3--Indirect photoreaction with actinometer. (A) Report 
the initial molar concentration of test chemical, Co, in pure 
water and in SHW for each replicate and the mean value.
    (B) Report the initial absorbance A\o\370 of the SNW 
solution.
    (C) Report the initial molar concentration of PNAP of each replicate 
and the mean value in the actinometer. Report the concentration of 
pyridine used in the actinometer which was obtained from Equation 15 
under paragraph (d)(2)(i) of this section.
    (D) Report the time and date the photolysis experiments were 
started, the time and date the experiments were completed, and the 
elapsed photolysis time in days.
    (E) For each time point t, report the separate values of the 
absorbance of the SHW solution, and the mean values.
    (F) For each time point for the controls, report the separate values 
of the molar concentrations of test chemical in pure water and SHW, and 
the absorbance of the SHW solution, and the mean values.
    (G) Tabulate and report the following data: t, [C]\SHW\, [C]\W\, 
A\SNW\370, [PNAP].
    (H) From the data in (G), tabulate and report the following data: t, 
Pn(Co/C)SNW, Pn(Co/C)W, [1-
(A370/A\o\370)SNW], Pn(A\o\370/
A370), Pn(Co/C)PNAP.
    (I) From the linear regression analysis of the appropriate data in 
step (H) in Equation 17 under paragraph (d)(2)(vi) of this section, 
report the slope S1 and the correlation coefficient.
    (J) From the linear regression analysis of the appropriate data in 
step (H) in Equation 12 under paragraph (d)(1)(vii) of this section, 
report the slope S2 and the correlation coefficient.
    (K) From the linear regression analysis of the appropriate data in 
step (H) in Equation 13a under paragraph (d)(1)(viii) of this section, 
report the slope S3 and the correlation coefficient.
    (L) If loss of chemical was observed during photolysis in pure water 
and SHW, then report the data Pn(Co/C)corr, 
Pn(Co/C)obs, Pn(Co/C)loss as 
described in paragraph (e)(2)(E) of this section. Repeat steps (H), (I), 
(J), (K) where applicable and report S1, S2, S3 and the corresponding 
correlation coefficients.
    (M) Report the value of the actinometer rate constant obtained from 
Equation 18 under paragraph (d)(2)(ix) of this section.
    (N) Report the value of kIo obtained from Equation 19 
under paragraph (d)(2)(x) of this section.
    (O) Report the value of kD obtained from Equation 20 
under paragraph (d)(2)(xi) of this section.
    (P) Report the value of (kpE)SHW, obtained 
from Equation 14 under paragraph (d)(1)(ix) of this section, and the 
value of kpE obtained from Equation 5a under paragraph 
(d)(1)(x) of this section.
    (Q) Report the half-life, t1/2E, obtained from Equation 
22 under paragraph (d)(6)(iii)(I) of this section.
    (f) References. For additional background information on this test 
guideline the following references should be consulted.
    (1) Cooper W.J., Zika R.G. ``Photochemical formation of hydrogen 
peroxide in surface and ground waters exposed to sunlight.'' Science, 
220:711. (1983).
    (2) Draper W.M., Crosby D.G. ``The photochemical generation of 
hydrogen peroxide in natural waters.'' Archives of Environmental 
Contamination and Toxicology, 12:121. (1983).
    (3) Draper, W.M. and Crosby D.G. ``Solar photooxidation of 
pesticides in dilute hydrogen peroxide.'' Journal of Agricultural and 
Food Chemistry, 32:231. (1984).
    (4) Draper W.M., Crosby D.G. ``Hydrogen peroxide and hydroxyl 
radical:

[[Page 58]]

Intermediates in indirect photolysis reactions in water.'' Journal of 
Agricultural and Food Chemistry, 29:699. (1981).
    (5) Dulin D., Mill T. ``Development and evaluation of sunlight 
actinometers.'' Environmental Science and Technology, 6:815. (1982).
    (6) Haag H.R., Hoigne J., Gassman E., Braun A.M. ``Singlet oxygen in 
surface waters--Part I; Furfuryl alcohol as a trapping agent.'' 
Chemosphere, 13:631. (1984).
    (7) Haag W.R., Hoigne J., Gassman E., Braun A.M. ``Singlet oxygen in 
surface waters--Part II: Quantum yields of its production by some 
natural humic materials as a function of wavelength.'' Chemosphere, 
13:641. (1984).
    (8) Mill T., Winterle J.S., Fischer A., Tse D., Mabey W.R., Drossman 
H., Liu A., Davenport J.E. Toxic substances process data generation and 
protocol development. Work assignment 12, test standard development. 
``Section 3. Indirect photolysis.'' Draft final report. EPA Contract No. 
68-03-2981. Environmental Research Laboratory, Office of Research and 
Development, EPA, Athens, GA, and Office of Pollution Prevention and 
Toxics, EPA, Washington, DC. (1984).
    (9) Mill T., Mabey W.R., Bomberger D.C., Chou T.W., Hendry D.G., 
Smith J.H. ``Laboratory protocols for evaluating the fate of organic 
chemicals in air and water. Chapter 3. Photolysis in water. Chapter 4. 
Oxidation in water.'' EPA 600/3-82-022. Environmental Research 
Laboratory, Office of Research and Development, EPA, Athens, GA. (1981).
    (10) Mill T., Mabey W.R., Winterle J.S., Davenport J.E., Barich 
V.P., Dulin D.E., Tse D.S., Lee G. ``Design and validation of screening 
and detailed methods for environmental processes. Apendix C. Lower-tier 
direct photolysis protocol.'' Draft final report. EPA Contract No. 68-
01-6325. Office of Pollution Prevention and Toxics, EPA, Washington, DC. 
(1982).
    (11) Mill T., Davenport J.E., Winterle J.S., Mabey W.R., Dossman H., 
Tse D., Liu A. Toxic substances process data generation and protocol 
development. Work assignment 12. ``Appendix B. Upper-tier protocol for 
direct photolysis in water.'' Draft final report. EPA Contract No. 68-
03-2981. Environmental Research Laboratory, Office of Research and 
Development, EPA, Athens, GA, and Office of Pollution Prevention and 
Toxics, EPA, Washington, DC. (July 1983).
    (12) Winterle J.S., Mill T. Toxic substances process data generation 
and protocol development. Work assignment 18. ``Indirect photoreaction 
protocol.'' Draft EPA special report. EPA Contract No. 68-03-2981. 
Environmental Research Laboratory, Office of Research and Development, 
EPA, Athens, GA and Office of Pollution Prevention and Toxics, EPA, 
Washington, DC. (1985).
    (13) Mill T., Hendry D.G., Richardson H. ``Free radical oxidants in 
natural waters.'' Science, 207:886. (1980).
    (14) U.S. Environmental Protection Agency (USEPA), Office of 
Pollution Prevention and Toxics (OPPT). ``Chemical fate test guidelines. 
Test guideline (CG, CS-6000). Photolysis in aqueous solution.'' EPA-560/
6-84-003. NTIS publication PB-84-233287. (1984).
    (15) USEPA, OPPT. ``Chemical fate test guidelines. Test guildeline 
(CG, CS-6010). Laboratory determination of the direct photolysis 
reaction quantum yield in aqueous solution and sunlight photolysis.'' 
EPA-560/6-84-003. NTIS publication PB-84-233287. (1984).
    (16) Wolff C.J.M., Halmans M.T.H., Van der Heijde H.B. ``The 
formation of singlet oxygen in surface waters.'' Chemosphere, 10:59. 
(1981).
    (17) Zepp R.G., Baughman G.L., Schlotzhauer P.F. ``Comparison of 
photochemical behavior of various humic substances in water: I. Sunlight 
induced reactions of aquatic pollutants photosensitized by humic 
substances.'' Chemosphere, 10:109. (1981).
    (18) Zepp R.G., Baughman G.L., Schlozhauer P.F. ``Comparison of 
photochemical behavior of various humic substances in water: II. 
Photosensitized oxygenations.'' Chemosphere, 10:119. (1981).
    (19) Zepp R.G., Cline D.M. ``Rates of direct photolysis in aquatic 
environments.'' Environmental Science and Technology, 11:359. (1977).
    (20) Zepp, R.G., Wolfe N.L., Baughman G.L., Hollis R.C. ``Singlet 
oxygen in natural waters.'' Nature, 267:421. (1977).

[[Page 59]]

    (21) Zepp R.G., Schlotzhauer P.F., Merritt S.R. ``Photosensitized 
transformations involving electronic energy transfer in natural waters: 
role of humic substances.'' Environmental Science and Technology, 19:74. 
(1985).

[53 FR 34522, Sept. 7, 1988; 53 FR 37393, Sept. 26, 1988]



         Subpart C_Provisional Environmental Effects Guidelines



Sec.  795.120  Gammarid acute toxicity test.

    (a) Purpose. This guideline is intended for use in developing data 
on the acute toxicity of chemical substances and mixtures subject to 
environmental effects test regulations under the Toxic Substances 
Control Act (TSCA) (Pub. L. 94-469, 90 Stat. 2003 (15 U.S.C. 2601 et 
seq.)). This guideline describes a test to develop data on the acute 
toxicity of chemicals to gammarids. The United States Environmental 
Protection Agency (EPA) will use data from this test in assessing the 
hazard of a chemical to aquatic organisms.
    (b) Definitions. The definitions in section 3 of TSCA and in part 
792 of this chapter, Good Laboratory Practice Standards, apply to this 
test guideline. The following definitions also apply to this guideline:
    Death means the lack of reaction of a test organism to gentle 
prodding.
    Flow-through means a continuous or an intermittent passage of test 
solution or dilution water through a test chamber or a holding or 
acclimation tank, with no recycling.
    LC50 means the median lethal concentration, i.e., that concentration 
of a chemical in air or water killing 50 percent of the test batch of 
organisms within a particular period of exposure (which shall be 
stated).
    Loading means the ratio of the biomass of gammarids (grams, wet 
weight) to the volume (liters) of test solution in either a test chamber 
or passing through it in a 24-hour period.
    Solvent means a substance (e.g., acetone) which is combined with the 
test substance to facilitate introduction of the test substance into the 
dilution water.
    Static system means a test chamber in which the test solution is not 
renewed during the period of the test.
    (c) Test procedures--(1) Summary of the test. In preparation for the 
test, test chambers are filled with appropriate volumes of dilution 
water. If a flow-through test is performed, the flow of dilution water 
through each chamber is adjusted to the rate desired. In a static test, 
the test substance is introduced into each test chamber. In a flow-
through test, the rate in which the test substance is added is adjusted 
to establish and maintain the desired concentration of test substance in 
each test chamber. The test is started by randomly introducing 
gammarids, which have been acclimated to the test conditions, into the 
test chambers. Gammarids in the test chambers are observed periodically 
during the test; the dead gammarids are removed and the findings 
recorded. Dissolved oxygen concentration, pH, temperature, and the 
concentration of test substance in test chambers are measured at 
specified intervals. Data collected during the test are used to develop 
concentration--response curves and LC50 values for the test substance.
    (2) [Reserved]
    (3) Range-finding test. (i) A range-finding test should be conducted 
to establish test substance concentrations to be used for the definitive 
test.
    (ii) The gammarids shall be exposed to a wide-range of 
concentrations of the test substance (e.g., 1, 10, 100 mg/1, etc.), 
usually under static conditions.
    (iii) A minimum of five gammarids should be exposed to each 
concentration of test substance for a period of 96 hours. The exposure 
period may be shortened if data suitable for determining concentrations 
in the definitive test can be obtained in less time. Nominal 
concentrations of the test substance may be acceptable.
    (4) Definitive test. (i) The purpose of the definitive test is to 
determine the 24, 48, 72, and 96--hour LC50 values and the 
concentration-response curves.
    (ii) A minimum of 20 gammarids per concentration shall be exposed to 
five or more concentrations of the test substance chosen in a geometric 
series in which the ratio is between 1.5 and 2.0 (e.g., 2, 4, 8, 16, 32, 
64 mg/L). The range

[[Page 60]]

and number of concentrations to which the organisms are exposed shall be 
such that in 96 hours there is at least one concentration resulting in 
mortality greater than 50 and less than 100 percent, and one 
concentration causing greater than zero and less than 50 percent 
mortality. An equal number of gammarids may be placed in two or more 
replicate test chambers. Solvents should be avoided, if possible. If 
solvents have to be used, a solvent control, as well as a dilution 
control, shall be tested at the highest solvent concentration employed 
in the treatments. The solvent should not be toxic or have an effect on 
the toxicity of the test substance. The concentration of solvent should 
not exceed 0.1 ml/L.
    (iii) Every test shall include a concurrent control using gammarids 
from the same population or culture container. The control group shall 
be exposed to the same dilution water, conditions and procedures, except 
that none of the test substance shall be is added to the chamber.
    (iv) The dissolved oxygen concentration, temperature and pH of the 
test solution shall be measured at the beginning of the test and at 24, 
48, 72 and 96 hours in at least one replicate each of the control, and 
the highest, lowest and middle test concentrations.
    (v) The test duration is 96 hours. The test is unacceptable if more 
than 10 percent of the control organisms die during the test.
    (vi) In addition to death, any abnormal behavior or appearance shall 
also be reported.
    (vii) Gammarids shall be randomly assigned to the test chambers. 
Test chambers shall be positioned within the testing area in a random 
manner or in a way in which appropriate statistical analyses can be used 
to determine whether there is any variation due to placement.
    (viii) Gammarids shall be introduced into the test chambers after 
the test substance has been added.
    (ix) Observations on compound solubility shall be recorded. The 
investigator should record the appearance of surface slicks, 
precipitates, or material adhering to the sides of the test chambers.
    (5) [Reserved]
    (6) Analytical measurements--(i) Water quality analysis. The 
hardness, acidity, alkalinity, pH, conductivity, TOC or COD, and 
particulate matter of the dilution water shall be measured at the 
beginning of each definitive test.
    (ii) Collection of samples for measurement of test substance. Each 
sample to be analyzed for the test substance concentrations shall be 
taken at a location midway between the top, bottom, and sides of the 
test chamber. Samples should not include any surface scum or material 
dislodged from the bottom or sides. Samples shall be analyzed 
immediately or handled and stored in a manner which minimizes loss of 
test substance through microbial degradation, photogradation, chemical 
reaction, volatilization, or sorption.
    (iii) Measurement of test substance. (A) For static tests, the 
concentration of dissolved test substance (that which passes through a 
0.45 micron filter) shall be measured in each test chamber at least at 
the beginning (zero-hour, before gammarids are added) and at the end of 
the test. During flow-through tests, the concentration of dissolved test 
substance shall be measured in each test chamber at least at 0 and 96-
hours and in at least one chamber whenever a malfunction of the test 
substance delivery system is observed.
    (B) The analytical methods used to measure the amount of test 
substance in a sample shall be validated before beginning the test. This 
involves adding a known amount of the test substance to each of three 
water samples taken from a chamber containing dilution water and the 
same number of gammarids as are placed in each test chamber. The nominal 
concentrations of the test substance in these samples should span the 
concentration range to be used in the test. Validation of the analytical 
method should be performed on at least two separate days prior to 
starting the test.
    (C) An analytical method is not acceptable if likely degradation 
products of the test substance give positive or negative interferences, 
unless it is shown that such degradation products are not present in the 
test chambers during the test.
    (D) Among replicate test chambers, the measured concentrations shall 
not

[[Page 61]]

vary more than 20 percent. The measured concentration of the test 
substance in any chamber during the test shall not vary more than plus 
or minus 30 percent from the measured concentration in that chamber at 
zero time.
    (E) The mean measured concentration of dissolved test substance 
shall be used to calculate all LC50's and to plot all concentration-
response curves.
    (d) Test conditions for definitive test--(1) Test species--(i) 
Selection. (A) The amphipods, Gammarus fasciatus, G. pseudolimnaeus, and 
G. lacustris are specified for this test.
    (B) Gammarids can be cultured in the laboratory or collected from 
natural sources. If collected, they must be held in the laboratory for 
at least 14 days prior to testing.
    (C) Gammarids used in a particular test shall be of similar age and/
or size and from the same source or culture population.
    (ii) Acclimation. If the holding water is from the same source as 
the dilution water, acclimation to the dilution water shall be done 
gradually over a 48-hour period. The gammarids then shall be held at 
least 7 days in the dilution water prior to testing. Any changes in 
water temperature should not exceed 2 [deg]C per day. Gammarids should 
be held for a minimum of 7 days at the test temperature prior to 
testing.
    (iii) Care and handling. Gammarids shall be cultured in dilution 
water under similar environmental conditions to those used in the test. 
Organisms shall be handled as little as possible. When handling is 
necessary it should be done as gently, carefully and quickly as 
possible. During culturing and acclimation, gammarids shall be observed 
carefully for signs of stress and mortality. Dead and abnormal 
individuals shall be discarded.
    (iv) Feeding. The organisms shall not be fed during testing. During 
culturing, holding, and acclimation, a sufficient quantity of deciduous 
leaves, such as maple, aspen, or birch, should be placed in the culture 
and holding containers to cover the bottom with several layers. These 
leaves should be aged for at least 30 days in a flow-through system 
before putting them in aquaria. As these leaves are eaten, more aged 
leaves should be added. Pelleted fish food may also be added.
    (2) Facilities--(i) Apparatus--(A) Facilities needed to perform this 
test include:
    (1) Containers for culturing, acclimating and testing gammarids;
    (2) Containers for aging leaves under flow-through conditions;
    (3) A mechanism for controlling and maintaining the water 
temperature during the culturing, acclimation and test periods;
    (4) Apparatus for straining particulate matter, removing gas 
bubbles, or aerating the dilution water, as necessary; and
    (5) An apparatus for providing a 16-hour light and 8-hour dark 
photoperiod with a 15- to 30-minute transition period.
    (B) Facilities should be well ventilated and free of fumes and 
disturbances that may affect the test organism.
    (C) Test chambers shall be covered loosely to reduce the loss of 
test solution or dilution water due to evaporation and to minimize the 
entry of dust or other particulates into the solutions.
    (ii) Construction materials. Construction materials and equipment 
that may contact the stock solution, test solution or dilution water 
should not contain substances that can be leached or dissolved into 
aqueous solutions in quantities that can alter the test results. 
Materials and equipment that contact stock or test solutions should be 
chosen to minimize sorption of test substances. Glass, stainless steel, 
and perfluorocarbon plastic should be used wherever possible. Concrete, 
fiberglass, or plastic (e.g., PVC) may be used for holding tanks, 
acclimation tanks, and water supply systems, but they should be aged 
prior to use. Rubber, coopper, brass, galvanized metal, and lead should 
not come in contact with the dilution water, stock solution, or test 
solution.
    (iii) Test substance delivery system. In flow-through tests, 
diluters, metering pump systems or other suitable devices shall be used 
to deliver the test substance to the test chambers. The system used 
shall be calibrated before each test. The general operation of the

[[Page 62]]

test substance delivery system shall be checked twice daily during a 
test. The 24-hour flow shall be equal to at least five times the volume 
of the test chamber. During a test, the flow rates should not vary more 
than 10 percent from one test chamber to another.
    (iv) Test chambers. Test chambers shall contain at least one liter 
of test solution. Test chambers made of stainless steel should be 
welded, not soldered. Test chambers made of glass should be glued using 
clear silicone adhesive. As little adhesive as possible should be left 
exposed in the interior of the chamber. A substrate, such as a bent 
piece of stainless steel screen, should be placed on the bottom of each 
test chamber to provide cover for the gammarids.
    (v) Cleaning of test system. Test substance delivery systems and 
test chambers should be cleaned before each test. They should be washed 
with detergent and then rinsed sequentially with clean water, pesticide-
free acetone, clean water, and 5-percent nitric acid, followed by two or 
more changes of dilution water.
    (vi) Dilution water. (A) Clean surface or ground water, 
reconstituted water, or dechlorinated tap water is acceptable as 
dilution water if gammarids will survive in it for the duration of the 
culturing, acclimating, and testing periods without showing signs of 
strees. The quality of the dilution water should be constant enough that 
the month-to-month variation in hardness, acidity, alkalinity, 
conductivity, TOC or COD, and particulate matter is not more than 10 
percent. The pH should be constant within 0.4 unit. In addition, the 
dilution water should meet the following specifications measured at 
least twice a year:

------------------------------------------------------------------------
                 Substance                      Maximum concentration
------------------------------------------------------------------------
Particulate matter.........................  20 mg/L
Total organic carbon (TOC) or..............  2 mg/L
  chemical oxygen demand (COD).............  5 mg/L
Boron, fluoride............................  100 ug/L
Un-ionized ammonia.........................  1 ug/L
Aluminum, arsenic, chromium, cobalt,         1 ug/L
 copper, iron, lead, nickel, zinc.
Residual chlorine..........................  3 ug/L
Cadmium, mercury, silver...................  100 ng/L
Total organophosphorus pesticides..........  50 ng/L
Total organochlorine pesticides plus:
  polychlorinated biphenyls (PCBs) or......  50 ng/L
  organic chlorine.........................  25 ng/L
------------------------------------------------------------------------

    (B) If the dilution water is from a ground or surface water source, 
conductivity and total organic carbon (TOC) or chemical oxygen demand 
(COD) shall be measured. Reconstituted water can be made by adding 
specific amounts of reagent-grade chemicals to deionized or distilled 
water. Glass-distilled or carbon-filtered deionized water with a 
conductivity less than 1 micromho/cm is acceptable as the diluent for 
making reconstituted water.
    (C) The concentration of dissolved oxygen in the dilution water 
shall be between 90 and 100 percent saturation. If necessary, the 
dilution water can be aerated before the addition of the test substance. 
All reconstituted water should be aerated before use.
    (3) Test parameters. Environmental parameters during the test shall 
be maintained as specified below:
    (i) Water temperature of 18 1 [deg]C.
    (ii) Dissolved oxygen concentration between 60 and 105 percent 
saturation.
    (iii) The number of gammarids placed in a test chamber shall not be 
so great as to affect the results of the test. Ten gammarids per liter 
is the recommended level of loading for the static test. Loading 
requirements for the flow-through test will vary depending on the flow 
rate of dilution water. The loading should not cause the dissolved 
oxygen concentration to fall below the recommended levels.
    (iv) Photoperiod of 16 hours light and 8 hours darkness.
    (e) Reporting. The sponsor shall submit to the EPA all data 
developed by the test that are suggestive or predictive of toxicity. In 
addition, the test report shall include, but not necessarily be limited 
to, the following information:
    (1) Name and address of the facility performing the study and the 
dates on which the study was initiated and completed.
    (2) Objectives and procedures stated in the approved protocol, 
including any changes in the original protocol.
    (3) Statistical methods employed for analyzing the data.
    (4) The test substance identified by name, Chemical Abstracts (CAS) 
number or code number, source, lot or batch number, strength, purity, 
and

[[Page 63]]

composition, or other appropriate characteristics.
    (5) Stability of the test substance under the conditions of the 
test.
    (6) A description of the methods used, including:
    (i) The source of the dilution water, its chemical characteristics 
(e.g., hardness, pH, etc.) and a description of any pretreatment.
    (ii) A description of the test substance delivery system, test 
chambers, the depth and volume of solution in the chamber, the way the 
test was begun (e.g., test substance addition), the loading, the 
lighting, and the flow rate.
    (iii) Frequency and methods of measurements and observations.
    (7) The scientific name, weight, length, source, and history of the 
organisms used, and the acclimation procedures and food used.
    (8) The concentrations tested, the number of gammarids and 
replicates per test concentration. The reported results should include:
    (i) The results of dissolved oxygen, pH and temperature 
measurements.
    (ii) If solvents are used, the name and source of the solvent, the 
nominal concentration of the test substance in the stock solution, the 
highest solvent concentration in the test solution and a description of 
the solubility determination in water and solvents.
    (iii) The measured concentration of the test substance in each test 
chamber just before the start of the test and at all subsequent sampling 
periods.
    (iv) In each test chamber at each observation period, the number of 
dead and live test organisms, the percentage of organisms that died, and 
the number of test organisms that showed any abnormal effects in each 
test chamber at each observation period.
    (v) The 48, 72 and 96-hour LC50's and their 95 percent confidence 
limits. When sufficient data have been generated, the 24-hour LC50 value 
also. These calculations should be made using the mean measured test 
substance concentrations.
    (vi) The observed no-effect concentration (the highest concentration 
tested at which there were no mortalities or abnormal behavioral or 
physiological effects), if any.
    (vii) Methods and data for all chemical analyses of water quality 
and test substance concentrations, including method validations and 
reagent blanks.
    (9) A description of all circumstances that may have affected the 
quality or integrity of the data.
    (10) The names of the sponsor, study director, principal 
investigator, names of other scientists or professionals, and the names 
of all supervisory personnel involved in the study.
    (11) A description of the transformations, calculations, or 
operations performed on the data, a summary and analysis of the data, 
and a statement of the conclusions drawn from the analysis. Results of 
the analysis of data should include the calculated LC50 value, 95 
percent confidence limits, slope of the transformed concentration-
response line, and the results of a goodness-of-fit test (e.g., chi-
square test).
    (12) The signed and dated reports prepared by any individual 
scientist or other professional involved in the study, including each 
person who, at the request or direction of the testing facility or 
sponsor, conducted an analysis or evaluation of data or specimens from 
the study after data generation was completed.
    (13) The locations where all specimens, raw data, and the final 
report are stored.
    (14) The statement prepared and signed by the quality assurance 
unit.

[52 FR 24462, July 1, 1987]



             Subpart D_Provisional Health Effects Guidelines



Sec.  795.225  Dermal pharmacokinetics of DGBE and DGBA.

    (a) Purpose. The purpose of these studies is to determine:
    (1) The absorption of diethylene glycol butyl ether (DGBE) after 
administration by the dermal route.
    (2) The biotransformation of DGBE administered dermally.
    (3) The dermal absorption of DGBE and diethylene glycol butyl ether 
acetate (DGBA).
    (b) Test procedures--(1) Animal selection--(i) Species. The species 
utilized for investigating DGBE and DGBA shall be the rat, a species for 
which historical

[[Page 64]]

data on the toxicity and carcinogenicity of many compounds are available 
and which is used extensively in percutaneous absorption studies.
    (ii) Animals. Adult female Sprague Dawley rats shall be used. The 
rats shall be 7 to 8 weeks old and weigh 180 to 220 grams. Prior to 
testing, the animals shall be selected at random for each group. Animals 
showing signs of ill health shall not be used.
    (iii) Animal care. (A) The animals should be housed in 
environmentally controlled rooms with 10 to 15 air changes per hour. The 
rooms should be maintained at a temperature of 25 2 [deg]C and humidity of 50 10 
percent with a 12-hour light/dark cycle per day. The rats should be 
isolated for at least 7 days prior to use.
    (B) During the acclimatization period, the rats should be housed in 
cages on hardwood chip bedding. All animals shall be provided with 
conventional laboratory diets and water ad libitum.
    (2) Administration of DGBE and DGBA--(i) Test substances. These 
studies require the use of \14\C-labeled DGBE and DGBA. The use of 
\14\C-DGBE and \14\C-DGBA is required for the determinations in 
paragraphs (a) (1), (2), and (3) of this section because they will 
facilitate the work and improve the reliability of quantitative 
determinations.
    (ii) Dosage and treatment. (A) Two doses of DGBA shall be used in 
the study, a ``low'' dose and a ``high'' dose. Three doses of DGBE shall 
be used in the study, a neat ``low'' dose, an aqueous ``low'' dose, and 
neat ``high'' dose. When administered dermally, the ``high'' dose level 
should ideally induce some overt toxicity such as weight loss. The 
``low'' dose level should correspond to a no observed effect level.
    (B) For dermal treatment, the doses shall be applied in a volume 
adequate to deliver the prescribed doses. The backs of the rats should 
be lightly shaved with an electric clipper shortly before treatment. The 
dose shall be applied with a micropipette on a specific area (for 
example, 2 cm\2\) on the freshly shaven skin.
    (iii) Washing efficiency study. Before initiation of the dermal 
absorption studies described in paragraph (b)(2)(iv)(A) of this section, 
an initial washing efficiency experiment shall be performed to assess 
the extent of removal of the applied DGBE and DGBA by washing with soap 
and water. Groups of four rats should be lightly anesthetized with 
sodium pentobarbital. These animals shall then be treated with dermal 
doses of test substance at the low dose level. Soon after application (5 
to 10 minutes) the treated animals shall be washed with soap and water 
then housed in individual metabolism cages for excreta collection. Urine 
and feces shall be collected at 8, 24, and 48 hours following dosing. 
Collection of excreta shall continue every 24 hours if a significant 
amounts of DGBE, DGBA, or metabolites continue to be eliminated.
    (iv) Determination of absorption, biotransformation, and excretion. 
(A) Eight animals shall be dosed once dermally with the low dose of 
\14\C-DGBE.
    (B) Eight animals shall be dosed once dermally with the high dose of 
\14\C-DGBE.
    (C) Eight animals shall be dosed once dermally with the low dose of 
\14\C-DGBA.
    (D) Eight animals shall be dosed once dermally with the high dose of 
\14\C-DGBA.
    (E) The high and low doses of \14\C-DGBE and \14\C-DGBA shall be 
kept on the skin for 24 hours. After application, the animals shall be 
placed in metabolism cages for excreta collection. After 24 hours, any 
test material remaining on the skin will be washed off and the 
containment cell removed. Radiolabeled material in the wash will be 
accounted for in the total recovery. Urine and feces shall be collected 
at 8, 24, 48, 72, and 96 hours after dosing, and if necessary, daily 
thereafter until at least 90 percent of the dose has been excreted or 
until 7 days after dosing, whichever occurs first.
    (3) Observation of animals--(i) Urinary and fecal excretion. The 
quantities of total \14\C excreted in urine and feces by rats dosed as 
specified in paragraph (b)(2)(iv) of this section shall be determined at 
8, 24, 48, 72 and 96 hours after dosing, and if necessary, daily 
thereafter until at least 90 percent of the dose has been excreted or 
until 7 days after dosing (whichever occurs first). Four animals from 
each group shall be used for this purpose.

[[Page 65]]

    (ii) Biotransformation after dermal dosing. Appropriate qualitative 
and quantitative methods shall be used to assay urine specimens 
collected from rats dosed with DGBE as specified in paragraph (b)(2)(iv) 
of this section. Any metabolite which comprises greater than 10 percent 
of the dose shall be identified.
    (c) Data and reporting--(1) Treatment of results. Data shall be 
summarized in tabular form.
    (2) Evaluation of results. All observed results, quantitative or 
incidental, shall be evaluated by an appropriate statistical method.
    (3) Test report. In addition to the reporting requirements as 
specified in the TSCA Good Laboratory Practice Standards, in part 792, 
subpart J of this chapter, the following specific information shall be 
reported:
    (i) Species, strain, and supplier of laboratory animals.
    (ii) Information on the degree (i.e., specific activity for a 
radiolabel) and sites of labeling of the test substances.
    (iii) A full description of the sensitivity and precision of all 
procedures used to produce the data.
    (iv) Relative percent absorption by the dermal route for rats 
administered low and high doses of \14\C-DGBE and \14\C-DGBA.
    (v) Quantity of isotope, together with percent recovery of the 
administered dose, in feces and urine.
    (vi) Biotransformation pathways and quantities of DGBE and 
metabolites in urine collected after administering single high and low 
dermal doses to rats.

[53 FR 5946, Feb. 26, 1988, as amended at 54 FR 41834, Oct. 12, 1989]



Sec.  795.228  Oral/dermal pharmacokinetics.

    (a) Purpose. The purposes of these studies are to:
    (1) Ascertain whether the pharmacokinetics and metabolism of a 
chemical substance or mixture (``test substance'') are similar after 
oral and dermal administration.
    (2) Determine bioavailability of a test substance after oral and 
dermal administration.
    (3) Examine the effects of repeated dosing on the pharmacokinetics 
and metabolism of the test substance.
    (b) Definitions. (1) Bioavailability refers to the rate and relative 
amount of administered test substance which reaches the systemic 
circulation.
    (2) Metabolism means the study of the sum of the processes by which 
a particular substance is handled in the body and includes absorption, 
tissue distribution, biotransformation, and excretion.
    (3) Percent absorption means 100 times the ratio between total 
excretion of radioactivity following oral or dermal administration and 
total excretion following intravenous administration of test substance.
    (4) Pharmacokinetics means the study of the rates of absorption, 
tissue distribution, biotransformation, and excretion.
    (c) Test procedures--(1) Animal selection--(i) Species. The rat 
shall be used for pharmacokinetics testing because it has been used 
extensively for metabolic and toxicological studies. For dermal 
bioavailability studies, the rat and the mini-pig shall be used.
    (ii) Test animals. For pharmacokinetics testing and dermal studies, 
adult male and female Sprague-Dawley rats, 7 to 9 weeks of age, shall be 
used. For dermal studies, young adult mini-pigs shall also be used. The 
animals should be purchased from a reputable dealer and shall be 
identified upon arrival at the testing laboratory. The animals shall be 
selected at random for the test groups and any animal showing signs of 
ill health shall not be used. In all studies, unless otherwise 
specified, each test group shall contain at least 4 animals of each sex 
for a total of at least 8 animals.
    (iii) Animal care. (A) The animals shall be housed in 
environmentally controlled rooms with at least 10 air changes per hour. 
The rooms shall be maintained at a temperature of 24 2 [deg]C and humidity of 50 20 
percent with a 12-hour light/dark cycle per day. The animals shall be 
kept in a quarantine facility for at least 7 days prior to use and shall 
be acclimated to the experimental environment for a minimum of 48 hours 
prior to administration of the test substance.
    (B) During the acclimatization period, the animals shall be housed 
in suitable cages. All animals shall be

[[Page 66]]

provided with certified feed and tap water ad libitum. The mini-pig diet 
shall be supplemented with adequate amounts of ascorbic acid in the 
drinking water.
    (2) Administration of test substance--(i) Test substance. The use of 
a radioactive test substance is required for all studies. Ideally, the 
purity, radioactive and nonradioactive, is greater than 99 percent. The 
radioactive and nonradioactive test substances shall be chromatographed 
separately and together to establish purity and identity. If the purity 
is less than 99 percent or if the chromatograms differ significantly, 
EPA should be consulted.
    (ii) Dosage and treatment--(A) Intravenous. The low dose of test 
substance, in an appropriate vehicle, shall be administered 
intravenously to groups of rats and mini-pigs of each sex. If feasible, 
the same low dose should be used for intravenous, oral, and dermal 
studies.
    (B) Oral. Two doses of text substance shall be used in the oral 
study, a low dose and a high dose. The high dose should ideally induce 
some overt toxicity, such as weight loss. The low dose should correspond 
to a no-observed effect level. The oral dosing shall be accomplished by 
gavage or by administering the encapsulated test substance. If feasible, 
the same high and low doses should be used for oral and dermal studies.
    (C) Dermal. (1) Dermal treatment. For dermal treatment, two doses, 
comparable to the low and high oral doses, shall be dissolved in a 
suitable vehicle and applied in volumes adequate to deliver comparable 
doses. The backs of the animals should be lightly shaved with an 
electric clipper 24 hours before treatment. The test substance shall be 
applied to the intact shaven skin (approximately 2 cm\2\ for rats, 5 
cm\2\ for mini-pigs). The dosed areas shall be protected with a suitable 
porous covering which is secured in place, and the animals shall be 
housed separately.
    (2) Washing efficacy study. Before initiation of the dermal 
absorption studies, an initial washing efficacy experiment shall be 
conducted to assess the removal of the applied low dose of the test 
substance by washing the exposed skin area with soap and water and an 
appropriate organic solvent. The low dose shall be applied to 4 rats and 
4 mini-pigs in accordance with paragraph (c)(2)(ii)(C)(1) of this 
section. After application (5 to 10 minutes), the treated areas of 2 
rats and 2 mini-pigs shall be washed with soap and water and the treated 
areas of the remaining rats and pigs shall be washed with an appropriate 
solvent. The amounts of test substance recovered in the washings shall 
be determined to assess efficacy of its removal by washing.
    (iii) Dosing and sampling schedule--(A) Rat studies. After 
administration of the test substance, each rat shall be placed in a 
metabolic unit to facilitate collection of excreta. For the dermal 
studies, excreta from the rats shall also be collected during the 6 hour 
exposure periods. At the end of each collection period, the metabolic 
units shall be cleaned to recover any excreta that might adhere to them. 
All studies, except the repeated dosing study, shall be terminated at 7 
days or after at least 90 percent of the radioactivity has been 
recovered in the excreta, whichever occurs first.
    (1) Intravenous study. Group A shall be dosed once intravenously at 
the low dose of test substance.
    (2) Oral study. (i) Group B shall be dosed once per os with the low 
dose of test substance.
    (ii) Group C shall be dosed once per os with the high dose of test 
substance.
    (3) Dermal studies. Unless precluded by corrosivity, the test 
substance shall be applied and kept on the skin for a minimum of 6 
hours. At the time of removal of the porous covering, the treated area 
shall be washed with an appropriate solvent to remove any test substance 
that may be on the skin surface. Both the covering and the washing shall 
be assayed to recover residual radioactivity. At the termination of the 
studies, each animal shall be sacrificed and the exposed skin area 
removed. An appropriate section of the skin shall be solubilized and 
assayed for radio-activity to ascertain if the skin acts as a reservoir 
for the test substance. Studies on the dermal absorption of corrosive 
test substances should be discussed with EPA prior to initiation.

[[Page 67]]

    (i) Group D shall be dosed once dermally with the low dose of test 
compound.
    (ii) Group E shall be dosed once dermally with the high dose of the 
test substance.
    (4) Repeated dosing study. Group F shall receive a series of single 
daily oral low doses of nonradioactive test substance over a period of 
at least 7 days. Twenty-four hours after the last nonradioactive dose, a 
single oral low dose of radioactive test substance shall be 
administered. Following dosing with the radioactive substance, the rats 
shall be placed in individual metabolic units as described in paragraph 
(c)(2)(iii) of this section. The study shall be terminated at 7 days 
after the last dose, or after at least 90 percent of the radioactivity 
has been recovered in the excreta, whichever occurs first.
    (B) Mini-Pig studies. For all mini-pig studies, the test groups 
shall consist of four young adult animals. After administration of the 
test substance, each mini-pig shall be kept in a metabolic unit to 
facilitate collection of excreta. At the end of each collection period, 
the metabolic units are to be cleaned to recover any excreta that might 
adhere to them. All studies shall be terminated at 7 days, or after at 
least 90 percent of the radio-activity has been recovered in the 
excreta, whichever occurs first.
    (1) Intravenous study. Group G is to be dosed once intravenously at 
the low dose of the test substance.
    (2) Dermal studies. Following the experimental guidance described in 
(c)(2)(iii)(A)(3) of this section:
    (i) Group H shall be dosed once dermally with the low dose of test 
substance.
    (ii) Group I shall be dosed once dermally with the high dose of the 
test substance.
    (3) Types of studies--(i) Pharmacokinetics studies--(A) Rat studies. 
Groups A through F shall be used to determine the kinetics of absorption 
of the test substance. In the group administered the test substance by 
intravenous routes, (i.e., Group A), the concentration of radioactivity 
in blood and excreta shall be measured following administration. In 
groups administered the test substance by the oral and dermal route 
(i.e., Groups B, C, D, E and F), the concentration of radioactivity in 
blood and excreta shall be measured at selected time intervals during 
and following the exposure period.
    (B) Mini-Pig studies. Groups G, H, and I shall be used to determine 
the extent of dermal absorption of the test substance. The amount of 
radioactivity in excreta shall be determined at selected time intervals.
    (ii) Metabolism studies--Rat studies. Groups A through F shall be 
used to determine the metabolism of the test substance. Urine, feces, 
and expired air shall be collected for identification and quantification 
of the test substance and metabolites.
    (4) Measurements--(i) Pharmacokinetics. Four animals from each group 
shall be used for these purposes.
    (A) Rat studies--(1) Bioavailability. The levels of radioactivity 
shall be determined in whole blood, blood plasma or blood serum at 15 
and 30 minutes and at 1, 2, 8, 24, 48, and 96 hours after initiation of 
dosing.
    (2) Extent of absorption. The total quantities of radioactivity 
shall be determined for excerta collected daily for 7 days or until at 
least 90 percent of the radioactivity has been recovered in the excreta.
    (3) Excretion. The quantities of radioactivity eliminated in the 
urine, feces, and expired air shall be determined separately at 
appropriate time intervals. The collection of carbon dioxide may be 
discontinued when less than one percent of the dose is found to be 
exhaled as radioactive carbon dioxide in 24 hours.
    (4) Tissue distribution. At the termination of each study, the 
quantities of radioactivity in blood and in various tissues, including 
bone, brain, fat, gastrointestinal tract, gonads, heart, kidney, liver, 
lungs, muscle, skin, and residual carcass of each animal shall be 
determined.
    (5) Changes in pharmacokinetics. Results of pharmacokinetics 
measurements (i.e., bioavailability and extent of absorption, tissue 
distribution, and excretion) obtained in rats receiving

[[Page 68]]

the single low oral dose of the test substance (Groups B and C) shall be 
compared to the corresponding results obtained in rats receiving 
repeated oral doses of the test substance (Group F).
    (B) Mini-Pig studies--Extent of absorption. The total quantities of 
radioactivity shall be determined for excreta daily for 7 days or until 
at least 90 percent of the test substance has been excreted.
    (ii) Metabolism. Four animals from each group shall be used for 
these purposes.
    (A) Rat studies--(1) Biotransformation. Appropriate qualitative and 
quantitative methods shall be used to assay urine, feces, and expired 
air collected from rats. Efforts shall be made to identify any 
metabolite which comprises 5 percent or more of the administered dose 
and the major radioactive components of blood.
    (2) Changes in biotransformation. Appropriate qualitative and 
quantitative assay methodology shall be used to compare the composition 
of radioactive compounds in excreta from rats receiving a single oral 
dose (Groups B and C) with those in the excreta from rats receiving 
repeated oral doses (Group H).
    (d) Data and reporting. The final test report shall include the 
following:
    (1) Presentation of results. Numerical data shall be summarized in 
tabular form. Pharmacokinetic data shall also be presented in graphical 
form. Qualitative observations shall also be reported.
    (2) Evaluation of results. All quantitative results shall be 
evaluated by an appropriate statistical method.
    (3) Reporting results. In addition to the reporting requirements as 
specified in 40 CFR part 792, the following specific information shall 
be reported:
    (i) Species and strains of laboratory animals.
    (ii) Chemical characterization of the test substance, including:
    (A) For the radioactive test substances, information on the site(s) 
and degree of radiolabeling, including type of label, specific activity, 
chemical purity, and radiochemical purity.
    (B) For the nonradioactive compound, information on chemical purity.
    (C) Results of chromatography.
    (iii) A full description of the sensitivity, precision, and accuracy 
of all procedures used to generate the data.
    (iv) Percent of absorption of test substance after oral and dermal 
exposures to rats and dermal exposure to mini-pigs.
    (v) Quantity and percent recovery of radioactivity in feces, urine, 
expired air, and blood. In dermal studies on rats and mini-pigs, include 
recovery data for skin, skin washings, and residual radioactivity in the 
covering as well as results of the washing efficacy study.
    (vi) Tissue distribution reported as quantity of radioactivity in 
blood and in various tissues, including bone, brain, fat, 
gastrointestinal tract, gonads, heart, kidney, liver, lung, muscle, skin 
and in residual carcass of rats.
    (vii) Materials balance developed from each study involving the 
assay of body tissues and excreta.
    (viii) Biotransformation pathways and quantities of test substance 
and metabolites in excreta collected after administering single high and 
low doses to rats.
    (ix) Biotransformation pathways and quantities of the test substance 
and metabolites in excreta collected after administering repeated low 
doses to rats.
    (x) Pharmacokinetics model(s) developed from the experimental data.

[54 FR 33411, Aug. 14, 1989; 54 FR 49844, Dec. 1, 1989; 55 FR 25392, 
June 21, 1990]



Sec.  795.231  Pharmacokinetics of isopropanal.

    (a) Purpose. The purposes of these studies are to:
    (1) Ascertain whether the pharmacokinetics and metabolism of the 
``test substance'' are similar after oral and inhalation administration.
    (2) Determine bioavailability of the test substance after oral and 
inhalation administration.
    (3) Examine the effects of repeated dosing on the pharmacokinetics 
and metabolism of the test substance.
    (b) Definitions. (1) ``Bioavailability'' refers to the rate and 
relative amount of administered test substance which reaches the 
systemic circulation.
    (2) ``Metabolism'' means the study of the sum of the processes by 
which a

[[Page 69]]

particular substance is handled in the body, and includes absorption, 
tissue distribution, biotransformation, and excretion.
    (3) ``Pharmacokinetics'' means the study of the rates of absorption, 
tissue distribution, biotransformation, and excretion.
    (c) Test procedures--(1) Animal selection--(i) Species. The rat 
shall be used because it has been used extensively for metabolic and 
toxicological studies.
    (ii) Test animals. For pharmacokinetics testing, adult male and 
female rats (Fischer 344 or strain used for major toxicity testing), 7 
to 9 weeks of age, shall be used. The animals should be purchased from a 
reputable dealer and shall be identified upon arrival at the testing 
laboratory. The animals shall be selected at random for the testing 
groups and any animal showing signs of ill health shall not be used. In 
all studies, unless otherwise specified, each test group shall contain 
at least four animals of each sex for a total of at least eight animals.
    (iii) Animal care. (A) Animal care and housing should be in 
accordance with DHEW Publication No. (NIH)-85-23, 1985, entitled 
``Guidelines for the Care and Use of Laboratory Animals.''
    (B) The animals should be housed in environmentally controlled rooms 
with at least 10 air changes per hour. The rooms shall be maintained at 
a temperature of 22 2 [deg]C and humidity of 50 
20 percent with a 12-hour light/dark cycle per 
day. The animals shall be kept in a quarantine facility for at least 7 
days prior to use and shall be acclimated to the experimental 
environment for a minimum of 48 hours prior to treatment.
    (C) During the acclimatization period, the animals should be housed 
in suitable cages. All animals shall be provided with certified feed and 
tap water ad libitum.
    (2) Administration of test substance--(i) Test substance. The use of 
radioactive test substance is required for all materials balance and 
metabolite identification requirements of the study. Ideally, the purity 
of both radioactive and nonradioactive test substance should be greater 
than 99 percent. The radioactive and nonradioactive substances shall be 
chromatographed separately and together to establish purity and 
identity. If the purity is less than 99 percent or if the chromatograms 
differ significantly, EPA should be consulted.
    (ii) Dosage and treatment--(A) Intravenous. The low dose of test 
substance, in an appropriate vehicle, shall be administered 
intravenously to four rats of each sex.
    (B) Oral. Two doses of test substance shall be used in the oral 
portion of the study, a low dose and a high dose. The high dose should 
ideally induce some overt toxicity, such as weight loss. The low dose 
level should correspond to a no-observed effect level. The oral dosing 
shall be accomplished by gavage or by administering an encapsulated test 
substance. If feasible, the same high and low doses should be used for 
oral and dermal studies.
    (C) Inhalation. Two concentrations of the test substance shall be 
used in this portion of the study, a low concentration and a high 
concentration. The high concentration should ideally induce some overt 
toxicity, while the low concentration should correspond to a no observed 
level. Inhalation treatment should be conducted using a ``nose-cone'' or 
``head only'' apparatus to prevent ingestion of the test substance 
through ``grooming''.
    (iii) Dosing and sampling schedule. After administration of the test 
substance, each rat shall be placed in a separate metabolic unit to 
facilitate collection of excreta. For the inhalation studies, excreta 
from the rats shall also be collected during the exposure periods. At 
the end of each collection period, the metabolic units shall be cleaned 
to recover any excreta that might adhere to the cages. All studies, 
except the repeated dose study, shall be terminated at 7 days, or after 
at least 90 percent of the radioactivity has been recovered in the 
excreta, whichever occurs first.
    (A) Intravenous study. Group A shall be dosed once intravenousely at 
the low dose of test substance.
    (B) Oral studies. (1) Group B shall be dosed once per os with the 
low dose of the test substance.
    (2) Group C shall be dosed once per os with the high dose of the 
test substance.

[[Page 70]]

    (C) Inhalation studies. A single 6-hour exposure period shall be 
used for each group.
    (1) Group D shall be exposed to a mixture of the test substance in 
air at the low concentration.
    (2) Group E shall be exposed to a mixture of test substance in air 
at the high concentration.
    (D) Repeated dosing study. Group F shall receive a series of single 
daily oral low doses of nonradioactive test substance over a period of 
at least 7 consecutive days. Twenty four hours after the last 
nonradioactive dose, a single oral low dose of radioactive test 
substance shall be administered. Following dosing with radioactive 
substance, the rats shall be placed in individual metabolic units as 
described in paragraph (c)(2)(iii) of this section. The study shall be 
terminated 7 days after the last dose, or after at least 90 percent of 
the radioactivity has been recovered in the excreta, whichever occurs 
first.
    (3) Types of studies--(i) Pharmacokinetics studies. Groups A through 
F shall be used to determine the kinetics of absorption of the test 
substance. In groups administered the substance by intravenous or oral 
routes, (i.e., Groups A, B, C, F), the concentration of radioactivity in 
blood and excreta including expired air shall be measured following 
administration. In groups administered the substance by the inhalation 
route (i.e., Groups D and E), the concentration of radioactivity in 
blood shall be measured at selected time intervals during and following 
the exposure period. In the groups administered the substance by 
inhalation (i.e., Groups D and E), the concentration of radioactivity in 
excreta (including expired air) shall be measured at selected time 
intervals following the exposure period. In addition, in the groups 
administered the substance by inhalation, the concentration of test 
substance in inspired air shall be measured at selected time intervals 
during the exposure period.
    (ii) Metabolism studies. Groups A through F shall be used to 
determine the metabolism of the test substance. Excreta (urine, feces, 
and expired air) shall be collected for identification and 
quantification of test substance and metabolites.
    (4) Measurements--(i) Pharmacokinetics. Four animals from each group 
shall be used for these purposes.
    (A) Bioavailability. The levels of radioactivity shall be determined 
in whole blood, blood plasma or blood serum at 15 minutes, 30 minutes, 
1, 2, 3, 6, 9, and 18 hours after dosing; and at 30 minutes, 3, 6, 6.5, 
7, 8, 9, 12, and 18 hours after initation of inhalation exposure.
    (B) Extent of absorption. The total quantities of radioactivity 
shall be determined for excreta collected daily for 7 days, or after at 
least 90 percent of the radioactivity has been recovered in the excreta, 
whichever occurs first.
    (C) Excretion. The quantities of radioactivity eliminated in the 
urine, feces, and expired air shall be determined separately at 
appropriate time intervals. The collection of the intact test substance 
or its metabolites, including carbon dioxide, may be discontinued when 
less than 1 percent of the administered dose is found to be exhaled as 
radioactive carbon dioxide in 24 hours.
    (D) Tissue distribution. At the termination of each study, the 
quantities of radioactivity in blood and in various tissues, including 
bone, brain, fat, gastrointestinal tract, gonads, heart, kidney, liver, 
lungs, muscle, skin, spleen, and residual carcass of each animal shall 
be determined.
    (E) Changes in pharmacokinetics. Results of pharmacokinetics 
measurements (i.e., biotransformation, extent of absorption, tissue 
distribution, and excretion) obtained in rats receiving the single low 
oral dose of test substance (Group B) shall be compared to the 
corresponding results obtained in rats receiving repeated oral doses of 
test substance (Group F).
    (F) Biotransformation. Appropriate qualitative and quantitative 
methods shall be used to assay urine, feces, and expired air collected 
from rats. Efforts shall be made to identify any metabolite which 
comprises 5 percent or more of the dose eliminated.
    (G) Changes in biotransformation. Appropriate qualitative and 
quantitative assay methodology shall be used to compare the composition 
of radioactive substances in excreta from the rats receiving a single 
oral dose

[[Page 71]]

(Groups B and C) with those in the excreta from rats receiving repeated 
oral doses (Group F).
    (ii) [Reserved]
    (d) Data and reporting. The final test report shall include the 
following:
    (1) Presentation of results. Numerical data shall be summarized in 
tabular form. Pharmacokinetics data shall also be presented in graphical 
form. Qualitative observations shall also be reported.
    (2) Evaluation of results. All quantitative results shall be 
evaluated by an appropriate statistical method.
    (3) Reporting results. In addition to the reporting requirements as 
specified in the EPA Good Laboratory Practice Standards (40 CFR 
792.185), the following specific information shall be reported:
    (i) Species and strains of laboratory animals.
    (ii) Chemical characterization of the test substance, including:
    (A) For the radioactive test substance, information on the site(s) 
and degree of radiolabeling, including type of label, specific activity, 
chemical purity, and radiochemical purity.
    (B) For the nonradioactive substance, information on chemical 
purity.
    (C) Results of chromatography.
    (iii) A full description of the sensitivity, precision, and accuracy 
of all procedures used to generate the data.
    (iv) Extent of absorption of the test substance as indicated by: 
percent absorption of the administered oral dose; and total body burden 
after inhalation exposure.
    (v) Quantity and percent recovery of radioactivity in feces, urine, 
expired air, and blood.
    (vi) Tissue distribution reported as quantity of radioactivity in 
blood and in various tissues, including bone, brain, fat, 
gastrointestinal tract, gonads, heart, kidney, liver, lung, muscle, 
skin, spleen and in residual carcass of each rat.
    (vii) Biotransformation pathways and quantities of the test 
substance and metabolites in excreta collected after administering 
single high and low doses to rats.
    (viii) Biotransformation pathways and quantities of the test 
substance and metabolites in excreta collected after administering 
repeated low doses to rats.
    (ix) Pharmacokinetics model(s) developed from the experimental data.

[54 FR 43261, Oct. 23, 1989]



Sec.  795.232  Inhalation and dermal pharmacokinetics of commercial hexane.

    (a) Purposes. The purposes of these studies are to:
    (1) Determine the bioavailability of the test substances after 
dermal and inhalation administration.
    (2) Compare the pharmacokinetics and metabolism of the test 
substances after intravenous, dermal, and inhalation administration.
    (3) Examine the effects of repeated doses on the pharmacokinetics 
and metabolism of the test substances.
    (b) Definitions. (1) Bioavailability refers to the relative amount 
of administered test substance which reaches the systemic circulation 
and the rate at which this process occurs.
    (2) Metabolism means the sum of the enzymatic and nonenzymatic 
processes by which a particular substance is handled in the body.
    (3) Pharmacokinetics means the study of the rates of absorption, 
tissue distribution, biotransformation, and excretion.
    (4) Low dose should correspond to 1 /10 of the high dose.
    (5) High dose shall not exceed the lower explosive limit (LEL) and 
ideally should induce minimal toxicity.
    (6) Test substance refers to the unlabeled and both radiolabeled 
mixtures (\14\C-n-hexane and \14\C-methylcyclopentane) of commercial 
hexane used in the testing.
    (c) Test procedures--(1) Animal selection--(i) Species. The rat 
shall be used for pharmacokinetics testing because it has been used 
extensively for metabolic and toxicological studies.
    (ii) Test animals. Adult male and female rats shall be used for 
testing. The rats shall be 7 to 9 weeks old and their weight range 
should be comparable from group to group. The animals shall be purchased 
from a reputable dealer and shall be permanently identified upon 
arrival. The animals shall be selected at random for the testing groups, 
and any animal showing signs of ill health shall not be used.

[[Page 72]]

    (iii) Animal care. (A) Animal care and housing shall be in 
accordance with DHHS/PHS NIH Publication No. 86-23, 1985, ``Guidelines 
for the Care and Use of Laboratory Animals.''
    (B) The animals shall be housed in environmentally controlled rooms 
with at least 10 air changes per hour. The rooms shall be maintained at 
a temperature of 18 to 26 degrees centigrade and humidity of 40 to 70 
percent with a 12-hour light/dark cycle per day. The animal subjects 
shall be kept in a quarantine facility for at least 7 days prior to use, 
and shall be acclimated to the experimental environment for a minimum of 
48 hours prior to treatment.
    (C) During the acclimatization period, the rats shall be housed in 
suitable cages. All animals shall be provided with certified feed and 
tap water ad libitum.
    (2) Administration of test substances--(i) Test substances. The 
study will require the use of both radiolabeled and unlabeled test 
substances. All unlabeled commercial hexane shall be from the same lot 
number. Two kinds of radiolabeled test substances will be tested. \14\C-
n-hexane shall be the only radiolabeled component of one, and \14\C-MCP 
shall be the only radiolabeled component of the other test substance. 
The use of both radiolabeled test substances is required for all 
pharmacokinetics and metabolism studies described in this rule, except 
for the bioavailability measurements required in (c)(4)(i)(A) of this 
section. The bioavailability measurements need only be conducted with 
the test substance containing \14\C-n-hexane or an unlabeled test 
substance may be used if it can be demonstrated that the analytical 
sensitivity of the method used with the unlabeled test substance is 
equal to or greater than the sensitivity which could be obtained with 
the radiolabeled test substance. If an unlabeled test substance is used 
for bioavailability measurements, these measurements shall be extended 
to include relevant metabolites of n-hexane. These test substances shall 
contain at least 40 liquid volume percent but no more than 55 liquid 
volume percent n-hexane and no less than 10 liquid volume percent 
methylcyclopentane (MCP) and otherwise conform to the specifications 
prescribed in the American Society for Testing and Materials Designation 
D 1836-83 (ASTM D 1836), ``Standard Specification for Commercial 
Hexanes'', published in the 1986 Annual Book of ASTM Standards: 
Petroleum Products and Lubricants, ASTM D 1836-83, pp. 966-967, 1986, 
which is incorporated by reference in accordance with 5 U.S.C. 552(a). 
ASTM D 1863-83 is available for public inspection at the National 
Archives and Records Administration (NARA). For information on the 
availability of this material at NARA, call 202-741-6030, or go to: 
http://www.archives.gov/federal--register/code--of--federal--
regulations/ibr--locations.html. Copies may be obtained from the Non-
Confidential Information Center (NCIC) (7407), Office of Pollution 
Prevention and Toxics, U.S. Environmental Protection Agency, Room B-607 
NEM, 401 M Street, SW., Washington, DC 20460, between the hours of 12 
p.m. and 4 p.m. weekdays excluding legal holidays. This incorporation by 
reference was approved by the Director of the Office of the Federal 
Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. This 
material is incorporated as it exists on the date of approval, and a 
notice of any change in this material will be published in the Federal 
Register.
    (ii) Dosage and treatment--(A) Intravenous. An appropriate dose of 
the test substance shall be administered intravenously. The intravenous 
data obtained in this portion of the study shall be suitable for the 
determination of absorption, distribution, and excretion parameters of 
the test substance. Factors that should be considered in the selection 
of the intravenous doses are: The acute toxicity of the test substance, 
the availability of a suitable vehicle (if saline is unsuitable) and the 
solubility of the test substance in the vehicle.
    (B) Inhalation. Two concentrations of each test substance shall be 
used in this portion of the study, a low concentration and a high 
concentration. The high concentration should induce minimal toxicity, 
but shall not exceed the lower explosive limit (LEL). The low 
concentration shall correspond to 1/10 of the high concentration. 
Inhalation treatment shall be conducted

[[Page 73]]

using a ``nose-cone'' or ``head only'' apparatus to reduce ingestion of 
the test substance through ``grooming'' or dermal absorption.
    (C) Dermal. Dermal absorption studies should be conducted by the 
methodology of Susten, A.S., Dames, B.L. and Niemeier, R.W., ``In vivo 
percutaneous absorption studies of volatile solvents in hairless mice. 
I. Description of a skin depot'', In: Journal of Applied Toxicology 
6:43-46, (1986), or by some other suitable method because the test 
substances have significant volatility. The high and low doses shall be 
tested in rats.
    (iii) Dosing and sampling schedule. Each experimental group shall 
contain at least four animals of each sex. After administration of the 
test substance, each rat shall be placed in an individual metabolic unit 
for collection of urine, feces, and expired air. For the dermal studies, 
excreta from the rats shall also be collected during the exposure 
periods. At the end of each collection period, the metabolic units shall 
be cleaned to recover any excreta that might adhere to the units. All 
studies, except the repeated dose studies, shall be terminated at 7 
days, or after at least 90 percent of the administered radioactivity has 
been recovered in the excreta, whichever occurs first. All studies 
described below shall be conducted separately with each radiolabeled 
test substance.
    (A) Intravenous study. Group A shall be given a single intravenous 
dose of the radiolabeled test substance to result in a level of 
commercial hexane in the blood that approximates the level from the 
other routes of exposure so that the data can be used to determine 
absorption and excretion parameters.
    (B) Inhalation studies. A single 6-hour exposure period shall be 
used for each group.
    (1) Group B shall be exposed to a mixture of the radiolabeled test 
substance in air at the low concentration.
    (2) Group C shall be exposed to a mixture of the radiolabeled test 
substance in air at the high concentration.
    (C) Dermal studies. The test substance shall be applied and kept on 
the skin for a minimum of 6 hours. The covering apparatus components 
shall be assayed to recover residual radioactivity. At the termination 
of the studies, each animal shall be sacrificed and the exposed skin 
area removed. An appropriate section of the skin shall be solubilized 
and assayed for radioactivity to ascertain whether the skin acts as a 
reservoir for the test substance.
    (1) Group D shall be given one dermal, low dose of the radiolabeled 
test substance.
    (2) Group E shall be given one dermal, high dose of the radiolabeled 
test substance.
    (D) Repeated dosing study. Group F shall receive a series of single 
daily 6-hour inhalation exposures to unlabeled test substance at the low 
dose over a period of at least 7 days. A single 6-hour inhalation 
exposure to the radiolabeled test substance at the low dose shall be 
administered 24 hours after the last unlabeled exposure. Following 
administration of the radiolabeled substance, the rats shall be placed 
in individual metabolic units and excreta collected. The study shall be 
terminated 7 days after the last exposure, or after at least 90 percent 
of the radioactivity has been recovered in the excreta, whichever occurs 
first.
    (3) Types of studies--(i) Pharmacokinetics studies. Groups A through 
F shall be used to determine the kinetics of absorption of the test 
substance. In animal subjects administered the test substance 
intravenously (i.e., Group A), the concentration of test substance in 
blood and excreta shall be measured following administration. In animal 
subjects administered the test substance by the inhalation and dermal 
routes (i.e., Groups B through F), the concentration of test substance 
in blood shall be measured at selected time intervals during and 
following the exposure period. In animal subjects administered the test 
substance by the inhalation route (i.e., Groups B, C, and F) the 
concentration of test substance in excreta shall be measured following 
exposure. In animal subjects administered the test substance by the 
dermal route (i.e., Groups D and E) the concentration of test substance 
in excreta shall be measured during and following exposure. These 
measurements allow calculation of uptake, half lives, and clearance. In 
addition, in the groups

[[Page 74]]

administered the test substance by inhalation (i.e., Groups B, C, and 
F), the concentration of test substance in the exposure chamber air 
shall be measured at selected time intervals during the exposure period.
    (ii) Metabolism studies. Groups A through F shall be used to 
determine the metabolism of the test substance. Excreta (urine, feces, 
and expired air) shall be collected for identification and measurement 
of the quantities of test substance and metabolites.
    (4) Measurements--(i) Pharmacokinetics. At least four animals from 
each group shall be used for these purposes.
    (A) Bioavailability. The levels of test substance and relevant 
metabolites, as appropriate, shall be determined in whole blood, blood 
plasma or blood serum at appropriate intervals after initiation of 
intravenous, dermal, and inhalation exposure. The sampling intervals 
should be compatible with the exposure route under study. The 
determinations need only be done on animals administered the test 
substance containing \14\C-n-hexane or, if the analytical sensitivity is 
equal or greater, unlabeled test substance may be used.
    (B) Extent of absorption. The total quantities of radioactivity 
shall be determined for excreta collected daily for 7 days, or until at 
least 90 percent of theradioactivity has been recovered in the excreta, 
whichever occurs first.
    (C) Excretion. The quantities of radioactivity eliminated in the 
urine, feces, and expired air shall be determined separately at time 
intervals that provide accurate measurement of clearance and excretory 
rates. The collection of carbon dioxide may be discontinued when less 
than one percent of the dose is found to be exhaled as radioactive 
carbon dioxide in 24 hours.
    (D) Tissue distribution. At the termination of each study, the 
quantities of radioactivity shall be determined in blood and in various 
tissues, including bone, brain, fat, gastrointestinal tract, gonads, 
heart, kidney, liver, lungs, muscle, skin, spleen, thymus, and residual 
carcass of each animal.
    (E) Change in pharmacokinetics. Results of pharmacokinetics 
measurements (i.e., biotransformation, extent of absorption, tissue 
distribution, and excretion) obtained in rats receiving the single 
inhalation exposure to the low dose of the test substance (Group B) 
shall be compared to the corresponding results obtained in rats 
receiving repeated inhalation exposures to the low dose of the test 
substance (Group F).
    (ii) Metabolism. At least four animals from each group shall be used 
for these purposes.
    (A) Biotransformation. Appropriate qualitative and quantitative 
methods shall be used to assay urine, feces, and expired air collected 
from rats. Efforts shall be made to identify any metabolite which 
comprises 5 percent or more of the dose administered.
    (B) Changes in biotransformation. Appropriate qualitative and 
quantitative assay methods shall be used to compare the composition of 
radioactive compounds in excreta from rats receiving a single inhalation 
exposure (Groups B and C) with that from rats receiving repeated 
inhalation exposures (Group F).
    (d) Data and reporting. The final test report shall include the 
following:
    (1) Presentation of results. Numerical data shall be summarized in 
tabular form. Pharmacokinetics data shall also be presented in graphical 
form. Qualitative observations shall also be reported.
    (2) Evaluation of results. All data shall be evaluated by 
appropriate statistical methods.
    (3) Reporting results. In addition to the reporting requirements as 
specified in 40 CFR part 792, the following information shall be 
reported.
    (i) Strain of laboratory animals.
    (ii) Chemical characterization of the test substances, including:
    (A) For the radiolabeled test substances, information on the sites 
and degree of radiolabeling, including type of label, specific activity, 
chemical purity prior to mixing with the unlabeled hexane mixture, and 
radiochemical purity.
    (B) For the unlabeled test substance, information on lot number and 
the percentage of MCP and n-hexane.
    (C) Results of chromatography.
    (iii) A full description of the sensitivity, precision, and accuracy 
of all procedures used to obtain the data.

[[Page 75]]

    (iv) Percent and rate of absorption of the test substance after 
inhalation and dermal exposures.
    (v) Quantity and percent recovery of radioactivity in feces, urine, 
expired air, and blood. For dermal studies, include recovery data for 
skin and residual radioactivity in the covering apparatus.
    (vi) Tissue distribution reported as quantity of radioactivity in 
blood, in various tissues including bone, brain, fat, gastrointestinal 
tract, gonads, heart, kidney, liver, lung, muscle, skin, spleen, thymus, 
and in residual carcass.
    (vii) Biotransformation pathways, to the extent possible, and 
quantities of the test substances and metabolites in excreta collected 
after administering single high and low doses.
    (viii) Biotransformation pathways, to the extent possible, and 
quantities of test substances and metabolites in excreta collected after 
administering repeated low doses.
    (ix) Pharmacokinetics models to the extent they can be developed 
from the experimental data.

[55 FR 632, Jan. 8, 1990, as amended at 58 FR 34205, June 23, 1993; 60 
FR 34466, July 3, 1995; 69 FR 18803, Apr. 9, 2004]



Sec.  795.250  Developmental neurotoxicity screen.

    (a) Purpose. In the assessment and evaluation of the toxic 
characteristics of a chemical, it is important to determine when 
acceptable exposures in the adult may not be acceptable to a developing 
organism. This test is designed to provide information on the potential 
functional and morphologic hazards to the nervous system which may arise 
in the offspring from exposure of the mother during pregnancy and 
lactation.
    (b) Principle of the test method. The test substance is administered 
to several groups of pregnant animals during gestation and lactation, 
one dose level being used per group. Offspring are randomly selected 
from within litters for neurotoxicity evaluation. The evaluation 
includes observation to detect gross neurological and behavioral 
abnormalities, determination of motor activity, neuropathological 
evaluation, and brain weights. Measurements are carried out periodically 
during both postnatal development and adulthood.
    (c) Test procedures--(1) Animal selection--(i) Species and strain. 
Testing should be performed in the Sprague Dawley rat.
    (ii) Age. Young adult animals (nulliparous females) shall be used.
    (iii) Sex. Pregnant females shall be used at each dose level.
    (iv) Number of animals. The objective is for a sufficient number of 
pregnant rats to be exposed to ensure that an adequate number of 
offspring are produced for neurotoxicity evaluation. At least 20 litters 
are recommended at each dose level. This number assumes a coefficient of 
variation of 20 to 25 percent for most behavioral tests. If, based upon 
experience with historical control data or data for positive controls in 
a given laboratory, the coefficient of variation for a given task is 
higher than 20 to 25 percent, then calculation of appropriate sample 
sizes to detect a 20 percent change from control values with 80 percent 
power would need to be done. For most designs, calculations can be made 
according to Dixon and Massey (1957) under paragraph (e)(5) of this 
section, Neter and Wasserman (1974) under paragraph (e)(10) of this 
section, Sokal and Rohlf (1969) under paragraph (e)(11) of this section, 
or Jensen (1972) under paragraph (e)(8) of this section.
    (A) On day 4 after birth, the size of each litter should be adjusted 
by eliminating extra pups by random selection to yield, as nearly as 
possible, 4 males and 4 females per litter. Whenever the number of male 
or female pups prevents having 4 of each sex per litter, partial 
adjustment (for example, 5 males and 3 females) is permitted. 
Adjustments are not appropriate for litters of less than 8 pups. 
Elimination of runts only is not appropriate. Individual pups should be 
identified uniquely after standardization of litters. A method that may 
be used can be found in Adams et al. (1985) under paragraph (e)(1) of 
this section.
    (B) After standardization of litters, males and females shall be 
randomly assigned to one of each of three behavioral tasks. 
Alternatively, more than one of the behavioral tasks may be conducted in 
the same animal. In the

[[Page 76]]

latter case, a minimum of 1 to 2 days should separate the tests when 
conducted at about the same age.
    (C) One male and one female shall be randomly selected from each 
litter for sacrifice at weaning as specified in paragraph (c)(8) of this 
section.
    (2) Control group. A concurrent control group shall be used. This 
group shall be a sham treated group, or, if a vehicle is used in 
administering the test substance, a vehicle control group. Animals in 
the control groups shall be handled in an identical manner to test group 
animals. The vehicle shall neither be developmentally toxic nor have 
effects on reproduction.
    (3) Dose levels and dose selection. (i) At least 3 dose levels plus 
a control (vehicle control, if a vehicle is used) shall be used.
    (ii) If the substance has been shown to be developmentally toxic 
either in a standard developmental toxicity study or a pilot study, the 
highest dose level shall be the maximum dose which will not induce in 
utero or neonatal deaths or malformations sufficient to preclude a 
meaningful evaluation of neurotoxicity.
    (iii) In the absence of standard developmental toxicity, unless 
limited by the physicochemical nature or biologicial properties of the 
substance, the highest dose level shall induce some overt maternal 
toxicity but shall not result in a reduction in weight gain exceeding 20 
percent during gestation and lactation.
    (iv) The lowest dose should not produce any grossly observable 
evidence of either maternal or developmental neurotoxicity.
    (v) The intermediate dose(s) shall be equally spaced between the 
highest and lowest dose.
    (4) Dosing period. Day 0 in the test is the day on which a vaginal 
plug and/or sperm are observed. The dose period shall cover the period 
from day 6 of gestation through weaning (21 days postnatally).
    (5) Administration of test substance. The test substance or vehicle 
should be administered orally by intubation. The test substance shall be 
administered at the same time each day. The animals shall be weighed 
periodically and the dosage based on the most recent weight 
determination.
    (6) Observation of dams. (i) A gross examination of the dams shall 
be made at least once each day, before daily treatment. The animals 
shall be observed by trained technicians who are blind with respect to 
the animal's treatment, using standardized procedures to maximize inter-
observer reliability. Where possible, it is advisable that the same 
observer be used to evaluate the animals in a given study. If this is 
not possible, some demonstration of inter-observer reliability is 
required.
    (ii) During the treatment and observation periods, cage-side 
observations shall include:
    (A) Any responses with respect to body position, activity level, 
coordination of movement, and gait.
    (B) Any unusual or bizarre behavior including, but not limited to 
headflicking, head searching, compulsive biting or licking, self-
mutilation, circling, and walking backwards.
    (C) The presence of:
    (1) Convulsions.
    (2) Tremors.
    (3) Increased levels of lacrimation and/or red-colored tears.
    (4) Increased levels of salivation.
    (5) Piloerection.
    (6) Pupillary dilation or constriction.
    (7) Unusual respiration (shallow, labored, dyspneic, gasping, and 
retching) and/or mouth breathing.
    (8) Diarrhea.
    (9) Excessive or diminished urination.
    (10) Vocalization.
    (iii) Signs of toxicity shall be recorded as they are observed, 
including the time of onset, the degree and duration.
    (iv) Animals shall be weighed at least weekly.
    (v) The day of delivery of litters shall be recorded.
    (7) Study conduct--(i) Observation of offspring. (A) All offspring 
shall be examined cage-side daily for gross signs of mortality and 
morbidity.
    (B) All offspring shall be examined outside the cage for gross signs 
of toxicity whenever they are weighed or removed from their cages for 
behavioral testing. The offspring shall be observed by trained 
technicians, who are blind with respect to the animal's treatment

[[Page 77]]

using standardized procedures to maximize inter-observer reliability. 
Where possible, it is advisable that the same observer be used to 
evaluate the animals in a given study. If this is not possible, some 
demonstration of inter-observer reliability is required. At a minimum, 
the end points outlined in paragraph (c)(6)(ii) of this section shall be 
monitored as appropriate for the developmental stage being observed.
    (C) Any gross signs of toxicity in the offspring shall be recorded 
as they are observed, including the time of onset, the degree, and 
duration.
    (ii) Developmental landmarks. Live pups should be counted and 
litters weighed by weighing each individual pup at birth, or soon 
thereafter, and on days 4, 7, 13, 17, and 21, and biweekly thereafter. 
The age of the pups at the time of the appearance of the following 
developmental landmarks shall be determined:
    (A) Vaginal opening. General procedure for this determination may be 
found in Adams et al. (1985) under paragraph (e)(1) of this section.
    (B) Testes descent. General procedure for this determination may be 
found in Adams et al. (1985) under paragraph (e)(1) of this section.
    (iii) Motor activity. (A) Motor activity shall be monitored 
specifically on days 13, 17, 21, 45 (2 days), and 
60 (2 days). Motor activity shall be monitored by 
an automated activity recording apparatus. The device used shall be 
capable of detecting both increases and decreases in activity, i.e., 
baseline activity as measured by the device shall not be so low as to 
preclude decreases nor so high as to preclude increases. Each device 
shall be tested by standard procedures to ensure, to the extent 
possible, reliability of operation across devices and testing of animals 
within dose groups shall be balanced across devices.
    (B) Each animal shall be tested individually. The test session shall 
be long enough to demonstrate habituation of motor activity in control 
animals, i.e., to approach asymptotic levels by the last 20 percent of 
the session. Animals' activity counts shall be collected in equal time 
periods of no greater than 10 minutes duration. All sessions shall have 
the same duration. Treatment groups shall be counter-balanced across 
test times.
    (C) Efforts shall be made to ensure that variations in the test 
conditions are minimal and are not systematically related to treatment. 
Among the variables which can affect motor activity are sound level, 
size, and shape of the test cage, temperature, relative humidity, 
lighting conditions, odors, use of home cage or novel test cage, and 
environmental distractions.
    (D) Additional information on the conduct of a motor activity study 
may be obtained in the TSCA motor activity guideline, in Sec.  798.6200 
of this chapter.
    (iv) Auditory startle test. An auditory startle habituation test 
shall be performed on the offspring on days 22 and 60. Details on the 
conduct of this testing may be obtained in Adams et al. (1985) under 
paragraph (e)(1) of this section. In performing the auditory startle 
task, the mean response amplitude on each block of 10 trials (5 blocks 
of 10 trials per session on each day of testing) shall be made. While 
use of pre-pulse inhibition is not a requirement, it may be used at the 
discretion of the investigator. Details on the conduct of this testing 
may be obtained from Ison (1984) under paragraph (e)(7) of this section.
    (v) Active avoidance test. Active avoidance testing shall be 
conducted beginning at 60 to 61 days of age. Details on the apparatus 
may be obtained in Brush and Knaff (1959) and on the conduct of testing 
from Brush (1962), under paragraphs (e)(2) and (e)(4) of this section, 
respectively; reviews on active avoidance conditioning by Brush (1971) 
and McAllister and McAllister (1971) can be found under paragraphs 
(e)(3) and (e)(9) of this section, respectively. In performing the 
active avoidance task, the following measures should be made:
    (A) Mean number of shuttles during the adaptation period preceding 
each daily session.
    (B) Mean number and latency of avoidances per session, presented in 
blocks of 10 trials (2 blocks of 10 trials per session across 5 
sessions).
    (C) Mean number and latency of escapes per session, presented in 
blocks of 10 trials as above.

[[Page 78]]

    (D) Mean duration of shocks per session, presented in blocks of 10 
trials as above.
    (E) Mean number of shuttles during the inter-trial intervals.
    (8) Post-mortem evaluation--(i) Age of animals. One male and one 
female per litter shall be sacrificed at weaning and the remainder 
following the last behavioral measures. Neuropathology and brain weight 
determinations shall be made on animals sacrificed at weaning and after 
the last behavioral measures.
    (ii) Neuropathology. Details for the conduct of neuropathology 
evaluation may be obtained in the TSCA neuropathology guideline, in 
Sec.  798.6400 of this chapter. At least 6 offspring per dose group 
shall be randomly selected from each sacrificed group (weaning and 
adulthood) for neuropathologic evaluation. These animals shall be 
balanced across litters, and equal numbers of males and females shall be 
used. The remaining sacrificed animals shall be used to determine brain 
weight. Animals shall be perfused in situ by a generally recognized 
technique. After perfusion, the brain and spinal cord shall be removed 
and gross abnormalities noted. Cross-sections of the following areas 
shall be examined: The forebrain, the center of the cerebrum and 
midbrain, the cerebellum and pons, and the medulla oblongata; the spinal 
cord at cervical and lumbar swelling; Gasserian ganglia, dorsal root 
ganglia, dorsal and ventral root fibers, proximal sciatic nerve (mid-
thigh and sciatic notch), sural nerve (at knee), and tibial nerve (at 
knee). Tissue samples from both the central and peripheral nervous 
system shall be further immersion-fixed and stored in appropriate 
fixative for further examination. After dehydration, tissue specimens 
shall be cleared with xylene and embedded in paraffin or paraplast 
except for the sural nerve which should be embedded in plastic. A method 
for plastic embedding is described by Spencer et al. under paragraph 
(e)(12) of this section. Tissue sections shall be prepared from the 
tissue blocks. The following general testing sequence is recommended for 
gathering histopathological data:
    (A) General staining. A general staining procedure shall be 
performed on all tissue specimens in the highest treatment group. 
Hematoxylin and eosin (H&E) shall be used for this purpose. The staining 
shall be differentiated properly to achieve bluish nuclei with pinkish 
background.
    (B) Special stains. Based on the results of the general staining, 
selected sites and cellular components shall be further evaluated by use 
of specific techniques. If H&E screening does not provide such 
information, a battery of stains shall be used to assess the following 
components in all appropriate required samples: Neuronal body (e.g., 
Einarson's gallocyanin), axon (e.g., Kluver's Luxol Fast Blue), and 
neurofibrils (e.g., Bielchosky). In addition, nerve fiber teasing shall 
be used. A section of normal tissue shall be included in each staining 
to assure that adequate staining has occurred. Any changes shall be 
noted and representative photographs shall be taken. If lesions are 
observed, the special techniques shall be repeated in the next lower 
treatment group until no further lesions are detectable.
    (C) Alternative technique. If the anatomical locus of expected 
neuropathology is well-defined, epoxy-embedded sections stained with 
toluidine blue may be used for small sized tissue samples. This 
technique obviates the need for special stains.
    (iii) Brain weight. At least 10 animals that are not sacrificed for 
histopathology shall be used to determine brain weight. The animals 
shall be decapitated and the brains carefully removed, blotted, chilled, 
and weighed. The following dissection shall be performed on an ice-
cooled glass plate: First, the rhombencephalon is separated by a 
transverse section from the rest of the brain and dissected into the 
cerebellum and the medulla oblongata/pons. A transverse section is made 
at the level of the ``optic chiasma'' which delimits the anterior part 
of the hypothalamus and passes through the anterior commissure. The 
cortex is peeled from the posterior section and added to the anterior 
section. This divides the brain into four sections, the telencephalon, 
the diencephalon/mid-brain, the medulla oblongata/pons, and the 
cerebellum. Sections shall be

[[Page 79]]

weighed as soon as possible after dissection to avoid drying. Detailed 
methodology is available in Glowinski and Iversen (1966) under paragraph 
(e)(6) of this section.
    (d) Data reporting and evaluation. In addition to the reporting 
requirements specified in part 792, subpart J of this chapter, the final 
test report shall include the following information.
    (1) Description of system and test methods. (i) A detailed 
description of the procedures used to standardize observation and 
operational definitions for scoring observations.
    (ii) Positive control data from the laboratory performing the test 
that demonstrate the sensitivity of the procedures being used. These 
data do not have to be from studies using prenatal exposures. However, 
the laboratory must demonstrate competence in testing neonatal animals 
perinatally exposed to chemicals and establish test norms for the 
appropriate age group.
    (iii) Procedures for calibrating and assuring the equivalence of 
devices and balancing treatment groups.
    (iv) A short justification explaining any decisions where 
professional judgement is involved such as fixation technique and choice 
of stains.
    (2) Results. The following information shall be arranged by test 
group dose level.
    (i) In tabular form, data for each animal shall be provided showing:
    (A) Its identification number and litter from which it came.
    (B) Its body weight and score on each developmental landmark at each 
observation time; total session activity counts and intrasession 
subtotals on each day measured; auditory startle response magnitude 
session counts and intrasession subtotals on each day measured; 
avoidance session counts and intrasession counts on each day measured; 
time and cause of death (if appropriate); locations, nature or 
frequency, and severity of the lesions; total brain weight; absolute 
weight of each of the four sections; and weight of each section as a 
percentage of total brain weight. A commonly used scale such as 1+, 2+, 
3+, and 4+ for degree of severity of lesions ranging from very slight to 
extensive may be used for morphologic evaluation. Any diagnoses derived 
from neurologic signs and lesions, including naturally occurring 
diseases or conditions, shall also be recorded.
    (ii) Summary data for each group shall include:
    (A) The number of animals at the start of the test.
    (B) Body weights of the dams during gestation and lactation.
    (C) Litter size and mean weight at birth.
    (D) The number of animals showing each observation score at each 
observation time.
    (E) The percentage of animals showing each abnormal sign at each 
observation time.
    (F) The mean and standard deviation for each continuous end point at 
each observation time. These will include body weight, motor activity 
counts, acoustic startle responses, performance in active avoidance 
tests, and brain weights (both absolute and relative).
    (G) The number of animals in which any lesion was found.
    (H) The number of animals affected by each different type of lesion, 
the average grade of each type of lesion, and the frequency of each 
different type and/or location of lesions.
    (3) Evaluation of data. An evaluation of the test results shall be 
made. The evaluation shall include the relationship between the doses of 
the test substance and the presence or absence, incidence, and severity 
of any neurotoxic effect. The evaluation shall include appropriate 
statistical analyses. The choice of analyses shall consider tests 
appropriate to the experimental design and needed adjustments for 
multiple comparisons.
    (e) References. For additional background information on this test 
guideline, the following references should be consulted:
    (1) Adams, J., Buelke-Sam, J., Kimmel, C.A., Nelson, C.J., Reiter, 
L.W., Sobotka, T.J., Tilson, H.A., and Nelson, B.K. ``Collaborative 
behavioral teratology study: Protocol design and testing procedure.'' 
Neurobehavioral Toxicology and Teratology. 7: 579-586. (1985).
    (2) Brush, F.R. ``The effects of inter-trial interval on avoidance 
learning in the rat.'' Journal of Comparative Physiology and Psychology. 
55: 888-892. (1962).

[[Page 80]]

    (3) Brush, F.R. ``Retention of aversively motivated behavior.'' In: 
``Adverse Conditioning and Learning.'' Brush, F.R., ed., New York: 
Academic Press. (1971).
    (4) Brush, F.R. and Knaff, P.R. ``A device for detecting and 
controlling automatic programming of avoidance-conditioning in a 
shuttle-box.'' American Journal of Psychology. 72: 275-278 (1959).
    (5) Dixon, W.J. and Massey, E.J. ``Introduction to Statistical 
Analysis.'' 2nd ed. New York: McGraw-Hill. (1957).
    (6) Glowinski, J. and Iversen, L.L. ``Regional studies of 
catecholamines in the rat brain-I.'' Journal of Neurochemistry. 13: 655-
669. (1966).
    (7) Ison, J.R. ``Reflex modification as an objective test for 
sensory processing following toxicant exposure.'' Neurobehavioral 
Toxicology and Teratology. 6: 437-445. (1984).
    (8) Jensen, D.R. ``Some simultaneous multivariate procedures using 
Hotelling's T2 Statistics.'' Biometrics. 28: 39-53. (1972).
    (9) McAllister, W.R. and McAllister, D.E. ``Behavioral measurement 
of conditioned fear.'' In: ``Adverse Conditioning and Learning.'' Brush, 
F.R., ed., New York: Academic Press (1971).
    (10) Neter, J. and Wasserman, W. ``Applied Linear Statistical 
Models.'' Homewood: Richard D. Irwin, Inc. (1974).
    (11) Sokal, R.P. and Rohlf, E.J. ``Biometry.'' San Francisco: W.H. 
Freeman and Co. (1969).
    (12) Spencer, P.S., Bischoff, M.C., and Schaumburg, H.H., 
``Neuropathological methods for the detection of neurotoxic disease.'' 
In: ``Experimental and Clinical Neurotoxicology.'' Spencer, P.S. and 
Schaumburg, H.H., eds., Baltimore, MD: Williams & Wilkins, pp. 743-757. 
(1980).

[53 FR 5957, Feb. 26, 1988]



PART 796_CHEMICAL FATE TESTING GUIDELINES--Table of Contents

Subpart A [Reserved]

               Subpart B_Physical and Chemical Properties

Sec.
796.1050 Absorption in aqueous solution: Ultraviolet/visible spectra.
796.1950 Vapor pressure.

                      Subpart C_Transport Processes

796.2750 Sediment and soil adsorption isotherm.

                   Subpart D_Transformation Processes

796.3100 Aerobic aquatic biodegradation.
796.3500 Hydrolysis as a function of pH at 25 [deg]C.

    Authority: 15 U.S.C. 2603.

Subpart A [Reserved]



               Subpart B_Physical and Chemical Properties



Sec.  796.1050  Absorption in aqueous solution: Ultraviolet/visible spectra.

    (a) Introductory information--(1) Guidance information. (i) 
Molecular formula.
    (ii) Structural formula.
    (2) Standard documents. The spectrophotometric method is based on 
national standards and consensus methods which are applied to measure 
the absorption spectra.
    (b) Method--(1)(i) Introduction, purpose, scope, relevance, 
application and limits of test. (A) The primary environmental purpose in 
determining the ultraviolet-visible (UV-VIS) absorption spectrum of a 
chemical compound is to have some indication of the wavelengths at which 
the compounds may be susceptible to photochemical degradation. Since 
photochemical degradation is likely to occur in both the atmosphere and 
the aquatic environment, spectra appropriate to these media will be 
informative concerning the need for further persistence testing.
    (B) Degradation will depend upon the total energy absorbed in 
specific wavelength regions. Such energy absorption is characterized by 
both molar absorption coefficient (molar extinction coefficient) and 
band width. However, the absence of measurable absorption does not 
preclude the possibility of photodegradation.
    (ii) Definitions and units. The UV-VIS absorption spectrum of a 
solution is a function of the concentration, c1, expressed in 
mol/L, of all absorbing species present; the path length, d, of the 
spectrophotometer cell, expressed in cm; and the molar absorption 
(extinction) coefficient,[egr]i, of each species. The

[[Page 81]]

absorbance (optical density) A of the solution is then given by:
[GRAPHIC] [TIFF OMITTED] TC15NO91.045


For a resolvable absorbance peak, the band width [lambda] is the 
wavelength range, expressed in nm=10-9 m, of the peak at half 
the absorbance maximum.
    (iii) Reference substances. (A) The reference substances need not be 
employed in all cases when investigating a new substance. They are 
provided primarily so that calibration of the method may be performed 
from time to time and to offer the chance to compare the results when 
another method is applied.
    (B) Reference compounds appropriate for the calibration of the 
system are:
    (1) Potassium dichromate (in 0.005 mol/L, 
H2SO4 solution) from J.A.A. Ketelaar, paragraph 
(d)(2) of this section:

log [egr]...................................   3.56   3.63   3.16   3.50
[lambda] in nm..............................    235    257    313    350
 

    (2) Fluoranthene (in methanol) from C.R.C. Atlas of Spectral Data, 
paragraph (d)(3) of this section:

log [egr]............................   4.75   4.18   4.73   3.91   3.92
[lambda] in nm.......................    237    236    288    339    357
 

    (3) 4-nitrophenol (in methanol) from C.R.C. Atlas of Spectral Data, 
paragraph (d)(3) of this section:

log [egr]...............................................    3.88    4.04
[lambda] in nm..........................................     288     311
 


See also paragraph (d)(1) of this section.
    (iv) Principle of the test method. This method utilizes a double-
beam spectrophotometer which records only the absorption differences 
between the blank and test solutions to give the spectrum of the 
chemical being tested.
    (v) Quality criteria--Reproducibility and sensitivity. (A) 
Reproducibility and sensitivity, need not be measured directly. Instead, 
the accuracy of the system in measuring the spectra of reference 
compounds will be defined so as to assure appropriate reproducibility 
and sensitivity. It is preferable to use a recording double-beam 
spectrophotometer to obtain the UV-VIS spectrum of the test compound. 
Such an instrument should have a photometric accuracy of 0.02 units over the absorbance range of 0 to 2 units. It 
should be capable of recording absorbances at wavelengths of 200 to 750 
nanometers nm with a wavelength accuracy of 0.5 
nm. The cells employed with the instrument must necessarily be 
transparent over this wavelength range and must have a path length 
determined to within 1 percent. To ensure that the instrument is 
performing satisfactorily, spectra for test solutions of 
K2Cr2O7 (for absorbance accuracy) and 
holmium glass (for wavelength accuracy) should be run periodically.
    (B) In the event that a recording double-beam instrument is not 
available, it will be necessary to determine the absorbance of the test 
solution in a single-beam instrument at 5-nm intervals over the entire 
wavelength range and at 1-nm intervals where there are indicated 
absorbance maxima. Wavelength and absorbance tests should be done as 
with the double-beam instrument.
    (2) Description of the test procedure--(i) Preparation--(A) 
Preparation of test solutions. (1) Solutions should be prepared by 
accurately weighing an appropriate amount of the purest form of the test 
substance available. This should be made up in a concentration which 
will result in at least one absorbance maximum in the range 0.5 to 1.5 
units.
    (2) The absorption of a compound is due to its particular chemical 
form. It is often the case that different forms are present, depending 
on whether the medium is acidic, basic, or neutral. Consequently, 
spectra under all three conditions are required where solubility and 
concentration allow. Where it is not possible to obtain sufficient 
concentrations in any of the aqueous media, a suitable organic solvent 
should be used (methanol preferred).
    (3) The acid medium should have a pH of less than 2, and the basic 
medium should be at least pH 10. The solvent for the neutral solution, 
and for preparing the acidic and basic ones, should be distilled water, 
transparent to ultraviolet radiation down to 200 nm. If methanol must be 
used, acidic and basic solutions can be prepared by adding 10 percent by 
volume of HCl or NaOH in aqueous solution ([HCl], [NaOH]=1 mol/L).
    (4) In theory, all chemical species other than that being tested are

[[Page 82]]

present in both beams and would therefore not appear in the recorded 
spectrum of a double-beam instrument. In practice, because the solvent 
is usually present in great excess, there is a threshold value of 
wavelength below which it is not possible to record the spectrum of the 
test chemical. Such a wavelength will be a property of the solvent or of 
the test medium. In general, distilled water is useful from 200 nm 
(dissolved ions will often increase this), methanol from 210 nm, hexane 
from 210 nm, acetonitrile from 215 nm and dichloromethane from 235 nm.
    (B) Blank solutions. A blank must be prepared which contains the 
solvent and all chemical species other than the test chemical. The 
absorption spectrum of this solution should be recorded in a manner 
identical to that of the test solution and preferably on the same chart. 
This ``baseline'' spectrum should never record an absorbance reading 
varying more than 0.05 from the nominal zero 
value.
    (C) Cells. Cell pathlengths are usually between 0.1 cm and 10 cm. 
Cell lengths should be selected to permit recording of at least one 
maximum in the absorbance range of 0.5 to 1.5 units. Which set of cells 
should be used will be governed by the concentration and the absorbance 
of the test solution as indicated by the Beer-Lambert Law. The cells 
should be transparent over the range of the spectrum being recorded, and 
the path-lengths should be known to an accuracy of at least 1 per cent. 
Cells should be thoroughly cleaned in an appropriate manner (chromic 
acid is useful for quartz cells) and rinsed several times with the test 
or blank solutions.
    (ii) Performance of the test. Both cells to be employed should be 
rinsed with the blank solution and then filled with same. The instrument 
should be set to scan at a rate appropriate for the required wavelength 
resolution and the spectrum of the blank recorded. The sample cell 
should then be rinsed and filled with the test solution and the scanning 
repeated, preferably on the same spectrum chart, to display the 
baseline. The test should be carried out at 25 [deg]C.
    (c) Data and reporting--(1) Treatment of results. (i) The molar 
absorption coefficient [egr] should be calculated for all absorbance 
maxima of the test substance. The formula for this calculation is:
[GRAPHIC] [TIFF OMITTED] TC15NO91.046


where the quantities are as defined above (see Definitions and units).

    (ii) For each peak which is capable of being resolved, either as 
recorded or by extrapolated symmetrical peaks, the bandwidth should be 
recorded.
    (2) Test report. (i) The report should contain a copy of each of the 
three spectra (3 pH conditions). If neither water nor methanol solutions 
are feasible, there will be only one spectrum. Spectra should include a 
readable wave-length scale. Each spectrum should be clearly marked with 
the test conditions.
    (ii) For each maximum in each spectrum, the [egr] value and 
bandwidth (when applicable) should be calculated and reported, along 
with the wavelength of the maximum. This should be presented in tabular 
form.
    (iii) The various test conditions should be included, such as scan 
speed, the name and model of the spectrophotom-eter, the slit width 
(where available), cell type and path length, the concentrations of the 
test substance, and the nature and acidity of the solvent medium. A 
recent test spectrum on appropriate reference materials for photometric 
and wavelength accuracy should also be submitted (see Reproducibility 
and sensitivity).
    (d) Literature references. For additional background information on 
this test guideline, the following references should be consulted:
    (1) Milazzo, G., Caroli, S., Palumbo-Doretti, M., Violante, N., 
Analytical Chemistry, 49: 711 (1977).
    (2) Katelaar, J.A.A., Photoelectric Spectrometry Group Bulletin, 8, 
(Cambridge, 1955).
    (3) Chemical Rubber Company, Atlas of Spectral Data, (Cliffland, 
Ohio).

[50 FR 39472, Sept. 27, 1985]



Sec.  796.1950  Vapor pressure.

    (a) Introduction--(1) Background and purpose. (i) Volatilization, 
the evaporative loss of a chemical, depends upon

[[Page 83]]

the vapor pressure of chemical and on environmental conditions which 
influence diffusion from a surface. Volatilization is an important 
source of material for airborne transport and may lead to the 
distribution of a chemical over wide areas and into bodies of water far 
from the site of release. Vapor pressure values provide indications of 
the tendency of pure substances to vaporize in an unperturbed situation, 
and thus provide a method for ranking the relative volatilities of 
chemicals. Vapor pressure data combined with water solubility data 
permit the calculation of Henry's law constant, a parameter essential to 
the calculation of volatility from water.
    (ii) Chemicals with relatively low vapor pressures, high 
adsorptivity onto solids, or high solubility in water are less likely to 
vaporize and become airborne than chemicals with high vapor pressures or 
with low water solubility or low adsorptivity to solids and sediments. 
In addition, chemicals that are likely to be gases at ambient 
temperatures and which have low water solubility and low adsorptive 
tendencies are less likely to transport and persist in soils and water. 
Such chemicals are less likely to biodegrade or hydrolyze and are prime 
candidates for atmospheric oxidation and photolysis (e.g., smog 
formation or stratospheric alterations). On the other hand, nonvolatile 
chemicals are less frequently involved in atmosphere transport, so that 
concerns regarding them should focus on soils and water.
    (iii) Vapor pressure data are an important consideration in the 
design of other chemical fate and effects tests; for example, in 
preventing or accounting for the loss of violatile chemicals during the 
course of the test.
    (2) Definitions and units. (i) ``Desorption efficiency'' of a 
particular compound applied to a sorbent and subsequently extracted with 
a solvent is the weight of the compound which can be recovered from the 
sorbent divided by the weight of the compound originally sorbed.
    (ii) ``Pascal'' (Pa) is the standard international unit of vapor 
pressure and is defined as newtons per square meter (N/m\2\). A newton 
is the force necessary to give acceleration of one meter per second 
squared to one kilogram of mass.
    (iii) The ``torr'' is a unit of pressure which equals 133.3 pascals 
or 1 mm Hg at 0 [deg]C.
    (iv) ``Vapor pressure'' is the pressure at which a liquid or solid 
is in equilibrium with its vapor at a given temperature.
    (v) ``Volatilization'' is the loss of a substance to the air from a 
surface or from solution by evaporation.
    (3) Principle of the test methods. (i) The isoteniscope procedure 
uses a standardized technique [ASTM 1978] that was developed to measure 
the vapor pressure of certain liquid hydrocarbons. The sample is 
purified within the equipment by removing dissolved and entrained gases 
until the measured vapor pressure is constant, a process called 
``degassing.'' Impurities more volatile than the sample will tend to 
increase the observed vapor pressure and thus must be minimized or 
removed. Results are subject to only slight error for samples containing 
nonvolatile impurities.
    (ii) Gas saturation (or transpiration) procedures use a current of 
inert gas passed through or over the test material slowly enough to 
ensure saturation and subsequent analysis of either the loss of material 
or the amount (and sometimes kind) of vapor generated. Gas saturation 
procedures have been described by Spencer and Cliath (1969) under 
paragraph (d)(2) of this section. Results are easy to obtain and can be 
quite precise. The same procedures also can be used to study 
volatilization from laboratory scale environmental simulations. Vapor 
pressure is computed on the assumption that the total pressure of a 
mixture of gases is equal to the sum of the pressures of the separate or 
component gases and that the ideal gas law is obeyed. The partial 
pressure of the vapor under study can be calculated from the total gas 
volume and the weight of the material vaporized. If v is the volume 
which contains w grams of the vaporized material having a molecular 
weight M, and if p is the pressure of the vapor in equilibrium at 
temperature T (K), then the vapor pressure, p, of the sample is 
calculated by

p=(w/M)(RT/v),


[[Page 84]]



where R is the gas constant (8.31 Pa m\2\ mol-1 
K-1) when the pressure is in pascals (Pa) and the volume is 
in cubic meters. As noted by Spencer and Cliath (1970) under paragraph 
(d)(3) of this section, direct vapor pressure measurements by gas 
saturation techniques are more directly related to the volatilization of 
chemicals than are other techniques.

    (iii) In an effort to improve upon the procedure described by 
Spencer and Cliath (1969) under paragraph (d)(2) of this section, and to 
determine the applicability of the gas saturation method to a wide 
variety of chemical types and structures, EPA has sponsored research and 
development work at SRI International (EPA 1982) under paragraph (d)(1) 
of this section. The procedures described in this Test Guideline are 
those developed under that contract and have been evaluated with a wide 
variety of chemicals of differing structure and vapor pressures.
    (4) Applicability and specificity. (i) A procedure for measuring the 
vapor pressure of materials released to the environment ideally would 
cover a wide range of vapor pressure values, at ambient temperatures. No 
single procedure can cover this range, so two different procedures are 
described in this section, each suited for a different part of the 
range. The isoteniscope procedure is for pure liquids with vapor 
pressures from 0.1 to 100 kPa. For vapor pressures of 10-5 to 
10 \3\ Pa, a gas saturation procedure is to be used.
    (ii) With respect to the isoteniscope method, if compounds that boil 
close to or form azeotropes with the test material are present, it is 
necessary to remove the interfering compounds and use pure test 
material. Impurities more volatile than the sample will tend to increase 
the observed vapor pressure above its true value but the purification 
steps will tend to remove these impurities. Soluble, nonvolatile 
impurities will decrease the apparent vapor pressure. However, because 
the isoteniscope procedure is a static, fixed-volume method in which an 
insignificant fraction of the liquid sample is vaporized, it is subject 
to only slight error for samples containing nonvolatile impurities. That 
is, the nonvolatile impurities will not be concentrated due to 
vaporization of the sample.
    (iii) The gas saturation method is applicable to solid or liquid 
chemicals. Since the vapor pressure measurements are made at ambient 
temperatures, the need to extrapolate data from high temperatures is not 
necessary and high temperature extrapolation, which can often cause 
serious errors, is avoided. The method is most reliable for vapor 
pressures below 10 \3\ Pa. Above this limit, the vapor pressures are 
generally overestimated, probably due to aerosol formation. Finally, the 
gas saturation method is applicable to the determination of the vapor 
pressure of impure materials.
    (b) Test procedures--(1) Test conditions. (i) The apparatus in the 
isoteniscope method is described in paragraph (b)(2)(i) of this section.
    (ii) The apparatus used in the gas saturation method is described in 
paragraph (b)(2)(ii) of this section.
    (2) Performance of the tests--(i) Isoteniscope Procedure. The 
isoteniscope procedure described as ANSI/ASTM Method D 2879-86 is 
applicable for the measurement of vapor pressures of liquids with vapor 
pressures of 0.1 to 100 kilopascals (kPa) (0.75 to 750 torr). ASTM D 
2879-86 is available for inspection at the National Archives and Records 
Administration (NARA). For information on the availability of this 
material at NARA, call 202-741-6030, or go to: http://www.archives.gov/
federal--register/code--of--federal--regulations/ibr--locations.html. 
This incorporation by reference was approved by the Director of the 
Office of the Federal Register. This material is incorporated as it 
exists on the date of approval and a notice of any change in this 
material will be published in the Federal Register. Copies of the 
incorporated material may be obtained from the Non-Confidential 
Information Center (NCIC) (7407), Office of Pollution Prevention and 
Toxics, U.S. Environmental Protection Agency, Room B-607 NEM, 401 M St., 
SW., Washington, DC 20460, between the hours of 12 p.m. and 4 p.m. 
weekdays excluding legal holidays, or from the American Society for 
Testing and Materials (ASTM), 1916 Race Street, Philadelphia, PA 19103.

[[Page 85]]

The isoteniscope method involves placing liquid sample in a thermostated 
bulb (the isoteniscope) connected to a manometer and a vacuum pump. 
Dissolved and entrained gases are removed from the sample in the 
isoteniscope by degassing the sample at reduced presssure. The vapor 
pressure of the sample at selected temperatures is determined by 
balancing the pressure due to the vapor of the sample against a known 
pressure of an inert gas. The vapor pressure of the test compound is 
determined in triplicate at 25 0.5 [deg]C and at 
any other suitable temperatures (0.5[deg]). It is 
important that additional vapor pressure measurements be made at other 
temperatures, as necessary, to assure that there is no need for further 
degassing, as described in the ASTM method.
    (ii) Gas saturation procedure. (A) The test procedures require the 
use of a constant-temperature box as depicted in the following Figure 1.
[GRAPHIC] [TIFF OMITTED] TC01AP92.036

        Figure 1--Schematic Diagram of Vapor Saturation Apparatus

The insulated box, containing sample holders, may be of any suitable 
size and shape. The sketch in Figure 1 shows a box containing three 
solid sample holders and three liquid sample holders, which allows for 
the triplicate analysis of either a solid or liquid sample. The 
temperature within the box is controlled to 0.5[deg] or better. Nitrogen gas, split into six streams 
and controlled by fine needle valves (approximately 0.79 mm orifice), 
flows into the box via 3.8 mm (0.125 in.) i.d. copper tubing. After 
temperature equilibration, the gas flows through the sample and the 
sorbent trap and exits from the box. The flow rate of the effluent 
carrier gas is measured at room temperature with a bubble flow meter or 
other suitable device. The flow rate is checked frequently during the 
experiment to assure that there is an accurate value for the total 
volume of carrier gas. The flow rate is used to calculate the total 
volume (at room temperature) of gas that has passed

[[Page 86]]

through the sample and sorbent [(vol/time) x time = volume]. The vapor 
pressure of the test substance can be calculated from the total gas 
volume and the mass of sample vaporized. If v is the volume of gas that 
transported mass w of the vaporized test material having a molecular 
weight M, and if p is the equilibrium vapor pressure of the sample at 
temperature T, then p is calculated by the equation

    p=(w/M)(RT/v).


In this equation, R is the gas constant (8.31 Pa m\3\mol-1 
K-1). The pressure is expressed in pascals (Pa), the volume 
in cubic meters (m\3\), mass in grams and T in kelvins (K). T=273.15+t, 
if t is measured in degrees Celsius ([deg]C).
    (B) Solid samples are loaded into 5 mm i.d. glass tubing between 
glass wool plugs. The following Figure 2 depicts a drawing of a sample 
holder and absorber system.
[GRAPHIC] [TIFF OMITTED] TC01AP92.037

                Figure 2--Solid Compound Sampling System
    (C) Liquid samples are contained in a holder as shown in the 
following Figure 3.
[GRAPHIC] [TIFF OMITTED] TC01AP92.038

                Figure 3--Liquid Compound Sampling System

The most reproducible method for measuring the vapor pressure of liquids 
is to coat the liquid on glass beads and to pack the holder in the 
designated place with these beads.
    (D) At very low vapor pressures and sorbent loadings, adsorption of 
the chemical on the glass wool separating the sample and the sorbent and 
on the glass surfaces may be a serious problem. Therefore, very low 
loadings should be avoided whenever possible. Incoming nitrogen gas 
(containing no interfering impurities) passes through a coarse frit and 
bubbles through a 38 cm column of liquid sample. The stream passes 
through a glass wool column to trap aerosols and then through a sorbent 
tube, as described above. The pressure drop across the glass wool column 
and the sorbent tube are negligible.
    (E) With both solid and liquid samples, at the end of the sampling 
time, the front and backup sorbent sections are analyzed separately. The 
compound on each section is desorbed by adding the sorbent from that 
section to 1.0 ml of desorption solvent in a small vial and allowing the 
mixture to stand at a suitable temperature until no more test compound 
desorbs. It is extremely important that the desorption solvent contain 
no impurities which would interfere with the analytical method of 
choice. The resulting solutions are analyzed quantitatively by a 
suitable analytical method to determine the weight of sample desorbed 
from each section. The choice of the analytical method,

[[Page 87]]

sorbent, and desorption solvent is dictated by the nature of the test 
material. Commonly used sorbents include charcoal, Tenax GC, and XAD-2. 
Describe in detail the sorbent, desorption solvent, and analytical 
methods employed.
    (F) Measure the desorption efficiency for every combination of 
sample, sorbent, and solvent used. The desorption efficiency is 
determined by injecting a known mass of sample onto a sorbent and later 
desorbing it and analyzing for the mass recovered. For each combination 
of sample, sorbent, and solvent used, carry out the determination in 
triplicate at each of three concentrations. Desorption efficiency may 
vary with the concentration of the actual sample and it is important to 
measure the efficiency at or near the concentration of sample under gas 
saturation test procedure conditions.
    (G) To assure that the gas is indeed saturated with test compound 
vapor, sample each compound at three differing gas flow rates. 
Appropriate flow rates will depend on the test compound and test 
temperature. If the calculated vapor pressure shows no dependence on 
flow rate, then the gas is assumed to be saturated.
    (c) Data and reporting. (1) Report the triplicate calculated vapor 
pressures for the test material at each temperature, the average 
calculated vapor pressure at each temperature, and the standard 
deviation.
    (2) Provide a description of analytical methods used to analyze for 
the test material and all analytical results.
    (3) For the isoteniscope procedure, include the plot of p vs. the 
reciprocal of the temperature in K, developed during the degasing step 
and showing linearity in the region of 298.15 K (25 [deg]C) and any 
other required test temperatures.
    (4) For the gas saturation procedure, include the data on the 
calculation of vapor pressure at three or more gas flow rates at each 
test temperature, showing no dependence on flow rate. Include a 
description of sorbents and solvents employed and the desorption 
efficiency calculations.
    (5) Provide a description of any difficulties experienced or any 
other pertinent information.
    (d) References. For additional background information on this test 
guideline the following references should be consulted:
    (1) U.S. Environmental Protection Agency. Evaluation of Gas 
Saturation Methods to Measure Vapor Pressures: Final Report, EPA 
Contract No. 68-01-5117 with SRI International, Menlo Park, California 
(1982).
    (2) Spencer, W.F. and Cliath, M.M. ``Vapor Density of Dieldrin,'' 
Journal of Agricultural and Food Chemistry, 3:664-670 (1969).
    (3) Spencer, W.F. and Cliath, M.M. ``Vapor Density and Apparent 
Vapor Pressure of Lindane,'' Journal of Agricultural and Food Chemistry, 
18:529-530 (1970).

[50 FR 39252, Sept. 27, 1985, as amended at 53 FR 12525, Apr. 15, 1988; 
53 FR 21641, June 9, 1988; 60 FR 34466, July 3, 1995; 69 FR 18803, Apr. 
9, 2004]



                      Subpart C_Transport Processes



Sec.  796.2750  Sediment and soil adsorption isotherm.

    (a) Introduction--(1) Background and purpose. The adsorption of 
chemicals to sediments and soils is an important process that affects a 
chemical's distribution in the environment. If a chemical is adsorbed to 
soil particles, it will remain on the soil surface and will not reach 
ground water. If a chemical is not adsorbed, it will leach through the 
soil profile and may reach ground waters and then surface waters. 
Similarly, if a chemical adsorbed to sediment, it will accumulate in the 
bed and suspended load of aquatic systems. If a chemical is not adsorbed 
to sediment, it will accumulate in the water column of aquatic systems. 
Information on the adsorption potential is needed under certain 
circumstances to assess the transport of chemicals in the environment. 
This section describes procedures that will enable sponsors to determine 
the adsorption isotherm of a chemical on sediments and soils.
    (2) Definitions and units. (i) The ``cation exchange capacity'' 
(CEC) is the sum total of exchangeable cations that a sediment or soil 
can adsorb. The CEC is expressed in milliequivalents of negative charge 
per 100 grams (meq/100g) or milliequivalents of negative

[[Page 88]]

charge per gram (meq/g) of soil or sediment.
    (ii) ``Clay mineral analysis'' is the estimation or determination of 
the kinds of clay-size minerals and the amount present in a sediment or 
soil.
    (iii) ``Organic matter'' is the organic fraction of the sediment or 
soil; it includes plant and animal residues at various stages of 
decomposition, cells and tissues of soil organisms, and substances 
synthesized by the microbial population.
    (iv) ``Particle size analysis'' is the determination of the various 
amounts of the different particle sizes in a sample (i.e., sand, silt, 
clay), usually by sedimentation, sieving, micrometry, or combinations of 
these methods. The names and diameter range commonly used in the United 
States are:

------------------------------------------------------------------------
                  Name                            Diameter range
------------------------------------------------------------------------
Very coarse sand.......................  2.0 to 1.0 mm
Coarse sand............................  1.0 to 0.5 mm
Medium sand............................  0.5 to 0.25 mm
Fine sand..............................  0.25 to 0.125 mm
Very fine sand.........................  0.125 to 0.062 mm
Silt...................................  0.062 to 0.002 mm
Clay...................................  <0.002 mm
------------------------------------------------------------------------

    (v) The ``pH'' of a sediment or soil is the negative logarithm to 
the base ten of the hydrogen ion activity of the sediment or soil 
suspension. It is usually measured by a suitable sensing electrode 
coupled with a suitable reference electrode at a 1/1 solid/solution 
ratio by weight.
    (vi) The adsorption ratio, ``Kd,'' is the amount of test 
chemical adsorbed by a sediment or soil (i.e., the solid phase) divided 
by the amount of test chemical in the solution phase, which is in 
equilibrium with the solid phase, at a fixed solid/solution ratio.
    (vii) ``Sediment'' is the unconsolidated inorganic and organic 
material that is suspended in and being transported by surface water, or 
has settled out and has deposited into beds.
    (viii) ``Soil'' is the unconsolidated mineral material on the 
immediate surface of the earth that serves as a natural medium for the 
growth of land plants. Its formation and properties are determined by 
various factors such as parent material, climate, macro- and 
microorganisms, topography, and time.
    (ix) ``Soil aggregate'' is the combination or arrangement of soil 
separates (sand, silt, clay) into secondary units. These units may be 
arranged in the soil profile in a distinctive characteristic pattern 
that can be classified according to size, shape, and degree of 
distinctness into classes, types, and grades.
    (x) ``Soil classification'' is the systematic arrangement of soils 
into groups or categories. Broad groupings are based on general soil 
characteristics while subdivisions are based on more detailed 
differences in specific properties. The soil classification system used 
in this standard and the one used today in the United States is the 7th 
Approximation-Comprehensive System. The ranking of subdivisions under 
this system is: Order, Suborder, Great group, family, and series.
    (xi) A ``soil horizon'' is a layer of soil approximately parallel to 
the land surface. Adjacent layers differ in physical, chemical, and 
biological properties such as color, structure, texture, consistency, 
kinds and numbers of organisms present, and degree of acidity or 
alkalinity.
    (xii) ``Soil Order'' is the broadest category of soil classification 
and is based on the general similarities of soil physical/chemical 
properties. The formation of soil by similar general genetic processes 
causes these similarities. The Soil Orders found in the United States 
are: Alfisol, Aridisol, Entisol, Histosol, Inceptisol, Mollisol, Oxisol, 
Spodosol, Ultisol, and Vertisol.
    (xiii) ``Soil series'' is the basic unit of soil classification and 
is a subdivision of a family. A series consists of soils that were 
developed under comparable climatic and vegetational conditions. The 
soils comprising a series are essentially alike in all major profile 
characteristics except for the texture of the ``A'' horizon (i.e., the 
surface layer of soil).
    (xiv) ``Soil texture'' is a classification of soils that is based on 
the relative proportions of the various soil separates present. The soil 
textural classes are: clay, sandy clay, silty clay, clay loam, silty 
clay loam, sandy clay loam, loam, silt loam, silt, sandy loam, loamy 
sand, and sand.
    (3) Principle of the test method. (i) The extent of adsorption of a 
chemical onto sediment or soil is measured, using this

[[Page 89]]

test guideline, by equilibrating aqueous solutions containing different, 
but environmentally realistic, concentrations of the test chemical with 
a known quantity of sediment or soil. After equilibrium is reached, the 
distribution of the chemical between the water phase and the solid phase 
is quantitatively measured by a suitable analytical method. Then, 
sorption constants are calculated by using the Freundlich equation:

                               Equation 1

x/m=Cs=KCel/n

where:

Ce=Equilibrium concentration of the chemical in the solution 
phase
Cs=Equilibrium concentration of the chemical in the solid 
phase
K=Freundlich adsorption coefficient
m=The mass of the solid in grams
l/n=Exponent where n is a constant
x=The mass in micrograms of the chemical adsorbed by m grams of solid.


Logarithmetic transformation of the Freundlich equation yields the 
following linear relationship:

                               Equation 2

log Cs=log K+(l/n) log Ce

    (ii) In order to estimate the environmental movement of the test 
chemical, the values K and l/n are compared with the values of other 
chemicals whose behavior in soil and sediment systems is well-documented 
in scientific literature.
    (iii) The adsorption isotherm (AI) test has many desirable features. 
First, adsorption results are highly reproducible. The test provides 
excellent quantitative data readily amenable to statistical analyses. 
Also, it has relatively modest requirements for chemicals, soils, 
laboratory space, and equipment. It allows solution phase organic 
chemical determinations that are relatively uncomplicated. A chemical 
extraction-mass balance procedure to elicit information on chemical 
transformations occurring at colloid interfaces can be incorporated into 
this test. The ease of performing the isotherm test and mass balance 
will depend upon the physical/chemical properties of the test chemical 
and the availability of suitable analytical techniques to measure the 
chemical.
    (iv) The papers by Aharonson and Kafkafi (1975) under paragraph 
(d)(1) of this section, Harvey (1974) under paragraph (d)(3) of this 
section, Murray (1975) under paragraph (d)(4) of this section, Saltzman 
(1972) under paragraph (d)(5) of this section, Weber (1971) under 
paragraph (d)(6) of this section, and Wu (1975) under paragraph (d)(7) 
of this section served as the basis for this section. The soil and 
colloid chemistry literature and the analytical chemistry literature 
substantiate the experimental conditions and procedures specified in 
this guideline as accepted, standard procedures.
    (4) Applicability and specificity. The AI Test Guideline can be used 
to determine the soil and sediment adsorption potential of sparingly 
water soluble to infinitely soluble chemicals. In general, a chemical 
having a water solubility of less than 0.5 ppm need not be tested with 
soil as the solid phase, since the literature indicates that these 
chemicals are, in general, immobile in soils, see Goring and Hamaker 
(1972) under paragraph (d)(2) of this section. However, this does not 
preclude future soil adsorption/transformation testing of these 
chemicals if more refined data are needed for the assessment process.
    (b) Test procedures--(1) Test conditions--(i) Special laboratory 
equipment. (A) Equilibrating solutions that contain, besides the test 
chemical, 0.01M calcium nitrate dissolved in sterilized, distilled-
deionized H2O adjusted to neutral pH 7 by boiling to remove 
CO2.
    (B) Containers shall be composed of material that (1) adsorb 
negligible amounts of test chemical, and (2) withstand high speed 
centrifugation. The volume of the container is not a major 
consideration; however, it is extremely important that the amount of 
soil or sediment and the solid/solution ratio used in the study result 
in minimal container headspace. It is also extremely important that the 
containers be sterilized before use.
    (C) A 150 micron (100 mesh) stainless-steel or brass sieve.
    (D) Drying oven, with circulating air, that can attain 100 [deg]C.

[[Page 90]]

    (E) Vortex mixer or a comparable device.
    (F) Rotary shaker or a comparable device.
    (G) High speed temperature-controlled centrifuge capable of 
sedimenting particles greater than 0.5 micron from aqueous solution.
    (ii) Temperature. The test procedure shall be performed at 23 5 [deg]C.
    (iii) Replications. Three replications of the experimental 
treatments shall be used.
    (iv) Soil pretreatment. The following soil pretreatment steps shall 
be performed under the following conditions:
    (A) Decrease the water content, air or oven-dry soils at or below 50 
[deg]C.
    (B) Reduce aggregate size before and during sieving, crush and grind 
dried soil very gently.
    (C) Eliminate microbial growth during the test period using a 
chemical or physical treatment that does not alter or minimally alters 
the soil surface properties.
    (D) Sieve soils with a 100 mesh stainless-steel or brass sieve.
    (E) Store all solutions and soils at temperatures between 0 and 5 
[deg]C.
    (v) Sediment pretreatment. The following sediment pretreatment steps 
shall be performed under the following conditions:
    (A) Decrease the H2O content by air or oven-drying 
sediments at or below 50 [deg]C. Sediments should not be dried 
completely and should remain moist at all times prior to testing and 
analysis.
    (B) Eliminate microbial growth during the test period by using a 
chemical and/or physical treatment that does not alter or minimally 
alters the colloid surface's properties.
    (C) Store at temperatures between 0 and 5[deg]C.
    (vi) Solid/solution ratio. The solid/solution ratio shall be equal 
to or greater than 1/10. If possible, the ratios should be equal to or 
greater than 1/5. The sediment or soil dry weight after drying for a 24-
hour minimum at 90 [deg]C is recommended for use as the weight of the 
solid for ratio and data calculations. If an insufficient amount of 
chemical remains in the water phase for quantification, the solid/
solution ratio should be adjusted so that measurable amounts of the test 
chemical remain in solution.
    (vii) Equilibration time. The equilibration time will depend upon 
the length of time needed for the parent chemical to attain an 
equilibrium distribution between the solid phase and the aqueous 
solution phase. The equilibration time shall be determined by the 
following procedure:
    (A) Equilibrate one solution containing a known concentration of the 
test chemical with the sediment or soil in a solid/solution ratio equal 
to or greater than \1/10\ and preferably equal to or greater than \1/5\. 
It is important that the concentration of the test chemical in the 
equilibrating solution (1) does not exceed one-half of its solubility 
and (2) should be 10 ppm or less at the end of the equilibration period.
    (B) Measure the concentration of the chemical in the solution phase 
at frequent intervals during the equilibration period.
    (C) Determine the equilibration time by plotting the measured 
concentration versus time of sampling; the equilibration time is the 
minimum period of time needed to establish a rate of change of solution 
concentration of 5 percent or less per 24 hours.
    (viii) Centrifugation time. Calculate the centrifugation time, 
tc, necessary to remove particles from solution greater than 
approximately 0.5 [micro]m (5x10-5 [micro]m) equivalent 
diameter (which represents all particles except the fine clay fraction) 
using the following equation:

                               Equation 3

tc(min)=1.41x10\9\ [log(R2/R1)]/N\2\

where:

tc=centrifuge time in minutes
R2=distance from centrifuge spindle to deposition surface of 
centrifuge
R1=distance from spindle to surface of the sample
N=number of revolutions of the centrifuge per minute.

    (ix) Storage of solutions. If the chemical analysis is delayed 
during the course of the experiment, store all solutions between 0 and 5 
[deg]C.
    (x) Solvents for extraction. It is important that the solvent used 
to extract the chemical from the sediment or soil is reagent grade or 
better. Solvents

[[Page 91]]

shall contain no impurities which could interfere with the determination 
of the test compound.
    (2) Test procedure--(i) Equilibration. Add six solutions containing 
different concentrations of the test chemical to at least one gram of 
each solid. The initial concentration of the test chemical in these 
solutions will depend on the affinity the chemical has for the sediment 
or soil. Therefore, after equilibrium is attained, it is extremely 
important that the highest concentration of the test chemical in the 
equilibrating solution does not exceed 10 ppm, is at least one order of 
magnitude greater than the lowest concentration reported, and does not 
exceed one half of its solubility.
    (A) Immediately after the solutions are added to the solids, tightly 
cap the containers and vigorously agitate them for several minutes with 
a vortex mixture or similar device.
    (B) Shake the containers throughout the equilibration period at a 
rate that suspends all solids in the solution phase.
    (ii) Centrifugation. When the equilibration time has expired, 
centrifuge the containers for tc minutes.
    (iii) Chemical extraction. (A) After centrifugation, remove the 
supernatant aqueous phase from the solid-solution mixture.
    (B) Extract the chemical adsorbed on the sediment or soil colloid 
surfaces with solvent.
    (iv) Chemical analysis. Determine the amount of parent test chemical 
in the aqueous equilibrating solution and organic solvent extractions. 
Use any method or combination of methods suitable for the identification 
and quantitative detection of the parent test chemical.
    (c) Reporting. Report the following information:
    (1) Temperature at which the test was conducted.
    (2) Detailed description of the analytical technique(s) used in the 
chemical extraction, recovery, and quantitative analysis of the parent 
chemical.
    (3) Amount of parent test chemical applied, the amount recovered, 
and the percent recovered.
    (4) Extent of adsorption by containers and the approach used to 
correct the data for adsorption by containers.
    (5) The individual observations, the mean values, and graphical 
plots of x/m as a function of Ce for each sediment or soil 
for (i) the equilibration time determination and (ii) the isotherm 
determination.
    (6) The quantities K, n, and l/n.
    (7) Soil information: Soil Order, series, texture, sampling 
location, horizon, general clay fraction mineralogy.
    (8) Sediment information: sampling location, general clay fraction 
mineralogy.
    (9) Sediment and soil physical-chemical properties: percent sand, 
silt, and clay (particle size analysis); percent organic matter; pH (1/1 
solids/H2O); and cation exchange capacity.
    (10) The procedures used to determine the physical/chemical 
properties listed under paragraphs (c) (7) through (9) of this section.
    (d) References. For additional background information on this test 
guideline the following references should be consulted:
    (1) Aharonson, N., Kafkafi, U. ``Adsorption, mobility and 
persistence of thiabendazole and methyl 2-benzimidasole carbamate in 
soils,'' Journal of Agricultural and Food Chemistry, 23:720-724 (1975).
    (2) Goring, C.A.I., Hamaker, J.W., (eds). Organic Chemicals in the 
Soil Environment. Vol. I & II (New York: Marcel Dekker, Inc., 1972).
    (3) Harvey, R.G. et al. ``Soil adsorption and volatility of 
dinitroaniline herbicides,'' Weed Science, 22:120-124 (1974).
    (4) Murray, D.S. et al. ``Comparative adsorption, desorption, and 
mobility of dipropetryn and prometryn in soil,'' Journal of Agricultural 
and Food Chemistry, 23:578-581 (1973).
    (5) Saltzman, S.L. et al. ``Adsorption, desorption of parathion as 
affected by soil organic matter,'' Journal of Agricultural and Food 
Chemistry, 20:1224-1226 (1972).
    (6) Weber, J.B. ``Model soil system, herbicide leaching, and 
sorption,'' Weed Science, 19:145-160 (1971).

[[Page 92]]

    (7) Wu, C.H., et al. ``Napropamide adsorption, desorption, and 
movement in soils,'' Weed Science, 23:454-457 (1975).

[50 FR 39252, Sept. 27, 1985, as amended at 52 FR 19058, May 20, 1987; 
54 FR 29715, July 14, 1989]



                   Subpart D_Transformation Processes



Sec.  796.3100  Aerobic aquatic biodegradation.

    (a) Introduction--(1) Purpose. (i) This Guideline is designed to 
develop data on the rate and extent of aerobic biodegradation that might 
occur when chemical substances are released to aquatic environments. A 
high biodegradability result in this test provides evidence that the 
test substance will be biodegradable in natural aerobic freshwater 
environments.
    (ii) On the contrary, a low biodegradation result may have other 
causes than poor biodegradability of the test substance. Inhibition of 
the microbial inoculum by the test substance at the test concentration 
may be observed. In such cases, further work is needed to assess the 
aerobic aquatic biodegradability and to determine the concentrations at 
which toxic effects are evident. An estimate of the expected 
environmental concentration will help to put toxic effects into 
perspective.
    (2) Definitions. (i) ``Adaptation'' is the process by which a 
substance induces the synthesis of any degradative enzymes necessary to 
catalyze the transformation of that substance.
    (ii) ``Ultimate Biodegradability'' is the breakdown of an organic 
compound to CO2, water, the oxides or mineral salts of other 
elements and/or to products associated with normal metabolic processes 
of microorganisms.
    (iii) ``Ready Biodegradability'' is an expression used to describe 
those substances which, in certain biodegradation test procedures, 
produce positive results that are unequivocal and which lead to the 
reasonable assumption that the substance will undergo rapid and ultimate 
biodegradation in aerobic aquatic environments.
    (3) Principle of the test method. This Guideline method is based on 
the method described by William Gledhill (1975) under paragraph (d)(1) 
of this section. The method consists of a 2-week inoculum buildup period 
during which soil and sewage microorganisms are provided the opportunity 
to adapt to the test compound. This inoculum is added to a specially 
equipped Erlenmeyer flask containing a defined medium with test 
substance. A reservoir holding barium hydroxide solution is suspended in 
the test flask. After inoculation, the test flasks are sparged with 
CO2-free air, sealed, and incubated, with shaking in the 
dark. Periodically, samples of the test mixture containing water-soluble 
test substances are analyzed for dissolved organic carbon (DOC) and the 
Ba(OH)2 from the reservoirs is titrated to measure the amount 
of CO2 evolved. Differences in the extent of DOC 
disappearance and CO2 evolution between control flasks 
containing no test substance, and flasks containing test substance are 
used to estimate the degree of ultimate biodegradation.
    (4) Prerequisites. The total organic carbon (TOC) content of the 
test substance shall be calculated or, if this is not possible, 
analyzed, to enable the percent of theoretical yield of carbon dioxide 
and percent of DOC loss to be calculated.
    (5) Guideline information. (i) Information on the relative 
proportions of the major components of the test substance will be useful 
in interpreting the results obtained, particularly in those cases where 
the result lies close to a ``pass level.''
    (ii) Information on the toxicity of the chemical may be useful in 
the interpretation of low results and in the selection of appropriate 
test concentrations.
    (6) Reference substances. Where investigating a chemical substance, 
reference compounds may be useful and an inventory of suitable reference 
compounds needs to be identified. In order to check the activity of the 
inoculum the use of a reference compound is desirable. Aniline, sodium 
citrate, dextrose, phthalic acid and trimellitic acid will exhibit 
ultimate biodegradation under the conditions of this Test Guideline 
method. These reference substances must yield 60 percent of theoretical 
maximum CO2 and show a removal of 70 percent DOC within 28

[[Page 93]]

days. Otherwise the test is regarded as invalid and shall be repeated 
using an inoculum from a different source.
    (7) Reproducibility. The reproducibility of the method has not yet 
been determined; however it is believed to be appropriate for a 
screening test which has solely an acceptance but no rejective function.
    (8) Sensitivity. The sensitivity of the method is determined by the 
ability to measure the endogenous CO2 production of the 
inoculum in the blank flask and by the sensitivity limit of the 
dissolved organic carbon analysis. If the test is adapted to handle 
\14\C-labeled test substances, test substance concentrations can be much 
lower.
    (9) Possibility of standardization. This possibility exists. The 
major difficulty is to standardize the inoculum in such a way that 
interlaboratory reproducibility is ensured.
    (10) Possibility of automation. None at present, although parts of 
the analyses may be automated.
    (b) Test procedures--(1) Preparations--(i) Apparatus. The shake 
flask apparatus under the following Figure 1 contains 10 mL of 0.2N 
Ba(OH)2 in an open container suspended over 1 liter of 
culture medium in a 2-liter Erlenmeyer flask.
[GRAPHIC] [TIFF OMITTED] TC01AP92.039

        Figure 1--Shake-Flask System for Carbon Dioxide Evolution

The Ba(OH)2 container is made by placing a constriction just 
above the 10 mL mark of a 50 mL heavy-duty centrifuge tube and attaching 
the centrifuge tube to a 2 mm I.D. x 9 mm O.D. glass tube by means of 3 
glass support rods. The centrifuge tube opening is large enough to 
permit CO2 to diffuse into the Ba(OH)2, while the 
constriction permits transferal of the flask to and from the shaker 
without Ba(OH)2 spillage into the medium. For periodic 
removal and addition of base from the center well, a polypropylene 
capillary tube, attached at one end to a 10 ml disposable syringe, is 
inserted through the 9 mm O.D. glass tube into the Ba(OH)2 
reservoir. The reservoir access port is easily sealed during incubation 
with a serum bottle stopper. Two glass tubes are added for sparging, 
venting, and medium sampling. The tops of these

[[Page 94]]

tubes are connected with a short section of flexible tubing during 
incubation.
    (ii) Reagents and stock solutions. (A) Stock solutions, I, II, and 
III under the following Table 1.
    (B) Yeast extract.
    (C) Vitamin-free casamino acids.
    (D) 70 percent O2 in nitrogen or CO2-free air.
    (E) 0.2N Ba(OH)2.
    (F) 0.1 N HCl.
    (G) 20 percent H2SO4.
    (H) Phenolphthalein.
    (I) Dilution water--distilled, deionized water (DIW).
    (iii) Soil inoculum. A fresh sample of an organically rich soil is 
used as the inoculum in the ultimate biodegradation test. Soil is 
collected, prepared, and stored according to the recommendations of 
Pramer and Bartha (1972) under paragraph (d)(2) of this section. The 
soil surface is cleared of litter and a soil sample is obtained 10 to 20 
cm below the surface. The sample is screened through a sieve with 2 to 5 
mm openings and stored in a polyethylene bag at 2 to 4 [deg]C for not 
more than 30 days prior to use. The soil is never allowed to air-dry, 
and shall not be frozen during storage.

           Table 1--Medium Employed for Assay of CO2 Evolution
------------------------------------------------------------------------
                                                                 Stock
                                                                Solution
       Solution \1\                      Compound              Conc. (g/
                                                                   L)
------------------------------------------------------------------------
I                           NH4Cl............................    35
                            KNO3.............................    15
                            K2HPO4[middot]3H2O...............   750
                            NaH2PO4[middot]H2O...............    25
II \2\                      KCl..............................    10
                            MgSO4............................    20
                            FeSO4[middot]7H2O................     1
III                         CaCl2............................     5
                            ZnCl2............................     0.05
                            MnCl2[middot]4H2O................     0.5
                            CuCl2............................     0.05
                            CoCl2............................     0.001
                            H3 BO3...........................     0.001
                            MoO3.............................     0.0004
------------------------------------------------------------------------
\1\= Each liter of test medium contains 1 mL of each solution.
\2\= Final pH is adjusted to 3.0 with 0.10 N HCl.

    (iv) Acclimation Medium. Acclimation medium is prepared by adding, 
for each liter of distilled, deionized water (DIW): 1 mL each of 
solutions I, II, and III in Table 1 in paragraph (b)(1)(iii) of this 
section, 1.0 gm of soil inoculum (prepared according to paragraph 
(b)(1)(iii) of this section), 2.0 mL of aerated mixed liquor (obtained 
from an activated sludge treatment plant not more than 2 days prior to 
commencing the acclimation phase, and stored in the interim at 4 [deg]C) 
and 50 mL raw domestic influent sewage. This medium is mixed for 15 
minutes and filtered through a glass wool plug in a glass funnel. The 
filtrate is permitted to stand for 1 hour, refiltered through glass 
wool, and supplemented with 25 mg/L each of Difco vitamin-free casamino 
acids and yeast extract. Appropriate volumes are added to 2-liter 
Erlenmeyer flasks. Test compounds are added incrementally during the 
acclimation period at concentrations equivalent to 4, 8, and 8 mg/L 
carbon on days 0, 7, and 11, respectively. On day 14, the medium is 
refiltered through glass wool prior to use in the test. For evaluating 
the biodegradability of a series of functionally or structurally related 
chemicals, media from all inoculum flasks may be combined before final 
filtration.
    (2) Procedures. (i) Inoculum (100 mL of acclimation medium) is added 
to 900 mL DIW containing 1 mL each of solutions I, II, and III in Table 
1 under paragraph (b)(1)(iii) of this section in a 2-liter Erlenmeyer 
flask. Test compound equivalent to 10 mg/liter carbon is added to each 
of the replicate flasks containing the test medium. Ten mL of 0.2 N Ba 
(OH)2 are added to the suspended reservoir in each flask and 
duplicate 10 mL samples of Ba(OH)2 are also saved as 
titration blanks for analysis with test samples. Flasks are sparged with 
CO2-free air (for volatile test materials, sparging is done 
prior to addition of the chemical), sealed, and placed on a gyrotary 
shaker (approximately 125 rpm) at 20 to 25 [deg]C in the dark. For each 
set of experiments, each test, reference, inhibited, and control system 
should be analyzed at time zero and at a minimum of four other times 
from time zero through day 28. Sampling must be made with sufficient 
frequency to allow for a smooth plot of biodegradation with time. 
Sampling times should be varied by the investigator as deemed 
appropriate to match the rate of degradation of the test substance. 
Tests may be terminated when biodegradation reaches a plateau and is

[[Page 95]]

consistent (10 percent) over 3 consecutive days or 
on day 28, whichever occurs first. For chemicals which are water soluble 
at the test concentration, an adequate volume (5 to 10 mL) of medium is 
removed for DOC analysis. Each sample for DOC analysis should be 
filtered through a membrane filter of 0.45 micrometer pore diameter 
before DOC analysis. For all test and reference compounds, 
Ba(OH)2 from the center well is removed for analysis. The 
center well is rinsed with 10 mL CO2-free DIW and is refilled 
with fresh base. Rinse water is combined with the Ba(OH)2 
sample to be analyzed. Flasks are resealed and placed on the shaker. On 
the day prior to terminating the test, 3 mL of 20 percent 
H2SO4 are added to the medium to release carbonate 
bound CO2.
    (ii) For each set of experiments, each test substance shall be 
tested in triplicate.
    (iii) For each set of experiments, one or two reference compounds 
are included to assess the microbial activity of the test medium. 
Duplicate reference flasks are prepared by adding reference compound 
equivalent to 10 mg/liter carbon to each of two flasks containing the 
test medium. Reference compounds which are positive for ultimate 
biodegradability include: sodium citrate, dextrose, phthalic acid, 
trimellitic acid, and aniline.
    (iv) For each test set, triplicate controls receiving inoculated 
medium and no test compound, plus all test and reference flasks, are 
analyzed for CO2 evolution and DOC removal. Results from 
analysis of the control flasks (DOC, CO2 evolution, etc.) are 
subtracted from corresponding experimental flasks containing test 
compound in order to arrive at the net effect due to the test compound.
    (v) A test system containing a growth inhibitor should be 
established as a control for each substance tested for biodegradation by 
this method. That inhibited system must contain the same amount of 
water, mineral nutrients, inoculum, and test substance used in the 
uninhibited test systems, plus 50 mg/L mercuric chloride 
(HgCl2) to inhibit microbial activity.
    (vi) Flasks shall be incubated in the dark to minimize both 
photochemical reactions and algal growth. Appropriate sterile controls 
or controls containing a metabolic inhibitor, such as 50 mg/1 
HgCl2, are needed to correct for interferences due to 
nonbiological degradation. With volatile organic materials, sparging 
with CO2-free air is performed only once, just prior to 
addition of the test chemical. Analyses for CO2 evolution and 
DOC removal are conducted within 2 to 3 hours of sampling to minimize 
interferences which may occur in storage. All glassware should be free 
of organic carbon contaminants.
    (3) Analytical measurements. The quantity of CO2 evolved 
is measured by titration of the entire Ba(OH)2 sample (10 mL 
Ba(OH)2+10 mL rinse water) with 0.1 N HCl to the 
phenolphthalein end point. Ba(OH)2 blanks are also 
supplemented with 10 mL CO2-free DIW and titrated in a 
similar manner. Samples (5 mL) for DOC are centrifuged and/or filtered 
and supernatant or filtrate analyzed by a suitable total organic carbon 
method.
    (c) Data and reporting--(1) Treatment of results. (i) Test compound 
(10 mg carbon) is theoretically converted to 0.833 mmol CO2. 
Absorbed CO2 precipitates as BaCO3 from 
Ba(OH)2, causing a reduction in alkalinity by the equivalent 
of 16.67 mL of 0.1 N HCl for complete conversion of the test compound 
carbon to CO2. Therefore, the percent theoretical 
CO2 evolved from the test compound is calculated at any 
sampling time from the formula:

Percent CO2 evolution=[(TF-CF)/16.67] 100 (for 10 mg/L test 
    compound carbon)

where:

TF= mL 0.1 N HCl required to titrate Ba(OH)2 samples from the 
test flask
CF= mL 0.1 N HCl required to titrate Ba(OH)2 samples from the 
control flask.

    (ii) The cumulative percent CO2 evolution at any sample 
time is calculated as the summation of the percent CO2 
evolved at all sample points of the test.
    (iii) The percent DOC disappearance from the test compound is 
calculated from the following equation:

Percent DOC Removal=[1-(DTFx- DCFx)/
    (DTFo- DCFo)] 100

where:


[[Page 96]]


DTF= Dissolved organic carbon from test flask
DCF= Dissolved organic carbon from control flask
o= Day zero measurements
x= Day of measurements during test.

    (iv) The difference between the amount of 0.1 N HCl used for the 
Ba(OH)2 titration blank samples and the Ba(OH)2 
samples from the control units (no test compound) is an indication of 
the activity of the microorganisms in the test system. In general, this 
difference is approximately 1 to 3 mL of 0.1 N HCl at each sampling 
time. A finding of no difference in the titration volumes between these 
two samples indicates a poor inoculum. In this case, the validity of the 
test results is questionable and the test set shall be rerun beginning 
with the acclimation phase.
    (v) CO2 evolution in the reference flasks is also 
indicative of the activity of the microbial test system. The suggested 
reference compounds should all yield final CO2 evolution 
values of at least 60 percent of theoretical CO2. If, for any 
test set, the percent theoretical CO2 evolution value for the 
reference flasks is outside this range, the test results are considered 
invalid and the test is rerun.
    (vi) Inhibition by the test compound is indicated by lower 
CO2 evolution in the test flasks than in the control flasks. 
If inhibition is noted, the study for this compound is rerun beginning 
with the acclimation phase. During the test phase for inhibitory 
compounds, the test chemical is added incrementally according to the 
schedule: Day 0--0.5 mg/liter as organic carbon, Day 2--1 mg/liter C, 
Day 4--1.5 mg/liter C, Day 7--2 mg/liter C, Day 10--5 mg/liter C. For 
this case, the Ba(OH)2 is sampled on Day 10, and weekly 
thereafter. The total test duration remains 28 days.
    (vii) The use of \14\C-labeled chemicals is not required. If 
appropriately labeled test substance is readily available and if the 
investigator chooses to use this procedure with labeled test substance, 
this is an acceptable alternative. If this option is chosen, the 
investigator may use lower test substance concentrations if those 
concentrations are more representative of environmental levels.
    (2) Test report. (i) For each test and reference compound, the 
following data shall be reported.
    (ii) Information on the inoculum, including source, collection date, 
handling, storage and adaptation possibilities (i.e., that the inoculum 
might have been exposed to the test substance either before or after 
collection and prior to use in the test).
    (iii) Results from each test, reference, inhibited (with 
HgCl2) and control system at each sampling time, including an 
average result for the triplicate test substance systems and the 
standard deviation for that average.
    (iv) Average cumulative percent theoretical CO2 evolution 
over the test duration.
    (v) Dissolved organic carbon due to test compound at each sampling 
time (DTF-DCF).
    (vi) Average percent DOC removal at each sampling time.
    (vii) Twenty-eight day standard deviation for percent CO2 
evolution and DOC removal.
    (d) References. For additional background information on this test 
guideline the following references should be consulted:
    (1) Gledhill, W.E. ``Screening Test for Assessment of Ultimate 
Biodegradability: Linear Alkyl Benzene Sulfonate,'' Applied 
Microbiology, 30:922-929 (1975).
    (2) Pramer, D., Bartha, R. ``Preparation and Processing of Soil 
Samples for Biodegradation Testing,'' Environmental Letters, 2:217-224 
(1972).

[50 FR 39252, Sept. 27, 1985, as amended at 52 FR 19058, May 20, 1987]



Sec.  796.3500  Hydrolysis as a function of pH at 25 [deg]C.

    (a) Introduction--(1) Background and purpose. (i) Water is one of 
the most widely distributed substances in the environment. It covers a 
large portion of the earth's surface as oceans, rivers, and lakes. The 
soil also contains water, as does the atmosphere in the form of water 
vapor. As a result of this ubiquitousness, chemicals introduced into the 
environment almost always come into contact with aqueous media. Certain 
classes of these chemicals, upon such contact, can undergo hydrolysis,

[[Page 97]]

which is one of the most common reactions controlling chemical stability 
and is, therefore, one of the main chemical degradation paths of these 
substances in the environment.
    (ii) Since hydrolysis can be such an important degradation path for 
certain classes of chemicals, it is necessary, in assessing the fate of 
these chemicals in the environment, to know whether, at what rate, and 
under what conditions a substance will hydrolyze. Some of these 
reactions can occur so rapidly that there may be greater concern about 
the products of the transformation than about the parent compounds. In 
other cases, a substance will be resistant to hydrolysis under typical 
environmental conditions, while, in still other instances, the substance 
may have an intermediate stability that can result in the necessity for 
an assessment of both the original compound and its transformation 
products. The importance of transformation of chemicals via hydrolysis 
in aqueous media in the environment can be determined quantitatively 
from data on hydrolysis rate constants. This hydrolysis Test Guideline 
represents a test to allow one to determine rates of hydrolysis at any 
pH of environmental concern at 25[deg]C.
    (2) Definitions and units. (i) ``Hydrolysis'' is defined as the 
reaction of an organic chemical with water, such that one or more bonds 
are broken and the reaction products of the transformation incorporate 
the elements of water (H2O).
    (ii) ``Elimination'' is defined in this Test Guideline to be a 
reaction of an organic chemical (RX) in water in which the X group is 
lost. These reactions generally follow the same type of rate laws that 
hydrolysis reactions follow and, thus, are also covered in this Test 
Guideline.
    (iii) A ``first-order reaction'' is defined as a reaction in which 
the rate of disappearance of the chemical substance being tested is 
directly proportional to the concentration of the chemical substance and 
is not a function of the concentrations of any other substances present 
in the reaction mixture.
    (iv) The ``half-life'' of a chemical is defined as the time required 
for the concentration of the chemical substance being tested to be 
reduced to one-half its initial value.
    (v) ``Hydrolysis'' refers to a reaction of an organic chemical with 
water such that one or more bonds are broken and the reaction products 
incorporate the elements of water (H2O). This type of 
transformation often results in the net exchange of a group X, on an 
organic chemical RX, for the OH group from water. This can be written 
as:

RX+HOH[rarr]ROH+HX.

    (A) Another result of hydrolysis can be the incorporation of both H 
and OH in a single product. An example of this is the hydrolysis of 
epoxides, which can be represented by


    (B) The hydrolysis reaction can be catalyzed by acidic or basic 
species, including OH- and H3O= 
(H=). The promotion of the reaction by 
H3O- or OH- is called specific acid or 
specific base catalysis, respectively, as contrasted with general acid 
or base catalysis encountered with other cationic or anionic species. 
Usually, the rate law for chemical RX can be written as:

                               Equation 1

-d[RX]/d= = kh[RX]=kA[H=] 
    [RX]

+kB[OH-] [RX]+k'N [H2O] 
    [RX],


where KA, kB and k'N are the second-
order rate constants for acid and base catalyzed and neutral water 
processes, respectively. In dilute solutions, such as are encountered in 
following this Test Guideline, water is present in great excess and its 
concentration is, thus, essentially constant during the course of the 
hydrolysis reaction. At fixed pH, the reaction, therefore, becomes 
pseudo first-order, and the rate constant (kh) can be written 
as:

                               Equation 2

kh=kA [H=]+kB 
    [OH-]+kN,


where kN is the first-order neutral water rate constant. 
Since this is a

[[Page 98]]

pseudo first-order process, the half-life is independent of the 
concentration and can be written as:

                               Equation 3

t1/2=0.693/kh.


At constant pH, Equation 1 can be integrated to yield the first order 
rate expression

                               Equation 4

log10C=- (kh t/
    2.303)+log10Co,


where C is the concentration of the test chemical at time t and 
Co is the initial chemical concentration (t=0).
    (C) At a given pH, Equation 2 under paragraph (a)(2)(v)(B) of this 
section contains three unknowns, kA, kB, and 
kN. Therefore, three equations (i.e., measurements at three 
different pH's at a fixed temperature) are required if one wishes to 
solve for these quantities. Making suitable approximations for 
quantities that are negligible, the expressions for kA, 
kB, and kN using values of kh measured 
at pH 3, 7, and 11 are:

                               Equation 5

kA=10\3\ [kh (3)-kh (7)+10-4 
    kh (11)]

kB=10\3\ [kh (11)-kh 
    (7)+10-4 kh (3)]

kN=kh (7)-10-4 [kh 
    (3)+kh (11)]


The calculated rate constants from equation 5 under this paragraph can 
be employed in equation 2 under paragraph (a)(2)(v)(B) of this section 
to calculate the hydrolysis rate of a chemical at any pH of 
environmental concern.
    (D) The equations under paragraph (a)(2) of this section apply 
whether the test chemical has one or more hydrolyzable groups. In the 
latter case, the rate may be written as:

                               Equation 6

-d[RX]/dt=[RX]=k2 [RX]+ . . . . +kn

[RX]=(k1+k2+ . . . . . kn) 
    [RX]=kh [RX].


Equation 6 applies to the hydrolysis rate of a molecule having n 
hydrolyzable groups, each of which follows first-order reaction 
kinetics. The measured kh is now the sum of the individual 
reaction rates and is the only rate constant required in this section.
    (3) Principle of the test method. Procedures described in this 
section enable sponsors to obtain quantitative information on hydrolysis 
rates through a determination of hydrolysis rate constants and half-
lives of chemicals at pH 3.00, 7.00, and 11.00 at 25 [deg]C. The three 
measured rate constants are used to determine the acidic, basic, and 
neutral rate constants associated with a hydrolytic reaction. The latter 
constants can then be employed in determining the hydrolysis rates of 
chemicals at any pH of environmental concern at 25 [deg]C.
    (4) Applicability and specificity. There are several different 
common classes of organic chemicals that are subject to hydrolysis 
transformation, including esters, amides, lactones, carbamates, 
organophosphates, and alkyl halides. Processes other than nucleophilic 
displacement by water can also take place. Among these are elimination 
reactions that exhibit behavior similar to hydrolysis and, therefore, 
are also covered in this section.
    (b) Test procedures--(1) Test conditions--(i) Special laboratory 
equipment. (A) A thermostatic bath that can be maintained at a 
temperature of 25 1 [deg]C.
    (B) A pH meter that can resolve differences of 0.05 pH units or 
less.
    (C) Stoppered volumetric flasks (no grease) or glass ampoules that 
can be sealed.
    (ii) Purity of water. Reagent-grade water (e.g., water meeting ASTM 
Type IIA standards or an equivalent grade) shall be used to minimize 
biodegradation. ASTM Type IIA water is described in ASTM D 1193-77 
(Reapproved 1983), ``Standard Specification for Reagent Water.'' ASTM D 
1193-77 (Reapproved 1983) is available for inspection at the National 
Archives and Records Administration (NARA). For information on the 
availability of this material at NARA, call 202-741-6030, or go to: 
http://www.archives.gov/federal--register/code--of--federal--
regulations/ibr--locations.html. This incorporation by reference was 
approved by the Director of the Office of the Federal Register. This 
material is incorporated as it exists on the date of approval and a 
notice of any change in this material

[[Page 99]]

will be published in the Federal Register. Copies of the incorporated 
material may be obtained from the Non-Confidential Information Center 
(NCIC) (7407), Office of Pollution Prevention and Toxics, U.S. 
Environmental Protection Agency, Room B-607 NEM, 401 M St., SW., 
Washington, DC 20460, between the hours of 12 p.m. and 4 p.m. weekdays 
excluding legal holidays, or from the American Society for Testing and 
Materials (ASTM), 1916 Race Street, Philadelphia, PA 19103.
    (iii) Sterilization. All glassware shall be sterilized. Aseptic 
conditions shall be used in the preparation of all solutions and in 
carrying out all hydrolysis experiments to eliminate or minimize 
biodegradation. Glassware can be sterilized in an autoclave or by any 
other suitable method.
    (iv) Precautions for volatility. If the chemical is volatile the 
reaction vessels shall be almost completely filled and sealed.
    (v) Temperature controls. All hydrolysis reactions shall be carried 
out at 25 [deg]C (1 [deg]C) and with the 
temperature controlled to 0.1 [deg]C.
    (vi) pH conditions. It is recommended that all hydrolysis 
experiments be performed at pH 3.00, 7.00, and 11.00 0.05 using the appropriate buffers described in 
paragraph (b)(2)(i)(A) of this section.
    (vii) Concentration of solutions of chemical substances. The 
concentration of the test chemical shall be less than one-half the 
chemical's solubility in water but not greater than 10-3 M.
    (viii) Effect of acidic and basic groups. Complications can arise 
upon measuring the rate of hydrolysis of chemicals that reversibly 
ionize or are protonated in the pH range 3.00 to 11.00. Therefore, for 
these chemicals, it is recommended that these hydrolysis tests be 
performed at pH 5.00, 7.00, and 900 0.05 using the 
appropriate buffers described in paragraphs (b)(2)(i) (A) and (B) of 
this section. If a test chemical reversibly ionizes or protonates in the 
pH range 5.00 to 9.00, then it is recommended that additional hydrolysis 
tests should be carried out at pH 6.00 and 8.00 0.05 using the buffers described in paragraph 
(b)(2)(i)(B) of this section.
    (ix) Buffer catalysis. For certain chemicals, buffers may catalyze 
the hydrolysis reaction. If this is suspected, hydrolysis rate 
determination shall be carried out with the appropriate buffers and the 
same experiments repeated at buffer concentrations lowered by at least a 
factor of five. If the hydrolysis reaction produces a change of greater 
than 0.05 pH units in the lower concentration buffers at the end of the 
measurement time, the test chemical concentrations also shall be lowered 
by at least a factor of five. Alternatively, test chemical 
concentrations and buffer concentrations may both be lowered 
simultaneously by a factor of five. A sufficient criterion for 
minimization of buffer catalysis is an observed equality in the 
hydrolysis rate constant for two different solutions differing in buffer 
or test chemical concentration by a factor of five.
    (x) Photosensitive chemicals. The solution absorption spectrum can 
be employed to determine whether a particular chemical is potentially 
subject to photolytic transformation upon exposure to light. For 
chemicals that absorb light of wavelengths greater than 290 nm, the 
hydrolysis experiment shall be carried out in the dark, under amber or 
red safelights, in amber or red glassware, or employing other suitable 
methods for preventing photolysis. The absorption spectrum of the 
chemical in aqueous solution can be measured under Sec.  796.1050.
    (xi) Chemical analysis of solutions. In determining the 
concentrations of the test chemicals in solution, any suitable 
analytical method may be employed, although methods which are specific 
for the compound to be tested are preferred. Chromatographic methods are 
recommended because of their compound specificity in analyzing the 
parent chemical without interferences from impurities. Whenever 
practicable, the chosen analytical method should have a precision within 
5 percent.
    (2) Preparation--(i) Reagents and solutions--(A) Buffer solutions. 
Prepare buffer solutions using reagent-grade chemicals and reagent-grade 
water as follows:
    (1) pH 3.00: use 250 mL of 0.100M potassium hydrogen phthalate; 111 
mL of 0.100M hydrochloric acid; and adjust

[[Page 100]]

volume to 500 mL with reagent-grade water.
    (2) pH 7.00: use 250 mL of 0.100M potassium dihydrogen phosphate; 
145 mL of 0.100M sodium hydroxide; and adjust volume to 500 mL with 
reagent-grade water.
    (3) pH 11.00: use 250 mL of 0.0500M sodium bicarbonate; 113 mL of 
0.100M sodium hydroxide; and adjust volume to 500 mL with reagent-grade 
water.
    (B) Additional buffer solutions. For chemicals that ionize or are 
protonated as discussed in paragraph (b)(1)(viii) of this section, 
prepare buffers using reagent-grade water and reagent-grade chemicals as 
follows:
    (1) pH 5.00: use 250 mL of 0.100M potassium hydrogen phthalate; 113 
mL of 0.100M sodium hydroxide; and adjust volume to 500 mL with reagent-
grade water.
    (2) pH 6.00: use 250 mL of 0.100M potassium dihydrogen phosphate; 28 
mL of 0.100M sodium hydroxide; and adjust volume to 500 mL with reagent-
grade water.
    (3) pH 8.00: use 250 mL of 0.100M potassium dihydrogen phosphate; 
234 mL of 0.100M sodium hydroxide; and adjust volume to 500 mL with 
reagent-grade water.
    (4) pH 9.00: use 250 mL of 0.0250M borax (Na2 
B4O7); 23 mL of 0.100M hydrochloric aid; and 
adjust volume to 500 mL with reagent-grade water.
    (C) Adjustment of buffer concentrations. (1) The concentrations of 
all the above buffer solutions are the maximum concentration to be 
employed in carrying out hydrolysis measurements. If the initial 
concentration of the test chemical is less than 10-3 M, the 
buffer concentration shall be lowered by a corresponding amount; e.g., 
if the initial test chemical concentration is 10-4 M, the 
concentration of the above buffers shall be reduced by a factor of 10. 
In addition, for those reactions in which an acid or base is not a 
reaction product, the minimum buffer concentration necessary for 
maintaining the pH within +0.05 units shall be employed.
    (2) Check the pH of all buffer solutions with a pH meter at 25 
[deg]C and adjust the pH to the proper value, if necessary.
    (D) Preparation of test solution. (1) If the test chemical is 
readily soluble in water, prepare an aqueous solution of the chemical in 
the appropriate buffer and determine the concentration of the chemical. 
Alternatively, a solution of the chemical in water may be prepared and 
added to an appropriate buffer solution and the concentration of the 
chemical then determined. In the latter case, the aliquot shall be small 
enough so that the concentration of the buffer in the final solution and 
the pH of the solution remain essentially unchanged. Do not employ heat 
in dissolving the chemical. The final concentration shall not be greater 
than one-half the chemical's solubility in water and not greater than 
10-3 M.
    (2) If the test chemical is too insoluble in pure water to permit 
reasonable handling and analytical procedures, it is recommended that 
the chemical be dissolved in reagent-grade acetonitrile and buffer 
solution and then added to an aliquot of the acetonitrile solution. Do 
not employ heat to dissolve the chemical in acetonitrile. The final 
concentration of the test chemical shall not be greater than one-half 
the chemical's solubility in water and not greater than 10-3 
M. In addition, the final concentration of the acetonitrile shall be one 
volume percent or less.
    (3) Performance of the test. Carry out all hydrolysis experiments by 
employing one of the procedures described in this paragraph. Prepare the 
test solutions as described in paragraph (b)(2)(i) of this section at pH 
3.00, 7.00, and 11.00 0.05, and determine the 
initial test chemical concentration (Co) in triplicate. 
Analyze each reaction mixture in triplicate at regular intervals, 
employing one of the following procedures:
    (i) Procedure 1. Analyze each test solution at regular intervals to 
provide a minimum of six measurements with the extent of hydrolysis 
between 20 to 70 percent. Rates should be rapid enough so that 60 to 70 
percent of the chemical is hydrolyzed in 672 hours.
    (ii) Procedure 2. If the reaction is too slow to conveniently follow 
hydrolysis to high conversion in 672 hours but still rapid enough to 
attain at least 20 percent conversion, take 15 to 20 time points at 
regular intervals after 10 percent conversion is attained.

[[Page 101]]

    (iii) Procedure 3. (A) If chemical hydrolysis is less than 20 
percent after 672 hours, determine the concentration (C) after this time 
period.
    (B) If the pH at the end of concentration measurements employing any 
of the above three procedures has changed by more than 0.05 units from 
the initial pH, repeat the experiment using a solution having a test 
chemical concentration lowered sufficiently to keep the pH variation 
within 0.05 pH units.
    (iv) Analytical methodology. Select an analytical method that is 
most applicable to the analysis of the specific chemical being tested 
under paragraph (b)(1)(xi) of this section.
    (c) Data and reporting--(1) Treatment of results. (i) If Procedure 1 
or 2 were employed in making concentration measurements, use a linear 
regression analysis with Equation 4 under paragraph (a)(2)(v)(B) of this 
section to calculate kh at 25 [deg]C for each pH employed in 
the hydrolysis experiments. Calculate the coefficient of determination 
(R\2\) for each rate constant. Use Equation 3 under paragraph 
(a)(2)(v)(B) of this section to calculate the hydrolysis half-life using 
kh.
    (ii) If Procedure 3 was employed in making rate measurements, use 
the mean initial concentration (Co) and the mean 
concentration of chemical (C) in Equation 4 under paragraph (a)(2)(v)(B) 
of this section to calculate kh for each pH used in the 
experiments. Calculate the hydrolysis half-life using kh in 
Equation 3 under paragraph (a)(2)(v)(B) of this section.
    (iii) For each set of three concentration replicates, calculate the 
mean value of C and the standard deviation.
    (iv) For test chemicals that are not ionized or protonated between 
pH 3 and 11, calculate kA, kB, and kN 
using Equation 5.
    (2) Specific analytical and recovery procedures. (i) Provide a 
detailed description or reference for the analytical procedure used, 
including the calibration data and precision.
    (ii) If extraction methods were used to separate the solute from the 
aqueous solution, provide a description of the extraction method as well 
as the recovery data.
    (3) Test data report. (i) For Procedures 1 and 2, report 
kh, the hydrolysis half-life (t1/2), and the 
coefficient of determination (R\2\) for each pH employed in the rate 
measurements. In addition, report the individual values, the mean value, 
and the standard deviation for each set of replicate concentration 
measurements. Finally, report kA, kB, and 
kN.
    (ii) For Procedure 3, report kh and the half-life for 
each pH employed in the rate measurements. In addition, report the 
individual values, the mean value, and the standard deviation for each 
set of replicate concentration measurements. Finally, report 
kA, kB, and kN.
    (iii) If, after 672 hours, the concentration (C) is the same as the 
initial concentration (Co) within experimental error, then 
kh cannot be calculated and the chemical can be reported as 
being persistent with respect to hydrolysis.

[50 FR 39252, Sept. 27, 1985, as amended at 53 FR 10391, Mar. 31, 1988; 
53 FR 12526, Apr. 15, 1988; 53 FR 22323, June 15, 1988; 60 FR 34467, 
July 3, 1995; 69 FR 18803, Apr. 9, 2004]



PART 797_ENVIRONMENTAL EFFECTS TESTING GUIDELINES--Table of Contents

Subpart A [Reserved]

                      Subpart B_Aquatic Guidelines

Sec.
797.1050 Algal acute toxicity test.
797.1300 Daphnid acute toxicity test.
797.1330 Daphnid chronic toxicity test.
797.1400 Fish acute toxicity test.
797.1600 Fish early life stage toxicity test.
797.1930 Mysid shrimp acute toxicity test.
797.1950 Mysid shrimp chronic toxicity test.

    Authority: 15 U.S.C. 2603.

    Source: 50 FR 39321, Sept. 27, 1985, unless otherwise noted.

Subpart A [Reserved]



                      Subpart B_Aquatic Guidelines



Sec.  797.1050  Algal acute toxicity test.

    (a) Purpose. The guideline in this section is intended for use in 
developing data on the acute toxicity of chemical substances and 
mixtures (``chemicals'') subject to environmental effects test 
regulations under the Toxic Substances Control Act (TSCA) (Pub. L. 94-
469, 90 Stat. 2003, 15 U.S.C. 2601 et seq.). This

[[Page 102]]

guideline prescribes test procedures and conditions using freshwater and 
marine algae to develop data on the phytotoxicity of chemicals. The 
United States Environmental Protection Agency (U.S. EPA) will use data 
from these tests in assessing the hazard of a chemical to the 
environment.
    (b) Definitions. The definitions in section 3 of the Toxic 
Substances Control Act (TSCA) and the definitions in part 792--Good 
Laboratory Practice Standards of this chapter apply to this test 
guideline. The following definitions also apply to this guideline:
    (1) Algicidal means having the property of killing algae.
    (2) Algistatic means having the property of inhibiting algal growth.
    (3) ECx means the experimentally derived chemical concentration that 
is calculated to effect X percent of the test criterion.
    (4) Growth means a relative measure of the viability of an algal 
population based on the number and/or weight of algal cells per volume 
of nutrient medium or test solution in a specified period of time.
    (5) Static system means a test container in which the test solution 
is not renewed during the period of the test.
    (c) Test procedures--(1) Summary of the test. (i) In preparation for 
the test, fill test containers with appropriate volumes of nutrient 
medium and/or test solution. Start the test by introducing algae into 
the test and control containers in the growth chambers. Environmental 
conditions within the growth chambers are established at predetermined 
limits.
    (ii) At the end of 96 hours enumerate the algal cells in all 
containers to determine inhibition or stimulation of growth in test 
containers compared to controls. Use data to define the concentration-
response curve, and calculate the EC10, EC50, and 
EC90 values.
    (2) [Reserved]
    (3) Range-finding test. (i) A range-finding test should be conducted 
to determine:
    (A) If definitive testing is necessary.
    (B) Test chemical concentrations for the definitive test.
    (ii) Algae are exposed to a widely spaced (e.g., log interval) 
chemical concentration series. The lowest value in the series, exclusive 
of controls, should be at the chemical's detection limit. The upper 
value, for water soluble compounds, should be the saturation 
concentration. No replicates are required; and nominal concentrations of 
the chemical are acceptable unless definitive testing is not required.
    (iii) The test is performed once for each of the recommended algal 
species or selected alternates. Test chambers should contain equal 
volumes of test solution and approximately 1x10\4\ Selenastrum cells/ml 
or 7.7x10\4\ Skeletonema cells/ml of test solution. The algae should be 
exposed to each concentration of test chemical for up to 96 hours. The 
exposure period may be shortened if data suitable for the purposes of 
the range-finding test can be obtained in less time.
    (iv) Definitive testing is not necessary if the highest chemical 
concentration tested (water saturation concentration or 1000 mg/l) 
results in less than a 50 percent reduction in growth or if the lowest 
concentration tested (analytical detection limit) results in greater 
than a 50 percent reduction in growth.
    (4) Definitive test. (i) The purpose of the definitive test is to 
determine the concentration response curves, the EC10's, 
EC50's, and EC90's for algal growth for each 
species tested, with a minimum amount of testing beyond the range-
finding test.
    (ii) Algae should be exposed to five or more concentrations of the 
test chemical in a geometric series in which the ratio is between 1.5 
and 2.0 (e.g., 2, 4, 8, 16, 32, and 64 mg/l). Algae shall be placed in a 
minimum of three replicate test containers for each concentration of 
test chemical and control. More than three replicates may be required to 
provide sufficient quantities of test solution for determination of test 
substance concentration at the end of the test. Each test chamber should 
contain equal volumes of test solution and approximately 1x10\4\ 
Selenastrum cells/ml or 7.7x10\4\ Skeletonema cells/ml of test solution. 
The chemical concentrations should result in greater than 90 percent of 
algal growth being inhibited or stimulated at the highest concentrations 
of test substance compared to controls.

[[Page 103]]

    (iii) Every test shall include a control consisting of the same 
nutrient medium, conditions, procedures, and algae from the same 
culture, except that none of the test substance is added. If a carrier 
is present in any of the test chambers, a separate carrier control is 
required.
    (iv) The test begins when algae from 5- to 10-day-old stock cultures 
are placed in the test chambers containing test solutions having the 
appropriate concentrations of the test substance. Algal growth in 
controls should reach the logarithmic growth phase by 96 hours. If 
logarithmic growth cannot be demonstrated, the test shall be repeated. 
At the end of 24, 48, 72, and 96 hours the algal growth response (number 
or weight of algal cells/ml) in all test containers and controls shall 
be determined by an indirect (spectrophotometry, electronic cell 
counters, dry weight, etc.) or a direct (actual microscopic cell count) 
method. Indirect methods shall be calibrated by a direct microscopic 
count. The percentage inhibition or stimulation of growth for each 
concentration, EC10, EC50, EC90 and the 
concentration-response curves are determined from these counts.
    (v) At the end of the definitive test, the following additional 
analyses of algal growth response shall be performed:
    (A) Determine whether the altered growth response between controls 
and test algae was due to a change in relative cell numbers, cell sizes 
or both. Also note any unusual cell shapes, color differences, 
flocculations, adherence of algae to test containers, or aggregation of 
algal cells.
    (B) In test concentrations where growth is maximally inhibited, 
algistatic effects may be differentiated from algicidal effects by the 
following two methods for Skeletonema and by the second method for 
Selenastrum.
    (1) Add 0.5 ml of a 0.1 percent solution (weight/volume) of Evans 
blue stain to a 1 milliliter aliquot of algae from a control container 
and to a 1 milliliter aliquot of algae from the test container having 
the lowest concentration of test chemical which completely inhibited 
algal growth (if algal growth was not completely inhibited, select an 
aliquot of algae for staining from the test container having the highest 
concentration of test chemical which inhibited algal growth). Wait 10 to 
30 minutes, examine microscopically, and determine the percent of the 
cells which stain blue (indicating cell mortality). A staining control 
shall be performed concurrently using heat-killed or formaldehyde-
preserved algal cells; 100 percent of these cells shall stain blue.
    (2) Remove 0.5 ml aliquots of test solution containing growth-
inhibited algae from each replicate test container having the 
concentration of test substance evaluated in paragraph (c)(4)(v)(B)(1) 
of this section. Combine these aliquots into a new test container and 
add a sufficient volume of fresh nutrient medium to dilute the test 
chemical to a concentration which does not affect growth. Incubate this 
subculture under the environmental conditions used in the definitive 
test for a period of up to 9 days, and observe for algal growth to 
determine if the algistatic effect noted after the 96-hour test is 
reversible. This subculture test may be discontinued as soon as growth 
occurs.
    (5) [Reserved]
    (6) Analytical measurements--(i) Chemical. (A) Glass distilled or 
deionized water shall be used in the preparation of the nutrient medium. 
The pH of the test solution shall be measured in the control and test 
containers at the beginning and at the end of the definitive test. The 
concentration of test chemical in the test containers shall be 
determined at the beginning and end of the definitive test by standard 
analytical methods which have been validated prior to the test. An 
analytical method is unacceptable if likely degradation products of the 
chemical, such as hydrolysis and oxidation products, give positive or 
negative interference.
    (B) At the end of the test and after aliquots have been removed for 
algal growth-response determinations, microscopic examination, mortal 
staining, or subculturing, the replicate test containers for each 
chemical concentration may be pooled into one sample. An aliquot of the 
pooled sample may then be taken and the concentration of test chemical 
determined. In

[[Page 104]]

addition, the concentration of test chemical associated with the algae 
alone should be determined. Separate and concentrate the algal cells 
from the test solution by centrifuging or filtering the remaining pooled 
sample and measure the test substance concentration in the algal-cell 
concentrate.
    (ii) Numerical. Algal growth response (as percent of inhibition or 
stimulation in the test solutions compared to the controls) is 
calculated at the end of the test. Mean and standard deviation should be 
calculated and plotted for each treatment and control. Appropriate 
statistical analyses should provide a goodness-of-fit determination for 
the concentration response curves. The concentration response curves are 
plotted using the mean measured test solution concentrations obtained at 
the end of the test.
    (d) Test conditions--(1) Test species. Species of algae recommended 
as test organisms for this test are the freshwater green alga, 
Selenastrum capricornutum, and the marine diatom, Skeletonema costatum. 
Algae to be used in acute toxicity tests may be initially obtained from 
commercial sources and subsequently cultured using sterile technique. 
Toxicity testing shall not be performed until algal cultures are shown 
to be actively growing (i.e., capable of logarithmic growth within the 
test period) in at least 2 subcultures lasting 7 days each prior to the 
start of the definitive test. All algae used for a particular test shall 
be from the same source and the same stock culture. Test algae shall not 
have been used in a previous test, either in a treatment or a control.
    (2) Facilities--(i) General. (A) Facilities needed to perform this 
test include: a growth chamber or a controlled environment room that can 
hold the test containers and will maintain the air temperature, lighting 
intensity and photoperiod specified in this test guideline; apparatus 
for culturing and enumerating algae; a source of distilled and/or 
deionized water; and apparatus for carrying out analyses of the test 
chemical.
    (B) Disposal facilities should be adequate to accommodate spent 
glassware, algae and test solutions at the end of the test and any bench 
covering, lab clothing, or other contaminated materials.
    (ii) Test containers. Erlenmeyer flasks should be used for test 
containers. The flasks may be of any volume between 125 and 500 ml as 
long as the same size is used throughout a test and the test solution 
volume does not exceed 50 percent of the flask volume.
    (iii) Cleaning and sterilization. New test containers may contain 
substances which inhibit growth of algae. They shall therefore be 
cleaned thoroughly and used several times to culture algae before being 
used in toxicity testing. All glassware used in algal culturing or 
testing shall be cleaned and sterilized prior to use according to 
standard good laboratory practices.
    (iv) Conditioning. Test containers should be conditioned by a rinse 
with the appropriate test solutions prior to the start of the test. 
Decant and add fresh test solutions after an appropriate conditioning 
period for the test chemical.
    (v) Nutrient medium. (A) Formulation and sterilization of nutrient 
medium used for algal culture and preparation of test solutions should 
conform to those currently recommended by the U.S. EPA for freshwater 
and marine algal bioassays. No chelating agents are to be included in 
the nutrient medium used for test solution preparation. Nutrient medium 
should be freshly prepared for algal testing and may be dispensed in 
appropriate volumes in test containers and sterilized by autoclaving or 
filtration. The pH of the nutrient medium shall be 7.5 (0.1) for Selenastrum and 8.1 (0.1) 
for Skeletonema at the start of the test and may be adjusted prior to 
test chemical addition with 0.1N NaOH or HC1.
    (B) Dilution water used for preparation of nutrient medium and test 
solutions should be filtered, deionized or glass distilled. Saltwater 
for marine algal nutrient medium and test solutions should be prepared 
by adding a commercial, synthetic, sea salt formulation or a modified 
synthetic seawater formulation to distilled/deionized water to a 
concentration of 30 parts per thousand.
    (vi) Carriers. Nutrient medium shall be used in making stock 
solutions of

[[Page 105]]

the test chemical. If a carrier other than nutrient medium is absolutely 
necessary to dissolve the chemical, the volume used shall not exceed the 
minimum volume necessary to dissolve or suspend the chemical in the test 
solution.
    (3) Test parameters. (i) The test temperature shall be 24 [deg]C for 
Selenastrum and 20 [deg]C for Skeletonema. Excursions from the test 
temperature shall be no greater than 2 [deg]C. 
Temperature should be recorded hourly during the test.
    (ii) Test chambers containing Selenastrum shall be illuminated 
continuously and those containing Skeletonema shall be provided a 14-
hour light and 10-hour dark photoperiod with a 30 minute transition 
period under fluorescent lamps providing 300 25 
uEin/m\2\ sec (approximately 400 ft-c) measured adjacent to the test 
chambers at the level of test solution.
    (iii) Stock algal cultures should be shaken twice daily by hand. 
Test containers shall be placed on a rotary shaking apparatus and 
oscillated at approximately 100 cycles/minute for Selenastrum and at 
approximately 60 cycles/minute for Skeletonema during the test. The rate 
of oscillation should be determined at least once daily during testing.
    (iv) The pH of nutrient medium in which algae are subcultured shall 
be 7.5 (0.1) for Selenastrum and 8.1 (0.1) for Skeletonema, and is not adjusted after the 
addition of the algae. The pH of all test solutions shall be measured at 
the beginning and end of the test.
    (v) Light intensity shall be monitored at least daily during the 
test at the level of the test solution.
    (e) Reporting. The sponsor shall submit to the EPA all data 
developed by the test that are suggestive or predictive of acute 
phytotoxicity. In addition to the general reporting requirements 
prescribed in part 792--Good Laboratory Practice Standards of this 
Chapter, the following shall be reported:
    (1) Detailed information about the test organisms, including the 
scientific name, method of verification, and source.
    (2) A description of the test chambers and containers, the volumes 
of solution in the containers, the way the test was begun (e.g., 
conditioning, test substance additions, etc.), the number of replicates, 
the temperature, the lighting, and method of incubation, oscillation 
rates, and type of apparatus.
    (3) The concentration of the test chemical in the control and in 
each treatment at the end of the test and the pH of the solutions.
    (4) The number of algal cells per milliliter in each treatment and 
control and the method used to derive these values at the beginning, 24, 
48, and 72 hours, and end of the test; the percentage of inhibition or 
stimulation of growth relative to controls; and other adverse effect in 
the control and in each treatment.
    (5) The 96-hour EC10, EC50, and 
EC90 values, and when sufficient data have been generated, 
the 24, 48, and 72 hour LC50's and 95 percent confidence 
limits, the methods used to derive these values, the data used to define 
the shape of the concentration-response curve and the goodness-of-fit 
determination.
    (6) Methods and data records of all chemical analyses of water 
quality and test substance concentrations, including method validations 
and reagent blanks.
    (7) The results of any optional analyses such as: Microscopic 
appearance of algae, size or color changes, percent mortality of cells 
and the fate of subcultured cells, the concentration of test substance 
associated with algae and test solution supernate or filtrate.
    (8) If the range-finding test showed that the highest concentration 
of the chemical tested (not less than 1000 mg/l or saturation 
concentration) had no effect on the algae, report the results and 
concentration and a statement that the chemical is of minimum phytotoxic 
concern.
    (9) If the range-finding test showed greater than a 50 percent 
inhibition of algal growth at a test concentration below the analytical 
detection limit, report the results, concentration, and a statement that 
the chemical is phytotoxic below the analytical detection limit.

[50 FR 39321, Sept. 27, 1985, as amended at 52 FR 19058, May 20, 1987]



Sec.  797.1300  Daphnid acute toxicity test.

    (a) Purpose. This guideline is intended for use in developing data 
on

[[Page 106]]

the acute toxicity of chemical substances and mixtures (``chemicals'') 
subject to environmental effects test regulations under the Toxic 
Substances Control Act (TSCA) (Pub. L. 94-469, 90 Stat. 2003, 15 U.S.C. 
2601 et seq.). This guideline prescribes an acute toxicity test in which 
daphnids (Daphnia magna or D. pulex) are exposed to a chemical in static 
and flow-through systems. The United States Environmental Protection 
Agency will use data from this test in assessing the hazard a chemical 
may present in the aquatic environment.
    (b) Definitions. The definitions in section 3 of the Toxic 
Substances Control Act (TSCA) and part 792--Good Laboratory Practice 
Standards of this chapter apply to this test guideline. In addition, the 
following definitions apply to this guideline:
    (1) Brood stock means the animals which are cultured to produce test 
organisms through reproduction.
    (2) EC50 means that experimentally derived concentration 
of test substance in dilution water that is calculated to affect 50 
percent of a test population during continuous exposure over a specified 
period of time. In this guideline, the effect measured is 
immobilization.
    (3) Ephippium means a resting egg which develops under the carapace 
in response to stress conditions in daphnids.
    (4) Flow-through means a continuous or an intermittent passage of 
test solution or dilution water through a test chamber or culture tank 
with no recycling.
    (5) Immobilization means the lack of movement by the test organisms 
except for minor activity of the appendages.
    (6) Loading means the ratio of daphnid biomass (grams, wet weight) 
to the volume (liters) of test solution in a test chamber at a point in 
time, or passing through the test chamber during a specific interval.
    (7) Static system means a test system in which the test solution and 
test organisms are placed in the test chamber and kept there for the 
duration of the test without renewal of the test solution.
    (c) Test procedures--(1) Summary of the test. (i) Test chambers are 
filled with appropriate volumes of dilution water. In the flow-through 
test, the flow of dilution water through each chamber is adjusted to the 
rate desired. The test chemical is introduced into each treatment 
chamber. The addition of test chemical in the flow-through system is 
conducted at a rate which is sufficient to establish and maintain the 
desired concentration in the test chamber. The test is started within 30 
minutes after the test chemical has been added and uniformly distributed 
in static test chambers or after the concentration of test chemical in 
each flow-through test chamber reaches the prescribed level and remains 
stable. At the initiation of the test, daphnids which have been cultured 
and acclimated in accordance with the test design are randomly placed 
into the test chambers. Daphnids in the test chambers are observed 
periodically during the test, the immobile daphnids removed, and the 
findings recorded.
    (ii) Dissolved oxygen concentration, pH, temperature, the 
concentration of test chemical and other water quality parameters are 
measured at specified intervals in selected test chambers. Data are 
collected during the test to develop concentration-response curves and 
determine EC50 values for the test chemical.
    (2) [Reserved]
    (3) Range-finding test. (i) A range-finding test should be conducted 
to establish test solution concentrations for the definitive test.
    (ii) The daphnids should be exposed to a series of widely spaced 
concentrations of the test chemical (e.g., 1, 10, 100 mg/1, etc.), 
usually under static conditions.
    (iii) A minimum of five daphnids should be exposed to each 
concentration of test chemical for a period of 48 hours. The exposure 
period may be shortened if data suitable for the purpose of the range-
finding test can be obtained in less time. No replicates are required 
and nominal concentrations of the chemical are acceptable.
    (4) Definitive test. (i) The purpose of the definitive test is to 
determine the concentration-response curves and the 24- and 48-hour 
EC50 values with the

[[Page 107]]

minimum amount of testing beyond the range-finding test.
    (ii) A minimum of 20 daphnids per concentration shall be exposed to 
five or more concentrations of the chemical chosen in a geometric series 
in which the ratio is between 1.5 and 2.0 (e.g., 2, 4, 8, 16, 32, and 64 
mg/l). An equal number of daphnids shall be placed in two or more 
replicates. If solvents, solubilizing agents or emulsifiers have to be 
used, they shall be commonly used carriers and shall not possess a 
synergistic or antagonistic effect on the toxicity of the test chemical. 
The concentration of solvent should not exceed 0.1 mg/l. The 
concentration ranges shall be selected to determine the concentration-
response curves and EC50 values at 24 and 48 hours. 
Concentration of test chemical in test solutions should be analyzed 
prior to use.
    (iii) Every test shall include controls consisting of the same 
dilution water, conditions, procedures and daphnids from the same 
population (culture container), except that none of the chemical is 
added.
    (iv) The dissolved oxygen concentration, temperature and pH shall be 
measured at the beginning and end of the test in each chamber.
    (v) The test duration is 48 hours. The test is unacceptable if more 
than 10 percent of the control organisms are immobilized during the 48-
hour test period. Each test chamber shall be checked for immobilized 
daphnids at 24 and 48 hours after the beginning of the test. 
Concentration-response curves and 24-hour and 48-hour EC50 
values for immobilization shall be determined along with their 95 
percent confidence limits.
    (vi) In addition to immobility, any abnormal behavior or appearance 
shall also be reported.
    (vii) Test organisms shall be impartially distributed among test 
chambers in such a manner that test results show no significant bias 
from the distributions. In addition, test chambers within the testing 
area shall be positioned in a random manner or in a way in which 
appropriate statistical analyses can be used to determine the variation 
due to placement.
    (viii) The concentration of the test chemical in the chambers should 
be measured as often as is feasible during the test. In the static test 
the concentration of test chemical shall be measured, at a minimum, at 
the beginning of the test and at the end of the test in each test 
chamber. In the flow-through test the concentration of test chemical 
shall be measured at a minimum:
    (A) In each chamber at the beginning of the test and at 48 hours 
after the start of the test;
    (B) In at least one appropriate chamber whenever a malfunction is 
detected in any part of the test substance delivery system.

Among replicate test chambers of a treatment concentration, the measured 
concentration of the test chemical shall not vary more than 20 percent.
    (5) [Reserved]
    (6) Analytical measurements. (i) Test chemical. Deionized water 
should be used in making stock solutions of the test chemical. Standard 
analytical methods should be used whenever available in performing the 
analyses. The analytical method used to measure the amount of test 
chemical in a sample shall be validated before beginning the test by 
appropriate laboratory practices. Any analytical method is not 
acceptable if likely degradation products of the test chemical, such as 
hydrolysis and oxidation products, give positive or negative 
interferences which cannot be systematically identified and corrected 
mathematically.
    (ii) Numerical. The number of immobilized daphnids shall be counted 
during each definitive test. Appropriate statistical analyses should 
provide a goodness-of-fit determination for the concentration-response 
curves. A 24- and 48-hour EC50 and corresponding 95 percent 
interval shall be calculated.
    (d) Test conditions--(1) Test species--(i) Selection. (A) The 
cladocerans, Daphnia magna or D. pulex, are the test species to be used 
in this test. Either species may be used for testing of a particular 
chemical. The species identity of the test organisms should be verified 
using appropriate systematic keys. First instar daphnids, <=24 hours 
old, are to be used to start the test.
    (B) Daphnids to be used in acute toxicity tests should be cultured 
at the

[[Page 108]]

test facility. Records should be kept regarding the source of the 
initial stock and culturing techniques. All organisms used for a 
particular test shall have originated from the same culture population.
    (C) Daphnids shall not be used for a test (1) if cultures contain 
ephippia; (2) if adults in the cultures do not produce young before day 
12; (3) if more than 20 percent of the culture stock die during the 2 
days preceding the test; (4) if adults in the culture do not produce an 
average of at least 3 young per adult per day over the 7-day period 
prior to the test and (5) if daphnids have been used in any portion of a 
previous test, either in a treatment or in a control.
    (ii) Acclimation. (A) Brood daphnids shall be maintained in 100-
percent dilution water at the test temperature for at least 48 hours 
prior to the start of the test. This is easily accomplished by culturing 
them in the dilution water at the test temperature. During production of 
neonates, daphnids should not be fed.
    (B) During culturing and acclimation to the dilution water, daphnids 
should be maintained in facilities with background colors and light 
intensities similar to those of the testing area.
    (iii) Care and handling. (A) Daphnids should be cultured in dilution 
water under similar environmental conditions to those used in the test. 
Organisms should be handled as little as possible. When handling is 
necessary it should be done as gently, carefully, and quickly as 
possible. During culturing and acclimation, daphnids should be observed 
carefully for ephippia and other signs of stress, physical damage and 
mortality. Dead and abnormal individuals shall be discarded. Organisms 
that touch dry surfaces or are dropped or injured in handling shall be 
discarded.
    (B) Smooth glass tubes (I.D. greater than 5 mm) equipped with rubber 
bulb should be used for transferring daphnids with minimal culture media 
carry-over. Care should be exercised to introduce the daphnids below the 
surface of any solution to avoid trapping air under the carapace.
    (iv) Feeding. A variety of foods (e.g., unicellular green algae) 
have been demonstrated to be adequate for daphnid culture. Daphnids 
shall not be fed during testing.
    (2) Facilities--(i) Apparatus. (A) Facilities needed to perform this 
test include: (1) Containers for culturing and acclimating daphnids; (2) 
a mechanism for controlling and maintaining the water temperature during 
the culturing, acclimation, and test periods; (3) apparatus for 
straining particulate matter, removing gas bubbles, or aerating the 
water as necessary; and (4) an apparatus for providing a 16-hour light 
and 8-hour dark photoperiod with a 15 to 30 minute transition period. In 
addition, the flow-through system shall contain appropriate test 
chambers in which to expose daphnids to the test chemical and an 
appropriate test substance delivery system.
    (B) Facilities should be well ventilated and free of fumes and 
disturbances that may affect the test organisms.
    (C) Test chambers shall be loosely covered to reduce the loss of 
test solution or dilution water due to evaporation and to minimize the 
entry of dust or other particulates into the solutions.
    (ii) Construction materials. (A) Materials and equipment that 
contact test solutions should be chosen to minimize sorption of test 
chemicals from the dilution water and should not contain substances that 
can be leached into aqueous solution in quantities that can affect the 
test results.
    (B) For static tests, daphnids can be conveniently exposed to the 
test chemical in 250 ml beakers or other suitable containers.
    (C) For flow-through tests, daphnids can be exposed in glass or 
stainless steel containers with stainless steel or nylon screen bottoms. 
The containers should be suspended in the test chamber in such a manner 
to insure that the test solution flows regularly into and out of the 
container and that the daphnids are always submerged in at least 5 
centimeters of test solution. Test chambers can be constructed using 250 
ml beakers or other suitable containers equipped with screened overflow 
holes, standpipes or V-shaped notches.
    (iii) Dilution water. (A) Surface or ground water, reconstituted 
water or

[[Page 109]]

dechlorinated tap water are acceptable as dilution water if daphnids 
will survive in it for the duration of the culturing, acclimation and 
testing periods without showing signs of stress. The quality of the 
dilution water should be constant and should meet the following 
specifications:

------------------------------------------------------------------------
                 Substance                      Maximum concentration
------------------------------------------------------------------------
Particulate matter........................  20 mg/liter.
Total organic carbon or...................  2 mg/liter.
      Chemical oxygen demand..............  5 mg/liter.
Un-ionized ammonia........................  1 [micro]g/liter.
Residual chlorine.........................  <3 [micro]g/liter.
Total organophosphorus pesticides.........  50 ng/liter.
Total organochlorine pesticides plus        50 ng/liter.
 polychlorinated biphenyls (PCBs) or.
Organic chlorine..........................  25 ng/liter.
------------------------------------------------------------------------

    (B) The above water quality parameters under paragraph 
(d)(2)(iii)(A) of this section shall be measured at least twice a year 
or whenever it is suspected that these characteristics may have changed 
significantly. If dechlorinated tap water is used, daily chlorine 
analysis shall be performed.
    (C) If the diluent water is from a ground or surface water source, 
conductivity and total organic carbon (TOC) or chemical oxygen demand 
(COD) shall be measured. Reconstituted water can be made by adding 
specific amounts of reagent-grade chemicals to deionized or distilled 
water. Glass distilled or carbon-filtered deionized water with a 
conductivity less than 1 [micro]ohm/cm is acceptable as the diluent for 
making reconstituted water.
    (iv) Cleaning. All test equipment and test chambers shall be cleaned 
before each use using standard laboratory procedures.
    (v) Test substance delivery system. In flow-through tests, 
proportional diluters, metering pump systems, or other suitable devices 
should be used to deliver test chemical to the test chambers. The system 
shall be calibrated before each test. Calibration includes determining 
the flow rate through each chamber and the concentration of the test 
chemical in each chamber. The general operation of the test substance 
delivery system should be checked twice during a test. The 24-hour flow 
through a test chamber shall be equal to at least 5 times the volume of 
the test chamber. During a test, the flow rates should not vary more 
than 10 percent from any one test chamber to another.
    (3) Test parameters. Environmental parameters of the water contained 
in test chambers shall be maintained as specified below:
    (i) The test temperature shall be 20 [deg]C. Excursions from the 
test temperature shall be no greater than 2 
[deg]C.
    (ii) Dissolved oxygen concentration between 60 and 105 percent 
saturation. Aeration, if needed to achieve this level, shall be done 
before the addition of the test chemical. All treatment and control 
chambers shall be given the same aeration treatment.
    (iii) The number of daphnids placed in a test chamber shall not 
affect test results. Loading shall not exceed 40 daphnids per liter test 
solution in the static system. In the flow-through test, loading limits 
will vary depending on the flow rate of dilution water. Loading shall 
not cause the dissolved oxygen concentration to fall below the 
recommended levels.
    (iv) Photoperiod of 16 hours light and 8 hours darkness.
    (e) Reporting. The sponsor shall submit to the U.S. EPA all data 
developed by the test that are suggestive or predictive of acute 
toxicity and all concomitant gross toxicological manifestations. In 
addition to the reporting requirements prescribed in part 792--Good 
Laboratory Practice Standards of this chapter, the reporting of test 
data shall include the following:
    (1) The name of the test, sponsor, testing laboratory, study 
director, principal investigator, and dates of testing.
    (2) A detailed description of the test chemical including its 
source, lot number, composition (identity and concentration or major 
ingredients and major impurities), known physical and chemical 
properties and any carriers or other additives used and their 
concentrations.
    (3) The source of the dilution water, its chemical characteristics 
(e.g., conductivity, hardness, pH, etc.) and a description of any 
pretreatment.
    (4) Detailed information about the daphnids used as brood stock, 
including the scientific name and method of

[[Page 110]]

verification, age, source, treatments, feeding history, acclimation 
procedures, and culture method. The age of the daphnids used in the test 
shall be reported.
    (5) A description of the test chambers, the volume of solution in 
the chambers, the way the test was begun (e.g., conditioning, test 
chemical additions), the number of test organisms per test chamber, the 
number of replicates per treatment, the lighting, the method of test 
chemical introduction or the test substance delivery system and the flow 
rate (in flow-through test) expressed as volume additions per 24 hours.
    (6) The concentration of the test chemical in each test chamber at 
times designated for static and flow-through tests.
    (7) The number and percentage of organisms that were immobilized or 
showed any adverse effects in each test chamber at each observation 
period.
    (8) Utilizing the average measured test chemical concentration, 
concentration-response curves should be fitted to immobilization data at 
24 and 48 hours. A statistical test of goodness-of-fit should be 
performed and the results reported.
    (9) The 24- and 48-hour EC50 values and their respective 
95 percent confidence limits using the mean measured test chemical 
concentration and the methods used to calculate both the EC50 
values and their confidence limits.
    (10) All chemical analyses of water quality and test chemical 
concentrations, including methods, method validations and reagent 
blanks.
    (11) The data records of the culture, acclimation and test 
temperatures.
    (12) Any deviation from this test guideline and anything unusual 
about the test, e.g., diluter failure, temperature fluctuations, etc.

[50 FR 39321, Sept. 27, 1985, as amended at 52 FR 19059, May 20, 1987]



Sec.  797.1330  Daphnid chronic toxicity test.

    (a) Purpose. This guideline is intended for use in developing data 
on the chronic toxicity of chemical substances and mixtures 
(``chemicals'') subject to environmental effects test regulations under 
the Toxic Substances Control Act (TSCA) (Pub. L. 94-469, 90 Stat. 2003, 
15 U.S.C. 2601 et seq.). This guideline prescribes a chronic toxicity 
test in which daphnids are exposed to a chemical in a renewal or a flow-
through system. The United States Environmental Protection Agency will 
use data from this test in assessing the hazard a chemical may present 
to the aquatic environment.
    (b) Definitions. The definitions in section 3 of the Toxic 
Substances Control Act (TSCA), and the definitions in part 792 Good 
Laboratory Practice Standards of this chapter apply to this test 
guideline. In addition, the following definitions apply to this 
guideline:
    (1) Brood stock means the animals which are cultured to produce test 
organisms through reproduction.
    (2) Chronic toxicity test means a method used to determine the 
concentration of a substance in water that produces an adverse effect on 
a test organism over an extended period of time. In this test guideline, 
mortality and reproduction (and optionally, growth) are the criteria of 
toxicity.
    (3) EC50 means that experimentally derived concentration 
of test substance in dilution water that is calculated to affect 50 
percent of a test population during continuous exposure over a specified 
period of time. In this guideline, the effect measured is 
immobilization.
    (4) Ephippium means a resting egg which develops under the carapace 
in response to stress conditions in daphnids.
    (5) Flow-through means a continuous or intermittent passage of test 
solution or dilution water through a test chamber or culture tank with 
no recycling.
    (6) Immobilization means the lack of movement by daphnids except for 
minor activity of the appendages.
    (7) Loading means the ratio of daphnid biomass (grams, wet weight) 
to the volume (liters) of test solution in a test chamber at a point in 
time or passing through the test chamber during a specific interval.
    (8) MATC (Maximum Acceptable Toxicant Concentration) means the 
maximum concentration at which a chemical can be present and not be 
toxic to the test organism.

[[Page 111]]

    (9) Renewal system means the technique in which test organisms are 
periodically transferred to fresh test solution of the same composition.
    (c) Test procedures--(1) Summary of the test. (i) Test chambers are 
filled with appropriate volumes of dilution water. In the flow-through 
test the flow of dilution water through each chamber is then adjusted to 
the rate desired. The test substance is introduced into each test 
chamber. The addition of test substance in the flow-through system is 
done at a rate which is sufficient to establish and maintain the desired 
concentration of test substance in the test chamber.
    (ii) The test is started within 30 minutes after the test substance 
has been added and uniformly distributed in the test chambers in the 
renewal test or after the concentration of test substance in each test 
chamber of the flow-through test system reaches the prescribed level and 
remains stable. At the initiation of the test, daphnids which have been 
cultured or acclimated in accordance with the test design, are randomly 
placed into the test chambers. Daphnids in the test chambers are 
observed periodically during the test, immobile adults and offspring 
produced are counted and removed, and the findings are recorded. 
Dissolved oxygen concentration, pH, temperature, the concentration of 
test substance, and other water quality parameters are measured at 
specified intervals in selected test chambers. Data are collected during 
the test to determine any significant differences (p<=0.05) in 
immobilization and reproduction as compared to the control.
    (2) [Reserved]
    (3) Range-finding test. (i) A range-finding test should be conducted 
to establish test solution concentrations for the definitive test.
    (ii) The daphnids should be exposed to a series of widely spaced 
concentrations of the test substance (e.g., 1, 10, 100 mg/l), usually 
under static conditions.
    (iii) A minimum of five daphnids should be exposed to each 
concentration of test substance for a period of time which allows 
estimation of appropriate chronic test concentrations. No replicates are 
required and nominal concentrations of the chemical are acceptable.
    (4) Definitive test. (i) The purpose of the definitive test is to 
determine concentration-response curves, EC50 values and 
effects of a chemical on immobilization and reproduction during chronic 
exposure.
    (ii) A minimum of 20 daphnids per concentration shall be exposed to 
five or more concentrations of the chemical chosen in a geometric series 
in which the ratio is between 1.5 and 2.0 (e.g., 2, 4, 8, 16, 32, 64 mg/
l). An equal number of daphnids shall be placed in two or more 
replicates. The concentration ranges shall be selected to determine the 
concentration-response curves, EC50 values and MATC. 
Solutions shall be analyzed for chemical concentration at designated 
times during the test.
    (iii) Every test shall include controls consisting of the same 
dilution water, conditions, procedures and daphnids from the same 
population (culture container), except that none of the chemical is 
added.
    (iv) The test duration is 21 days. The test is unacceptable if:
    (A) More than 20 percent of the control organisms appear to be 
immobilized, stressed or diseased during the test.
    (B) Each control daphnid living the full 21 days produces an average 
of less than 60 young.
    (C) Any ephippia are produced by control animals.
    (v) The number of immobilized daphnids in each chamber shall be 
recorded on day 21 of the test. After offspring are produced, they shall 
be counted and removed from the test chambers every 2 or 3 days. 
Concentration-response curves, EC50 values and associated 95 
percent confidence limits for adult immobilization shall be determined 
for day 21. An MATC shall be determined for the most sensitive test 
criteria measured (number of adult animals immobilized, number of young 
per adult, and number of immobilized young per adult).
    (vi) In addition to immobility, any abnormal behavior or appearance 
shall also be reported.
    (vii) Test organisms shall be impartially distributed among test 
chambers in such a manner that test results show

[[Page 112]]

no significant bias from the distributions. In addition, test chambers 
within the testing area shall be positioned in a random manner as in a 
way in which appropriate statistical analyses can be used to determine 
the variation due to placement.
    (5) [Reserved]
    (6) Analytical measurements. (i) Test chemical. Deionized water 
should be used in making stock solutions of the test substance. Standard 
analytical methods should be used whenever available in performing the 
analyses. The analytical method used to measure the amount of test 
substance in a sample shall be validated before beginning the test by 
appropriate laboratory practices. An analytical method is not acceptable 
if likely degradation products of the test substance, such as hydrolysis 
and oxidation products, give positive or negative interferences which 
cannot be systematically identified and corrected mathematically.
    (ii) Numerical. The number of immobilized adults, total offspring 
per adult, and immobilized offspring per adult shall be counted during 
each test. Appropriate statistical analyses should provide a goodness-
of-fit determination for the adult immobilization concentration-response 
curves calculated on day 21. A 21-day EC50 based on adult 
immobilization and corresponding 95 percent confidence intervals shall 
also be calculated. Appropriate statistical tests (e.g., analysis of 
variance, mean separation test) should be used to test for significant 
chemical effects on chronic test criteria (cumulative number of 
immobilized adults, cumulative number of offspring per adult and 
cumulative number of immobilized offspring per adult) on day 21. An MATC 
shall be calculated using these chronic test criteria.
    (d) Test conditions--(1) Test species--(i) Selection. (A) The 
cladocerans, Daphnia magna or D. pulex, are the species to be used in 
this test. Either species can be utilized for testing of a particular 
chemical. The species identity of the test organisms should be verified 
using appropriate systematic keys.
    (B) First instar daphnids, <=24 hours old, are to be used to start 
the test.
    (ii) Acquisition. (A) Daphnids to be used in chronic toxicity tests 
should be cultured at the test facility. Records should be kept 
regarding the source of the initial stock and culturing techniques. All 
organisms used for a particular test shall have originated from the same 
culture population.
    (B) Daphnids shall not be used for a test if:
    (1) Cultures contain ephippia.
    (2) Adults in the cultures do not produce young before day 12.
    (3) More than 20 percent of the culture stock die in the 2 days 
preceding the test.
    (4) Adults in the culture do not produce an average of at least 3 
young per adult per day over the 7-day period prior to the test.
    (5) Daphnids have been used in any portion of a previous test either 
in a treatment or in a control.
    (iii) Feeding. (A) During the test the daphnids shall be fed the 
same diet and with the same frequency as that used for culturing and 
acclimation. All treatments and control(s) shall receive, as near as 
reasonably possible, the same ration of food on a per-animal basis.
    (B) The food concentration depends on the type used. Food 
concentrations should be sufficient to support normal growth and 
development and to allow for asexual (parthenogenic) reproduction. For 
automatic feeding devices, a suggested rate is 5 to 7 mg food (either 
solids or algal cells, dry weight) per liter dilution water or test 
solution. For manual once-a-day feeding, a suggested rate is 15 mg food 
(dry weight) per liter dilution water or test solution.
    (iv) Loading. The number of test organisms placed in a test chamber 
shall not affect test results. Loading shall not exceed 40 daphnids per 
liter in the renewal system. In the flow-through test, loading limits 
will vary depending on the flow rate of the dilution water. Loading 
shall not cause the dissolved oxygen concentration to fall below the 
recommended level.
    (v) Care and handling of test organisms. (A) Daphnids should be 
cultured in dilution water under similar environmental conditions to 
those used in the test. A variety of foods have been demonstrated to be 
adequate for daphnid

[[Page 113]]

culture. They include algae, yeasts and a variety of mixtures.
    (B) Organisms should be handled as little as possible. When handling 
is necessary it should be done as gently, carefully, and quickly as 
possible. During culturing and acclimation, daphnids should be observed 
carefully for ephippia and other signs of stress, physical damage, and 
mortality. Dead and abnormal individuals shall be discarded. Organisms 
that touch dry surfaces or are dropped or injured during handling shall 
be discarded.
    (C) Smooth glass tubes (I.D. greater than 5mm) equipped with a 
rubber bulb can be used for transferring daphnids with minimal culture 
media carry-over.
    (D) Care should be exercised to introduce the daphnids below the 
surface of any solution so as not to trap air under the carapace.
    (vi) Acclimation. (A) Brood daphnids shall be maintained in 100 
percent dilution water at the test temperature for at least 48 hours 
prior to the start of the test. This is easily accomplished by culturing 
them in dilution water at the test temperature. During acclimation, 
daphnids shall be fed the same food as will be used for the definitive 
test.
    (B) During culturing and acclimation to the dilution water, daphnids 
should be maintained in facilities with background colors and light 
intensities similar to those of the testing area.
    (2) Facilities--(i) General. (A) Facilities needed to perform this 
test include:
    (1) Containers for culturing and acclimating daphnids.
    (2) A mechanism for controlling and maintaining the water 
temperature during the culturing, acclimation and test periods.
    (3) Apparatus for straining particulate matter, removing gas 
bubbles, or aerating the water when water supplies contain particulate 
matter, gas bubbles, or insufficient dissolved oxygen, respectively.
    (4) An apparatus for providing a 16-hour light and 8-hour dark 
photoperiod.
    (5) An apparatus to introduce food if continuous or intermittent 
feeding is used.
    (6) In addition, the flow-through test shall contain appropriate 
test chambers in which to expose daphnids to the test substance and an 
appropriate test substance delivery system.
    (B) Facilities should be well ventilated and free of fumes and other 
disturbances that may affect the test organisms.
    (ii) Test chambers. (A) Materials and equipment that contact test 
solutions should be chosen to minimize sorption of test chemicals from 
the dilution water and should not contain substances that can be leached 
into aqueous solution in quantities that can affect test results.
    (B) For renewal tests, daphnids can be conveniently exposed to the 
test solution in 250 ml beakers or other suitable containers.
    (C) For flow-through tests daphnids can be exposed in glass or 
stainless steel containers with stainless steel or nylon screen bottoms. 
Such containers shall be suspended in the test chamber in such a manner 
to ensure that the test solution flows regularly into and out of the 
container and that the daphnids are always submerged in at least 5 
centimeters of test solution. Test chambers can be constructed using 250 
ml beakers or other suitable containers equipped with screened overflow 
holes, standpipes or V-shaped notches.
    (D) Test chambers shall be loosely covered to reduce the loss of 
test solution or dilution water due to evaporation and to minimize the 
entry of dust or other particulates into the solutions.
    (iii) Test substance delivery system. (A) In the flow-through test, 
proportional diluters, metering pump systems or other suitable systems 
should be used to deliver the test substance to the test chambers.
    (B) The test substance delivery system shall be calibrated before 
each test. Calibration includes determining the flow rate through each 
chamber and the concentration of the test substance in each chamber. The 
general operation of the test substance delivery system should be 
checked twice daily during a test. The 24-hour flow rate through a test 
chamber shall be equal to at least five times the volume

[[Page 114]]

of the test chamber. During a test, the flow rates shall not vary more 
than 10 percent from any one test chamber to another. For the renewal 
test, test substance dilution water shall be completely replaced at 
least once every 3 days.
    (iv) Dilution water. (A) Surface or ground water, reconstituted 
water, or dechlorinated tap water are acceptable as dilution water if 
daphnids will survive in it for the duration of the culturing, 
acclimation, and testing periods without showing signs of stress. The 
quality of the dilution water should be constant and should meet the 
following specificiations:

------------------------------------------------------------------------
                 Substance                      Maximum concentration
------------------------------------------------------------------------
Particulate matter.........................  20 mg/l.
Total organic carbon or....................  2 mg/l.
      Chemical oxygen demand...............  5 mg/l.
Un-ionized ammonia.........................  20 [micro]g/l.
Residual chlorine..........................  <3 [micro]g/l.
Total organophosphorus pesticides..........  50 ng/l.
Total organochlorine pesticides plus         50 ng/l.
 polychlorinated biphenyls (PCBs).
      or organic chlorine..................  25 ng/l.
------------------------------------------------------------------------

    (B) The water quality characteristics listed above shall be measured 
at least twice a year or when it is suspected that these characteristics 
may have changed significantly. If dechlorinated tap water is used, 
daily chlorine analysis shall be performed.
    (C) If the diluent water is from a ground or surface water source, 
conductivity and total organic carbon (TOC) or chemical oxygen demand 
(COD) shall be measured. Reconstituted water can be made by adding 
specific amounts of reagent-grade chemicals to deionized or distilled 
water. Glass distilled or carbon filtered deionized water with a 
conductivity of less than 1 microohm/cm is acceptable as the diluent for 
making reconstituted water.
    (D) If the test substance is not soluble in water an appropriate 
carrier should be used.
    (v) Cleaning of test system. All test equipment and test chambers 
shall be cleaned before each use following standard laboratory 
procedures. Cleaning of test chambers may be necessary during the 
testing period.
    (3) Test parameters. (i) Environmental conditions of the water 
contained in test chambers should be maintained as specified in this 
paragraph:
    (A) The test temperature shall be 20 [deg]C. Excursions from the 
test temperature shall be no greater than 2 
[deg]C.
    (B) Dissolved oxygen concentration between 60 and 105 percent 
saturation. Aeration, if needed to achieve this level, shall be done 
before the addition of the test substance. All treatment and control 
chambers shall be given the same aeration treatment.
    (C) Photoperiod of 16-hours light and 8-hours darkness.
    (ii) Additional measurements include:
    (A) The concentration of the test substance in the chambers shall be 
measured during the test.
    (B) At a minimum, the concentration of test substance should be 
measured as follows:
    (1) In each chamber before the test.
    (2) In each chamber on days 7, 14, and 21 of the test.
    (3) In at least one appropriate chamber whenever a malfunction is 
detected in any part of the test substance delivery system. Equal 
aliquots of test solution may be removed from each replicate chamber and 
pooled for analysis. Among replicate test chambers of a treatment 
concentration, the measured concentration of the test substance should 
not vary more than 20 percent.
    (4) An apparatus for providing a 16-hour light and 8-hour dark 
photoperiod.
    (C) The dissolved oxygen concentration, temperature and pH shall be 
measured at the beginning of the test and on days 7, 14, and 21 in at 
least two chambers of the high, middle, low, and control test 
concentrations.
    (e) Reporting. The sponsor shall submit to the U.S. Environmental 
Protection Agency all data developed by the test that are suggestive or 
predictive of chronic toxicity and all associated toxicologic 
manifestations. In addition to the reporting requirements prescribed in 
the part 792--Good Laboratory Practice Standards of this chapter the 
reporting of test data shall include the following:
    (1) The name of the test, sponsor, testing laboratory, study 
director, principal investigator, and dates of testing.

[[Page 115]]

    (2) A detailed description of the test substance including its 
source, lot number, composition (identity and concentration of major 
ingredients and major impurities), known physical and chemical 
properties, and any carriers or other additives used and their 
concentrations.
    (3) The source of the dilution water, its chemical characteristics 
(e.g., conductivity, hardness, pH), and a description of any 
pretreatment.
    (4) Detailed information about the daphnids used as brood stock, 
including the scientific name and method of verification, age, source, 
treatments, feeding history, acclimation procedures, and culture 
methods. The age of the daphnids used in the test shall be reported.
    (5) A description of the test chambers, the volume of solution in 
the chambers, the way the test was begun (e.g., conditioning, test 
substance additions), the number of test organisms per test chamber, the 
number of replicates per treatment, the lighting, the renewal process 
and schedule for the renewal chronic test, the test substance delivery 
system and flow rate expressed as volume additions per 24 hours for the 
flow-through chronic test, and the method of feeding (manual or 
continuous) and type of food.
    (6) The concentration of the test substance in test chambers at 
times designated for renewal and flow-through tests.
    (7) The number and percentage of organisms that show any adverse 
effect in each test chamber at each observation period.
    (8) The cumulative adult and offspring immobilization values and the 
progeny produced at designated observation times, the time (days) to 
first brood and the number of offspring per adult in the control 
replicates and in each treatment replicate.
    (9) All chemical analyses of water quality and test substance 
concentrations, including methods, method validations and reagent 
blanks.
    (10) The data records of the culture, acclimation, and test 
temperatures.
    (11) Any deviation from this test guideline, and anything unusual 
about the test, (e.g., dilution failure, temperature fluctuations).
    (12) The MATC to be reported is calculated as the geometric mean 
between the lowest measured test substance concentration that had a 
significant (p<=0.05) effect and the highest measured test substance 
concentration that had no significant (p<=0.05) effect on day 21 of the 
test. The most sensitive of the test criteria (number of adult animals 
immobilized, the number of young per female and the number of 
immobilized young per female) is used to calculate the MATC. The 
criterion selected for MATC computation is the one which exhibits an 
effect (a statistically significant difference between treatment and 
control groups; p<=0.05) at the lowest test substance concentration for 
the shortest period of exposure. Appropriate statistical tests (analysis 
of variance, mean separation test) shall be used to test for significant 
test substance effects. The statistical tests employed and the results 
of these tests shall be reported.
    (13) Concentration-response curves utilizing the average measured 
test substance concentration shall be fitted to cumulative adult 
immobilization data at 21 days. A statistical test of goodness-of-fit 
shall be performed and the results reported.
    (14) An EC50 value based on adult immobilization with 
corresponding 95 percent confidence limits when sufficient data are 
present for day 21. These calculations shall be made using the average 
measured concentration of the test substance.

[50 FR 39321, Sept. 27, 1985, as amended at 52 FR 19060, May 20, 1987]



Sec.  797.1400  Fish acute toxicity test.

    (a) Purpose. This guideline may be used to develop data on the acute 
toxicity of chemical substances and mixtures (``chemicals'') subject to 
environmental effects test regulations under the Toxic Substances 
Control Act (TSCA) (Pub. L. 94-469, 90 Stat. 2003, 15 U.S.C. 2601 et 
seq.). This guideline prescribes tests to be used to develop data on the 
acute toxicity of chemicals to fish. The United States Environmental 
Protection Agency (EPA) will use data from these tests in assessing the 
hazard of a chemical to the environment.
    (b) Definitions. The definitions in section 3 of the Toxic 
Substances Control

[[Page 116]]

Act (TSCA), and the definitions in part 792--Good Laboratory Practice 
Standards of this chapter apply to this test guideline. The following 
definitions also apply to this guideline:
    (1) Acclimation means the physiological compensation by test 
organisms to new environmental conditions (e.g., temperature, hardness, 
pH).
    (2) Acute toxicity test means a method used to determine the 
concentration of a substance that produces a toxic effect on a specified 
percentage of test organisms in a short period of time (e.g., 96 hours). 
In this guideline, death is used as the measure of toxicity.
    (3) Carrier means a solvent used to dissolve a test substance prior 
to delivery to the test chamber.
    (4) Conditioning means the exposure of construction materials, test 
chambers, and testing apparatus to dilution water or to test solutions 
prior to the start of a test in order to minimize the sorption of the 
test substance onto the test facilities or the leaching of substances 
from the test facilities into the dilution water or test solution.
    (5) Death means the lack of opercular movement by a test fish.
    (6) Flow-through means a continuous or an intermittent passage of 
test solution or dilution water through a test chamber, or a holding or 
acclimation tank with no recycling.
    (7) Incipient LC50 means that test substance 
concentration, calculated from experimentally-derived mortality data, 
that is lethal to 50 percent of a test population when exposure to the 
test substance is continued until the mean increase in mortality does 
not exceed 10 percent in any concentration over a 24-hour period.
    (8) LC50 means that test substance concentration, 
calculated from experimentally-derived mortality data, that is lethal to 
50 percent of a test population during continuous exposure over a 
specified period of time.
    (9) Loading means the ratio of fish biomass (grams, wet weight) to 
the volume (liters) of test solution in a test chamber or passing 
through it in a 24-hour period.
    (10) Static means the test solution is not renewed during the period 
of the test.
    (11) Test solution means the test substance and the dilution water 
in which the test substance is dissolved or suspended.
    (c) Test procedures--(1) Summary of the test. (i) Test chambers are 
filled with appropriate volumes of dilution water. If a flow-through 
test is performed, the flow of dilution water through each chamber is 
adjusted to the rate desired.
    (ii) The test substance is introduced into each test chamber. In a 
flow-through test, the amount of test substance which is added to the 
dilution water is adjusted to establish and maintain the desired 
concentration of test substance in each test chamber.
    (iii) Test fish which have been acclimated in accordance with the 
test design are introduced into the test and control chambers by 
stratified random assignment.
    (iv) Fish in the test and control chambers are observed periodically 
during the test; dead fish are removed at least twice each day and the 
findings are recorded.
    (v) The dissolved oxygen concentration, pH, temperature and the 
concentration of test substance are measured at intervals in selected 
test chambers.
    (vi) Concentration-response curves and LC50 values for 
the test substance are developed from the mortality data collected 
during the test.
    (2) [Reserved]
    (3) Range finding test. If the toxicity of the test substance is not 
already known, a range finding test should be performed to determine the 
range of concentrations to be used in the definitive test. The highest 
concentration of test substance for use in the range finding test should 
not exceed its solubility in water or the permissible amount of the 
carrier used.
    (4) Definitive test. (i) A minimum of 20 fish should be exposed to 
each of five or more test substance concentrations. The range of 
concentrations to which the fish are exposed should be such that in 96 
hours there are at least two partial mortality exposures bracketing 50 
percent survival.
    (ii) For exposure to each concentration of a test substance, an 
equal number of test fish shall be placed in two or more replicate test 
chambers. Test fish

[[Page 117]]

shall be impartially distributed among test chambers in such a manner 
that test results show no significant bias from the distributions.
    (iii) Every test shall include a control consisting of the same 
dilution water, conditions, procedures, and fish from the same group 
used in the test, except that none of the test substance is added.
    (iv) Mortality data collected during the test are used to calculate 
a 96-hour LC50. The 24-, 48-, and 72-hour values should be 
calculated whenever there is sufficient mortality data to determine such 
values. If the 96-hour LC50 is less than 50 percent of the 
estimated 48-hour LC50 in a flow-through test, the test shall 
be continued until the mean increase in mortality at any test 
concentration does not exceed 10 percent over a 24-hour period or until 
14 days.
    (v) Test fish shall not be fed while they are being exposed to the 
test substance under static conditions or during the first 96 hours of 
flow-through testing. If the test continues past 96 hours, the fish 
should be fed a suitable food at a maintenance level every other day 
beginning on test day 5. Any excess food and the fecal material should 
be removed when observed.
    (5) Test results. (i) Death is the primary criterion used in this 
test guideline to evaluate the toxicity of the test substance.
    (ii) In addition to death, any abnormal behavior such as, but not 
limited to, erratic swimming, loss of reflex, increased excitability, 
lethargy, or any changes in appearance or physiology such as 
discoloration, excessive mucous production, hyperventilation, opaque 
eyes, curved spine, or hemorrhaging shall be recorded.
    (iii) Observations on compound solubility shall be recorded. The 
investigator shall report the appearance of surface slicks, 
precipitates, or material adhering to the sides of the test chamber.
    (iv) Each test and control chamber shall be checked for dead fish 
and observations recorded at 24, 48, 72, and 96 hours after the 
beginning of the test or within one hour of the designated times. If the 
test is continued past 96 hours, additional observations shall be made 
every 24 hours until termination.
    (v) The mortality data is used to calculate LC50's and 
their 95 percent confidence limits, and to plot concentration-response 
curves for each time interval whenever sufficient data exists. The 
methods recommended for use in calculating LC50's include 
probit, logit, binomial, and moving average angle.
    (vi) A test is unacceptable if more than 10 percent of the control 
fish die or exhibit abnormal behavior during a 96-hour test. If a flow-
through test is continued past 96 hours, the maximum allowable 
additional mortality is 10 percent.
    (6) Analytical measurements--(i) Water quality analysis. (A) The 
hardness, acidity, alkalinity, pH, conductivity, TOC or COD, and 
particulate matter of the dilution water should be measured at the 
beginning of each static test and at the beginning and end of each flow-
through test. The month to month variation of the above values should be 
less than 10 percent and the pH should vary less than 0.4 units.
    (B) During static tests, the dissolved oxygen concentration, 
temperature, and pH shall be measured in each test chamber at the 
beginning and end of the test. The test solution volume shall not be 
reduced by more than 10 percent as a result of these measurements.
    (C) During flow-through tests, dissolved oxygen, temperature and pH 
measurements shall be made in each chamber at the beginning and end of 
the test.
    (ii) Collection of samples for measurement of test substance. Test 
solution samples to be analyzed for the test substance should be taken 
midway between the top, bottom, and sides of the test chamber. These 
samples should not include any surface scum or material dislodged from 
the bottom or sides. Samples should be analyzed immediately or handled 
and stored in a manner which minimizes loss of test substance through 
microbial degradation, photodegradation, chemical reaction, 
volatilization, or sorption.
    (iii) Measurement of test substance. (A) For static tests, the 
concentration of the test substance shall be measured at a minimum in 
each test chamber at each test concentration at the beginning (0-hour, 
before fish are added) and at the end of the test. During flow-

[[Page 118]]

through tests, the concentration of test substance shall be measured as 
follows:
    (1) In at least the chamber of each test concentration at 0-hour.
    (2) In at least the chamber of each test concentration at 96-hours 
and every 4 days thereafter, as long as the test is continued.
    (3) In at least one appropriate chamber whenever a malfunction is 
detected in any part of the test substance delivery system.
    (4) Equal aliquots of test solution may be removed from each 
replicate chamber and pooled for analysis.
    (B) Filters and their holders used for determining the dissolved 
test substance concentrations should be prewashed with several volumes 
of distilled water and undergo a final rinse with test solution. Glass 
or stainless steel filter holders are best for organic test substances, 
while plastic holders are best for metals. The sample should be filtered 
within 30 minutes after it is taken from the test chamber.
    (C) The analytical methods used to measure the amount of test 
substance in a sample shall be validated before beginning the test. The 
accuracy of a method should be verified by a method such as using known 
additions. This involves adding a known amount of the test substance to 
three water samples taken from a chamber containing dilution water and 
the same number and species of fish as are used in the test. The nominal 
concentration of the test substance in those samples should span the 
concentration range to be used in the test.
    (D) An analytical method is not acceptable if likely degradation 
products of the test substance give positive or negative interferences, 
unless it is shown that such degradation products are not present in the 
test chambers during the test.
    (E) In addition to analyzing samples of test solution, at least one 
reagent blank, containing all reagents used, should also be analyzed.
    (F) If the measured concentrations of dissolved test substance are 
considerably lower (e.g., <50 percent) than the nominal concentrations, 
the total test substance concentration should be measured in the highest 
test concentration.
    (G) Among replicate test chambers, the measured concentrations shall 
not vary more than 20 percent. The measured concentration of the test 
substance in any chamber during the test should not vary more than 30 
percent from the measured concentration at time 0.
    (H) The mean measured concentration of test substance shall be used 
to calculate all LC60's and to plot all concentration-
response curves.
    (d) Test conditions--(1) Test species--(i) Selection. The test 
species for this test are the rainbow trout (Salmo gairdneri), bluegill 
(Lepomis macrochirus) and fathead minnow (Pimephales promelas). The 
particular species of fish to be used will be prescribed in the test 
rule.
    (ii) Age and condition of fish. (A) Juvenile fish shall be used. 
Fish used in a particular test shall be the same age and be of normal 
size and appearance for their age. The longest fish shall not be more 
than twice the length of the shortest.
    (B) All newly acquired fish should be quarantined and observed for 
at least 14 days prior to use in a test.
    (C) Fish shall not be used for a test if they appear stressed or if 
more than five percent die during the 48 hours immediately prior to the 
test.
    (iii) Acclimation of test fish. (A) If the holding water is not from 
the same source as the test dilution water, acclimation to the dilution 
water should be done gradually over a 48-hour period. The fish should 
then be held an additional 14 days in the dilution water prior to 
testing. Any changes in water temperature should not exceed 3 [deg]C per 
day. Fish should be held for a minimum of 7 days at the test temperature 
prior to testing.
    (B) During the final 48-hours of acclimation, fish should be 
maintained in facilities with background colors and light intensities 
similar to those of the testing area and should not be fed.
    (2) Facilities--(i) General. Facilities needed to perform this test 
include:
    (A) Flow-through tanks for holding and acclimating fish.
    (B) A mechanism for controlling and maintaining the water 
temperature

[[Page 119]]

during the holding, acclimation and test periods.
    (C) Apparatus for straining particulate matter, removing gas 
bubbles, or insufficient dissolved oxygen, respectively.
    (D) Apparatus for providing a 16-hour light and 8-hour dark 
photoperiod with a 15- to 30-minute transition period.
    (E) Chambers for exposing test fish to the test substance.
    (F) A test substance delivery system for flow-through tests.
    (ii) Construction materials. Construction materials and commercially 
purchased equipment that may contact the stock solution, test solution, 
or dilution water should not contain substances that can be leached or 
dissolved into aqueous solutions in quantities that can alter the test 
results. Materials and equipment that contact stock or test solutions 
should be chosen to minimize sorption of test chemicals. Glass, 
stainless steel, and perfluorocarbon plastic should be used whenever 
possible. Concrete, fiberglass, or plastic (e.g., PVC) may be used for 
holding tanks, acclimation tanks, and water supply systems, but they 
should be used to remove rust particles. Rubber, copper, brass, 
galvanized metal, epoxy glues, and lead should not come in contact with 
the dilution water, stock solution, or test solution.
    (iii) Test substance delivery system. In flow-through tests, 
diluters, metering pump systems, or other suitable devices should be 
used to deliver the test substance to the test chambers. The system used 
should be calibrated before each test. Calibration includes determining 
the flow rate through each chamber and the concentration of the test 
substance delivered to each chamber. The general operation of the test 
substance delivery system should be checked twice daily during a test. 
The 24-hour flow rate through a test chamber should be a minimum of 6 
tank volumes. During a test, the flow rates should not vary more than 10 
percent from one test chamber to another.
    (iv) Test chambers. Test chambers made of stainless steel should be 
welded, not soldered. Test chambers made of glass should be fused or 
bonded using clear silicone adhesive. As little adhesive as possible 
should be left exposed in the interior of the chamber.
    (v) Cleaning of test system. Test substance delivery systems and 
test chambers should be cleaned before each test. They should be washed 
with detergent and then rinsed in sequence with clean water, pesticide-
free acetone, clean water, and 5 percent nitric acid, followed by two or 
more changes of dilution water.
    (vi) Dilution water. (A) Clean surface or ground water reconstituted 
water, or dechlorinated tap water is acceptable as dilution water if the 
test fish will survive in it for the duration of the holding, 
acclimating, and testing periods without showing signs of stress, such 
as discoloration, hemorrhaging, disorientation or other unusual 
behavior. The quality of the dilution water should be constant and 
should meet the following specifications measured at least twice a year:

------------------------------------------------------------------------
                 Substance                             Maximum
------------------------------------------------------------------------
Particulate matter........................  20 mg/liter.
Total organic carbon or...................  2 mg/liter.
      chemical oxygen demand..............  5 mg/liter.
Un-ionized ammonia........................  1 [micro]g/liter.
Residual chlorine.........................  1 [micro]g/liter.
Total organochloring pesticides...........  50 [micro]g/liter.
Total organocholorine pesticides plus       50 [micro]g/liter.
 polychlorinated biphenyls (PCBs).
      or organic chlorine.................  25 [micro]g/liter.
------------------------------------------------------------------------

    (B) The concentration of dissolved oxygen in the dilution water 
should be between 90 and 100 percent saturation; 9.8 to 10.9 mg/l for 
tests with trout, and 8.0 to 8.9 mg/l for tests with bluegill or fathead 
minnow at sea level. If necessary, the dilution water can be aerated 
before the addition of the test substance. All reconstituted water 
should be aerated before use. Buffered soft water should be aerated 
before but not after the addition of buffers.
    (C) If disease organisms are present in the dilution water in 
sufficient numbers to cause infection, they should be killed or removed 
by suitable equipment.
    (D) Glass distilled or carbon filtered deionized water with a 
conductivity less than 1 micromho/cm is acceptable for use in making 
reconstituted water. If the reconstituted water is prepared from a 
ground or surface water source, conductivity, and total organic carbon 
(TOC) or chemical oxygen demand

[[Page 120]]

(COD) should be measured on each batch.
    (vii) Carriers. (A) Distilled water should be used in making stock 
solutions of the test substance. If the stock volume however is more 
than 10 percent of the test solution volume, dilution water should be 
used. If a carrier is absolutely necessary to dissolve the test 
substance, the volume used should not exceed the minimum volume 
necessary to dissolve or suspend the test substance in the test 
solution. If the test substance is a mixture, formulation, or commercial 
product, none of the ingredients is considered a carrier unless an extra 
amount is used to prepare the stock solution.
    (B) Triethylene glycol and dimethyl formamide are the prefered 
carriers, but acetone may also be used. The concentration of triethylene 
glycol in the test solution should not exceed 80 mg/1. The concentration 
of dimethyl formamide or acetone in the test solution should not exceed 
5.0 mg/1.
    (3) Test parameters--(i) Loading. The number of fish placed in a 
test chamber should not be so great as to affect the results of the 
test. The loading should not be so great that the test substance 
concentrations are decreased by more than 20 percent due to uptake by 
the fish. In static tests, loading should not exceed 0.5 grams of fish 
per liter of solution in the test chamber at any one time. In flow-
through tests loading should not exceed 0.5 grams of fish per liter of 
test solution passing through the chamber in 24 hours. These loading 
rates should be sufficient to maintain the dissolved oxygen 
concentration above the recommended levels and the ammonia concentration 
below 20 [micro]g/l.
    (ii) Dissolved oxygen concentration. (A) During static tests with 
rainbow trout the dissolved oxygen in each test chamber shall be greater 
than 5.5 mg/1. In tests with bluegill and fathead minnows, the DO shall 
be maintained above 4.5 mg/1.
    (B) During flow-through tests the dissolved oxygen concentration 
shall be maintained above 8.2 mg/1 in tests with trout and above 6.6 mg/
l in tests with bluegills or fathead minnows.
    (iii) Temperature. The test temperature shall be 22 [deg]C for 
bluegill and fathead minnow and 12 [deg]C for rainbow trout. Excursions 
from the test temperature shall be no greater than 2 [deg]C. The temperature shall be measured at least 
hourly in one test chamber.
    (iv) Light. A 16-hour light and 8-hour dark photoperiod should be 
maintained.
    (e) Reporting. The sponsor shall submit to the EPA all data 
developed by the test that are suggestive or predictive of toxicity. In 
addition to the reporting requirements prescribed in part 792--Good 
Laboratory Practice Standards of this chapter, the reported test data 
shall include the following:
    (1) The source of the dilution water, a description of any 
pretreatment, and the measured hardness, acidity, alkalinity, pH, 
conductivity, TOC or COD and particulate matter.
    (2) A description of the test chambers, the depth and volume of 
solution in the chamber, the specific way the test was begun (e.g., 
conditioning, test substance additions), and for flow-through tests, a 
description of the test substance delivery system.
    (3) Detailed information about the test fish, including the 
scientific name and method of verification, average weight (grams, wet 
weight), standard length, age, source, history, observed diseases, 
treatments, and mortalities, acclimation procedures, and food used.
    (4) The number of replicates used, the number of organisms per 
replicate, the loading rate, and the flow rate for flow-through tests.
    (5) The measured DO, pH and temperature and the lighting regime.
    (6) The solvent used, the test substance concentration in the stock 
solution, the highest solvent concentration in the test solution and a 
description of the solubility determinations in water and solvents if 
used.
    (7) The concentrations of the test substance at each test 
concentration just before the start of the test and at all subsequent 
sampling periods.
    (8) The number of dead and live tests organisms, the percentage of 
organisms that died, and the number that showed any abnormal effects in 
the control and in each test chamber at each observation period.
    (9) The 96-hour LC50, and when sufficient data have been 
generated, the 24-, 48-, 72-, and incipient LC50 values,

[[Page 121]]

their 95 percent confidence limits, and the methods used to calculate 
the LC50 values and their confidence limits.
    (10) When observed, the observed no effect concentration (the 
highest concentration tested at which there were no mortalities or 
abnormal behavioral or physiological effects).
    (11) The concentration-response curve at each observation period for 
which a LC50 was calculated.
    (12) Methods and data records of all chemical analyses of water 
quality parameters and test substance concentrations, including method 
validations and reagent blanks.

[50 FR 39321, Sept. 27, 1985, as amended at 52 FR 19062, May 20, 1987; 
54 FR 29715, July 14, 1989; 54 FR 33148, Aug. 11, 1989]



Sec.  797.1600  Fish early life stage toxicity test.

    (a) Purpose. This guideline is intended to be used for assessing the 
propensity of chemical substances to produce adverse effects to fish 
during the early stages of their growth and development. This guideline 
describes the conditions and procedures for the continuous exposure of 
several representative species to a chemical substance during egg, fry 
and early juvenile life stages. The Environmental Protection Agency 
(EPA) will use data from this test in assessing the potential hazard of 
the test substance to the aquatic environment.
    (b) Definitions. The definitions in section 3 of the Toxic 
Substances Control Act (TSCA) and the definitions in part 792--Good 
Laboratory Practice Standards, apply to this section. In addition, the 
following definitions are applicable to this specific test guideline:
    (1) ``Acclimation'' physiological or behavioral adaptation of 
organisms to one or more environmental conditions associated with the 
test method (e.g., temperature, hardness, pH).
    (2) ``Carrier'' solvent or other agent used to dissolve or improve 
the solubility of the test substance in dilution water.
    (3) ``Conditioning'' exposure of construction materials, test 
chambers, and testing apparatus to dilution water or to the test 
solution prior to the start of the test in order to minimize the 
sorption of test substance onto the test facilities or the leachig of 
substances from test facilities into the dilution water or the test 
solution.
    (4) ``Control'' an exposure of test organisms to dilution water only 
or dilution water containing the test solvent or carrier (no toxic agent 
is intentionally or inadvertently added).
    (5) ``Dilution water'' the water used to produce the flow-through 
conditions of the test to which the test substance is added and to which 
the test species is exposed.
    (6) ``Early life stage toxicity test'' a test to determine the 
minimum concentration of a substance which produces a statistically 
significant observable effect on hatching, survival, development and/or 
growth of a fish species continuously exposed during the period of their 
early development.
    (7) ``Embryo cup'' a small glass jar or similar container with a 
screened bottom in which the embryos of some species (i.e., minnow) are 
placed during the incubation period and which is normally oscillated to 
ensure a flow of water through the cup.
    (8) ``Flow through'' refers to the continuous or very frequent 
passage of fresh test solution through a test chamber with no recycling.
    (9) ``Hardness'' the total concentration of the calcium and 
magnesium ions in water expressed as calcium carbonate (mg 
CaCO3/liter).
    (10) ``Loading'' the ratio of biomass (grams of fish, wet weight) to 
the volume (liters) of test solution passing through the test chamber 
during a specific interval (normally a 24-hr. period).
    (11) ``No observed effect concentration (NOEC)'' the highest tested 
concentration in an acceptable early life stage test: (i) which did not 
cause the occurrence of any specified adverse effect (statistically 
different from the control at the 95 percent level); and (ii) below 
which no tested concentration caused such an occurrence.
    (12) ``Observed effect concentration (OEC)'' the lowest tested 
concentration in an acceptable early life stage test: (i) Which caused 
the occurrence of any specified adverse effect (statistically different 
from the control at the 95 percent level); and (ii) above which all

[[Page 122]]

tested concentrations caused such an occurrence.
    (13) ``Replicate'' two or more duplicate tests, samples, organisms, 
concentrations, or exposure chambers.
    (14) ``Stock solution'' the source of the test solution prepared by 
dissolving the test substance in dilution water or a carrier which is 
then added to dilution water at a specified, selected concentration by 
means of the test substance delivery system.
    (15) ``Test chamber'' the individual containers in which test 
organisms are maintained during exposure to test solution.
    (16) ``Test solution'' dilution water with a test substance 
dissolved or suspended in it.
    (17) ``Test substance'' the specific form of a chemical substance or 
mixture that is used to develop data.
    (c) Test Procedures--(1) Summary of test. (i) The early life stage 
toxicity test with fish involves exposure of newly fertilized embryos to 
various concentrations of a test substance. Exposure continues for 28 
days post hatch for the minnows and 60 days post hatch for the trout 
species. During this time various observations and measurements are made 
in a specific manner and schedule in order to determine the lowest 
effect and highest no-effect concentrations of the test substance.
    (ii) A minimum of five exposure (treatment) concentrations of a test 
substance and one control are required to conduct an early life stage 
toxicity test. The concentration of the test substance in each treatment 
is usually 50 percent of that in the next higher treatment level.
    (iii) For each exposure concentration of the test substance and for 
each control (i.e., regular control and carrier control is required) 
there shall be:
    (A) At least two replicate test chambers, each containing one or 
more embryo incubation trays or cups; and there shall be no water 
connections between the replicate test chambers;
    (B) At least 60 embryos divided equally in such a manner that test 
results show no significant bias from the distributions, between the 
embryo incubation trays or cups for each test concentration and control 
(i.e., 30 per embryo cup with 2 replicates);
    (C) All surviving larvae divided equally between the test chambers 
for each test concentration and control (e.g., 30 larvae per test 
chamber with 2 replicates).
    (iv) Duration. (A) For fathead minnow and sheepshead minnow a test 
begins when the newly fertilized minnow embryos (less than 48-hours old) 
are placed in the embryo cups and are exposed to the test solution 
concentrations. The test terminates following 28 days of post-hatch 
exposure, i.e., 28 days after the newly hatched fry are transferred from 
the embryo cups into the test chambers.
    (B) For brook trout and rainbow trout a test begins when newly 
fertilized trout embryos (less than 96-hours old) are placed in the 
embryo trays or cups and are exposed to the test solution 
concentrations. The test terminates following 60 days of post-hatch 
exposure (for an approximate total exposure period of 90 days).
    (C) For silverside a test begins with newly fertilized embryos (less 
than or equal to 48 hours old) and is terminated 28 days after hatching. 
The chorionic fibrils should be cut before randomly placing the embryos 
in the egg incubation cups.
    (2) [Reserved]
    (3) Range-finding test. (i) A range finding test is normally 
performed with the test substance to determine the test concentrations 
to be used in the early life stage toxicity test, especially when the 
toxicity is unknown. It is recommended that the test substance 
concentrations be selected based on information gained from a 4- to 10-
day flow-through toxicity test with juveniles of the selected test 
species.
    (ii) The highest concentration selected for the early life stage 
toxicity test should approximate the lowest concentration indicated in 
any previous testing to cause a significant reduction in survival. The 
range of concentrations selected is expected to include both observed 
effect and no-observed effect levels. The dilution factor between 
concentrations is normally 0.50, however, other dilution factors may be 
used as necessary.
    (4) Definitive test--(i) General. (A) A test shall not be initiated 
until after the test conditions have been met and

[[Page 123]]

the test substance delivery system has been observed functioning 
properly for 48-hours. This includes temperature stability, flow 
requirements of dilution water, lighting requirements, and the function 
of strainers and air traps included in the water-supply system, and 
other conditions as specified previously.
    (B) New holding and test facilities should be tested with sensitive 
organisms (i.e., juvenile test species or daphnids) before use to assure 
that the facilities or substances possibly leaching from the equipment 
will not adversely affect the test organisms during an actual test.
    (C) Embryos should be acclimated for as long as practical to the 
test temperature and dilution water prior to the initiation of the test.
    (D) When embryos are received from an outside culture source (i.e., 
rainbow and brook trout) at a temperature at variance with the 
recommended test temperature they shall be acclimated to the test 
temperature. When eggs are received, they should be immediately unpacked 
and the temperature of the surrounding water determined. Sudden 
temperature changes should be avoided. Acclimation to the appropriate 
test temperature should be accomplished within a period of 6 hours, and 
should incorporate the use of dilution water.
    (E) Embryos should be visually inspected prior to placement in the 
embryo cups or screen trays. All dead embryos shall be discarded. Dead 
embryos can be discerned by a change in coloration from that of living 
embryos (e.g., trout embryos turn white when dead). During visual 
inspection, empty shells, opaque embryos, and embryos with fungus or 
partial shells attached shall be removed and discarded. If less than 50 
percent of the eggs to be used appear to be healthy, all embryos in such 
a lot shall be discarded.
    (ii) Embryo incubation procedures. (A) Embryos can be distributed to 
the embryo cups or screen trays using a pipette with a large bore or a 
similar apparatus. Newly-hatched silverside fry are very sensitive to 
handling; the egg incubation cups should not be handled at all the first 
5 days after hatching begins. Just before hatching is expected to begin, 
the embryos should be transferred to clean incubation cups. Trout 
embryos can be distributed by using a small container which has been 
precalibrated to determine the approximate number of embryos it can 
hold; embryos are measured volumetrically in this manner, and are then 
poured onto the screen tray (or embryo cup). Trout embryos should be 
separated on the screen tray so that they are not in contact with each 
other. A final count will ensure the actual number on the screen tray. 
After random assignment, the screen trays or embryo cups are placed in 
the test chambers.
    (B) Each day until hatch the embryos are visually examined. Minnow 
embryos may be examined with the aid of a magnifying viewer. Trout 
embryos should not be touched. Trout embryos should be maintained in low 
intensity light or in darkness until 1-week post hatch, and are usually 
examined with the aid of a flashlight or under low intensity light. Dead 
embryos should be removed and discarded. Any embryos which are heavily 
infected with fungus shall be discarded and shall be subtracted from the 
initial number of embryos used as a basis for the calculations of 
percentage hatch.
    (C) When embryos begin to hatch they should not be handled.
    (iii) Initiation of fry exposure. (A) Forty-eight hours after the 
first hatch in each treatment level, or when hatching is completed, the 
live young fish shall be counted and transferred from each embryo cup 
into the appropriate test chamber. For silverside, all surviving fry are 
not counted until six days after hatching and are not transferred to 
embryo cups. All of the normal and abnormal fry shall be gently released 
into the test chamber by allowing the fry to swim out of each embryo 
cup; nets shall not be used. The trout embryos incubated on screen trays 
will hatch out in the test chambers, therefore handling of fish is not 
necessary.
    (B) If necessary, fry can be transferred from one replicate embryo 
cup to the other replicate within a test concentration to achieve equal 
numbers in each replicate chamber.
    (C) The number of live fry, live normal fry, live embryos, dead 
embryos and unaccounted for embryos for each

[[Page 124]]

cup shall be recorded when hatching is deemed complete. Those fry which 
are visibly (without the use of a dissecting scope or magnifying viewer) 
lethargic or grossly abnormal (either in swimming behavior or physical 
appearance) shall be counted. Late hatching embryos shall be left in the 
embryo cups to determine if they will eventually hatch or not. The range 
of time-to-hatch (to the nearest day) for each cup shall be recorded.
    (iv) Time to first feeding. (A) The first feeding for the fathead 
and sheepshead minnow fry shall begin shortly after transfer of the fry 
from the embryo cups to the test chambers. Silversides are fed the first 
day after hatch. Trout species initiate feeding at swim-up. The trout 
fry shall be fed trout starter mash three times a day ad libitum, with 
excess food siphoned off daily. The minnow fry shall be fed live newly-
hatched brine shrimp nauplii (Artemia salina) at least three times a 
day.
    (B) For the first seven days, feeding shall be done at minimum 
intervals of four hours (i.e., 8 am, 12 noon, and 4 pm); thereafter the 
fry shall be fed as indicated below.
    (v) Feeding. (A) The fathead and sheepshead minnow fry shall be fed 
newly hatched brine shrimp nauplii for the duration of the test at 
approximately 4-hour intervals three times a day during the week and 
twice on the weekend after the first week. Trout fry shall be fed at 
similar intervals and may receive live brine shrimp nauplii in addition 
to the trout starter food after the first week. Between days 1 and 8 
after first hatching, silverside fry are fed the rotifer, Brachionus 
plicatilis, three times daily at a concentration of 5,000 to 10,000 
organisms per egg cup (based on 15 fish/cup). From days 9 to 11, the fry 
shall be fed approximately 2,500 newly hatched brine shrimp (Artemia) 
nauplii and 5,000 to 10,000 rotifers twice daily. For the remainder of 
the test, the fish will be fed brine shrimp exclusively. The number of 
organisms used should be gradually increased to approximately 5,000 
nauplii by test day 28.
    (B) An identical amount of food should be provided to each chamber. 
Fish should be fed ad libitum for 30 minutes with excess food siphoned 
off the bottom once daily if necessary.
    (C) Fish should not be fed for the last 24 hours prior to 
termination of the test.
    (vi) Carriers. Water should be used in making up the test stock 
solutions. If carriers other than water are absolutely necessary, the 
amount used should be the minimum necessary to achieve solution of the 
test substance. Triethylene glycol and dimethyl formamide are preferred, 
but ethanol and acetone can be used if necessary. Carrier concentrations 
selected should be kept constant at all treatment levels.
    (vii) Controls. Every test requires a control that consists of the 
same dilution water, conditions, procedures, and test organisms from the 
same group used in the other test chambers, except that none of the test 
substance is added. If a carrier (solvent) is used, a separate carrier 
control is required in addition to the regular control. The carrier 
control shall be identical to the regular control except that the 
highest amount of carrier present in any treatment is added to this 
control. If the test substance is a mixture, formulation, or commercial 
product, none of the ingredients is considered a carrier unless an extra 
amount is used to prepare the stock solution.
    (viii) Randomization. The location of all test chambers within the 
test system shall be randomized. A representative sample of the test 
embryos should be impartially distributed by adding to each cup or 
screen tray no more than 20 percent of the number of embryos to be 
placed in each cup or screen tray and repeating the process until each 
cup or screen tray contains the specified number of embryos. 
Alternatively, the embryos can be assigned by random assignment of a 
small group (e.g., 1 to 5) of embryos to each embryo cup or screen tray, 
followed by random assignment of a second group of equal number to each 
cup or tray, which is continued until the appropriate number of embryos 
are contained in each embryo cup or screen tray. The method of 
randomization used shall be reported.
    (ix) Observations. During the embryo exposure period observations 
shall be made to check for mortality. During

[[Page 125]]

the exposure period of the fry, observations shall be made to check for 
mortality and to note the physical appearance and behavior of the young 
fish. The biological responses are used in combination with physical and 
chemical data in evaluating the overall lethal and sublethal effects of 
the test substance. Additional information on the specific methodology 
for the data obtained during the test procedure are discussed in the 
following sections.
    (x) Biological data. (A) Death of embryos shall be recorded daily.
    (B) When hatching commences, daily records of the number of embryos 
remaining in each embryo cup are required. This information is necessary 
to quantify the hatching success. A record of all deformed larvae shall 
be kept throughout the entire post-hatch exposure. Time to swim-up shall 
be recorded for the trout. Upon transfer of fry from the embryo cups to 
the test chambers, daily counts of the number of live fish should be 
made. At a minimum, live fish shall be counted on days 4, 11, 18, 25 and 
(weekly thereafter for the trout species) finally on termination of the 
test.
    (C) The criteria for death of young fish is usually immobility, 
especially absence of respiratory movement, and lack of reaction to 
gentle prodding. Deaths should be recorded daily and dead fish removed 
when discovered.
    (D) Daily and at termination of the test, the number of fish that 
appear (without the use of a magnifying viewer) to be abnormal in 
behavior (e.g., swimming erratic or uncoordinated, obviously lethargic, 
hyperventilating, or over excited, etc.) or in physical appearance 
(e.g., hemorrhaging, producing excessive mucous, or are discolored, 
deformed, etc.) shall be recorded and reported in detail.
    (E) All physical abnormalities (e.g., stunted bodies, scoliosis, 
etc.) shall be photographed and the deformed fish which die, or are 
sacrificed at the termination of the test, shall be preserved for 
possible future pathological examination.
    (F) At termination, all surviving fish shall be measured for growth. 
Standard length measurements should be made directly with a caliper, but 
may be measured photographically. Measurements shall be made to the 
nearest millimeter (0.1 mm is desirable). Weight measurements shall also 
be made for each fish alive at termination (wet, blotted dry, and to the 
nearest 0.01 g for the minnows and 0.1 g for the trout). If the fish 
exposed to the toxicant appear to be edematous compared to control fish, 
determination of dry, rather than wet, weight is recommended.
    (G) Special physiological, biochemical and histological 
investigations on embryos, fry, and juveniles may be deemed appropriate 
and shall be performed on a case by case basis.
    (5) Test results. (i) Data from toxicity tests are usually either 
continuous (e.g. length or weight measurements) or dichotomous (e.g. 
number hatching or surviving) in nature. Several methods are available 
and acceptable for statistical analysis of data derived from early life 
stage toxicity tests; however, the actual statistical methodology to 
analyze and interpret the test results shall be reported in detail.
    (ii) The significance level for all statistical testing shall be a 
minimum of P=0.05 (95 percent confidence level).
    (A) Example of statistical analysis. (1) Mortality data for the 
embryonic stage, fry stage and for both stages in replicate exposure 
chambers should first be analyzed using a two-way analysis of variance 
(ANOVA) with interaction model. This analysis will determine if 
replicates are significantly different from each other. If a significant 
difference between replicates or a significant interaction exists, cause 
for the difference should be determined. Modification should then be 
made in the test apparatus or in handling procedures for future toxicity 
tests. Further calculations should incorporate the separation of 
replicates. If no significant difference is observed, replicates may be 
pooled in further analyses.
    (2) After consideration of replicate responses, mortality data 
should then be subjected to one-way ANOVA. The purpose of this analysis 
is to determine if a significant difference exists in the percentage 
mortality between control fish and those exposed to the test material.

[[Page 126]]

    (3) If the one-way ANOVA results in a F ratio that is significant, 
it would be acceptable to perform t-tests on the control versus each 
concentration. A second technique is to identify treatment means that 
are significantly different; this method should involve the additional 
assumption that the true mean response decreases generally with 
increasing concentration. The researcher may also be interested in 
determining significant differences between concentrations.
    (4) Growth data should also be analyzed by one-way ANOVA with the 
inclusion of a covariate to account for possible differences in growth 
of surviving fry in embryo cup(s) that contain fewer individuals. This 
condition can occur in cases when the same amount of food is given to 
each test chamber regardless of the number of survivors.
    (B) Test data to be analyzed. Data to be statistically analyzed are:
    (1) Percentage of healthy, fertile embryos at 40-48 hours after 
initiation of the test. Percentage is based upon initial number used.
    (2) Percentage of embryos that produce live fry for release into 
test chambers. Percentage is based on number of embryos remaining after 
thinning.
    (3) Percentage of embryos that produce live, normal fry for release 
into test chambers. Percentage is based upon number of embryos remaining 
after thinning.
    (4) Percentage of fry survival at swim-up for trout. Percentage is 
based upon number of embryos remaining after thinning.
    (5) Percentage of embryos that produce live fish at end of test. 
Percentage is based upon number of embryos remaining after thinning.
    (6) Percentage of embryos that produce live, normal fish at end of 
test. Percentage is based upon number of embryos remaining after 
thinning.
    (7) Weights and lengths of individual fish alive at the end of the 
test.
    (C) It is important that fish length and weight measurements be 
associated with individual test chambers since the density of the fish 
and available food should be considered in the growth of the organism.
    (iii) Acceptability criteria. (A) An early life stage toxicity test 
is not acceptable unless at least one of the following criteria is 
significantly different (p=0.05) from control organisms when compared 
with treated organisms, and the responses are concentration-dependent: 
mortality of embryos, hatching success, mortality of fry (at swim-up for 
trout), total mortality throughout the test, and growth (i.e. weight). 
If no significant effects occur, but the concentrations tested were the 
highest possible due to solubility or other physio-chemical limitations, 
the data will be considered for acceptance.
    (B) In addition to obtaining significant effects on the exposed test 
species, a measure of acceptability in the response of control fish is 
also required.
    (C) A test is not acceptable if the average survival of the control 
fish at the end of the test is less than 80 percent or if survival in 
any one control chamber is less than 70 percent. For silversides, a test 
is not acceptable if the average overall survival of the control embryos 
and fish at the end of the test is less than 60 percent.
    (D) If a carrier is used, the criteria for effect (mortality of 
embryos and fry, growth, etc.) used in the comparison of control and 
exposed test organisms shall also be applied to the control and control 
with carrier chambers. For the test to be considered acceptable, no 
significant difference shall exist between these criteria.
    (E) A test is not acceptable if the relative standard deviation 
(RSD=100 times the standard deviation divided by the mean) of the 
weights of the fish that were alive at the end of the test in any 
control test chamber is greater than 40 percent.
    (6) Analytical measurements--(i) Analysis of water quality. 
Measurement of certain dilution water quality parameters shall be 
performed every 6 months, to determine the consistency of the dilution 
water quality. In addition, if data in 30-day increments are not 
available to show that freshwater dilution water is constant, 
measurements of hardness, alkalinity, pH, acidity, conductivity, TOC or 
COD and particulate matter should be conducted once a week in the 
highest test substance concentration. Measurement of

[[Page 127]]

calcium, magnesium, sodium, potassium, chloride, and sulfate is 
desirable.
    (ii) Dissolved oxygen measurement. The dissolved oxygen 
concentration shall be measured in each test chamber at the beginning of 
the test and at least once weekly thereafter (as long as live organisms 
are present) in two replicates of the control and the high, medium, and 
low test substance concentrations.
    (iii) Temperature measurement. Temperatures shall be recorded in all 
test chambers at the beginning of the test, once weekly thereafter and 
at least hourly in one test chamber. When possible, the hourly 
measurement shall be alternated between test chambers and between 
replicates.
    (iv) Test substance measurement. (A) Prior to the addition of the 
test substance to the dilution water, it is recommended that the test 
substance stock solution be analyzed to verify the concentration. After 
addition of the test substance, the concentration of test substance 
should be measured at the beginning of the test in each test 
concentration and control(s), and at least once a week thereafter. Equal 
aliquots of test solution may be removed from each replicate chamber and 
pooled for analysis. If a malfunction in the delivery system is 
discovered, water samples shall be taken from the affected test chambers 
immediately and analyzed.
    (B) The measured concentration of test substance in any chamber 
should be no more than 30 percent higher or lower than the concentration 
calculated from the composition of the stock solution and the 
calibration of the test substance delivery system. If the difference is 
more than 30 percent, the concentration of test substance in the 
solution flowing into the exposure chamber (influent) should be 
analyzed. These results will indicate whether the problem is in the 
stock solution, the test substance delivery system or in the test 
chamber. Measurement of degradation products of the test substance is 
recommended if a reduction of the test substance concentration occurs in 
the test chamber.
    (v) Sampling and analysis methodology. (A) Generally, total test 
substance measurements are sufficient; however, the chemical 
characteristics of the test substance may require both dissolved and 
suspended test substance measurements.
    (B) For measurement of the test substance, water samples shall be 
taken midway between the top, bottom, and sides of the test chamber and 
should not include any surface scum or material stirred up from the 
bottom or sides. Samples of test solutions shall be handled and stored 
appropriately to minimize loss of test substance by microbial 
degradation, photodegradation, chemical reaction, volatilization, or 
sorption.
    (C) Chemical and physical analyses shall be performed using 
standardized methods whenever possible. The analytical method used to 
measure the concentration of the test substance in the test solution 
shall be validated before the beginning of the test. At a minimum, a 
measure of the accuracy of the method should be obtained on each of two 
separate days by using the method of known additions, and using dilution 
water from a tank containing test organisms. Three samples should be 
analyzed at the next-to-lowest test substance concentration. It is also 
desirable to study the accuracy and precision of the analytical method 
for test guideline determination by use of reference (split) samples, or 
interlaboratory studies, and by comparison with alternative, reference, 
or corroborative methods of analysis.
    (D) An analytical method is not acceptable if likely degradation 
products of the test substance, such as hydrolysis and oxidation 
products, give positive or negative interferences, unless it is shown 
that such degradation products are not present in the test chambers 
during the test. In general, atomic absorption spectrophotometric 
methods for metals and gas chromatographic methods for organic compounds 
are preferable to colorimetric methods.
    (E) In addition to analyzing samples of test solution, at least one 
reagent blank also should be analyzed when a reagent is used in the 
analysis. Also, at least one sample for the method of known additions 
should be prepared by adding test substance at the concentration used in 
the toxicity test.

[[Page 128]]

    (d) Test conditions--(1) Test species. (i) One or more of the 
recommended test species will be specified in rules under part 799 of 
this chapter requiring testing of specific chemicals. The recommended 
test species are:
    (A) Fathead minnow (Pimephales promelas Rafinesque).
    (B) Sheepshead minnow (Cyprinodon variegatus).
    (C) Brook trout (Salvelinus fontinalis).
    (D) Rainbow trout (Salmo gairdneri).
    (E) Atlantic silverside (Menidia menidia).
    (F) Tidewater silverside (Menidia peninsulae).
    (ii) Embryos used to initiate the early life stage test shall be 
less than 48 hours old for the fathead and sheepshead minnows, 
silversides, and less than 96 hours old for the brook trout and rainbow 
trout. In addition, the following requirements shall be met:
    (A) All embryos used in the test shall be from the same source. 
Embryos shall be obtained from a stock cultured in-house when possible, 
and maintained under the same parameters as specified for the test 
conditions. When it is necessary to obtain embryos from an external 
source, caution should be exercised to ensure embryo viability and to 
minimize the possibility of fungal growth. A description of the brood 
stock history or embryo source shall be made available to EPA upon 
request.
    (B) Test species shall be cared for and handled properly in order to 
avoid unnecessary stress. To maintain test species in good condition and 
to maximize growth, crowding shall be prevented, and the dissolved 
oxygen level shall be maintained near saturation.
    (C) Embryos and fish shall be handled as little as possible. Embryos 
shall be counted and periodically inspected until hatching begins. When 
larvae begin to hatch, they shall not be handled. Transfer of minnow 
larvae from embryo cups to test chambers shall not involve the use of 
nets. No handling is necessary following introduction into the test 
chambers until termination of the test.
    (D) If fathead minnow embryos are obtained from in-house culture 
units, the embryos should be gently removed from the spawning substrate. 
The method for separating the fertilized eggs from the substrate is 
important and can affect the viability of the embryos; therefore the 
finger-rolling procedure is recommended.
    (E) Disease treatment. Chemical treatments to cure or prevent 
diseases should not be used before, and should not be used during a 
test. All prior treatments of brood stock should be reported in detail. 
Severely diseased organisms should be destroyed.
    (2) Test facilities--(i) Construction materials. Construction 
materials and equipment that contact stock solutions, test solutions, or 
dilution water into which test embryos or fish are placed should not 
contain any substances that can be leached or dissolved into aqueous 
solutions in quantities that can affect test results. Materials and 
equipment that contact stock or test solutions should be chosen to 
minimize sorption of test chemicals from dilution water. Glass, 
316 stainless steel, nylon screen and perfluorocarbon plastic 
(e.g., Teflon) are acceptable materials. Concrete or rigid 
(unplasticized) plastic may be used for holding and acclimation tanks, 
and for water supply systems, but they should be thoroughly conditioned 
before use. If cast iron pipe is used in freshwater supply systems, 
colloidal iron may leach into the dilution water and strainers should be 
used to remove rust particles. Natural rubber, copper, brass, galvanized 
metal, epoxy glues, and flexible tubing should not come in contact with 
dilution water, stock solutions, or test solutions.
    (ii) Test chambers (exposure chambers). (A) Stainless steel test 
chambers should be welded or glued with silicone adhesive, and not 
soldered. Glass should be fused or bonded using clear silicone adhesive. 
Epoxy glues are not recommended, but if used ample curing time should be 
allowed prior to use. As little adhesive as possible should be in 
contact with the water.
    (B) Many different sizes of test chambers have been used 
successfully. The size, shape and depth of the test chamber is 
acceptable if the specified flow rate and loading requirements can be 
achieved.
    (C) The actual arrangement of the test chambers can be important to 
the statistical analysis of the test data.

[[Page 129]]

Test chambers can be arranged totally on one level (tier) side by side, 
or on two levels with each level having one of the replicate test 
substance concentrations or controls. Regardless of the arrangement, it 
shall be reported in detail and considered in the data analysis.
    (iii) Embryo incubation apparatus. (A) Recommended embryo incubation 
apparatus include embryo cups for the minnow species and screen trays 
for the trout species, although embryo cups can be used for the trout 
species. Embryo cups are normally constructed from approximately 4-5 cm 
inside diameter, 7-8 cm high, glass jars with the end cut off or similar 
sized sections of polyethylene tubing. One end of the jar or tubing is 
covered with stainless steel or nylon screen (approximately 40 meshes 
per inch is recommended). Embryo cups for silversides are normally 
constructed by using silicone adhesive to glue a 10-cm high, 363-um 
nylon mesh tube inside a 9-cm I.D. glass Petri dish bottom. The embryo 
cups shall be appropriately labeled and then suspended in the test 
chamber in such a manner as to ensure that the test solution regularly 
flows through the cup and that the embryos are always submerged but are 
not agitated too vigorously. Cups may be oscillated by a rocker arm 
apparatus with a low rpm motor (e.g., 2 rpm) to maintain the required 
flow of test water. The vertical-travel distance of the rocker arm 
apparatus during oscillation is normally 2.5-4.0 cm. The water level in 
the test chambers may also be varied by means of a self-starting siphon 
in order to ensure exchange of water in the embryo cups.
    (B) The trout embryo incubation trays can be made from stainless 
steel screen (or other acceptable material such as plastic) of about 3-4 
mm mesh. The screen tray should be supported above the bottom of the 
test chamber by two folds of screen or other devices which function as 
legs or supports. The edges of the screen tray should be turned up to 
prevent bump spills and to prevent the embryos from rolling off in the 
event of excessive turbulence. Suspending or supporting the screen tray 
off the bottom ensures adequate water circulation around the embryos and 
avoids contact of embryos with possible bottom debris.
    (iv) Test substance delivery system. (A) The choice of a specific 
delivery system depends upon the specific properties and requirements of 
the test substance. The apparatus used should accurately and precisely 
deliver the appropriate amount of stock solution and dilution water to 
the test chambers. The system selected shall be calibrated before each 
test. Calibration includes determining the flow rate through each 
chamber, and the proportion of stock solution to dilution water 
delivered to each chamber. The general operation of the test substance 
delivery system shall be checked at least twice daily for normal 
operation throughout the test. A minimum of five test substance 
concentrations and one control shall be used for each test.
    (B) The proportional diluter and modified proportional diluter 
systems and metering pump systems have proven suitable and have received 
extensive use.
    (C) Mixing chambers shall be used between the diluter and the test 
chamber(s). This may be a small container or flow-splitting chamber to 
promote mixing of test substance stock solution and dilution water, and 
is positioned between the diluter and the test chambers for each 
concentration. If a proportional diluter is used, separate delivery 
tubes shall run from the flow-splitting chamber to each replicate test 
chamber. Daily checks on this latter system shall be made.
    (D) Silverside fry are injured easily and are susceptible to 
impingement on the mesh of the incubation cups. Consequently, water flow 
into and out of the cups when counting fry must be at a slow rate. This 
can be accomplished by using small diameter (e.g., 2 mm I.D.) capillary 
tubes to drain the test solution from spitter boxes into the replicate 
test chambers. The use of a self-starting siphon to gradually lower 
(i.e., less than or equal to 1 min.) the water level approximately 2 cm 
in the test chamber is recommended. A minimum water depth of 5 cm should 
be maintained in the cups. Although it may be satisfactory, a rocker-arm 
type apparatus has not yet been used with silversides.

[[Page 130]]

    (v) Other equipment required. (A) An apparatus for removing 
undesirable organisms, particulate matter and air bubbles.
    (B) An apparatus for aerating water.
    (C) A suitable magnifying viewer for examination of minnow embryos.
    (D) A suitable apparatus for the precise measurement of growth of 
the fish, including both length (e.g., with metric or ruler caliper or 
photographic equipment) and weight.
    (E) Facilities for providing a continuous supply of live brine 
shrimp nauplii (Artemia salina).
    (F) For silversides, facilities for providing a supply of rotifers 
(Brachionus plicatilis) for approximately 11 days.
    (G) Facilities (or access to facilities) for performing the required 
water chemistry analyses.
    (vi) Cleaning of equipment. (A) Test substance delivery systems and 
test chambers should be cleaned before use. Test chambers should be 
cleaned during the test as needed to maintain the dissolved oxygen 
concentration, and to prevent clogging of the embryo cup screens and 
narrow flow passages.
    (B) Debris can be removed with a rubber bulb and large pipette or by 
siphoning with a glass tube attached to a flexible hose. Debris should 
be run into a bucket light enough to observe that no live fish are 
accidentally discarded.
    (vii) Dilution water--(A) General. (1) A constant supply of 
acceptable dilution water should be available for use throughout the 
test. Dilution water shall be of a minimum quality such that the test 
species selected will survive in it for the duration of testing without 
showing signs of stress (e.g., loss of pigmentation, disorientation, 
poor response to external stimuli, excessive mucous secretion, lethargy, 
lack of feeding, or other unusual behavior). A better criterion for an 
acceptable dilution water for tests on early life stages should be such 
that the species selected for testing will survive, grow, and reproduce 
satisfactorily in it.
    (2) The concentration of dissolved oxygen in the dilution water 
(fresh or salt) shall be between 90 percent and 100 percent saturation. 
When necessary, dilution water should be aerated by means of airstones, 
surface aerators, or screen tubes before the introduction of the test 
substance.
    (3) Water that is contaminated with undesirable microoganisms (e.g., 
fish pathogens) shall not be used. If such contamination is suspected, 
the water should be passed through a properly maintained ultraviolet 
sterilizer equipped with an intensity meter before use. Efficacy of the 
sterilizer can be determined by using standard plate count methods.
    (B) Freshwater. (1) Natural water (clean surface or ground water) is 
preferred, however, dechlorinated tap water may be used as a last 
resort. Reconstituted freshwater is not recommended as a practical 
dilution water for the early life stage toxicity test because of the 
large volume of water required.
    (2) Particulate and dissolved substance concentrations should be 
measured at least twice a year and should meet the following 
specifications:

------------------------------------------------------------------------
                Substance                      Concentration maximum
------------------------------------------------------------------------
Particulate matter.......................  <20 mg/liter.
Total organic carbon (TOC)...............  <2 mg/liter.
Chemical oxygen demand (COD).............  <5 mg/liter.
Un-ionized ammonia.......................  <1 [micro]g/liter.
Residual chlorine........................  <1 [micro]g/liter.
Total organoposphorus pesticides.........  <50 ng/liter.
Total organochlorine pesticides plus       <50 ng/liter.
 polychlorinated biphenyls (PCBs).
Total organic chlorine...................  <25 ng/liter.
------------------------------------------------------------------------

    (3) During any one month, freshwater dilution water should not vary 
more than 10 percent from the respective monthly averages of hardness, 
alkalinity and specific conductance; the monthly pH range should be less 
than 0.4 pH units.
    (C) Saltwater. (1) Marine dilution water is considered to be of 
constant quality if the minimum salinity is greater than 15\0\/
00 and the weekly range of the salinity is less than 15\0\/
00. The monthly range of pH shall be less than 0.8 pH units. 
Saltwater shall be filtered to remove larval predators. A pore size of 
<=20 micrometers ([micro]m) is recommended. For silversides, the 
recommended salinity is 20 ppt and shall be maintained between 15 and 25 
ppt throughout testing.
    (2) Artificial sea salts may be added to natural seawater during 
periods of

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low salinity to maintain salinity above 15\0\/00.
    (3) Test parameters--(i) Dissolved oxygen concentration. It is 
recommended that the dissolved oxygen concentration be maintained 
between 90 and 100 percent saturation; but it shall be no less than 75 
percent saturation at all times for both minnow species and between 90 
and 100 percent saturation for the trout species in all test chambers. 
Dilution water in the head box may be aerated, but the test solution 
itself shall not be aerated.
    (ii) Loading and flow rate. (A) The loading in test chambers should 
not exceed 0.1 grams of fish per liter of test solution passing through 
the test chamber in 24 hours. The flow rate to each chamber should be a 
minimum of 6 tank volumes per 24 hours. During a test, the flow rates 
should not vary more than 10 percent from any one test chamber to any 
other.
    (B) A lower loading or higher flow rate or both shall be used if 
necessary to meet the following three criteria at all times during the 
test in each chamber containing live test organisms:
    (1) The concentration of dissolved oxygen shall not fall below 75 
percent saturation for the fathead and sheepshead minnows and 90 percent 
for the rainbow and brook trout;
    (2) The concentration of un-ionized ammonia should not exceed 1 
[micro]g/1; and
    (3) The concentration of toxicant should not be lowered (i.e., 
caused by uptake by the test organisms and/or materials on the sides and 
bottoms of the chambers) more than 20 percent of the mean measured 
concentration.
    (iii) Temperature. (A) The recommended test temperatures are:
    (1) Fathead minnow--25 [deg]C for all life stages.
    (2) Sheepshead minnow--30 [deg]C for all life stages.
    (3) Rainbow and brook trout--10 [deg]C for embryos. 12 [deg]C for 
fry and alevins.
    (4) Atlantic and tidewater silversides--25 [deg]C for all life 
stages.
    (B) Excursions from the test temperature shall be no greater than 
2.0[deg]C. It is recommended that the test system 
be equipped with an automatic alarm system to alert staff of 
instantaneous temperature changes in excess of 2 [deg]C. If the water is 
heated (i.e., for minnow species), precautions should be taken to ensure 
that supersaturation of dissolved gases is avoided. Temperatures shall 
be recorded in all test chambers at the beginning of the test and weekly 
thereafter. The temperature shall be recorded at least hourly in one 
test chamber throughout the test.
    (iv) Light. (A) Brook and rainbow trout embryos shall be maintained 
in darkness or very low light intensity through one week post-hatch, at 
which time a 14-hour light and 10-hour dark photoperiod shall be 
provided.
    (B) For fathead and sheepshead minnows, a 16-hour light and 8-hour 
dark (or 12:12) photoperiod shall be used throughout the test period.
    (C) For silversides, a 14-hour light and 10-hour dark photoperiod 
shall be used throughout the test period.
    (D) A 15-minute to 30-minute transition period between light and 
dark is optional.
    (E) Light intensities ranging from 30 to 100 lumens at the water 
surface shall be provided; the intensity selected should be duplicated 
as closely as possible for all test chambers.
    (e) Reporting. A report of the results of an early life stage 
toxicity test shall include the following:
    (1) Name of test, sponsor, investigator, laboratory, and dates of 
test duration.
    (2) Detailed description of the test substance including its source, 
lot number, composition (identity and concentration of major ingredients 
and major impurities), known physical and chemical properties, and any 
carriers (solvents) or other additives used.
    (3) The source of the dilution water, its chemical characteristics, 
and a description of any pretreatment.
    (4) Detailed information about the test organisms including 
scientific name and how verified and source history, observed diseases, 
treatments, acclimation procedure, and concentration of any contaminants 
and the method of measurement.
    (5) A description of the experimental design and the test chambers, 
the depth and volume of the solution in the chambers, the way the test 
was begun, the number of organisms per treatment, the number of 
replicates, the

[[Page 132]]

loading, the lighting, a description of the test substance delivery 
system, and the flow rate as volume additions per 24 hours.
    (6) Detailed information on feeding of fish during the toxicity 
test, including type of food used, its source, feeding frequency and 
results of analysis (i.e., concentrations) for contaminants.
    (7) Number of embryos hatched, number of healthy embryos, time to 
hatch, mortality of embryos and fry, measurements of growth (weight and 
length), incidence of pathological or histological effects and 
observations of other effects or clinical signs, number of healthy fish 
at end of test.
    (8) Number of organisms that died or showed an effect in the control 
and the results of analysis for concentration(s) of any contaminant in 
the control(s) should mortality occur.
    (9) Methods used for, and the results of (with standard deviation), 
all chemical analyses of water quality and test substance concentration, 
including validation studies and reagent blanks; the average and range 
of the test temperature(s).
    (10) Anything unusual about the test, any deviation from these 
procedures, and any other relevant information.
    (11) A description of any abnormal effects and the number of fish 
which were affected during each period between observations in each 
chamber, and the average concentration of test substance in each test 
chamber.
    (12) Reference to the raw data location.

[50 FR 39321, Sept. 27, 1985, as amended at 52 FR 19064, May 20, 1987]



Sec.  797.1930  Mysid shrimp acute toxicity test.

    (a) Purpose. This guideline is intended for use in developing data 
on the acute toxicity of chemical substances and mixtures 
(``chemicals'') subject to environmental effects test regulations under 
the Toxic Substances Control Act (TSCA) (Pub. L. 94-469, 90 Stat. 2003, 
15 U.S.C. 2601 et seq.). This guideline prescribes a test using mysid 
shrimp as test organisms to develop data on the acute toxicity of 
chemicals. The United States Environmental Protection Agency (EPA) will 
use data from these tests in assessing the hazard of a chemical to the 
aquatic environment.
    (b) Definitions. The definitions in section 3 of the Toxic 
Substances Control Act (TSCA) and in part 792--Good Laboratory Practice 
Standards of this chapter, apply to this test guideline. The following 
definitions also apply to this guideline.
    (1) ``Death'' means the lack of reaction of a test organism to 
gentle prodding.
    (2) ``Flow-through'' means a continuous or an intermittent passage 
of test solution or dilution water through a test chamber or a holding 
or acclimation tank, with no recycling.
    (3) ``LC50'' means that experimentally derived 
concentration of test substance that is calculated to kill 50 percent of 
a test population during continuous exposure over a specified period of 
time.
    (4) ``Loading'' means the ratio of test organisms biomass (grams, 
wet weight) to the volume (liters) of test solution in a test chamber.
    (5) ``Retention chamber'' means a structure within a flow-through 
test chamber which confines the test organisms, facilitating observation 
of test organisms and eliminating loss of organisms in outflow water.
    (6) ``Static system'' means a test chamber in which the test 
solution is not renewed during the period of the test.
    (c) Test procedures--(1) Summary of the test. In preparation for the 
test, test chambers are filled with appropriate volumes of dilution 
water. If a flow-through test is performed, the flow of dilution water 
through each chamber is adjusted to the rate desired. The test substance 
is introduced into each test chamber. In a flow-through test, the rate 
at which the test substance is added is adjusted to establish and 
maintain the desired concentration of test substance in each test 
chamber. The test is started by randomly introducing mysids acclimated 
in accordance with the test design into the test chambers. Mysids in the 
test chambers are observed periodically during the test, the dead mysids 
removed and the findings recorded. Dissolved oxygen

[[Page 133]]

concentration, pH, temperature, salinity, the concentration of test 
substance, and other water quality characteristics are measured at 
specified intervals in test chambers. Data collected during the test are 
used to develop concentration-response curves and LC50 values 
for the test substance.
    (2) [Reserved]
    (3) Range-finding test. (i) A range-finding test should be conducted 
to determine:
    (A) Which life stage (juvenile or young adult) is to be utilized in 
the definitive test.
    (B) The test solution concentrations for the definitive test.
    (ii) The mysids should be exposed to a series of widely spaced 
concentrations of test substance (e.g., 1, 10, 100 mg/l, etc.), usually 
under static conditions.
    (iii) This test should be conducted with both newly hatched juvenile 
(< 24 hours old) and young adult (5 to 6 days old) mysids. For each age 
class (juvenile or young adult), a minimum of 10 mysids should be 
exposed to each concentration of test substance for up to 96 hours. The 
exposure period may be shortened if data suitable for the purpose of the 
range-finding test can be obtained in less time. The age class which is 
most sensitive to the test substance in the range-finding test shall be 
utilized in the definitive test. When no apparent difference in 
sensitivity of the two life stages is found, juveniles shall be utilized 
in the definitive test. No replicates are required, and nominal 
concentrations of the chemical are acceptable.
    (4) Definitive test. (i) The purpose of the definitive test is to 
determine the concentration-response curves and the 48- and 96-hour 
LC50 values with the minimum amount of testing beyond the 
range-finding test.
    (ii) The definitive test shall be conducted on the mysid life stage 
(juveniles or young adults) which is most sensitive to the test 
substance being evaluated.
    (iii) A minimum of 20 mysids per concentration shall be exposed to 
five or more concentrations of the chemical chosen in a geometric series 
in which the ratio is between 1.5 and 2.0 (e.g., 2, 4, 8, 16, 32, and 64 
mg/l). An equal number of mysids shall be placed in two or more 
replicates. If solvents, solubilizing agents or emulsifiers have to be 
used, they shall be commonly used carriers and shall not possess a 
synergistic or antagonistic effect on the toxicity of the test 
substance. The concentration of solvent shall not exceed 0.1 ml/1. The 
concentration ranges shall be selected to determine the concentration-
response curves and LC50 values at 48 and 96 hours.
    (iv) Every test shall include controls consisting of the same 
dilution water, conditions, procedures, and mysids from the same 
population or culture container, except that none of the chemical is 
added.
    (v) The dissolved oxygen concentration temperature, salinity, and pH 
shall be measured at the beginning and end of the test in each chamber.
    (vi) The test duration is 96 hours. The test is unacceptable if more 
than 10 percent of the control organisms die or exhibit abnormal 
behavior during the 96 hour test period. Each test chamber should be 
checked for dead mysids at 24, 48, 72, and 96 hours after the beginning 
of the test. Concentration-response curves and 24-, 48-, 72- and 96-hour 
LC50 values should be determined along with their 95 percent 
confidence limits.
    (vii) In addition to death, any abnormal behavior or appearance 
shall also be reported.
    (viii) Test organisms shall be impartially distributed among test 
chambers in such a manner that test results show no significant bias 
from the distributions. In addition, test chambers within the testing 
area shall be positioned in a random manner or in a way in which 
appropriated statistical analyses can be used to determine the variation 
due to placement.
    (ix) The concentration of the test substance in the chambers should 
be measured as often as is feasible during the test. At a minimum, 
during static tests the concentration of test substance shall be 
measured at each concentration at the beginning and at the end of the 
test. During the flow-through test, the concentration of test substance 
should be measured at the beginning and end of the test and in at

[[Page 134]]

least one appropriate chamber whenever a malfunction is detected in any 
part of the test substance delivery system. Equal aliquots of test 
solution may be removed from each replicate chamber and pooled for 
analysis. Among replicate test chambers of a treatment concentration, 
the measured concentration of the test substance should not vary more 
than 20 percent.
    (5) [Reserved]
    (6) Analytical measurements--(i) Test chemical. Deionized water 
should be used in making stock solutions of the test substance. Standard 
analytical methods should be used whenever available in performing the 
analyses. The analytical method used to measure the amount of test 
substance in a sample shall be validated before beginning the test by 
appropriate laboratory practices. An analytical method is not acceptable 
if likely degradation products of the test substance, such as hydrolysis 
and oxidation products, give positive or negative interferences which 
cannot be systematically identified and corrected mathematically.
    (ii) Numerical. The number of dead mysids shall be counted during 
each definitive test. Appropriate statistical analyses should provide a 
goodness-of-fit determination for the concentration-response curves. A 
48- and 96-hour LC50 and corresponding 95 percent interval 
shall be calculated.
    (d) Test conditions--(1) Test species--(i) Selection. (A) The mysid 
shrimp, Mysidopsis bahia, is the organism specified for these tests. 
Either juvenile (<24 hours old) or young adult (5 to 6 days old) mysids 
are to be used to start the test.
    (B) Mysids to be used in chronic toxicity tests should originate 
from laboratory cultures in order to ensure the individuals are of 
similar age and experimental history. Mysids used for establishing 
laboratory cultures may be purchased commercially or collected from 
appropriate natural areas. Because of similarities with other mysids 
species, taxonomic verification should be obtained from the commercial 
supplier by experienced laboratory personnel or by an outside expert.
    (C) Mysids used in a particular test shall be of similar age and be 
of normal size and appearance for their age. Mysids shall not be used 
for a test if they exhibit abnormal behavior or if they have been used 
in a previous test, either in a treatment or in a control group.
    (ii) Acclimation. (A) Any change in the temperature and chemistry of 
the dilution water used for holding or culturing the test organisms to 
those of the test shall be gradual. Within a 24-hour period, changes in 
water temperature shall not exceed 1 [deg]C, while salinity changes 
shall not exceed 5 percent.
    (B) During acclimation mysids should be maintained in facilities 
with background colors and light intensities similar to those of the 
testing areas.
    (iii) Care and handling. Methods for the care and handling of mysids 
such as those described in paragraph (f)(1) of this section can be used 
during holding, culturing and testing periods.
    (iv) Feeding. Mysids should be fed during testing. Any food utilized 
should support survival, growth and reproduction of the mysids. A 
recommended food is live Artemia spp. (48-hour-old nauplii).
    (2) Facilities--(i) Apparatus. (A) Facilities which may be needed to 
perform this test include: (1) flow-through or recirculating tanks for 
holding and acclimating mysids; (2) a mechanism for controlling and 
maintaining the water temperature during the holding, acclimation and 
test periods; (3) apparatus for straining particulate matter, removing 
gas bubbles, or aerating the water, as necessary; and (4) an apparatus 
for providing a 14-hour light and 10-hour dark photoperiod with a 15 to 
30 minute transition period. In addition, for flow-through tests, flow-
through chambers and a test substance delivery system are required. 
Furthermore, it is recommended that mysids be held in retention chambers 
within test chambers to facilitate observations and eliminate loss of 
test organisms through outflow water. For static tests, suitable 
chambers for exposing test mysids to the test substance are required. 
Facilities should be well ventilated and free of fumes and disturbances 
that may affect the test organisms.

[[Page 135]]

    (B) Test chambers shall be loosely covered to reduce the loss of 
test solution or dilution water due to evaporation and to minimize the 
entry of dust or other particulates into the solutions.
    (ii) Cleaning. Test substance delivery systems and test chambers 
shall be cleaned before each test following standard laboratory 
practices.
    (iii) Construction materials. (A) Materials and equipment that 
contact test solutions should be chosen to minimize sorption of test 
chemicals from dilution water and should not contain substances that can 
be leached into aqueous solution in quantities that can affect test 
results.
    (B) For use in the flow-through test, retention chambers utilized 
for confinement of test organisms can be constructed with netting 
material of appropriate mesh size.
    (iv) Dilution water. (A) Natural or artificial seawater is 
acceptable as dilution water if mysids will survive and successfully 
reproduce in it for the duration of the holding, acclimating and testing 
periods without showing signs of stress, such as reduced growth and 
fecundity. Mysids shall be cultured and tested in dilution water from 
the same origin.
    (B) Natural seawater shall be filtered through a filter with a pore 
size of <20 microns prior to use in a test.
    (C) Artificial seawater can be prepared by adding commercially 
available formulations or by adding specific amounts of reagent-grade 
chemicals to deionized water. Deionized water with a conductivity less 
than 1 [micro]ohm/cm at 12 [deg]C is acceptable for making artificial 
seawater. When deionized water is prepared from a ground or surface 
water source, conductivity and total organic carbon (or chemical oxygen 
demand) shall be measured on each batch.
    (v) Test substance delivery system. In flow-through tests, 
proportional diluters, metering pumps, or other suitable systems should 
be used to deliver test substance to the test chambers. The system used 
shall be calibrated before each test. Calibration includes determining 
the flow rate through each chamber and the concentration of the test 
substance in each chamber. The general operation of the test substance 
delivery system should be checked twice daily during a test. The 24-hour 
flow through a test chamber shall be equal to at least 5 times the 
volume of the test chamber. During a test, the flow rates should not 
vary more than 10 percent among test chambers or across time.
    (3) Test parameters. Environmental parameters of the water contained 
in test chambers shall be maintained as specified below:
    (i) The test temperature shall be 25[deg]C. Excursions from the test 
temperature shall be not greater than 2[deg]C.
    (ii) Dissolved oxygen concentration between 60 and 105 percent 
saturation. Aeration, if needed to achieve this level, shall be done 
before the addition of the test substance. All treatment and control 
chambers shall be given the same aeration treatment.
    (iii) The number of mysids placed in a test solution shall not be so 
great as to affect results of the test. Loading shall not exceed 30 
mysids per liter for a static test. Loading requirements for the flow-
through test will vary depending on the flow rate of dilution water. The 
loading shall not cause the dissolved oxygen concentration to fall below 
the recommended levels.
    (iv) Photoperiod of 14 hours light and 10 hours darkness, with a 15 
to 30 minute transition period.
    (v) Salinity of 20 parts per thousand 3 
percent.
    (e) Reporting. The sponsor shall submit to the EPA all data 
developed during the test that are suggestive or predictive of acute 
toxicity and all concomitant toxicologic manifestations. In addition to 
the general reporting requirements prescribed in part 792--Good 
Laboratory Practice Standards of this chapter, the reporting of test 
data shall include the following:
    (1) The source of the dilution water, its chemical characteristics 
(e.g., salinity, pH, etc.) and a description of any pretreatment.
    (2) Detailed information about the test organisms, including the 
scientific name and method of verification, age, source, history, 
abnormal behavior, acclimation procedures and food used.
    (3) A description of the test chambers, the depth and volume of 
solution in the chamber, the way the test was

[[Page 136]]

begun (e.g., conditioning, test substance additions, etc.), the number 
of organisms per treatment, the number of replicates, the loading, the 
lighting, the test substance delivery system and the flow rate expressed 
as volume additions per 24 hours.
    (4) The measured concentration of test substance in test chambers at 
the times designated.
    (5) The number and percentage of organisms that died or showed any 
other adverse effects in the control and in each treatment at each 
observation period.
    (6) Concentration-response curves shall be fitted to mortality data 
collected at 24, 48, 72, and 96 hours. A statistical test of goodness-
of-fit shall be performed and the results reported.
    (7) The 96-hour LC50 and when sufficient data have been 
generated, the 24-, 48-, and 72-hour LC50's and the 
corresponding 95-percent confidence limits and the methods used to 
calculate the values. These calculations shall be made using the average 
measured concentration of the test substance.
    (8) Methods and data records of all chemical analyses of water 
quality and test substance concentrations, including method validations 
and reagent blanks.
    (9) The data records of the holding, acclimation and test 
temperature and salinity.
    (f) References. For additional background information on this test 
guideline the following references should be consulted:
    (1) U.S. Environmental Protection Agency, ``Bioassay Procedures for 
the Ocean Disposal Permit Program,'' EPA Report No. 600-9-78-010 (Gulf 
Breeze, Florida, 1978).
    (2) [Reserved]

[50 FR 39321, Sept. 27, 1985, as amended at 52 FR 19068, May 20, 1987; 
52 FR 26150, July 13, 1987]



Sec.  797.1950  Mysid shrimp chronic toxicity test.

    (a) Purpose. This guideline is intended for use in developing data 
on the chronic toxicity of chemical substances and mixtures 
(``chemicals'') subject to environmental effects test regulations under 
the Toxic Substances Control Act (TSCA) (Pub. L. 94-469, 90 Stat. 2003, 
15 U.S.C. 2601 et seq.). This guideline prescribes tests using mysids as 
test organisms to develop data on the chronic toxicity of chemicals. The 
United States Environmental Protection Agency (EPA) will use data from 
these tests in assessing the hazard of a chemical to the aquatic 
environment.
    (b) Definitions. The definitions in section 3 of the Toxic 
Substances Control Act (TSCA) and in part 792--Good Laboratory Practice 
Standards of this chapter apply to this test guideline. The following 
definitions also apply to this guideline:
    (1) ``Chronic toxicity test'' means a method used to determine the 
concentration of a substance that produces an adverse effect from 
prolonged exposure of an organism to that substance. In this test, 
mortality, number of young per female and growth are used as measures of 
chronic toxicity.
    (2) ``Death'' means the lack of reaction of a test organism to 
gentle prodding.
    (3) ``Flow-through'' means a continuous or an intermittent passage 
of test solution or dilution water through a test chamber or a holding 
or acclimation tank, with no recycling.
    (4) ``G1 (Generation 1)'' means those mysids which are used to begin 
the test, also referred to as adults; G2 (Generation 2) are the young 
produced by G1.
    (5) ``LC50'' means that experimentally derived 
concentration of test substance that is calculated to kill 50 percent of 
a test population during continuous exposure over a specified period of 
time.
    (6) ``Loading'' means the ratio of test organism biomass (gram, wet 
weight) to the volume (liters) of test solution in a test chamber.
    (7) ``MATC'' (Maximum Acceptable Toxicant Concentration) means the 
maximum concentration at which a chemical can be present and not be 
toxic to the test organism.
    (8) ``Retention chamber'' means a structure within a flow-through 
test chamber which confines the test organisms, facilitating observation 
of test organisms and eliminating washout from test chambers.
    (c) Test procedures--(1) Summary of the test. (i) In preparation for 
the test, the flow of test solution through each

[[Page 137]]

chamber is adjusted to the rate desired. The test substance is 
introduced into each test chamber. The rate at which the test substance 
is added is adjusted to establish and maintain the desired concentration 
of test substance in each test chamber. The test is started by randomly 
introducing mysids acclimated in accordance with the test design into 
retention chambers within the test and the control chambers. Mysids in 
the test and control chambers are observed periodically during the test, 
the dead mysids removed and the findings reported.
    (ii) Dissolved oxygen concentration, pH, temperature, salinity, the 
concentration of test substance and other water quality characteristics 
are measured at specified intervals in selected test chambers.
    (iii) Data collected during the test are used to develop a MATC 
(Maximum Acceptable Toxicant Concentration) and quantify effects on 
specific chronic parameters.
    (2) [Reserved]
    (3) Range-finding test. (i) A range-finding test should be conducted 
to establish test solution concentrations for the definitive test.
    (ii) The mysids should be exposed to a series of widely spaced 
concentrations of the test substance (e.g., 1, 10, 100 mg/l), usually 
under static conditions.
    (iii) A minimum of 10 mysids should be exposed to each concentration 
of test substance for a period of time which allows estimation of 
appropriate chronic test concentrations. No replicates are required and 
nominal concentrations of the chemical are acceptable.
    (4) Definitive test. (i) The purpose of the definitive test is to 
determine concentration-response curves, LC50 values, and 
effects of a chemical on growth and reproduction during chronic 
exposure.
    (ii) A minimum of 40 mysids per concentration shall be exposed to 
four or more concentrations of the chemical chosen in a geometric series 
in which the ratio is between 1.5 and 2.0 (e.g., 2, 4, 8, 16, 32, and 64 
mg/1). An equal number of mysids shall be placed in two or more 
replicates. If solvents, solubilizing agents or emulsifiers have to be 
used, they shall be commonly used carriers and shall not possess a 
synergistic or antagonistic effect on the toxicity of the test 
substance. The concentration of solvent should not exceed 0.1 ml/1. The 
concentration ranges should be selected to determine the concentration 
response curves, LC50 values and MATC. Concentration of test 
substance in test solutions should be analyzed prior to use.
    (iii) Every test should include controls consisting of the same 
dilution water, conditions, procedures and mysids from the same 
population or culture container, except that none of the chemical is 
added.
    (iv) The dissolved oxygen concentration, temperature, salinity, and 
pH shall be measured weekly in each chamber.
    (v) The test duration is 28 days. The test is unacceptable if more 
than 20 percent of the control organisms die, appear stressed or are 
diseased during the test. The number of dead mysids in each chamber 
shall be recorded on days 7, 14, 21, and 28 of the test. At the time 
when sexual characteristics are discernible in the mysids (approximately 
10 to 12 days in controls; possible delays may occur in mysids exposed 
to test substances), the number of males and females (identified by 
ventral brood pouch) in each chamber shall be recorded. Body length (as 
measured by total midline body length, from the anterior tip of the 
carapace to the posterior margin of the uropod) shall be recorded for 
males and females at the time when sex can be determined simultaneously 
for all mysids in control and treatment groups. This time cannot be 
specified because of possible delays in sexual maturation of mysids 
exposed to test substances. A second observation of male and female body 
lengths shall be conducted on day 28 of the test. To reduce stress on 
the mysids, body lengths can be recorded by photography through a 
stereomicroscope with appropriate scaling information. As offspring are 
produced by the G1 mysids (approximately 13 to 16 days in controls), the 
young shall be counted and separated into retention chambers at the same 
test substance concentration as the chambers where they originated. If

[[Page 138]]

available prior to termination of the test, observations on the 
mortality, number of males and females and male and female body length 
shall be recorded for the G2 mysids. Concentration-response curves, 
LC50 values and associated 95 percent confidence limits for 
the number of dead mysids (G1) shall be determined for days 7, 14, 21, 
and 28. An MATC shall be determined for the most sensitive test criteria 
measured (cumulative mortality of adult mysids, number of young per 
female, and body lengths of adult males and females).
    (vi) In addition to death, any abnormal behavior or appearance shall 
also be reported.
    (vii) Test organisms shall be impartially distributed among test 
chambers in such a manner that test results show no significant bias 
from the distributions. In addition, test chambers within the testing 
area shall be positioned in a random manner or in a way in which 
appropriate statistical analyses can be used to determined the variation 
due to placement.
    (viii) The concentration of the test substance in the chambers 
should be measured as often as is feasible during the test. The 
concentration of test substance shall be measured:
    (A) At each test concentration at the beginning of the test and on 
days 7, 14, 21, and 28; and
    (B) In at least one appropriate chamber whenever a malfunction is 
detected in any part of the test substance delivery system.

Equal aliquots of test solutions may be removed from each test chamber 
and pooled for analysis. Among replicate test chambers of a treatment 
concentration, the measured concentration of the test substance should 
not vary more than 20 percent.
    (5) [Reserved]
    (6) Analytical measurements--(i) Test chemical. Deionized water 
should be used in making stock solutions of the test substance. Standard 
analytical methods should be employed whenever available in performing 
the analyses. The analytical method used to measure the amount of test 
substance in a sample shall be validated before beginning the test by 
appropriate laboratory practices. An analytical method is not acceptable 
if likely degradation products of the test substance, such as hydrolysis 
and oxidation products, give positive or negative interferences which 
cannot be systematically identified and corrected mathematically.
    (ii) Numerical. (A) The number of dead mysids, cumulative young per 
female, and body lengths of male and female mysids shall be recorded 
during each definitive test. Appropriate statistical analyses shall 
provide a goodness-of-fit determination for the day 7, 14, 21 and 28 
adult (Gl) death concentration-response curves.
    (B) A 7-, 14-, 21- and 28-day LC50, based on adult (Gl) 
death, and corresponding 95 percent confidence intervals shall be 
calculated. Appropriate statistical tests (e.g., analysis of variance, 
mean separation test) should be used to test for significant chemical 
effects on chronic test criteria (cumulative mortality of adults, 
cumulative number of young per female and body lengths of adult male and 
females) on designated days. An MATC shall be calculated using these 
chronic tests criteria.
    (d) Test conditions--(1) Test species--(i) Selection. (A) The mysid 
shrimp, Mysidopsis bahia, is the organism specified for these tests. 
Juvenile mysids, <=24 hours old, are to be used to start the test.
    (B) Mysids to be used in chronic toxicity tests should originate 
from laboratory cultures in order to ensure the individuals are of 
similar age and experimental history. Mysids used for establishing 
laboratory cultures may be purchased commercially or collected from 
appropriate natural areas. Because of similarities with other mysid 
species, taxonomic verification should be obtained from the commercial 
supplier, by experienced laboratory personnel, or by an outside expert.
    (C) Mysids used in a particular test shall be of similar age and be 
of normal size and appearance for their age.
    (D) Mysids shall not be used for a test if they exhibit abnormal 
behavior, or if they have been used in a previous test, either in a 
treatment or in a control group.
    (ii) Acclimation. (A) Any change in the temperature and chemistry of 
the water used for holding or culturing the

[[Page 139]]

test organisms to those of the test should be gradual. Within a 24-hour 
period, changes in water temperature should not exceed 1 [deg]C, while 
salinity changes should not exceed 5 percent.
    (B) During acclimation mysids should be maintained in facilities 
with background colors and light intensities similar to those of the 
testing areas.
    (iii) Care and handling. Methods for the care and handling of mysids 
such as those described in paragraph (f)(1) of this section can be used 
during holding, culturing and testing periods.
    (iv) Feeding. Mysids should be fed during testing. Any food utilized 
should support survival, growth and reproduction of the mysids. A 
recommended food is live Artemia spp. nauplii (approximately 48 hours 
old).
    (2) Facilities--(i) Apparatus. (A) Facilities which may be needed to 
perform this test include: (1) flow-through or recirculating tanks for 
holding and acclimating mysids; (2) a mechanism for controlling and 
maintaining the water temperature during the holding, acclimation and 
test periods; (3) apparatus for straining particulate matter, removing 
gas bubbles, or aerating the water, as necessary; and (4) an apparatus 
for providing a 14-hour light and 10-hour dark photoperiod with a 15- to 
30-minute transition period. In addition, flow-through chambers and a 
test substance delivery system are required. It is recommended that 
mysids be held in retention chambers within test chambers to facilitate 
observations and eliminate loss through outflow water.
    (B) Facilities should be well ventilated and free of fumes and 
disturbances that may affect test organisms.
    (C) Test chambers shall be loosely covered to reduce the loss of 
test solution or dilution water due to evaporation and to minimize the 
entry of dust or other particulates into the solutions.
    (ii) Cleaning. Test substance delivery systems and test chambers 
shall be cleaned before each use following standard laboratory 
practices.
    (iii) Construction materials. (A) Materials and equipment that 
contact test solutions should be chosen to minimize sorption of test 
chemicals from the dilution water and should not contain substances that 
can be leached into aqueous solution in quantities that can affect the 
test results.
    (B) Retention chambers utilized for confinement of test organisms 
can be constructed with netting material of appropriate mesh size.
    (iv) Dilution water. (A) Natural or artificial seawater is 
acceptable as dilution water if mysids will survive and successfully 
reproduce in it for the duration of the holding, acclimating and testing 
periods without showing signs of stress, such as reduced growth and 
fecundity. Mysids shall be cultured and tested in dilution water from 
the same origin.
    (B) Natural seawater shall be filtered through a filter with a pore 
size of  20 microns prior to use in a test.
    (C) Artificial seawater can be prepared by adding commercially 
available formulations or by adding specific amounts of reagent-grade 
chemicals to deionized or glass-distilled water. Deionized water with a 
conductivity less than 1 [micro]ohm/cm at 12 [deg]C is acceptable as the 
diluent for making artificial seawater. When deionized water is prepared 
from a ground or surface water source, conductivity and total organic 
carbon (or chemical oxygen demand) shall be measured on each batch.
    (v) Test substance delivery system. Proportional diluters, metering 
pumps, or other suitable systems should be used to deliver test 
substance to the test chambers. The system used shall be calibrated 
before each test. Calibration includes determining the flow rate and the 
concentration of the test substance in each chamber. The general 
operation of the test substance delivery system should be checked twice 
daily during a test. The 24-hour flow rate through a chamber shall be 
equal to at least 5 times the volume of the chamber. The flow rates 
should not vary more than 10 percent among chambers or across time.
    (3) Test parameters. Environmental parameters of the water contained 
in test chambers shall be maintained as specified below:
    (i) The test temperature shall be 25 [deg]C. Excursions from the 
test temperature shall be no greater than 2 
[deg]C.
    (ii) Dissolved oxygen concentration between 60 and 105 percent 
saturation.

[[Page 140]]

Aeration, if needed to achieve this level, shall be done before the 
addition of the test substance. All treatment and control chambers shall 
be given the same aeration treatment.
    (iii) The number of mysids placed in a test solution shall not be so 
great as to affect results of the test. Loading requirements for the 
test will vary depending on the flow rate of dilution water. The loading 
shall not cause the dissolved oxygen concentration to fall below the 
recommended levels.
    (iv) Photoperiod of 14 hours light and 10 hours darkness, with a 15-
30 minute transition period.
    (v) Salinity of 20 parts per thousand 3 
percent.
    (e) Reporting. The sponsor shall submit to the EPA all data 
developed by the test that are suggestive or predictive of chronic 
toxicity and all concomitant toxicologic manifestations. In addition to 
the general reporting requirements prescribed in part 792--Good 
Laboratory Practice Standards of this chapter, the reporting of test 
data shall include the following:
    (1) The source of the dilution water, its chemical characteristics 
(e.g., salinity, pH, etc.) and a description of any pretreatment.
    (2) Detailed information about the test organisms, including the 
scientific name and method of verification, average length, age, source, 
history, observed diseases, treatments, acclimation procedures and food 
used.
    (3) A description of the test chambers, the depth and volume of 
solution in the chamber, the way the test was begun (e.g., conditioning, 
test substance additions, etc.), the number of organisms per treatment, 
the number of replicates, the loading, the lighting, the test substance 
delivery system, and the flow rate expressed as volume additions per 24 
hours.
    (4) The measured concentration of test substance in test chambers at 
the times designated.
    (5) The first time (day) that sexual characteristics can be observed 
in controls and in each test substance concentration.
    (6) The length of time for the appearance of the first brood for 
each concentration.
    (7) The means (average of replicates) and respective 95 percent 
confidence intervals for:
    (i) Body length of males and females at the first observation day 
(depending on time of sexual maturation) and on day 28.
    (ii) Cumulative number of young produced per female on day 28.
    (iii) Cumulative number of dead adults on day 7, 14, 21 and 28.
    (iv) If available prior to test termination (day 28), effects on G2 
mysids (number of males and females, body length of males and females 
and cumulative mortality).
    (8) The MATC is calculated as the geometric mean between the lowest 
measured test substance concentration that had a significant (P<0.05) 
effect and the highest measured test substance concentration that had no 
significant (P<0.05) effect in the chronic test. The most sensitive of 
the test criteria for adult (Gl) mysids (cumulative number of dead 
mysids, body lengths of males and females or the number of young per 
female) is used to calculate the MATC. The criterion selected for MATC 
computation is the one which exhibits an effect (a statistically 
significant difference between treatment and control groups; P<0.05) at 
the lowest test substance concentration for the shortest period of 
exposure. Appropriate statistical tests (analysis of variance, mean 
separation test) should be used to test for significant chemical 
effects. The statistical tests employed and the results of these tests 
shall be reported.
    (9) Concentration-response curves shall be fitted to the cumulative 
number of adult dead for days 7, 14, 21, and 28. A statistical test of 
goodness-of-fit shall be performed and the results reported.
    (10) An LC50 value based on the number of dead adults 
with corresponding 95 percent confidence intervals for days 7, 14, 21 
and 28. These calculations shall be made using the average measured 
concentration of the test substance.
    (11) Methods and data records of all chemical analyses of water 
quality and test substance concentrations, including method validations 
and reagent blanks.

[[Page 141]]

    (12) The data records of the holding, acclimation and test 
temperature and salinity.
    (f) References. For additional background information on this test 
guideline the following references should be consulted:
    (1) U.S. Environmental Protection Agency, ``Bioassay Procedures for 
the Ocean Disposal Permit Program,'' EPA Report No. 600/9-78-010 (Gulf 
Breeze, Florida, 1978).
    (2) [Reserved]

[50 FR 39321, Sept. 27, 1985, as amended at 52 FR 19069, May 20, 1987]



PART 798_HEALTH EFFECTS TESTING GUIDELINES--Table of Contents

Subparts A-B [Reserved]

                      Subpart C_Subchronic Exposure

Sec.
798.2250 Dermal toxicity.
798.2450 Inhalation toxicity.
798.2650 Oral toxicity.

                       Subpart D_Chronic Exposure

798.3260 Chronic toxicity.
798.3300 Oncogenicity.
798.3320 Combined chronic toxicity/oncogenicity.

                Subpart E_Specific Organ/Tissue Toxicity

798.4100 Dermal sensitization.
798.4350 Inhalation developmental toxicity study.
798.4700 Reproduction and fertility effects.
798.4900 Developmental toxicity study.

                       Subpart F_Genetic Toxicity

798.5195 Mouse biochemical specific locus test.
798.5200 Mouse visible specific locus test.
798.5265 The salmonella typhimurium reverse mutation assay.
798.5275 Sex-linked recessive lethal test in drosophila melanogaster.
798.5300 Detection of gene mutations in somatic cells in culture.
798.5375 In vitro mammalian cytogenetics.
798.5385 In vivo mammalian bone marrow cytogenetics tests: Chromosomal 
          analysis.
798.5395 In vivo mammalian bone marrow cytogenetics tests: Micronucleus 
          assay.
798.5450 Rodent dominant lethal assay.
798.5460 Rodent heritable translocation assays.
798.5500 Differential growth inhibition of repair proficient and repair 
          deficient bacteria: ``Bacterial DNA damage or repair tests.''
798.5955 Heritable translocation test in drosophila melanogaster.

                         Subpart G_Neurotoxicity

798.6050 Functional observational battery.
798.6200 Motor activity.
798.6400 Neuropathology.
798.6500 Schedule-controlled operant behavior.
798.6560 Subchronic delayed neurotoxicity of organophosphorus 
          substances.

    Authority: 15 U.S.C. 2603.

    Source: 50 FR 39397, Sept. 27, 1985, unless otherwise noted.

Subparts A-B [Reserved]



                      Subpart C_Subchronic Exposure



Sec.  798.2250  Dermal toxicity.

    (a) Purpose. In the assessment and evaluation of the toxic 
characteristics of a chemical, the determination of subchronic dermal 
toxicity may be carried out after initial information on toxicity has 
been obtained by acute testing. The subchronic dermal study has been 
designed to permit the determination of the no-observed-effect level and 
toxic effects associated with continuous or repeated exposure to a test 
substance for a period of 90 days. The test is not capable of 
determining those effects that have a long latency period for 
development (e.g., carcinogenicity and life shortening). It provides 
information on health hazards likely to arise from repeated exposure by 
the dermal route over a limited period of time. It will provide 
information on target organs, the possibilities of accumulation, and can 
be of use in selecting dose levels for chronic studies and for 
establishing safety criteria for human exposure.
    (b) Definitions. (1) Subchronic dermal toxicity is the adverse 
effects occurring as a result of the repeated daily exposure of 
experimental animals to a chemical by dermal application for part 
(approximately 10 percent) of a life span.
    (2) Dose in a dermal test is the amount of test substance applied to 
the skin (applied daily in subchronic tests).

[[Page 142]]

Dose is expressed as weight of the substance (g, mg) per unit weight of 
test animal (e.g., mg/kg).
    (3) No-effect level/No-toxic-effect level/No-adverse-effect level/
No-observed-effect level is the maximum dose used in a test which 
produces no observed adverse effects. A no-observed-effect level is 
expressed in terms of the weight of a test substance given daily per 
unit weight of test animal (mg/kg).
    (4) Cumulative toxicity is the adverse effects of repeated doses 
occurring as a result of prolonged action on, or increased concentration 
of the administered test substance or its metabolites in susceptible 
tissues.
    (c) Principle of the test method. The test substance is applied 
daily to the skin in graduated doses to several groups of experimental 
animals, one dose level per unit group, for a period of 90 days. During 
the period of application the animals are observed daily to detect signs 
of toxicity. Animals which die during the test are necropsied, and at 
the conclusion of the test the surviving animals are sacrificed and 
necropsied and appropriate histopathological examinations carried out.
    (d) Limit test. If a test at one dose level of at least 1,000 mg/kg 
body weight (expected human exposure may indicate the need for a higher 
dose level), using the procedures described for this study, produces no 
observable toxic effects and if toxicity would not be expected based 
upon data of structurally related compounds, then a full study using 
three dose levels might not be necessary.
    (e) Test procedures--(1) Animal selection--(i) Species and strain. A 
mammalian species shall be used for testing. The rat, rabbit, or guinea 
pig may be used, although the albino rabbit is preferred. The albino 
rabbit is preferred because of its size, skin permeability, and 
extensive data base. Commonly used laboratory strains shall be employed. 
If another mammalian species is used, the tester shall provide 
justification/reasoning for its selection.
    (ii) Age. Young adult animals shall be used. The following weight 
ranges at the start of the test are suggested in order to provide 
animals of a size which facilitates the conduct of the test: rats, 200 
to 300 g; rabbits, 2.0 to 3.0 kg; guinea pigs, 350 to 450 g.
    (iii) Sex. (A) Equal numbers of animals of each sex with healthy 
skin shall be used at each dose level.
    (B) The females shall be nulliparous and nonpregnant.
    (iv) Numbers. (A) At least 20 animals (10 females and 10 males) 
shall be used at each dose level.
    (B) If interim sacrifices are planned, the number shall be increased 
by the number of animals scheduled to be sacrificed before completion of 
the study.
    (2) Control groups. A concurrent control group is required. This 
group shall be an untreated or sham-treated control group or, if a 
vehicle is used in administering the test substance, a vehicle control 
group. If the toxic properties of the vehicle are not known or cannot be 
made available, both untreated and vehicle control groups are required.
    (3) Satellite group. A satellite group of 20 animals (10 animals per 
sex) may be treated with the high dose level for 90 days and observed 
for reversibility, persistence, or delayed occurrence, of toxic effects 
for a posttreatment period of appropriate length, normally not less than 
28 days.
    (4) Dose level and dose selection. (i) In subchronic toxicity tests, 
it is desirable to have a dose-response relationship as well as a no-
observed-toxic-effect level. Therefore, at least 3 dose levels with a 
control and, where appropriate, a vehicle control (corresponding to the 
concentration of vehicle at the highest exposure level) shall be used. 
Doses should be spaced appropriately to produce test groups with a range 
of toxic effects. The data shall be sufficient to produce a dose-
response curve.
    (ii) The highest dose level should result in toxic effects but not 
produce severe skin irritation or an incidence of fatalities which would 
prevent a meaningful evaluation.
    (iii) The lowest dose level should not produce any evidence of 
toxicity. Where there is a usable estimation of human exposure, the 
lowest dose level should exceed this.
    (iv) Ideally, the intermediate dose level(s) should produce minimal 
observable toxic effects. If more than one

[[Page 143]]

intermediate dose is used, the dose levels should be spaced to produce a 
gradation of toxic effects.
    (v) In the low and intermediate groups and in the controls the 
incidence of fatalities should be low, to permit a meaningful evaluation 
of the results.
    (5) Exposure conditions. The animals are treated with test 
substance, ideally for at least 6 hours per day on a 7-day per week 
basis, for a period of 90 days. However, based primarily on practical 
considerations, application on a 5-day per week basis is considered to 
be acceptable.
    (6) Observation period. (i) Duration of observation shall be at 
least 90 days.
    (ii) Animals in the satellite group scheduled for followup 
observations should be kept for at least 28 days further without 
treatment to detect recovery from, or persistence of, toxic effects.
    (7) Preparation of animal skin. (i) Shortly before testing, fur 
shall be clipped from the dorsal area of the trunk of the test animals. 
Shaving may be employed, but it should be carried out approximately 24 
hours before the test. Repeat clipping or shaving is usually needed at 
approximately weekly intervals. When clipping or shaving the fur, care 
should be taken to avoid abrading the skin, which could alter its 
permeability.
    (ii) Not less than 10 percent of the body surface area should be 
clear for the application of the test substance. The weight of the 
animal should be taken into account when deciding on the area to be 
cleared and on the dimensions of any covering used.
    (iii) When testing solids, which may be pulverized if appropriate, 
the test substance should be moistened sufficiently with water or, where 
necessary, a suitable vehicle to ensure good contact with the skin. When 
a vehicle is used, the influence of the vehicle on toxicity of and 
penetration of the skin by the test substance should be taken into 
account.
    (8) Application of the test substance. (i) The test substance shall 
be applied uniformly over an area which is approximately 10 percent of 
the total body surface area. With highly toxic substances, the surface 
area covered may be less, but as much of the area shall be covered with 
as thin and uniform a film as possible.
    (ii) During the exposure period, the test substance shall be held in 
contact with the skin with a porous gauze dressing and nonirritating 
tape. The test site shall be further covered in a suitable manner to 
retain the gauze dressing and test substance and ensure that the animals 
cannot ingest the test substance. Restrainers may be used to prevent the 
ingestion of the test substance, but complete immobilization is not a 
recommended method.
    (9) Observation of animals. (i) Each animal shall be observed daily, 
and if necessary handled to appraise its physical condition.
    (ii) Additional observations shall be made daily with appropriate 
actions taken to minimize loss of animals to the study (e.g., necropsy 
or refrigeration of those animals found dead and isolation or sacrifice 
of weak or moribund animals).
    (iii) Signs of toxicity shall be recorded as they are observed, 
including the time of onset, the degree, and duration.
    (iv) Cage-side observations shall include, but not be limited to, 
changes in skin and fur, eyes and mucous membranes, respiratory, 
circulatory, autonomic and central nervous systems, somatomotor activity 
and behavior pattern.
    (v) Animals shall be weighed weekly. Feed consumption shall also be 
determined weekly if abnormal body weight changes are observed.
    (vi) At the end of the study period, all survivors in the 
nonsatellite treatment groups shall be sacrificed. Moribund animals 
shall be removed and sacrificed when noticed.
    (10) Clinical examinations. (i) The following examinations shall be 
made on all animals of each sex in each group:
    (A) Certain hematology determinations shall be carried out at least 
two times during the test period on all groups of animals including 
concurrent controls: After 30 days of test and just prior to terminal 
sacrifice at the end of the test period. Hematology determinations which 
are appropriate to all studies: Hematocrit, hemoglobin concentration, 
erythrocyte count, total

[[Page 144]]

and differential leukocyte count, and a measure of clotting potential 
such as clotting time, prothrombin time, thromboplastin time, or 
platelet count.
    (B) Certain clinical biochemistry determinations on blood should be 
carried out at least two times during the test period on all groups of 
animals including concurrent controls: After 30 days of test and just 
prior to terminal sacrifice at the end of the test period. Clinical 
biochemistry test areas which are considered appropriate to all studies: 
Electrolyte balance, carbohydrate metabolism, and liver and kidney 
function. The selection of specific tests will be influenced by 
observations on the mode of action of the substance. Suggested 
determinations: Calcium, phosphorus, chloride, sodium, potassium, 
fasting glucose (with period of fasting appropriate to the species), 
serum glutamic pyruvic transaminase (now known as serum alanine 
aminotransferase), serum glutamic oxaloacetic transaminase (now known as 
serum aspartate aminotransferase), ornithine decarboxylase, gamma 
glutamyl transpeptidase, urea nitrogen, albumen blood creatinine, total 
bilirubin, and total serum protein measurements. Other determinations 
which may be necessary for an adequate toxicological evaluation include: 
Analyses of lipids, hormones, acid/base balance, methemoglobin, and 
cholinesterase activity. Additional clinical biochemistry may be 
employed, where necessary, to extend the investigation of observed 
effects.
    (ii) The following examinations shall be made on high dose and 
control groups. If changes in the eyes are detected all animals should 
be examined.
    (A) Ophthalmological examination, using an ophthalmoscope or 
equivalent suitable equipment, shall be made prior to exposure to the 
test substance and at the termination of the study.
    (B) Urinalysis is not recommended on a routine basis, but only when 
there is an indication based on expected or observed toxicity.
    (11) Gross necropsy. (i) All animals shall be subjected to a full 
gross necropsy which includes examination of the external surface of the 
body, all orifices, and the cranial, thoracic, and abdominal cavities 
and their contents.
    (ii) The liver, kidneys, adrenals, brain, and gonads shall be 
weighed wet, as soon as possible after dissection, to avoid drying. In 
addition, for the rodent, the brain; for the non-rodent, the thyroid 
with parathyroids also shall be weighed wet.
    (iii) The following organs and tissues, or representative samples 
thereof, shall be preserved in a suitable medium for possible future 
histopathological examination: All gross lesions; lungs--which should be 
removed intact, weighed, and treated with a suitable fixative to ensure 
that lung structure is maintained (perfusion with the fixative is 
considered to be an effective procedure); nasopharyngeal tissues; 
brain--including sections of medulla/pons, cerebellar cortex, and 
cerebral cortex; pituitary; thyroid/parathyroid; thymus; trachea; heart; 
sternum with bone marrow; salivary glands; liver; spleen; kidneys; 
adrenals; pancreas; gonads; uterus; accessory genital organs 
(epididymis, prostate, and, if present, seminal vesicles); aorta; 
(skin); gall bladder (if present); esophagus; stomach; duodenum; 
jejunum; ileum; cecum; colon; rectum; urinary bladder; representative 
lymph node; (mammary gland); (thigh musculature); peripheral nerve; 
(eyes); (femur--including articular surface); (spinal cord at three 
levels--cervical, midthoracic, and lumbar); and (zymbal and exorbital 
lachrymal glands).
    (12) Histopathology. The following histopathology shall be 
performed:
    (i) Full histopathology on normal and treated skin and on organs and 
tissues, listed above, of all animals in the control and high dose 
groups.
    (ii) All gross lesions in all animals.
    (iii) Target organs in all animals.
    (iv) The tissues listed in parenthesis in paragraph (e)(11)(iii) of 
this section, if indicated by signs of toxicity or expected target organ 
involvement.
    (v) Lungs of animals (rodents) in the low and intermediate dose 
groups shall be subjected to histopathological examination for evidence 
of infection, since this provides a convenient assessment of the state 
of health of the animals.
    (vi) When a satellite group is used, histopathology shall be 
performed on

[[Page 145]]

tissues and organs identified as showing effects in the treated groups.
    (f) Data and reporting--(1) Treatment of results. (i) Data shall be 
summarized in tabular form, showing for each test group the number of 
animals at the start of the test, the number of animals showing lesions, 
the types of lesions, and the percentage of animals displaying each type 
of lesion.
    (ii) All observed results, quantitative and incidental, should be 
evaluated by an appropriate statistical method. Any generally accepted 
statistical method may be used; the statistical methods should be 
selected during the design of the study.
    (2) Evaluation of results. The findings of a subchronic dermal 
toxicity study should be evaluated in conjunction with the findings of 
preceding studies and considered in terms of the observed toxic effects 
and the necropsy and histopathological findings. The evaluation should 
include the relationship between the dose of the test substance and the 
presence or absence, the incidence and severity, of abnormalities, 
including behavioral and clinical abnormalities, gross lesions, 
identified target organs, body weight changes, effect on mortality and 
any other general or specific toxic effects. A properly conducted 
subchronic test should provide a satisfactory estimation of a no-effect 
level.
    (3) Test report. In addition to the reporting requirements as 
specified in the EPA Good Laboratory Practice Standards under 40 CFR 
part 792, subpart J, the following specific information shall be 
reported.
    (i) Group animal data. Tabulation of toxic response data by species, 
strain, sex and exposure level for:
    (A) Number of animals dying.
    (B) Number of animals showing signs of toxicity.
    (C) Number of animals exposed.
    (ii) Individual animal data. (A) Date of death during the study or 
whether animals survived to termination.
    (B) Date of observation of each abnormal sign and its subsequent 
course.
    (C) Body weight data.
    (D) Feed consumption data when collected.
    (E) Hematological tests employed and all results.
    (F) Clinical biochemistry tests employed and all results.
    (G) Necropsy findings.
    (H) Detailed description of all histopathological findings.
    (I) Statistical treatment of results where appropriate.
    (g) References. For additional background information on this test 
guideline the following references should be consulted:
    (1) Draize, J.H. ``Dermal toxicity,'' Appraisal of Chemicals in 
Food, Drugs and Cosmetics. The Association of Food and Drug Officials of 
the United States (1959, 3rd printing 1975). pp. 46-59.
    (2) Fitzhugh, O.G. ``Subacute toxicity,'' Appraisal of the Safety of 
Chemicals in Foods, Drugs and Cosmetics. The Association of Food and 
Drug Officials of the United States (1959, 3rd printing 1975). pp. 26-
35.
    (3) National Academy of Sciences. ``Principles and Procedures for 
Evaluating the Toxicity of Household Substances,'' a report prepared by 
the Committee for the Revision of NAS Publication 1138, under the 
auspices of the Committee on Toxicology, National Research Council, 
National Academy of Sciences, Washington, DC (1977).
    (4) World Health Organization. ``Part I. Environmental Health 
Criteria 6,''Principles and Methods for Evaluating the Toxicity of 
Chemicals. (Geneva: World Health Organization, 1978).

[50 FR 39397, Sept. 27, 1985, as amended at 52 FR 19072, May 20, 1987; 
53 FR 49149, Dec. 6, 1988; 54 FR 21064, May 16, 1989]



Sec.  798.2450  Inhalation toxicity.

    (a) Purpose. In the assessment and evaluation of the toxic 
characteristics of a gas, volatile substance, or aerosol/particulate, 
determination of subchronic inhalation toxicity may be carried out after 
initial information on toxicity has been obtained by acute testing. The 
subchronic inhalation study has been designed to permit the 
determination of the no-observed-effect level and toxic effects 
associated with continuous or repeated exposure to a test substance for 
a period of 90 days. The test is not capable of determining those 
effects that have a long latency

[[Page 146]]

period for development (e.g., carcinogenicity and life shortening). It 
provides information on health hazards likely to arise from repeated 
exposures by the inhalation route over a limited period of time. It will 
provide information on target organs, the possibilities of accumulation, 
and can be of use in selecting dose levels for chronic studies and for 
establishing safety criteria for human exposure. Hazards of inhaled 
substances are influenced by the inherent toxicity and by physical 
factors such as volatility and particle size.
    (b) Definitions. (1) Subchronic inhalation toxicity is the adverse 
effects occurring as a result of the repeated daily exposure of 
experimental animals to a chemical by inhalation for part (approximately 
10 percent) of a life span.
    (2) Aerodynamic diameter applies to the size of particles of 
aerosols. It is the diameter of a sphere of unit density which behaves 
aerodynamically as the particle of the test substance. It is used to 
compare particles of different size and densities and to predict where 
in the respiratory tract such particles may be deposited. This term is 
used in contrast to measured or geometric diameter which is 
representative of actual diameters which in themselves cannot be related 
to deposition within the respiratory tract.
    (3) The geometric mean diameter or the median diameter is the 
calculated aerodynamic diameter which divides the particles of an 
aerosol in half based on the weight of the particles. Fifty percent of 
the particles by weight will be larger than the median diameter and 50 
percent of the particles will be smaller than the median diameter. The 
median diameter describes the particle size distribution of any aerosol 
based on the weight and size of the particles.
    (4) Inhalable diameter refers to that aerodynamic diameter of a 
particle which is considered to be inhalable for the organism. It is 
used to refer to particles which are capable of being inhaled and may be 
deposited anywhere within the respiratory tract from the trachea to the 
alveoli. For man, inhalable diameter is considered as 15 micrometers or 
less.
    (5) Dose refers to an exposure level. Exposure is expressed as 
weight or volume of test substance per volume of air (mg/l), or as parts 
per million (ppm).
    (6) No-effect level/No-toxic-effect level/No-adverse-effect level/
No-observed-effect level is the maximum dose used in a test which 
produces no observed adverse effects. A no-observed-effect level is 
expressed in terms of weight or volume of test substance given daily per 
unit volume of air (mg/l or ppm).
    (7) Cumulative toxicity is the adverse effects of repeated doses 
occuring as a result of prolonged action on, or increased concentration 
of the administered test substance or its metabolites in susceptible 
tissues.
    (c) Principle of the test method. Several groups of experimental 
animals are exposed daily for a defined period to the test substance in 
graduated concentrations, one concentration being used per group, for a 
period of 90 days. During the period of administration, the animals are 
observed daily to detect signs of toxicity. Animals which die during the 
test are necropsied and at the conclusion of the test, surviving animals 
are sacrificed and necropsied and appropriate histopathological 
examinations carried out.
    (d) Test procedures--(1) Animal selection--(i) Species and strain. A 
mammalian species shall be used for testing. A variety of rodent species 
may be used, although the rat is the preferred species. Commonly used 
laboratory strains shall be employed. If another mammalian species is 
used, the tester shall provide justification/ reasoning for its 
selection.
    (ii) Age. Young adult animals shall be used. At the commencement of 
the study the weight variation of animals shall not exceed 20 percent of the mean weight for each sex.
    (iii) Sex. (A) Equal numbers of animals of each sex shall be used at 
each dose level.
    (B) Females shall be nulliparous and nonpregnant.
    (iv) Numbers. (A) At least 20 rodents (10 females and 10 males) 
shall be used for each test group. If another mammalian species is 
selected (e.g. dog, rabbit, or non-human primate), at least 8 animals (4 
males and 4 females) shall be used.

[[Page 147]]

    (B) If interim sacrifices are planned, the number of animals shall 
be increased by the number of animals scheduled to be sacrificed before 
the completion of the study.
    (2) Control groups. A concurrent control group is required. This 
group shall be an untreated or sham-treated control group. Except for 
treatment with the test substance, animals in the control group shall be 
handled in a manner identical to the test group animals. Where a vehicle 
is used to help generate an appropriate concentration of the substance 
in the atmosphere, a vehicle control group shall be used. If the toxic 
properties of the vehicle are not known or cannot be made available, 
both untreated and vehicle control groups are required.
    (3) Satellite group. A satellite group of 20 animals (10 animals per 
sex) may be treated with the high concentration level for 90 days and 
observed for reversibility, persistence, or delayed occurrence of toxic 
effects for a post-treatment period of appropriate length, normally not 
less than 28 days.
    (4) Dose levels and dose selection. (i) In subchronic toxicity 
tests, it is desirable to have a concentration-response relationship as 
well as a no-observed-toxic-effect level. Therefore, at least 3 
concentration levels with a control and, where appropriate, a vehicle 
control (corresponding to the concentration of vehicle at the highest 
exposure level) shall be used. Concentrations should be spaced 
appropriately to produce test groups with a range of toxic effects. The 
data should be sufficient to produce a concentration-response curve.
    (ii) The highest concentration should result in toxic effects but 
not produce an incidence of fatalities which would prevent a meaningful 
evaluation.
    (iii) The lowest concentration should not produce any evidence of 
toxicity. Where there is a usable estimation of human exposure the 
lowest concentration should exceed this.
    (iv) Ideally, the intermediate concentration level(s) should produce 
minimal observable toxic effects. If more than one intermediate 
concentration level is used, the concentrations should be spaced to 
produce a gradation of toxic effects.
    (v) In the low and intermediate groups and in the controls the 
incidence of fatalities should be low, to permit a meaningful evaluation 
of the results.
    (vi) In the case of potentially explosive test substances, care 
should be taken to avoid generating explosive concentrations.
    (5) Exposure conditions. The animals should be exposed to the test 
substance, ideally for 6 hours per day on a 7-day per week basis, for a 
period of 90 days. However, based primarily on practical considerations, 
exposure on a 5-day-per-week basis for 6 hours per day is the minimum 
acceptable exposure period.
    (6) Observation period. (i) Duration of observation shall be for at 
least 90 days.
    (ii) Animals in a satellite group scheduled for followup 
observations should be kept for at least 28 days further without 
treatment to detect recovery from, or persistence of, toxic effects.
    (7) Inhalation exposure. (i) The animals shall be tested in 
inhalation equipment designed to sustain a minimum dynamic air flow of 
12 to 15 air changes per hour and ensure an adequate oxygen content of 
19 percent and an evenly distributed exposure atmosphere. Where a 
chamber is used, its design should minimize crowding of the test animals 
and maximize their exposure to the test substance. This is best 
accomplished by individual caging. To ensure stability of a chamber 
atmosphere, the total ``volume'' of the test animals shall not exceed 5 
percent of the volume of the test chamber. Oronasal or head-only 
exposure may be used if it is desirable to avoid concurrent exposure by 
the dermal or oral routes.
    (ii) A dynamic inhalation system with a suitable flow control system 
shall be used. The rate of air flow shall be adjusted to ensure that 
conditions throughout the exposure chamber are essentially the same. 
Maintenance of slight negative pressure inside the chamber will prevent 
leakage of the test substance into surrounding areas.
    (iii) The temperature at which the test is performed should be 
maintained

[[Page 148]]

at 22 [deg]C (2[deg]). Ideally, the relative 
humidity should be maintained between 40 to 60 percent, but in certain 
instances (e.g., tests of aerosols, use of water vehicle) this may not 
be practicable.
    (8) Physical measurements. Measurements or monitoring shall be made 
of the following:
    (i) The rate of air flow shall be monitored continuously and 
recorded at least every 30 minutes.
    (ii) The actual concentrations of the test substance shall be 
measured in the breathing zone. During the exposure period the actual 
concentrations of the test substance shall be held as constant as 
practicable, monitored continuously or intermittently depending on the 
method of analysis, and recorded at least at the beginning, at an 
intermediate time, and at the end of the exposure period.
    (iii) During the development of the generating system, particle size 
analysis shall be performed to establish the stability of aerosol 
concentrations with respect to particle size. During exposure, analysis 
shall be conducted as often as necessary to determine the consistency of 
particle size distribution.
    (iv) Temperature and humidity shall be monitored continuously but 
shall be recorded at least every 30 minutes.
    (9) Feed and water during exposure period. Feed shall be withheld 
during exposure. Water may also be withheld during exposure.
    (10) Observation of animals. (i) Each animal shall be observed daily 
and, if necessary, handled to appraise its physical condition.
    (ii) Additional observations should be made daily with appropriate 
actions taken to minimize loss of animals to the study (e.g., necropsy 
or refrigeration of those animals found dead and isolation or sacrifice 
of weak or moribund animals).
    (iii) Signs of toxicity shall be recorded as they are observed 
including the time of onset, the degree, and duration.
    (iv) Cage-side observations should include, but not be limited to, 
changes in the skin and fur, eyes and mucous membranes, respiratory, 
circulatory, autonomic and central nervous systems, somatomotor activity 
and behavior pattern.
    (v) Animals shall be weighed weekly. Feed consumption shall also be 
determined weekly if abnormal body weight changes are observed.
    (vi) At the end of the study period all survivors in the 
nonsatellite treatment groups shall be sacrificed. Moribund animals 
shall be removed and sacrificed when noticed.
    (11) Clinical examinations. (i) The following examinations shall be 
made on all animals of each sex in each group:
    (A) Certain hematology determinations shall be carried out at least 
two times during the test period on all groups of animals including 
concurrent controls: After 30 days of test and just prior to terminal 
sacrifice at the end of the test period. Hematology determinations which 
are appropriate to all studies: Hematocrit, hemoglobin concentration, 
erythrocyte count, total and differential leukocyte count, and a measure 
of clotting potential such as clotting time, prothrombin time, 
thromboplastin time, or platelet count.
    (B) Certain clinical biochemistry determinations on blood should be 
carried out at least two times during the test period on all groups of 
animals including concurrent controls: After 30 days of test and just 
prior to terminal sacrifice at the end of the test period. Clinical 
biochemistry test areas which are considered appropriate to all studies: 
Electrolyte balance, carbohydrate metabolism, and liver and kidney 
function. The selection of specific tests will be influenced by 
observations on the mode of action of the substance. Suggested 
determinations: calcium, phosphorus, chloride, sodium, potassium, 
fasting glucose (with period of fasting appropriate to the species), 
serum glutamic-pyruvic transaminase, (now known as serum alanine 
aminotransferase), serum glutamic-oxaloacetic transaminase (now known as 
serum aspartate aminotransferase), ornithine decarboxylase, gamma 
glutamyl transpeptidase, urea nitrogen, albumen, blood creatinine, total 
bilirubin, and total serum protein measurements. Other determinations 
which may be necessary for an adequate toxicological evaluation include: 
Analyses of lipids, hormones, acid/base

[[Page 149]]

balance, methemoglobin, and cholinesterase activity. Additional clinical 
biochemistry may be employed, where necessary, to extend the 
investigation of observed effects.
    (ii) The following examinations shall be made on high dose and 
control groups. If changes in the eyes are detected, all animals shall 
be examined:
    (A) Ophthalmological examination, using an ophthalmoscope or 
equivalent suitable equipment, shall be made prior to exposure to the 
test substance and at the termination of the study.
    (B) Urinalysis is not recommended on a routine basis, but only when 
there is an indication based on expected and/or observed toxicity.
    (12) Gross pathology. (i) All animals shall be subjected to a full 
gross necropsy which includes examination of the external surface of the 
body, all orifices and the cranial, thoracic, and abdominal cavities and 
their contents.
    (ii) At least the liver, kidneys, adrenals, brain, and gonads shall 
be weighed wet, as soon as possible after dissection to avoid drying. In 
addition, for the rodent, the brain; for the non-rodent, the thyroid 
with parathyroids also shall be weighed wet.
    (iii) The following organs and tissues, or representative samples 
thereof, shall be preserved in a suitable medium for possible future 
histopathological examination: All gross lesions; lungs--which should be 
removed intact, weighed, and treated with a suitable fixative to ensure 
that lung structure is maintained (perfusion with the fixative is 
considered to be an effective procedure); nasopharyngeal tissues; 
brain--including sections of medulla/pons cerebellar cortex and cerebral 
cortex; pituitary; thyroid/parathyroid; thymus; trachea; heart; sternum 
with bone marrow; salivary glands; liver; spleen; kidneys; adrenals; 
pancreas; gonads; uterus; accessory genital organs (epididymis, 
prostate, and, if present, seminal vesicles); aorta; (skin); gall 
bladder (if present); esophagus; stomach; duodenum; jejunum; ileum; 
cecum; colon; rectum; urinary bladder; representative lymph node; 
(mammary gland); (thigh musculature); peripheral nerve; (eyes); (femur--
including articular surface); (spinal cord at three levels--cervical, 
midthoracic, and lumbar); and (zymbal and exorbital lachrymal glands).
    (13) Histopathology. The following histopathology shall be 
performed:
    (i) Full histopathology on the respiratory tract and other organs 
and tissues, listed above, of all animals in the control and high dose 
groups.
    (ii) All gross lesions in all animals.
    (iii) Target organs in all animals.
    (iv) The tissues mentioned in brackets (listed above) if indicated 
by signs of toxicity or target organ involvement.
    (v) Lungs of animals (rodents) in the low and intermediate dose 
groups shall also be subjected to histopathological examination, 
primarily for evidence of infection since this provides a convenient 
assessment of the state of health of the animals.
    (vi) When a satellite group is used, histopathology shall be 
performed on tissues and organs identified as showing effects in the 
treated groups.
    (e) Data and reporting--(1) Treatment of results. (i) Data shall be 
summarized in tabular form, showing for each test group the number of 
animals at the start of the test, the number of animals showing lesions, 
the types of lesions, and the percentage of animals displaying each type 
of lesion.
    (ii) All observed results, quantitative and incidental, should be 
evaluated by an appropriate statistical method. Any generally accepted 
statistical method may be used; the statistical methods should be 
selected during the design of the study.
    (2) Evaluation of results. The findings of the subchronic inhalation 
toxicity study should be evaluated in conjunction with the findings of 
preceding studies and considered in terms of the observed toxic effects 
and the necropsy and histopathological findings. The evaluation will 
include the relationship between the concentration of the test substance 
and duration of exposure, and the presence or absence, the incidence and 
severity, of abnormalities, including behavioral and clinical 
abnormalities, gross lesions, identified target organs, body weight 
changes, effects on mortality and any other general or specific toxic 
effects. A properly

[[Page 150]]

conducted subchronic test should provide a satisfactory estimation of a 
no-effect level.
    (3) Test report. In addition to the reporting requirements as 
specified under EPA Good Laboratory Practice Standards, 40 CFR part 792, 
subpart J, the following specific information shall be reported:
    (i) Test conditions. (A) Description of exposure apparatus, 
including design, type, dimensions, source of air, system for generating 
particulates and aerosols, method of conditioning air, treatment of 
exhaust air, and the method of housing animals in a test chamber.
    (B) The equipment for measuring temperature, humidity, and 
particulate aerosol concentrations and size shall be described.
    (ii) Exposure data. These shall be tabulated and presented with mean 
values and measure of variability (e.g., standard deviation) and shall 
include:
    (A) Airflow rates through the inhalation equipment.
    (B) Temperature and humidity of air.
    (C) Nominal concentration (total amount of test substance fed into 
the inhalation equipment divided by volume of air).
    (D) Actual concentration in test breathing zone.
    (E) Particle size distribution (e.g., median aerodynamic diameter of 
particles with standard deviation from the mean).
    (iii) Group animal data. Tabulation of toxic response data by 
species, strain, sex, and exposure level for:
    (A) Number of animals dying.
    (B) Number of animals showing signs of toxicity.
    (C) Number of animals exposed.
    (iv) Individual animal data. (A) Date of death during the study or 
whether animals survived to termination.
    (B) Date of observation of each abnormal sign and its subsequent 
course.
    (C) Body weight data.
    (D) Feed consumption data when collected.
    (E) Hematological tests employed and all results.
    (F) Clinical biochemistry tests employed and all results.
    (G) Necropsy findings.
    (H) Detailed description of all histopathological findings.
    (I) Statistical treatment of results where appropriate.
    (f) References. For additional background information on this test 
guideline the following references should be consulted:
    (1) Cage, J.C. ``Experimental Inhalation Toxicology,'' Methods in 
Toxicology. Ed. G.E. Paget. (Philadelphia: F.A. Davis Co. 1970, pp. 258-
277.
    (2) Casarett, L.J., Doull, J. ``Chapter 9.'' Toxicology: The Basic 
Science of Poisons (New York: Macmillan Publishing Co. Inc. 1975).
    (3) MacFarland, H.N. ``Respiratory Toxicology,'' Essays in 
Toxicology. Ed. W.J. Hayes. Vol. 7 (New York: Academic Press, 1976) pp. 
121-154.
    (4) National Academy of Sciences. ``Principles and Procedures for 
Evaluating the Toxicity of Household Substances,'' a report prepared by 
the Committee for the Revision of NAS Publication 1138, under the 
auspices of the Committee on Toxicology, National Research Council, 
National Academy of Sciences, Washington, DC (1977).
    (5) World Health Organization. ``Part I. Environmental Health 
Criteria 6,'' Principles and Methods for Evaluating the Toxicity of 
Chemicals. (Geneva: World Health Organization, 1978).

[50 FR 39397, Sept. 27, 1985, as amended at 52 FR 19073, May 20, 1987; 
52 FR 26150, July 13, 1987; 53 FR 49150, Dec. 6, 1988; 54 FR 21064, May 
16, 1989]



Sec.  798.2650  Oral toxicity.

    (a) Purpose. In the assessment and evaluation of the toxic 
characteristics of a chemical, the determination of subchronic oral 
toxicity may be carried out after initial information on toxicity has 
been obtained by acute testing. The subchronic oral study has been 
designed to permit the determination of the no-observed-effect level and 
toxic effects associated with continuous or repeated exposure to a test 
substance for a period of 90 days. The test is not capable of 
determining those effects that have a long latency period for 
development (e.g., carcinogenicity and life shortening). It provides 
information on health hazards likely to arise from repeated exposure

[[Page 151]]

by the oral route over a limited period of time. It will provide 
information on target organs, the possibilities of accumulation, and can 
be of use in selecting dose levels for chronic studies and for 
establishing safety criteria for human exposure.
    (b) Definitions. (1) Subchronic oral toxicity is the adverse effects 
occurring as a result of the repeated daily exposure of experimental 
animals to a chemical by the oral route for a part (approximately 10 
percent) of a life span.
    (2) Dose is the amount of test substance administered. Dose is 
expressed as weight of test substance (g, mg) per unit weight of test 
animal (e.g., mg/kg), or as weight of test substance per unit weight of 
food or drinking water.
    (3) No-effect level/No-toxic-effect level/No-adverse-effect level/
No-observed-effect level is the maximum dose used in a test which 
produces no observed adverse effects. A no-observed-effect level is 
expressed in terms of the weight of a substance given daily per unit 
weight of test animal (mg/kg). When administered to animals in food or 
drinking water the no-observed-effect level is expressed as mg/kg of 
food or mg/ml of water.
    (4) Cumulative toxicity is the adverse effects of repeated doses 
occurring as a result of prolonged action on, or increased concentration 
of, the administered test substance or its metabolites in susceptible 
tissue.
    (c) Principle of the test method. The test substance is administered 
orally in graduated daily doses to several groups of experimental 
animals, one dose level per group, for a period of 90 days. During the 
period of administration the animals are observed daily to detect signs 
of toxicity. Animals which die during the period of administration are 
necropsied. At the conclusion of the test all animals are necropsied and 
histo-pathological examinations carried out.
    (d) Limit test. If a test at one dose level of at least 1,000 mg/kg 
body weight (expected human exposure may indicate the need for a higher 
dose level), using the procedures described for this study, produces no 
observable toxic effects and if toxicity would not be expected based 
upon data of structurally related compounds, then a full study using 
three dose levels might not be necessary.
    (e) Test procedures--(1) Animal selection--(i) Species and strain. A 
mammalian species shall be used for testing. A variety of rodent species 
may be used, although the rat is the preferred species. Commonly used 
laboratory strains shall be employed. The commonly used nonrodent 
species is the dog, preferably of a defined breed; the beagle is 
frequently used. If other mammalian species are used, the tester shall 
provide justification/reasoning for his or her selection.
    (ii) Age--(A) General. Young adult animals shall be employed. At the 
commencement of the study the weight variation of animals used shall not 
exceed 20 percent of the mean weight for each sex.
    (B) Rodents. Dosing shall begin as soon as possible after weaning, 
ideally before the rats are 6, and in any case, not more than 8 weeks 
old.
    (C) Non-rodent. In the case of the dog, dosing shall commence after 
acclimatization, preferably at 4 to 6 months and not later than 9 months 
of age.
    (iii) Sex. (A) Equal numbers of animals of each sex shall be used at 
each dose level.
    (B) The females shall be nulliparous and nonpregnant.
    (iv) Numbers--(A) Rodents. At least 20 animals (10 females and 10 
males) shall be used at each dose level.
    (B) Non-rodents. At least eight animals (four females and four 
males) shall be used at each dose level.
    (C) If interim sacrifices are planned, the number shall be increased 
by the number of animals scheduled to be sacrificed before the 
completion of the study.
    (2) Control groups. A concurrent control group is required. This 
group shall be an untreated or sham-treated control group or, if a 
vehicle is used in administering the test substance, a vehicle control 
group. If the toxic properties of the vehicle are not known or cannot be 
made available, both untreated and vehicle control groups are required.
    (3) Satellite group. (Rodent) A satellite group of 20 animals (10 
animals per sex) may be treated with the high dose level

[[Page 152]]

for 90 days and observed for reversibility, persistence, or delayed 
occurrence of toxic effects for a post-treatment period of appropriate 
length, normally not less than 28 days.
    (4) Dose levels and dose selection. (i) In subchronic toxicity 
tests, it is desirable to have a dose response relationship as well as a 
no-observed-toxic-effect level. Therefore, at least 3 dose levels with a 
control and, where appropriate, a vehicle control (corresponding to the 
concentration of vehicle at the highest exposure level) shall be used. 
Doses should be spaced appropriately to produce test groups with a range 
of toxic effects. The data should be sufficient to produce a dose-
response curve.
    (ii) The highest dose level in rodents should result in toxic 
effects but not produce an incidence of fatalities which would prevent a 
meaningful evaluation; for non-rodents there should be no fatalities.
    (iii) The lowest dose level should not produce any evidence of 
toxicity. Where there is a usable estimation of human exposure the 
lowest dose level should exceed this.
    (iv) Ideally, the intermediate dose level(s) should produce minimal 
observable toxic effects. If more than one intermediate dose is used, 
the dose levels should be spaced to produce a gradation of toxic 
effects.
    (v) For rodents, the incidence of fatalities in low and intermediate 
dose groups and in the controls should be low, to permit a meaningful 
evaluation of the results; for non-rodents, there should be no 
fatalities.
    (5) Exposure conditions. The animals are dosed with the test 
substance ideally on a 7-day per week basis over a period of 90 days. 
However, based primarily on practical considerations, dosing in gavage 
or capsule studies on a 5-day per week basis is considered to be 
acceptable.
    (6) Observation period. (i) Duration of observation shall be for at 
least 90 days.
    (ii) Animals in the satellite group scheduled for followup 
observations should be kept for at least 28 days further without 
treatment to detect recovery from, or persistence of, toxic effects.
    (7) Administration of the test substance. (i) The test substance may 
be administered in the diet or in capsules. In addition, for rodents it 
may also be administered by gavage or in the drinking water.
    (ii) All animals shall be dosed by the same method during the entire 
experimental period.
    (iii) Where necessary, the test substance is dissolved or suspended 
in a suitable vehicle. If a vehicle or diluent is needed, ideally it 
should not elicit important toxic effects itself nor substantially alter 
the chemical or toxicological properties of the test substance. It is 
recommended that wherever possible the usage of an aqueous solution be 
considered first, followed by consideration of a solution of oil and 
then by possible solution in other vehicles.
    (iv) For substances of low toxicity, it is important to ensure that 
when administered in the diet the quantities of the test substance 
involved do not interfere with normal nutrition. When the test substance 
is administered in the diet either a constant dietary concentration 
(ppm) or a constant dose level in terms of the animals' body weight 
shall be used; the alternative used shall be specified.
    (v) For a substance administered by gavage or capsule, the dose 
shall be given at approximately the same time each day, and adjusted at 
intervals (weekly or bi-weekly) to maintain a constant dose level in 
terms of animal body weight.
    (8) Observation of animals. (i) Each animal shall be observed daily 
and, if necessary, handled to appraise its physical condition.
    (ii) Additional observations shall be made daily with appropriate 
actions taken to minimize loss of animals to the study (e.g., necropsy 
or refrigeration of those animals found dead and isolation or sacrifice 
of weak or moribund animals).
    (iii) Signs of toxicity shall be recorded as they are observed 
including the time of onset, degree and duration.
    (iv) Cage-side observations shall include, but not be limited to, 
changes in skin and fur, eyes and mucous membranes, respiratory, 
circulatory, autonomic and central nervous systems,

[[Page 153]]

somatomotor activity and behavior pattern.
    (v) Measurements shall be made weekly of feed consumption or water 
consumption when the test substance is administered in the feed or 
drinking water, respectively.
    (vi) Animals shall be weighed weekly.
    (vii) At the end of the 90-day period all survivors in the 
nonsatellite treatment groups shall be sacrificed. Moribund animals 
shall be removed and sacrificed when noticed.
    (9) Clinical examinations. (i) The following examinations shall be 
made on all animals of each sex in each group for rodents and all 
animals when non-rodents are used as test animals.
    (A) Certain hematology determinations shall be carried out at least 
two times during the test period on all groups of animals including 
concurrent controls: After 30 days of test and just prior to terminal 
sacrifice at the end of the test period. Hematology determinations which 
are appropriate to all studies: Hematocrit, hemoglobin concentration, 
erythrocyte count, total and differential leukocyte count, and a measure 
of clotting potential such as clotting time, prothrombin time, 
thromboplastin time, or platelet count.
    (B) Certain clinical biochemistry determinations on blood should be 
carried out at least two times during the test period on all groups of 
animals including concurrent controls: After 30 days of test and just 
prior to terminal sacrifice at the end of the test period. Clinical 
biochemistry test areas which are considered appropriate to all studies: 
Electrolyte balance, carbohydrate metabolism, and liver and kidney 
function. The selection of specific tests will be influenced by 
observations on the mode of action of the substance. Suggested 
determinations: Calcium, phosphorus, chloride, sodium, potassium, 
fasting glucose (with period of fasting appropriate to the species), 
serum glutamic-pyruvic transaminase (now known as serum alanine 
aminotransferase), serum glutamic oxaloacetic transaminase (now known as 
serum aspartate aminotransferase), ornithine decarboxylase, gamma 
glutamyl transpeptidase, urea nitrogen, albumen, blood creatinine, total 
bilirubin, and total serum protein measurements. Other determinations 
which may be necessary for an adequate toxicological evaluation include: 
Analyses of lipids, hormones, acid/base balance, methemoglobin, and 
cholinesterase activity. Additional clinical biochemistry may be 
employed, where necessary, to extend the investigation of observed 
effects.
    (ii) The following examinations shall be made on high dose and 
control groups. If changes in the eyes are detected, all animals should 
be examined.
    (A) Ophthalmological examination, using an ophthalmoscope or 
equivalent suitable equipment, shall be made prior to the administration 
of the test substance and at the termination of the study.
    (B) Urinalysis is not recommended on a routine basis, but only when 
there is an indication based on expected and or observed toxicity.
    (10) Gross necropsy. (i) All animals shall be subjected to a full 
gross necropsy which includes examination of the external surface of the 
body, all orifices, and the cranial, thoracic and abdominal cavities and 
their contents.
    (ii) At least the liver, kidneys, adrenals, and gonads shall be 
weighed wet, as soon as possible after dissection to avoid drying. In 
addition, for the rodent, the brain; for the non-rodent, the thyroid 
with parathyroids also shall be weighed wet.
    (iii) The following organs and tissues, or representative samples 
thereof, shall be preserved in a suitable medium for possible future 
histopathological examination: All gross lesions; lungs--which should be 
removed intact, weighed, and treated with a suitable fixative to ensure 
that lung structure is maintained (perfusion with the fixative is 
considered to be an effective procedure); nasopharyngeal tissues; 
brain--including sections of medulla/pons, cerebellar cortex, and 
cerebral cortex; pituitary; thyroid/parathyroid; thymus; trachea; heart; 
sternum with bone marrow; salivary glands; liver; spleen; kidneys; 
adrenals; pancreas; gonads; uterus; accessory genital organs 
(epididymis, prostate, and, if present, seminal vesicles); aorta; 
(skin); gall bladder (if present); esophagus; stomach; duodenum; 
jejunum; ileum; cecum; colon;

[[Page 154]]

rectum; urinary bladder; representative lymph node; (mammary gland); 
(thigh musculature); peripheral nerve; (eyes); (femur--including 
articular surface); (spinal cord at three levels--cervical, midthoracic, 
and lumbar); and (zymbal and exorbital lachrymal glands); and (rodent-
zymbal glands).
    (11) Histopathology. The following histopathology shall be 
performed:
    (i) Full histopathology on the organs and tissues, listed above, of 
all rodents in the control and high dose groups, all non-rodents, and 
all rodents that died or were killed during the study.
    (ii) All gross lesions in all animals.
    (iii) Target organs in all animals.
    (iv) The tissues mentioned in brackets (listed above) if indicated 
by signs of toxicity of target organ involvement.
    (v) Lungs, liver and kidneys of all animals. Special attention to 
examination of the lungs of rodents shall be made for evidence of 
infection since this provides a convenient assessment of the state of 
health of the animals.
    (vi) When a satellite group is used (rodents), histopathology shall 
be performed on tissues and organs identified as showing effects in the 
treated groups.
    (f) Data and reporting--(1) Treatment of results. (i) Data shall be 
summarized in tabular form, showing for each test group the number of 
animals at the start of the test, the number of animals showing lesions, 
the types of lesions and the percentage of animals displaying each type 
of lesion.
    (ii) All observed results, quantitative and incidental, should be 
evaluated by an appropriate statistical method. Any generally accepted 
statistical methods may be used; the statistical methods should be 
selected during the design of the study.
    (2) Evaluation of the study results. (i) The findings of a 
subchronic oral toxicity study should be evaluated in conjunction with 
the findings of preceding studies and considered in terms of the toxic 
effects and the necropsy and histopathological findings. The evaluation 
will include the relationship between the dose of the test substance and 
the presence or absence, the incidence and severity, of abnormalities, 
including behavioral and clinical abnormalities, gross lesions, 
identified target organs, body weight changes, effects on mortality and 
any other general or specific toxic effects. A properly conducted 
subchronic test should provide a satisfactory estimation of a no-effect 
level.
    (ii) In any study which demonstrates an absence of toxic effects, 
further investigation to establish absorption and bioavailability of the 
test substance should be considered.
    (3) Test report. In addition to the reporting requirements as 
specified under EPA Good Laboratory Practice Standards, 40 CFR part 792, 
subpart J, the following specific information shall be reported:
    (i) Group animal data. Tabulation of toxic response data by species, 
strain, sex and exposure level for:
    (A) Number of animals dying.
    (B) Number of animals showing signs of toxicity.
    (C) Number of animals exposed.
    (ii) Individual animal data. (A) Date of death during the study or 
whether animals survived to termination.
    (B) Date of observation of each abnormal sign and its subsequent 
course.
    (C) Body weight data.
    (D) Feed consumption data when collected.
    (E) Hematological tests employed and all results.
    (F) Clinical biochemistry tests employed and all results.
    (G) Necropsy findings.
    (H) Detailed description of all histopathological findings.
    (I) Statistical treatment of results where appropriate.
    (g) References. For additional background information on this test 
guideline the following references should be consulted:
    (1) Boyd, E.M. ``Chapter 14--Pilot Studies, 15--Uniposal Clinical 
Parameters, 16--Uniposal Autopsy Parameters.'' Predictive Toxicometrics. 
(Baltimore: Williams and Wilkins, 1972).
    (2) Fitzhugh, O.G. ``Subacute Toxicity,'' Appraisal of the Safety of 
Chemicals in Foods, Drugs and Cosmetics. The Association of Food and 
Drug Officials of the United States (1959, 3rd Printing 1975) pp. 26-35.
    (3) Food Safety Council. ``Subchronic Toxicity Studies,'' Proposed 
System for

[[Page 155]]

Food Safety Assessment. (Columbia: Food Safety Council, 1978) pp. 83-96.
    (4) National Academy of Sciences. ``Principles and Procedures for 
Evaluating the Toxicity of Household Substances,'' a report prepared by 
the Committee for the Revision of NAS Publication 1138, under the 
auspices of the Committee on Toxicology, National Research Council, 
National Academy of Sciences, Washington, DC (1977).
    (5) World Health Organization. ``Part I. Environmental Health 
Criteria 6,'' Principles and Methods for Evaluating the Toxicity of 
Chemicals. (Geneva: World Health Organization, 1978).

[50 FR 39397, Sept. 27, 1985, as amended at 52 FR 19074, May 20, 1987; 
53 FR 49150, Dec. 6, 1988; 54 FR 21064, May 16, 1989]



                       Subpart D_Chronic Exposure



Sec.  798.3260  Chronic toxicity.

    (a) Purpose. The objective of a chronic toxicity study is to 
determine the effects of a substance in a mammalian species following 
prolonged and repeated exposure. Under the conditions of the chronic 
toxicity test, effects which require a long latency period or which are 
cumulative should become manifest. The application of this guideline 
should generate data on which to identify the majority of chronic 
effects and shall serve to define long term dose-response relationships. 
The design and conduct of chronic toxicity tests should allow for the 
detection of general toxic effects, including neurological, 
physiological, biochemical, and hematological effects and exposure-
related morphological (pathology) effects.
    (b) Test procedures--(1) Animal selection--(i) Species and strain. 
Testing should be performed with two mammalian species, one a rodent and 
another a non-rodent. The rat is the preferred rodent species and the 
dog is the preferred non-rodent species. Commonly used laboratory 
strains should be employed. If other mammalian species are used, the 
tester should provide justification/reasoning for their selection.
    (ii) Age. (A) Dosing of rats should begin as soon as possible after 
weaning, ideally before the rats are 6, but in no case more than 8 weeks 
old.
    (B) Dosing of dogs should begin between 4 and 6 months of age and in 
no case later than 9 months of age.
    (C) At commencement of the study the weight variation of animals 
used should not exceed 20 percent of the mean 
weight for each sex.
    (iii) Sex. (A) Equal numbers of animals of each sex should be used 
at each dose level.
    (B) The females should be nulliparous and non-pregnant.
    (iv) Numbers. (A) For rodents, at least 40 animals (20 females and 
20 males) and for non-rodents (dogs) at least 8 animals (4 females and 4 
males) should be used at each dose level.
    (B) If interim sacrifices are planned, the number should be 
increased by the number of animals scheduled to be sacrificed during the 
course of the study.
    (C) The number of animals at the termination of the study must be 
adequate for a meaningful and valid statistical evaluation of chronic 
effects.
    (2) Control groups. (i) A concurrent control group is suggested. 
This group should be an untreated or sham treated control group or, if a 
vehicle is used in administering the test substance, a vehicle control 
group. If the toxic properties of the vehicle are not known or cannot be 
made available, both untreated and vehicle control groups are strongly 
suggested.
    (ii) In special circumstances such as in inhalation studies 
involving aerosols or the use of an emulsifier of uncharacterized 
biological activity in oral studies, a concurrent negative control group 
should be utilized. The negative control group should be treated in the 
same manner as all other test animals except that this control group 
should not be exposed to either the test substance or any vehicle.
    (3) Dose levels and dose selections. (i) In chronic toxicity tests, 
it is necessary to have a dose-response relationship as well as a no-
observed-toxic-effect level. Therefore, at least three dose levels 
should be used in addition to the concurrent control group. Dose levels 
should be spaced to produce a gradation of effects.
    (ii) The high dose level in rodents should elicit some signs of 
toxicity without causing excessive lethality; for non-rodents, there 
should be signs of

[[Page 156]]

toxicity but there should be no fatalities.
    (iii) The lowest dose level should not produce any evidence of 
toxicity. Where there is a usable estimation of human exposure the 
lowest dose level should exceed this even though this dose level may 
result in some signs of toxicity.
    (iv) Ideally, the intermediate dose level(s) should produce minimal 
observable toxic effects. If more than one intermediate dose is used, 
the dose level should be spaced to produce a gradation of toxic effects.
    (v) For rodents, the incidence of fatalities in low and intermediate 
dose groups and in the controls should be low to permit a meaningful 
evaluation of the results. For non-rodents, there should be no 
fatalities.
    (4) Exposure conditions. The animals are dosed with the test 
substance ideally on a 7-day per week basis over a period of at least 12 
months. However, based primarily on practical considerations, dosing on 
a 5-day per week basis is considered to be acceptable.
    (5) Observation period. Duration of observation should be for at 
least 12 months, and may be concurrent with or subsequent to dosing. If 
there is a post-exposure observation period, an interim sacrifice should 
be performed on no fewer than half of the animals of each sex at each 
dose level immediately upon termination of exposure.
    (6) Administration of the test substance. The three main routes of 
administration are oral, dermal, and inhalation. The choice of the route 
of administration depends upon the physical and chemical characteristics 
of the test substance and the form typifying exposure in humans.
    (i) Oral studies. (A) The animals should receive the test substance 
in their diet, dissolved in drinking water, or given by gavage or 
capsule for a period of at least 12 months.
    (B) If the test substance is administered in the drinking water, or 
mixed in the diet, exposure is continuous.
    (C) For a diet mixture, the highest concentration should not exceed 
5 percent.
    (ii) Dermal studies. (A) The animals are treated by topical 
application with the test substance, ideally for at least 6 hours per 
day.
    (B) Fur should be clipped from the dorsal area of the trunk of the 
test animals. Care must be taken to avoid abrading the skin which could 
alter its permeability.
    (C) The test substance should be applied uniformly over a shaved 
area which is approximately 10 percent of the total body surface area. 
With highly toxic substances, the surface area covered may be less, but 
as much of the area should be covered with as thin and uniform a film as 
possible.
    (D) During the exposure period, the test substance may be held if 
necessary, in contact with the skin with a porous gauze dressing and 
non-irritating tape. The test site should be further covered in a 
suitable manner to retain the gauze dressing and test substance and 
ensure that the animals cannot ingest the test substance.
    (iii) Inhalation studies. (A) The animals should be tested with 
inhalation equipment designed to sustain a dynamic air flow of 12 to 15 
air changes per hour, ensure an adequate oxygen content of 19 percent 
and an evenly distributed exposure atmosphere. Where a chamber is used, 
its design should minimize crowding of the test animals and maximize 
their exposure to the test substance. This is best accomplished by 
individual caging. As a general rule to ensure stability of a chamber 
atmosphere, the total ``volume'' of the test animals should not exceed 5 
percent of the volume of the test chamber. Alternatively, oro-nasal, 
head-only or whole body individual chamber exposure may be used.
    (B) The temperature at which the test is performed should be 
maintained at 22 [deg]C (2[deg]). Ideally, the 
relative humidity should be maintained between 40 to 60 percent, but in 
certain instances (e.g., tests of aerosols, use of water vehicle) this 
may not be practicable.
    (C) Feed and water should be withheld during each daily 6 hour 
exposure period.
    (D) A dynamic inhalation system with a suitable analytical 
concentration control system should be used. The rate of air flow should 
be adjusted to ensure that conditions throughout

[[Page 157]]

the equipment are essentially the same. Maintenance of slight negative 
pressure inside the chamber will prevent leakage of the test substance 
into the surrounding areas.
    (7) Observation of animals. (i) Each animal should be handled and 
its physical condition appraised at least once each day.
    (ii) Additional observations should be made daily with appropriate 
actions taken to minimize loss of animals to the study (e.g., necropsy 
or refrigeration of those animals found dead and isolation or sacrific 
of weak or moribund animals).
    (iii) Clinical signs of toxicity including suspected tumors and 
mortality should be recorded as they are observed, including the time of 
onset, the degree and duration.
    (iv) Cage-side observations should include, but not be limited to, 
changes in skin and fur, eyes and mucous membranes, respiratory, 
circulatory, autonomic and central nervous systems, somatomotor activity 
and behavior pattern.
    (v) Body weights should be recorded individually for all animals 
once a week during the first 13 weeks of the test period and at least 
once every 4 weeks thereafter unless signs of clinical toxicity suggest 
more frequent weighings to facilitate monitoring of health status.
    (vi) When the test substance is administered in the feed or drinking 
water, measurements of feed or water consumption, respectively, should 
be determined weekly during the first 13 weeks of the study and then at 
approximately monthly intervals unless health status or body weight 
changes dictate otherwise.
    (vii) At the end of the study period all survivors should be 
sacrificed. Moribund animals should be removed and sacrificed when 
noticed.
    (8) Physical measurements. For inhalation studies, measurements or 
monitoring should be made of the following:
    (i) The rate of air flow should be monitored continuously, but 
should be recorded at intervals of at least once every 30 minutes.
    (ii) During each exposure period the actual concentrations of the 
test substance should be held as constant as practicable, monitored 
continuously and measured at least three times during the test period: 
at the beginning, at an intermediate time and at the end of the period.
    (iii) During the development of the generating system, particle size 
analysis should be performed to establish the stability of aerosol 
concentrations. During exposure, analysis should be conducted as often 
as necessary to determine the consistency of particle size distribution 
and homogeneity of the exposure stream.
    (iv) Temperature and humidity should be monitored continuously, but 
should be recorded at intervals of at least once every 30 minutes.
    (9) Clinical examinations. The following examinations should be made 
on at least 10 rats of each sex per dose and on all non-rodents.
    (i) Certain hematology determinations (e.g., hemoglobin content, 
packed cell volume, total red blood cells, total white blood cells, 
platelets, or other measures of clotting potential) should be performed 
at termination and should be performed at 3 months, 6 months and at 
approximately 6 month intervals thereafter (for studies extending beyond 
12 months) on blood samples collected from all non-rodents and from 10 
rats per sex of all groups. These collections should be from the same 
animals at each interval. If clinical observations suggest a 
deterioration in health of the animals during the study, a differential 
blood count of the affected animals should be performed. A differential 
blood count should be performed on samples from those animals in the 
highest dosage group and the controls. Differential blood counts should 
be performed for the next lower group(s) if there is a major discrepancy 
between the highest group and the controls. If hematological effects 
were noted in the subchronic test, hematological testing should be 
performed at 3, 6, 12, 18, and 24 months for a two year study and at 3, 
6, and 12 months for a 1-year study.
    (ii) Certain clinical biochemistry determinations on blood should be 
carried out at least three times during the test period: just prior to 
initiation of dosing (base line data), near the middle and at the end of 
the test period. Blood

[[Page 158]]

samples should be drawn for clinical chemistry measurements from all 
non-rodents and at least ten rodents per sex of all groups; if possible, 
from the same rodents at each time interval. Test areas which are 
considered appropriate to all studies: electrolyte balance, carbohydrate 
metabolism and liver and kidney function. The selection of specific 
tests will be influenced by observations on the mode of action of the 
substance and signs of clinical toxicity. Suggested chemical 
determinations: calcium, phosphorus, chloride, sodium, potassium, 
fasting glucose (with period of fasting appropriate to the species), 
serum glutamic-pyruvic transaminase (now known as serum alanine 
aminotransferase), serum glutamic oxaloacetic transaminase (now known as 
serum aspartate aminotransferase), ornithine decarboxylase, gamma 
glutamyl transpeptidase, blood urea nitrogen, albumen, blood creatinine, 
creatinine phosphokinase, total cholesterol, total bilirubin and total 
serum protein measurements. Other determinations which may be necessary 
for an adequate toxicological evaluation include analyses of lipids, 
hormones, acid/base balance, methemoglobin and cholinesterase activity. 
Additional clinical biochemistry may be employed where necessary to 
extend the investigation of observed effects.
    (iii) Urine samples from rodents at the same intervals as the 
hematological examinations under paragraph (b)(9)(i) of this section 
should be collected for analysis. The following determinations should be 
made from either individual animals or on a pooled sample/sex/group for 
rodents: appearance (volume and specific gravity), protein, glucose, 
ketones, bilirubin, occult blood (semi-quantitatively); and microscopy 
of sediment (semi-quantitatively).
    (iv) Ophthalmological examination, using an ophthalmoscope or 
equivalent suitable equipment, should be made prior to the 
administration of the test substance and at the termination of the 
study. If changes in eyes are detected all animals should be examined.
    (10) Gross necropsy. (i) A complete gross examination should be 
performed on all animals, including those which died during the 
experiment or were killed in moribund conditions.
    (ii) The liver, kidneys, adrenals, brain and gonads should be 
weighed wet, as soon as possible after dissection to avoid drying. For 
these organs, at least 10 rodents per sex per group and all non-rodents 
should be weighed.
    (iii) The following organs and tissues, or representative samples 
thereof, should be preserved in a suitable medium for possible future 
histopathological examination: All gross lesions and tumors; brain--
including sections of medulla/pons, cerebellar cortex, and cerebral 
cortex; pituitary; thyroid/parathyroid; thymus; lungs; trachea; heart; 
sternum and/or femur with bone marrow; salivary glands; liver; spleen; 
kidneys; adrenals; esophagus; stomach; duodenum; jejunum; ileum; cecum; 
colon; rectum; urinary bladder; representative lymph nodes; pancreas; 
gonads; uterus; accessory genital organs (epididymis, prostate, and, if 
present, seminal vesicles; female mammary gland; aorta; gall bladder (if 
present); skin; musculature; peripheral nerve; spinal cord at three 
levels--cervical, midthoracic, and lumbar; and eyes. In inhalation 
studies, the entire respiratory tract, including nose, pharynx, larynx, 
and paranasal sinuses should be examined and preserved. In dermal 
studies, skin from sites of skin painting should be examined and 
preserved.
    (iv) Inflation of lungs and urinary bladder with a fixative is the 
optimal method for preservation of these tissues. The proper inflation 
and fixation of the lungs in inhalation studies is considered essential 
for appropriate and valid histopathological examination.
    (v) If other clinical examinations are carried out, the information 
obtained from these procedures should be available before microscopic 
examination, since they may provide significant guidance to the 
pathologist.
    (11) Histopathology. (i) The following histopathology should be 
performed:
    (A) Full histopathology on the organs and tissues, listed above, of 
all non-rodents, of all rodents in the control and high dose groups and 
of all rodents that died or were killed during the study.

[[Page 159]]

    (B) All gross lesions in all animals.
    (C) Target organs in all animals.
    (D) Lungs, liver and kidneys of all animals. Special attention to 
examination of the lungs of rodents should be made for evidence of 
infection since this provides an assessment of the state of health of 
the animals.
    (ii) If excessive early deaths or other problems occur in the high 
dose group compromising the significance of the data, the next dose 
level should be examined for complete histopathology.
    (iii) In case the results of an experiment give evidence of 
substantial alteration of the animals' normal longevity or the induction 
of effects that might affect a toxic response, the next lower dose level 
should be examined fully, as described under paragraph (b)(11)(i) of 
this section.
    (iv) An attempt should be made to correlate gross observations with 
microscopic findings.
    (c) Data and reporting--(1) Treatment of results. (i) Data should be 
summarized in tabular form, showing for each test group the number of 
animals at the start of the test, the number of animals showing lesions, 
the types of lesions and the percentage of animals displaying each type 
of lesion.
    (ii) All observed results, quantitative and incidental, should be 
evaluated by an appropriate statistical method. Any generally accepted 
statistical methods may be used; the statistical methods should be 
selected during the design of the study.
    (2) Evaluation of study results. (i) The findings of a chronic 
toxicity study should be evaluated in conjunction with the findings of 
preceding studies and considered in terms of the toxic effects, the 
necropsy and histopathological findings. The evaluation will include the 
relationship between the dose of the test substance and the presence, 
incidence and severity of abnormalities (including behavioral and 
clinical abnormalities), gross lesions, identified target organs, body 
weight changes, effects on mortality and any other general or specific 
toxic effects.
    (ii) In any study which demonstrates an absence of toxic effects, 
further investigation to establish absorption and bioavailability of the 
test substance should be considered.
    (3) Test report. (i) In addition to the reporting requirements as 
specified under 40 CFR part 792 subpart J, the following specific 
information should be reported:
    (A) Group animal data. Tabulation of toxic response data by species, 
strain, sex and exposure level for:
    (1) Number of animals dying.
    (2) Number of animals showing signs of toxicity.
    (3) Number of animals exposed.
    (B) Individual animal data. (1) Time of death during the study or 
whether animals survived to termination.
    (2) Time of observation of each abnormal sign and its subsequent 
course.
    (3) Body weight data.
    (4) Feed and water consumption data, when collected.
    (5) Results of ophthalmological examination, when performed.
    (6) Hematological tests employed and all results.
    (7) Clinical biochemistry tests employed and all results.
    (8) Necropsy findings.
    (9) Detailed description of all histopathological findings.
    (10) Statistical treatment of results, where appropriate.
    (ii) In addition, for inhalation studies the following should be 
reported:
    (A) Test conditions. (1) Description of exposure apparatus including 
design, type, dimensions, source of air, system for generating 
particulates and aerosols, method of conditioning air, treatment of 
exhaust air and the method of housing the animals in a test chamber.
    (2) The equipment for measuring temperature, humidity, and 
particulate aerosol concentrations and size should be described.
    (B) Exposure data. These should be tabulated and presented with mean 
values and a measure of variability (e.g., standard deviation) and 
should include:
    (1) Airflow rates through the inhalation equipment.
    (2) Temperature and humidity of air.
    (3) Nominal concentration (total amount of test substance fed into 
the inhalation equipment divided by volume of air).

[[Page 160]]

    (4) Actual concentration in test breathing zone.
    (5) Particle size distribution (e.g., median aerodynamic diameter of 
particles with standard deviation from the mean).
    (d) References. For additional background information on this test 
guideline the following references should be consulted:
    (1) Benitz, K.F. ``Measurement of Chronic Toxicity,'' Methods of 
Toxicology. Ed. G.E. Paget. (Oxford: Blackwell Scientific Publications, 
1970) pp. 82-131.
    (2) D'Aguanno, W. ``Drug Safety Evaluation--Pre-Clinical 
Considerations,'' Industrial Pharmacology: Neuroleptics. Vol. I, Ed. S. 
Fielding and H. Lal. (Mt. Kisco: Futura Publishing Co. 1974) pp. 317-
332.
    (3) Fitzhugh, O.G. Third Printing: 1975. ``Chronic Oral Toxicity,'' 
Appraisal of the Safety of Chemicals in Foods, Drugs and Cosmetics. The 
Association of Food and Drug Officials of the United States (1959, 3rd 
Printing 1975) pp. 36-45.
    (4) Goldenthal, E.I., D'Aguanno, W. ``Evaluation of Drugs,'' 
Appraisal of the Safety of Chemicals in Foods, Drugs, and Cosmetics. The 
Association of Food and Drug Officials of the United States (1959, 3rd 
Printing 1975) pp. 60-67.
    (5) National Academy of Sciences. ``Principles and Procedures for 
Evaluating the Toxicity of Household Substances,'' a report prepared by 
the Committee for the Revision of NAS Publication 1138, under the 
auspices of the Committee on Toxicology, National Research Council, 
National Academy of Sciences, Washington, DC (1977).
    (6) National Center for Toxicological Research. ``Appendix B,'' 
Report of Chronic Studies Task Force Committee, April 13-21, 1972. 
(Rockville: National Center for Toxicological Research, 1972).
    (7) Page, N.P. ``Chronic Toxicity and Carcinogenicity Guidelines,'' 
Journal of Environmental Pathology and Toxicology, 1:161-182 (1977).
    (8) Schwartz, E. ``Toxicology of Neuroleptic Agents,'' Industrial 
Pharmacology: Neuroleptics Ed. S. Fielding and H. Lal. (Mt. Kisco, 
Futura Publishing Co., 1974) pp. 203-221.
    (9) United States Pharmaceutical Manufacturers Association. 
Guidelines for the Assessment of Drug and Medical Device Safety in 
Animals. (1977).
    (10) World Health Organization. ``Guidelines for Evaluation of Drugs 
for Use in Man,'' WHO Technical Report Series No. 563. (Geneva: World 
Health Organization, 1975).
    (11) World Health Organization. ``Part I. Environmental Health 
Criteria 6,'' Principles and Methods for Evaluating the Toxicity of 
Chemicals. (Geneva: World Health Organization, 1978).
    (12) World Health Organization. ``Principles for Pre-Clinical 
Testing of Drug Safety,'' WHO Technical Report Series No. 341. (Geneva: 
World Health Organization, 1966).

[50 FR 39397, Sept. 27, 1985, as amended at 54 FR 21064, May 16, 1989]



Sec.  798.3300  Oncogenicity.

    (a) Purpose. The objective of a long-term oncogenicity study is to 
observe test animals for a major portion of their life span for the 
development of neoplastic lesions during or after exposure to various 
doses of a test substance by an appropriate route of administration.
    (b) Test procedures--(1) Animal selection--(i) Species and strain. A 
compound of unknown activity shall be tested on two mammalian species. 
Rats and mice are the species of choice because of their relatively 
short life spans, the limited cost of their maintenance, their 
widespread use in pharmacological and toxicological studies, their 
susceptibility to tumor induction, and the availability of inbred or 
sufficiently characterized strains. Commonly used laboratory strains 
shall be employed. If other species are used, the tester shall provide 
justification/reasoning for their selection.
    (ii) Age. (A) Dosing of rodents shall begin as soon as possible 
after weaning, ideally before the animals are 6 weeks old, but in no 
case more than 8 weeks old.
    (B) At commencement of the study, the weight variation of animals 
used shall not exceed 20 percent of the mean 
weight for each sex.
    (C) Studies using prenatal or neonatal animals may be recommended 
under special conditions.

[[Page 161]]

    (iii) Sex. (A) Animals of each sex shall be used at each dose level.
    (B) The females shall be nulliparous and non-pregnant.
    (iv) Numbers. (A) For rodents, at least 100 animals (50 females and 
50 males) shall be used at each dose level and concurrent control.
    (B) If interim sacrifices are planned the number shall be increased 
by the number of animals scheduled to be sacrificed during the course of 
the study.
    (C) The number of animals at the termination of the study should be 
adequate for a meaningful and valid statistical evaluation of long term 
exposure. For a valid interpretation of negative results, it is 
essential that survival in all groups does not fall below 50 percent at 
the time of termination.
    (2) Control groups. (i) A concurrent control group is required. This 
group shall be an untreated or sham treated control group or, if a 
vehicle is used in administering the test substance, a vehicle control 
group. If the toxic properties of the vehicle are not known or cannot be 
made available, both untreated and vehicle control groups are required.
    (ii) In special circumstances such as in inhalation studies 
involving aerosols or the use of an emulsifier of uncharacterized 
biological activity in oral studies, a concurrent negative control group 
shall be utilized. The negative control group shall be treated in the 
same manner as all other test animals except that this control group 
shall not be exposed to either the test substance or any vehicle.
    (iii) The use of historical control data (i.e., the incidence of 
tumors and other suspect lesions normally occurring under the same 
laboratory conditions and in the same strain of animals employed in the 
test) is desirable for assessing the significance of changes observed in 
exposed animals.
    (3) Dose levels and dose selection. (i) For risk assessment 
purposes, at least 3 dose levels shall be used, in addition to the 
concurrent control group. Dose levels should be spaced to produce a 
gradation of chronic effects.
    (ii) The high dose level should elicit signs of minimal toxicity 
without substantially altering the normal life span.
    (iii) The lowest dose should not interfere with normal growth, 
development and longevity of the animal; and it should not otherwise 
cause any indication of toxicity. In general, this should not be lower 
than ten percent of the high dose.
    (iv) The intermediate dose(s) should be established in a mid-range 
between the high and low doses, depending upon the toxicokinetic 
properties of the chemical, if known.
    (v) The selection of these dose levels should be based on existing 
data, preferably on the results of subchronic studies.
    (4) Exposure conditions. The animals are dosed with the test 
substance ideally on a 7 day per week basis over a period of at least 24 
months for rats, and 18 months for mice. However, based primarily on 
practical considerations, dosing on a 5 day per week basis is considered 
to be acceptable.
    (5) Observations period. It is necessary that the duration of an 
oncogenicity test comprise the majority of the normal life span of the 
strain of animals to be used. This time period shall not be less than 24 
months for rats and 18 months for mice, and ordinarily not longer than 
30 months for rats and 24 months for mice. For longer time periods, and 
where any other species are used, consultation with the Agency in regard 
to the duration of the test is advised.
    (6) Administration of the test substance. The three main routes of 
administration are oral, dermal, and inhalation. The choice of the route 
of administration depends upon the physical and chemical characteristics 
of the test substance and the form typifying exposure in humans.
    (i) Oral studies. (A) The animals shall receive the test substance 
in their diet, dissolved in drinking water at levels that do not exceed 
the maximum solubility of the test chemical under testing condition.
    (B) If the test substance is administered in the drinking water, or 
mixed in the diet, exposure shall be continuous.
    (C) For a diet mixture, the highest concentration should not exceed 
5 percent.

[[Page 162]]

    (ii) Dermal studies. (A) The animals are treated by topical 
application with the test substance, ideally for at least 6 hours per 
day.
    (B) Fur should be clipped from the dorsal area of the trunk of the 
test animals. Care should be taken to avoid abrading the skin which 
could alter its permeability.
    (C) The test substance shall be applied uniformly over a shaved area 
which is approximately 10 percent of the total body surface area. With 
highly toxic substances, the surface area covered may be less, but as 
much of the area shall be covered with as thin and uniform a film as 
possible.
    (D) During the exposure period, the test substance may be held, if 
necessary, in contact with the skin with a porous gauze dressing and 
non-irritating tape. The test site should be further covered in a 
suitable manner to retain the gauze dressing and test substance and 
ensure that the animals cannot ingest the test substance.
    (iii) Inhalation studies. (A) The animals shall be tested with 
inhalation equipment designed to sustain a minimum dynamic air flow of 
12 to 15 air changes per hour, ensure an adequate oxygen content of 19 
percent and an evenly distributed exposure atmosphere. Where a chamber 
is used, its design should minimize crowding of the test animals and 
maximize their exposure to the test substance. This is best accomplished 
by individual caging. To ensure stability of a chamber atmosphere, the 
total ``volume'' of the test animals shall not exceed 5 percent of the 
volume of the test chamber. Alternatively, oro-nasal, head-only, or 
whole-body individual chamber exposure may be used.
    (B) The temperature at which the test is performed should be 
maintained at 22 [deg]C (2[deg]). Ideally, the 
relative humidity should be maintained between 40 to 60 percent, but in 
certain instances (e.g. tests of aerosols, use of water vehicle) this 
may not be practicable.
    (C) Feed and water shall be withheld during each daily 6-hour 
exposure period.
    (D) A dynamic inhalation system with a suitable flow control system 
shall be used. The rate of air flow shall be adjusted to ensure that 
conditions throughout the equipment are essentially the same. 
Maintenance of slight negative pressure inside the chamber will prevent 
leakage of the test substance into the surrounding areas.
    (7) Observations of animals. (i) Each animal shall be observed daily 
and if necessary should be handled to appraise its physical condition.
    (ii) Additional observations shall be made daily with appropriate 
actions taken to minimize loss of animals to the study (e.g., necropsy 
or refrigeration of those animals found dead and isolation or sacrifice 
of weak or moribund animals).
    (iii) Clinical signs and mortality shall be recorded for all 
animals. Special attention should be paid to tumor development. The day 
of onset, location, dimensions, appearance and progression of each 
grossly visible or palpable tumor shall be recorded.
    (iv) Body weights shall be recorded individually for all animals 
once a week during the first 13 weeks of the test period and at least 
once every 4 weeks thereafter unless signs of clinical toxicity suggest 
more frequent weighings to facilitate monitoring of health status.
    (v) When the test substance is administered in the feed or drinking 
water, measurements of feed or water consumption, respectively, shall be 
determined weekly during the first 13 weeks of the study and then at 
approximately monthly intervals unless health status or body weight 
changes dictate otherwise.
    (vi) At the end of the study period all survivors are sacrificed. 
Moribund animals shall be removed and sacrificed when noticed.
    (8) Physical measurements. For inhalation studies, measurements or 
monitoring should be made of the following:
    (i) The rate of air flow shall be monitored continuously and 
recorded at intervals of at least once every 30 minutes.
    (ii) During each exposure period the actual concentrations of the 
test substance shall be held as constant as practicable, monitored 
continuously and recorded at least three times during the test period: 
at the beginning, at

[[Page 163]]

an intermediate time and at the end of the period.
    (iii) During the development of the generating system, particle size 
analysis shall be performed to establish the stability of aerosol 
concentrations with respect to particle size. During exposure, analyses 
shall be conducted as often as necessary to determine the consistency of 
particle size, distribution, and homogeneity of the exposure stream.
    (iv) Temperature and humidity shall be monitored continuously, but 
shoud be recorded at intervals of at least once every 30 minutes.
    (9) Clinical examinations. At 12 months, 18 months, and at 
sacrifice, a blood smear shall be obtained from all animals. A 
differential blood count shall be performed on blood smears from those 
animals in the highest dosage group and the controls. If these data, or 
data from the pathological examination indicate a need, then the 12- and 
18-month blood smears from other dose levels shall also be examined. 
Differential blood counts shall be performed for the next lower group(s) 
if there is a major discrepancy between the highest group and the 
controls. If clinical observations suggest a deterioration in health of 
the animals during the study, a differential blood count of the affected 
animals shall be performed.
    (10) Gross necropsy. (i) A complete gross examination shall be 
performed on all animals, including those which died during the 
experiment or were killed in moribund conditions.
    (ii) The following organs and tissues or representative samples 
thereof, shall be preserved in a suitable medium for possible future 
histopathological examination: All gross lesions and tumors of all 
animals shall be preserved; brain--including sections of medulla/pons, 
cerebellar cortex and cerebral cortex; pituitary; thyroid/parathyroid; 
thymus; lungs; trachea; heart; spinal cord at three levels--cervical, 
midthoracic and lumbar; sternum and/or femur with bone marrow; salivary 
glands; liver; spleen; kidneys; adrenals; esophagus; stomach; duodenum; 
jejunum; ileum; cecum; colon; rectum; urinary bladder; representative 
lymph nodes; pancreas; gonads; uterus; accessory genital organs 
(epididymis, prostate, and, if present, seminal vesicles); mammary 
gland; skin; musculature; peripheral nerve; and eyes. In inhalation 
studies, the entire respiratory tract shall be preserved, including 
nasal cavity, pharynx, larynx and paranasal sinuses. In dermal studies, 
skin from sites of skin painting shall be examined and preserved.
    (iii) Inflation of lungs and urinary bladder with a fixative is the 
optimal method for preservation of these tissues. The proper inflation 
and fixation of the lungs in inhalation studies is required for 
appropriate and valid histopathological examination.
    (iv) If other clinical examinations are carried out, the information 
obtained from these procedures shall be available before microscopic 
examination, since they may provide significant guidance to the 
pathologist.
    (11) Histopathology. (i) The following histopathology shall be 
performed:
    (A) Full histopathology on organs and tissues listed above of all 
animals in the control and high dose groups and all animals that died or 
were killed during the study.
    (B) All gross lesions in all animals.
    (C) Target organs in all animals.
    (ii) If a significant difference is observed in hyperplastic, pre-
neoplastic or neoplastic lesions between the highest dose and control 
groups, microscopic examination shall be made on that particular organ 
or tissue of all animals in the study.
    (iii) If excessive early deaths or other problems occur in the high 
dose group, compromising the significance of the data, the next lower 
dose level shall be examined for complete histopathology.
    (iv) In case the results of an experiment give evidence of 
substantial alteration of the animals' normal longevity or the induction 
of effects that might affect a neoplastic response, the next lower dose 
level shall be examined fully as described in this section.
    (v) An attempt shall be made to correlate gross observations with 
microscopic findings.
    (c) Data and reporting--(1) Treatment of results. (i) Data shall be 
summarized in tabular form, showing for each test group the number of 
animals at the

[[Page 164]]

start of the test, the number of animals showing lesions, the types of 
lesions and the percentage of animals displaying each type of lesion.
    (ii) All observed results, quantitative and incidental, shall be 
evaluated by an appropriate statistical method. Any generally accepted 
statistical method may be used; the statistical methods shall be 
selected during the design of the study.
    (2) Evaluation of study results. (i) The findings of an oncogenic 
toxicity study shall be evaluated in conjunction with the findings of 
preceding studies and considered in terms of the toxic effects, the 
necropsy and histopathological findings. The evaluation shall include 
the relationship between the dose of the test substance and the 
presence, incidence and severity of abnormalities (including behavioral 
and clinical abnormalities), gross lesions, identified target organs, 
body weight changes, effects on mortality and any other general or 
specific toxic effects.
    (ii) In any study which demonstrates an absence of toxic effects, 
further investigation to establish absorption and bioavailability of the 
test substance should be considered.
    (iii) In order for a negative test to be acceptable, it shall meet 
the following criteria: no more than 10 percent of any group is lost due 
to autolysis, cannibalism, or management problems; and survival in each 
group should be no less than 50 percent at 18 months for mice and 
hamsters and at 24 months for rats.
    (3) Test report. (i) In addition to the reporting requirements as 
specified under 40 CFR part 792, subpart J the following specific 
information shall be reported:
    (A) Group animal data. Tabulation of toxic response data by species, 
strain, sex and exposure level for:
    (1) Number of animals dying.
    (2) Number of animals showing signs of toxicity.
    (3) Number of animals exposed.
    (B) Individual animal data. (1) Time of death during the study or 
whether animals survived to termination.
    (2) Time of observation of each abnormal sign and its subsequent 
course.
    (3) Body weight data.
    (4) Feed and water consumption data, when collected.
    (5) Results of ophthalmological examination, when performed.
    (6) Hematological tests employed and all results.
    (7) Clinical biochemistry tests employed and all results.
    (8) Necropsy findings.
    (9) Detailed description of all histopathological findings.
    (10) Statistical treatment of results, where appropriate.
    (11) Historical control data, if taken into account.
    (ii) In addition, for inhalation studies the following shall be 
reported:
    (A) Test conditions. (1) Description of exposure apparatus including 
design, type, dimensions, source of air, system for generating 
particulates and aerosols, method of conditioning air, treatment of 
exhaust air and the method of housing the animals in a test chamber.
    (2) The equipment for measuring temperature, humidity, and 
particulate aerosol concentrations and size shall be described.
    (B) Exposure data. These shall be tabulated and presented with mean 
values and a measure of variability (e.g., standard deviation) and shall 
include:
    (1) Airflow rates through the inhalation equipment.
    (2) Temperature and humidity of air.
    (3) Nominal concentration (total amount of test substance fed into 
the inhalation equipment divided by volume of air).
    (4) Actual concentration in test breathing zone.
    (5) Particle size distribution (e.g., median aerodynamic diameter of 
particles with standard deviation from the mean).
    (d) References. For additional background information on this test 
guideline the following references should be consulted:
    (1) Department of Health and Welfare. The Testing of Chemicals for 
Carcinogenicity, Mutagenicity, Teratogenicity. Minister of Health and 
Welfare. (Canada: Department of Health and Welfare, 1975).
    (2) Food and Drug Administration Advisory Committee on Protocols for

[[Page 165]]

Safety Evaluation: Panel on Carcinogenesis. ``Report on Cancer Testing 
in the Safety of Food Additives and Pesticides,'' Toxicology and Applied 
Pharmacology. 20:419-438 (1971).
    (3) International Union Against Cancer. ``Carcinogenicity Testing,'' 
IUCC Technical Report Series. Vol. 2., Ed. I. Berenblum. (Geneva: 
International Union Against Cancer, 1969).
    (4) Leong, B.K.J., Laskin, S. ``Number and Species of Experimental 
Animals for Inhalation Carcinogenicity Studies'' Paper presented at 
Conference on Target Organ Toxicity, September 1975, Cincinnati, Ohio.
    (5) National Academy of Sciences. ``Principles and Procedures for 
Evaluating the Toxicity of Household Substances.'' A report prepared by 
the Committee for the Revision of NAS Publication 1138, under the 
auspices of the Committee on Toxicology, National Research Council, 
National Academy of Sciences, Washington, DC (1977).
    (6) National Cancer Institute. Report of the Subtask Group on 
Carcinogen Testing to the Interagency Collaborative Group on 
Environmental Carcinogenesis. (Bethesda: United States National Cancer 
Institute, 1976).
    (7) National Center for Toxicological Research. ``Appendix B,'' 
Report of Chronic Studies Task Force Committee. April 13-21 (Rockville: 
National Center for Toxicological Research, 1972).
    (8) Page, N.P. ``Chronic Toxicity and Carcinogenicity Guidelines,'' 
Journal of Environmental Pathology and Toxicology. 1:161-182 (1977).
    (9) Page, N.P. ``Concepts of a Bioassay Program in Environmental 
Carcinogenesis,'' Advances in Modern Toxicology Vol. 3, Ed. Kraybill and 
Mehlman. (Washington, DC: Hemisphere Publishing Corporation, 1977) pp. 
87-171.
    (10) Sontag, J.M., Page N.P., Saffiotti, U. Guidelines for 
Carcinogen Bioassay in Small Rodents. NCI-CS-TR-1. (Bethesda: United 
States Cancer Institute, Division of Cancer Control and Prevention, 
Carcinogenesis Bioassay Program, 1976).
    (11) United States Pharmaceutical Manufacturers Association. 
Guidelines for the Assessment of Drug and Medical Device Safety in 
Animals. (1977).
    (12) World Health Organization. ``Principles for the Testing and 
Evaluation of Drugs for Carcinogenicity,'' WHO Technical Report Series 
No. 426. (Geneva: World Health Organization, 1969).
    (13) World Health Organization. ``Part I. Environmental Health 
Criteria 6,'' Principles and Methods for Evaluating the Toxicity of 
Chemicals. (Geneva: World Health Organization, 1978).

[50 FR 39397, Sept. 27, 1985, as amended at 52 FR 19075, May 20, 1987; 
54 FR 21064, May 16, 1989]



Sec.  798.3320  Combined chronic toxicity/oncogenicity.

    (a) Purpose. The objective of a combined chronic toxicity/
oncogenicity study is to determine the effects of a substance in a 
mammalian species following prolonged and repeated exposure. The 
application of this guideline should generate data which identify the 
majority of chronic and oncogenic effects and determine dose-response 
relationships. The design and conduct should allow for the detection of 
neoplastic effects and a determination of oncogenic potential as well as 
general toxicity, including neurological, physiological, biochemical, 
and hematological effects and exposure-related morphological (pathology) 
effects.
    (b) Test procedures--(1) Animal selection--(i) Species and strain. 
Preliminary studies providing data on acute, subchronic, and metabolic 
responses should have been carried out to permit an appropriate choice 
of animals (species and strain). As discussed in other guidelines, the 
mouse and rat have been most widely used for assessment of oncogenic 
potential, while the rat and dog have been most often studied for 
chronic toxicity. The rat is the species of choice for combined chronic 
toxicity and oncogenicity studies. The provisions of this guideline are 
designed primarily for use with the rat as the test species. If other 
species are used, the tester should provide justification/reasoning for 
their selection. The strain selected should be susceptible to the 
oncogenic or toxic effect of the class of substances being tested, if 
known, and provided it does not have a spontaneous background too high 
for

[[Page 166]]

meaningful assessment. Commonly used laboratory strains should be 
employed.
    (ii) Age. (A) Dosing of rats should begin as soon as possible after 
weaning, ideally before the rats are 6 weeks old, but in no case more 
than 8 weeks old.
    (B) At commencement of the study, the weight variation of animals 
used should not exceed 20 percent of the mean 
weight for each sex.
    (C) Studies using prenatal or neonatal animals may be recommended 
under special conditions.
    (iii) Sex. (A) Equal numbers of animals of each sex should be used 
at each dose level.
    (B) The females should be nulliparous and nonpregnant.
    (iv) Numbers. (A) At least 100 rodents (50 females and 50 males) 
should be used at each dose level and concurrent control for those 
groups not intended for early sacrifice. At least 40 rodents (20 females 
and 20 males) should be used for satellite dose group(s) and the 
satellite control group. The purpose of the satellite group is to allow 
for the evaluation of pathology other than neoplasia.
    (B) If interim sacrifices are planned, the number of animals should 
be increased by the number of animals scheduled to be sacrificed during 
the course of the study.
    (C) The number of animals at the termination of each phase of the 
study should be adequate for a meaningful and valid statistical 
evaluation of long term exposure. For a valid interpretation of negative 
results, it is essential that survival in all groups not fall below 50 
percent at the time of termination.
    (2) Control groups. (i) A concurrent control group (50 females and 
50 males) and a satellite control group (20 females and 20 males) are 
recommended. These groups should be untreated or sham treated control 
groups or, if a vehicle is used in administering the test substance, 
vehicle control groups. If the toxic properties of the vehicle are not 
known or cannot be made available, both untreated and vehicle control 
groups are recommended. Animals in the satellite control group should be 
sacrificed at the same time the satellite test group is terminated.
    (ii) In special circumstances such as inhalation studies involving 
aerosols or the use of an emulsifier of uncharacterized biological 
activity in oral studies, a concurrent negative control group should be 
utilized. The negative control group should be treated in the same 
manner as all other test animals, except that this control group should 
not be exposed to the test substance or any vehicle.
    (iii) The use of historical control data (i.e., the incidence of 
tumors and other suspect lesions normally occuring under the same 
laboratory conditions and in the same strain of animals employed in the 
test) is desirable for assessing the significance of changes observed in 
exposed animals.
    (3) Dose levels and dose selection. (i) For risk assessment 
purposes, at least three dose levels should be used, in addition to the 
concurrent control group. Dose levels should be spaced to produce a 
gradation of effects.
    (ii) The highest dose level in rodents should elicit signs of 
toxicity without substantially altering the normal life span due to 
effects other than tumors.
    (iii) The lowest dose level should produce no evidence of toxicity. 
Where there is a usable estimation of human exposure, the lowest dose 
level should exceed this even though this dose level may result in some 
signs of toxicity.
    (iv) Ideally, the intermediate dose level(s) should produce minimal 
observable toxic effects. If more than one intermediate dose is used the 
dose levels should be spaced to produce a gradation of toxic effects.
    (v) For rodents, the incidence of fatalities in low and intermediate 
dose groups and in the controls should be low to permit a meaningful 
evaluation of the results.
    (vi) For chronic toxicological assessment, a high dose treated 
satellite and a concurrent control satellite group should be included in 
the study design. The highest dose for satellite animals should be 
chosen so as to produce frank toxicity, but not excessive lethality, in 
order to elucidate a chronic toxicological profile of the test 
substance. If more than one dose level is selected for satellite dose 
groups, the doses should be spaced to produce a gradation of toxic 
effects.

[[Page 167]]

    (4) Exposure conditions. The animals are dosed with the test 
substance ideally on a 7-day per week basis over a period of at least 24 
months for rats, and 18 months for mice and hamsters, except for the 
animals in the satellite groups which should be dosed for 12 months.
    (5) Observation period. It is necessary that the duration of the 
oncogenicity test comprise the majority of the normal life span of the 
animals to be used. It has been suggested that the duration of the study 
should be for the entire lifetime of all animals. However, a few animals 
may greatly exceed the average lifetime and the duration of the study 
may be unnecessarily extended and complicate the conduct and evaluation 
of the study. Rather, a finite period covering the majority of the 
expected life span of the strain is preferred since the probability is 
high that, for the great majority of chemicals, induced tumors will 
occur within such an observation period. The following guidelines are 
recommended:
    (i) Generally, the termination of the study should be at 18 months 
for mice and hamsters and 24 months for rats; however, for certain 
strains of animals with greater longevity and/or low spontaneous tumor 
rate, termination should be at 24 months for mice and hamsters and at 30 
months for rats. For longer time periods, and where any other species 
are used, consultation with the Agency in regard to duration of the test 
is advised.
    (ii) However, termination of the study is acceptable when the number 
of survivors of the lower doses or of the control group reaches 25 
percent. In the case where only the high dose group dies prematurely for 
obvious reasons of toxicity, this should not trigger termination of the 
study.
    (iii) The satellite groups and the concurrent satellite control 
group should be retained in the study for at least 12 months. These 
groups should be scheduled for sacrifice for an estimation of test-
substance-related pathology uncomplicated by geriatric changes.
    (6) Administration of the test substance. The three main routes of 
administration are oral, dermal, and inhalation. The choice of the route 
of administration depends upon the physical and chemical characteristics 
of the test substance and the form typifying exposure in humans.
    (i) Oral studies. (A) The animals should receive the test substance 
in their diet, dissolved in drinking water, or given by gavage or 
capsule for a period of at least 24 months for rats and 18 months for 
mice and hamsters.
    (B) If the test substance is administered in the drinking water, or 
mixed in the diet, exposure is continuous.
    (C) For a diet mixture, the highest concentration should not exceed 
5 percent.
    (ii) Dermal studies. (A) The animals are treated by topical 
application with the test substance, ideally for at least 6 hours per 
day.
    (B) Fur should be clipped from the dorsal area of the trunk of the 
test animals. Care should be taken to avoid abrading the skin which 
could alter its permeability.
    (C) The test substance should be applied uniformly over a shaved 
area which is approximately 10 percent of the total body surface area. 
With highly toxic substances, the surface area covered may be less, but 
as much of the area as possible should be covered with as thin and 
uniform a film as possible.
    (D) During the exposure period, the test substance may be held, if 
necessary, in contact with the skin with a porous gauze dressing and 
nonirritating tape. The test site should be further covered in a 
suitable manner to retain the gauze dressing and test substance and 
ensure that the animals cannot ingest the test substance.
    (iii) Inhalation studies. (A) The animals should be tested with 
inhalation equipment designed to sustain a dynamic air flow of 12 to 15 
air changes per hour, to ensure an adequate oxygen content of 19 percent 
and an evenly distributed exposure atmosphere. Where a chamber is used, 
its design should minimize crowding of the test animals and maximize 
their exposure to the test substance. This is best accomplished by 
individual caging. As a general rule, to ensure stability of a chamber 
atmosphere, the total ``volume'' of the test animals should not exceed 5 
percent of the volume of the test chamber. Alternatively, oro-nasal, 
head only, or whole

[[Page 168]]

body individual chamber exposure may be used.
    (B) The temperature at which the test is performed should be 
maintained at 22 [deg]C (2[deg]). Ideally, the 
relative humidity should be maintained between 40 to 60 percent, but in 
certain instances (e.g., tests of aerosols, use of water vehicle) this 
may not be practicable.
    (C) Feed and water should be withheld during each daily 6-hour 
exposure period.
    (D) A dynamic inhalation system with a suitable analytical 
concentration control system should be used. The rate of air flow should 
be adjusted to ensure that conditions throughout the equipment are 
essentially the same. Maintenance of slight negative pressure inside the 
chamber will prevent leakage of the test substance into the surrounding 
areas.
    (7) Observation of animals. (i) Each animal should be handled and 
its physical condition appraised at least once each day.
    (ii) Additional observations should be made daily with appropriate 
actions taken to minimize loss of animals to the study (e.g., necropsy 
or refrigeration of those animals found dead and isolation or sacrifice 
of weak or moribund animals).
    (iii) Clinical signs and mortality should be recorded for all 
animals. Special attention should be paid to tumor development. The time 
of onset, location, dimensions, appearance and progression of each 
grossly visible or palpable tumor should be recorded.
    (iv) Body weights should be recorded individually for all animals 
once a week during the first 13 weeks of the test period and at least 
once every 4 weeks thereafter, unless signs of clinical toxicity suggest 
more frequent weighings to facilitate monitoring of health status.
    (v) When the test substance is administered in the feed or drinking 
water, measurements of feed or water consumption, respectively, should 
be determined weekly during the first 13 weeks of the study and then at 
approximately monthly intervals unless health status or body weight 
changes dictate otherwise.
    (vi) At the end of the study period, all survivors are sacrificed. 
Moribund animals should be removed and sacrificed when noticed.
    (8) Physical measurements. For inhalation studies, measurements or 
monitoring should be made of the following:
    (i) The rate of airflow should be monitored continuously, but should 
be recorded at intervals of at least once every 30 minutes.
    (ii) During each exposure period the actual concentrations of the 
test substance should be held as constant as practicable, monitored 
continuously and recorded at least three times during the test period: 
At the beginning, at an intermediate time and at the end of the period.
    (iii) During the development of the generating system, particle size 
analysis should be performed to establish the stability of aerosol 
concentrations. During exposure, analyses should be conducted as often 
as necessary to determine the consistency of particle size distribution 
and homogeneity of the exposure stream.
    (iv) Temperature and humidity should be monitored continuously, but 
should be recorded at intervals of at least once every 30 minutes.
    (9) Clinical examinations. (i) The following examinations should be 
made on at least 20 rodents of each sex per dose level:
    (A) Certain hematology determinations (e.g., hemoglobin content, 
packed cell volume, total red blood cells, total white blood cells, 
platelets, or other measures of clotting potential) should be performed 
at termination and should be performed at 3 months, 6 months and at 
approximately 6-month intervals thereafter (for those groups on test for 
longer than 12 months) on blood samples collected from 20 rodents per 
sex of all groups. These collections should be from the same animals at 
each interval. If clinical observations suggest a deterioration in 
health of the animals during the study, a differential blood count of 
the affected animals should be performed. A differential blood count 
should be performed on samples from animals in the highest dosage group 
and the controls. Differential blood counts should be performed for the 
next lower group(s) if

[[Page 169]]

there is a major discrepancy between the highest group and the controls. 
If hematological effects were noted in the subchronic test, 
hematological testing should be performed at 3, 6, 12, 18 and 24 months 
for a year study.
    (B) Certain clinical biochemistry determinations on blood should be 
carried out at least three times during the test period: Just prior to 
initiation of dosing (baseline data), near the middle and at the end of 
the test period. Blood samples should be drawn for clinical measurements 
from at least ten rodents per sex of all groups; if possible, from the 
same rodents at each time interval. Test areas which are considered 
appropriate to all studies: electrolyte balance, carbohydrate metabolism 
and liver and kidney function. The selection of specific tests will be 
influenced by observations on the mode of action of the substance and 
signs of clinical toxicity. Suggested chemical determinations: Calcium, 
phosphorus, chloride, sodium, potassium, fasting glucose (with period of 
fasting appropriate to the species), serum glutamic-pyruvic transaminase 
(now known as serum alanine aminotransferase), serum glutamic 
oxaloacetic transaminase (now known as serum aspartate 
aminotransferase), ornithine decarboxylase, gamma glutamyl 
transpeptidase, blood urea nitrogen, albumen, creatinine phosphokinase, 
total cholesterol, total bilirubin and total serum protein measurements. 
Other determinations which may be necessary for an adequate 
toxicological evaluation include analyses of lipids, hormones, acid/base 
balance, methemoglobin and cholinesterase activity. Additional clinical 
biochemistry may be employed where necessary to extend the investigation 
of observed effects.
    (ii) The following should be performed on at least 10 rodents of 
each sex per dose level:
    (A) Urine samples from the same rodents at the same intervals as 
hematological examination above, should be collected for analysis. The 
following determinations should be made from either individual animals 
or on a pooled sample/sex/group for rodents: appearance (volume and 
specific gravity), protein, glucose, ketones, bilirubin, occult blood 
(semi-quantitatively) and microscopy of sediment (semi-quantitatively).
    (B) Ophthalmological examination, using an ophthalmoscope or 
equivalent suitable equipment, should be made prior to the 
administration of the test substance and at the termination of the 
study. If changes in the eyes are detected, all animals should be 
examined.
    (10) Gross necropsy. (i) A complete gross examination should be 
performed on all animals, including those which died during the 
experiment or were killed in moribund conditions.
    (ii) The liver, kidneys, adrenals, brain and gonads should be 
weighed wet, as soon as possible after dissection to avoid drying. For 
these organs, at least 10 rodents per sex per group should be weighed.
    (iii) The following organs and tissues, or representative samples 
thereof, should be preserved in a suitable medium for possible future 
histopathological examination: All gross lesions and tumors; brain-
including sections of medulla/pons, cerebellar cortex, and cerebral 
cortex; pituitary; thyroid/parathyroid; thymus; lungs; trachea; heart; 
sternum and/or femur with bone marrow; salivary glands; liver; spleen; 
kidneys; adrenals; esophagus; stomach; duodenum; jejunum; ileum; cecum; 
colon; rectum; urinary bladder; representative lymph nodes; pancreas; 
gonads; uterus; accessory genital organs (epididymis, prostate, and, if 
present, seminal vesicles); female mammary gland; aorta; gall bladder 
(if present); skin; musculature; peripheral nerve; spinal cord at three 
levels--cervical, midthoracic, and lumbar; and eyes. In inhalation 
studies, the entire respiratory tract, including nose, pharynx, larynx 
and paranasal sinuses should be examined and preserved. In dermal 
studies, skin from sites of skin painting should be examined and 
preserved.
    (iv) Inflation of lungs and urinary bladder with a fixative is the 
optimal method for preservation of these tissues. The proper inflation 
and fixation of the lungs in inhalation studies is considered essential 
for appropriate and valid histopathological examination.

[[Page 170]]

    (v) If other clinical examinations are carried out, the information 
obtained from these procedures should be available before microscopic 
examination, since they may provide significant guidance to the 
pathologist.
    (11) Histopathology. (i) The following histopathology should be 
performed:
    (A) Full histopathology on the organs and tissues, listed above, of 
all non-rodents, of all rodents in the control and high dose groups and 
of all rodents that died or were killed during the study.
    (B) All gross lesions in all animals.
    (C) Target organs in all animals.
    (D) Lungs, liver and kidneys of all animals. Special attention to 
examination of the lungs of rodents should be made for evidence of 
infection since this provides an assessment of the state of health of 
the animals.
    (ii) If excessive early deaths or other problems occur in the high 
dose group compromising the significance of the data, the next dose 
level should be examined for complete histopathology.
    (iii) In case the results of the experiment give evidence of 
substantial alteration of the animals' normal longevity or the induction 
of effects that might affect a toxic response, the next lower dose level 
should be examined as described above.
    (iv) An attempt should be made to correlate gross observations with 
microscopic findings.
    (c) Data and reporting--(1) Treatment of results. (i) Data should be 
summarized in tabular form, showing for each test group the number of 
animals at the start of the test, the number of animals showing lesions, 
the types of lesions and the percentage of animals displaying each type 
of lesion.
    (ii) All observed results, quantitative and incidental, should be 
evaluated by an appropriate statistical method. Any generally accepted 
statistical methods may be used; the statistical methods should be 
selected during the design of the study.
    (2) Evaluation of study results. (i) The findings of a combined 
chronic toxicity/oncogenicity study should be evaluated in conjunction 
with the findings of preceding studies and considered in terms of the 
toxic effects, the necropsy and histopathological findings. The 
evaluation will include the relationship between the dose of the test 
substance and the presence, incidence and severity of abnormalities 
(including behavioral and clinical abnormalities), gross lesions, 
identified target organs, body weight changes, effects on mortality and 
any other general or specific toxic effects.
    (ii) In any study which demonstrates an absence of toxic effects, 
further investigation to establish absorption and bioavailablity of the 
test substance should be considered.
    (iii) In order for a negative test to be acceptable, it should meet 
the following criteria: No more than 10 percent of any group is lost due 
to autolysis, cannibalism, or management problems; and survival in each 
group is no less than 50 percent at 18 months for mice and hamsters and 
at 24 months for rats.
    (3) Test report. (i) In addition to the reporting requirements as 
specified under 40 CFR part 792, subpart J the following specific 
information should be reported:
    (A) Group animal data. Tabulation of toxic response data by species, 
strain, sex and exposure level for:
    (1) Number of animals dying.
    (2) Number of animals showing signs of toxicity.
    (3) Number of animals exposed.
    (B) Individual animal data. (1) Time of death during the study or 
whether animals survived to termination.
    (2) Time of observation of each abnormal sign and its subsequent 
course.
    (3) Body weight data.
    (4) Feed and water consumption data, when collected.
    (5) Results of ophthalmological examination, when performed.
    (6) Hematological tests employed and all results.
    (7) Clinical biochemistry tests employed and all results.
    (8) Necropsy findings.
    (9) Detailed description of all histopathological findings.
    (10) Statistical treatment of results where appropriate.
    (11) Historical control data, if taken into account.
    (ii) In addition, for inhalation studies the following should be 
reported:

[[Page 171]]

    (A) Test conditions. (1) Description of exposure apparatus including 
design, type, dimensions, source of air, system for generating 
particulates and aerosols, method of conditioning air, treatment of 
exhaust air and the method of housing the animals in a test chamber.
    (2) The equipment for measuring temperature, humidity, and 
particulate aerosol concentrations and size should be described.
    (B) Exposure data. These should be tabulated and presented with mean 
values and a measure of variability (e.g. standard deviation) and should 
include:
    (1) Airflow rates through the inhalation equipment.
    (2) Temperature and humidity of air.
    (3) Nominal concentration (total amount of test substance fed into 
the inhalation equipment divided by volume of air).
    (4) Actual concentration in test breathing zone.
    (5) Particle size distribution (e.g. median aerodynamic diameter of 
particles with standard deviation from the mean).
    (d) References. For additional background information on this test 
guideline the following references should be consulted:
    (1) Benitz, K.F. ``Measurement of Chronic Toxicity,'' Methods of 
Toxicology. Ed. G.E. Paget. (Oxford: Blackwell Scientific Publications, 
1970) pp. 82-131.
    (2) D'Aguanno, W. ``Drug Safety Evaluation--Pre-Clinical 
Considerations,'' ``Industrial Pharmacology: Neuroleptics. Vol. I Ed. S. 
Fielding and H. Lal. (Mt. Kisco, New York: Futura Publishing Co., 1974) 
pp. 317-332.
    (3) Department of Health and Welfare. The Testing of Chemicals for 
Carcinogenicity, Mutagenicity, Teratogenicity. Minister of Health and 
Welfare. (Canada: Department of Health and Welfare, 1975).
    (4) Fitzhugh, O.G. ``Chronic Oral Toxicity,'' Appraisal of the 
Safety of Chemicals in Foods, Drugs and Cosmetics. The Association of 
Food and Drug Officials of the United States (1959, 3rd Printing 1975). 
pp. 36-45.
    (5) Food and Drug Administration Advisory Committee on Protocols for 
Safety Evaluation: Panel on Carcinogenesis. ``Report on Cancer Testing 
in the Safety of Food Additives and Pesticides,'' Toxicology and Applied 
Pharmacology. 20:419-438 (1971).
    (6) Goldenthal, E.I., and D'Aguanno, W. ``Evaluation of Drugs,'' 
Appraisal of the Safety of Chemicals in Foods, Drugs, and Cosmetics. The 
Association of Food and Drug Officials of the United States (1959, 3rd 
printing 1975) pp.60-67.
    (7) International Union Against Cancer. ``Carcinogenicity Testing,'' 
IUCC Technical Report Series Vol. 2, Ed. I. Berenblum. (Geneva: 
International Union Against Cancer, 1969).
    (8) Leong, B.K.J., and Laskin, S. ``Number and Species of 
Experimental Animals for Inhalation Carcinogenicity Studies,'' Paper 
presented at Conference on Target Organ Toxicity. September, 1975, 
Cincinnati, Ohio.
    (9) National Academy of Sciences. ``Principles and Procedures for 
Evaluating the Toxicity of Household Substances,'' A report prepared by 
the Committee for the Revision of NAS Publication 1138, under the 
auspices of the Committee on Toxicology, National Research Council, 
National Academy of Sciences, Washington, DC (1977).
    (10) National Cancer Institute. Report of the Subtask Group on 
Carcinogen Testing to the Interagency Collaborative Group on 
Environmental Carcinogenesis. (Bethesda: United States National Cancer 
Institute, 1976).
    (11) National Center for Toxicological. Report of Chronic Studies 
Task Force Research Committee. ``Appendix B, (Rockville: National Center 
for Toxicological Research, 1972)).
    (12) Page, N.P. ``Chronic Toxicity and Carcinogenicity Guidelines,'' 
Journal Environmental Pathology and Toxicology. 1:161-182 (1977).
    (13) Page, N.P. ``Concepts of a Bioassay Program in Environmental 
Carcinogenesis,'' Advances in Modern Toxicology Volume 3, Ed. Kraybill 
and Mehlman. (Washington, D.C.: Hemisphere Publishing Corp., 1977) pp. 
87-171.
    (14) Schwartz, E. 1974. ``Toxicology of Neuroleptic Agents,'' 
Industrial Pharmacology: Neuroleptics. Ed. S. Fielding and H. Lal. (Mt. 
Kisco, New York: Futura Publishing Co, 1974) pp. 203-221.

[[Page 172]]

    (15) Sontag, J.M., Page, N.P., and Saffiotti, U. Guidelines for 
Carcinogen Bioassay in Small Rodents. NCI-CS-TR-1 (Bethesda: United 
States Cancer Institute, Division of Cancer Control and Prevention, 
Carcinogenesis Bioassay Program, 1976).
    (16) United States Pharmaceutical Manufacturers Association. 
Guidelines for the Assessment of Drug and Medical Device Safety in 
Animals. (1977).
    (17) World Health Organization. ``Principles for the Testing and 
Evaluation of Drugs for Carcinogenicity,'' WHO Technical Report Series 
No. 426. (Geneva: World Health Organization, 1969).
    (18) World Health Organization. ``Guidelines for Evaluation of Drugs 
for Use in Man,'' WHO Technical Report Series No. 563. (Geneva: World 
Health Organization, 1975).
    (19) World Health Organization. ``Part I. Environmental Health 
Criteria 6,'' Principles and Methods for Evaluating the Toxicity of 
Chemicals. (Geneva: World Health Organization, 1978).
    (20) World Health Organization. ``Principles for Pre-Clinical 
Testing of Drug Safety,'' WHO Technical Report Series No. 341. (Geneva: 
World Health Organization, 1966).

[50 FR 39397, Sept. 27, 1985, as amended at 54 FR 21064, May 16, 1989]



                Subpart E_Specific Organ/Tissue Toxicity



Sec.  798.4100  Dermal sensitization.

    (a) Purpose. In the assessment and evaluation of the toxic 
characteristics of a substance, determination of its potential to 
provoke skin sensitization reactions is important. Information derived 
from tests for skin sensitization serves to identify the possible hazard 
to a population repeatedly exposed to a test substance. While the 
desirability of skin sensitization testing is recognized, there are some 
real differences of opinion about the best method to use. The test 
selected should be a reliable screening procedure which should not fail 
to identify substances with significant allergenic potential, while at 
the same time avoiding false negative results.
    (b) Definitions. (1) Skin sensitization (allergic contact 
dermatitis) is an immunologically mediated cutaneous reaction to a 
substance. In the human, the responses may be characterized by pruritis, 
erythema, edema, papules, vesicles, bullae, or a combination of these. 
In other species the reactions may differ and only erythema and edema 
may be seen.
    (2) Induction period is a period of at least 1 week following a 
sensitization exposure during which a hypersensitive state is developed.
    (3) Induction exposure is an experimental exposure of a subject to a 
test substance with the intention of inducing a hypersensitive state.
    (4) Challenge exposure is an experimental exposure of a previously 
treated subject to a test substance following an induction period, to 
determine whether the subject will react in a hypersensitive manner.
    (c) Principle of the test method. Following initial exposure(s) to a 
test substance, the animals are subsequently subjected, after a period 
of not less than 1 week, to a challenge exposure with the test substance 
to establish whether a hypersensitive state has been induced. 
Sensitization is determined by examining the reaction to the challenge 
exposure and comparing this reaction to that of the initial induction 
exposure.
    (d) Test procedures. (1) Any of the following seven test methods is 
considered to be acceptable. It is realized, however, that the methods 
differ in their probability and degree of reaction to sensitizing 
substances.
    (i) Freund's complete adjuvant test.
    (ii) Guinea-pig maximization test.
    (iii) Split adjuvant technique.
    (iv) Buehler test.
    (v) Open epicutaneous test.
    (vi) Mauer optimization test.
    (vii) Footpad technique in guinea pig.
    (2) Removal of hair is by clipping, shaving, or possibly by 
depilation, depending on the test method used.
    (3) Animal selection--(i) Species and strain. The young adult guinea 
pig is the preferred species. Commonly used laboratory strains should be 
employed. If other species are used, the tester should provide 
justification/reasoning for their selection.

[[Page 173]]

    (ii) Number and sex. (A) The number and sex of animals used will 
depend on the method employed.
    (B) The females should be nulliparous and nonpregnant.
    (4) Control animals. (i) Periodic use of a positive control 
substance with an acceptable level of reliability for the test system 
selected is recommended;
    (ii) Animals may act as their own controls or groups of induced 
animals can be compared to groups which have received only a challenge 
exposure.
    (5) Dose levels. The dose level will depend upon the method 
selected.
    (6) Observation of animals. (i) Skin reactions should be graded and 
recorded after the challenge exposures at the time specified by the 
methodology selected. This is usually at 24, 48, and 72, hours. 
Additional notations should be made as necessary to fully describe 
unusual responses;
    (ii) Regardless of method selected, initial and terminal body 
weights should be recorded.
    (7) Procedures. The procedures to be used are those described by the 
methodology chosen.
    (e) Data and reporting. (1) Data should be summarized in tabular 
form, showing for each individual animal the skin reaction, results of 
the induction exposure(s) and the challenge exposure(s) at times 
indicated by the method chosen. As a minimum, the erythema and edema 
should be graded and any unusual finding should be recorded.
    (2) Evaluation of the results. The evaluation of results will 
provide information on the proportion of each group that became 
sensitized and the extent (slight, moderate, severe) of the 
sensitization reaction in each individual animal.
    (3) Test report. In addition to the reporting requirements as 
specified under 40 CFR part 792, subpart J, the following specific 
information should be reported:
    (i) A description of the method used and the commonly accepted name.
    (ii) Information on the positive control study, including positive 
control used, method used, and time conducted.
    (iii) The number and sex of the test animals.
    (iv) Species and strain.
    (v) Individual weights of the animals at the start of the test and 
at the conclusion of the test.
    (vi) A brief description of the grading system.
    (vii) Each reading made on each individual animal.
    (f) References. For additional background information on this test 
guideline the following references should be consulted:
    (1) Buehler, E.V. ``Delayed Contact Hypersensitivity in the Guinea 
Pig,'' Archives Dermatology. 91:171 (1965).
    (2) Draize, J.H. ``Dermal Toxicity,'' Food Drug Cosmetic Law 
Journal. 10:722-732 (1955).
    (3) Klecak, G. ``Identification of Contact Allergens: Predictive 
Tests in Animals,'' Advances in Modern Toxicology: Dermatology and 
Pharmacology. Ed. F.N. Marzulli and H.I. Maibach. (Washington, D.C.: 
Hemisphere Publishing Corp., 1977) 4:305-339).
    (4) Klecak, G., Geleick, H., Grey, J.R. ``Screening of Fragrance 
Materials for Allergenicity in the Guinea Pig.-1. Comparison of Four 
Testing Methods,'' Journal of the Society of Cosmetic Chemists. 28:53-64 
(1977).
    (5) Magnusson, B., Kligman, A.M. ``The Identification of Contact 
Allergens by Animal Assay,'' The Guinea Pig Maximization Test. The 
Journal of Investigative Dermatology. 52:268-276 (1973).
    (6) Maguire, H.C. ``The Bioassay of Contact Allergens in the Guinea 
Pig'' Journal of the Society of Cosmetic Chemists. 24:151-162 (1973).
    (7) Maurer, T., Thomann, P., Weirich, E.G., Hess, R. ``The 
Optimization Test in the Guinea Pig. A Method for the Predictive 
Evaluation of the Contact Allergenicity of Chemicals,'' Agents and 
Actions. (Basel: Birkhauser Verlag, 1975) Vol. 5/2.
    (8) Maurer, T., Thomann, P., Weirich, E.G., Hess, R. ``The 
Optimization Test in the Guinea Pig: A Method for the Predictive 
Evaluation of the Contact Allergenicity of Chemicals,'' International 
Congress Series Excerpta Medica No. 376, (1975) Vol. 203.



Sec.  798.4350  Inhalation developmental toxicity study.

    (a) Purpose. In the assessment and evaluation of the toxic 
characteristics

[[Page 174]]

of an inhalable material such as a gas, volatile substance, or aerosol/
particulate, determination of the potential developmental toxicity is 
important. The inhalation developmental toxicity study is designed to 
provide information on the potential hazard to the unborn which may 
arise from exposure of the mother during pregnancy.
    (b) Definitions. (1) Developmental toxicity is the property of a 
chemical that causes in utero death, structural or functional 
abnormalities or growth retardation during the period of development.
    (2) ``Aerodynamic diameter'' applies to the behavioral size of 
particles of aerosols. It is the diameter of a sphere of unit density 
which behaves aerodynamically like the particles of the test substance. 
It is used to compare particles of different sizes, shapes, and 
densities and to predict where in the respiratory tract such particles 
may be deposited. This term is used in contrast to ``optical,'' 
``measured'' or ``geometric'' diameters which are representation of 
actual diameters which in themselves cannot be related to deposition 
within the respiratory tract.
    (3) ``Geometric mean diameter'' or ``median diameter'' is the 
calculated aerodynamic diameter which divides the particles of an 
aerosol in half based on the weight of the particles. Fifty percent of 
the particles by weight will be larger than the median diameter and 50 
percent of the particles will be smaller than the median diameter. The 
median diameter and its geometeric standard deviation are used to 
statistically describe the particle size distribution of any aerosol 
based on the weight and size of the particles.
    (4) ``Inhalable diameter'' refers to that aerodynamic diameter of a 
particle which is considered to be inhalable for the organism. It is 
used to refer to particles which are capable of being inhaled and may be 
deposited anywhere within the respiratory tract from the trachea to the 
deep lung (the alveoli). For man, the inhalable diameter is considered 
here as 15 micrometers or less.
    (5) ``Concentration'' refers to an exposure level. Exposure is 
expressed as weight or volume of test substance per volume of air (mg/
1), or as parts per million (ppm).
    (6) ``No-observed-effect level'' is the maximum concentration in a 
test which produces no observed adverse effects. A no-observed-effect 
level is expressed in terms of weight or volume of test substance given 
daily per unit volume of air.
    (c) Principle of the test method. The test substance is administered 
in graduated concentrations, for at least that part of the pregnancy 
covering the major period of organogenesis, to several groups of 
pregnant experimental animals, one exposure level being used per group. 
Shortly before the expected date of delivery, the pregnant females are 
sacrificed, the uteri removed, and the contents examined for embryonic 
or fetal deaths, and live fetuses.
    (d) Limit test. If a test at an exposure of 5 mg/1 (actual 
concentration of respirable substances) or, where this is not possible 
due to physical or chemical properties of the test substance, the 
maximum attainable concentration, produces no observable developmental 
toxicity, then a full study using three exposure levels might not be 
necessary.
    (e) Test procedures--(1) Animal selection--(i) Species and strain. 
Testing shall be performed in at least two mamalian species. Commonly 
used species include the rat, mouse, rabbit, and hamster. If other 
mamalian species are used, the tester shall provide justification/
reasoning for their selection. Commonly used laboratory strains shall be 
employed. The strain shall not have low fecundity and shall preferably 
be characterized for its sensitivity to developmental toxins.
    (ii) Age. Young adult animals (nulliparous females) shall be used.
    (iii) Sex. Pregnant female animals shall be used at each exposure 
level.
    (iv) Number of animals. At least 20 pregnant rats, mice, or hamsters 
or 12 pregnant rabbits are required at each exposure level. The 
objective is to ensure that sufficient pups are produced to permit 
meaningful evaluation of the potential developmental toxicity of the 
test substance.
    (2) Control group. A concurrent control group shall be used. This 
group shall be exposed to clean, filtered air

[[Page 175]]

under conditions identical to those used for the group exposed to the 
substance of interest. In addition, a vehicle-exposed group may be 
necessary when the substance under study requires a vehicle for 
delivery. It is recommended that during preliminary range finding 
studies, air vs. vehicle exposure be compared. If there is no 
substantial difference, air exposure itself would be an appropriate 
control. If vehicle and air exposure yield different results, both 
vehicle and air exposed control groups are recommended.
    (3) Concentration levels and concentration selection. (i) At least 
three concentration levels with a control and, where appropriate, a 
vehicle control, shall be used.
    (ii) The vehicle shall neither be developmentally toxic nor have 
effects on reproduction.
    (iii) To select the appropriate concentration levels, a pilot or 
trial study may be advisable. Since pregnant animals have an increased 
minute ventilation as compared to non-pregnant animals, it is 
recommended that the trial study be conducted in pregnant animals. 
Similarly, since presumably the minute ventilation will vary with 
progression of pregnancy, the animals should be exposed during the same 
period of gestation as in the main study. In the trial study, the 
concentration producing embryonic or fetal lethalities or maternal 
toxicity should be determined.
    (iv) Unless limited by the physical/chemical nature or biological 
properties of the substance, the highest concentration level shall 
induce some overt maternal toxicity such as reduced body weight or body 
weight gain, but not more than 10 percent maternal deaths.
    (v) The lowest concentration level should not produce any grossly 
observable evidence of either maternal or developmental toxicity.
    (vi) Ideally, the intermediate concentration level(s) shall produce 
minimal observable toxic effects. If more than one intermediate 
concentration is used, the concentration levels shall be spaced to 
produce a gradation of toxic effects.
    (4) Exposure duration. The duration of exposure shall be at least 
six hours daily allowing appropriate additional time for chamber 
equilibrium.
    (5) Observation period. Day 0 in the test is the day on which a 
vaginal plug and/or sperm are observed. The exposure period shall cover 
the period of major organogenesis. This may be taken as days 6 to 15 for 
rat and mouse, 6 to 14 for hamster, or 6 to 18 for rabbit.
    (6) Inhalation exposure. (i)(A) The animals shall be tested in 
inhalation equipment designed to sustain a minimum dynamic air flow of 
12 to 15 air changes per hour and ensure an adequate oxygen content of 
19 percent and an evenly distributed exposure atmosphere. Where a 
chamber is used, its design should minimize crowding of the test animals 
and maximize their exposure to the test substance. This is best 
accomplished by individual caging. To ensure stability of a chamber 
atmosphere, the total ``volume'' of the test animals shall not exceed 5 
percent of the volume of the test chamber.
    (B) Pregnant animals shall not be subjected to beyond the minimum 
amount of stress. Since whole-body exposure appears to be the least 
stressful mode of exposure, it is the method preferred. In general oro-
nasal or head-only exposure, which is sometimes used to avoid concurrent 
exposure by the dermal or oral routes, is not recommended because of the 
associated stress accompanying the restraining of the animals. However, 
there may be specific instances where it may be more appropriate than 
whole-body exposure. The tester shall provide justification/reasoning 
for its selection.
    (ii) A dynamic inhalation system with a suitable flow control system 
shall be used. The rate of air flow shall be adjusted to ensure that 
conditions throughout the exposure chamber are essentially the same. 
Test material distribution should be established before animals are 
committed to dosing. Maintenance of slight negative pressure inside the 
chamber will prevent leakage of the test substance into the surrounding 
areas.
    (iii) The temperature at which the test is performed should be 
maintained at 22 [deg]C (2[deg]) for rodents or 20 
[deg]C (3[deg]) for rabbits. Ideally, the relative 
humidity should be maintained between 40 to 60 percent, but in certain 
instances

[[Page 176]]

(e.g., tests of aerosols, use of water vehicle) this may not be 
practicable.
    (7) Physical measurements. Measurements or monitoring should be made 
of the following:
    (i) The rate of airflow shall be monitored continuously but shall be 
recorded at least every 30 minutes.
    (ii) The actual concentration of the test substance shall be 
measured in the breathing zone. During the exposure period the actual 
concentrations of the test substance shall be held as constant as 
practicable, monitored continously or intermittently depending on the 
method of analysis and measured at least at the beginning, at an 
intermediate time and at the end of the exposure period.
    (iii) During the development of the generating system, particle size 
analysis shall be performed to establish the stability of aerosol 
concentrations with respect to particle size. During exposure, analysis 
shall be conducted as often as necessary to determine the consistency of 
particle size distribution.
    (iv) Temperature and humidity shall be monitored continuously and be 
recorded at least every 30 minutes.
    (8) Food and water during exposure period. Food should be withheld 
during exposure. Water may or may not be withheld. If it is not withheld 
it should not come in direct contact with the test atmospheres.
    (9) Observation of animals. (i) A gross examination shall be made at 
least once each day.
    (ii) Additional observations should be made daily with appropriate 
actions taken to minimize loss of animals to the study (e.g., necropsy 
or refrigeration of animals found dead and isolation or sacrifice of 
weak or moribund animals).
    (iii) Signs of toxicity shall be recorded as they are observed, 
including the time of onset, the degree and duration.
    (iv) Cage-side observations shall include, but not be limited to: 
Changes in skin and fur, eye and mucous membranes, as well as 
respiratory, autonomic and central nervous systems, somatomotor activity 
and behavioral pattern. Particular attention should be directed to 
observation of tremors, convulsions, salivation, diarrhea, lethargy, 
sleep, and coma.
    (v) Measurements should be made weekly of food consumption for all 
animals in the study.
    (vi) Animals shall be weighed at least weekly.
    (vii) Females showing signs of abortion or premature delivery shall 
be sacrificed and subjected to a thorough macroscopic examination.
    (10) Gross necropsy. (i) At the time of sacrifice or death during 
the study, the dam shall be examined macroscopically for any structural 
abnormalities or pathological changes which may have influenced the 
pregnancy.
    (ii) Immediately after sacrifice or death, the uterus shall be 
removed, weighed, and the contents examined for embryonic or fetal 
deaths and the number of viable fetuses. Gravid uterine weights should 
not be obtained from dead animals if autolysis or where decomposition 
has occurred. The degree of resorption shall be described in order to 
help estimate the relative time of death.
    (iii) The number of corpora lutea shall be determined for all 
species except mice.
    (iv) The sex of the fetuses shall be determined and they shall be 
weighed individually, the weights recorded, and the mean fetal weight 
derived.
    (v) Following removal, each fetus shall be examined externally.
    (vi) For rats, mice and hamsters, one-third to one-half of each 
litter shall be prepared and examined for skeletal anomalies, and the 
remaining part of each litter shall be prepared and examined for soft 
tissue anomalies using appropriate methods.
    (vii) For rabbits, each fetus shall be examined by careful 
dissection for visceral anomalies and then examined for skeletal 
anomalies.
    (f) Data and reporting--(1) Treatment of results. Data shall be 
summarized in tabular form, showing for each test group: the number of 
animals at the start of the test, the number of pregnant animals, the 
number and percentages of live fetuses and the number of fetuses with 
any soft tissue or skeletal abnormalities.
    (2) Evaluation of results. The findings of a developmental toxicity 
study shall

[[Page 177]]

be evaluated in terms of the observed effects and the exposure levels 
producing effects. It is necessary to consider the historical 
developmental toxicity data on the species/strain tested. A properly 
conducted developmental toxicity study should provide a satisfactory 
estimation of a no-effect level.
    (3) Test report. In addition to the reporting requirements as 
specified under 40 CFR part 792, subpart J, the following specific 
information shall be reported:
    (i) Test conditions. (A) Description of exposure apparatus including 
design, type, dimensions, source of air, system for generating 
particulates and aerosols, methods of conditioning air, and the method 
of housing the animals in a test chamber when this apparatus is used.
    (B) The equipment for measuring temperature, humidity, and 
particulate aerosol concentrations and size shall be described.
    (ii) Exposure data. These shall be tabulated and presented with mean 
values and a measure of variability (e.g., standard deviation) and shall 
include:
    (A) Airflow rates through the inhalation equipment.
    (B) Temperature of air.
    (C) Nominal concentration--total amount of test substance fed into 
the inhalation equipment divided by volume of air (no standard 
deviation).
    (D) Measured total concentrations (particulate and/or gaseous 
phases) in test breathing zone.
    (E) Particle size distribution (e.g., median aerodynamic diameter of 
particles with geometric standard deviation) including estimates of the 
percents of inhalable and non-inhalable portions for the test animals.
    (iii) Animal data. (A) Toxic response data by concentration.
    (B) Species and strain.
    (C) Date of death during the study or whether animals survived to 
termination.
    (D) Date of onset and duration of each abnormal sign and its 
subsequent course.
    (E) Feed, body weight and uterine weight data.
    (F) Pregnancy and litter data.
    (G) Fetal data (live/dead, sex, soft tissue and sketetal defects, 
resorptions).
    (g) References. For additional background information on this test 
guideline the following references should be consulted:
    (1) Department of Health and Welfare. The Testing of Chemicals for 
Carcinogenicity, Mutagenicity and Teratogenicity. Minister of Health and 
Welfare (Canada: Department of Health and Welfare, 1975).
    (2) National Academy of Sciences. ``Principles and Procedures for 
Evaluating the Toxicity of Household Substances.'' A report prepared by 
the Committee for the Revision of NAS Publication 1138, under the 
auspices of the Committee on Toxicology, National Research Council, 
National Academy of Sciences, Washington, DC (1977).
    (3) World Health Organization. Principles for the Testing of Drugs 
for Teratogenicity. WHO Technical Report Series No. 364. (Geneva: World 
Health Organization, 1967).

[50 FR 39397, Sept. 27, 1985, as amended at 52 FR 19076, May 20, 1987; 
52 FR 26150, July 13, 1987; 54 FR 21064, May 16, 1989]



Sec.  798.4700  Reproduction and fertility effects.

    (a) Purpose. This guideline for two-generation reproduction testing 
is designed to provide general information concerning the effects of a 
test substance on gonadal function, conception, parturition, and the 
growth and development of the offspring. The study may also provide 
information about the effects of the test substance on neonatal 
morbidity, mortality, and preliminary data on teratogenesis and serve as 
a guide for subsequent tests.
    (b) Principle of the test method. The test substance is administered 
to parental (P) animals prior to their mating, during the resultant 
pregnancies, and through the weaning of their F1 offspring. 
The substance is then administered to selected F1 offspring 
during their growth into adulthood, mating, and production of an 
F2 generation, up until the F2 generation is 
weaned.
    (c) Test procedures--(1) Animal selection--(i) Species and strain. 
The rat is the preferred species. If another mammalian species is used, 
the tester shall provide justification/reasoning for its

[[Page 178]]

selection. Strains with low fecundity shall not be used.
    (ii) Age. Parental (P) animals shall be about 5 to 8 weeks old at 
the start of dosing.
    (iii) Sex. (A) For an adequate assessment of fertility, both males 
and females shall be studied.
    (B) The females shall be nulliparous and non-pregnant.
    (iv) Number of animals. Each test and control group shall contain at 
least 20 males and a sufficient number of females to yield at least 20 
pregnant females at or near term.
    (2) Control groups. (i) A concurrent control group shall be used. 
This group shall be an untreated or sham treated control group or if a 
vehicle is used in administering the test substance, a vehicle control 
group.
    (ii) If a vehicle is used in administering the test substance, the 
control group shall receive the vehicle in the highest volume used.
    (iii) If a vehicle or other additive is used to facilitate dosing, 
it shall not interfere significantly with absorption of the test 
substance or produce toxic effects.
    (3) Dose levels and dose selection. (i) At least three dose levels 
and a concurrent control shall be used.
    (ii) The highest dose level should induce toxicity but not high 
levels of mortality in the parental (P) animals.
    (iii) The lowest dose level should not produce any grossly 
observable evidence of toxicity.
    (iv) Ideally the intermediate dose level(s) should produce minimal 
observable toxic effects. If more than one intermediate dose is used, 
dose levels should be spaced to produce a gradation of toxic effects.
    (4) Exposure conditions. The animals should be dosed with the test 
substance, ideally, on a 7 days per week basis.
    (i) Dosing, mating, delivery, and sacrifice schedule.
    (A) Daily dosing of the parental (P) males and females shall begin 
when they are 5 to 8 weeks old. For both sexes, dosing shall be 
continued for at least 10 weeks before the mating period.
    (B) Dosing of P males shall continue through the 3 week mating 
period. At the end of the mating period, P males may be sacrificed and 
examined, or may be retained for possible production of a second litter. 
If these animals are retained for a second litter, dosing shall be 
continued. Dosing of the F1 males saved for mating shall 
continue from the time they are weaned through the period they are mated 
with the F1 females (11 weeks). F1 males may be 
sacrificed after the F1 mating period.
    (C) Daily dosing of the P females shall continue through the three 
week mating period, pregnancy, and to the weaning of the F1 
offspring. Dosing of the F1 females saved for mating shall 
continue from the time they are weaned, through the period they are 
mated with the F1 males (11 weeks from the time of weaning) 
pregnancy, and to the weaning of the F2 offspring.
    (ii) All animals are sacrificed as scheduled.
    (A) All P males should be sacrificed at the end of the 3-week mating 
period, or may be retained for possible production of a second litter. 
If these animals are retained for a second litter, dosing shall be 
continued.
    (B) F1 males selected for mating should be sacrificed at 
the end of the three week period of the F1 mating.
    (C) F1 males and females not selected for mating should 
be sacrified when weaned.
    (D) The P females should be sacrificed upon weaning of their 
F1 offspring.
    (E) F1 dams and their F2 offspring are 
sacrificed when the offspring are weaned.
    (5) Administration of the test substance--(i) Oral studies. (A) It 
is recommended that the test substance be administered in the diet or 
drinking water.
    (B) If administered by gavage or capsule, the dosage administered to 
each animal prior to mating shall be based on the individual animal's 
body weight and adjusted weekly. During pregnancy the dosage shall be 
based on the body weight at day 0 and 6 of pregnancy.
    (ii) If another route of administration is used, the tester should 
provide justification and reasoning for its selection.
    (6) Mating procedure--(i) Parental. (A) For each mating, each female 
shall be

[[Page 179]]

placed with a single male from the same dose level until pregnancy 
occurs or 1 week has elapsed. If mating has not occurred after 1 week, 
the female shall be placed with a different male. Paired matings should 
be clearly identified.
    (B) Those pairs that fail to mate should be evaluated to determine 
the cause of the apparent infertility. This may involve such procedures 
as additional opportunities to mate with proven fertile males or 
females, histological examination of the reproductive organs, and 
examination of the estrus or spermatogenic cycles.
    (C) Each day, the females shall be examined for presence of sperm or 
vaginal plugs. Day 0 of pregnancy is defined as the day vaginal plugs or 
sperm are found.
    (ii) F1 cross. (A) For mating the F1 offspring, one male 
and one female are randomly selected at weaning from each litter for 
cross mating with another pup of the same dose level but different 
litter, to produce the F2 generation.
    (B) F1 males and females not selected for mating are 
sacrificed upon weaning.
    (iii) Special housing. After evidence of copulation, pregnant 
animals shall be caged separately in delivery or maternity cages. 
Pregnant animals shall be provided with nesting materials when 
parturition is near.
    (iv) Standardization of litter sizes. (A) On day 4 after birth, the 
size of each litter should be adjusted by eliminating extra pups by 
random selection to yield, as nearly as possible, 4 males and 4 females 
per litter.
    (B) Whenever the number of male or female pups prevents having 4 of 
each sex per litter, partial adjustment (for example, 5 males and 3 
females) is permitted. Adjustments are not appropriate for litters of 
less than 8 pups.
    (C) Elimination of runts only is not appropriate.
    (D) Adjustments of the F2 litters is conducted in the 
same manner.
    (7) Observation of animals. (i) A gross examination shall be made at 
least once each day. Pertinent behavioral changes, signs of difficult or 
prolonged parturition, and all signs of toxicity, including mortality, 
shall be recorded. These observations shall be reported for each 
individual animal. Food consumption for all animals shall be monitored 
weekly except during the mating period.
    (ii) The duration of gestation shall be calculated from day 0 of 
pregnancy.
    (iii) Each litter should be examined as soon as possible after 
delivery for the number of pups, stillbirths, live births, sex, and the 
presence of gross anomalies. Live pups should be counted and litters 
weighed at birth or soon thereafter, and on days 4, 7, 14, and 21 after 
parturition.
    (iv) Physical or behavioral abnormalities observed in the dams of 
offspring shall be recorded.
    (v) P males and females shall be weighed on the first day of dosing 
and weekly thereafter. F1 litters shall be weighed at birth, 
or soon thereafter, and on days 4, 7, 14, and 21. In all cases, litter 
weights shall be calculated from the weights of the individual pups.
    (8) Gross necropsy. (i) A complete gross examination shall be 
performed on all adult animals, including those which died during the 
experiment or were killed in moribund conditions.
    (ii) Special attention shall be directed to the organs of the 
reproductive system.
    (iii) The following organs and tissues, or representative samples 
thereof, shall be preserved in a suitable medium for possible future 
histopathological examination: Vagina; uterus; ovaries; testes; 
epididymides; seminal vesicles; prostate, pituitary gland; and, target 
organ(s) when previously identified of all P and F1 animals 
selected for mating.
    (9) Histopathology. Except if carried out in other studies of 
comparable duration and dose levels the following histopathology shall 
be performed:
    (i) Full histopathology on the organs listed above for all high 
dose, and control P1 and F1 animals selected for 
mating.
    (ii) Organs demonstrating pathology in these animals shall then be 
examined in animals from the other dose groups.
    (iii) Microscopic examination shall be made of all tissues showing 
gross pathological changes.
    (d) Data and reporting--(1) Treatment of results. Data shall be 
summarized in

[[Page 180]]

tabular form, showing for each test group the number of animals at the 
start of the test, the number of animals pregnant, the types of change 
and the percentage of animals displaying each type of change.
    (2) Evaluation of study results. (i) An evaluation of test results, 
including the statistical analysis, based on the clinical findings, the 
gross necropsy findings, and the microscopic results shall be made and 
supplied. This should include an evaluation of the relationship, or lack 
thereof, between the animals' exposure to the test substance and the 
incidence and severity of all abnormalities.
    (ii) In any study which demonstrates an absence of toxic effects, 
further investigation to establish absorption and bioavailability of the 
test substance should be considered.
    (3) Test report. In addition to the reporting requirements as 
specified under 40 CFR part 792, subpart J the following specific 
information shall be reported:
    (i) Toxic response data by sex and dose, including fertility, 
gestation, viability and lactation indices, and length of gestation.
    (ii) Species and strain.
    (iii) Date of death during the study or whether animals survived to 
termination.
    (iv) Toxic or other effects on reproduction, offspring, or postnatal 
growth.
    (v) Date of observation of each abnormal sign and its subsequent 
course.
    (vi) Body weight data for P, F1, and F2 
animals.
    (vii) Necropsy findings.
    (viii) Detailed description of all histopathological findings.
    (ix) Statistical treatment of results where appropriate.
    (e) References. For additional background information on this test 
guideline the following references should be consulted:
    (1) Clermont, Y., Perry, B. ``Quantitative Study of the Cell 
Population of the Seminiferous Tubules in Immature Rats,'' American 
Journal of Anatomy. 100:241-267 (1957).
    (2) Goldenthal, E.I. Guidelines for Reproduction Studies for Safety 
Evaluation of Drugs for Human Use. Drug Review Branch, Division of 
Toxicological Evaluation, Bureau of Science, Food and Drug 
Administration, Washington, DC (1966).
    (3) Hasegawa, T., Hayashi, M., Ebling, F.J.G., Henderson, I.W. 
Fertility and Sterility. (New York: American Elsevier Publishing Co., 
Inc., 1973).
    (4) Oakberg, E.F. ``Duration of Spermatogenesis in the Mouse and 
Timing of Stages of the Cycle of the Seminiferous Epithelium,'' American 
Journal of Anatomy. 9:507-516 (1956).
    (5) Roosen-Runge, E.C. ``The Process of Spermatogenesis in 
Mammals,'' Biological Review. 37:343-377 (1962).

[50 FR 39397, Sept. 27, 1985, as amended at 52 FR 19077, May 20, 1987]



Sec.  798.4900  Developmental toxicity study.

    (a) Purpose. In the assessment and evaluation of the toxic 
characteristics of a chemical, determination of the potential 
developmental toxicity is important. The developmental toxicity study is 
designed to provide information on the potential hazard to the unborn 
which may arise from exposure of the mother during pregnancy.
    (b) Definitions. (1) Developmental toxicity is the property of a 
chemical that causes in utero death, structural or functional 
abnormalities or growth retardation during the period of development.
    (2) Dose is the amount of test substance administered. Dose is 
expressed as weight of test substance (g, mg) per unit weight of a test 
animal (e.g., mg/kg).
    (3) No-observed-effect level is the maximum concentration in a test 
which produces no observed adverse effects. A no-observed-effect level 
is expressed in terms of weight of test substance given daily per unit 
weight of test animal (mg/kg)
    (c) Principle of the test method. The test substance is administered 
in graduated doses for at least part of the pregnancy covering the major 
period of organogenesis, to several groups of pregnant experimental 
animals, one dose level being used per group. Shortly before the 
expected date of delivery, the pregnant females are sacrificed, the 
uteri removed, and the contents examined for embryonic or fetal deaths, 
and live fetuses.

[[Page 181]]

    (d) Limit test. If a test at an exposure of at least 1000 mg/kg body 
weight, using the procedures described for this study, produces no 
observable developmental toxicity, then a full study using three dose 
levels might not be necessary.
    (e) Test procedures--(1) Animal selection--(i) Species and strain. 
Testing shall be performed in at least 2 mammalian species. Commonly 
used species include the rat, mouse, rabbit, and hamster. If other 
mammalian species are used, the tester shall provide justification/
reasoning for their selection. Commonly used laboratory strains shall be 
employed. The strain shall not have low fecundity and shall preferably 
be characterized for its sensitivity to developmental toxins.
    (ii) Age. Young adult animals (nulliparous females) shall be used.
    (iii) Sex. Pregnant female animals shall be used at each dose level.
    (iv) Number of animals. At least 20 pregnant rats, mice or hamsters 
or 12 pregnant rabbits are required at each dose level. The objective is 
to ensure that sufficient pups are produced to permit meaningful 
evaluation of the potential developmental toxicity of the test 
substance.
    (2) Control group. A concurrent control group shall be used. This 
group shall be an untreated or sham treated control group, or, if a 
vehicle is used in administering the test substance, a vehicle control 
group. Except for treatment with the test substance, animals in the 
control group(s) shall be handled in an identical manner to test group 
animals.
    (3) Dose levels and dose selection. (i) At least 3 dose levels with 
a control and, where appropriate, a vehicle control, shall be used.
    (ii) The vehicle shall neither be developmentally toxic nor have 
effects on reproduction.
    (iii) To select the appropriate dose levels, a pilot or trial study 
may be advisable. It is not always necessary to carry out a trial study 
in pregnant animals. Comparison of the results from a trial study in 
non-pregnant, and the main study in pregnant animals will demonstrate if 
the test substance is more toxic in pregnant animals. If a trial study 
is carried out in pregnant animals, the dose producing embryonic or 
fetal lethalities or maternal toxicity shall be determined.
    (iv) Unless limited by the physical/chemical nature or biological 
properties of the substance, the highest dose level shall induce some 
overt maternal toxicity such as reduced body weight or body weight gain, 
but not more than 10 percent maternal deaths.
    (v) The lowest dose level should not produce any grossly observable 
evidence of either maternal or developmental toxicity.
    (vi) Ideally, the intermediate dose level(s) should produce minimal 
observable toxic effects. If more than one intermediate concentration is 
used, the concentration levels should be spaced to produce a gradation 
of toxic effects.
    (4) Observation period. Day 0 in the test is the day on which a 
vaginal plug and/or sperm are observed. The dose period shall cover the 
period of major organogenesis. This may be taken as days 6 to 15 for rat 
and mouse, 6 to 14 for hamster, or 6 to 18 for rabbit.
    (5) Administration of test substance. The test substance or vehicle 
is usually administered orally, by oral intubation unless the chemical 
or physical characteristics of the test substance or pattern of human 
exposure suggest a more appropriate route of administration. The test 
substance shall be administered approximately the same time each day.
    (6) Exposure conditions. The female test animals are treated with 
the test substance daily throughout the appropriate treatment period. 
When given by gavage, the dose may be based on the weight of the females 
at the start of substance administration, or, alternatively, in view of 
the rapid weight gain which takes place during pregnancy, the animals 
may be weighed periodically and the dosage based on the most recent 
weight determination.
    (7) Observation of animals. (i) A gross examination shall be made at 
least once each day.
    (ii) Additional observations shall be made daily with appropriate 
actions taken to minimize loss of animals to the study (e.g., necropsy 
or refrigeration of those animals found dead and isolation or sacrifice 
of weak or moribund animals).

[[Page 182]]

    (iii) Signs of toxicity shall be recorded as they are observed, 
including the time of onset, the degree and duration.
    (iv) Cage-side observations shall include, but not be limited to: 
changes in skin and fur, eye and mucous membranes, as well as 
respiratory, autonomic and central nervous systems, somatomotor activity 
and behavioral pattern.
    (v) Measurements should be made weekly of food consumption for all 
animals in the study.
    (vi) Animals shall be weighed at least weekly.
    (vii) Females showing signs of abortion or premature delivery shall 
be sacrificed and subjected to a thorough macroscopic examination.
    (8) Gross necropsy. (i) At the time of sacrifice or death during the 
study, the dam shall be examined macroscopically for any structural 
abnormalities or pathological changes which may have influenced the 
pregnancy.
    (ii) Immediately after sacrifice or as soon as possible after death, 
the uterus shall be removed and the contents examined for embryonic or 
fetal deaths and the number of viable fetuses. The degree of resorption 
shall be described in order to help estimate the relative time of death 
of the conceptus. The weight of the gravid uterus should be recorded for 
dams that are sacrificed. Gravid uterine weights should not be obtained 
from dead animals if autolysis or decomposition has occurred.
    (iii) The number of corpora lutea shall be determined for all 
species except mice.
    (iv) The sex of the fetuses shall be determined and they shall be 
weighed individually, the weights recorded, and the mean fetal weight 
derived.
    (v) Following removal, each fetus shall be examined externally.
    (vi) For rats, mice and hamsters, one-third to one-half of each 
litter shall be prepared and examined for skeletal anomalies, and the 
remaining part of each litter shall be prepared and examined for soft 
tissue anomalies using appropriate methods.
    (vii) For rabbits, each fetus shall be examined by careful 
dissection for visceral anomalies and then examined for skeletal 
anomalies.
    (f) Data and reporting--(1) Treatment of results. Data shall be 
summarized in tablular form, showing for each test group: the number of 
animals at the start of the test, the number of pregnant animals, the 
number and percentages of live fetuses and the number of fetuses with 
any soft tissue or skeletal abnormalities.
    (2) Evaluation of results. The findings of a developmental toxicity 
study shall be evaluated in terms of the observed effects and the 
exposure levels producing effects. It is necessary to consider the 
historical developmental toxicity data on the species/strain tested. A 
properly conducted developmental toxicity study should provide a 
satisfactory estimation of a no-effect level.
    (3) Test report. In addition to the reporting requirements as 
specified under 40 CFR part 792, subpart J the following specific 
information shall be reported:
    (i) Toxic response data by concentration.
    (ii) Species and strain.
    (iii) Date of death during the study or whether animals survived to 
termination.
    (iv) Date of onset and duration of each abnormal sign and its 
subsequent course.
    (v) Food, body weight and uterine weight data.
    (vi) Pregnancy and litter data.
    (vii) Fetal data (live/dead, sex, soft tissue and skeletal defects, 
resorptions).
    (g) References. For additional background information on this test 
guideline the following references should be consulted:
    (1) Department of Health and Welfare. The Testing of Chemicals for 
Carcinogenicity, mutagenicity and Teratogenicity. Minister of Health and 
Welfare (Canada: Department of Health and Welfare, 1975).
    (2) National Academy of Sciences. ``Principles and Procedures for 
Evaluating the Toxicity of Household Substances.'' A report prepared by 
the Committee for the Revision of NAS Publication 1138, under the 
auspices of the Committee on Toxicology, National Research Council, 
National

[[Page 183]]

Academy of Sciences, Washington, DC (1977).
    (3) World Health Organization. Principles for the Testing of Drugs 
for Teratogenicity. WHO Technical Report Series No. 364. (Geneva: World 
Health Organization, (1967).

[50 FR 39397, Sept. 27, 1985, as amended at 52 FR 19077, May 20, 1987]



                       Subpart F_Genetic Toxicity



Sec.  798.5195  Mouse biochemical specific locus test.

    (a) Purpose. The mouse biochemical specific locus test (MBSL) may be 
used to detect and quantitate mutations originating in the germ line of 
a mammalian species.
    (b) Definitions. (1) A biochemical specific locus mutation is a 
genetic change resulting from a DNA lesion causing alterations in 
proteins that can be detected by electrophoretic methods.
    (2) The germ line is comprised of the cells in the gonads of higher 
eukaryotes, which are the carriers of the genetic information for the 
species.
    (c) Reference substances. Not applicable.
    (d) Test method--(1) Principle. The principle of the MBSL is that 
heritable damage to the genome can be detected by electrophoretic 
analysis of proteins in the tissues of the progeny of mice treated with 
germ cell mutagens.
    (2) Description. For technical reasons, males rather than females 
are generally treated with the test chemical. Treated males are then 
mated to untreated females to produce F1 progeny. Both blood and kidney 
samples are taken from progeny for electrophoretic analysis. Up to 33 
loci can be examined by starch-gel electrophoresis and broad-range 
isoelectric focussing. Mutants are identified by variations from the 
normal electrophoretic pattern. Presumed mutants are bred to confirm the 
genetic nature of the change.
    (3) Animal selection--(i) Species and strain. Mice shall be used as 
the test species. Although the biochemical specific locus test could be 
performed in a number of in bred strains, in the most frequently used 
cross, C57BL/6 females are mated to DBA/2 males to produce (C57BL/6xDBA/
2) F1 progeny for screening.
    (ii) Age. Healthy, sexually-mature (at least 8 weeks old) animals 
shall be used for treatment and breeding.
    (iii) Number. A decision on the minimum number of treated animals 
should take into account possible effects of the test chemical on the 
fertility of the treated animals. Other considerations should include:
    (A) The production of concurrent spontaneous controls.
    (B) The use of positive controls.
    (C) The power of the test.
    (4) Control groups--(i) Concurrent controls. An appropriate number 
of concurrent control loci shall be analyzed in each experiment. These 
should be partly derived from matings of untreated animals (from 5 to 20 
percent ofthe treated matings), although some data on control loci can 
be taken from the study of the alleles transmitted from the untreated 
parent in the experimental cross. However, any laboratory which has had 
no prior experience with the test shall produce a spontaneous control 
sample of about 5,000 progeny animals and a positive control (using 100 
mg/kg ethylnitrosourea) sample of at least 1,200 offspring.
    (ii) Historical controls. Long-term, accumulated spontaneous control 
data (currently, 1 mutation in 1,200,000 control loci screened) are 
available for comparative purposes.
    (5) Test chemicals--(i) Vehicle. When possible, test chemicals shall 
be dissolved or suspended in distilled water or buffered isotonic 
saline. Water-insoluble chemicals shall be dissolved or suspended in 
appropriate vehicles. The vehicle used shall neither interfere with the 
test chemical nor produce major toxic effects. Fresh preparations of the 
test chemical should be employed.
    (ii) Dose levels. Usually, only one dose need be tested. This should 
be the maximum tolerated dose (MTD), the highest dose tolerated without 
toxic effects. Any temporary sterility induced due to elimination of 
spermatogonia at this dose must be of only moderate duration, as 
determined by are turn of males to fertility within 80 days after

[[Page 184]]

treatment. For evaluation of dose-response, it is recommended that at 
least two dose levels be tested.
    (iii) Route of administration. Acceptable routes of administration 
include, but are not limited to, gavage, inhalation, and mixture with 
food or water, and intraperitoneal or intravenous injections.
    (e) Test performance--(1) Treatment and mating. Male DBA/2 mice 
shall be treated with the test chemical and mated to virgin C57BL/6 
females immediately after cessation of treatment. Each treated male 
shall be mated to new virgin C57BL/6 females each week. Each pairing 
will continue for a week until the next week's mating is to begin. This 
mating schedule permits sampling of all post-spermatogonial stages of 
germ-cell development during the first 7 weeks after exposure. 
Spermatogonial stem cells are studied thereafter. Repeated mating cycles 
should be conducted until sufficient offspring have been obtained to 
meet the power criterion of the assay for spermatogonial stem cells.
    (2) Examination of offspring--(i) Birth and weaning. Offspring shall 
be examined at birth and at weaning for externally detectable changes in 
morphology and behavior; these could be due to dominant mutations. Such 
characteristics may include, but are not limited to, variations in coat 
color, appearance of eyes, size (in which case weighing of variant 
animals and littermates should be carried out), fur texture, etc. Gross 
changes in external form and behavior shall also be sought. Scrutiny of 
such visible characteristics of all animals shall be made during all 
subsequent manipulations of the animals.
    (ii) Tissue sampling. Blood (about 0.1 mL) and one kidney shall be 
removed from progeny mice under anesthesia. Both tissues are then 
prepared for analysis by electrophoresis.
    (iii) Electrophoresis. The gene products of 6 loci shall be analyzed 
in the blood sample by broad-range isoelectric focussing and of 27 loci 
in the kidney sample by starch-gel electrophoresis and enzyme-specific 
staining. Details on these procedures are included in paragraphs (g)(1) 
through (g)(3) of this section.
    (iv) Mutant identification. Presumptive electrophoretic mutants 
shall be identified by variation from the normal electrophoretic banding 
patterns. Reruns of all variant samples shall be performed to confirm 
the presence of altered banding patterns. Samples from parents of 
progeny exhibiting banding pattern variations shall be assayed to 
determine whether the variant was induced by the experimental treatment 
or was pre-existing. All treatment-induced variants are bred to 
determine the genetic nature of the change.
    (f) Data and reports--(1) Treatment of results. Data shall be 
presented in tabular form and shall permit independent analysis of cell 
stage-specific effects, and dose-dependent phenomena. The data shall be 
recorded and analyzed in such a way that clusters of identical mutations 
are clearly identified. The individual mutants detected shall be 
thoroughly described. In addition, concurrent positive control data (if 
employed) and spontaneous control data shall also be tabulated. These 
concurrent controls shall be added to, as well as compared with, the 
historical control data.
    (2) Statistical evaluation. Data shall be evaluated by appropriate 
statistical methods.
    (3) Interpretation of results. (i) There are several criteria for 
determining a positive response, one of which is a statistically 
significant dose-related increase in the frequency of electrophoretic 
mutations. Another criterion may be based upon detection of a 
reproducible and statistically significant positive response for at 
least one of these test points.
    (ii) A test chemical which does not produce a statistically 
significant increase in the frequency of electrophoretic mutations over 
the spontaneous frequency, or a statistically significant and 
reproducible positive response for at least one of the test points, is 
considered nonmutagenic in this system, provided that the sample size is 
sufficient to exclude a biologically significant increase in mutation 
frequency.
    (iii) Both biological and statistical significance should be 
considered together in the evaluation.

[[Page 185]]

    (4) Test evaluation. (i) Positive results in the MBSL indicate that, 
under the test conditions, the test chemical induces heritable gene 
mutations in a mammalian species.
    (ii) Negative results indicate that, under the test conditions, the 
test chemical does not induce heritable genemutations in a mammalian 
species.
    (5) Test report. In addition to the reporting requirements as 
specified under 40 CFR part 792, subpart J, and paragraph (h) of this 
section, the following specific information shall be reported:
    (i) Strain, age and weight of animals used; numbers of animals of 
each sex in experimental and control groups.
    (ii) Test chemical vehicle, doses used, rationale for dose 
selection, and toxicity data, if available.
    (iii) Route and duration of exposure.
    (iv) Mating schedule.
    (v) Number of loci screened for both treated and spontaneous data.
    (vi) Criteria for scoring mutants.
    (vii) Number of mutants found/locus.
    (viii) Loci at which mutations were found.
    (ix) Use of concurrent negative and positive controls.
    (x) Dose-response relationship, if applicable.
    (g) References. For additional background information on this test 
guideline, the following references should be consulted:
    (1) Personal communication from Susan E. Lewis, Ph.D. to Dr. Michael 
Cimino, U.S. EPA, OPPT, October 5, 1989.
    (2) Johnson, F.M., G.T. Roberts, R.K. Sharma, F.Chasalow, R. 
Zweidinger, A. Morgan, R.W. Hendren, and S.E.Lewis. ``The detection of 
mutants in mice by electrophoresis: Results of a model induction 
experiment with procarbazine.'' Genetics 97:113-124 (1981).
    (3) Johnson, F.M. and S.E. Lewis. ``Mutation rate determinations 
based on electrophoretic analysis of laboratory mice.'' Mutation 
Research 82:125-135 (1981a).
    (4) Johnson, F.M. and S.E. Lewis. ``Electrophoretically detected 
germinal mutations induced by ethylnitrosourea in the mouse.'' 
Proceedings of the National Academy of Sciences 78:3138-93141 (1981b).
    (5) Lewis, S.E., C. Felton, L.B. Barnett, W. Generoso, N. Cacheiro, 
and M.D. Shelby. ``Dominant visible and electrophoretically expressed 
mutations induced in male mice exposed to ethylene oxide by 
inhalation.'' Environmental Mutagenesis 8:867-872 (1986).
    (h) Additional requirements. Testing facilities conducting the mouse 
biochemical specific locus test in accordance with this section shall, 
in addition to adhering to the provisions of Sec. Sec.  792.190 and 
792.195 of this chapter, obtain, adequately identify, and retain for at 
least 10 years, acceptable 35-mm photographs (and their negatives) of 
the stained isoelectric-focussing columns and the stained starch-gels 
obtained following analyses of blood and kidney preparations, 
respectively, from mutant mice, their siblings, and their parents.

[55 FR 12641, Apr. 5, 1990]



Sec.  798.5200  Mouse visible specific locus test.

    (a) Purpose. The mouse visible specific locus test (MSLT) may be 
used to detect and quantitate mutations in the germ line of a mammalian 
species.
    (b) Definitions. (1) A visible specific locus mutation is a genetic 
change that alters factors responsible for coat color and other visible 
characteristics of certain mouse strains.
    (2) The germ line is the cells in the gonads of higher eukaryotes 
which are the carriers of the genetic information for the species.
    (c) Reference substances. Not applicable.
    (d) Test method--(1) Principle. (i) The principle of the MSLT is to 
cross individuals who differ with respect to the genes present at 
certain specific loci, so that a genetic alteration involving the 
standard gene at any one of these loci will produce an offspring 
detectably different from the standard heterozygote. The genetic change 
may be detectable by various means, depending on the loci chosen to be 
marked.
    (ii) Three variations of the method currently exist for detecting 
newly arising point mutations in mouse germ cells:

[[Page 186]]

    (A) The visible specific locus test using either 5 or 7 loci.
    (B) The biochemical specific locus test using up to 20 enzymes.
    (C) The test for mutations at histocompatibility loci.
    (iii) Of the three tests, the visible specific locus test has been 
most widely used in assessing genetic hazard due to environmental 
agents. It is the method described in this guideline.
    (2) Description. For technical reasons, males rather than females 
are generally treated with the test agent. Treated males are then mated 
to females which are genetically homozygous for certain specific visible 
marker loci. Offspring are examined in the next generation for evidence 
that a new mutation has arisen.
    (3) Animal selection--(i) Species and strain. Mice shall be used as 
the test species. Male mice shall be either 
(C3Hx101)F1 or (101xC3H)F1 
hybrids. Females shall be T stock virgins.
    (ii) Age. Healthy sexually mature animals shall be used.
    (iii) Number. A decision on the minimum number of treated animals 
should take into account the spontaneous variation of the biological 
characterization being evaluated. Other considerations should include:
    (A) The use of either historical or concurrent controls.
    (B) The power of the test.
    (C) The minimal rate of induction required.
    (D) The use of positive controls.
    (E) The level of significance desired.
    (iv) Assignment to groups. Animals shall be randomized and assigned 
to treatment and control groups.
    (4) Control groups--(i) Concurrent controls. The use of positive or 
spontaneous controls is left to the discretion of the investigator. 
However, any laboratory which has had no prior experience with the test 
shall, at its first attempt, produce a negative control sample of 20,000 
and a positive control, using 100 mg/kg 1-ethyl-nitrosourea, in a sample 
of 5,000 offspring.
    (ii) Historical controls. Long term, accumulated spontaneous control 
data of 43/801,406 are available for comparative purposes.
    (5) Test chemicals--(i) Vehicle. When possible, test chemicals 
should be dissolved or suspended in distilled water or isotonic saline 
buffered appropriately, if needed, for stability. Water-insoluble 
chemicals shall be dissolved or suspended in appropriate vehicles. The 
vehicle used shall neither interfere with the test compound nor produce 
major toxic effects. Fresh preparations of the test chemical should be 
employed.
    (ii) Dose levels. Usually, only one dose level need be tested. This 
should be the highest dose tolerated without toxic effects, provided 
that any temporary sterility induced due to elimination of spermatagonia 
is of only moderate duration, as determined by a return of males to 
fertility within 80 days after treatment. For evaluation of dose-
response, it is recommended that at least two dose levels be tested.
    (iii) Route of administration. Acceptable routes of administration 
include gavage, inhalation, admixture with food or water, and IP or IV 
injections.
    (e) Test performance--(1) Treatment and mating. Hybrid F1 
(C3 Hx101 or 101xC3 H) male mice shall be treated 
with the test substance and immediately mated to virgin T stock females. 
Each treated male shall be mated to a fresh group of 2 to 4 virgin 
females each week for 7 weeks, after which he shall be returned to the 
first group of females and rotated through the seven sets of females 
repeatedly. This mating schedule generally permits sampling of all 
postspermatagonial stages of germ cell development during the first 7 
weeks and rapid accumulation of data for exposed spermatagonial stem 
cells thereafter. Repeated mating cycles should be conducted until the 
entire spermatogonial cycle has been evaluated and enough offspring have 
been obtained to meet the power criterion of the assay.
    (2) Examination of offspring. (i) Offspring may be examined at (or 
soon after) birth but must be examined at about 3 weeks of age at which 
time the numbers of mutant and nonmutant offspring in each litter shall 
be recorded.
    (ii) Nonmutant progeny should be discarded. Mutant progeny shall be 
subjected to genetic tests for verification.

[[Page 187]]

    (f) Data and report--(1) Treatment of results. Data shall be 
presented in tabular form and shall permit independent analysis of cell 
stage specific effects and dose dependent phenomena. The data shall be 
recorded and analyzed in such a way that clusters of identical mutations 
are clearly identified. The individual mutants detected shall be 
thoroughly described. In addition, concurrent positive and negative 
control data, if they are available, shall be tabulated so that it is 
possible to differentiate between concurrent (when available) and long-
term accumulated mutation frequencies.
    (2) Statistical evaluation. Data shall be evaluated by appropriate 
statistical methods.
    (3) Interpretation of results. (i) There are several criteria for 
determining a positive result, one of which is a statistically 
significant dose-related increase in the number of specific locus 
mutations. Another criterion may be based upon detection of a 
reproducible and statistically significant positive response for at 
least one of the test points.
    (ii) A test substance which does not produce either a statistically 
significant dose-related increase in the number of specific locus 
mutations or a statistically significant and reproducible positive 
response at any one of the test points is considered nonmutagenic in 
this system.
    (iii) Both biological and statistical significance should be 
considered together in the evaluation.
    (4) Test evaluation. (i) Positive results in the MSLT indicate that 
under the test conditions the test substance induces heritable gene 
mutations in the test species.
    (ii) Negative results indicate that under the test conditions the 
test substance does not induce heritable gene mutations in the test 
species.
    (5) Test report. In addition to the reporting requirements as 
specified under 40 CFR part 792, subpart J, and paragraph (h) of this 
section, the following specific information shall be reported:
    (i) Strain, age and weight of animals used, number of animals of 
each sex in experimental and control groups.
    (ii) Test chemical vehicle, doses used and rationale for dose 
selection, toxicity data.
    (iii) Route and duration of exposure.
    (iv) Mating schedule.
    (v) Time of examination for mutant progeny.
    (vi) Criteria for scoring mutants.
    (vii) Use of concurrent or negative controls.
    (viii) Dose response relationship, if applicable.
    (g) References. For additional background information on this test 
guideline the following references should be consulted:
    (1) Russell, L.B., Shelby, P.B., von Halle, E., Sheridan, W., 
Valcovic, L. The mouse specific locus test with agents other than 
radiations: interpretation of data and recommendations for future work: 
A report of the U.S. EPA's Gene-Tox Program,'' Mutation Research, 
86:329-354 (1981).
    (2) [Reserved]
    (h) Additional requirements. Testing facilities conducting the mouse 
visible specific locus test in accordance with this section shall, in 
addition to adhering to the provisions of Sec. Sec.  792.190 and 792.195 
of this chapter, obtain, and retain for at least 10 years, acceptable 
35-mm color photographs (and their negatives) demonstrating the visible 
mutations observed in mutant animals and the lack of such mutations in 
their siblings and parents.

[50 FR 39397, Sept. 27, 1985, as amended at 52 FR 19078, May 20, 1987; 
55 FR 12643, Apr. 5, 1990]



Sec.  798.5265  The salmonella typhimurium reverse mutation assay.

    (a) Purpose. The Salmonella typhimurium histidine (his) reversion 
system is a microbial assay which measures his-[rarr] 
his= reversion induced by chemicals which cause base changes 
or frameshift mutations in the genome of this organism.
    (b) Definitions. (1) A reverse mutation assay in Salmonella 
typhimurium detects mutation in a gene of a histidine requiring strain 
to produce a histidine independent strain of this organism.
    (2) Base pair mutagens are agents which cause a base change in the 
DNA. In a reversion assay, this change may

[[Page 188]]

occur at the site of the original mutation or at a second site in the 
chromosome.
    (3) Frameshift mutagens are agents which cause the addition or 
deletion of single or multiple base pairs in the DNA molecule.
    (c) Reference substances. These may include, but need not be limited 
to, sodium azide, 2-nitrofluorene, 9-aminoacridine, 2-aminoanthracene, 
congo red, benzopurpurin 4B, trypan blue or direct blue 1.
    (d) Test method--(1) Principle. Bacteria are exposed to test 
chemical with and without a metabolic activation system and plated onto 
minimal medium. After a suitable period of incubation, revertant 
colonies are counted and compared to the number of spontaneous 
revertants in an untreated and/or vehicle control culture.
    (2) Description. Several methods for performing the test have been 
described. Among those used are:
    (i) The direct plate incorporation method.
    (ii) The preincubation method.
    (iii) The azo-reduction method.


The procedures described here are for the direct plate incorporation 
method and the azo-reduction method.
    (3) Strain selection--(i) Designation. At the present time four 
strains, TA 1535, TA 1537, TA 98 and TA 100 should be used. The use of 
other strains in addition to these four is left to the discretion of the 
investigator.
    (ii) Preparation and storage. Recognized methods of stock culture 
preparation and storage should be used. The requirement of histidine for 
growth should be demonstrated for each strain. Other phenotypic 
characteristics should be checked using such methods as crystal violet 
sensitivity and resistance to ampicillin. Spontaneous reversion 
frequency should be in the range expected either as reported in the 
literature or as established in the laboratory by historical control 
values.
    (iii) Bacterial growth. Fresh cultures of bacteria should be grown 
up to the late exponential or early stationary phase of growth 
(approximately 10\8\-10\9\ cells per ml).
    (4) Metabolic activation. Bacteria should be exposed to the test 
substance both in the presence and absence of an appropriate metabolic 
activation system. For the direct plate incorporation method, the most 
commonly used system is a cofactor supplemented postmitochondrial 
fraction prepared from the livers of rodents treated with enzyme 
inducing agents such as Aroclor 1254. For the azo-reduction method, a 
cofactor supplemented postmitochondrial fraction prepared from the 
livers of untreated hamsters is preferred. For this method, the cofactor 
supplement should contain flavin mononucleotide, exogenous glucose 6-
phosphate dehydrogenase, NADH and excess of glucose-6-phosphate.
    (5) Control groups--(i) Concurrent controls. Concurrent positive and 
negative (untreated and/or vehicle) controls shall be included in each 
experiment. Positive controls shall ensure both strain responsiveness 
and efficacy of the metabolic activation system.
    (ii) Strain specific positive controls. Strain specific positive 
controls shall be included in the assay. Examples of strain specific 
positive controls are as follows:
    (A) Strain TA 1535, TA 100, sodium azide.
    (B) TA 98, 2-nitrofluorene.
    (C) TA 1537, 9-aminoacridine.
    (iii) Positive controls to ensure the efficacy of the activation 
system. The positive control reference substance for tests including a 
metabolic activation system should be selected on the basis of the type 
of activation system used in the test. 2-Aminoanthracene is an example 
of a positive control compound in plate-incorporation tests using 
postmitochondrial fractions from the livers of rodents treated with 
enzyme inducing agents such as Aroclor-1254. Congo red is an example of 
a positive control compound in the azo-reduction method. Other positive 
control reference substances may be used.
    (iv) Class-specific positive controls. The azo-reduction method 
should include positive controls from the same class of compounds as the 
test agent wherever possible.
    (6) Test chemicals--(i) Vehicle. Test chemicals and positive control 
reference substances should be dissolved or suspended in an appropriate 
vehicle and then further diluted in vehicle for use in the assay.

[[Page 189]]

    (ii) Exposure concentrations. (A) The test should initially be 
performed over a broad range of concentrations. Among the criteria to be 
taken into consideration for determining the upper limits of test 
chemical concentration are cytotoxicity and solubility. Cytotoxicity of 
the test chemical may be altered in the presence of metabolic activation 
systems. Toxicity may be evidenced by a reduction in the number of 
spontaneous revertants, a clearing of the background lawn or by the 
degree of survival of treated cultures. Relatively insoluble compounds 
should be tested up to the limits of solubility. For freely soluble 
nontoxic chemicals, the upper test chemical concentration should be 
determined on a case by case basis.
    (B) Generally, a maximum of 5 mg/plate for pure substances is 
considered acceptable. At least 5 different amounts of test substance 
shall be tested with adequate intervals between test points.
    (C) When appropriate, a single positive response shall be confirmed 
by testing over a narrow range of concentrations.
    (e) Test performance--(1) Direct plate incorporation method. For 
this test without metabolic activation, test chemica1 and 0.1 m1 of a 
fresh bacterial culture should be added to 2.0 ml of overlay agar. For 
tests with metabolic activation, 0.5 ml of activation mixture containing 
an adequate amount of postmitochondrial fraction should be added to the 
agar overlay after the addition of test chemical and bacteria. Contents 
of each tube shall be mixed and poured over the surface of a selective 
agar plate. Overlay agar shall be allowed to solidify before incubation. 
At the end of the incubation period, revertant colonies per plate shall 
be counted.
    (2) Azo-reduction method. (i) For this test with metabolic 
activation, 0.5 ml of S-9 mix containing 150 ul of S-9 and 0.1 ml of 
bacterial culture should be added to a test tube kept on ice. One-tenth 
milliliter of chemical should be added, and the tubes should be 
incubated with shaking at 30 [deg]C for 30 min. At the end of the 
incubation period, 2.0 ml of agar should be added to each tube, the 
contents mixed and poured over the surface of a selective agar plate. 
Overlay agar shall be allowed to solidify before incubation. At the end 
of the incubation period, revertant colonies per plate shall be counted.
    (ii) For tests without metabolic activation, 0.5 ml of buffer should 
be used in place of the 0.5 ml of S-9 mix. All other procedures shall be 
the same as those used for the test with metabolic activation.
    (3) Other methods. Other methods may also be appropriate.
    (4) Media. An appropriate selective medium with an adequate overlay 
agar shall be used.
    (5) Incubation conditions. All plates within a given experiment 
shall be incubated for the same time period. This incubation period 
shall be for 48-72 hours at 37 [deg]C.
    (6) Number of cultures. All plating should be done at least in 
triplicate.
    (f) Data and report--(1) Treatment of results. Data shall be 
presented as number of revertant colonies per plate for each replicate 
and dose. The numbers of revertant colonies on both negative (untreated 
and/or vehicle) and positive control plates shall also be presented. 
Individual plate counts, the mean number of revertant colonies per plate 
and standard deviation shall be presented for test chemical and positive 
and negative (untreated and/or vehicle) controls.
    (2) Statistical evaluation. Data should be evaluated by appropriate 
statistical methods.
    (3) Interpretation of results. (i) There are several criteria for 
determining a positive result, one of which is a statistically 
significant dose-related increase in the number of revertants. Another 
criterion may be based upon detection of a reproducible and 
statistically significant positive response for at least one of the test 
substance concentrations.
    (ii) A test substance which does not produce either a statistically 
significant dose-related increase in the number of revertants or a 
statistically significant and reproducible positive response at any one 
of the test points is considered nonmutagenic in this system.

[[Page 190]]

    (iii) Both biological and statistical significance should be 
considered together in the evaluation.
    (4) Test evaluation. (i) Positive results from the S. typhimurium 
reverse mutation assay indicate that, under the test conditions, the 
test substance induces point mutations by base changes or frameshifts in 
the genome of this organism.
    (ii) Negative results indicate that under the test conditions the 
test substance is not mutagenic in S. typhimurium.
    (5) Test report. In addition to the reporting recommendations as 
specified under 40 CFR part 792, subpart J, the following specific 
information shall be reported:
    (i) Bacterial strain used.
    (ii) Metabolic activation system used (source, amount and cofactor); 
details of preparations of S-9 mix.
    (iii) Dose levels and rationale for selection of dose.
    (iv) Positive and negative controls.
    (v) Individual plate counts, mean number of revertant colonies per 
plate, standard deviation.
    (vi) Dose-response relationship, if applicable.
    (g) References. For additional background information on this test 
guideline the following references should be consulted:
    (1) Ames, B.N., McCann, J., Yamasaki, E. ``Methods for detecting 
carcinogens and mutagens with the Salmonella/ mammalian-microsome 
mutagenicity test,'' Mutation Research 31:347-364 (1975).
    (2) de Serres, F.J., Shelby, M.D. ``The Salmonella mutagenicity 
assay: recommendations,'' Science 203:563-565 (1979).
    (3) Prival, M.J., Mitchell, V.D. ``Analysis of a method for testing 
azo dyes for mutagenic activity in Salmonella typhimurium in the 
presence of flavin mononucleotide and hamster liver S-9,'' Mutation 
Research 97:103-116 (1982).
    (4) Vogel, H.J., Bonner, D.M. ``Acetylornithinase of E. coli: 
partial purification and some properties,'' Journal of Biological 
Chemistry. 218:97-106 (1956).

[50 FR 39397, Sept. 27, 1985, as amended at 52 FR 19078, May 20, 1987]



Sec.  798.5275  Sex-linked recessive lethal test in drosophila melanogaster.

    (a) Purpose. The sex-linked recessive lethal (SLRL) test using 
Drosophila melanogaster detects the occurrence of mutations, both point 
mutations and small deletions, in the germ line of the insect. This test 
is a forward mutation assay capable of screening for mutations at about 
800 loci on the X-chromosome. This represents about 80 percent of all X-
chromosome loci. The X-chromosome represents approximately one-fifth of 
the entire haploid genome.
    (b) Definitions. (1) Lethal mutation is a change in the genome 
which, when expressed, causes death to the carrier.
    (2) Recessive mutation is a change in the genome which is expressed 
in the homozygous or hemizygous condition.
    (3) Sex-Linked genes are present on the sex (X or Y) chromosomes. 
Sex-linked genes in the context of this guideline refer only to those 
located on the X-chromosome.
    (c) Reference substances. These may include, but need not be limited 
to, ethyl methanesulfonate or N-nitroso-dimethylamine.
    (d) Test method--(1) Principle. Mutations in the X-chromosome of D. 
melanogaster are phenotypically expressed in males carrying the mutant 
gene. When the mutation is lethal in the hemizygous condition, its 
presence is inferred from the absence of one class of male offspring out 
of the two that are normally produced by a heterozygous female. The SLRL 
test takes advantage of these facts by means of specially marked and 
arranged chromosomes.
    (2) Description. Wild-type males are treated and mated to 
appropriate females. Female offspring are mated individually to their 
brothers, and in the next generation the progeny from each separate dose 
are scored for phenotypically wild-type males. Absence of these males 
indicates that a sex-linked recessive lethal mutation has occurred in a 
germ cell of the P1 male.
    (3) Drosophila stocks. Males of a well-defined wild type stock and 
females of the Muller-5 stock may be used. Other appropriately marked 
female stocks

[[Page 191]]

with multiple inverted X-chromosomes may also be used.
    (4) Control groups--(i) Concurrent controls. Concurrent positive and 
negative (vehicle) controls shall be included in each experiment.
    (ii) Positive controls. Examples of positive controls include ethyl 
methanesulfonate and N-nitroso-dimethylamine.
    (iii) Other positive controls. Other positive control reference 
substances may be used.
    (iv) Negative controls. Negative (vehicle) controls shall be 
included. The size of the negative (vehicle) control group shall be 
determined by the availability of appropriate laboratory historical 
control data.
    (5) Test chemicals--(i) Vehicle. Test chemicals should be dissolved 
in water. Compounds which are insoluble in water may be dissolved or 
suspended in appropriate vehicles (e.g., a mixture of ethanol and Tween-
60 or 80) and then diluted in water or saline prior to administration. 
Dimethylsulfoxide should br avoided as a vehicle.
    (ii) Dose levels. For the initial assessment of mutagenicity, it is 
sufficient to test a single dose of the test substance for screening 
purposes. This dose should be the maximum tolerated dose, or that which 
produces some indication of toxicity, or shall be the highest dose 
attainable. For dose-response purposes, at least three additional dose 
levels should be used.
    (iii) Route of administration. Exposure may be oral, by injection or 
by exposure to gases or vapors. Feeding of the test compound may be done 
in sugar solution. When necessary, substances may be dissolved in 0.7 
percent NaCl solution and injected into the thorax or abdomen.
    (e) Test performance--(1) Treatment and mating. Wild-type males (3 
to 5 days old) shall be treated with the test substance and mated 
individually to an appropriate number of virgin females from the Muller-
5 stock or females from another appropriately marked (with multiply-
inverted X-chromosomes) stock. The females shall be replaced with fresh 
virgins every 2 to 3 days to cover the entire germ cell cycle. The 
offspring of these females are scored for lethal effects corresponding 
to the effects on mature sperm, mid or late stage spermatids, early 
spermatids, spermatocytes and spermatogonia at the time of treatment.
    (2) F11 matings. Heterozygous F1 females from 
the above crosses shall be allowed to mate individually (i.e., one 
female per vial) with their brothers. In the F2 generation, 
each culture shall be scored for the absence of wild-type males. If a 
culture appears to have arisen from an F1 female carrying a 
lethal in the parental X-chromosome (i.e., no males with the treated 
chromosome are observed), daughters of that female with the same 
genotype shall be tested to ascertain if the lethality is repeated in 
the next generation.
    (3) Number of matings. (i) The test should be designed with a 
predetermined sensitivity and power. The number of flies in each group 
should reflect these defined parameters. The spontaneous mutant 
frequency observed in the appropriate control group will strongly 
influence the number of treated chromosomes that must be analysed to 
detect substances which show mutation rates close to those of the 
controls.
    (ii) Test results should be confirmed in a separate experiment.
    (f) Data and report--(1) Treatment of results. Data shall be 
tabulated to show the number of chromosomes tested, the number of 
nonfertile males and the number of lethal chromosomes at each exposure 
concentration and for each mating period for each male treated. Numbers 
of clusters of different size per male shall be reported.
    (2) Statistical evaluation. Data shall be evaluated by appropriate 
statistical techniques.
    (3) Interpretation of results. (i) There are several criteria for 
determining a positive result, one of which is a statistically 
significant dose-related increase in the number of sex-lined recessive 
lethals. Another criterion may be based upon detection of a reproducible 
and statistically significant positive response for at least one of the 
test points.

[[Page 192]]

    (ii) A test substance which does not produce either a statistically 
significant dose-related increase in the number of sex-linked recessive 
lethals or a statistically significant and reproducible positive 
response at any one of the test points is considered non-mutagenic in 
this system.
    (iii) Both biological and statistical significance should be 
considered together in the evaluation.
    (4) Test evaluation. (i) Positive results in the SLRL test in D. 
melanogaster indicate that under the test conditions the test agent 
causes mutations in germ cells of this insect.
    (ii) Negative results indicate that under the test conditions the 
test substance is not mutagenic in D. melanogaster.
    (5) Test report. In addition to the reporting recommendations as 
specified under 40 CFR part 792, subpart J the following specific 
information shall be reported.
    (i) Drosophila stock used in the assay, age of insects, number of 
males treated, number of sterile males, number of F2 cultures 
established, number of F2 cultures without progeny.
    (ii) Test chemical vehicle, treatment and sampling schedule, 
exposure levels, toxicity data, negative (vehicle) and positive 
controls, if appropriate.
    (iii) Criteria for scoring lethals.
    (iv) Number of chromosomes tested, number of chromosomes scored, 
number of chromosomes carrying a lethal mutation.
    (v) Historical control data, if available.
    (vi) Dose-response relationship, if applicable.
    (g) References. For additional background information on this test 
guideline the following references should be consulted:
    (1) Sobels, F.H., Vogel, E. ``The capacity of Drosophila for 
detecting relevant genetic damage,'' Mutation Research 41:95-106 (1976).
    (2) Wurgler F.E., Sobels F.H., Vogel E. ``Drosophila as assay system 
for detecting genetic changes,'' Handbook of mutagenicity test 
procedures. Eds. Kilbey, B.J., Legator, M., Nichols, W., Ramel, C., 
(Amsterdam: Elsevier/North Holland Biomedical Press, 1977) pp. 335-373.

[50 FR 39397, Sept. 27, 1985, as amended at 52 FR 19079, May 20, 1987]



Sec.  798.5300  Detection of gene mutations in somatic cells in culture.

    (a) Purpose. Mammalian cell culture systems may be used to detect 
mutations induced by chemical substances. Widely used cell lines include 
L5178Y mouse lymphoma cells and the CHO and V-79 lines of Chinese 
hamster cells. In these cell lines the most commonly used systems 
measure mutation at the thymidine kinase (TK), hypoxanthine-guanine-
phosphoribosyl transferase (HPRT) and Na=/K= 
ATPase loci. The TK and HPRT mutational systems detect base pair 
mutations, frameshift mutations, and small deletions; the 
Na=/K= ATPase system detects base pair mutations 
only.
    (b) Definitions. (1) A forward mutation assay detects a gene 
mutation from the parental type to the mutant form which gives rise to a 
change in an enzymatic or functional protein.
    (2) Base pair mutagens are agents which cause a base change in the 
DNA.
    (3) Frameshift mutagens are agents which cause the addition or 
deletion of single or multiple base pairs in the DNA molecule.
    (4) Phenotypic expression time is a period during which unaltered 
gene products are depleted from newly mutated cells.
    (c) Reference substances. These may include, but need not be limited 
to, ethyl methanesulfonate, N-nitroso-dimethylamine, 2-
acetylaminofluorene, 7,12-dimethylbenzanthracene or hycanthone.
    (d) Test method--(1) Principle. Cells are exposed to test substance, 
both with and without metabolic activation, for a suitable period of 
time and subcultured to determine cytotoxicity and to allow phenotypic 
expression prior to mutant selection. Cells deficient in thymidine 
kinase (TK) due to the forward mutation TK=[rarr] 
TK- are resistant to the cytotoxic effects of pyrimidine 
analogues such as bromodeoxyuridine (BrdU), fluorodeoxyuridine (FdU) or

[[Page 193]]

trifluorothymidine (TFT). The deficiency of the ``salvage'' enzyme 
thymidine kinase means that these antimetabolites are not incorporated 
into cellular nucleotides and the nucleotides needed for cellular 
metabolism are obtained solely from de novo synthesis. However, in the 
presence of thymidine kinase, BrdU, FdU or TFT are incorporated into the 
nucleotides, resulting in inhibition of cellular metabolism and 
cytotoxicity. Thus mutant cells are able to proliferate in the presence 
of BrdU, FdU or TFT whereas normal cells, which contain thymidine 
kinase, are not. Similarly cells deficient in HPRT are selected by 
resistance to 8-azaguanine (AG) or 6-thioguanine (TG) and cells with 
altered Na=/K= ATPase are selected by resistance 
to ouabain.
    (2) Description. Cells in suspension or monolayer culture are 
exposed to the test substance, both with and without metabolic 
activation, for a defined period of time. Cytotoxicity is determined by 
measuring the colony forming ability or growth rate of the cultures 
after the treatment period. The treated cultures are maintained in 
growth medium for a sufficient period of time--characteristic of each 
selected locus--to allow near-optimal phenotypic expression of induced 
mutations. Mutant frequency is determined by seeding known numbers of 
cells in medium containing the selective agent to detect mutant cells, 
and in medium without selective agent to determine the cloning 
efficiency. After a suitable incubation time, cell colonies are counted. 
The number of mutant colonies in selective medium is adjusted by the 
number of colonies in nonselective medium to derive the mutant 
frequency.
    (3) Cells--(i) Type of cells used in the assay. A variety of cell 
lines are available for use in this assay including subclones of L5178Y, 
CHO cells or V-79 cells. Cell types used in this assay should have a 
demonstrated sensitivity to chemical mutagens, a high cloning efficiency 
and a low spontaneous mutation frequency. Cells should be checked for 
Mycoplasma contamination and may be periodically checked for karyotype 
stability.
    (ii) Cell growth and maintenance. Appropriate culture media and 
incubation conditions (culture vessels, CO2 concentrations, 
temperature and humidity) shall be used.
    (4) Metabolic activation. Cells shall be exposed to test substance 
both in the presence and absence of an appropriate metabolic activation 
system.
    (5) Control groups. Positive and negative (untreated and/or vehicle) 
controls shall be included in each experiment. When metabolic activation 
is used, the positive control substance shall be known to require such 
activation.
    (6) Test chemicals--(i) Vehicle. Test substances may be prepared in 
culture media or dissolved or suspended in appropriate vehicles prior to 
treatment of the cells. The final concentration of the vehicle shall not 
interfere with cell viability or growth rate. Treatment vessels should 
be chosen to ensure that there is no visible interaction, such as 
etching, between the solvent, the test chemical, and the vessel.
    (ii) Exposure concentrations. (A) The test should be designed to 
have a predetermined sensitivity and power. The number of cells, 
cultures, and concentrations of test substance used should reflect these 
defined parameters. The number of cells per culture is based on the 
expected background mutant frequency; a general guide is to use a number 
which is 10 times the inverse of this frequency.
    (B) Several concentrations (usually at least 4) of the test 
substance shall be used. Generally, these shall yield a concentration-
related toxic effect. The highest concentration shall produce a low 
level of survival (approximately 10 percent), and the survival in the 
lowest concentration shall approximate the negative control. 
Cytotoxicity shall be determined after treatment with the test substance 
both in the presence and in the absence of an exogenous metabolic 
activation system. Relatively insoluble substances should be tested up 
to their limit of solubility under culture conditions. For freely-
soluble nontoxic substances the highest concentration used should be 
determined on a case-by-case basis.
    (e) Test performance. (1) Cells shall be exposed to the test 
substance both with

[[Page 194]]

and without exogenous metabolic activation. Exposure shall be for a 
suitable period of time, in most cases 1 to 5 hours is effective; 
exposure time may be extended over one or more cell cycles.
    (2) At the end of the exposure period, cells shall be washed and 
cultured to determine viability and to allow for expression of the 
mutant phenotype.
    (3) At the end of the expression period, which shall be sufficient 
to allow near optimal phenotypic expression of induced mutants, cells 
should be grown in medium with and without selective agent(s) for 
determination of number of mutants and cloning efficiency, respectively.
    (4) Results shall be confirmed in an independent experiment. When 
appropriate, a single positive response should be confirmed by testing 
over a narrow range of concentrations.
    (f) Data and report--(1) Treatment of results. Data shall be 
presented in tabular form. Individual colony counts for the treated and 
control groups shall be presented for both mutation induction and 
survival. Survival and cloning efficiencies shall be given as a 
percentage of the controls. Mutant frequency shall be expressed as 
number of mutants per number of surviving cells.
    (2) Statistical evaluation. Data should be evaluated by appropriate 
statistical methods.
    (3) Interpretation of results. (i) There are several criteria for 
determining a positive result, one of which is a statistically 
significant concentration-related increase in the mutant frequency. 
Another criterion may be based upon detection of a reproducible and 
statistically significant positive response for at least one of the test 
substance concentrations.
    (ii) A test substance which does not produce either a statistically 
significant concentration-related increase in the mutant frequency or a 
statistically significant and reproducible positive response at any one 
of the test points is considered nonmutagenic in this system.
    (iii) Both biological and statistical significance should be 
considered together in the evaluation.
    (4) Test evaluation. (i) Positive results for an in vitro mammalian 
cell gene mutation test indicate that, under the test conditions, a 
substance induces gene mutations in the cultured mammalian cells used.
    (ii) Negative results indicate that, under the test conditions, the 
test substance does not induce gene mutations in the cultured mammalian 
cells used.
    (5) Test report. In addition to the reporting recommendations as 
specified under 40 CFR part 792, subpart J the following specific 
information shall be reported:
    (i) Cell type used, number of cell cultures, methods used for 
maintenance of cell cultures.
    (ii) Rationale for selection of concentrations and number of 
cultures.
    (iii) Test conditions: composition of media, CO2 
concentration, concentration of test substance, vehicle, incubation 
temperature, incubation time, duration of treatment, cell density during 
treatment, type of metabolic activation system, positive and negative 
controls, length of expression period (including number of cells seeded 
and subculture and feeding schedules, if appropriate), selective 
agent(s).
    (iv) Methods used to enumerate numbers of viable and mutant cells.
    (v) Dose-response relationship, where possible.
    (g) References. For additional background information on this test 
guideline the following references should be consulted:
    (1) Amacher, D.E., Paillet, S.C., Ray, V. ``Point mutations at the 
thymidine kinase locus in L5178Y mouse lymphoma cells. I. Application to 
genetic toxicology testing,'' Mutation Research, 64:391-406 (1979).
    (2) Amacher, D.E., Paillet, S.C., Turner, G.N., Ray, V.A. Salsburg, 
V.A. ``Point mutations at the thymidine kinase locus in L5178Y mouse 
lymphoma cells. II. Test validation and interpretation,'' Mutation 
Research, 72:447-474 (1980).
    (3) Bradley, M.O., Bhuyan B., Francis, M.C., Langenback, R., 
Peterson, A., Huberman, E. ``Mutagenesis by chemical agents in V-79 
Chinese hamster cells: a review and analysis of the literature: a report 
of the Gene-Tox Program,'' Mutation Research, 87:81-142 (1981).

[[Page 195]]

    (4) Clive, D., Johnson, K.O., Spector, J.F.S., Batson, A.G., Brown, 
M.M. ``Validation and characterization of the L5178Y TK=/
- mouse lymphoma mutagen assay system,'' Mutation Research, 
59:61-108 (1979).
    (5) Clive, D., Spector, J.F.S. ``Laboratory procedures for assessing 
specific locus mutations at the TK locus in cultured L5178Y mouse 
lymphoma cells,'' Mutation Research, 31:17-29 (1975).
    (6) Hsie, A.W., Casciano, D.A., Couch, D.B., Krahn, D.F., O'Neill, 
J.P., Whitfield, B.L. ``The use of Chinese hamster ovary cells to 
quantify specific locus mutation and to determine mutagenicity of 
chemicals: a report of the U.S. EPA's Gene-Tox Program,'' Mutation 
Research, 86:193-214 (1981).

[50 FR 39397, Sept. 27, 1985, as amended at 52 FR 19079, May 20, 1987]



Sec.  798.5375  In vitro mammalian cytogenetics.

    (a) Purpose. The in vitro cytogenetics test is a mutagenicity test 
system for the detection of chromosomal aberrations in cultured 
mammalian cells. Chromosomal aberrations may be either structural or 
numerical. However, because cytogenetic assays are usually designed to 
analyse cells at their first post-treatment mitosis and numerical 
aberrations require at least one cell division to be visualized, this 
type of aberration is generally not observed in a routine cytogenetics 
assay. Structural aberrations may be of two types, chromosome or 
chromatid.
    (b) Definitions. (1) Chromosome-type aberrations are changes which 
result from damage expressed in both sister chromatids at the same time.
    (2) Chromatid-type aberrations are damage expressed as breakage of 
single chromatids or breakage and/or reunion between chromatids.
    (c) Reference substances. Not applicable.
    (d) Test method--(1) Principle. In vitro cytogenetics assays may 
employ cultures of established cell lines, cell strains or primary cell 
cultures. Cell cultures are exposed to the test substance both with and 
without metabolic activation. Following exposure of cell cultures to 
test substances, they are treated with a spindle inhibitor (e.g., 
colchicine or Colcemid) to arrest cells in a metaphase-like 
stage of mitosis (c-metaphase). Cells are then harvested and chromosome 
preparations made. Preparations are stained and metaphase cells are 
analyzed for chromosomal aberrations.
    (2) Description. Cell cultures are exposed to test compounds and 
harvested at various intervals after treatment. Prior to harvesting, 
cells are treated with a spindle inhibitor (e.g., colchicine or 
Colcemid) to accumulate cells in c-metaphase. Chromosome 
preparations from cells are made, stained and scored for chromosomal 
aberrations.
    (3) Cells--(i) Type of cells used in the assay. There are a variety 
of cell lines or primary cell cultures, including human cells, which may 
be used in the assay. Established cell lines and strains should be 
checked for Mycoplasma contamination and may be periodically checked for 
karyotype stability.
    (ii) Cell growth and maintenance. Appropriate culture media, and 
incubation conditions (culture vessels CO2 concentrations, 
temperature and humidity) shall be used.
    (4) Metabolic activation. Cells shall be exposed to test substance 
both in the presence and absence of an appropriate metabolic activation 
system.
    (5) Control groups. Positive and negative (untreated and/or vehicle) 
controls both with and without metabolic activation shall be included in 
each experiment. When metabolic activation is used, the positive control 
substance shall be known to require such activation.
    (6) Test chemicals--(i) Vehicle. Test substances may be prepared in 
culture media or dissolved or suspended in appropriate vehicles prior to 
treatment of the cells. Final concentration of the vehicle shall not 
interfere with cell viability or growth rate. Treatment vessels should 
be chosen to ensure that there is no visible interaction, such as 
etching, between the solvent, the test chemical, and the vessel.
    (ii) Exposure concentrations. Multiple concentrations of the test 
substance over a range adequate to define the response should be tested. 
Generally the highest test substance concentrations

[[Page 196]]

tested with and without metabolic activation should show evidence of 
cytotoxicity or reduced mitotic activity. Relatively insoluble 
substances should be tested up to the limit of solubility. For freely 
soluble nontoxic chemicals, the upper test chemical concentration should 
be determined on a case by case basis.
    (e) Test performance--(1) Established cell lines and strains. Prior 
to use in the assay, cells should be generated from stock cultures, 
seeded in culture vessels at the appropriate density and incubated at 37 
[deg]C.
    (2) Human lymphocyte cultures. Heparinized or acid-citrate-dextrose 
whole blood should be added to culture medium containing a mitogen, 
e.g., phytohemagglutinin (PHA) and incubated at 37 [deg]C. White cells 
sedimented by gravity (buffy coat) or lymphocytes which have been 
purified on a density gradient may also be utilized.
    (3) Treatment with test substance. For established cell lines and 
strains, cells in the exponential phase of growth shall be treated with 
test substances in the presence and absence of an exogenous metabolic 
activation system. Mitogen-stimulated human lymphocyte cultures may be 
treated with the test substance in a similar manner.
    (4) Number of cultures. At least two independent cultures shall be 
used for each experimental point.
    (5) Culture harvest time. (i) For established cell lines and 
strains, multiple harvest times are recommended. However, for screening 
purposes, a single harvest time may be appropriate. If the test chemical 
changes the cell cycle length, the fixation intervals should be changed 
accordingly. If a single harvest time is selected, supporting data for 
the harvest time should be presented in such a study.
    (ii) For human lymphocyte cultures, the substance to be tested may 
be added to the cultures at various times after mitogen stimulation so 
that there is a single harvest time after the initiation of the cell 
culture. Alternatively, a single treatment may be followed by multiple 
harvest times. Harvest time should be extended for those chemicals which 
induce an apparent cell cycle delay. Because the population of human 
lymphocytes is only partially synchronized, a single treatment, at, or 
close to, the time when metaphase stages first appear in the culture 
will include cells in all phases of the division cycle. Therefore, a 
single harvest at the time of second mitosis may be carried out for 
screening purposes.
    (iii) Cell cultures shall be treated with a spindle inhibitor, 
(e.g., colchicine or Colcemid [reg]), 1 or 2 hours prior to 
harvesting. Each culture shall be harvested and processed separately for 
the preparation of chromosomes.
    (6) Chromosome preparation. Chromosome preparation involves 
hypotonic treatment of the cells, fixation and staining.
    (7) Analysis. Slides shall be coded before analysis. In human 
lymphocytes, only cells containing 46 centromeres shall be analyzed. In 
established cell lines and strains, only metaphases containing 2 centromeres of the modal number shall be analyzed. 
Uniform criteria for scoring aberrations shall be used.
    (8) Confirmatory tests. When appropriate, a single positive response 
shall be confirmed by testing over a narrow range of concentrations.
    (f) Data and report--(1) Treatment of results. Data shall be 
presented in a tabular form. Different types of structural chromosomal 
aberrations shall be listed with their numbers and frequencies for 
experimental and control groups. Data should be evaluated by appropriate 
statistical methods. Gaps or achromatic lesions are recorded separately 
and not included in the total aberration frequency.
    (2) Statistical evaluation. Data should be evaluated by appropriate 
statistical methods.
    (3) Interpretation of results. (i) There are several criteria for 
determining a positive result, one of which is a statistically 
significant dose-related increase in the number of structural 
chromosomal aberrations. Another criterion may be based upon detection 
of a reproducible and statistically significant positive response for at 
least one of the test substance concentrations.

[[Page 197]]

    (ii) A test substance which does not produce either a statistically 
significant dose-related increase in the number of structural 
chromosomal aberrations or a statistically significant and reproducible 
positive response at any one of the test points is considered 
nonmutagenic in this system.
    (iii) Both biological and statistical significance should be 
considered together in the evaluation.
    (4) Test evaluation. (i) Positive results in the in vitro 
cytogenetics assay indicate that under the test conditions the test 
substance induces chromosomal aberrations in cultured mammalian somatic 
cells.
    (ii) Negative results indicate that under the test conditions the 
test substance does not induce chromosomal aberrations in cultured 
mammalian somatic cells.
    (5) Test report. In addition to the reporting recommendations as 
specified under 40 CFR part 792, subpart J the following specific 
information shall be reported:
    (i) Cells used, density and passage number at time of treatment, 
number of cell cultures.
    (ii) Methods used for maintenance of cell cultures including medium, 
temperature and CO2 concentration.
    (iii) Test chemical vehicle, concentration and rationale for the 
selection of the concentrations used in the assay, duration of 
treatment.
    (iv) Details of both the protocol used to prepare the metabolic 
activation system and of its use in the assay.
    (v) Identity of spindle inhibitor, its concentration and duration of 
treatment.
    (vi) Date of cell harvest.
    (vii) Positive and negative controls.
    (viii) Methods used for preparation of slides for microscopic 
examination.
    (ix) Number of metaphases analysed.
    (x) Mitotic index where applicable.
    (xi) Criteria for scoring aberrations.
    (xii) Type and number of aberrations, given separately for each 
treated and control culture, total number of aberrations per group; 
frequency distribution of number of chromosomes in established cell 
lines and strains.
    (xiii) Dose-response relationship, if applicable.
    (g) References. For additional background information on this test 
guideline the following references should be consulted.
    (1) Ames, B.N., McCann, J., Yamasaki, E. ``Methods for detecting 
carcinogens and mutagens with the Salmonella/ mammalian-microsome 
mutagenicity test,'' Mutation Research, 31:347-364 (1975).
    (2) Evans, H.J. ``Cytological methods for detecting chemical 
mutagens,'' Chemical mutagens, principles and methods for their 
detection, Vol. 4, Ed. A. Hollaender (New York, London: Plenum Press, 
1976) pp. 1-29.
    (3) Howard, P.N., Bloom, A.D., Krooth, R.S. ``Chromosomal 
aberrations induced by N-methyl-N'-nitro-N-nitrosoguanidine in mammalian 
cells,'' In Vitro 7:359-365 (1972).
    (4) Ishidate, M. Jr., Odashima, S. ``Chromosome tests with 134 
compounds on Chinese hamster cells in vitro: A screening for chemical 
carcinogens,'' Mutation Research, 48:337-354 (1975).
    (5) Preston, R.J., Au, W., Bender, M.A., Brewen, J.G., Carrano, 
A.V., Heddle, J.A., McFee, A.F., Wolff, S., Wassom, J.S., ``Mammalian in 
vivo and in vitro cytogenetic assays: A report of the Gene-tox 
Program,'' Mutation Research, 87:143-188 (1981).

[50 FR 39397, Sept. 27, 1985, as amended at 52 FR 19079, May 20, 1987]



Sec.  798.5385  In vivo mammalian bone marrow cytogenetics tests: Chromosomal analysis.

    (a) Purpose. The in vivo bone marrow cytogenetic test is a 
mutagenicity test for the detection of structural chromosomal 
aberrations. Chromosomal aberrations are generally evaluated in first 
post-treatment mitoses. With the majority of chemical mutagens, induced 
aberrations are of the chromatid type but chromosome type aberrations 
also occur.
    (b) Definitions. (1) Chromosome-type aberrations are changes which 
result from damage expressed in both sister chromatids at the same time.
    (2) Chromatid-type aberrations are damage expressed as breakage of 
single chromatids or breakage and/or reunion between chromatids.

[[Page 198]]

    (c) Reference substances. Not applicable.
    (d) Test method--(1) Principle. Animals are exposed to test 
chemicals by appropriate routes and are sacrificed at sequential 
intervals. Chromosome preparations are made from bone marrow cells. The 
stained preparations are examined and metaphase cells are scored for 
chromosomal aberrations.
    (2) Description. The method employs bone marrow of laboratory 
rodents which have been exposed to test chemicals. Prior to sacrifice, 
animals are further treated with a spindle inhibitor, (e.g., colchicine 
or Colcemid [reg]) to arrest the cells in c-metaphase. 
Chromosome preparations from the cells are stained and scored for 
chromosomal aberrations.
    (3) Animal selection--(i) Species and strain. Any appropriate 
mammalian species may be used. Examples of commonly used rodent species 
are rats, mice, and hamsters.
    (ii) Age. Healthy young adult animals shall be used.
    (iii) Number and sex. At least five female and five male animals per 
experimental and control group shall be used. Thus, 10 animals would be 
sacrificed per time per group treated with the test compound if several 
test times after treatment are included in the experimental schedule. 
The use of a single sex or smaller number of animals should be 
justified.
    (iv) Assignment to groups. Animals shall be randomized and assigned 
to treatment and control groups.
    (4) Control groups--(1) Concurrent controls. (i) Concurrent positive 
and negative (vehicle) controls shall be included in the assay.
    (ii) Positive controls. A single dose positive control showing a 
significant response at any one time point is adequate. A compound known 
to produce chromosomal aberrations in vivo shall be employed as the 
positive control.
    (5) Test chemicals--(i) Vehicle. When possible, test chemicals shall 
be dissolved in isotonic saline or distilled water. Water insoluble 
chemicals may be dissolved or suspended in appropriate vehicles. The 
vehicles used shall neither interfere with the test chemical nor produce 
toxic effects. Fresh preparations of the test compound should be 
employed.
    (ii) Dose levels. For an initial assessment, one dose of the test 
substance may be used, the dose being the maximum tolerated dose (to a 
maximum of 5,000 mg/kg) or that producing some indication of 
cytotoxicity (e.g., partial inhibition of mitosis) or shall be the 
highest dose attainable (to a maximum of 5,000 mg/kg). Additional dose 
levels may be used. For determination of dose-response, at least three 
dose levels should be used.
    (iii) Route of administration. The usual routes are oral or by 
intraperitoneal injection. Other routes may be appropriate.
    (iv) Treatment schedule. In general, test substances should be 
administered once only. However, based on toxicological information a 
repeated treatment schedule may be employed.
    (e) Test performance--(1) Generally the test may be performed in two 
assays. (i) Animals should be treated with the test substance once at 
the selected dose(s). Samples should be taken at three times after 
treatment. For rodents, the central sampling interval is 24 hours. Since 
cell cycle kinetics can be influenced by the test substance, one earlier 
and one later sampling interval adequately spaced within the range of 6 
to 48 hours shall be applied. Where the additional dose levels are 
tested in a subsequent experiment, samples shall be taken at the 
predetermined most sensitive interval or, if this is not established, at 
the central sampling time. If the most sensitive interval is known and 
documented with data, only this one time point shall be sampled.
    (ii) If a repeated treatment schedule is used at the selected 
dose(s), samples shall be taken 6 and 24 hours after the last treatment; 
other sampling times may be used if justified. Where the additional dose 
levels are tested in a subsequent experiment, samples shall be taken at 
the predetermined most sensitive interval or, if this is not 
established, at 6 hours after the last treatment.
    (2) Administration of spindle inhibitor. Prior to sacrifice, animals 
shall be injected IP with an appropriate dose of a spindle inhibitor 
(e.g., colchicine or

[[Page 199]]

Colcemid [reg]) to arrest cells in c-metaphase.
    (3) Preparation of slides. Immediately after sacrifice, the bone 
marrow shall be obtained, exposed to hypotonic solution, and fixed. The 
cells shall then be spread on slides and stained. Chromosome 
preparations shall be made following standard procedures.
    (4) Analysis. The number of cells to be analyzed per animal should 
be based upon the number of animals used, the negative control 
frequency, the predetermined sensitivity, and the power chosen for the 
test. Slides shall be coded before microscopic analysis.
    (f) Data and report--(1) Treatment of results. Data should be 
presented in tabular form for both cells and animals. Different types of 
structural chromosomal aberrations should be listed with their numbers 
and a mean frequency per cell for each animal in all treated and control 
groups. Gaps (achromatic lesions) should be recorded separately and not 
included in the total abberration frequency. Differences among animals 
within each group should be considered before making comparisons between 
treated and control groups.
    (2) Statistical evaluation. Data should be evaluated by appropriate 
statistical methods.
    (3) Interpretation of results. (i) There are several criteria for 
determining a positive result, one of which is a statistically 
significant dose-related increase in the number of structual chromosomal 
aberrations or abnormal metaphase figures. Another criterion may be 
based upon detection of a reproducible and statistically significant 
positive response for a least one of the test points.
    (ii) A test substance which does not produce either a statistically 
significant dose-related increase in the number of chromosomal 
aberrations or abnormal metaphase figures or a statistically significant 
and reproducible positive response at any one of the test points is 
considered nonmutagenic in this system.
    (iii) Both biological and statistical significance should be 
considered together in the evaluation.
    (4) Test evaluation. (i) Positive results in the in vivo bone marrow 
cytogenetics assay indicate that under the test conditions the test 
substance induces chromosomal aberrations in the bone marrow of the test 
species.
    (ii) Negative results indicate that under the test conditions, the 
test substance does not induce chromosomal aberrations in the bone 
marrow of the test species.
    (5) Test report. In addition to the reporting recommendations as 
specified under 40 CFR part 792, subpart J the following specific 
information shall be reported:
    (i) Species, strain, age, weight, number and sex of animals in each 
treatment and control group.
    (ii) Test chemical vehicle, dose levels used, rationale for dose 
selection.
    (iii) Route of administration, treatment and sampling schedules, 
toxicity data, negative and positive controls.
    (iv) Identity of spindle-inhibitor, its concentration and duration 
of treatment.
    (v) Details of the protocol used for chromosome preparation, number 
of cells scored per animal, type and number of aberrations given 
separately for each treated and control animal.
    (vi) Mitotic index, where applicable.
    (vii) Criteria for scoring aberrations.
    (viii) Number and frequency of aberrant cells per animal in each 
treatment and control groups.
    (ix) Total number of aberrations per group.
    (x) Number of cells with aberrations per group.
    (xi) Dose-response relationship, if applicable.
    (g) References. For additional background information on this test 
guideline the following references should be consulted:
    (1) Adler, I.D., Ramarao, G., Epstein, S.S. ``In vivo cytogenetic 
effects of trimethyl-phosphate and of TEPA on bone marrow cells of male 
rats,'' Mutation Research, 13:263-273 (1971).
    (2) Evans, H.J. ``Cytological methods for detecting chemical 
mutagens,'' Chemical Mutagens: Principles and Methods for Their 
Detection, Vol. 4. Ed. A. Hollaender (New York and London: Plenum Press, 
1976) pp. 1-29.
    (3) Kilian, J.D., Moreland, F.E. Benge, M.C., Legator, M.S., 
Whorton, E.B. Jr. ``A collaborative study to

[[Page 200]]

measure intralaboratory variation with the in vivo bone morrow metaphase 
procedure,'' Handbook of mutagenicity test procedures. Eds. Kilby, B.J., 
Legator, M. Nichols, C., Ramel, D., (Amsterdam: Elsevier/North Holland 
Biomedical Press, 1977) 243-260.
    (4) Preston, J.R., Au, W., Bender, M.A., Brewen, J.G., Carrano, A.V. 
Heddle, J.A., McFee, A.F., Wolff, S., Wassom, J. ``Mammalian in vivo and 
vitro cytogenetics assays: Report of the Gene-Tox Program,'' Mutation 
Research, 87:143-188 (1981).

[50 FR 39397, Sept. 27, 1985, as amended at 52 FR 19080, May 20, 1987]



Sec.  798.5395  In vivo mammalian bone marrow cytogenetics tests: Micronucleus assay.

    (a) Purpose. The micronucleus test is a mammalian in vivo test which 
detects damage of the chromosomes or mitotic apparatus by chemicals. 
Polychromatic erythrocytes in the bone marrow of rodents are used in 
this assay. When the erythroblast develops into an erythrocyte the main 
nucleus is extruded and may leave a micronucleus in the cytoplasm. The 
visualization of micronuclei is facilitated in these cells because they 
lack a nucleus. Micronuclei form under normal conditions. The assay is 
based on an increase in the frequency of micronucleated polychromatic 
erythrocytes in bone marrow of treated animals.
    (b) Definition. Micronuclei are small particles consisting of 
acentric fragments of chromosomes or entire chromosomes, which lag 
behind at anaphase of cell division. After telophase, these fragments 
may not be included in the nuclei of daughter cells and form single or 
multiple micronuclei in the cytoplasm.
    (c) Reference substances. Not applicable.
    (d) Test method--(1) Principle. (i) Animals are exposed to test 
substance by an appropriate route. They are sacrificed, the bone marrow 
extracted and smear preparations made and stained. Polychromatic 
erythrocytes are scored for micronuclei under the microscope.
    (ii) Micronuclei may also be detected in other test systems:
    (A) Tissue culture.
    (B) Plants.
    (C) Blood smears.
    (D) Fetal tissues.
    (E) Meiotic cells.
    (F) Hepatic cells.
    (iii) The present guideline is based on the mammalian bone marrow 
assay.
    (2) Description. The method employs bone marrow of laboratory 
mammals which are exposed to test substances.
    (3) Animal selection--(i) Species and strain. Mice are recommended. 
However, any appropriate mammalian species may be used.
    (ii) Age. Young adult animals shall be used.
    (iii) Number and sex. At least five female and five male animals per 
experimental and control group shall be used. Thus, 10 animals would be 
sacrificed per time per group if several test times after treatment were 
included in the experimental schedule. The use of a single sex or a 
smaller number of animals should be justified.
    (iv) Assignment to groups. Animals shall be randomized and assigned 
to treatment and control groups.
    (4) Control groups--(i) Concurrent controls. Concurrent positive and 
negative (vehicle) controls shall be included in each assay.
    (ii) Positive controls. A compound known to produce micronuclei in 
vivo shall be employed as the positive control.
    (5) Test chemicals--(i) Vehicle. When appropriate for the route of 
administration, solid and liquid test substances should be dissolved or 
suspended in distilled water or isotonic saline. Water insoluble 
chemicals may be dissolved or suspended in appropriate vehicles. The 
vehicle used shall neither interfere with the test compound nor produce 
toxic effects. Fresh preparations of the test compound should be 
employed.
    (ii) Dose levels. For an initial assessment, one dose of the test 
substance may be used, the dose being the maximum tolerated dose (to a 
maximum of 5,000 mg/kg) or that producing some indication of 
cytotoxicity, e.g., a change in the ratio of polychromatic to 
normochromatic erythrocytes. Additional dose levels may be used. For 
determination of dose response, at least three dose levels shall be 
used.

[[Page 201]]

    (iii) Route of administration. The usual routes of administration 
are IP or oral. Other routes may be appropriate.
    (iv) Treatment schedule. Test substances should generally be 
administered only once. However, based upon toxicological information a 
repeated treatment schedule may be employed.
    (e) Test performance--(1) Treatment and sampling times. (i) Animals 
shall be treated with the test substance once at the highest tolerated 
dose. Sampling times should coincide with the maximum responses of the 
assay which varies with the test substance. Therefore, using the highest 
dose, bone marrow samples should be taken at least three times, starting 
not earlier than 12 hours after treatment, with appropriate intervals 
following the first sample but not extending beyond 72 hours. When other 
doses are used sampling shall be at the maximum sensitive period, or, if 
that is not known, approximately 24 hours after treatment. Other 
appropriate sampling times may be used in addition. If the most 
sensitive interval is known and documented with data, only this one time 
point need be sampled.
    (ii) If a repeated treatment schedule is used, samples shall be 
taken at least three times, starting not earlier than 12 hours after the 
last treatment and at appropriate intervals following the first sample, 
but not extending beyond 72 hours.
    (iii) Bone marrow shall be obtained immediately after sacrifice. 
Cells shall be prepared, put on slides, spread as a smear and stained.
    (2) Analysis. Slides shall be coded before microscopic analysis. At 
least 1,000 polychromatic erythrocytes per animal shall be scored for 
the incidence of micronuclei. The ratio of polychromatic to 
normochromatic erythrocytes should be determined for each animal by 
counting a total of 200 erythrocytes. To ensure consistency with OECD 
and other guidelines, 1,000 polychromatic erythrocytes are recommended. 
Additional information may be obtained by scoring normochromatic 
erythrocytes for micronuclei.
    (f) Data and report--(1) Treatment of results. Criteria for scoring 
micronuclei shall be given. Individual data shall be presented in a 
tabular form including positive and negative (vehicle) controls and 
experimental groups. The number of polychromatic erythrocytes scored, 
the number of micronucleated polychromatic erythrocytes, the percentage 
of micronucleated cells, the number of micronucleated normochromatic 
erythrocytes, and, if applicable, the percentage of micronucleated 
erythrocytes and the ratio of normochromatic to polychromatic 
erythrocytes shall be listed separately for each experimental and 
control animal. Absolute numbers shall be included if percentages are 
reported.
    (2) Statistical evaluation. Data should be evaluated by appropriate 
statistical methods.
    (3) Interpretation of results. (i) There are several criteria for 
determining a positive response, one of which is a statistically 
significant dose-related increase in the number of micronucleated 
polychromatic erythrocytes. Another criterion may be based upon 
detection of a reproducible and statistically significant positive 
response for at least one of the test substance concentrations.
    (ii) A test substance which does not produce either a statistically 
significant dose-related increase in the number of micronucleated 
polychromatic erythrocytes or a statistically significant and 
reproducible positive response at any one of the test points is 
considered nonmutagenic in this system.
    (iii) Both biological and statistical significance should be 
considered together in the evaluation.
    (4) Test evaluation. (i) The results of the micronucleus test 
provide information on the ability of a chemical to induce micronuclei 
in polychromatic erythrocytes of the test species under the conditions 
of the test. This damage may have been the result of chromosomal damage 
or damage to the mitotic apparatus.
    (ii) Negative results indicate that under the test conditions the 
test substance does not produce micronuclei in the bone marrow of the 
test species.
    (5) Test report. In addition to the reporting recommendations as 
specified under 40 CFR part 792, subpart J, the following specific 
information shall be reported:

[[Page 202]]

    (i) Species, strain, age, weight, number and sex of animals in each 
treatment and control group.
    (ii) Test chemical vehicle, dose levels used, rationale for dose 
selection.
    (iii) Rationale for and description of treatment and sampling 
schedules, toxicity data, negative and positive controls.
    (iv) Details of the protocol used for slide preparation.
    (v) Criteria for identifying micronucleated erythrocytes.
    (vi) Dose-response relationship, if applicable.
    (g) References. For additional background information on this test 
guideline the following references should be consulted:
    (1) Cihak, R. ``Evaluation of benzidine by the micronucleus test,'' 
Mutation Research, 67: 383-384 (1979).
    (2) Cole, R.J., Taylor, N., Cole, J., Arlett, C.F. ``Short-term 
tests for transplacentally active carcinogens. 1. Micronucleus formation 
in fetal and maternal mouse erythroblasts,'' Mutation Research, 80: 141-
157 (1981).
    (3) Kliesch, U., Danford, N., Adler, I.D. ``Micronucleus test and 
bone-marrow chromosome analysis. A comparison of 2 methods in vivo for 
evaluating chemically induced chromosomal alterations,'' Mutation 
Research, 80: 321-332 (1981).
    (4) Matter, B., Schmid, W. ``Trenimon-induced chromosomal damage in 
bone-marrow cells of six mammalian species, evaluated by the 
micronucleus test,'' Mutation Research, 12: 417-425 (1971).
    (5) Schmid, W. ``The micronucleus test,'' Mutation Research, 31:9-15 
(1975).
    (6) Schmid, W. ``The micronucleus test for cytogenetic analysis,'' 
Chemical Mutagens, Principles and Methods for their Detection. Vol. 4 
Hollaender A, (Ed. A ed. (New York and London: Plenum Press, (1976) pp. 
31-53.
    (7) Heddle, J.A., Hite, M., Kurkhart, B., Mavournin, K., MacGregor, 
J.T., Newell, G.W., Salamone, M.F. ``The induction of micronuclei as a 
measure of genotoxicity. A report of the U.S. Environmental Protection 
Agency Gene-Tox Program,'' Mutation Research, 123: 61-118 (1983).

[50 FR 39397, Sept. 27, 1985, as amended at 52 FR 19080, May 20, 1987; 
52 FR 26150, July 13, 1987; 52 FR 34654, Sept. 14, 1987]



Sec.  798.5450  Rodent dominant lethal assay.

    (a) Purpose. Dominant lethal (DL) effects cause embryonic or fetal 
death. Induction of a dominant lethal event after exposure to a chemical 
substance indicates that the substance has affected germinal tissue of 
the test species. Dominant lethals are generally accepted to be the 
result of chromosomal damage (structural and numerical anomalies) but 
gene mutations and toxic effects cannot be excluded.
    (b) Definition. A dominant lethal mutation is one occurring in a 
germ cell which does not cause dysfunction of the gamete, but which is 
lethal to the fertilized egg or developing embryo.
    (c) Reference substances. These may include, but need not be limited 
to, triethylenemelamine, cyclophosphamide or ethyl methanesulfonate.
    (d) Test method--(1) Principle. Generally, male animals are exposed 
to the test substance and mated to untreated virgin females. The various 
germ cell stages can be tested separately by the use of sequential 
mating intervals. The females are sacrificed after an appropriate period 
of time and the contents of the uteri are examined to determine the 
numbers of implants and live and dead embryos. The calculation of the 
dominant lethal effect is based on comparison of the live implants per 
female in the treated group to the live implants per female in the 
control group. The increase of dead implants per female in the treated 
group over the dead implants per female in the control group reflects 
the post-implantation loss. The post-implantation loss is calculated by 
determining the ratio of dead to total implants from the treated group 
compared to the ratio of dead to total implants from the control group. 
Pre-implantation loss can be estimated on the basis of corpora lutea 
counts or by comparing the total implants per female in treated and 
control groups.

[[Page 203]]

    (2) Description. (i) Several treatment schedules are available. The 
most widely used requires single administration of the test substance. 
Other treatment schedules, such as treatment on five consecutive days, 
may be used if justified by the investigator.
    (ii) Individual males are mated sequentially to virgin females at 
appropriate intervals. The number of matings following treatment is 
governed by the treatment schedule and should ensure that germ cell 
maturation is adequately covered. Females are sacrificed in the second 
half of pregnancy and the uterine contents examined to determine the 
total number of implants and the number of live and dead embryos.
    (3) Animal selection--(i) Species. Rats or mice are generally used 
as the test species. Strains with low background dominant lethality, 
high pregnancy frequency and high implant numbers are recommended.
    (ii) Age. Healthy, sexually mature animals shall be used.
    (iii) Number. An adequate number of animals shall be used taking 
into account the spontaneous variation of the biological characteristics 
being evaluated. The number chosen should be based on the predetermined 
sensitivity of detection and power of significance. For example, in a 
typical experiment, the number of males in each group shall be 
sufficient to provide between 30 and 50 pregnant females per mating 
interval.
    (iv) Assignment to groups. Animals shall be randomized and assigned 
to treatment and control groups.
    (4) Control groups--(i) Concurrent controls. Generally concurrent 
positive and negative (vehicle) controls shall be included in each 
experiment. When acceptable positive control results are available from 
experiments conducted recently (within the last 12 months) in the same 
laboratory these results can be used instead of a concurrent positive 
control.
    (ii) Positive controls. Positive control substances shall be used at 
a dose which demonstrates the test sensitivity.
    (5) Test chemicals--(i) Vehicle. When possible, test substances 
shall be dissolved or suspended in isotonic saline or distilled water. 
Water-insoluble chemicals may be dissolved or suspended in appropriate 
vehicles. The vehicle used shall neither interfere with the test 
chemical nor produce toxic effects. Fresh preparations of the test 
chemical should be employed.
    (ii) Dose levels. Normally, three dose levels shall be used. The 
highest dose shall produce signs of toxicity (e.g., slightly reduced 
fertility and slightly reduced body weight). However, in an initial 
assessment of dominant lethality a single high dose may be sufficient. 
Nontoxic substances shall be tested at 5g/kg or, if this is not 
practicable, then as the highest dose attainable.
    (iii) Route of administration. The usual routes of administration 
are oral or by IP injection. Other routes may be appropriate.
    (e) Test performance. (1) Individual males are mated sequentially at 
appropriate predetermined intervals to one or two virgin females. 
Females should be left with the males for at least the duration of one 
estrus cycle or alternatively until mating has occurred as determined by 
the presence of sperm in the vagina or by the presence of a vaginal 
plug.
    (2) The number of matings following treatment should be governed by 
the treatment schedule and should ensure that germ cell maturation is 
adequately covered.
    (3) Females should be sacrificed in the second half of pregnancy and 
uterine contents examined to determine the number of implants and live 
and dead embryos. The ovaries may be examined to determine the number of 
corpora lutea.
    (f) Data and report--(1) Treatment of results. Data shall be 
tabulated to show the number of males, the number of pregnant females, 
and the number of nonpregnant females. Results of each mating, including 
the identity of each male and female, shall be reported individually. 
For each female, the dose level and week of mating and the frequencies 
of live implants and of dead implants shall be enumerated. If the data 
are recorded as early and late deaths, the tables shall make that clear. 
If preimplantation loss is estimated, it shall be reported.

[[Page 204]]

Preimplantation loss can be calculated as the difference between the 
number of corpora lutea and the number of implants or as a reduction in 
the average number of implants per female in comparison with control 
matings.
    (2) Statistical evaluation. Data shall be evaluated by appropriate 
statistical methods. Differences among animals within the control and 
treatment groups shall be considered before making comparisons between 
treated and control groups.
    (3) Interpretation of results. (i) There are several criteria for 
determining a positive result, one of which is a statistically 
significant dose-related increase in the number of dominant lethals. 
Another criterion may be based upon detection of a reproducible and 
statistically significant positive response for at least one of the test 
points.
    (ii) A test substance which does not produce either a statistically 
significant dose-related increase in the number of dominant lethals or a 
statistically significant and reproducible positive response at any one 
of the test points is considered nonmutagenic in this system.
    (iii) Both biological and statistical significance should be 
considered together in the evaluation.
    (4) Test evaluation. (i) A positive DL assay suggests that under the 
test conditions the test substance may be genotoxic in the germ cells of 
the treated sex of the test species.
    (ii) A negative result suggests that under the conditions of the 
test the test substance may not be genotoxic in the germ cells of the 
treated sex of the test species.
    (5) Test report. In addition to the reporting recommendations as 
specified under 40 CFR part 792, subpart J the following specific 
information shall be reported:
    (i) Species, strain, age and weights of animals used, number of 
animals of each sex in experimental and control groups.
    (ii) Test substance, vehicle used, dose levels and rationale for 
dosage selection, negative (vehicle) and positive controls, experimental 
observations, including signs of toxicity.
    (iii) Route and duration of exposure.
    (iv) Mating schedule.
    (v) Methods used to determine that mating has occurred (where 
applicable).
    (vi) Criteria for scoring dominant lethals including the number of 
early and late embryonic deaths.
    (vii) Dose-response relationship, if applicable.
    (g) References. For additional background information on this test 
guideline the following references should be consulted:
    (1) Brewen, J.G., Payne, H.S., Jones, K.P., Preston, R.J. ``Studies 
on chemically induced dominant lethality. I. The cytogenetic basis of 
MMS-induced dominant lethality in post-meiotic germ cells'' Mutation 
Research, 33:239-250 (1975).
    (2) Ehling, U.H., Machemer, L., Buselmaier, E., Dycka, D., Frohberg, 
H., Kratochvilova, J., Lang, R., Lorke, D., Muller, D., Pheh, J., 
Rohrborn, G., Roll, R., Schulze-Schencking, M., Wiemann, H. ``Standard 
protocol for the dominant lethal test on male mice. Set up by the Work 
Group ``Dominant lethal mutations of the ad hoc Committee 
Chemogenetics,'' Archives of Toxicology, 39:173-185 (1978).

[50 FR 39397, Sept. 27, 1985, as amended at 52 FR 19081, May 20, 1987]



Sec.  798.5460  Rodent heritable translocation assays.

    (a) Purpose. This test detects transmitted chromosomal damage which 
manifests as balanced reciprocal translocations in progeny descended 
from parental males treated with chemical mutagens.
    (b) Definitions. (1) A heritable translocation is one in which 
distal segments of nonhomologous chromosomes are involved in a 
reciprocal exchange.
    (2) Diakinesis and metaphase I are stages of meiotic prophase scored 
cytologically for the presence of multivalent chromosome association 
characteristic of translocation carriers.
    (c) Reference substances. Not applicable.
    (d) Test method--(1) Principle. When a balanced reciprocal 
translocation is induced in a parental male germ cell, the resulting 
progeny is translocation heterozygote.

[[Page 205]]

    (i) Basis for fertility screening. Male translocation heterozygotes 
may be completely sterile. This class consists of two types of 
translocations:
    (A) Translocations between non-homologous chromosomes in which at 
least one of the breaks occurs close to one end of a chromosome.
    (B) Those that carry multiple translocations. The majority of male 
translocation heterozygotes are semisterile--they carry one or (rarely) 
two translocations. The degree of semisterility is dependent upon the 
proportions of balanced and unbalanced (duplication-deficiency) gametes 
produced in the ejaculate as a function of meiotic segregation. Balanced 
and unbalanced sperm are equally capable of fertilizing an egg. Balanced 
sperm lead to viable progeny. Unbalanced sperm result in early embryonic 
lethality.
    (ii) Basis for cytological screening. The great majority of male 
translocation heterozygotes can be identified cytologically through 
analysis of diakinesis metaphase I spermatocytes. Translocation 
heterozygotes are characterized by the presence of multivalent 
chromosome association such as a ring or chain of four chromosomes held 
together by chiasmata in paired homologous regions. Some translocation 
carriers can be identified by the presence of extra long and/or extra 
short chromosomes in spermatogonial and somatic cell metaphase 
preparations.
    (2) Description. Essentially, two methods have been used to screen 
for translocation heterozygosity; one method uses a mating sequence to 
identify sterile and semisterile males followed by cytological 
examination of suspect male individuals; the other method deletes the 
mating sequence altogether and all F1 male progeny are 
examined cytologically for presence of translocation. In the former 
approach, the mating sequence serves as a screen which eliminates most 
fully fertile animals for cytological confirmation as translocation 
heterozygotes.
    (3) Animal selection--(i) Species. The mouse is the species 
generally used, and is recommended.
    (ii) Age. Healthy sexually mature animals shall be used.
    (iii) Number. (A) The number of male animals necessary is determined 
by the following factors:
    (1) The use of either historical or concurrent controls.
    (2) The power of the test.
    (3) The minimal rate of induction required.
    (4) Whether positive controls are used.
    (5) The level of significance desired.
    (B) [Reserved]
    (iv) Assignment to groups. Animals shall be randomized and assigned 
to treatment and control groups.
    (4) Control groups--(i) Concurrent controls. No concurrent positive 
or negative (vehicle) controls are recommended as routine parts of the 
heritable translocation assay. However, investigators not experienced in 
performing translocation testing shall include a substance known to 
produce translocations in the assay as a positive control reference 
chemical.
    (ii) Historical controls. At the present time, historical control 
data must be used in tests for significance. When statistically reliable 
historical controls are not available, negative (vehicle) controls shall 
be used.
    (5) Test chemicals--(i) Vehicle. When appropriate for the route of 
administration, solid and liquid test substances should be dissolved or 
suspended in distilled water or isotonic saline. Water-insoluble 
chemicals may be dissolved or suspended in appropriate vehicles. The 
vehicle used shall neither interfere with the test chemical nor produce 
toxic effects. Fresh preparations of the test chemical should be 
employed.
    (ii) Dose levels. At least two dose levels shall be used. The 
highest dose level shall result in toxic effects (which shall not 
produce an incidence of fatalities which would prevent a meaningful 
evaluation) or shall be the highest dose attainable or 5g/kg body 
weight.
    (iii) Route of administration. Acceptable routes of administration 
include oral, inhalation, admixture with food or water, and IP or IV 
injection.
    (e) Test performance--(1) Treatment and mating. The animals shall be 
dosed with the test substances 7 days per week over a period of 35 days. 
After treatment, each male shall be caged

[[Page 206]]

with 2 untreated females for a period of 1 week. At the end of 1 week, 
females shall be separated from males and caged individually. When 
females give birth, the day of birth, litter size, and sex of progeny 
shall be recorded. All male progeny should be weaned, and all female 
progeny should be discarded.
    (2) Testing for translocation heterozygosity. When males are 
sexually mature, testing for translocation heterozygosity shall begin. 
One of two methods shall be used; the first method involves mating, 
determining those F1 progeny which are sterile or semisterile 
and subsequent cytological analysis of suspect progeny; the other method 
does not involve mating and determining sterility or semisterility; all 
progeny are examined cytologically.
    (i) Determination of sterility or semisterility--(A) Conventional 
method. Females are mated, usually three females for each male, and each 
female is killed at midpregnancy. Living and dead implantations are 
counted. Criteria for determining normal and semisterile males are 
usually established for each new strain because the number of dead 
implantations varies considerably among strains.
    (B) Sequential method. Males to be tested are caged individually 
with females and the majority of the presumably normal males are 
identified on the basis of a predetermined size of 1 or 2 litters. 
Breeding pens are examined daily on weekdays beginning 18 days after 
pairing. Young are discarded immediately after they are scored. Males 
that sire a litter whose size is the same as or greater than the minimum 
set for a translocation-free condition are discarded with their litter. 
If the litter size is smaller than the predetermined number, a second 
litter is produced with the same rule applying. Males that cannot be 
classified as normal after production of a second litter are tested 
further by the conventional method or by cytological confirmation of 
translocation.
    (ii) Cytological analysis. For cytological analysis of suspected 
semisteriles, the air-drying technique is used. Observation of at least 
2 diakinesis-metaphase 1 cells with mutivalent association constitutes 
the required evidence for the presence of a translocation. Sterile males 
are examined by one of two methods, those with testes of normal size and 
sperm in the epididymis are examined by the same techniques used for 
semisteriles. Animals with small testes are examined by squash 
preparations or, alternatively, by examination of mitotic metaphase 
preparations. If squash preparations do not yield diakinesis-metaphase 1 
cells, analysis of spermatogonia or bone marrow for the presence of 
unusually long or short chromosomes should be performed.
    (f) Data and report--(1) Treatment of results. (i) Data shall be 
presented in tabular form and shall include the number of animals at 
risk, the germ cell stage treated, the number of partial steriles and 
semisteriles (if the fertility test is used), the number of 
cytogenetically confirmed translocation heterozygotes (if the fertility 
test is used, report the number of confirmed steriles and confirmed 
partial steriles), the translocation rate, and either the standard error 
of the rate or the upper 95 percent confidence limit on the rate.
    (ii) These data shall be presented for both treated and control 
groups. Historical or concurrent controls shall be specified, as well as 
the randomization procedure used for concurrent controls.
    (2) Statistical evaluation. Data shall be evaluated by appropriate 
statistical methods.
    (3) Interpretation of results. (i) There are several criteria for 
determining a positive result, one of which is a statistically 
significant dose-related increase in the number of heritable 
translocations. Another criterion may be based upon detection of a 
reproducible and statistically significant positive response for at 
least one of the test points.
    (ii) A test substance which does not produce either a statistically 
significant dose-related increase in the number of heritable 
translocations or a statistically significant and reproducible positive 
response at any one of the test points is considered nonmutagenic in 
this system.
    (iii) Both biological and statistical significance should be 
considered together in the evaluation.

[[Page 207]]

    (4) Test evaluation. (i) Positive results in the heritable 
translocation assay indicate that under the test conditions the test 
substance causes heritable chromosomal damage in the test species.
    (ii) Negative results indicate that under the test conditions the 
test substance does not cause heritable chromosomal damage in the test 
species.
    (5) Test report. In addition to the reporting recommendations as 
specified under 40 CFR part 792, subpart J, the following specific 
information shall be reported:
    (i) Species, strain, age, weight and number of animals of each sex 
in each group.
    (ii) Test chemical vehicle, route and schedule of administration, 
toxicity data.
    (iii) Dosing regimen, doses tested and rationale for dosage 
selection.
    (iv) Mating schedule, number of females mated to each male.
    (v) The use of historical or concurrent controls.
    (vi) Screening procedure including the decision criteria used and 
the method by which they were determined.
    (vii) Dose-response relationship, if applicable.
    (g) References. For additional background information on this test 
guideline the following references should be consulted:
    (1) Generoso, W.M., Bishop, J.B., Goslee, D.G., Newell, G.W., Sheu, 
G-J, von Halle, E. ``Heritable translocation test in mice,'' Mutation 
Research, 76:191-215 (1980).
    (2) [Reserved]

[50 FR 39397, Sept. 27, 1985, as amended at 52 FR 19081, May 20, 1987]



Sec.  798.5500  Differential growth inhibition of repair proficient and repair deficient bacteria: ``Bacterial DNA damage or repair tests.''

    (a) Purpose. Bacterial DNA damage or repair tests measure DNA damage 
which is expressed as differential cell killing or growth inhibition of 
repair deficient bacteria in a set of repair proficient and deficient 
strains. These tests do not measure mutagenic events per se. They are 
used as an indication of the interaction of a chemical with genetic 
material implying the potential for genotoxicity.
    (b) Definition. Test for differential growth inhibition of repair 
proficient and repair deficient bacteria measure differences in 
chemically induced cell killing between wild-type strains with full 
repair capacity and mutant strains deficient in one or more of the 
enzymes which govern repair of damaged DNA.
    (c) Reference substances. These may include, but need not be limited 
to, chloramphenicol or methyl methanesulfonate.
    (d) Test method--(1) Principle. The tests detect agents that 
interact with cellular DNA to produce growth inhibition or killing. This 
interaction is recognized by specific cellular repair systems. The 
assays are based upon the use of paired bacterial strains that differ by 
the presence of absence of specific DNA repair genes. The response is 
expressed in the preferential inhibition of growth or the preferential 
killing of the DNA repair deficient strain since it is incapable of 
removing certain chemical lesions from its DNA.
    (2) Description. Several methods for performing the test have been 
described. Those described here are:
    (i) Tests performed on solid medium (diffusion tests).
    (ii) Tests performed in liquid culture (suspension tests).
    (3) Strain selection--(i) Designation. At the present time, 
Escherichia coli polA (W3110/p3478) or Bacillus subtilis rec (H17/M45) 
pairs are recommended. Other pairs may be utilized when appropriate.
    (ii) Preparation and storage. Stock culture preparation and storage, 
growth requirements, method of strain identification and demonstration 
of appropriate phenotypic requirements should be performed using good 
microbiological techniques and should be documented.
    (4) Bacterial growth. Good microbiological techniques should be used 
to grow fresh cultures of bacteria. The phase of growth and cell density 
should be documented and should be adequate for the experimental design.
    (5) Metabolic activation. Bacteria should be exposed to the test 
substance both in the presence and absence of an appropriate metabolic 
activation system. The most commonly used system

[[Page 208]]

is a cofactor supplemented postmitochondrial fraction prepared from the 
livers of rodents treated with enzyme inducing agents. The use of other 
species, tissues or techniques may also be appropriate.
    (6) Control groups--(i) Concurrent controls. Concurrent positive, 
negative, and vehicle controls should be included in each assay.
    (ii) Negative controls. The negative control should show 
nonpreferential growth inhibition (i.e., should affect both strains 
equally). Chloramphenicol is an example of a negative control.
    (iii) Genotype specific controls. Examples of genotype specific 
positive controls are methyl methanesulfonate for polA strains and 
mitomycin C for rec strains.
    (iv) Positive controls to ensure the efficacy of the activation 
system. The positive control reference substance for tests including a 
metabolic activation system should be selected on the basis of the type 
of activation system used in the test.
    (v) Other positive controls. Other positive control reference 
substances may be used.
    (7) Test chemicals--(i) Vehicle. Test chemicals and positive and 
negative control reference substances should be dissolved in an 
appropriate vehicle and then further diluted in vehicle for use in the 
assay.
    (ii) Exposure concentrations. The test should initially be performed 
over a broad range of concentrations. Among the criteria to be taken 
into consideration for determining the upper limits of test chemical 
concentration are cytotoxicity and solubility. Cytotoxicity of the test 
chemical may be altered in the presence of metabolic activation systems. 
For freely soluble nontoxic chemicals, the upper test chemical 
concentration should be determined on a case by case basis. Because 
results are expressed as diameters of zones of growth inhibition in the 
diffusion test, it is most important that the amounts of chemical on the 
disc (or in the wells) are exact replicates. When appropriate, a 
positive response should be confirmed by testing over a narrow range of 
concentrations.
    (e) Test performance--(1) Diffusion assay--(i) Disc diffusion 
assays. Disc diffusion assays. may be performed in two ways:
    (A) A single strain of bacteria may be added to an agar overlay or 
spread on the surface of the agar and the test chemical placed on a 
filter disc on the surface of the agar or;
    (B) DNA repair proficient and DNA repair deficient bacteria may be 
streaked in a line on the surface of the agar of the same plate and a 
disc saturated with test chemical placed on the surface of the agar in 
contact with the streaks.
    (ii) Well diffusion assays. In well diffusion assays, bacteria may 
be either added to the agar overlay or spread onto the surface of the 
agar. A solution of the test chemical is then placed into a well in the 
agar.
    (2) Suspension assays. (i) A bacterial suspension may be exposed to 
the test chemical and the number of surviving bacteria determined (as 
colony-forming units) either as a function of time of treatment or as a 
function of the concentration of test agent.
    (ii) Nonturbid suspensions of bacteria may be exposed to serial 
dilutions of the test agent and a minimal inhibitory concentration for 
each strain determined, as evidenced by the presence or absence of 
visible growth after a period of incubation.
    (iii) Paired bacterial suspensions (usually with some initial 
turbidity) may be treated with a single dose of the chemical. Positive 
results are indicated by a differential inhibition in the rate of 
increase of turbidity of the paired cultures.
    (3) Number of cultures. When using a plate diffusion procedure, at 
least two independent plates should be used at each dilution. In liquid 
suspension assays, at least two independent specimens for determination 
of the number of viable cells should be plated.
    (4) Incubation conditions. All plates in a given test should be 
incubated for the same time period. This incubation period should be for 
18 to 24 hrs at 37 [deg] C.
    (f) Data and report--(1) Treatment of results--(i) Diffusion assays. 
Results should be expressed in diameters of zones of growth inhibition 
in millimeters or as areas derived therefrom as

[[Page 209]]

mm\2\. Dose-response data, if available, should be presented using the 
same units.
    (ii) Liquid suspension assays. (A) Survival data can be presented as 
dose responses, preferably as percentage of survivors or fractional 
survival of each strain or as a relative survival (ratio) of the two 
strains.
    (B) Results can also be expressed as the concentrations required to 
effect a predetermined survival rate (e.g., D37, the dose 
permitting 37 percent survival). These data are derived from the 
survival curve. The concentration should be expressed as weight per 
volume, as moles, or as molarity.
    (C) Similarly, results can be expressed as minimal inhibitory 
concentration or as minimal lethal dose. The former is determined by the 
absence of visible growth in liquid medium and the latter is determined 
by plating dilutions onto semisolid media.
    (iii) In all tests, concentrations must be given as the final 
concentrations during the treatment. Raw data, prior to transformation, 
should be provided. These should include actual quantities measured, 
e.g., neat numbers. For measurement of diffusion, the diameters of the 
discs and/or well should be indicated and the measurements should 
indicate whether the diameter of the discs and/or well was subtracted. 
Moreover, mention should be made as to whether the test chemical gave a 
sharp, diffuse, or double-zone of growth inhibition. If it is the 
latter, the investigator should indicate whether the inner or the outer 
zone was measured.
    (iv) Viability data should be given as the actual plate counts with 
an indication of the dilution used and the volume plated or as derived 
titers (cells per ml). Transformed data alone in the absence of 
experimental data are not acceptable (i.e, ratios, differences, survival 
fraction).
    (2) Statistical evaluation. Data should be evaluated by appropriate 
statistical methods.
    (3) Interpretation of results. (i) There are several criteria for 
determining a positive result, one of which is a statistically 
significant dose-related preferential inhibition or killing of the 
repair deficient strain. Another criterion may be based upon detection 
of a reproducible and statistically significant positive response for at 
least one of the test points.
    (ii) A test substance which does not produce either a statistically 
significant dose-related preferential inhibition or killing of the 
repair deficient strain or a statistically significant and reproducible 
positive response at any one of the test points is considered not to 
interact with the genetic material of the organisms used in assay.
    (iii) Both biological and statistical significance should be 
considered together in the evaluation.
    (4) Test evaluation. DNA damage tests in bacteria do not measure DNA 
repair per se nor do they measure mutations. They measure DNA damage 
which is expressed as cell killing or growth inhibition. A positive 
result in a DNA damage test in the absence of a positive result in 
another system is difficult to evaluate in the absence of a better data 
base.
    (5) Test report. In addition to the reporting recommendations as 
specified under 40 CFR part 792, subpart J the following specific 
information should be reported:
    (i) Bacterial strains used.
    (ii) Phase of bacterial cell growth at time of use in the assay.
    (iii) Media composition.
    (iv) Details of both the protocol used to prepare the metabolic 
activation system and its use in the assay.
    (v) Treatment protocol, including doses used and rationale for dose 
selection, positive and negative controls.
    (vi) Method used for determination of degree of cell kill.
    (vii) Dose-response relationship, if applicable.
    (g) References. For additional background information on this test 
guideline the following references should be consulted:
    (1) Ames, B.N., McCann, J., Yamasaki, E. ``Methods for detecting 
carcinogens and mutagens with the Salmonella/mammalian-microsome 
mutagenicity test,'' Mutation Research, 31:347-364 (1975).
    (2) Kada, T., Sadie, Y., Tutikawa, K. ``In vitro and host-mediated 
``rec-

[[Page 210]]

assay'' procedures for screening chemical mutagens; and phloxine, a 
mutagenic red dye detected,'' Mutation Research, 16:165-174 (1972).
    (3) Leifer, Z., Kada, T., Mandel, M., Zeiger, E., Stafford, R., 
Rosenkranz, H.S. ``An evaluation of bacterial DNA repair tests for 
predicting genotoxicity and carcinogenicity: A report of the U.S. EPA's 
Gene-Tox Program,'' Mutation Research, 87:211-297 (1981).
    (4) Slater, E.E., Anderson, M.D., Rosenkranz, H.S. ``Rapid detection 
of mutagens and carcinogens.'' Cancer Research, 31:970-973 (1971).



Sec.  798.5955  Heritable translocation test in drosophila melanogaster.

    (a) Purpose. The heritable translocation test in Drosophila measures 
the induction of chromosomal translocations in germ cells of insects. 
Stocks carrying genetic markers on two or more chromosomes are used to 
follow the assortment of chromosomes in meiosis. The F1 male 
progeny of treated parents are individually mated to females and the 
F2 progeny phenotypes are scored. The observed spectrum of 
phenotypes is used to determine the presence or absence of a 
translocation. This is usually indicated by a lack of independent 
assortment of genes on different chromosomes.
    (b) Definitions--(1) Chromosome mutations are chromosomal changes 
resulting from breakage and reunion of chromosomes. Chromosomal 
mutations are also produced through nondisjunction of chromosomes during 
cell division.
    (2) Reciprocal translocations are chromosomal translocations 
resulting from reciprocal exchanges between two or more chromosomes.
    (3) Heritable translocations are reciprocal translocations 
transmitted from parent to the succeeding progeny.
    (c) Reference substances. These may include, but need not be limited 
to, ethyl methanesulfonate or N-dimethyl-nitrosamine.
    (d) Test method--(1) Principle. The method is based on the principle 
that balanced reciprocal chromosomal translocations can be induced by 
chemicals in the germ cells of treated flies and that these 
translocations are detected in the F2 progeny using genetic 
markers (mutations). Different mutations may be used as genetic markers 
and two or more of the four chromosomes may be genetically marked for 
inclusion in this test.
    (2) Description. Wild-type males are treated with chemical and bred 
with females of known genetic markers. The F1 males are 
collected and individually bred with virgin females of the female 
parental stock. The resulting F2 progeny are scored. Putative 
translocation carriers are confirmed with an F3 cross.
    (i) Illustrative example. The following example serves to illustrate 
the method. Males carrying genes for red eye color on chromosomes II and 
III are bred with females of white eye color carrying alleles for brown 
(bw) on the second chromosome and scarlet (st) and pink (pp) on the 
third chromosome. The F1 male progeny are bred with virgin 
females of the female parental stock and the resulting F2 
progeny are examined for eye color phenotypes. If there is no 
translocation in the F1 male, then the resulting 
F2 progeny will have four eye color phenotypes: red, white, 
orange, and brown. If the F1 male carries a translocation 
between chromosomes II and III, only red and white eye phenotypes are 
obtained in the F2 generation. This happens because the 
F1 translocation heterozygote produces two balanced (carrying 
either the parental or the translocated configuration of markers) and 
two unbalanced gametes. The unbalanced gametes (carrying one normal and 
one translocated chromosome) are unable to develop into normal 
individuals in the F2 generation.
    (ii) [Reserved]
    (3) Drosophila stocks. Wild-type males and females of the genotype 
bw:st:pp (white eyes) may be used in the heritable translocation test. 
Other appropriately marked Drosophila stocks may also be used.
    (4) Control groups. (i) Concurrent positive and negative (vehicle) 
controls should be included in each experiment.
    (ii) Negative (vehicle) controls should be included. The size of the 
negative (vehicle) control group should be determined by the 
availability of appropriate laboratory historical control data.

[[Page 211]]

    (iii) If the historical control data are of sufficient numbers, 
concurrent controls may not be necessary.
    (5) Test chemicals--(i) Vehicle. Test chemicals should be dissolved 
in water. Compounds which are insoluble in water may be dissolved or 
suspended in appropriate vehicles (e.g., a mixture of ethanol and Tween-
60 or 80), and then diluted in water or saline prior to administration. 
Dimethylsulfoxide should be avoided as a vehicle.
    (ii) Dose levels. For the initial assessment of mutagenicity, it may 
be sufficient to test a single dose of the test substance. This dose 
should be the maximum tolerated dose or that which produces some 
indication of toxicity. If the test is being used to verify mutagenic 
activity, at least two additional exposure levels should be used.
    (iii) Route of administration. Exposure may be oral, by injection or 
by exposure to gases or vapours. Feeding of the test compound may be 
done in sugar solution. When necessary, substances may be dissolved in 
0.7 percent NaCl solution and injected into the thorax or abdomen.
    (e) Test performance--(1) P1 mating. (i) In the primary screen of a 
chemical, it is enough to sample one germ cell stage, either mature 
sperm or spermatids (for indirect acting mutagens). Other stages may be 
sampled if needed, i.e., when mature germ cells give a positive result 
and data from earlier germ cells are needed for the purpose of risk 
assessment. Thus, the treated males may be mated only once for a period 
of 3 days to sample sperm or transferred every 2 to 3 days to cover the 
entire germ cell cycle.
    (ii) Mass matings may be performed because the control rate for 
translocations in the available literature is very low (near 0) and 
clustered events are extremely rare. Mated females may be aged for 2 
weeks in order to recover an enhanced incidence of translocation due to 
the storage effect. The females are then allowed to lay eggs and 
F1 males are collected for test mating.
    (2) F1 mating. F1 males should be bred with 
virgin females of the parental female stock. Since each F1 
male represents one treated gamete of the male parent, the F1 
males have to be mated individually to virgin females. Each 
F1 male should be mated to three females to ensure sufficient 
progeny.
    (3) Scoring the F2 generation. F2 cultures 
(each representing 1 F1 male tested) should be scored for the 
presence or absence of phenotype variations (linkage of markers) from 
the expected types. The test should be designed with a predetermined 
sensitivity and power. The number of flies in each group should reflect 
these defined parameters. The spontaneous mutant frequency observed in 
the appropriate control group will strongly influence the number of 
treated chromosomes that must be analyzed to detect substances which 
show mutation rates close to those of the controls. A positive test 
should be confirmed by F3 mating trials.
    (4) Number of replicate experiments. Replicate experiments are 
usually performed for each dose of the compound tested. If a chemical is 
a potent inducer of translocations, one experiment may be sufficient. 
Otherwise two or three replicate experiments should be done.
    (f) Data and report--(1) Treatment of results. Data should be 
tabulated to show the number of translocations and the number of fertile 
F1 males at each exposure for each germ cell stage sampled.
    (2) Statistical evaluation. Data should be evaluated by appropriate 
statistical methods.
    (3) Interpretation of results. (i) There are several criteria for 
determining a positive result, one of which is a statistically 
significant dose-related increase in the number of heritable 
translocations. Another criterion may be based upon detection of a 
reproducible and statistically significant positive response for at 
least one of the test points.
    (ii) A test substance which does not produce either a statistically 
significant dose-related increase in the number of heritable 
translocations or a statistically significant and reproducible positive 
response at any one of the test points is considered nonmutagenic in 
this system.
    (iii) Both biological and statistical significance should be 
considered together in the evaluation.

[[Page 212]]

    (4) Test evaluation. (i) Positive results in the heritable 
translocation test in Drosophila indicate that under the test conditions 
the test substance causes chromosome damage in germ cells of this 
insect.
    (ii) Negative results indicate that under the test conditions the 
test substance does not cause chromosomal damage in D. melanogaster.
    (5) Test report. In addition to the reporting recommendations as 
specified under 40 CFR part 792, subpart J, the following specific 
information should be reported:
    (i) Drosophila stock used in the assay, age of insects, number of 
males treated, number of F2 cultures established, number of 
replicate experiments.
    (ii) Test chemical vehicle, treatment and mating schedule, exposure 
levels, toxicity data, dose and route of exposure.
    (iii) Positive and negative (vehicle) controls.
    (iv) Historical control data, if available.
    (v) Number of chromosomes scored.
    (vi) Criteria for scoring mutant chromosomes.
    (vii) Dose-response relationship, if applicable.
    (g) References. For additional background information on this test 
guideline the following references should be consulted:
    (1) Wurgler, F.E., Sobels, F.H., Vogel, E. ``Drosophila as assay 
system for detecting genetic changes,'' Handbook of mutagenicity test 
procedures. Eds. Kilby, B.J., Legator, M., Nichols, W., Ramel, C. 
(Amsterdam: Elsevier/North Holland Biomedical Press, 1979) pp. 335-374.
    (2) [Reserved]



                         Subpart G_Neurotoxicity



Sec.  798.6050  Functional observational battery.

    (a) Purpose. In the assessment and evaluation of the potential human 
health effects of substances, it may be necessary to test for neurotoxic 
effects. Substances that have been observed to cause neurotoxic signs 
(e.g., convulsions, tremors, ataxia) in other toxicity tests, as well as 
those having a structural similarity to known neurotoxicants, should be 
evaluated for neurotoxicity. The functional observational battery is a 
noninvasive procedure designed to detect gross functional deficits in 
young adults resulting from exposure to chemicals and to better quantify 
neurotoxic effects detected in other studies. This battery of tests is 
not intended to provide a detailed evaluation of neurotoxicity. It is 
designed to be used in conjunction with neuropathologic evaluation and/
or general toxicity testing. Additional functional tests may be 
necessary to assess completely the neurotoxic potential of a chemical.
    (b) Definitions. (1) Neurotoxicity is any adverse effect on the 
structure or function of the central and/or peripheral nervous system 
related to exposure to a chemical substance.
    (2) A toxic effect is an adverse change in the structure or function 
of an experimental animal as a result of exposure to a chemical 
substance.
    (c) Principle of the test method. The material is administered by an 
appropriate route to laboratory rodents. The animals are observed under 
carefully standardized conditions with sufficient frequency to ensure 
the detection of behavioral and/or neurologic abnormalities, if present. 
Various functions that could be affected by neurotoxicants are assessed 
during each observation period.
    (d) Test procedures--(1) Animal selection--(i) Species and strain. 
The laboratory rat or mouse is recommended. Although information will 
generally be lacking, whenever possible the choice of species should 
take into consideration such factors as the comparative metabolism of 
the chemical and species sensitivity to the toxic effects of the test 
substance, as evidenced by the results of other studies. The potential 
for combined studies should also be considered. Standard strains should 
be used.
    (ii) Age. Young adult animals (at least 42 days old for the rat or 
mouse) shall be used.
    (iii) Sex. (A) Equal numbers of animals of each sex are required for 
each dose level.
    (B) The females shall be nulliparous and nonpregnant.
    (2) Number of animals. At least eight animals of each sex should be 
used at

[[Page 213]]

each dose level and should be designated for behavioral testing. If 
interim sacrifices are planned, the number should be increased by the 
number of animals scheduled to be sacrificed before the end of the 
study. Animals shall be randomly assigned to treatment and control 
groups.
    (3) Control groups. (i) A concurrent (``sham'' exposure or vehicle) 
control group is required. Subjects shall be treated in the same way as 
for an exposure group except that administration of the test substance 
is omitted.
    (ii) Concurrent or historic data from the laboratory performing the 
testing shall provide evidence of the ability of the procedures used to 
detect major neurotoxic endpoints such as limb weakness or paralysis 
(e.g., acrylamide), CNS stimulation (e.g., [beta], [beta]'-
iminodiproprionitrile) autonomatic signs (e.g., physostigmine).
    (iii) A satellite group may be treated with the high dose level for 
the duration of exposure and observed for reversibility, persistence, or 
delayed occurrence of toxic effects for a post-treatment period of 
appropriate duration, normally not less than 28 days.
    (4) Dose levels and dose selection. At least 3 doses, equally spaced 
on a log scale (e.g., \1/2\ log units) over a range of at least 1 log 
unit shall be used in addition to a zero dose or vehicle administration. 
The data should be sufficient to produce a dose-effect curve.
    (i) The highest dose shall produce (A) clear behavioral effects or 
(B) life-threatening toxicity.
    (ii) The data from the lower doses must show either (A) graded dose-
dependent effects at 2 dose levels or (B) no effects at 2 dose levels, 
respectively.
    (5) Duration and frequency of exposure. The duration and frequency 
of exposure will be specified in the test rule.
    (6) Route of exposure. The test substance shall be administered by 
the route specified in the test rule. This route will usually be the one 
most closely approximating the expected route of human exposure. The 
exposure potocol shall conform to that outlined in the appropriate acute 
or subchronic toxicity study guideline under subpart B or subpart C of 
this part.
    (7) Combined protocol. Subjects used for other toxicity studies may 
be used if none of the requirements of either study are violated by the 
combination.
    (8) Study conduct. (i) All animals in a given study should be 
observed carefully by trained technicians who are blind with respect to 
the animals' treatments. Standard procedures to minimize observer 
variability shall be followed. Where possible, it is advisable that the 
same observer be used to evaluate the animals in a given study. If this 
is not possible, some demonstration of inter-observer reliability is 
required. All animals should be observed prior to initiation of 
exposure. Subsequent observations should be made with sufficent 
frequency to ensure the detection of behavioral and/or neurologic 
abnormalities, if present. At minimum, observations at 1 hour, 6 hours, 
24 hours, 7 days, and 14 days and monthly thereafter are recommended. In 
a subchronic study, subsequent to the first exposure all observations 
should be made before the daily exposure. The animals should be removed 
from the home cage to a standard arena for observation. Effort should be 
made to ensure that variations in the test conditions are minimal and 
are not systematically related to treatment. Among the variables that 
can affect behavior are sound level, temperature, humidity, lighting, 
odors, time of day, and environmental distractions. Explicit, 
operationally defined scales for each function should be used. The 
development of objective quantitative measures of the observational 
endpoints specified is encouraged.
    (ii) The following is a minimal list of observations that shall be 
noted:
    (A) Any unusual responses with respect to body position, activity 
level, coordination of movement, and gait.
    (B) Any unusual or bizarre behavior including, but not limited to, 
headflicking, head searching, compulsive biting or licking, self-
mutilation, circling, and walking backwards.
    (C) The presence of:
    (1) Convulsions.
    (2) Tremors.
    (3) Increased levels of lacrimation and/or red-colored tears.
    (4) Increased levels of salivation.
    (5) Piloerection.
    (6) Pupillary dilation or constriction.

[[Page 214]]

    (7) Unusual respiration (shallow, labored, dyspneic, gasping, and 
retching) and/or mouth breathing.
    (8) Diarrhea.
    (9) Excessive or diminished urination.
    (10) Vocalization.
    (D) Forelimb/hindlimb grip strength. The procedure described by 
Meyer et al. (1979), under paragraph (f)(9) of this section is 
recommended.
    (E) Sensory function. A simple assessment of sensory function 
(vision, audition, pain perception) shall be made. Marshall et al. 
(1971) under paragraph (f)(8) of this section have described a 
neurologic exam for this purpose; these procedures are also discussed by 
Deuel (1977), under paragraph (f)(4) of this section. Irwin (1968) under 
paragraph (f)(7) of this section described a number of reflex tests 
intended to detect gross sensory deficits, including the visual placing 
response, Preyer reflex, and tail pinch. Many procedures have been 
developed for assessing pain perception (e.g., Ankier, 1974 under 
paragraph (f)(1) of this section; D'Amour and Smith 1941 under paragraph 
(f)(3) of this section; Evans 1971 under paragraph (f)(6) of this 
section).
    (e) Data reporting and evaluation. In addition to the reporting 
requirements specified under 40 CFR part 792 subpart J the final test 
report must include the following information.
    (1) Description of system and test methods. (i) A detailed 
description of the procedures used to standardize observation, including 
the arena and operational definitions for scoring observations.
    (ii) Positive control data from the laboratory performing the test 
that demonstrate the sensitivity of the procedures being used. Historic 
data may be used if all aspects of the experimental protocol are the 
same, including personnel.
    (2) Results. The following information must be arranged by test 
group dose level.
    (i) In tabular form, data for each animal must be provided showing:
    (A) Its identification number.
    (B) Its body weight and score on each sign at each observation time, 
the time and cause of death (if appropriate).
    (ii) Summary data for each group must include:
    (A) The number of animals at the start of the test.
    (B) The number of animals showing each observation score at each 
observation time.
    (C) The percentage of animals showing each abnormal sign at each 
observation time.
    (D) The mean and standard deviation for each continuous endpoint at 
each observation time.
    (3) Evaluation of data. The findings of a functional observational 
battery should be evaluated in the context of preceding and/or 
concurrent toxicity studies and any correlative histopathological 
findings. The evaluation shall include the relationship between the 
doses of the test substance and the presence or absence, incidence and 
severity, of any neurotoxic effects. The evaluation should include 
appropriate statistical analyses. Choice of analyses should consider 
tests appropriate to the experimental design and needed adjustments for 
multiple comparisons.
    (f) References. For additional background information on this test 
guideline the following references should be consulted:
    (1) Ankier, S.I. ``New hot plate tests to quantify antinociceptic 
and narcotic antagonist activities,'' European Journal of Pharmacology, 
27: 1-4 (1974).
    (2) Coughenour, L.L., McLean, J.R. and Parker, R.B. ``A new device 
for the rapid measurement of impaired motor function in mice,'' 
Pharmacology, Biochemistry and Behavior, 6: 351-353 (1977).
    (3) D'Amour, F.E., Smith, D.L. ``A method for determining loss of 
pain sensation,'' Journal of Pharmacology and Experimental Therapeutics, 
72: 74-79 (1941).
    (4) Deuel, R.K. ``Determining sensory deficits in animals,'' Methods 
in Psychobiology Ed. Myers R.D. (New York: Academic Press, 1977) pp. 99-
125.
    (5) Edwards, P.M., Parker, V.H. ``A simple, sensitive and objective 
method for early assessment of acrylamide neuropathy in rats,'' 
Toxicology and Applied Pharmacology, 40: 589-591 (1977).
    (6) Evans, W.O. ``A new technique for the investigation of some 
analgesic

[[Page 215]]

drugs on reflexive behavior in the rat,'' Psychopharmacologia, 2: 318-
325 (1961).
    (7) Irwin, S. ``Comprehensive observational assessment: Ia. A 
systematic quantitative procedure for assessing the behavioral and 
physiologic state of the mouse,'' Psychopharmacologia, 13: 222-257 
(1968).
    (8) Marshall, J.F., Turner, B.H., Teitlbaum, P. ``Sensory neglect 
produced by lateral hypothalamic damage,'' Science, 174: 523-525 (1971).
    (9) Meyer, O.A., Tilson, H.A., Byrd, W.C., Riley, M.T. ``A method 
for the routine assessment of fore- and hindlimb grip strength of rats 
and mice,'' Neurobehavioral Toxicology, 1: 233-236 (1979).

[50 FR 39397, Sept. 27, 1985, as amended at 52 FR 19082, May 20, 1987]



Sec.  798.6200  Motor activity.

    (a) Purpose--(1) General. In the assessment and evaluation of the 
toxic characteristics of a substance, determination of the effects of 
administration of the substance on motor activity is useful when 
neurotoxicity is suspected.
    (2) Acute Motor Activity Test. The purpose of the acute motor 
activity test is to examine changes in motor activity occurring over a 
range of acute exposure levels. These changes may then be evaluated in 
the context of changes occurring in other organ systems. This test is an 
initial step in determining the potential of a substance to produce 
acute neurotoxicity and may be used to screen members of a class of 
substances for known neurotoxicity, and/or to establish a dosage regimen 
prior to the initiation of subchronic neurotoxicity testing.
    (3) Subchronic Motor Activity Test. The purpose of the subchronic 
motor activity test is to determine whether the repeated administration 
of a suspected neurotoxicant results in changes in motor activity. These 
changes may be evaluated in the context of changes occurring in other 
organ systems. This test is an initial step in determining the potential 
of a substance to produce subchronic neurotoxicity.
    (b) Definitions. (1) Neurotoxicity is the adverse effect on the 
structure or function of the central and/or peripheral nervous system 
related to exposure to a chemical substance.
    (2) Motor activity is any movement of the experimental animal.
    (3) A toxic effect is an adverse change in the structure or function 
of an experimental animal as a result of exposure to a chemical 
substance.
    (c) Principle of the test method. The test substance is administered 
to several groups of experimental animals, one dose being used per 
group. Measurements of motor activity are made. The exposure levels at 
which significant changes in motor activity are produced are compared to 
those levels which produce toxic effects not originating in the central 
and/or peripheral nervous system.
    (d) Test procedures--(1) Animal selection--(i) Species and strain. 
Testing shall be performed in a laboratory rat or mouse. The choice of 
species should take into consideration such factors as the comparative 
metabolism of the chemical and species sensitivity to the toxic effects 
of the test substance, as evidenced by the results of other studies, the 
potential for combined studies, and the availability of other toxicity 
data for the species.
    (ii) Age. Young adult animals (at least 42 days old for rat or 
mouse) should be used.
    (iii) Sex. (A) Equal numbers of animals of each sex are required for 
each dose level for the motor activity test.
    (B) The females shall be nulliparous and nonpregnant.
    (2) Number of animals. Animals shall be randomly assigned to test 
and control groups. Each test or control group must be designed to 
contain a sufficient number of animals at the completion of the study to 
detect a 40 percent change in activity of the test groups relative to 
the control group with 90 percent power at the 5 percent level. For most 
designs, calculations can be made according to Dixon and Massey (1957) 
under paragraph (f)(1) of this section, Neter and Wasserman (1974) under 
paragraph (f)(5) of this section, Sokal and Rohlf (1969) under paragraph 
(f)(9) of this section, or Jensen (1972) under paragraph (f)(3) of this 
section.
    (3) Control groups. (i) A concurrent control group is required. This 
group must be an untreated group, or, if a vehicle is used in 
administering the test substance, a vehicle control group. If

[[Page 216]]

the toxic properties of the vehicle are not known or cannot be made 
available, both untreated and vehicle control group are required.
    (ii) Positive control data are required to demonstrate the 
sensitivity and reliability of the activity measuring device and testing 
procedure. These data should demonstrate the ability to detect increases 
or decreases in activity and to generate a dose-effect curve or its 
equivalent using three values of the dose or equivalent independent 
variable. A single administration of the dose (or equivalent) is 
sufficient. It is recommended that chemical exposure be used to collect 
positive control data. Positive control data shall be collected at the 
time of the test study unless the laboratory can demonstrate the 
adequacy of historical data for this purpose.
    (iii) A satellite group may be treated with the high dose level for 
90 days and observed for reversibility, persistence or delayed 
occurrence of toxic effects for a post-treatment period of appropriate 
length, normally not less than 28 days.
    (4) Dose levels and dose selection. At least 3 doses, equally spaced 
on a log scale (e.g., \1/2\ log units) over a range of at least 1 log 
unit shall be used in addition to a zero dose or vehicle administration. 
The data should be sufficient to produce a dose-effect curve.
    (i) The highest dose shall produce (A) clear effects on motor 
activity or (B) life-threatening toxicity.
    (ii) The data from the lower doses must show either (A) graded dose-
dependent effects at 2 dose levels or (B) no effects at 2 dose levels, 
respectively.
    (5) Duration of testing. The duration of exposure will be specified 
in the test rule.
    (6) Route of administration. The test substance shall be 
administered by the method specified in the test rule. This will usually 
be the route most closely approximating the route of human exposure. The 
exposure protocol shall conform to that outlined in the appropriate 
acute or subchronic toxicity study guideline.
    (7) Combined protocol. The tests described herein may be combined 
with any other toxicity study, as long as none of the requirements of 
either are violated by the combination.
    (8) Study conduct--(i) General. Motor activity must be monitored by 
an automated activity recording apparatus. The device used must be 
capable of detecting both increases and decreases in activity, i.e. 
baseline activity as measured by the device must not be so low as to 
preclude decreases nor so high as to preclude increases. Each device 
shall be tested by standard procedure to ensure, to the extent possible, 
reliability of operation across devices and across days for any one 
device. In addition, treatment groups must be balanced across devices. 
Each animal shall be tested individually. The test session shall be long 
enough for motor activity to approach asymptotic levels by the last 20 
percent of the session for most treatments and animals. All sessions 
should have the same duration. Treatment groups shall be counter-
balanced across test times. Effort should be made to ensure that 
variations in the test conditions are minimal and are not systematically 
related to treatment. Among the variables which can affect motor 
activity are sound level, size and shape of the test cage, temperature, 
relative humidity, lighting conditions, odors, use of home cage or novel 
test cage and environmental distractions. Tests shall be executed by an 
appropriately trained individual.
    (ii) Acute. Testing shall be timed to include the time of peak 
signs.
    (iii) Subchronic. All animals shall be tested prior to initiation of 
exposure and at 30 2, 60 2 
and 90 2 days during the exposure period. Testing 
shall occur prior to the daily exposure. Animals shall be weighed on 
each test day and at least once weekly during the exposure period.
    (e) Data reporting and evaluation. In addition to the reporting 
requirements specified under 40 CFR part 792, subpart J the final test 
report must include the following information:
    (1) Description of system and test methods. (i) Positive control 
data from the laboratory performing the test which demonstrate the 
sensitivity of the procedure being used.
    (ii) Procedures for calibrating and assuring the equivalence of 
devices and balancing treatment groups.

[[Page 217]]

    (2) Results. The following information must be arranged by test 
group (dose level).
    (i) In tabular form, data must be provided showing for each animal:
    (A) Its identification number.
    (B) Body weight, total session activity counts, and intrasession 
subtotals for each date measured.
    (ii) Group summary data should also be reported.
    (3) Evaluation of data. An evaluation of the test results (including 
statistical analysis comparing total activity counts at the end of 
exposure of treatment vs control animals must be made and supplied. This 
submission must include dose-effect curves for motor activity expressed 
as activity counts.
    (f) References. For additional background information on this test 
guideline the following references should be consulted:
    (1) Dixon, W.J., Massey, E.J. Introduction to Statistical Analysis 
2nd Ed. (New York: McGraw-Hill, 1957).
    (2) Finger, F.W. ``Measuring behavioral activity,'' Methods in 
Psychobiology Vol. 2. Ed. R.D. Myers (New York: Academic, 1972) pp. 1-
19.
    (3) Jensen, D.R. ``Some simultaneous multivariate procedures using 
Hotelling's T\2\ Statistics,'' Biometrics, 28:39-53 (1972).
    (4) Kinnard, E.J. and Watzman, N. ``Techniques utilized in the 
evaluation of psychotropic drugs on animals activity,'' Journal of 
Pharmaceutical Sciences, 55:995-1012 (1966).
    (5) Neter, J. and Wasserman, W. Applied Linear Statistical Models. 
Homewood, Richard D. Irwin, Inc., 1974.
    (6) Reiter, L.E. ``Use of activity measures in behavioral 
toxicology,'' Environmental Health Perspectives, 26:9-20 (1978).
    (7) Reiter, L.W. and MacPhail, R.C. ``Motor Activity: A survey of 
methods with potential use in toxicity testing,'' Neurobehavioral 
Toxicology, 1: Suppl. 1, 53-66 (1979).
    (8) Robbins, T.W. ``A critique of the methods available for the 
measurement of spontaneous motor activity,'' Handbook of 
Psychopharmacology. Vol. 7. Eds. Iversen, L.L., Iversen, D.S., Snyder, 
S.H. (New York: Plenum, 1977) pp. 37-82.
    (9) Sokal, R.P. and Rohlf, E.J. Biometry. (San Francisco: W.H. 
Freeman and Co., 1969).

[50 FR 39397, Sept. 27, 1985, as amended at 52 FR 19082, May 20, 1987]



Sec.  798.6400  Neuropathology.

    (a) Purpose. The techniques in this guideline are designed to 
develop data on morphologic changes in the nervous system for chemical 
substances and mixtures subject to such testing under the Toxic 
Substances Control Act. The data will detect and characterize 
morphologic changes, if and when they occur, and determine a no-effect 
level for such changes. Neuropathological evaluation should be 
complemented by other neurotoxicity studies, e.g. behavioral and 
neurophysiological studies. Neuropathological evaluation may be done 
following acute, subchronic or chronic exposure.
    (b) Definition. Neurotoxicity or a neurotoxic effect is an adverse 
change in the structure or function of the nervous system following 
exposure to a chemical agent.
    (c) Principle of the test method. The test substance is administered 
to several groups of experimental animals, one dose being used per 
group. The animals are sacrificed and tissues in the nervous system are 
examined grossly and prepared for microscopic examination. Starting with 
the highest dosage level, tissues are examined under the light 
microscope for morphologic changes, until a no effect level is 
determined. In cases where light microscopy has revealed neuropathology, 
the no effect level may be confirmed by electron microscopy.
    (d) Test procedure--(1) Animal selection--(i) Species and strain. 
Testing shall be performed in the species being used in other tests for 
neurotoxicity. This will generally be the laboratory rat. The choice of 
species shall take into consideration such factors as the comparative 
metabolism of the chemical and species sensitivity to the toxic effects 
of the test substance, as evidenced by the results of other studies, the 
potential for combined studies, and the availability of other toxicity 
data for the species.

[[Page 218]]

    (ii) Age. Animals shall be young adults (150-200 gm for rats) at the 
start of exposure.
    (iii) Sex. Both sexes shall be used unless it is demonstrated that 
one sex is refractory to the effects.
    (2) Number of animals. A minimum of six animals per group shall be 
used. The tissues from each animal shall be examined separately. It is 
recomse (iv)mended that ten animals per group be used.
    (3) Control groups. (i) A concurrent control group(s) is (are) 
required. This group must be an untreated control group or, if a vehicle 
is used in administering the test substance, a vehicle control group. If 
the vehicle used has a known or potential toxic property, both untreated 
and vehicle control groups are required.
    (ii) A satellite group of animals may be treated with the high level 
for 90 days and observed for reversibility, persistence, or delayed 
occurrence of toxic effects for a post-treatment period of appropriate 
length; normally not less than 28 days.
    (4) Dose levels and dose selection. At least 3 doses, equally spaced 
on a log scale (e.g., \1/2\ log units) over a range of at least 1 log 
unit shall be used in addition to a zero dose or vehicle administration. 
The data should be sufficient to produce a dose-effect curve.
    (i) The highest dose shall produce (A) clear behavioral effects or 
(B) life-threatening toxicity.
    (ii) The data from the lower doses must show either (A) graded dose-
dependent effects at two dose levels or (B) no effects at two dose 
levels, respectively.
    (5) Duration of testing. The exposure duration will be specified in 
the test rule. This will generally be 90 days exposure.
    (6) Route of administration. The test substance shall be 
administered by a route specified in the test rule. This will generally 
be the route most closely approximating the route of human exposure. The 
exposure protocol shall conform to that outlined in the appropriate 
acute or subchronic toxicity guideline.
    (7) Combined protocol. The tests described herein may be combined 
with any other toxicity study, as long as none of the requirements of 
either are violated by the combination.
    (8) Study conduct--(i) Observation of animals. All toxicological 
(e.g., weight loss) and neurological signs (e.g., motor disturbance) 
shall be recorded frequently enough to observe any abnormality, and not 
less than weekly.
    (ii) Sacrifice of animals--(A) General. The goal of the techniques 
outlined for sacrifice of animals and preparation of tissues is 
preservation of tissues morphology to simulate the living state of the 
cell.
    (B) Perfusion technique. Animals shall be perfused in situ by a 
generally recognized technique. For fixation suitable for light or 
electronic microscopy, saline solution followed by buffered 2.5 percent 
glutaraldehyde or buffered 4.0 percent paraformaldehyde, is recommended. 
While some minor modifications or variations in procedures are used in 
different laboratories, a detailed and standard procedure for vascular 
perfusion may be found in the text by Zeman and Innes (1963) under 
paragraph (f)(7) of this section, Hayat (1970) under paragraph (f)(3) of 
this section, and by Spencer and Schaumburg (1980) under paragraph 
(f)(6) of this section. A more sophisticated technique is described by 
Palay and Chan-Palay (1974) under paragraph (f)(4) of this section.
    (C) Removal of brain and cord. After perfusion, the bonystructure 
(cranium and vertebral column) shall be exposed. Animals shall then be 
stored in fixative-filled bags at 4 [deg]C for 8-12 hours. The cranium 
and vertebral column shall be removed carefully by trained technicians 
without physical damage of the brain and cord. Detailed dissection 
procedures may be found in the text by Palay and Chan-Palay (1974) under 
paragraph (f)(4) of this section. After removal, simple measurement of 
the size (length and width) and weight of the whole brain (cerebrum, 
cerebellum, pons-medulla) shall be made. Any abnormal coloration or 
discoloration of the brain and cord shall also be noted and recorded.
    (D) Sampling. Unless a given test rule specifies otherwise, cross-
sections of the following areas shall be examined: The forebrain, the 
center of the cerebrum, the midbrain, the cerebellum

[[Page 219]]

and pons, and the medulla oblongata; the spinal cord at cervical and 
lumbar swelling (C3-C6 and L1-
L4); Gasserian ganglia, dorsal root ganglia (C3-
C6, L1-L4), dorsal and ventral root 
fibers (C3-C6, L\1\-L4), proximal 
sciatic nerve (mid-thigh and sciatic notch), sural nerve (at knee), and 
tibial nerve (at knee). Other sites and tissue elements (e.g., 
gastrocnemius muscle) should be examined if deemed necessary. Any 
observable gross changes shall be recorded.
    (iii) Specimen storage. Tissue samples from both the central and 
peripheral nervous system shall be further immersion fixed and stored in 
appropriate fixative (e.g., 10 percent buffered formalin for light 
microscopy; 2.5 percent buffered gluteraldehyde or 4.0 percent buffered 
paraformaldehyde for electron microscopy) for future examination. The 
volume of fixative versus the volume of tissues in a specimen jar shall 
be no less than 25:1. All stored tissues shall be washed with buffer for 
at least 2 hours prior to further tissue processing.
    (iv) Histopathology examination. (A) Fixation. Tissue specimens 
stored in 10 percent buffered formalin may be used for this purpose. All 
tissues must be immersion fixed in fixative for at least 48 hours prior 
to further tissue processing.
    (B) Dehydration. All tissue specimens shall be washed for at least 1 
hour with water or buffer, prior to dehydration. (A longer washing time 
is needed if the specimens have been stored in fixative for a prolonged 
period of time.) Dehydration can be performed with increasing 
concentration of graded ethanols up to absolute alcohol.
    (C) Clearing and embedding. After dehydration, tissue specimens 
shall be cleared with xylene and embedded in paraffin or paraplast. 
Multiple tissue specimens (e.g. brain, cord, ganglia) may be embedded 
together in one single block for sectioning. All tissue blocks shall be 
labelled showing at least the experiment number, animal number, and 
specimens embedded.
    (D) Sectioning. Tissue sections, 5 to 6 microns in thickness, shall 
be prepared from the tissue blocks and mounted on standard glass slides. 
It is recommended that several additional sections be made from each 
block at this time for possible future needs for special stainings. All 
tissue blocks and slides shall be filed and stored in properly labeled 
files or boxes.
    (E) Histopathological techniques. Although the information available 
for a given chemical substance may dictate test-rule specific changes, 
the following general testing sequence is proposed for gathering 
histopathological data:
    (1) General staining. A general staining procedure shall be 
performed on all tissue specimens in the highest treatment group. 
Hematoxylin and eosin (H&E) shall be used for this purpose. The staining 
shall be differentiated properly to achieve bluish nuclei with pinkish 
background.
    (2) Special stains. Based on the results of the general staining, 
selected sites and cellular components shall be further evaluated by the 
use of specific techniques. If H&E screening does not provide such 
information, a battery of stains shall be used to assess the following 
components in all appropriate required samples: neuronal body (e.g., 
Einarson's gallocyanin), axon (e.g., Bodian), myelin sheath (e.g., 
Kluver's Luxol Fast Blue) and neurofibrils (e.g., Bielchosky). In 
addition, peripheral nerve fiber teasing shall be used. Detailed 
staining methodology is available in standard histotechnological manuals 
such as AFIP (1968) under paragraph (f)(1) of this section, Ralis et al. 
(1973) under paragraph (f)(5) of this section, and Chang (1979) under 
paragraph (f)(2) of this section. The nerve fiber teasing technique is 
discussed in Spencer and Schaumberg (1980) under paragraph (f)(6) of 
this section. A section of normal tissue shall be included in each 
staining to assure that adequate staining has occurred. Any changes 
shall be noted and representative photographs shall be taken. If a 
lesion(s) is observed, the special techniques shall be repeated in the 
next lower treatment group until no further lesion is detectable.
    (3) Alternative technique. If the anatomical locus of expected 
neuro-pathology is well-defined, epoxy-embedded sections stained with 
toluidine blue may be used for small sized tissue samples. This 
technique obviates the need

[[Page 220]]

for special stains for cellular components. Detailed methodology is 
available in Spencer and Schaumberg (1980) under paragraph (f)(6) of 
this section.
    (4) Electron microscopy. Based on the results of light microscopic 
evaluation, specific tissue sites which reveal a lesion(s) shall be 
further evaluated by electron microscopy in the highest treatment group 
which does not reveal any light microscopic lesion. If a lesion is 
observed, the next lower treatment group shall be evaluated until no 
significant lesion is found. Detailed methodology is available in Hayat 
(1970) under paragraph (f)(3) of this section.
    (F) Examination--(1) General. All stained microscopic slides shall 
be examined with a standard research microscope. Examples of cellular 
alterations (e.g., neuronal vacuolation, degeneration, and necrosis) and 
tissue changes (e.g., gliosis, leukocytic infiltration, and cystic 
formation) shall be recorded and photographed.
    (2) Electron microscopy. Since the size of the tissue samples that 
can be examined is very small, at least 3 to 4 tissue blocks from each 
sampling site must be examined. Tissue sections must be examined with a 
transmission electron microscope. Three main categories of structural 
changes must be considered:
    (i) Neuronal body. The shape and position of the nucleus and 
nucleolus as well as any change in the chromatin patterns shall be 
noted. Within the neuronal cytoplasm, cytoplasmic organelles such as 
mitochondria, lysosomes, neurotubules, neurofilaments, microfilaments, 
endoplasmic reticulum and polyribosomes (Nissl substance), Golgi 
complex, and secretory granules shall be examined.
    (ii) Neuronal processes. The structural integrity or alterations of 
dendrites, axons (myelinated and unmyelinated), myelin sheaths, and 
synapses shall be noted.
    (iii) Supporting cells. Attention must also be paid to the number 
and structural integrity of the neuroglial elements (oligodendrocytes, 
astrocytes, and microglia) of the central nervous system, and the 
Schwann cells, satellite cells, and capsule cells of the peripheral 
nervous system. Any changes in the endothelial cells and ependymal 
lining cells shall also be noted whenever possible. The nature, 
severity, and frequency of each type of lesion in each specimen must be 
recorded. Representative lesions must be photographed and labeled 
appropriately.
    (e) Data collection, reporting, and evaluation. In addition to 
information meeting the requirements stated under 40 CFR part 792 
subpart J, the following specific information shall be reported:
    (1) Description of test system and test methods. A description of 
the general design of the experiment shall be provided. This shall 
include a short justification explaining any decisions where 
professional judgment is involved such as fixation technique and choice 
of stains.
    (2) Results. All observations shall be recorded and arranged by test 
groups. This data may be presented in the following recommended format:
    (i) Description of signs and lesions for each animal. For each 
animal, data must be submitted showing its identification (animal 
number, treatment, dose, duration), neurologic signs, location(s) nature 
of, frequency, and severity of lesion(s). A commonly-used scale such as 
1+, 2+, 3+, and 4+ for degree of severity ranging from very slight to 
extensive may be used. Any diagnoses derived from neurologic signs and 
lesions including naturally occurring diseases or conditions, should 
also be recorded.
    (ii) Counts and incidence of lesions, by test group. Data shall be 
tabulated to show:
    (A) The number of animals used in each group, the number of animals 
displaying specific neurologic signs, and the number of animals in which 
any lesion was found;
    (B) The number of animals affected by each different type of lesion, 
the average grade of each type of lesion, and the frequency of each 
different type and/or location of lesion.
    (iii) Evaluation of data. (A) An evaluation of the data based on 
gross necropsy findings and microscopic pathology observations shall be 
made and supplied. The evaluation shall include the relationship, if 
any, between the animal's exposure to the test substance and the 
frequency and severity of the lesions observed.

[[Page 221]]

    (B) The evaluation of dose-response, if existent, for various groups 
shall be given, and a description of statistical method must be 
presented. The evaluation of neuropathology data should include, where 
applicable, an assessment in conjunction with other neurotoxicity 
studies performed (eg. electrophysiological, behavioral, neurochemical).
    (f) References. For additional background information on this test 
guideline the following references should be consulted:
    (1) AFIP. Manual of Histologic Staining Methods. (New York: McGraw-
Hill (1968).
    (2) Chang, L.W. A Color Atlas and Manual for Applied Histochemistry. 
(Springfield, IL: Charles C. Thomas, 1979).
    (3) Hayat, M.A. ``Vol. 1. Biological applications,'' Principles and 
techniques of electron microscopy. (New York: Van Nostrand Reinhold, 
1970)
    (4) Palay S.L., Chan-Palay, V. Cerebellar Cortex: Cytology and 
Organization. (New York: Springer-Verlag, 1974).
    (5) Ralis, H.M., Beesley, R.A., Ralis, Z.A. Techniques in 
Neurohistology. (London: Butterworths, 1973).
    (6) Spencer, P.S., Schaumburg, H.H. (eds). Experimental and Clinical 
Neurotoxicology. (Baltimore: Williams and Wilkins, 1980).
    (7) Zeman, W., JRM Innes, J.R.M. Craigie's Neuroanatomy of the Rat. 
(New York: Academic, 1963).

[50 FR 39397, Sept. 27, 1985, as amended at 52 FR 19082, May 20, 1987]



Sec.  798.6500  Schedule-controlled operant behavior.

    (a) Purpose. (1) In the assessment and evaluation of the potential 
human health effects of substances, it may be necessary to test for 
functional neurotoxic effects. Substances that have been observed to 
produce neurotoxic signs in other toxicity studies (e.g. CNS depression 
or stimulation), as well as substances with a structural similarity to 
known neurotoxicants should be evaluated for these effects.
    (2) This guideline defines procedures for conducting studies of 
schedule-controlled operant behavior, one way of evaluating functional 
neurotoxic effects (Dews, 1972 under paragraph (f)(1) of this section; 
NAS 1975, 1977, 1982 under paragraphs (f)(4), (5) and (6) of this 
section). Our purpose is to evaluate the effects of acute and repeated 
exposures on the rate and pattern of responding under schedules of 
reinforcement. Operant behavior tests may be used to evaluate many other 
aspects of behavior (Laties, 1978 under paragraph (f)(3) of this 
section). Additional tests may be necessary to completely assess the 
behavioral effects of any substance. Behavioral evaluation should be 
used in conjunction with neuropathologic evaluation and the evaluation 
of other toxic effects.
    (b) Definitions--(1) Neurotoxicity. Neurotoxicity or a neurotoxic 
effect is an adverse change in the structure or function of the nervous 
system following exposure to a chemical agent. Behavioral toxicity is an 
adverse change in the functioning of the organism with respect to its 
environment following exposure to a chemical agent.
    (2) Operant, operant behavior, operant conditioning. An operant is a 
class of behavioral responses which change or operates on the 
environment in the same way. Operant behavior is further distinguished 
as behavior which is modified by its consequences. Operant conditioning 
is the experimental procedure used to modify some class of behavior by 
reinforcement or punishment.
    (3) Schedule of reinforcement. A schedule of reinforcement specifies 
the relation between behavioral responses and the delivery of 
reinforcers, such as food or water (Ferster and Skinner, 1957 under 
paragraph (f)(2) of this section). For example, a fixed ratio (FR) 
schedule requires a fixed number of responses to produce a reinforcer 
(e.g. FR 30). On a fixed interval (FI) schedule, the first response 
after a fixed period of time is reinforced (e.g. FI 5 minutes).
    (c) Principle of the test method. Experimental animals are trained 
to perform under a schedule of reinforcement and measurements of their 
operant behavior are made. Several doses of the test substance are then 
administered according to the experimental design (between groups or 
within subjects) and the duration of exposure (acute or repeated). 
Measurements of the operant

[[Page 222]]

behavior are repeated. A descriptive and statistical evaluation of the 
data is made to evaluate the nature and extent of any changes in 
behavior in relation to exposures to the test substance. Comparisons are 
made between any exposures that influence the behavior and exposures 
that have neuropathological effects or effects on other targets of the 
chemical.
    (d) Test procedures--(1) Experimental design. These test procedures 
may be used to evaluate the behavior of experimental animals receiving 
either acute or repeated exposures. For acute exposure studies, either 
within-subject or between groups, experimental designs may be used. For 
repeated exposure studies, between groups designs should be used, but 
within subject comparisons (pre-exposure and post-exposure) are 
recommended and encouraged.
    (2) Animal selection--(i) Species. (A) For most studies, the 
laboratory mouse or rat is recommended. Standard strains should be used.
    (B) Under some circumstances other species may be recommended.
    (ii) Age. Experimental animals should be young adults. Rats or mice 
should be at least 14 and 6 weeks old, respectively, prior to exposure.
    (iii) Sex. (A) Approximately equal numbers of male and female 
animals are required for each dose level and control group.
    (B) Virgin females should be used.
    (iv) Experimental history. Animals should be experimentally and 
chemically naive.
    (3) Number of animals. Six to twelve animals should be exposed to 
each level of the test substance and/or control procedure. If post 
exposure effects are examined, a separate group, 6 to 12 additional 
animals not sacrificed for pathology, will required in subchronic 
studies.
    (4) Control groups--(i) Untreated controls. A concurrent ``sham'' 
exposure or vehicle control group or session (according to the design of 
the study) is required. The subjects should be treated similarly except 
that administration of the test substance is omitted.
    (ii) Positive controls. Positive control data is required to 
demonstrate that the experimental procedures, under the specific 
conditions in the testing laboratory, are sensitive to substances known 
to affect operant behavior. Both increases and decreases in response 
rate should be demonstrated. Data based on acute exposures will be 
adequate. Data should be collected according to the same experimental 
design as that proposed for the test substance. Historical data on the 
procedure collected in the same species and under the same conditions in 
the testing laboratory may be acceptable, but the presentation of 
concurrent control data is strongly encouraged since it provides 
evidence that the test has remained sensitive.
    (5) Dose levels and dose selection. At least 3 doses, equally spaced 
over a log scale (e.g., 10, 30, 100), over a range of at least 1 log 
unit shall be used in addition to a zero dose or vehicle administration. 
The data should be sufficient to produce a dose-effect curve.
    (i) The highest dose shall produce: (A) Clear behavioral effects; or 
(B) life-threatening toxicity.
    (ii) The data from the lower doses must show either: (A) Graded 
dose-dependent effects at 2 dose levels; or (B) no effects at 2 dose 
levels, respectively.
    (6) Duration of exposure. The duration and frequency of exposure 
will be specified in the test rule.
    (7) Route of Administration. The route of administration will also 
be specified in the test rule and will usually be identical to one of 
the anticipated or actual routes of human exposure. For some chemicals, 
another route (e.g. parenteral) may be justified. The exposure protocol 
should conform to that outlined in the appropriate acute or subchronic 
toxicity study guideline under subpart B or subpart C of this part.
    (8) Study conduct--(i) Apparatus. Behavioral responses and the 
delivery of reinforcers shall be controlled and monitored by automated 
equipment located so that its operation does not provide unintended cues 
or otherwise interfere with the ongoing behavior. Individual chambers 
should be sound attenuated to prevent disruptions of behavior by 
external noise. The response manipulanda, feeders, and any stimulus 
devices should be tested before each session; these devices should 
periodically be calibrated.

[[Page 223]]

    (ii) Chamber assignment. Concurrent treatment groups should be 
balanced across chambers. Each subject should be tested in the chamber 
to which it is initially assigned.
    (iii) Deprivation and training. (A) If a nonpreferred positive 
reinforcer is used, all subjects should be deprived of food until they 
reach a fixed percentage (e.g. 80 to 90 percent, commonly) of their ad 
libitum body weight or for a fixed period (e.g., 18 hours) prior to 
training. Deprivation should be kept constant throughout the study.
    (B) Subjects must be trained until they display demonstrable 
stability in performance across days prior to exposure. One simple and 
useful criterion is a minimum number of sessions on the schedule and no 
systematic trend during the 5 days before exposure.
    (C) Cumulative records of cumulative responding over time for each 
animal should be presented to demonstrate that the pattern of responding 
is representative of that generated by the schedule of reinforcement.
    (iv) Time, frequency, and duration of testing--(A) Time of testing. 
All experimental animals should be tested at the same time of day and 
with respect to the time of exposure. For acute studies, testing should 
be performed when effects are estimated to peak, usually shortly after 
exposure. For subchronic studies, subjects should be tested prior to 
daily exposure in order to assess cumulative effects.
    (B) Frequency of testing. The maintenance of stable operant behavior 
normally will require regular and frequent (e.g., 5 days a week) testing 
sessions. Animals should be weighed on each test day.
    (C) Duration of testing. (1) Experimental sessions should be long 
enough to reasonably see the effects of exposure, but brief enough to be 
practical. Under most circumstances, a session length of 30-40 minutes 
should be adequate.
    (2) If the nature or duration of effects following cessation of 
repeated exposure are a concern, animals from the high dose group should 
be tested following exposure for a suitable period of time.
    (v) Schedule selection. The schedule of reinforcement chosen should 
generate response rates that may increase or decrease as a function of 
exposure. Many schedules of reinforcement can do this: a single schedule 
maintaining a moderate response rate; fixed-interval schedules, which 
engender a variety of response rates in each interval; or multiple 
schedules, where different components may maintain high and low response 
rates.
    (e) Data reporting and evaluation. In addition to the reporting 
requirements specified under 40 CFR part 792, subpart J the final test 
report should contain the following information:
    (1) Description of system, test methods, experimental design, and 
control data. (i) A description of the experimental chamber, programming 
equipment, data collection devices, and environmental conditions.
    (ii) A description of the experimental design including 
counterbalancing procedures, and the stability criterion.
    (iii) A description and statistical evaluation of positive control 
and other control data, including standard measures of central tendency, 
variability, coefficient of variation of response rates, and the slope 
of the dose-effect curve.
    (2) Results. (i) Data for each animal should be arranged by test 
group in tabular form including the animal identification number, body 
weight, pre-exposure rate of responding, changes in response rate 
produced by the chemical, and group data for the same variables, 
including standard measures of central tendency, variability and 
coefficient of variation.
    (ii) A description and statistical evaluation of the test results: 
With particular reference to the overall statistical procedures (e.g., 
parametric or nonparametric) dose-effect curve, and calculation of 
slope. Presentation of calculations is encouraged.
    (f) References. For additional background information on this test 
guideline the following references should be consulted:
    (1) Dews, P.B. ``Assessing the Effects of Drugs,'' Methods in 
Psychobiology, Vol. 2, Ed., R.D. Myers (New York: Academic Press, 1972) 
83-124.
    (2) Ferster, C.B. Skinner, B.F. Schedules of Reinforcement. (New 
York: Appleton-Century-Crofts, 1957).

[[Page 224]]

    (3) Laties, V.G. ``How Operant Conditioning can Contribute to 
Behavioral Toxicology,'' Environmental Health Perspectives, 28: 29-35 
(1978).
    (4) National Academy of Science. Principles for Evaluating Chemicals 
in the Environment. (Washington, DC: National Academy of Sciences, 
1975).
    (5) National Academy of Science. Principles and Procedures for 
Evaluating the Toxicity of Household Substances. (Washington, DC: 
National Academy of Sciences, 1977).
    (6) National Academy of Science. ``Strategies to determine needs and 
priorities for toxicity testing,'' Appendix 3B. Reference Protocol 
Guidelines For Neurobehavioral Toxicity Tests. 2: 123-129 (1982).



Sec.  798.6560  Subchronic delayed neuro-toxicity of organophosphorus substances.

    (a) Purpose. In the assessment and evaluation of the toxic 
characteristics of organophosphorus substances the determination of 
subchronic delayed neurotoxicity may be carried out, usually after 
initial information on delayed neurotoxicity has been obtained by acute 
testing or by the demonstration of inhibition and aging of neurotoxic 
esterase in hen neural tissue. The subchronic delayed neurotoxicity test 
provides information on possible health hazards likely to arise from 
repeated exposures over a limited period of time. It will provide 
information on dose response and can provide an estimate of a non-effect 
level which can be of use for establishing safety criteria for exposure.
    (b) Definitions. Subchronic delayed neurotoxicity is a prolonged, 
delayed-onset locomoter ataxia resulting from repeated daily 
administration of the test substance.
    (c) Principle of the test method. Multiple dose levels of the test 
substance are administered orally to domestic hens (Gallus gallus 
domesticus) for 90 days. The animals are observed at least daily for 
behavioral abnormalities, locomotor ataxia and paralysis. 
Histopathological examination of selected neural tissues is undertaken 
at the termination of the test period.
    (d) Test procedures--(1) Animal selection. The adult domestic laying 
hen, aged 8 to 14 months, is recommended. Standard size breeds and 
strains should be employed.
    (2) Number of animals. Ten hens should be used for each treatment 
and control group.
    (3) Control group--(i) General. A concurrent control group should be 
used. This group should be treated in a manner identical to the treated 
group, except that administration of the test substance is omitted.
    (ii) Reference substances. If a positive control is used, a 
substance which is known to produce delayed neurotoxicity should be 
employed. Examples of such substances are triorthocresyl phosphate 
(TOCP) and leptophos.
    (4) Housing and feeding conditions. Cages or enclosures which are 
large enough to permit free mobility of the hens and easy observation of 
gait should be used. Where the lighting is artificial, the sequence 
should be 12 hours light, 12 hours dark. Appropriate diets should be 
administered as well as an unlimited supply of drinking water.
    (5) Dose levels. At least three dose levels should be used in 
addition to the control group(s). The highest dose level should result 
in toxic effects, preferably delayed neurotoxicity, but not produce an 
incidence of fatalities which would prevent a meaningful evaluation. The 
lowest dose level should not produce any evidence of toxicity.
    (6) Route of administration. Oral dosing each day for at least 5 
days per week should be carried out, preferably by gavage or 
administration of gelatine capsules.
    (7) Study conduct--(i) General. Healthy young adult hens free from 
interfering viral diseases and medication and without abnormalities of 
gait should be acclimatized to the laboratory conditions for at least 5 
days prior to randomization and assignment to treatment and control 
groups. The test or control substance should be administered and 
observations begun. All hens should be carefully observed at least once 
daily throughout the test period. Signs of toxicity should be recorded, 
including the time of onset, degree and duration. Observations should

[[Page 225]]

include, but not be limited to, behavioral abnormality, locomotor ataxia 
and paralysis. At least once a week the hens should be taken outside the 
cages and subjected to a period of forced motor activity, such as ladder 
climbing, in order to enhance the observation of minimal responses. The 
hens should be weighed weekly. Any moribund hens should be removed and 
sacrificed.
    (ii) Pathology--(A) Gross necropsy. In the presence of clinical 
signs of delayed neurotoxicity useful information may be provided by 
gross necropsy.
    (B) Histopathology. Tissues from all animals should be fixed in 
situ, using perfusion techniques. Sections should include medulla 
oblongata, spinal cord and peripheral nerves. The spinal cord sections 
should be taken from the upper cervical bulb, the mid-thoracic and 
lumbosacral regions. Sections of the proximal region of the tibial nerve 
and its branches and of the sciatic nerve should be taken. Sections 
should be stained with appropriate myelin and axon-specific stains. 
Microscopic examination should be carried out on all hens in the control 
and high-dose groups. Microscopic examination should also be carried out 
on hens in the low and intermediate dose groups when there is evidence 
of effects in the high-dose group.
    (e) Data reporting and evaluation--(1) Test report. In addition to 
the reporting requirements specified under 40 CFR part 792, subpart J 
the final test report must include the following information:
    (i) Toxic response data by group with a description of clinical 
manifestations of nervous system damage; where a grading system is used 
the criteria should be defined.
    (ii) For each animal, time of death during the study or whether it 
survived to termination.
    (iii) The day of observation of each abnormal sign and its 
subsequent course.
    (iv) Body weight data.
    (v) Necropsy findings for each animal, when performed.
    (vi) A detailed description of all histopathological findings.
    (vii) Statistical treatment of results, where appropriate.
    (2) Treatment of results. (i) Data may be summarized in tabular 
form, showing for each test group the number of animals at the start of 
the test, the number of animals showing lesions or effects, the types of 
lesions or effects and the percentage of animals displaying each type of 
lesion or effect.
    (ii) All observed results should be evaluated by an appropriate 
statistical method. Any generally accepted statistical method may be 
used; the statistical methods should be selected during the design of 
the study.
    (3) Evaluation of results. The findings of a subchronic delayed 
neurotoxicity study should be evaluated in conjunction with the findings 
of preceding studies and considered in terms of the incidence and 
severity of observed neurotoxic effects and any other observed effects 
and histopathological findings in the treated and control groups. A 
properly conducted subchronic test should provide a satisfactory 
estimation of a no-effect level based on lack of clinical signs and 
histopathological changes.
    (f) References. For additional background information on this test 
guideline the following references should be consulted:
    (1) Abou-Donia, M.B. ``Organophosphorus ester-induced delayed 
neurotoxicity'' Annual Review of Pharmacology and Toxicology, 21:511-548 
(1981).
    (2) Abou-Donia, M.B., Pressing, S.H. ``Delayed neurotoxicity from 
continuous low-dose oral administration of leptophos to hens.'' 
Toxicology and Applied Pharmacology, 38:595-608 (1976).
    (3) Baron, R.L. (ed). ``Pesticide Induced Delayed Neurotoxicity,'' 
Proceedings of a Conference, February 19-20, 1976, Washington, DC. U.S. 
Environmental Protection Agency. EPA Report No. 600/1-76-025, 
Washington, DC (1976).
    (4) Cavanaugh, J.B. ``Peripheral neuropathy caused by chemical 
agents'' Critical Reviews of Toxicity, 2:365-417 CRC Press, Inc. (1973).
    (5) Johannsen, F.R., Wright, P.L., Gordon, D.E., Levinskas, G.L., 
Radue, R.W., Graham, P.R. ``Evaluation of delayed neurotoxicity and 
dose-response relationship of phosphate esters in the

[[Page 226]]

adult hen,'' Toxicology and Applied Pharmacology, 41:291-304 (1977).
    (6) Johnson, M.K. ``Organophosphorus esters causing delayed 
neurotoxic effects: mechanism of action and structure/activity 
studies,'' Archives of Toxicology, 34:259-288 (1975).



PART 799_IDENTIFICATION OF SPECIFIC CHEMICAL SUBSTANCE AND MIXTURE TESTING REQUIREMENTS--Table of Contents

                      Subpart A_General Provisions

Sec.
799.1 Scope and purpose.
799.2 Applicability.
799.3 Definitions.
799.5 Submission of information.
799.10 Test standards.
799.11 Availability of test guidelines.
799.12 Test results.
799.17 Effects of non-compliance.
799.18 Chemicals subject of test rules or consent orders for which the 
          testing reimbursement period has passed.
799.19 Chemical imports and exports.

                 Subpart B_Specific Chemical Test Rules

799.1053 Trichlorobenzenes.
799.1560 Diethylene glycol butyl ether and diethylene glycol butyl ether 
          acetate.
799.1575 Diethylenetriamine (DETA).
799.1645 2-Ethylhexanol.
799.1700 Fluoroalkenes.
799.2155 Commercial hexane.
799.2325 Isopropanol.
799.2475 2-Mercaptobenzothiazole.
799.2700 Methyl ethyl ketoxime.
799.3300 Unsubstituted phenylenediamines.
799.4360 Tributyl phosphate.
799.4440 Triethylene glycol monomethyl ether.

                    Subpart C_Testing Consent Orders

799.5000 Testing consent orders for substances and mixtures with 
          Chemical Abstract Service Registry Numbers.
799.5025 Testing consent orders for mixtures without Chemical Abstracts 
          Service Registry Numbers.

                   Subpart D_Multichemical Test Rules

799.5055 Hazardous waste constituents subject to testing.
799.5075 Drinking water contaminants subject to testing.
799.5085 Chemical testing requirements for certain high production 
          volume chemicals.
799.5115 Chemical testing requirements for certain chemicals of interest 
          to the Occupational Safety and Health Administration.

              Subpart E_Product Properties Test Guidelines

799.6755 TSCA partition coefficient (n-octanol/water), shake flask 
          method.
799.6756 TSCA partition coefficient (n-octanol/water), generator column 
          method.
799.6784 TSCA water solubility: Column elution method; shake flask 
          method.
799.6786 TSCA water solubility: Generator column method.

Subparts F-G [Reserved]

                Subpart H_Health Effects Test Guidelines

799.9110 TSCA acute oral toxicity.
799.9120 TSCA acute dermal toxicity.
799.9130 TSCA acute inhalation toxicity.
799.9135 TSCA acute inhalation toxicity with histopathology.
799.9305 TSCA Repeated dose 28-day oral toxicity study in rodents.
799.9310 TSCA 90-day oral toxicity in rodents.
799.9325 TSCA 90-day dermal toxicity.
799.9346 TSCA 90-day inhalation toxicity.
799.9355 TSCA reproduction/developmental toxicity screening test.
799.9365 TSCA combined repeated dose toxicity study with the 
          reproduction/developmental toxicity screening test.
799.9370 TSCA prenatal developmental toxicity.
799.9380 TSCA reproduction and fertility effects.
799.9410 TSCA chronic toxicity.
799.9420 TSCA carcinogenicity.
799.9430 TSCA combined chronic toxicity/carcinogenicity.
799.9510 TSCA bacterial reverse mutation test.
799.9530 TSCA in vitro mammalian cell gene mutation test.
799.9537 TSCA in vitro mammalian chromosome aberration test.
799.9538 TSCA mammalian bone marrow chromosomal aberration test.
799.9539 TSCA mammalian erythrocyte micronucleus test.
799.9620 TSCA neurotoxicity screening battery.
799.9630 TSCA developmental neurotoxicity.
799.9748 TSCA metabolism and pharmacokinetics.
799.9780 TSCA immunotoxicity.

    Authority: 15 U.S.C. 2603, 2611, 2625.

    Source: 49 FR 39817, Oct. 10, 1984, unless otherwise noted.

[[Page 227]]



                      Subpart A_General Provisions



Sec.  799.1  Scope and purpose.

    (a) This part identifies the chemical substances, mixtures, and 
categories of substances and mixtures for which data are to be 
developed, specifies the persons required to test (manufacturers, 
including importers, and/or processors), specifies the test substance(s) 
in each case, prescribes the tests that are required including the test 
standards, and provides deadlines for the submission of reports and data 
to EPA.
    (b) This part requires manufacturers and/or processors of chemical 
substances or mixtures (``chemicals'') identified in subpart B to submit 
letters of intent to test, exemption applications, and study plans in 
accordance with EPA test rule development and exemption procedures 
contained in part 790 of this chapter and any modifications to such 
procedures contained in this part.
    (c) This part requires manufacturers and/or processors of chemicals 
identified in subpart B to conduct tests and submit data in accordance 
with the test standards contained in this part in order to develop data 
on the health and environmental effects and other characteristics of 
these chemicals. These data will be used to assess the risk of injury to 
human health or the environment presented by these chemicals.
    (d) This part contains certain TSCA test guidelines which are cross-
referenced in the test rules contained in this part.

[49 FR 39817, Oct. 10, 1984, as amended at 62 FR 43824, Aug. 15, 1997]



Sec.  799.2  Applicability.

    This part is applicable to each person who manufactures or intends 
to manufacture (including import) and/or to each person who processes or 
intends to process a chemical substance or mixture identified in subpart 
B for testing during the period commencing with the effective date of 
the specific chemical test rule until the end of the reimbursement 
period. Each set of testing requirements in subpart B specifies whether 
those requirements apply to manufacturers only, to processors only, or 
to both manufacturers and processors.



Sec.  799.3  Definitions.

    The definitions in section 3 of the Toxic Substances Control Act 
(TSCA) and the definitions of Sec.  790.3 of this chapter apply to this 
part.



Sec.  799.5  Submission of information.

    Information (letters, study plans, reports) submitted to EPA under 
this part must bear the Code of Federal Regulations section number of 
the subject chemical test rule (e.g., Sec.  799.1285 for Cumene) and 
must be addressed to the Document Control Office (DCO) (7407M), Office 
of Pollution Prevention and Toxics (OPPT), Environmental Protection 
Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460-0001.

[60 FR 34467, July 3, 1995, as amended at 71 FR 33642, June 12, 2006]



Sec.  799.10  Test standards.

    Testing required under subpart B must be performed using a study 
plan prepared according to the requirements of parts 790 and 792 of this 
chapter unless modified in specific chemical test rules in subpart B. 
All raw data, documentation, records, protocols, specimens and reports 
generated as a result of a study under subpart B must be developed, 
reported, and retained in accordance with TSCA Good Laboratory Practice 
Standards (GLP's) in part 792 of this chapter. These items must be made 
available during an inspection or submitted to EPA upon request by EPA 
or its authorized representative. Laboratories conducting testing for 
submission to the Agency in response to a test rule promulgated under 
section 4 of TSCA must adhere to the TSCA GLP's. Sponsors must notify 
the laboratory that the study is being conducted pursuant to TSCA 
section 4. Sponsors are also responsible for ensuring that laboratories 
conducting the test abide by the TSCA GLP standards. In accordance with 
Sec.  792.12 of this chapter, a certification concerning adherence to 
the TSCA GLP's must be submitted to EPA.

[[Page 228]]



Sec.  799.11  Availability of test guidelines.

    (a) The TSCA and FIFRA guidelines for the various study plans are 
available from the National Technical Information Service (NTIS). 
Address and telephone number: National Technical Information Service, 
5285 Port Royal Road, Springfield, VA 22161 (703-487-4650).
    (b) The OECD guidelines for the various study plans are available 
from the following address: OECD Publication and Information Center, 
1750 Pennsylvania Ave., NW., Washington, DC 20006 (202-724-1857).



Sec.  799.12  Test results.

    Except as set forth in specific chemical test rules in subpart B of 
this part, a positive or negative test result in any of the tests 
required under subpart B is defined in the TSCA test guidelines 
published by NTIS.



Sec.  799.17  Effects of non-compliance.

    Any person who fails or refuses to comply with any aspect of this 
part or part 790 is in violation of section 15 of TSCA. EPA will treat 
violations of Good Laboratory Practice Standards as indicated in Sec.  
792.17 of this chapter.



Sec.  799.18  Chemicals subject of test rules or consent orders for which the testing reimbursement period has passed.

    The following table lists substances and mixtures that have been the 
subjects of section 4 testing actions and for which the testing 
reimbursement period has terminated (sunset). The Federal Register 
citation in the table is for the final rule/consent order that includes 
the particular substance for which the sunset date listed in the table 
below applies. Section 12(b) export notification is no longer required 
for these substances and mixtures. Substances that are the subjects of 
two or more section 4 testing actions may have section 4 reimbursement 
or section 12(b) export notification requirements that have not sunset; 
see subparts B, C, and D of this part to determine if certain other 
section 4 testing requirements apply. Additionally, section 12(b) export 
notification may also be triggered by proposed or final action under 
TSCA section 5, 6, or 7 (in addition to final actions under section 4); 
see 40 CFR part 707, subpart D for further information regarding the 
TSCA section 12(b) export notification requirements.

----------------------------------------------------------------------------------------------------------------
  CAS No.                 Chemical Name                          FR cite                     Sunset dates
----------------------------------------------------------------------------------------------------------------
            C-9 Aromatic Hydrocarbon Fraction\1\      50 FR 20662, 5/17/85           Aug 13, 1994
   62-53-3  Aniline                                   53 FR 31804, 8/19/88           July 27, 1994
   71-55-6  1,1,1-Trichloroethane                     49 FR 39810, 10/10/84          June 29, 1992
   75-56-9  Propylene oxide                           50 FR 48762, 11/27/85          Dec,21, 1992
   78-87-5  1,2-Dichloropropane                       52 FR 37138, 10/5/87           April 17, 1995
   79-94-7  Tetrabromobisphenol-A                     52 FR 25219, 7/6/87            Aug 24, 1994
   80-05-7  Bisphenol A                               51 FR 33047, 9/18/86           April 6, 1993
   84-65-1  Anthraquinone                             52 FR 21018, 6/4/87            Aug 21, 1994
   87-61-6  1,2,3-trichlorobenzene                    51 FR 11728,4/7/86             Nov 13, 1993
   88-74-4  2-nitroaniline                            53 FR 31804, 8/19/88           Sept 19, 1994
   92-52-4  1,1-Biphenyl                              50 FR 37182, 9/12/85           March 15, 1994
   95-48-7  Ortho-cresols AKA 2-methylphenol          51 FR 15771, 4/28/86           Dec. 6, 1994
   95-50-1  1,2-dichlorobenzene                       51 FR 24657, 7/8/86            April 27, 1994
   95-51-2  2-chloroaniline                           53 FR 31804, 8/19/88           Sept 6, 1994
   95-76-1  3,4-dichloroaniline                       53 FR 31804, 8/19/88           Oct 2, 1994
   95-94-3  1,2,4,5-tetrachlorobenzene                51 FR 24657,7/8/86             April 27, 1994
   97-02-9  2,4-dinitroaniline                        53 FR 31804, 8/19/88           Oct 19, 1993
   98-82-8  Cumene                                    53 FR 28195, 7/27/88           March 11, 1995
   99-30-9  2,6-dichloro-4-nitroaniline               53 FR 31804, 8/19/88           Aug 6, 1994
  100-01-6  4-nitroaniline                            53 FR 31804, 8/19/88           Sept 19, 1994
  106-44-5  Para-cresols AKA 4-methylphenol           51 FR 15771, 4/28/86           Dec. 6, 1994
  106-46-7  1,4-dichlorobenzene                       51 FR 24657, 7/8/86            Jan 22, 1994
  106-47-8  4-chloroaniline                           53 FR 31804, 8/19/88           Oct 19, 1993
  108-39-4  Meta-cresols AKA 3-methylphenol           51 FR 15771, 4/28/86           Dec. 6, 1994
  108-90-7  Monochlorobenzene                         51 FR 24657, 7/8/86            Nov 13, 1991
  112-90-3  Oleylamine                                52 FR 31962, 8/24/87           Nov 28, 1994
  116-14-3  Tetrafluoroethene                         52 FR 21516, 6/8/87            May 19, 1993
  116-15-4  Hexafluoropropene                         52 FR 21516, 6/8/87            Jan 22, 1994
  123-31-9  Hydroquinone                              50 FR 53145, 12/30/85          Dec. 11, 1994
  149-57-5  2-Ethylhexanoic Acid                      51 FR 40318, 11/6/86           June 19, 1993
  328-84-7  3,4-Dichlorobenzotrifluoride              52 FR 23547, 6/23/87           Dec. 5, 1993

[[Page 229]]

 
25550-98-5  Diisodecyl Phenyl Phosphite               54 FR 8112, 2/24/89            May 21, 1995
----------------------------------------------------------------------------------------------------------------
\1\ Only substances obtained from the reforming of crude petroleum.


[60 FR 31923, June 19, 1995]



Sec. 799.19  Chemical imports and exports.

    Persons who export or who intend to export chemical substances or 
mixtures listed in subpart B, subpart C, or subpart D of this part are 
subject to the requirements of 40 CFR part 707.

[71 FR 66245, Nov. 14, 2006]



                 Subpart B_Specific Chemical Test Rules



Sec.  799.1053  Trichlorobenzenes.

    (a) Identification of testing substance. (1) 1,2,3- and 1,2,4-
trichlorobenzenes, CAS Numbers 87-61-6 and 120-82-1 respectively, shall 
be tested in accordance with this section.
    (2) The substances identified in paragraph (a)(1) of this section 
shall be 99 percent pure and shall be used as the test substances in 
each of the tests specified.
    (3) For health effects testing required under paragraph (e) of this 
section, the test substance shall not contain more than 0.05 percent 
benzene and 0.05 percent hexachlorobenzene.
    (b) Persons required to submit study plans, conduct tests, and 
submit data. (1) All persons who manufacture or process substances 
identified in paragraph (a)(1) of this section, other than an impurity, 
from May 21, 1986, to the end of the reimbursement period, shall submit 
a letter of intent to test or exemption applications and shall conduct 
tests, in accordance with part 792 of this chapter, and submit data as 
specified in this section, subpart A of this part and part 790 of this 
chapter for two-phase rulemaking.
    (2) Persons subject to this section are not subject to the 
requirements of Sec.  790.50(a) (2), (5), (6) and (b) and Sec.  
790.87(a)(1)(ii) of this chapter.
    (3) Persons who notify EPA of their intent to conduct tests in 
compliance with the requirements of this section must submit plans for 
those tests no later than 30 days before the initiation of each of those 
tests.
    (4) In addition to the requirements of Sec.  790.87(a)(2) and (3) of 
this chapter, EPA will conditionally approve exemption applications for 
this rule if EPA has received a letter of intent to conduct the testing 
from which exemption is sought and EPA has adopted test standards and 
schedules in a final Phase II test rule.
    (5) For health effects testing required under paragraph (e) of this 
section, all persons who manufacture (import) or process 1,2,4-
trichlorobenzene, other than as an impurity, after the effective date of 
this rule (August 21, 1986) to the end of the reimbursement period shall 
submit letters of intent to conduct testing or exemption applications, 
submit study plans, conduct tests, and submit data as specified in this 
section, subpart A of this part, and parts 790 and 792 of this chapter 
for single-phase rulemaking.
    (c) [Reserved]
    (d) Environmental effects testing. 1,2,3- and 1,2,4-
trichlorobenzenes shall be tested in accordance with this section.
    (1) Marine invertebrate acute toxicity testing--(i) Required 
testing. Testing using measured concentrations, flow through or static 
renewal systems, and systems that control for evaporation of the test 
substance, shall be conducted for 1,2,3- and 1,2,4-trichlorobenzenes. 
Testing shall be conducted with mysid shrimp (Mysidopis bahia) to 
develop data on the acute toxicity of the above chlorobenzene isomers to 
marine invertebrates.
    (ii) Test standards. The marine invertebrate (mysid shrimp, 
Mysidopis bahia) acute toxicity testing for 1,2,3- and 1,2,4-
trichlorobenzenes shall be conducted in accordance with Sec.  797.1930 
of this chapter.
    (iii) Reporting requirements. (A) The acute toxicity tests on marine 
invertebrates shall be completed and the final report submitted to EPA 
within 1 year

[[Page 230]]

of the effective date of the final Phase II test rule.
    (B) An interim progress report shall be submitted to the Agency 
within 6 months after the effective date of the final Phase II rule.
    (2) Marine fish acute toxicity testing--(i) Required testing. 
Testing using measured concentrations, flow through systems, and systems 
that control for evaporation of the test substance shall be conducted 
for 1,2,3-trichlorobenzene. Testing shall be conducted with Silversides 
(Menidia menidia) to develop data on the acute toxicity of 1,2,3-
trichlorobenzene to saltwater fish.
    (ii) Test standard. The marine fish (silverside minnow, Menida 
menidia) acute toxicity test shall be conducted for 1,2,3-
trichlorobenzene in accordance with Sec.  797.1400 of this chapter.
    (iii) Reporting requirements. (A) The marine fish (silversides 
minnow, Menidia menidia) acute toxicity test shall be completed and the 
final results submitted within 1 year of the effective date of the Phase 
II final test rule.
    (B) An interim progress report shall be submitted to EPA 6 months 
after the effective date of the final Phase II rule.
    (3) Freshwater fish acute toxicity testing--(i) Required testing. 
Testing using measured concentrations, flow through systems, and systems 
that control evaporation of the test substance shall be conducted for 
1,2,3-trichlorobenzene. A 96-hour LC50 test shall be conducted with the 
fathead minnow (Pimephales promelas) to develop data on the acute 
toxicity of 1,2,3-trichlorobenzene to freshwater fish.
    (ii) Test standard. The freshwater fish (fathead minnow, Pimephales 
promelas) acute toxicity test shall be conducted for 1,2,3-
trichlorobenzene in accordance with Sec.  797.1400 of this chapter.
    (iii) Reporting requirements. (A) The freshwater fish acute toxicity 
study shall be completed and the final report submitted to EPA within 1 
year of the effective date of the final Phase II test rule.
    (B) An interim progress report shall be submitted to EPA 6 months 
after the effective date of the final Phase II rule.
    (4) Freshwater invertebrate acute toxicity testing--(i) Required 
testing. Testing using measured concentrations, flow through or static 
renewal systems, and systems that control for evaporation of the test 
substance shall be conducted for 1,2,3-trichlorobenzene. A 96-hour EC50 
shall be conducted for one species of Grammarus to develop data on the 
acute toxicity of 1,2,3-trichlorobenzene to aquatic freshwater 
invertebrates.
    (ii) Test standard. The freshwater invertebrate (Gammarus sp.) acute 
toxicity test shall be conducted for 1,2,3-trichlorobenzene in 
accordance with Sec.  795.120 of this chapter.
    (iii) Reporting requirements. (A) The freshwater invertebrate acute 
toxicity test shall be completed and the final report submitted to EPA 
within 411 days of the effective date of the final Phase II rule.
    (B) An interim progress report shall be submitted to EPA 6 months 
after the effective date of the final Phase II rule.
    (5) Mysid shrimp chronic toxicity testing--(i) Required testing. 
Testing using measured concentrations, flow through or static renewal 
systems, and systems that control for evaporation of the test substance 
shall be conducted for 1,2,4-trichlorobenzene. Testing shall be 
conducted with mysid shrimp (Mysidopsis bahia) to develop data on the 
chronic toxicity of 1,2,3-trichlorobenzene, should the acute LC50 of 
this chemical to mysid shrimp be determined to be less than 1 ppm.
    (ii) Test standards. The mysid shrimp (Mysidopis bahia) chronic 
toxicity test shall be conducted for 1,2,4-trichlorobenzene in 
accordance with Sec.  797.1950 of this chapter. Testing shall also be 
conducted according to Sec.  797.1950 for 1,2,3-trichlorobenzene should 
the results of testing required by (d)(1)(ii) of this section yield an 
acute LC50 for this chemical substance of less than 1 ppm.
    (iii) Reporting requirements. (A) The mysid shrimp chronic toxicity 
test for 1,2,4-trichlorobenzene shall be completed and the final report 
submitted to EPA within 1 year of the effective date of the final Phase 
II rule. The mysid shrimp chronic toxicity test for 1,2,3-
trichlorobenzene, (required if the LC50 is less than 1 ppm), shall be 
completed and final report submitted to

[[Page 231]]

EPA within 15 months of the effective date of the final Phase II rule.
    (B) Progress reports shall be submitted to EPA at 6-month intervals, 
beginning 6 months after of the effective date of the final Phase II 
rule and until the final report is submitted to EPA.
    (e) Health effects testing--(1) Oncogenicity--(i) Required testing. 
(A) A test for oncogenic effects shall be conducted with 1,2,4-TCB in 
accordance with Sec.  798.3300 of this chapter.
    (B) The route of administration for the oncogenicity testing for 
1,2,4-TCB shall be via the animal feed.
    (C) Two rodent species shall be used and one shall be the Fischer-
344 rat.
    (ii) Reporting requirements. (A) The oncogenicity test shall be 
completed and the final results submitted to EPA by June 30, 1994.
    (B) Progress reports shall be submitted to the Agency every 6 months 
after the effective date of the final rule.
    (2) [Reserved]
    (f) [Reserved]
    (g) Effective date. (1) The effective date of the final phase II 
rule is August 14, 1987, except for paragraphs (d)(4)(iii)(A) and 
(e)(1)(ii)(A) of this section. The effective date for paragraph 
(d)(4)(iii)(A) of this section is March 1, 1990. The effective date for 
paragraph (e)(1)(ii)(A) of this section is June 12, 1992.
    (2) The guidelines and other test methods cited in this rule are 
referenced as they exist on the effective date of the final rule.

[51 FR 11737, Apr. 7, 1986; 51 FR 18444, May 20, 1986, as amended at 51 
FR 24667, July 8, 1986; 52 FR 24465, July 1, 1987; 55 FR 7327, Mar. 1, 
1990; 57 FR 24960, June 12, 1992; 57 FR 27845, June 22, 1992; 58 FR 
34205, June 23, 1993]



Sec.  799.1560  Diethylene glycol butyl ether and diethylene glycol butyl ether acetate.

    (a) Identification of test substances. (1) Diethylene glycol butyl 
ether (DGBE), CAS Number 112-34-5, and diethylene glycol butyl ether 
acetate (DGBA), CAS Number 124-17-4, shall be tested in accordance with 
this section.
    (2) DGBE of at least 95 percent purity and DGBA of at least 95 
percent purity shall be used as the test substances.
    (b) Persons required to submit study plans, conduct tests, and 
submit data. All persons who manufacture (including import) or process 
or intend to manufacture or process DGBE and/or DGBA, other than as an 
impurity, after April 11, 1988, to the end of the reimbursement period 
shall submit letters of intent to conduct testing, submit study plans 
and conduct tests, and submit data, or submit exemption applications as 
specified in this section, subpart A of this part, and parts 790 and 792 
of this chapter for single-phase rulemaking. Persons who manufacture or 
process DGBE are subject to the requirements to test DGBE in this 
section. Only persons who manufacture or process DGBA are subject to the 
requirements to test DGBA in this section.
    (c) Health effects testing--(1) Subchronic toxicity--(i) Required 
testing. (A) A 90-day subchronic toxicity test of DGBE shall be 
conducted in rats by dermal application in accordance with Sec.  
798.2250 of this chapter except for the provisions in paragraphs 
(e)(9)(iv), (10)(i)(A) and (ii)(B), (11) (ii) and (iii), and (12)(i) of 
Sec.  798.2250.
    (B) For the purpose of this section, the following provisions also 
apply:
    (1) A satellite group to evaluate fertility shall be established. 
Control males shall be cohabited with control females, and males and 
females administered the high dose shall be cohabited. Endpoints to be 
evaluated shall include percent mated; percent pregnant; length of 
gestation; litter size; viability at birth, on Day 4, and weaning, on 
Day 21; sex of the offspring; and litter weights at birth and Days 4, 7, 
14, and 21. Litters shall be standardized on day 4 in accordance with 
the reproductive and fertility effects guideline, Sec.  
798.4700(c)(6)(iv) of this chapter. Gross examinations shall be made at 
least once each day and physical or behavioral anomalies in the dam or 
offspring shall be recorded. At weaning, dams shall be sacrificed and 
examined for resorption sites indicative of post-implantation loss. An 
additional 20 males and 40 females will have to be added to the 
subchronic study for this test. If the animals in the high dose group 
exhibit marked toxicity (e.g. greater than 20 percent

[[Page 232]]

weight loss), then the fertility tests shall be conducted in the next 
highest dose group.
    (2) Cage-side observations shall include, but not be limited to, 
changes in skin and fur; eyes and mucous membranes; respiratory, 
circulatory autonomic, and central nervous systems; somatomotor 
activity; and behavior pattern. In addition a daily examination for 
hematuria shall be done.
    (3) Certain hematology determinations shall be carried out at least 
three times during the test period: Just prior to initiation of dosing 
(baseline data), after approximately 30 days on test, and just prior to 
terminal sacrifice at the end of the test period. Hematology 
determinations which are appropriate to all studies: Hematocrit, 
hemoglobin concentration, erythrocyte count, total and differential 
leucocyte count, mean corpuscular volume, and a platelet count.
    (4) Urinalyses shall be done at least three times during the test 
period: Just prior to initiation of dosing (baseline data), after 
approximately 30 days into the test, and just prior to terminal 
sacrifice at the end of the test period. The animals shall be kept in 
metabolism cages, and the urine shall be examined microscopically for 
the presence of erythrocytes and renal tubular cells, in addition to 
measurement of urine volume, specific gravity, glucose, protein/albumin, 
and blood.
    (5) The liver, kidney, adrenals, brain, gonads, prostate gland, 
epididymides, seminal vesicles, and pituitary gland shall be weighed 
wet, as soon as possible after dissection, to avoid drying.
    (6) The following organs and tissues, or representative samples 
thereof, shall be preserved in a suitable medium for possible future 
histopathological examination: All gross lesions; lungs--which should be 
removed intact, weighed, and treated with a suitable fixative to ensure 
that lung structure is maintained (perfusion with the fixative is 
considered to be an effective procedure); nasopharyngeal tissues; 
brain--including sections of medulla/pons, cerebellar cortex, and 
cerebral cortex; pituitary; thyroid/parathyroid; thymus; trachea; heart; 
sternum with bone marrow; salivary glands; liver; spleen; kidneys; 
adrenals; pancreas; gonads; uterus; oviducts; vagina; vas deferens; 
accessory genital organs (epididymis, prostate, and, if present, seminal 
vesicles); aorta; (skin); gall bladder (if present); esophagus; stomach; 
duodenum; jejunum; ileum; cecum; colon; rectum; urinary bladder; 
representative lymph node; (mammary gland); (thigh musculature); 
peripheral nerve; (eyes); (femur--including articular surface); (spinal 
cord at three levels--cervical, midthoracic, and lumbar); and (zymbal 
and exorbital lachrymal glands).
    (7) (i) Full histopathology on normal and treated skin and on organs 
and tissues listed in paragraph (c)(1)(i)(B)(6) of this section, as well 
as the accessory genital organs (epididymides, prostate, seminal 
vesicles) and the vagina, of all animals in the control and high dose 
groups.
    (ii) The integrity of the various cell stages of spermatogenesis 
shall be determined, with particular attention directed toward achieving 
optimal quality in the fixation and embedding; preparations of 
testicular and associated reproductive organ samples for histology 
should follow the recommendations of Lamb and Chapin (1985) under 
paragraph (d)(1) of this section, or an equivalent procedure. 
Histological analyses shall include evaluations of the spermatogenic 
cycle, i.e., the presence and integrity of the 14 cell stages. These 
evaluations should follow the guidance provided by Clermont and Perey 
(1957) under paragraph (d)(2) of this section. Information shall also be 
provided regarding the nature and level of lesions observed in control 
animals for comparative purposes.
    (iii) Data on female cyclicity shall be obtained by performing 
vaginal cytology over the last 2 weeks of dosing; the cell staging 
technique of Sadleir (1978) and the vaginal smear method in Hafez (1970) 
under paragraphs (d) (3) and (7) of this section or equivalent methods 
should be used. Data should be provided on whether the animal is cycling 
and the cycle length.
    (iv) The ovary shall be serially sectioned with a sufficient number 
of sections examined to adequately detail oocyte and follicular 
morphology. The methods of Mattison and Thorgiersson (1979) and Pederson 
and Peters (1968) under paragraphs (d) (4) and (5) of this

[[Page 233]]

section may provide guidance. The strategy for sectioning and evaluation 
is left to the discretion of the investigator, but shall be described in 
detail in the study plan and final report. The nature and background 
level of lesions in control tissue shall also be noted.
    (ii) Reporting requirements. (A) The subchronic test shall be 
completed and the final report submitted to EPA within 15 months of the 
effective date of the final test rule.
    (B) Progress reports shall be submitted to EPA every 6 months, 
beginning 6 months from the effective date of the final rule until 
submission of the final report to EPA.
    (2) Neurotoxicity/behavioral effects--(i) Required testing--(A) (1) 
Functional observational battery. A functional observational battery 
shall be performed in the rat by dermal application of DGBE for a period 
of 90 days according to Sec.  798.6050 of this chapter except for the 
provisions in paragraphs (b)(1), (d)(4)(ii), (5), and (8)(ii)(E) of 
Sec.  798.6050.
    (2) For the purpose of this section, the following provisions also 
apply:
    (i) Definition. Neurotoxicity is any adverse acute and/or lasting 
effect on the structure or function of the central and/or peripheral 
nervous system related to exposure to a chemical substance.
    (ii) Lower doses. The data from the lower doses shall show either 
graded dose-dependent effects in at least two of all the doses tested 
including the highest dose, or no neurotoxic (behavioral) effects at any 
dose tested.
    (iii) Duration and frequency of exposure. Animals shall be exposed 
for 6 hours/day, 5 days/week for a 90-day period.
    (iv) Sensory function. A simple assessment of sensory function 
(vision, audition, pain perception) shall be made. Marshall et al. 
(1971) in Sec.  798.6050(f)(8) of this chapter have described a 
neurologic exam for this purpose; these procedures are also discussed by 
Deuel (1977), under Sec.  798.6050(f)(4) of this chapter. Irwin (1968) 
under Sec.  798.6050(f)(7) of this chapter described a number of reflex 
tests intended to detect gross sensory deficits. Many procedures have 
been developed for assessing pain perception (e.g., Ankier (1974) under 
Sec.  798.6050(f)(1); D'Amour and Smith (1941) under Sec.  
798.6050(f)(3); and Evans (1971) under Sec.  798.6050(f)(6) of this 
chapter.
    (B)(1) Motor activity. A motor activity test shall be conducted in 
the rat by dermal application of DGBE for a period of 90 days according 
to Sec.  798.6200 of this chapter except for the provisions in 
paragraphs (c), (d)(3)(ii), (4)(ii), (5), (8)(i), and (iii) of Sec.  
798.6200.
    (2) For the purpose of this section, the following provisions also 
apply:
    (i) Principle of the test method. The test substance is administered 
to several groups of experimental animals, one dose being used per 
group. Measurements of motor activity are made. Where possible, the 
exposure levels at which significant changes in motor activity are 
produced are compared to those levels which produce toxic effects not 
originating in the central and/or peripheral nervous system.
    (ii) Positive control data. Positive control data are required to 
document the sensitivity of the activity measuring device and testing 
procedure. These data should demonstrate the ability to detect increases 
or decreases in activity and to generate a dose-effect curve or its 
equivalent using three values of the dose or equivalent independent 
variable. A single administration of the dose (or equivalent) is 
sufficient. It is recommended that chemical exposure be used to collect 
positive control data. Positive control data shall be collected at the 
time of the test study unless the laboratory can demonstrate the 
adequacy of historical data for this purpose.
    (iii) Lower doses. The data from the lower doses shall show either 
graded dose-dependent effects in at least two of all the doses tested 
including the highest dose, or no neurotoxic (behavioral) effects at any 
dose tested.
    (iv) Duration and frequency of exposure. Animals shall be exposed 
for 6 hours/day, 5 days/week for a 90-day period.
    (v) General. Motor activity shall be monitored by an automated 
activity recording apparatus. The device used shall be capable of 
detecting both increases and decreases in activity, i.e. baseline 
activity as measured by the

[[Page 234]]

device shall not be so low as to preclude decreases nor so high as to 
preclude increases. Each device shall be tested by a standard procedure 
to ensure, to the extent possible, reliability of operation across 
devices and across days for any one device. In addition, treatment 
groups shall be balanced across devices. Each animal shall be tested 
individually. The test session shall be long enough for motor activity 
to approach asymptotic levels by the last 20 percent of the session for 
most treatments and for the session control animals. All sessions should 
be of the same duration. Treatment groups shall be counter-balanced 
across test times. Effort should be made to ensure that variations in 
the test conditions are minimal and are not systematically related to 
treatment. Among the variables which can affect motor activity are sound 
level, size and shape of the test cage, temperature, relative humidity, 
lighting conditions, odors, use of home cage or novel test cage, and 
environmental distractions. Tests shall be executed by an appropriately 
trained individual.
    (vi) Subchronic. All animals shall be tested prior to initiation of 
exposure and at 30 4, 60 4, 
and 90 4 days during the exposure period. Testing 
shall occur prior to the daily exposure. Animals shall be weighed on 
each test day and at least once weekly during the exposure period.
    (C)(1) Neuropathology. A neuropathology test shall be conducted in 
the rat by dermal application of DGBE for a period of 90 days according 
to Sec.  798.6400 of this chapter except for the provisions in 
paragraphs (d)(4)(ii), (5), (8)(iv)(C), and (E)(2) of Sec.  798.6400.
    (2) For the purpose of this section, the following provisions also 
apply:
    (i) Lower doses. The data from the lower doses shall show either 
graded dose-dependent effects in at least two of all the doses tested 
including the highest dose, or no neurotoxic (behavioral) effects at any 
dose tested.
    (ii) Duration and frequency of exposure. Animals shall be exposed 
for 6 hours/day, 5 days/week for a 90-day period.
    (iii) Clearing and embedding. After dehydration, tissue specimens 
shall be cleared with xylene and embedded in paraffin or paraplast 
except for the sural nerve which should be embedded in plastic. Multiple 
tissue specimens (e.g. brain, cord, ganglia) may be embedded together in 
one single block for sectioning. All tissue blocks shall be labeled to 
provide unequivocal identification. A method for plastic embedding is 
described by Spencer et al. in paragraph (d)(6) of this section.
    (iv) Special stains. Based on the results of the general staining, 
selected sites and cellular components shall be further evaluated by the 
use of specific techniques. If hematoxylin and eosin screening does not 
provide such information, a battery of stains shall be used to assess 
the following components in all appropriate required samples: Neuronal 
body (e.g., Einarson's gallocyanin), axon (e.g., Bodian), myelin sheath 
(e.g., Kluver's Luxol Fast Blue), and neurofibrils (e.g., Bielchosky). 
In addition, peripheral nerve fiber teasing may be used. Detailed 
staining methodology is available in standard histotechnological manuals 
such as Armed Forces Institute of Pathology (AFIP) (1968) under Sec.  
798.6400(f)(1), Ralis et al. (1973) under Sec.  798.6400(f)(5), and 
Chang (1979) under Sec.  798.6400(f)(2) of this chapter. The nerve fiber 
teasing technique is discussed in Spencer and Schaumberg (1980) under 
Sec.  798.6400(f)(6) of this chapter. A section of normal tissue shall 
be included in each staining to assure that adequate staining has 
occurred. Any changes shall be noted and representative photographs 
shall be taken. If a lesion(s) is observed, the special techniques shall 
be repeated in the next lower treatment group until no further lesion is 
detectable.
    (ii) Reporting requirements. (A) The neurotoxicity/behavioral tests 
required under paragraph (c)(2) of this section shall be completed and 
the final reports submitted to EPA within 17 months of the effective 
date of the final rule.
    (B) Interim progress reports shall be submitted to EPA at 6-month 
intervals, beginning 6 months from the effective date of the final rule 
until submission of the applicable final report to EPA.
    (3) Developmental neurotoxicity--(i) Required testing. A 
developmental neurotoxicity test of DGBE shall be

[[Page 235]]

conducted after a public program review of the Tier I data from the 
functional observational battery, motor activity, and neuropathology 
tests in paragraph (c)(2) of this section, and the reproductive tests in 
paragraph (c)(1) of this section, and if EPA issues a Federal Register 
notice or sends a certified letter to the test sponsor specifying that 
the testing shall be initiated. The test shall be performed in rats in 
accordance with Sec.  795.250 of this chapter.
    (ii) Reporting requirements. (A) The developmental neurotoxicity 
test shall be completed and the final report submitted to EPA within 15 
months of EPA's notification of the test sponsor by certified letter or 
Federal Register notice under paragraph (c)(3)(i) of this section that 
the testing shall be initiated.
    (B) Progress reports shall be submitted to EPA every 6 months, 
beginning 6 months after the date of notification that the testing shall 
be initiated, until submission of the final report to EPA.
    (4) Pharmacokinetics--(i) Required testing. (A) Pharmacokinetics 
testing of DGBE and DGBA will be conducted in rats by the dermal route 
of administration in accordance with Sec.  795.225 of this chapter, 
except for the provisions in paragraphs (b) (1)(ii) and (3)(i) of Sec.  
795.225.
    (B) For the purpose of this section, the following provisions also 
apply:
    (1) Animals. Adult male and female Sprague Dawley rats shall be 
used. The rats shall be 7 to 8 weeks old and weigh 180 to 220 grams. 
Prior to testing, the animals shall be selected at random for each 
group. Animals showing signs of ill health shall not be used.
    (2) Observation of animals--Urinary and fecal excretion. The 
quantities of \14\C excreted in urine and feces by rats dosed as 
specified in paragraph (b)(2)(iv) of Sec.  795.225 shall be determined 
at 8, 24, 48, 72, and 96 hours after dosing, and if necessary, daily 
thereafter until at least 90 percent of the dose has been excreted or 
until 7 days after dosing (whichever occurs first). Four animals per sex 
per dose group shall be used for this purpose.
    (ii) Reporting requirements. (A) The pharmacokinetics tests shall be 
completed and the final reports submitted to EPA within 8 months of the 
effective date of the final amendment.
    (B) A progress report shall be submitted to EPA 6 months from the 
effective date of the final amendment.
    (d) References. For additional background information the following 
references should be consulted:
    (1) Lamb, J.C. and Chapin, R.E. ``Experimental models of male 
reproductive toxicology.'' In: ``Endocrine Toxicology.'' Thomas, J.A., 
Korach, K.S., and McLachlan, J.A., eds. New York, NY: Raven Press. pp. 
85-115. (1985).
    (2) Clermont, Y. and Perey, B. ``Quantitative study of the cell 
population of the seminiferous tubules in immature rats.'' American 
Journal of Anatomy. 100:241-267. (1957).
    (3) Sadleir, R.M.F.S. ``Cycles and seasons.'' In: ``Reproduction in 
Mammals: I. Germ Cells and Fertilization.'' Austin, C.R. and Short, 
R.V., eds. New York, NY: Cambridge Press. Chapter 4. (1978).
    (4) Mattison, D.R. and Thorgiersson, S.S. ``Ovarian aryl hydrocarbon 
hydroxylase activity and primordial oocyte toxicity of polycyclic 
aromatic hydrocarbons in mice.'' Cancer Research. 39:3471-3475. (1979).
    (5) Pederson, T. and Peters, H. ``Proposal for classification of 
oocytes and follicles in the mouse ovary. Journal of Reproduction and 
Fertility. 17:555-557. (1968).
    (6) Spencer, P.S., Bischoff, M.C., and Schaumburg, H.H. 
``Neuropathological methods for the detection of neurotoxic disease.'' 
In: ``Experimental and Clinical Neurotoxicology.'' Spencer, P.S. and 
Schaumburg, H.H., eds. Baltimore, MD: Williams & Wilkins, pp. 743-757. 
(1980).
    (7) Hafez, E.S., ed., ``Reproduction and Breeding Techniques for 
Laboratory Animals.'' Chapter 10. Philadelphia: Lea & Febiger (1970).
    (e) Effective date. (1) The effective date of the final rule is 
April 11, 1988, except for paragraph (c)(2)(ii)(A) of this section. The 
effective date for paragraph (c)(2)(ii)(A) of this section is March 1, 
1990. The effective date for paragraphs (c)(4)(ii)(A) and (c)(4)(ii)(B) 
of this section is November 27, 1989.

[[Page 236]]

    (2) The guidelines and other test methods cited in this rule are 
referenced as they exist on the effective date of the final rule.

[53 FR 5950, Feb. 26, 1988, as amended at 54 FR 27357, June 29, 1989; 54 
FR 41835, Oct. 12, 1989; 55 FR 7326, Mar. 1, 1990; 58 FR 34205, June 23, 
1993]



Sec.  799.1575  Diethylenetriamine (DETA).

    (a) Identification of chemical test substance. (1) 
Diethylenetriamine (CAS No. 111-40-0, also known as DETA) shall be 
tested in accordance with this part.
    (2) Diethylenetriamine of at least 99 percent purity shall be used 
as the test substances in all tests.
    (b) Persons required to submit study plans, conduct tests and submit 
data. All persons who manufacture or process diethylenetriamine from 
July 8, 1985, to the end of the reimbursement period shall submit 
letters of intent to test, exemption applications, and study plans and 
shall conduct tests and submit data as specified in this section, 
subpart A of this part and part 790 of this chapter (Test Rule 
Development and Exemption Procedures).
    (c) Health effects testing--(1) Mutagenic effects--Gene mutation--
(i) Required testing. (A) A sex-linked recessive lethal test in 
Drosophila melanogaster shall be conducted with DETA.
    (B) A mouse specific locus assay shall be conducted with DETA, if 
the sex-linked recessive lethal test in Drosophila melanogaster 
conducted pursuant to paragraph (c)(1)(i)(A) of this section produces a 
positive result.
    (ii) Test standards. (A) The testing for the sex-linked recessive 
lethal assay shall be conducted in accordance with the following revised 
EPA-approved modified study plan (June 19, 1986) originally submitted by 
the Diethylenetriamine Producers/Importers Alliance (DPIA): ``Sex-linked 
recessive lethal test in Drosophila melanogaster,'' with modifications 
as approved by EPA on March 9, 1987, and May 21, 1987.
    (B) The testing for the mouse visible specific locus assay shall be 
conducted in accordance with the following revised EPA-approved modified 
study plan (June 19, 1986) originally submitted by the 
Diethylenetriamine Producers/Importers Alliance (DPIA): ``Mouse specific 
locus test for visible markers.''
    (C) These revised EPA-approved modified study plans are available 
for inspection in the Non-Confidential Information Center (NCIC) (7407), 
Office of Pollution Prevention and Toxics, U.S. Environmental Protection 
Agency, Room B-607 NEM, 401 M St., SW., Washington, DC 20460, between 
the hours of 12 p.m. and 4 p.m. weekdays excluding legal holidays.
    (iii) Reporting requirements. (A) The sex-linked recessive lethal 
test of DETA in Drosophila melanogaster shall be completed and a final 
report submitted to the Agency within 14 months from the effective date 
of the final Phase II rule. Two interim progress reports shall be 
submitted at 6-month intervals, the first of which is due within 6 
months of the effective date of the final Phase II rule.
    (B) If required pursuant to paragraph (c)(1)(i)(B) of this section, 
the mouse specific locus test of DETA for visible markers shall be 
completed and a final report submitted to the Agency within 48 months 
from the designated date contained in EPA's notification of the test 
sponsor by certified letter or Federal Register notice that testing 
should be initiated. Seven interim progress reports shall be submitted 
at 6-month intervals, the first of which is due within 6 months of EPA's 
designated date.
    (2) Mutagenic effects--Chromosomal aberrations--(i) Required 
testing. (A) An in vitro cytogenetics test shall be conducted with DETA.
    (B) An in vivo cytogenetics test shall be conducted with DETA, if 
the in vitro cytogenetics test conducted pursuant to paragraph 
(c)(2)(i)(A) of this section produces a negative result.
    (C) A dominant lethal assay shall be conducted with DETA, if either 
the in vitro cytogenetics test conducted pursuant to paragraph 
(c)(2)(i)(A) of this section or the in vivo cytogenetics test conducted 
pursuant to paragraph (c)(2)(i)(B) of this section produces a positive 
result.
    (D) A heritable translocation assay shall be conducted with DETA, if 
the dominant lethal assay conducted pursuant to paragraph (c)(2)(i)(C) 
of this section produces a positive result.

[[Page 237]]

    (ii) Test standards. (A) The testing for cytogenetic effects shall 
be conducted in accordance with the following revised EPA-approved 
modified study plan (June 19, 1986) originally submitted by the 
Diethylenetriamine Producers/Importers Alliance (DPIA): ``In vitro 
cytogenetics test'' and ``In vivo cytogenetics test,'' with 
modifications as approved by EPA on March 9, 1987, and May 21, 1987.
    (B) Other testing for cytogenetic effects shall be conducted in 
accordance with the following revised EPA-approved modified study plans 
(June 19, 1986) originally submitted by the Diethylenetriamine 
Producers/Importers Alliance (DPIA): ``Dominant lethal assay of 
diethylenetriamine in CD rats,'' and ``Heritable translocation of 
diethylenetriamine in CD-1 mice.''
    (C) These revised EPA-approved modified study plans are available 
for inspection in the Non-Confidential Information Center (NCIC) (7407), 
Office of Pollution Prevention and Toxics, U.S. Environmental Protection 
Agency, Room B- 607 NEM, 401 M St., SW., Washington, DC 20460, between 
the hours of 12 p.m. and 4 p.m. weekdays excluding legal holidays.
    (iii) Reporting requirements. (A) The in vitro cytogenetics testing 
of DETA shall be completed and a final report submitted to the Agency 
within 6 months of the effective date of the final Phase II rule.
    (B) If required pursuant to paragraph (c)(2)(i)(B) of this section, 
the in vivo cytogenetics testing of DETA shall be completed and final 
report submitted to the Agency within 14 months of the effective date of 
the final Phase II rule. One interim progress report shall be submitted 
within 12 months of the final rule's effective date.
    (C) If required pursuant to paragraph (c)(2)(i)(C) of this section, 
the dominant lethal testing of DETA shall be completed and a final 
report submitted to the Agency within 20 months of the effective date of 
the final Phase II rule.
    (D) If required pursuant to paragraph (c)(2)(i)(D) of this section, 
the heritable translocation testing of DETA shall be completed and a 
final report submitted to the Agency within 18 months of the designated 
date contained in EPA's notification of the test sponsor by certified 
letter or Federal Register notice that testing should be initiated. Two 
interim progress reports shall be submitted at 6-month intervals, the 
first of which is due within 6 months of EPA's designated date.
    (3) Subchronic effects--(i) Required testing. A ninety-day oral 
subchronic toxicity test shall be conducted with DETA in at least one 
mammalian species.
    (ii) Test standard. The testing shall be conducted in accordance 
with the following revised EPA-approved modified study plans (June 19, 
1986) originally submitted by the Diethylenetriamine Producers/Importers 
Alliance (DPIA): ``Ninety-Day (subchronic) dietary toxicity study with 
diethylenetriamine in albino rats,'' with modifications approved by EPA 
on March 9, 1987, and May 21, 1987. This revised EPA-approved modified 
study plans is available for inspection in the Non-Confidential 
Information Center (NCIC) (7407), Office of Pollution Prevention and 
Toxics, U.S. Environmental Protection Agency, Room B-607 NEM, 401 M St., 
SW., Washington, DC 20460, between the hours of 12 p.m. and 4 p.m. 
weekdays excluding legal holidays.
    (iii) Reporting requirements. The testing shall be completed and a 
final report submitted to the Agency within 15 months of the effective 
date of the final Phase II rule. Two interim progress reports shall be 
submitted at 6-month intervals, the first of which is due within 6 
months of the effective date of the final Phase II rule.
    (d) Chemical fate testing--(1) Required testing. Testing to assess 
N-nitrosamine formation, resulting from aerobic biological and/or 
chemical transformation, shall be conducted with DETA using 
environmental samples of lake water, sewage, and soil.
    (2) Test standard. The testing shall be conducted in accordance with 
the following revised EPA-approved modified study plan (June 7, 1990) 
originally submitted by the Diethylenetriamine Producers/Importers 
Alliance (DPIA): ``Modified Final Copy (04-17-90); Diethylenetriamine: 
Environmental Fate in Sewage, Lake Water and Soil''. This revised EPA-
approved modified study plans are available for inspection in the Non-
Confidential Information

[[Page 238]]

Center (NCIC) (7407), Office of Pollution Prevention and Toxics, U.S. 
Environmental Protection Agency, Room B-607 NEM, 401 M St., SW., 
Washington, DC 20460, between the hours of 12 p.m. and 4 p.m. weekdays 
excluding legal holidays.
    (3) Reporting requirements. The testing shall be completed and a 
final report submitted to EPA within 20 months of the effective date of 
the final Phase II rule. Interim progress reports shall be submitted at 
6-month intervals, the first of which is due within 6 months of the 
effective date of the final Phase II rule.
    (e) Modifications. Persons subject to this section are not subject 
to the requirements of Sec.  790.50(a)(2)(ii) of this chapter.
    (f) Effective date. (1) The effective date of the final Phase II 
rule for diethylenetriamine is March 19, 1987, except for paragraphs 
(c)(4)(iii), (d)(2), and (d)(3) of this section. The effective date of 
paragraphs (c)(4)(iii), and (d)(3) of this section is March 1, 1990. The 
effective date for paragraph (d)(2) of this section is May 21, 1991.
    (2) The guidelines and other test methods cited in this rule are 
referenced as they exist on the effective date of the final rule.

[50 FR 21412, May 23, 1985; 50 FR 33543, Aug. 20, 1985; 51 FR 3468, Jan. 
28, 1986; 51 FR 4736, Feb. 7, 1986; 52 FR 3238, Feb. 3, 1987; 54 FR 
27356, June 29, 1989; 55 FR 3408, Feb. 1, 1990; 55 FR 7326, Mar. 1, 
1990; 56 FR 23230, May 21, 1991; 58 FR 34205, June 23, 1993; 60 FR 
34467, July 3, 1995]



Sec.  799.1645  2-Ethylhexanol.

    (a) Identification of test substance. (1) 2-Ethylhexanol (CAS No. 
104-76-7) shall be tested in accordance with this section.
    (2) 2-Ethylhexanol of at least 99.0-percent purity shall be used as 
the test substance.
    (b) Persons required to submit study plans, conduct tests, and 
submit data. All persons who manufacture or process, or intend to 
manufacture or process 2-ethylhexanol, other than as an impurity, from 
the effective date of this final rule to the end of the reimbursement 
period shall submit letters of intent to conduct testing, submit study 
plans, conduct tests, and submit data or exemption applications as 
specified in this section, subpart A of this part, and parts 790 and 792 
of this chapter for single-phase rulemaking.
    (c) Health effects--(1) Oncogenic effects--(i) Required testing. (A) 
Oncogenicity tests shall be conducted in Fisher 344 rats and B6C3Fl mice 
by the oral route with 2-ethylhexanol in accordance with Sec.  798.3300 
of this chapter, except for the provisions in Sec.  798.3300(b)(6).
    (B) For the purpose of this section, the following provisions also 
apply to the oncogenicity tests: (1) Administration of the test 
substance. 2-Ethylhexanol shall be administered either by 
microencapsulation before adding it to the diet or by gavage.
    (2) [Reserved]
    (ii) Reporting requirements. (A) The study plan for the oncogenicity 
test shall be submitted at least 45 days before the initiation of 
testing.
    (B) The oncogenicity testing shall be completed and final report 
submitted to the Agency within 53 months of the effective date of this 
final rule if 2-ethylhexanol is administered by gavage or within 56 
months of the effective date of this final rule if administered by 
microencapsulation.
    (C) Interim progress reports shall be submitted to EPA at 6-month 
intervals beginning 6 months after the effective date of the final rule, 
until the final report is submitted to EPA.
    (2) [Reserved]
    (d) Effective date. The effective date of this final rule requiring 
oncogenicity testing of 2-ethylhexanol is September 16, 1987.

[52 FR 28704, Aug. 3, 1987, as amended at 58 FR 34205, June 23, 1993]



Sec.  799.1700  Fluoroalkenes.

    (a) Identification of test substances. (1) Vinyl fluoride (VF; CAS 
No. 75-02-5), vinylidene fluoride (VDF; CAS No. 75-38-7), 
tetrafluoroethene (TFE; CAS No. 116-14-3), and hexafluoropropene (HFP; 
CAS No. 116-15-4) shall be tested in accordance with this section.
    (2) VF, VDF, TFE, and HFP of at least 99 percent purity shall be 
used as the test substances.
    (b) Persons required to submit study plans, conduct tests and submit 
data. All persons who manufacture VF, VDF,

[[Page 239]]

TFE, or HFP, other than as an impurity, from July 22, 1987 to the end of 
the reimbursement period shall submit letters of intent to conduct 
testing or exemption applications, submit study plans, conduct tests in 
accordance with the TSCA Good Laboratory Practice Standards (40 CFR part 
792), and submit data as specified in this section, subpart A of this 
part, and part 790 of this chapter for single-phase rulemaking, for the 
substances they manufacture.
    (c) Health effects testing--(1) Mutagenic effects--Gene mutation--
(i) Required testing. (A) (1) A detection of gene mutations in somatic 
cells in culture assay shall be conducted with TFE and HFP in accordance 
with Sec.  798.5300 of this chapter except for the provisions in 
paragraphs (c), (d)(3)(i), (4), (5) and (6) and (e).
    (2) For the purposes of this section, the following provisions also 
apply:
    (i) Reference substances. No reference substance is required.
    (ii) Test method--Type of cells used in the assay. Mutation 
induction at the HPRT locus shall be measured in Chinese hamster ovary 
(CHO) cells. Cells shall be checked for Mycoplasma contamination and may 
also be checked for karyotype stability.
    (iii) Test method--Metabolic activation. Cells shall be exposed to 
the test substance only in the presence of a metabolic activation system 
for TFE, and in both the presence and absence of a metabolic activation 
system for HFP. The metabolic activation system shall be derived from 
the post-mitochondrial fraction (S-9) of livers from rats pretreated 
with Aroclor 1254.
    (iv) Test method--Control groups. Positive and negative controls 
shall be included in each experiment. In assays with metabolic 
activation, the positive control substance shall be known to require 
such activation. Nitrogen shall serve as the negative control and 
diluting gas.
    (v) Test method--Test chemicals. The test should be designed to have 
a predetermined sensitivity and power. The number of cells, cultures, 
and concentrations of test substance used should reflect these defined 
parameters. The number of cells per culture is based on the expected 
background mutant frequency; a general guide is to use a number which is 
10 times the inverse of this frequency. Several concentrations (usually 
at least four) of the test substance shall be used. These shall yield a 
concentration-related toxic effect. The highest concentration shall 
produce a low level of survival (approximately 10 percent), and the 
survival in the lowest concentration shall approximate that of the 
negative control. Cytotoxicity shall be determined after treatment with 
the test substance both in the presence and in the absence of the 
metabolic activation system.
    (vi) Test performance. Cells in treatment medium with and without 
metabolic activation shall be exposed to varying concentrations of test 
gas-air mixtures by flushing treatment flasks (or chambers) with 10 
volumes of test gas-air mixture at a rate of 500 mL/min or that rate 
which will allow complete flushing within 1 minute. In the case of a 
test chamber volume of 1.67 L, a flow rate of 10 L/min is appropriate. 
Each flask shall be closed with a cap with a rubber septum. Headspace 
samples shall be taken at the beginning and end of the exposure period 
and analyzed to determine the amount of test gas in each flask. Flasks 
shall be incubated on a rocker panel at 37 [deg] C for 5 hours for tests 
with metabolic activation. For the non-activated portion of the test, 
the incubation time shall be 18 to 19 hours at 37 [deg] C. At the end of 
the exposure period, cells treated with metabolic activation shall be 
washed and incubated in culture medium for 21 to 26 hours prior to 
subculturing the viability and expression of mutant phenotype. Cells 
treated without metabolic activation shall be washed and subcultured 
immediately to determine viability and to allow for expression of mutant 
phenotype. Appropriate subculture schedules (generally twice during the 
expression period) shall be used. At the end of the expression period, 
which shall be sufficient to allow near optimal phenotypic expression of 
induced mutants (generally 7 days for this cell system), cells shall be 
grown in medium with and without selective agent

[[Page 240]]

for determination of numbers of mutants and cloning efficiency, 
respectively. This last growth period is generally 7 days at 37 [deg] C. 
Results of this test shall be confirmed in an independent experiment.
    (B)(1) A sex-linked recessive lethal test in Drosophila melanogaster 
shall be conducted with VDF and VF in accordance with Sec.  798.5275 of 
this chapter except for the provisions in paragraph (d)(5). This test 
shall also be performed with TFE or HFP if the somatic cells in culture 
assay conducted pursuant to paragraph (c)(1)(i)(A) of this section 
produces a positive result.
    (2) For the purposes of this section the following provisions also 
apply:
    (i) Test chemicals. It is sufficient to test a single dose of the 
test substance. This dose shall be the maximum tolerated dose or that 
which produces some indication of toxicity. Exposure shall be by 
inhalation.
    (ii) [Reserved]
    (C)(1) A mouse visible specific locus assay (MVSL) shall be 
conducted with VF, VDF, TFE, and HFP in accordance with Sec.  798.5200 
of this chapter, except for the provisions of paragraph (d)(5) of Sec.  
798.5200, or a mouse biochemical-specific locus assay (MBSL) shall be 
conducted with VF, VDF, TFE, and HFP in accordance with Sec.  798.5195 
of this chapter, except for the provisions of paragraph (d)(5) of Sec.  
798.5195, for whichever of these substances produces a positive test 
result in the sex-linked recessive lethal test in Drosophila 
melanogaster conducted pursuant to paragraph (c)(1)(i)(B) of this 
section if, after a public program review, EPA issues a Federal Register 
notice or sends a certified letter to the test sponsor specifying that 
the testing shall be initiated.
    (2) For the purposes of this section, the following provisions also 
apply:
    (i) Test chemicals. A minimum of two dose levels shall be tested. 
The highest dose tested shall be the highest dose tolerated without 
toxic effects, provided that any temporary sterility induced due to 
elimination of spermatagonia is of only moderate duration, as determined 
by a return of males to fertility within 80 days after treatment, or 
shall be the highest dose attainable. Animals shall be exposed to the 
test substance by inhalation. Exposure shall be for 6 hours a day. 
Duration of exposure shall be dependent upon accumulated total dose 
desired for each group.
    (ii) [Reserved]
    (ii) Reporting requirements. (A) Mutagenic effects-gene mutation 
tests shall be completed and the final reports shall be submitted to EPA 
as follows: Somatic cells in culture assay, within 6 months after the 
effective date of the final rule; Drosophila sex-linked recessive 
lethal, within 9 months (for VF and VDF) and within 15 months (for TFE 
and HFP) after the effective date of the final rule; MVSL or MBSL, 
within 51 months after the date of EPA's notification of the test 
sponsor by certified letter or Federal Register notice that testing 
shall be initiated.
    (B) Progress reports shall be submitted to the Agency every 6 months 
beginning 6 months after the effective date of the final rule or receipt 
of notice that testing shall be initiated.
    (2) Mutagenic effects--Chromosomal aberrations--(i) Required 
testing. (A)(1) A mouse micronucleus cytogenetics test shall be 
conducted with VDF and TFE in accordance with Sec.  798.5395 of this 
chapter except for the provisions in paragraphs (d)(5) (i), (ii), and 
(iii).
    (2) For the purposes of this section, the following provisions also 
apply:
    (i) Test method--Vehicle. No vehicle is required.
    (ii) Test method--Dose levels. Three dose levels shall be used. The 
highest dose tested shall be the maximum tolerated dose, that dose 
producing some indication of cytotoxicity (e.g., a change in the ratio 
of polychromatic to normochromatic erythrocytes, or the highest dose 
attainable).
    (iii) Test method--route of administration. Animals shall be exposed 
by inhalation with a single 6-hour exposure, with three sampling times 
between 20 and 72 hours.
    (B)(1) For each respective test substance, a dominant lethal assay 
shall be conducted with VF and HFP in accordance with Sec.  798.5450 of 
this chapter except for the provisions in paragraphs (d)(2)(i), (4) (i), 
(5) and (e). This test shall also be performed with TFE or VDF if the 
mouse micronucleus cytogenetics test conducted pursuant to

[[Page 241]]

paragraph (c)(2)(i)(A) of this section produces a positive result.
    (2) For the purposes of this section, the following provisions also 
apply:
    (i) Test method--Description. For this assay, the test substance 
shall be administered by inhalation for 5 consecutive days for 6 hours 
per day.
    (ii) Test method--Concurrent controls. Concurrent positive and 
negative (vehicle) controls shall be included in each experiment.
    (iii) Test method--Test chemicals. Exposure shall be by inhalation 
for 5 consecutive days for 6 hours per day. Three dose levels shall be 
used. The highest dose shall produce signs of toxicity (e.g., slightly 
reduced fertility) or shall be the highest attainable.
    (iv) Test performance. Individual males shall be mated sequentially 
to 1 or 2 virgin females. Females shall be left with the males for at 
least the duration of one estrus cycle or alternatively until mating has 
occurred as determined by the presence of sperm in the vagina or by the 
presence of a vaginal plug. In any event, females shall be left with the 
males for no longer than 7 days. The number of matings following 
treatment shall ensure that germ cell maturation is adequately covered. 
Mating shall continue for at least 6 weeks. Females shall be sacrificed 
in the second half of pregnancy, and uterine contents shall be examined 
to determine the number of implants and live and dead embryos. The 
examination of ovaries to determine the number of corpora lutea is left 
to the discretion of the investigator.
    (C)(1) A heritable translocation assay shall be conducted with VF, 
VDF, TFE, or HFP in accordance with Sec.  798.5460 of this chapter 
except for the provisions of paragraphs (d)(3)(i), (5), and (e)(1), if 
the dominant lethal assay conducted for that substance pursuant to 
paragraph (c)(2)(i)(B) of this section produces a positive result and 
if, after a public program review, EPA issues a Federal Register notice 
or sends a certified letter to the test sponsor specifying that the 
testing shall be initiated.
    (2) For the purposes of this section, the following provisions also 
apply:
    (i) Test method--Animal selection. The mouse shall be used as the 
test species.
    (ii) Test method. No vehicle is required. At least two dose levels 
shall be used. The highest dose level shall result in toxic effects 
(which shall not produce an incidence of fatalities which would preclude 
a meaningful evaluation) or shall be the highest dose attainable. 
Animals shall be exposed by inhalation.
    (iii) Test performance--Treatment and mating. The animals shall be 
dosed with the test substance 6 hours per day, 7 days per week over a 
period of 35 days. After treatment, each male shall be caged with 2 
untreated females for a period of 1 week. At the end of 1 week, females 
shall be separated from males and caged individually. When females give 
birth, the date of birth, litter size and sex of progeny shall be 
recorded. All male progeny shall be weaned and all female progeny shall 
be discarded.
    (ii) Reporting requirements. (A) Mutagenic effects-chromosomal 
aberration testing shall be completed and final results submitted to EPA 
after the effective date of the rule as follows: mouse micronucleus 
cytogenetics for VDF by November 22, 1988, and for TFE within 10 months 
after the effective date of the final rule; dominant lethal assay for VF 
and HFP by October 22, 1988, and for VDF and TFE within 19 months after 
the effective date of the rule; heritable translocation assay, within 25 
months after the date of EPA's notification of the test sponsor by 
certified letter or Federal Register notice that testing shall be 
initiated.
    (B) Progress reports shall be submitted to the Agency every 6 months 
beginning 6 months after the effective date of the final rule or receipt 
of notice that testing shall be initiated.
    (3) Subchronic toxicity--(i) Required Testing. (A) An inhalation 
subchronic toxicity test shall be conducted with HFP in accordance with 
the TSCA Test Guideline specified in Sec.  798.2450 of this chapter 
except for the provisions in paragraphs (d)(5), (10)(v), and 
(e)(3)(iv)(D).
    (B) For the purpose of this section the following provisions also 
apply:
    (1) Test procedures--Exposure conditions. The animals shall be 
exposed to the test substance 6 hours per day, 5 days per week for 90 
days.

[[Page 242]]

    (2) Test procedures--Observation of animals. Animals shall be 
weighted weekly, and food and water consumption shall also be measured 
weekly.
    (3) Test report--Individual animal data. Food and water consumption 
data shall be reported.
    (ii) Reporting requirements. (A) The required subchronic toxicity 
test shall be completed and final results submitted to the Agency within 
18 months after the effective date of the final rule.
    (B) Progress reports shall be submitted to the Agency every 6 months 
beginning 6 months after the effective date of the final rule.
    (4) Oncogenicity--(i) Required testing. (A) (1) Oncogenicity tests 
shall be conducted in both rats and mice by inhalation with VF in 
accordance with Sec.  798.3300 of this chapter, except for the 
provisions in paragraph (b)(7)(vi) of Sec.  798.3300.
    (2) For the purposes of this section, the following provisions also 
apply:
    (i) Test procedures--observations of animals. All mice of test 
groups in which survival is approximately 25 percent of mice at risk 
(approximately 25 percent of 70, or approximately 18 mice) will be 
sacrificed near the time that 25 percent survival is achieved. All mice 
surviving the 18-month test period will be sacrificed and necropsied. 
The order of sacrifice for mice at all pathological evaluations will be 
random among all exposure groups within a sex. Moribund animals should 
be removed and sacrificed when noticed.
    (ii) All rats of test groups in which survival is approximately 25 
percent of rats at risk (approximately 25 percent of 60, or 
approximately 15 rats) will be sacrificed near the time that 25 percent 
survival is achieved. All rats surviving the 24-month test period will 
be sacrificed and necropsied. The order of sacrifice for rats at all 
pathological evaluations will be random among all exposure groups within 
a sex. Moribund animals should be removed and sacrificed when noticed.
    (B) Oncogenicity testing shall be conducted in mice with VDF in 
accordance with Sec.  798.3300 of this chapter.
    (C) [Reserved]
    (D) Oncogenicity tests shall also be conducted by inhalation in both 
rats and mice with TFE in accordance with Sec.  798.3300 of this chapter 
if TFE yields a positive test result in any one of the following 
mutagenicity tests: The in vitro cytogenetics assay conducted pursuant 
to paragraph (c)(2)(i)(A) of this section, the mouse micronucleus 
cytogenetics assay conducted pursuant to paragraph (c)(2)(i)(B) of this 
section, the mammalian cells in culture assay conducted pursuant to 
paragraph (c)(1)(i)(A) of this section or the sex-linked recessive 
lethal assay in Drosophila melanogaster conducted pursuant to paragraph 
(c)(1)(i)(B) of this section if, after a public program review, EPA 
issues a Federal Register notice or sends a certified letter to the test 
sponsor specifying that the testing shall be initiated. Criteria for 
positive test results are established in 40 CFR 798.5375, 798.5385, 
798.5300 and 798.5275 of this chapter, respectively.
    (ii) Reporting requirements. (A) The oncogenicity testing for VDF 
shall be completed and the final results submitted to the Agency by 
March 23, 1992. The oncogenicity testing for VF shall be completed and 
the final results submitted to the Agency by July 22, 1992. For TFE and 
HFP, the oncogenicity testing shall be completed and the final results 
submitted to the Agency within 56 months after the date of EPA's 
notification of the test sponsor by certified letter or Federal Register 
notice that testing shall be initiated.
    (B) Progress reports shall be submitted every 6 months beginning 6 
months after the effective date of the final rule for VF and VDF and 
beginning 6 months after notification by certified letter or Federal 
Register notice that testing is to begin for TFE and HFP.
    (d) Effective date. (1) The effective date of the final rule is July 
22, 1987, except for paragraphs (c)(1)(i)(C)(1), (c)(1)(ii)(A), 
(c)(4)(i) and(c)(4)(ii)(A) of this section. The effective date of 
paragraphs (c)(1)(i)(C)(1) and (c)(1)(ii)(A) of this section is May 21, 
1990. The effective date of paragraphs (c)(4)(i)(A)(1) 
(c)(4)(i)(A)(2)(i), (c)(4)(i)(B) and (c)(4)(i)(D) of this section is May 
21, 1991. The effective date for paragraphs (c)(4)(i)(A)(2)(ii) and 
(c)(4)(i)(C) of this section is June 12, 1992. The effective

[[Page 243]]

date of paragraph (c)(4)(ii)(A) of this section is May 28, 1993.
    (2) The guidelines and other test methods cited in this rule are 
referenced as they exist on the effective date of the final rule.

[52 FR 21530, June 8, 1987, as amended at 52 FR 43762, Nov. 16, 1987; 54 
FR 27357, June 29, 1989; 54 FR 33148, Aug. 11, 1989; 55 FR 12643, Apr. 
5, 1990; 56 FR 23230, May 21, 1991; 57 FR 24960, June 12, 1992; 58 FR 
30992, May 28, 1993; 58 FR 34205, June 23, 1993]



Sec.  799.2155  Commercial hexane.

    (a) Identification of test substance. (1) ``Commercial hexane,'' for 
purposes of this section, is a product obtained from crude oil, natural 
gas liquids, or petroleum refinery processing in accordance with the 
American Society for Testing and Materials Designation D 1836-83 (ASTM D 
1836), consists primarily of six-carbon alkanes or cycloalkanes, and 
contains at least 40 liquid volume percent n-hexane (CAS No. 110-54-3) 
and at least 5 liquid volume percent methylcyclopentane (MCP; CAS No. 
96-37-7). ASTM D 1836, formally entitled ``Standard Specification for 
Commercial Hexanes,'' is published in 1986 Annual Book of ASTM 
Standards: Petroleum Products and Lubricants, ASTM D 1836-83, pp. 966-
967, 1986, is incorporated by reference, and is available for public 
inspection at the National Archives and Records Administration (NARA). 
For information on the availability of this material at NARA, call 202-
741-6030, or go to: http://www.archives.gov/federal--register/code--of--
federal--regulations/ibr--locations.html. This incorporation by 
reference was approved by the Director of the Office of the Federal 
Register in accordance with 5 U.S.C. 522(a) and 1 CFR part 51. This 
material is incorporated as it exists on the date of approval, and a 
notice of any change in this material will be published in the Federal 
Register. Copies of the incorporated material may be obtained from the 
Non-Confidential Information Center (NCIC) (7407), Office of Pollution 
Prevention and Toxics, U.S. Environmental Protection Agency, Room B-607 
NEM, 401 M St., SW., Washington, DC 20460, between the hours of 12 p.m. 
and 4 p.m. weekdays excluding legal holidays.
    (2) The commercial hexane test substance, for purposes of this 
section, is a product which conforms to the specifications of ASTM D1836 
and contains at least 40 liquid volume percent but no more than 55 
liquid volume percent n-hexane and no less than 10 liquid volume percent 
MCP.
    (b) Persons required to submit study plans, conduct tests, and 
submit data. All persons who manufacture (including import) or process 
or intend to manufacture or process commercial hexane, as defined in 
paragraph (a)(1) of this section and other than as an impurity, from the 
effective date of the final rule to the end of the reimbursement period 
shall submit letters of intent to conduct testing, submit study plans, 
conduct tests in accordance with part 792 of this chapter, and submit 
data, or submit exemption applications, as specified in this section, 
subpart A of this part, and part 790 of this chapter for single-phase 
rulemaking. Persons who manufacture commercial hexane as a byproduct are 
covered by the requirements of this section. Notwithstanding Sec.  
790.50(a)(1) of this chapter, persons who notify EPA of their intent to 
conduct neurotoxicity testing in compliance with paragraph (c)(7) of 
this section may submit study plans for those tests less than 45 days 
before beginning testing provided that EPA receives the study plans 
before this testing begins.
    (c) Health effects testing--(1) Subchronic inhalation toxicity--(i) 
Required testing. (A) A subchronic inhalation toxicity test shall be 
conducted with commercial hexane in accordance with Sec.  798.2450 of 
this chapter except for the provisions in paragraphs (d)(4)(ii) and (5) 
of Sec.  798.2450.
    (B) For the purposes of this section, the following provisions also 
apply:
    (1) High dose level. The highest concentration should result in 
toxic effects but neither produce an incidence of fatalities which would 
prevent a meaningful evaluation nor exceed the lower explosive limit of 
commercial hexane.
    (2) Exposure conditions. Animals shall be dosed for 6 hours/day, 5 
days/week for 90 days.
    (ii) Reporting requirements. (A) The subchronic inhalation toxicity 
test

[[Page 244]]

shall be completed and the final report submitted to EPA within 15 
months of the effective date of the final rule.
    (B) Interim progress reports shall be submitted to EPA for the 
subchronic inhalation toxcity test at 6-month intervals beginning 6 
months after the effective date of the final rule, until the final 
report is submitted to EPA.
    (2) Oncogenicity--(i) Required testing. (A) An oncogenicity test 
shall be conducted with commercial hexane in accordance with Sec.  
798.3300 of this chapter except for the provisions in paragraphs 
(b)(3)(ii) and (6) of Sec.  798.3300.
    (B) For the purposes of this section, the following provisions also 
apply:
    (1) High dose level. The high dose level should elicit signs of 
minimal toxicity without substantially altering the normal life span and 
should not exceed the lower explosive limit of commercial hexane.
    (2) Administration of test substance. Animals shall be exposed to 
commercial hexane by inhalation.
    (ii) Reporting requirements. (A) The oncogenicity test shall be 
completed and the final report submitted to EPA within 53 months of the 
effective date of the final rule. The mouse portion of the oncogenicity 
study shall be submitted by June 5, 1993.
    (B) Interim progress reports shall be submitted to EPA for the 
oncogenicity test at 6-month intervals beginning 6 months after the 
effective date of the final rule, until the final report is submitted to 
EPA.
    (3) Reproduction and fertility effects--(i) Required testing. (A) A 
reproduction and fertility effects test shall be conducted with 
commercial hexane in accordance with Sec.  798.4700 of this chapter 
except for the provisions in paragraphs (c)(3)(ii) and (5) of Sec.  
798.4700.
    (B) For the purposes of this section, the following provisions also 
apply:
    (1) High dose level. The highest dose level should induce toxicity 
but not high levels of mortality in the parental (P) animals. In 
addition, the highest dose level should not exceed the lower explosive 
limit of commercial hexane.
    (2) Administration of test substance. Animals shall be exposed to 
commercial hexane by inhalation.
    (ii) Reporting requirements. (A) The reproduction and fertility 
effects test shall be completed and the final report submitted to EPA 
within 29 months of the effective date of the final rule.
    (B) Interim progress reports shall be submitted to EPA for the 
reproduction and fertility effects test at 6-month intervals beginning 6 
months after the effective date of the final rule, until the final 
report is submitted to EPA.
    (4) Inhalation developmental toxicity--(i) Required testing. (A) An 
inhalation developmental toxicity test shall be conducted with 
commercial hexane in accordance with Sec.  795.4350 of this chapter 
except for the provisions in paragraph (e)(3)(iv) of Sec.  798.4350.
    (B) For the purposes of this section, the following provisions also 
apply:
    (1) High dose level. Unless limited by the physical/chemical nature 
or biological properties of the test substance, the highest 
concentration level shall induce some overt maternal toxicity such as 
reduced body weight or body weight gain, but not more than 10 percent 
maternal deaths. In addition, the highest dose level should not exceed 
the lower explosive limit of commercial hexane.
    (2) [Reserved]
    (ii) Reporting requirements. (A) The inhalation developmental 
toxicity test shall be completed and the final report submitted to EPA 
within 12 months of the effective date of the final rule.
    (B) Interim progress reports shall be submitted to EPA for the 
inhalation developmental toxicity test at 6-month intervals beginning 6 
months after the effective date of the final rule, until the final 
report is submitted to EPA.
    (5) Mutagenic effects--gene mutations--(i) Required testing. (A)(1) 
A Salmonella typhimurium reverse mutation assay shall be conducted with 
commercial hexane in accordance with Sec.  798.5265 of this chapter 
except for the provisions in paragraphs (d)(4) and (e) of Sec.  
798.5265.
    (2) For the purposes of this section, the following provisions also 
apply:
    (i) Metabolic activation. Bacteria shall be exposed to commercial 
hexane both in the presence and absence of an appropriate metabolic 
activation system.
    (ii) Test performance. The assay shall be performed using the 
desiccator method described as follows: The agar overlay plates shall be 
placed uncovered in a 9-liter desiccator. A volume of

[[Page 245]]

the liquid test substance shall be added to the glass Petri dish 
suspended beneath the porcelain shelf of the desiccator. The highest 
exposure concentration should not result in a vapor concentration which 
exceeds the lower explosive limit of commerical hexane. A magnetic 
stirring bar to serve as a fan to assure rapid and even distribution of 
the vapor shall be placed on the bottom of the inside of the desiccator. 
The desiccator shall be placed on a magnetic stirrer within a 37[deg] C 
room or chamber for 7 to 10 hours. The plates shall then be removed, 
their lids replaced, followed by incubation for an additional 40 hours 
at 37[deg] C before counting. An appropriate selective medium with an 
adequate overlay agar shall be used. All plating should be done in at 
least triplicate.
    (B)(1) A gene mutation test in mammalian cells shall be conducted 
with commercial hexane in accordance with Sec.  798.5300 of this chapter 
except for the provisions in paragraphs (d)(3)(ii) and (4) of Sec.  
798.5300 if the results from the Salmonella typhimurium test conducted 
pursuant to paragraph (c)(5)(i)(A) of this section are negative.
    (2) For the purposes of this section, the following provisions also 
apply:
    (i) Cell growth and maintenance. Appropriate culture media and 
incubation conditions (culture vessels, CO2 concentrations, 
temperature, and humidity) shall be used. The cell culture shall be 
directly dosed by pipetting liquid commercial hexane mixed with liquid 
DMSO into the culture medium. Cells shall be exposed to test substance 
both in the presence and absence of an appropriate metabolic activation 
system.
    (ii) [Reserved]
    (C)(1) A sex-linked recessive lethal test in Drosophila melanogaster 
shall be conducted with commercial hexane in accordance with Sec.  
798.5275 of this chapter except for the provisions in paragraphs (d)(5) 
(ii) and (iii) of Sec.  798.5275, unless the results of both the 
Salmonella typhimurium test conducted pursuant to paragraph (c)(5)(i)(A) 
of this section and the mammalian cells in the culture gene mutation 
test conducted pursuant to paragraph (c)(5)(i)(B) of this section, if 
required, are negative.
    (2) For the purposes of this section, the following provisions also 
apply:
    (i) Dose levels. For the initial assessment of mutagenicity, it is 
sufficient to test a single dose of the test substance for screening 
purposes. This dose should be the maximum tolerated dose, or that which 
produces some indication of toxicity or shall be the highest dose 
attainable and should not exceed the lower explosive limit of commercial 
hexane. For dose-response purposes, at least three additional dose 
levels should be used.
    (ii) Route of administration. The route of administration shall be 
by exposure to commercial hexane vapors.
    (D)(1) Unless the results of the sex-linked recessive lethal test in 
Drosophila melanogaster conducted with commercial hexane pursuant to 
paragraph (c)(5)(i)(C) of this section are negative, EPA shall conduct a 
public program review of all of the mutagenicity data available for this 
substance. If, after this review, EPA decides that testing of commercial 
hexane for causing heritable gene mutations in mammals is necessary, it 
shall notify the test sponsor by certified letter or Federal Register 
notice that testing shall be initiated in either the mouse visible 
specific locus test or the mouse biochemical specific locus test. The 
mouse visible specific locus test, if conducted, shall be performed for 
commercial hexane in accordance with Sec.  798.5200 of this chapter 
except for the provisions in paragraphs (d)(5)(ii) and (d)(5)(iii) of 
Sec.  798.5200. The mouse biochemical specific locus test, if conducted, 
shall be performed for commercial hexane in accordance with Sec.  
798.5195 of this chapter except for the provisions in paragraphs 
(d)(5)(ii) and (d)(5)(iii) of Sec.  798.5195.
    (2) For the purposes of this section, the following provisions also 
apply:
    (i) Dose levels. A minimum of two dose levels shall be tested. The 
highest dose tested shall be the highest dose tolerated without toxic 
effects, provided that any temporary sterility induced due to 
elimination of spermatogonia is of only moderate duration, as determined 
by a return of males to fertility within 80 days of treatment, or shall 
be the highest dose attainable below the lower explosive

[[Page 246]]

limit concentration of commercial hexane. Exposure shall be for 6 hours 
a day. Duration of exposure shall be dependent upon the accumulated 
total dose desired for each group.
    (ii) Route of administration. Animals shall be exposed to commercial 
hexane by inhalation.
    (ii) Reporting requirements. (A) The gene mutation tests shall be 
completed and final reports submitted to EPA as follows:
    (1) The Salmonella typhimurium reverse mutation assay within 8 
months of the effective date of the final rule.
    (2) The gene mutation in mammalian cells assay within 17 months of 
the effective date of the final rule.
    (3) The sex-linked recessive-lethal test in Drosophila melanogaster 
within 24 months of the effective date of the final rule.
    (4) The mouse visible specific locus test or the mouse biochemical 
specific locus test shall be completed and a final report shall be 
submitted to EPA within 51 months of the date on which the test sponsor 
is notified by EPA by certified letter or Federal Register notice that 
testing shall be initiated.
    (B) Interim progress reports for each test shall be submitted to EPA 
for the gene mutation in mammalian cells assay and Drosophila sex-linked 
recessive lethal test at 6-month intervals beginning 6 months after the 
effective date of the final rule, until the applicable final report is 
submitted to EPA.
    (C) Interim progress reports for either the mouse visible specific 
locus test or the mouse biochemical specific locus test shall be 
submitted to EPA at 6-month intervals, beginning 6 months after EPA's 
notification of the test sponsor that testing should be initiated, until 
the applicable final report is submitted to EPA.
    (6) Mutagenic effects--chromosomal aberrations--(i) Required 
testing. (A)(1) An in vitro cytogenetics test shall be conducted with 
commercial hexane in accordance with Sec.  798.5375 of this chapter 
except for the provisions in paragraph (e)(3) of Sec.  798.5375.
    (2) For the purposes of this section, the following provisions also 
apply:
    (i) Treatment with test substance. The test substance shall be added 
in liquid form mixed with DMSO to the treatment vessels.
    (ii) [Reserved]
    (B)(1) An in vivo cytogenetics test shall be conducted with 
commercial hexane in accordance with Sec.  798.5385 of this chapter 
except for the provisions in paragraphs (d)(5) (ii), (iii) and (iv) of 
Sec.  798.5385, if the in vitro test conducted pursuant to paragraph 
(c)(6)(i)(A) of this section is negative.
    (2) For the purposes of this section, the following provisions also 
apply:
    (i) Dose levels. For an initial assessment, one dose level of the 
test substance may be used, the dose being the maximum tolerated dose 
(to a maximum of 5,000 mg/kg), or that producing some indication of 
cytotoxicity (e.g., partial inhibition of mitosis), or shall be the 
highest dose attainable (to a maximum of 5,000 mg/kg) and should not 
exceed the lower explosive limit of commercial hexane. Additional dose 
levels may be used. For determination of dose-response, at least three 
dose levels should be used.
    (ii) Route of administration. Animals shall be exposed to commercial 
hexane by inhalation.
    (iii) Treatment schedule. The duration of exposure shall be for 6 
hours per day for 5 consecutive days.
    (C)(1) A dominant lethal assay shall be conducted with commercial 
hexane in accordance with Sec.  798.5450 of this chapter except for the 
provisions in paragraphs (d)(5) (ii) and (iii) of Sec.  798.5450, unless 
both the in vitro and in vivo cytogenetics tests conducted pursuant to 
paragraphs (c)(6)(i) (A) and (B) of this section are negative.
    (2) For the purposes of this section, the following provisions also 
apply:
    (i) Dose levels. Normally, three dose levels shall be used. The 
highest dose shall produce signs of toxicity (e.g., slightly reduced 
fertility and slightly reduced body weight). The highest dose should not 
exceed the lower explosive limit of commercial hexane. However, in an 
initial assessment of dominant lethality, a single high dose may be 
sufficient. Nontoxic substances shall be tested at 5 g/kg or, if this is 
not practicable, then at the highest dose attainable.

[[Page 247]]

    (ii) Route of administration. Animals shall be exposed to commercial 
hexane by inhalation.
    (iii) Treatment schedule. The duration of exposure shall be for 6 
hours per day for 5 consecutive days.
    (D)(1) A heritable translocation test shall be conducted with 
commercial hexane in accordance with Sec.  798.5460 of this chapter 
except for the provisions in paragraphs (d)(5) (ii) and (iii) of Sec.  
798.5460, if the results of the dominant lethal assay conducted pursuant 
to paragraph (c)(6)(i)(C) of this section are positive and if, after a 
public program review, EPA issues a Federal Register notice or sends a 
certified letter to the test sponsor specifying that the testing shall 
be initiated.
    (2) For the purposes of this section, the following provisions also 
apply:
    (i) Dose levels. At least two dose levels shall be used. The highest 
dose level shall result in toxic effects (which shall not produce an 
incidence of fatalities which would prevent a meaningful evaluation) or 
shall be the highest dose attainable or 5 g/kg body weight and should 
not exceed the lower explosive limit of commercial hexane.
    (ii) Route of administration. Animals shall be exposed to commercial 
hexane by inhalation.
    (iii) Reporting requirements. (A) The chromosomal aberration tests 
shall be completed and the final reports submitted to EPA as follows:
    (1) The in vitro cytogenetics test within 15 months of the effective 
date of the final rule.
    (2) The in vivo cytogenetics test within 19 months of the effective 
date of the final rule.
    (3) The dominant lethal assay within 28 months of the effective date 
of the final rule.
    (4) The heritable translocation test within 25 months of the date of 
EPA's notification of the test sponsor by certified letter or Federal 
Register notice that testing shall be initiated.
    (B) Interim progress reports for each test shall be submitted to EPA 
for the in vivo cytogenetics and the dominant lethal assays at 6-month 
intervals beginning 6 months after the effective date of the final rule, 
until the applicable final report is submitted to EPA.
    (C) Interim progress reports shall be submitted to EPA for the 
heritable translocation assay at 6-month intervals beginning 6 months 
after the date of EPA's notification of the test sponsor that testing 
shall be initiated, until the final report is submitted to EPA.
    (7) Neutrotoxicity--(i) Required testing. (A)(1) A schedule-
controlled operant behavior test shall be conducted with commercial 
hexane in accordance with Sec.  798.6500 of this chapter except for the 
provisions in paragraphs (d)(5)(i), (6) and (7) of Sec.  798.6500.
    (2) For the purposes of this section, the following provisions also 
apply:
    (i) High dose level. The highest dose shall produce clear behavioral 
effects or life-threatening toxicity. In addition, the highest dose 
should not exceed the lower explosive limit of commercial hexane.
    (ii) Duration and frequency of exposure. Animals shall be dosed once 
for 4 to 6 hours.
    (iii) Route of administration. Animals shall be exposed to 
commercial hexane by inhalation.
    (B)(1) A functional observation battery shall be conducted with 
commercial hexane in accordance with Sec.  798.6050 of this chapter 
except for the provisions in paragraphs (d)(4)(i), (5), and (6) of Sec.  
798.6050.
    (2) For the purposes of this section, the following provisions also 
apply:
    (i) High dose level. The highest dose shall produce clear behavioral 
effects or life-threatening toxicity. In addition, the highest dose 
should not exceed the lower explosive limit of commercial hexane.
    (ii) Duration and frequency of exposure. Animals shall be dosed for 
6 hours/day, 5 days/week for 90 days.
    (iii) Route of exposure. Animals shall be exposed to commercial 
hexane by inhalation.
    (C)(1) A motor activity test shall be conducted with commercial 
hexane in accordance with Sec.  798.6200 of this chapter except for the 
provisions in paragraphs (d)(4)(i), (5), and (6) of Sec.  798.6200.
    (2) For the purposes of this section, the following provisions also 
apply:
    (i) High dose level. The highest dose shall produce clear effects on 
motor activity of life-threatening toxicity. In addition, the highest 
dose should not

[[Page 248]]

exceed the lower explosive limit of commercial hexane.
    (ii) Duration and frequency of exposure. Animals shall be dosed for 
6 hours/day, 5 days/week for 90 days.
    (iii) Route of exposure. Animals shall be exposed to commercial 
hexane by inhalation.
    (D)(1) A neuropathology test shall be conducted with commercial 
hexane in accordance with Sec.  798.6400 of this chapter except for the 
provisions in paragraphs (d)(4)(i), (5), and (6) of Sec.  798.6400.
    (2) For the purposes of this section, the following provisions also 
apply:
    (i) High dose level. The highest dose shall produce clear behavior 
effects or life-threatening toxicity. In addition, the highest dose 
should not exceed the lower explosive limit of commercial hexane.
    (ii) Duration and frequency of exposure. Animals shall be dosed for 
6 hours/day, 5 days/week for 90 days.
    (iii) Route of exposure. Animals shall be exposed to commercial 
hexane by inhalation.
    (ii) Reporting requirements. (A) The schedule-controlled operant 
behavior, functional observation battery, motor activity, and 
neuropathology tests shall be completed and the final reports submitted 
to EPA within 15 months of the effective date of the final rule.
    (B) Interim progress reports for each test shall be submitted to EPA 
for the schedule-controlled operant behavior, functional observation 
battery, motor activity, and neuropathology tests at 6-month intervals 
beginning 6 months after the effective date of the applicable final 
rule, until the applicable final report is submitted to EPA.
    (8) Pharmacokinetics--(i) Required testing. (A) Pharmacokinetics 
testing shall be conducted in rats in accordance with Sec.  795.232 of 
this chapter, except for paragraph (c)(1)(ii) of Sec.  795.232.
    (B) For the purposes of this section, the following provisions also 
apply:
    (1) Test animals. Adult male and female rats shall be used for 
testing. The rats shall be 9 to 11 weeks old and their weight range 
should be comparable from group to group. The animals shall be purchased 
from a reputable dealer and shall be permanently identified upon 
arrival. The animals shall be selected at random for the testing groups, 
and any animal showing signs of ill health shall not be used.
    (2) Species and strain. The rat strain used shall be the same as the 
strain used in the subchronic and chronic tests required under Sec.  
798.2450(d)(1)(i) and Sec.  798.3300(b)(1)(i).
    (ii) Reporting requirements. (A) The inhalation and dermal 
pharmacokinetics tests shall be completed and the final report submitted 
to EPA by August 21, 1992.
    (B) Interim progress reports shall be submitted to EPA for the 
inhalation and dermal pharmacokinetics tests at 6-month intervals, 
beginning 6 months after the effective date specified in paragraph 
(d)(1) of this section, until the final report is submitted to EPA.
    (d) Effective date. (1) The effective date of this final rule is 
November 17, 1988, except for the provisions of paragraphs 
(c)(2)(ii)(A), (c)(5)(i)(D), (c)(5)(ii)(A)(4), (c)(5)(ii)(C), (c)(8)(i) 
and (c)(8)(ii)(A) of this section. The effective date for paragraphs 
(c)(5)(i)(D), (c)(5)(ii)(A)(4) and (c)(5)(ii)(C) of this section is May 
21, 1990. The effective date for paragraphs (c)(8)(i) and (c)(8)(ii)(A) 
of this section is June 12, 1992. The effective date of paragraph 
(c)(2)(ii)(A) is September 8, 1994.
    (2) The guidelines and other test methods cited in this rule are 
referenced as they exist on the effective date of the final rule.

[53 FR 3392, Feb. 5, 1988, as amended at 53 FR 38953, Oct. 4, 1988; 55 
FR 634, Jan. 8, 1990; 55 FR 7325, Mar. 1, 1990; 55 FR 12643, Apr. 5, 
1990; 57 FR 24961, June 12, 1992; 58 FR 34205, June 23, 1993; 59 FR 
46357, Sept. 8, 1994; 60 FR 34467, July 3, 1995; 69 FR 18803, Apr. 9, 
2004]



Sec.  799.2325  Isopropanol.

    (a) Identification of test substance. (1) Isopropanol (CAS No. 67-
63-0) shall be tested in accordance with this section.
    (2) Isopropanol of at least 99.8 percent purity shall be used as the 
test substance.
    (b) Persons required to submit study plans, conduct tests, and 
submit data. All persons who manufacture (including import or byproduct 
manufacture) or intend to manufacture or process isopropanol, from the 
effective date of

[[Page 249]]

this rule to the end of the reimbursement period, shall submit letters 
of intent to conduct testing, submit study plans, conduct tests, and 
submit data or submit exemption applications as specified in this 
section, subpart A of this part, and parts 790 and 792 of this chapter 
for single-phase rulemaking.
    (c) Health effects testing--(1) Subchronic inhalation toxicity--(i) 
Required testing. A subchronic inhalation toxicity test shall be 
conducted with isopropanol in accordance with Sec.  798.2450 of this 
chapter.
    (ii) Reporting requirements. (A) The subchronic inhalation toxicity 
test shall be completed and the final report submitted to EPA within 15 
months of the date specified in paragraph (d) of this section.
    (B) Progress reports shall be submitted to EPA for the subchronic 
inhalation toxicity test at 6-month intervals beginning 6 months after 
the date specified in paragraph (d)(1) of this section until submission 
of the final report.
    (2) Reproduction and fertility effects--(i) Required testing. A 
reproduction and fertility effects test shall be conducted by gavage 
with isopropanol in accordance with Sec.  798.4700 of this chapter.
    (ii) Reporting requirements. (A) The reproduction and fertility 
effects test shall be completed and the final report submitted to EPA 
within 29 months of the date specified in paragraph (d)(1) of this 
section.
    (B) Progress reports shall be submitted at 6-month intervals 
beginning 6 months after the date specified in paragraph (d)(1) of this 
section until submission of the final report.
    (3) Developmental toxicity--(i) Required testing. A developmental 
toxicity test shall be conducted in two mammalian species by gavage with 
isopropanol in accordance with Sec.  798.4900 of this chapter.
    (ii) Reporting requirements. (A) The developmental toxicity test 
shall be completed and the final report submitted to EPA within 12 
months of the date specified in paragraph (d)(1) of this section.
    (B) A progress report shall be submitted 6 months after the date 
specified in paragraph (d)(1) of this section.
    (4) Mutagenic effects--gene mutations--(i) Required testing. (A) A 
gene mutation test in mammalian cells shall be conducted with 
isopropanol in accordance with Sec.  798.5300 of this chapter.
    (B)(1) A sex-linked recessive lethal test in Drosophila melanogaster 
shall be conducted with isopropanol in accordance with Sec.  798.5275 of 
this chapter, except for the provisions in paragraphs (d)(5)(ii) and 
(iii) of Sec.  798.5275, unless the results of the mammalian cells in 
the culture gene mutation test conducted pursuant to paragraph 
(c)(5)(i)(A) of this section are negative.
    (2) For the purpose of this section, the following provisions also 
apply:
    (i) Route of administration. The route of administration shall be by 
exposure to isopropanol vapors or by injection of isopropanol.
    (ii) [Reserved]
    (C)(1) The mouse visible specific locus (MVSL) test shall be 
conducted with isopropanol by inhalation in accordance with Sec.  
798.5200, except for the provisions in paragraphs (d)(5)(ii) and (iii) 
of Sec.  798.5200, if the results of the sex-linked recessive lethal 
test conducted pursuant to paragraph (c)(4)(i)(B) of this section are 
positive and if, after a public program review, EPA issues a Federal 
Register notice or sends a certified letter to the test sponsor 
specifying that the testing shall be initiated.
    (2) For the purpose of this section, the following provisions also 
apply:
    (i) Dose levels and duration of exposure. A minimum of 2 dose levels 
shall be tested. The duration of exposure shall be for 6 hours per day. 
Duration of exposure shall be dependent upon accumulated total dose 
desired for each group.
    (ii) Route of administration. Animals shall be exposed to 
isopropanol by inhalation.
    (ii) Reporting requirements. (A) The gene mutation tests shall be 
completed and final report submitted to EPA as follows:
    (1) The gene mutation in mammalian cells assay within 6 months of 
the date specified in paragraph (d)(1) of this section.
    (2) The sex-linked recessive-lethal test in Drosophila melanogaster 
within

[[Page 250]]

18 months of the date specified in paragraph (d)(1) of this section.
    (3) The mouse visible specific-locus test within 51 months of the 
date of EPA's notification of the test sponsor by certified letter or 
Federal Register notice under paragraph (c)(4)(i)(C) of this section 
that testing shall be initiated.
    (B) Progress reports shall be submitted to EPA for the Drosophila 
sex-linked recessive lethal test at 6-month intervals beginning 6 months 
after the date specified in paragraph (d)(1) of this section until the 
submission of the final report.
    (C) Progress reports shall be submitted to EPA for the mouse visible 
specific locus test at 6-month intervals beginning 6 months after the 
date of EPA's notification of the test sponsor that testing shall be 
initiated until submission of the final report.
    (5) Mutagenic effects--chromosomal aberrations--(i) Required 
testing. (A)(1) The micronucleus test shall be conducted with 
isopropanol in accordance with Sec.  798.5395 of this chapter.
    (2) For the purpose of this section, the following provisions also 
apply:
    (i) Route of administration. Animals shall be exposed to isopropanol 
by either inhalation or oral gavage or inperitoneally (IP).
    (ii) Duration of exposure. For inhalation, the duration of exposure 
shall be for 6 hours per day for 5 consecutive days with one sacrifice 
time or for 6 hours for 1 day with three sacrifice times.
    (B)(1) A dominant lethal assay shall be conducted with isopropanol 
in accordance with Sec.  798.5450 of this chapter, except for the 
provisions in paragraphs (d)(5)(ii) and (iii) of Sec.  798.5450, unless 
the micronucleus test conducted pursuant to paragraphs (c)(5)(i)(A) of 
this section is negative.
    (2) For the purpose of this section, the following provisions also 
apply:
    (i) Route of administration. Animals shall be exposed to isopropanol 
by inhalation.
    (ii) Duration of exposure. The duration of exposure shall be for 6 
hours per day for 5 consecutive days.
    (C)(1) The mouse visible specific locus test (MVSL) shall be 
conducted with isopropanol by inhalation in accordance with Sec.  
798.5200 of this chapter, except for the provisions in paragraphs 
(d)(5)(ii) and (d)(5)(iii) of Sec.  798.5200, or a mouse biochemical 
specific locus test (MBSL) shall be conducted with isopropanol by 
inhalation in accordance with Sec.  798.5195 of this chapter, except for 
the provisions in paragraphs (d)(5)(ii) and (d)(5)(iii) of Sec.  
798.5195, if the results of the sex-linked recessive lethal test 
conducted pursuant to paragraph (c)(4)(i)(B) of this section are 
positive and if, after a public program review, EPA issues a Federal 
Register notice or sends a certified letter to the test sponsor 
specifying that the testing shall be initiated.
    (2) For the purpose of this section, the following provisions also 
apply:
    (i) Route of administration. Animals shall be exposed to isopropanol 
by inhalation.
    (ii) [Reserved]
    (ii) Reporting requirements. (A) The chromosomal aberration tests 
shall be completed and the final reports submitted to EPA as follows:
    (1) The micronucleus test within 15 months of the date specified in 
paragraph (d)(1) of this section.
    (2) The dominant lethal assay within 27 months of the date specified 
in paragraph (d)(1) of this section.
    (3) The MVSL or MBSL test within 51 months of the date of EPA's 
notification of the test sponsor by certified letter or Federal Register 
notice under paragraph (c)(4)(i)(C) of this section that testing shall 
be initiated.
    (B) Progress reports shall be submitted to EPA for the micronucleus 
and the dominant lethal assays at 6-month intervals beginning 6 months 
after the date specified in paragraph (d)(1) of this section until 
submission of the final report.
    (C) Progress reports shall be submitted to EPA for the heritable 
translocation assay at 6-month intervals beginning 6 months after the 
date of EPA's notification of the test sponsor that testing shall be 
initiated until submission of the final report.
    (6) Neurotoxicity--(i) Required testing. (A)(1) A functional 
observation battery shall be conducted with isopropanol in accordance 
with Sec.  798.6050 of this chapter except for the provisions in 
paragraphs (d)(5) and (6) of Sec.  798.6050.

[[Page 251]]

    (2) For the purpose of this section, the following provisions also 
apply:
    (i) Duration and frequency of exposure. For subchronic study, 
animals shall be dosed for 6 hours per day, 5 days per week for 90 days. 
For acute study, animals shall be dosed for 4 to 6 hours once.
    (ii) Route of exposure. Animals shall be exposed to isopropanol by 
inhalation.
    (B)(1) A motor activity test shall be conducted with isopropanol in 
accordance with Sec.  798.6200 of this chapter except for the provisions 
in paragraphs (d)(5) and (6) of Sec.  798.6200.
    (2) For the purpose of this section, the following provisions also 
apply:
    (i) Duration of exposure. For subchronic study, animals shall be 
dosed for 6 hours per day, 5 days per week for 90 days. For acute study, 
animals shall be dosed for 4 to 6 hours once.
    (ii) Route of exposure. Animals shall be exposed to isopropanol by 
inhalation.
    (C)(1) A neuropathology test shall be conducted with isopropanol in 
accordance with Sec.  798.6400 of this chapter except for the provisions 
in paragraphs (d)(5) and (6) of Sec.  798.6400.
    (2) For the purpose of this section, the following provisions also 
apply:
    (i) Duration of exposure. Animals shall be dosed for 6 hours per 
day, 5 days per week for 90 days.
    (ii) Route of exposure. Animals shall be exposed to isopropanol by 
inhalation.
    (D) The developmental neurotoxicity test shall be conducted with 
isopropanol in accordance with Sec.  795.250 of this chapter, except for 
paragraph (c)(1)(iv).
    (1) For purposes of this section, the following provisions also 
apply:
    (i) Numbers of animals. The objective is for a sufficient number of 
pregnant rats to be exposed to ensure that an adequate number of 
offspring are produced for neurotoxicity evaluation. At least 24 litters 
shall be used at each dose level.
    (ii) [Reserved]
    (2) [Reserved]
    (ii) Reporting requirements. (A) The acute functional observation 
battery and motor activity tests shall be completed and the final report 
submitted to EPA within 15 months of the date specified in paragraph 
(d)(1) of this section. The subchronic functional observation battery, 
motor activity, and neuropathology tests shall be completed and the 
final reports submitted to EPA within 18 months of the date specified in 
paragraph (d)(1) of this section. The developmental neurotoxicity test 
shall be completed and the final report submitted to EPA within 21 
months of the date specified in paragraph (d)(1) of this section.
    (B) Progress reports shall be submitted to EPA for the functional 
observation battery, motor activity, neuropathology, and developmental 
neurotoxicity tests at 6-month intervals beginning 6 months after the 
date specified in paragraph (d)(1) of this section until submission of 
the applicable final report.
    (7) Pharmacokinetics studies--(i) Required testing. An oral and 
inhalation pharmacokinetics test shall be conducted with isopropanol in 
accordance with Sec.  795.231 of this chapter.
    (ii) Reporting requirements. (A) The pharmacokinetic test shall be 
completed and the final report submitted to EPA within 15 months of the 
date specified in paragraph (d)(1) of this section.
    (B) Progress reports shall be submitted to EPA for the 
pharmacokinetics test at 6-month intervals beginning 6 months after the 
date specified in paragraph (d)(1) of this section until submission of 
the final report.
    (8) Oncogenicity--(i) Required testing. An oncogenicity test shall 
be conducted by inhalation with isopropanol in accordance with Sec.  
798.3300 of this chapter.
    (ii) Reporting requirements. (A) The oncogenicity test shall be 
completed and the final report submitted to EPA by July 5, 1994.
    (B) Progress reports shall be submitted at 6-month intervals 
beginning 6 months after the date specified in paragraph (d)(1) of this 
section until submission of the final report.
    (d) Effective date. (1) The effective date of this final rule is 
December 4, 1989, except for the provisions of paragraphs 
(c)(5)(i)(C)(1), (c)(5)(ii)(A)(3), (c)(6)(i)(D), and (c)(8)(ii)(A), of 
this section. The effective date for paragraphs

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(c)(5)(i)(C)(1), and (c)(5)(ii)(A)(3) of this section is May 21, 1990. 
The effective date for paragraphs (c)(6)(i)(D) of this section is May 
21, 1991. The effective date of paragraph (c)(8)(ii)(A) is September 29, 
1995.
    (2) The guidelines and other test methods cited in this rule are 
references as they exist on the effective date of the final rule.

[54 FR 43262, Oct. 23, 1989, as amended at 55 FR 12644, Apr. 5, 1990; 56 
FR 23231, May 21, 1990; 58 FR 34205, June 23, 1993; 60 FR 56956, Nov. 
13, 1995]



Sec.  799.2475  2-Mercaptobenzothiazole.

    (a) Identification of test substance. (1) 2-Mercaptobenzothiazole 
(MBT, CAS No. 149-30-4) shall be tested in accordance with this section.
    (2) MBT of at least 97.6 percent purity (plus or minus 1.5 percent) 
shall be used as the test substance.
    (b) Persons required to submit study plans, conduct tests, and 
submit data. All persons who manufacture (including byproduct 
manufacture, and import of MBT and MBT-containing articles) or process 
or intend to manufacture or process MBT, other than as an impurity, 
after October 21, 1988, to the end of the reimbursement period shall 
submit letters of intent to conduct testing, submit study plans, conduct 
tests, and submit data, or submit exemption applications as specified in 
this section, subpart A of this part, and parts 790 and 792 of this 
chapter for single-phase rulemaking.
    (c) Chemical fate--(1) Aerobic aquatic biodegradation--(i) Required 
testing. Aerobic aquatic biodegradation testing shall be conducted with 
MBT in accordance with Sec.  796.3100 of this chapter.
    (ii) Reporting requirements. (A) The aerobic aquatic biodegradation 
test shall be completed and the final report submitted to EPA within 12 
months of the effective date of the final rule.
    (B) An interim progress report shall be submitted to EPA 6 months 
after the effective date of the final rule.
    (2) Indirect photolysis-screening level test--(i) Required testing. 
Indirect photolysis testing shall be conducted with MBT in accordance 
with Sec.  795.70 of this chapter.
    (ii) Reporting requirements. (A) The indirect photolysis test shall 
be completed and the final report submitted to EPA within 12 months of 
the effective date of the final rule.
    (B) An interim progress report shall be submitted to EPA 6 months 
after the effective date of the final rule.
    (3) Chemical mobility--(i) Required testing. Chemical mobility 
testing shall be conducted with MBT in accordance with Sec.  796.2750 of 
this chapter.
    (ii) Reporting requirements. (A) The chemical mobility test shall be 
completed and the final report submitted to EPA within 12 months of the 
effective date of the final rule.
    (B) An interim progress report shall be submitted to EPA 6 months 
after the effective date of this final rule.
    (d) Environmental effects--(1) Fish chronic toxicity--(i) Required 
testing. (A) Chronic toxicity testing of MBT shall be conducted using 
rainbow trout (Salmo gairdneri.) according to Sec.  797.1600 of this 
chapter, except for paragraphs (c)(4)(iv)(A), (c)(4)(x)(E) and 
(c)(4)(x)(F), (c)(6)(iv)(A), (d)(2)(vii)(A)(2), and (d)(3)(iv) of Sec.  
797.1600.
    (B) For the purpose of this section, the following provisions also 
apply:
    (1) The first feeding for the fathead and sheepshead minnow fry 
shall begin shortly after transfer of the fry from the embryo cups to 
the test chambers. Silversides are fed the first day after hatch. Trout 
species initiate feeding at swim-up. The trout fry shall be fed trout 
starter mash or live newly-hatched brine shrimp nauplii (Artemia salina) 
three times a day ad libitum, with excess food siphoned off daily. The 
minnow fry shall be fed live newly-hatched brine shrimp nauplii (Artemia 
salina) at least three times a day.
    (2) All physical abnormalities (e.g., stunted bodies, scoliosis, 
etc.) shall be photographed and preserved.
    (3) At termination, all surviving fish shall be measured for growth. 
Total length measurements should be used except in cases where fin 
erosion occurs, then the use of standard length measurements shall be 
permitted. Standard length measurements should be made directly with a 
caliper, but may be measured photographically. Measurements shall be 
made to the nearest millimeter (0.1 mm is desirable). Weight 
measurements shall also

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be made for each fish alive at termination (wet, blotted dry, and to the 
nearest 0.01 g for the minnows and 0.1 g for the trout). If the fish 
exposed to the toxicant appear to be edematous compared to control fish, 
determination of dry, rather than wet, weight is recommended.
    (4)(i) Test substance measurement. Prior to addition of the test 
substance to the dilution water, it is recommended that the test 
substance stock solution be analyzed to verify the concentration. After 
addition of the test substance, the concentration of test substance 
shall be measured in the test substance delivery chamber prior to 
beginning, and during, the test. The concentration of test substance 
should also be measured at the beginning of the test in each test 
concentration (including both replicates) and control(s), and at least 
once a week thereafter. Equal aliquots of test solution may be removed 
from each replicate chamber and pooled for analysis. If a malfunction in 
the delivery system is discovered, water samples shall be taken from the 
affected test chambers immediately and analyzed.
    (ii) pH. It is recommended that a pH of 7 be maintained in the test 
chambers.
    (iii) Reporting. An analysis of the stability of the stock solution 
for the duration of the test shall be reported.
    (5) [Reserved]
    (6) For brook and rainbow trout, a 16-hour light and 8-hour dark 
photoperiod shall be provided.
    (ii) Reporting requirements. (A) The fish chronic toxicity test 
shall be completed and the final report submitted to EPA within 12 
months of the effective date of the final rule.
    (B) An interim progress report shall be submitted to EPA 6 months 
after the effective date of the final rule.
    (2) Daphnid chronic toxicity--(i) Required testing. (A) Daphnid 
chronic toxicity testing shall be conducted with MBT using Daphnia magna 
according to Sec.  797.1330 of this chapter.
    (B) For the purposes of this section, the following provisions also 
apply:
    (1) Test substance measurement. Test substance concentration shall 
be measured in the test substance delivery chamber prior to beginning, 
and during, the test.
    (2) pH. It is recommended that a pH of 7 be maintained in the test 
chambers.
    (3) Reporting. An analysis of the stability of the stock solution 
for the duration of the test shall be reported and data comparing trout 
starter mash with A. salina for supporting trout growth should be 
submitted with the final report.
    (ii) Reporting requirements. (A) The daphnid chronic toxicity test 
shall be completed and the final report submitted to EPA within 12 
months of the effective date of the final rule.
    (B) An interim progress report shall be submitted to EPA 6 months 
after the effective date of the final rule.
    (e) Health effects--(1) Developmental toxicity testing--(i) Required 
testing. Developmental toxicity testing shall be conducted in two 
mammalian species with MBT in accordance with Sec.  798.4900 of this 
chapter, using the oral route of administration.
    (ii) Reporting requirements. (A) The developmental toxicity test 
shall be completed and the final report submitted to EPA within 12 
months of the effective date of the final rule.
    (B) An interim progress report shall be submitted to EPA 6 months 
after the effective date of the final rule.
    (2) Reproductive toxicity--(i) Required testing. Reproductive 
toxicity testing shall be conducted with MBT in accordance with Sec.  
798.4700 of this chapter, using the oral route of administration.
    (ii) Reporting requirements. (A) The reproductive test shall be 
completed and the final report submitted to EPA within 29 months of the 
effective date of the final rule.
    (B) Progress reports shall be submitted to EPA at 6-month intervals 
beginning 6 months after the effective date of the final rule until 
submission of the final report.
    (3) Neurotoxicity--(i) Required testing. (A)(1) An acute and 
subchronic functional observation battery shall be conducted with MBT in 
accordance with Sec.  798.6050 of this chapter except for the provisions 
in paragraphs (d)(5) and (6) of Sec.  798.6050.
    (2) For the purpose of this section, the following provisions also 
apply:

[[Page 254]]

    (i) Duration and frequency of exposure. For acute study, animals 
shall be administered MBT over a period not to exceed 24 hours. For 
subchronic study, animals shall be dosed daily for at least 90 days.
    (ii) Route of exposure. Animals shall be exposed to MBT orally.
    (B)(1) An acute and subchronic motor activity test shall be 
conducted with MBT in accordance with Sec.  798.6200 of this chapter 
except for the provisions in paragraphs (d)(5) and (6) of Sec.  
798.6200.
    (2) For the purpose of this section the following provisions also 
apply:
    (i) Duration and frequency of exposure. For acute study, animals 
shall be administered over a period not to exceed 24 hours. For 
subchronic study, animals shall be dosed daily for at least 90 days.
    (ii) Route of exposure. Animals shall be exposed to MBT orally.
    (C)(1) A subchronic neuropathology test shall be conducted with MBT 
in accordance with Sec.  798.6400 of this chapter except for the 
provisions in paragraphs (d)(5) and (6) of Sec.  798.6400.
    (2) For the purpose of this section, the following provisions also 
apply:
    (i) Duration and frequency of exposure. Animals shall be dosed daily 
for at least 90 days.
    (ii) Route of exposure. Animals shall be exposed to MBT orally.
    (ii) Reporting requirements. (A) The functional observation battery, 
motor activity, and neuropathology tests shall be completed and the 
final reports for each test submitted to EPA within 18 months of the 
effective date of the final rule.
    (B) A progress report shall be submitted to EPA for the functional 
observation battery, motor activity, and neuropathology tests, 
respectively, 6 months after the effective date of the final rule.
    (4) Mutagenic effects--Chromosomal aberrations--(i) Required 
testing. (A) A dominant lethal assay shall be conducted with MBT in 
accordance with Sec.  798.5450 of this chapter, using the oral route of 
administration.
    (B) A heritable translocation assay shall be conducted with MBT in 
accordance with the test guideline specified in Sec.  798.5460 of this 
chapter if MBT produces a positive result in the dominant lethal assay 
conducted pursuant to paragraph (e)(4)(i)(A) of this section and if, 
after a public program review, EPA issues a Federal Register notice or 
sends a certified letter to the test sponsor specifying that the testing 
shall be initiated.
    (ii) Reporting requirements. (A) Mutagenic effects--Chromosomal 
aberration testing of MBT shall be completed and the final report 
submitted to EPA as follows: Dominant lethal assay, within 12 months 
after the effective date of this rule; heritable translocation assay, 
within 24 months after notification under paragraph (e)(4)(i)(B) of this 
section that the testing shall be initiated.
    (B) For the dominant lethal assay, an interim progress report shall 
be submitted to EPA 6 months after the effective date of the final rule; 
for the heritable translocation assay, progress reports shall be 
submitted to EPA at 6-month intervals beginning 6 months after the date 
of EPA's notification of the test sponsor that testing shall be 
initiated until submission of the final report.
    (f) Effective date. (1) The effective date of this final rule is 
October 21, 1988, except for paragraphs (a)(2), (d)(1)(i), 
(d)(2)(i)(B)(3), and (e)(3)(ii)(A) of this section. The effective date 
for paragraphs (a)(2), (d)(1)(i), (d)(2)(i)(B)(3), and (e)(3)(ii)(A) of 
this section is March 1, 1990.
    (2) The guidelines and other test methods cited in this rule are 
referenced as they exist on the effective date of the final rule.

[53 FR 34530, Sept. 7, 1988; 53 FR 37393, Sept. 26, 1988, as amended at 
55 FR 7326, Mar. 1, 1990; 58 FR 34205, June 23, 1993]



Sec.  799.2700  Methyl ethyl ketoxime.

    (a) Identification of test substance. (1) Methyl ethyl ketoxime 
(MEKO, CAS No. 96-29-7) shall be tested in accordance with this section.
    (2) MEKO of at least 99 percent purity shall be used as the test 
substance.
    (b) Persons required to submit study plans, conduct tests, and 
submit data. All persons who manufacture (including import) or process 
or intend to manufacture or process MEKO, including persons who 
manufacture or process or intend to manufacture or process

[[Page 255]]

MEKO as a byproduct, or who import or intend to import products which 
contain MEKO, after the date specified in paragraph (e) of this section 
to the end of the reimbursement period, shall submit letters of intent 
to conduct testing, submit study plans, conduct tests and submit data, 
or submit exemption applications, as specified in this section, subpart 
A of this part, and parts 790 and 792 of this chapter for single-phase 
rulemaking. Persons who manufacture, import, or process MEKO only as an 
impurity are not subject to these requirements.
    (c) Health effects testing--(1) Pharmacokinetics testing--(i) 
Required testing. Pharmacokinetics testing shall be conducted with MEKO 
in accordance with paragraph (c)(1)(ii) of this section.
    (ii) [Reserved]
    (2) Oncogenicity--(i) Required testing. Oncogenicity testing shall 
be conducted in accordance with Sec.  798.3300 of this chapter.
    (ii) Route of administration. MEKO shall be administered either 
orally or by inhalation.
    (iii) Reporting requirements. (A) Oncogenicity testing shall be 
completed and a final report submitted to EPA within 53 months of the 
date specified in paragraph (e) of this section.
    (B) Interim progress reports shall be submitted to EPA at 6-month 
intervals, beginning 6 months after the date specified in paragraph (e) 
of this section, until submission of the final report to EPA.
    (3) Developmental toxicity--(i) Required testing. Developmental 
toxicity testing shall be conducted in a rodent and a nonrodent 
mammalian species in accordance with Sec.  798.4900 of this chapter.
    (ii) Route of administration. MEKO shall be administered orally.
    (iii) Reporting requirements. (A) Developmental toxicity testing 
shall be completed and a final report submitted to EPA within 15 months 
of the date specified in paragraph (e) of this section.
    (B) Interim progress reports shall be submitted to EPA at 6-month 
intervals, beginning 6 months after the date specified in paragraph (e) 
of this section.
    (4) Reproductive toxicity--(i) Required testing. (A) Reproductive 
toxicity testing shall be conducted orally in accordance with Sec.  
798.4700 of this chapter except for the provisions in paragraphs (c) 
(8)(iii) and (9)(i) of Sec.  798.4700.
    (B) For the purpose of this section, the following provisions also 
apply:
    (1) The following organs and tissues, or representative samples 
thereof, shall be preserved in a suitable medium for possible future 
histopathological examination: Vagina, uterus, oviducts, ovaries, 
testes, epididymides, vas deferens, seminal vesicles, prostate, 
pituitary gland, and, target organ(s) of all P and F1 animals 
selected for mating.
    (2)(i) Full histopathology shall be conducted on the organs and 
tissues listed in paragraph (c)(4)(i)(B)(1) of this section for all high 
dose and control P and F1 animals selected for mating.
    (ii) The integrity of the various cell stages of spermatogenesis 
shall be determined, with particular attention directed toward achieving 
optimal quality in the fixation and embedding. Preparations of 
testicular and associated reproductive organ samples for histology 
should follow the recommendations of Lamb and Chapin (1985) under 
paragraph (d)(1) of this section, or an equivalent procedure. 
Histopathology of the testes shall be conducted on all P and 
F1 adult males at the time of sacrifice, and histological 
analyses shall include evaluations of the spermatogenic cycle, i.e., the 
presence and integrity of the 14 cell stages. These evaluations should 
follow the guidance provided by Clermont and Percy (1957) under 
paragraph (d)(2) of this section. Information shall also be provided 
regarding the nature and level of lesions observed in control animals 
for comparative purposes.
    (iii) Data on female cyclicity shall be obtained by conducting 
vaginal cytology in P and F1 females over the last 3 weeks 
prior to mating; the cell staging technique of Sadleir (1978) and the 
vaginal smear method in Hafez (1978) under paragraphs (d)(3) and (d)(7) 
of this section, respectively, or equivalent methods should be used. 
Data shall be provided on whether the animal is cycling and the cycle 
length.
    (iv) P and F1 females shall continue to be exposed to 
MEKO for at least an additional 2 weeks following weaning of offspring 
to permit them to begin cycling once again. They shall then be

[[Page 256]]

sacrificed and their ovaries shall be serially sectioned with a 
sufficient number of sections examined to adequately detail oocyte and 
follicular morphology. The methods of Mattison and Thorgiersson (1979) 
and Pederson and Peters (1968) under paragraphs (d) (4) and (5) of this 
section, respectively, may provide guidance. The strategy for sectioning 
and evaluation is left to the discretion of the investigators, but shall 
be described in detail in the study plan and final report. The nature 
and background level of lesions in control tissue shall also be noted.
    (v) Gross and histopathologic evaluations shall be conducted on the 
mammary glands in F1 females and F2 pups 
sacrificed at weaning and in adult F1 females at the 
termination of the study. Any abnormalities shall be described in the 
final report.
    (ii) Reporting requirements. (A) Reproductive toxicity testing shall 
be completed and a final report submitted to EPA within 29 months of the 
date specified in paragraph (e) of this section.
    (B) Interim progress reports shall be submitted to EPA at 6-month 
intervals, beginning six months after the date specified in paragraph 
(e) of this section until submission of the final report to EPA.
    (5) Mutagenic effects--gene mutations--(i) Required testing. The 
sex-linked recessive lethal assay in Drosophila shall be conducted with 
MEKO in accordance with Sec.  798.5275 of this chapter.
    (ii) Reporting requirements. (A) The sex-linked recessive lethal 
assay in Drosophila shall be completed and a final report submitted to 
EPA within 18 months of the date specified in paragraph (e) of this 
section.
    (B) Interim progress reports shall be submitted to EPA at 6-month 
intervals beginning 6 months after the date specified in paragraph (e) 
of this section.
    (6) Mutagenic effects--chromosomal aberrations--(i) Required 
testing. (A) An in vivo mammalian bone marrow cytogenetics test shall be 
conducted with MEKO in accordance with either Sec.  798.5385 
(chromosomal analysis) of this chapter, or Sec.  798.5395 (micronucleus 
assay) of this chapter except for the provisions in paragraphs (d)(5) 
(ii), (iii), and (iv) of Sec. Sec.  798.5385 and 798.5395.
    (B) For the purpose of this section, the following provisions also 
apply if Sec.  798.5385 of this chapter is used in conducting the test:
    (1) Dose levels and duration of exposure. At least three dose levels 
shall be tested. The highest dose tested shall be the maximum tolerated 
dose or that dose producing some signs of cytotoxicity (e.g., partial 
inhibition of mitosis) or shall be the highest dose attainable. Under 
oral administration, animals shall be exposed once per day for 5 
consecutive days. Under administration by inhalation, animals shall be 
exposed 6 hours per day for 5 consecutive days.
    (2) Route of administration. Animals shall be exposed to MEKO either 
orally or by inhalation.
    (C) For the purpose of this section, the following provisions also 
apply if Sec.  798.5395 of this chapter is used in conducting the test:
    (1) Dose levels and duration of exposure. At least three-dose levels 
shall be tested. The highest dose tested shall be the maximum tolerated 
dose or that dose producing some signs of cytotoxicity (e.g., a change 
in the ratio of polychromatic to normochromatic erythrocytes) or shall 
be the highest dose attainable. Under oral administration animals shall 
be exposed once per day for 5 consecutive days. Under administration by 
inhalation, animals shall be exposed 6 hours per day for 5 consecutive 
days.
    (2) Route of administration. Animals shall be exposed to MEKO either 
orally or by inhalation.
    (ii) Reporting requirements. (A) The oral in vivo mammalian 
cytogenetics test shall be completed and a final report submitted to EPA 
within 14 months of the date specified in paragraph (e) of this section. 
The inhalation in vivo mammalian cytogenetics test shall be completed 
and a final report submitted to EPA within 17 months of the date 
specified in paragraph (e) of this section.
    (B) Interim progress reports shall be submitted to EPA at 6-month 
intervals, beginning 6 months after the date specified in paragraph (e) 
of this section.
    (7) Neurotoxicity--(i) Required testing--(A) Functional 
observational battery. (1)

[[Page 257]]

A functional observational battery shall be conducted with MEKO in 
accordance with Sec.  798.6050 of this chapter except for the provisions 
in paragraphs (d) (4)(ii), (5), and (6) of Sec.  798.6050.
    (2) For the purpose of this section, the following provisions also 
apply:
    (i) Route of exposure. Animals shall be exposed either orally or by 
inhalation.
    (ii) Lower doses. The data from the lower doses shall show either 
graded dose-dependent effects in at least two of all the doses tested, 
including the highest dose, or no neurotoxic (behavioral) effects at any 
dose tested.
    (iii) Duration and frequency of exposure. For the oral acute 
testing, animals shall be exposed once. For the oral subchronic testing, 
animals shall be exposed once per day 5 days per week for a 90-day 
period. For the inhalation acute testing, animals shall be exposed for 6 
hours for 1 day. For the inhalation subchronic testing, animals shall be 
exposed 6 hours per day 5 days per week for a 90-day period.
    (B) Motor activity. (1) A motor activity test shall be conducted 
with MEKO in accordance with Sec.  798.6200 of this chapter except for 
provisions in paragraphs (d) (4)(ii), (5), and (6) of Sec.  798.6200.
    (2) For the purpose of this section, the following provisions also 
apply:
    (i) Route of exposure. Animals shall be exposed either orally or by 
inhalation.
    (ii) Lower doses. The data from the lower doses shall show either 
graded dose-dependent effects in at least two of all the doses tested 
including the highest dose, or no neurotoxic (behavioral) effects at any 
dose tested.
    (iii) Duration and frequency of exposure. For the acute oral 
testing, animals shall be exposed once. For the oral subchronic testing, 
animals shall be exposed once per day 5 days per week for a 90-day 
period. For the acute inhalation testing, animals shall be exposed for 6 
hours for 1 day. For the inhalation subchronic testing, the animals 
shall be exposed for 6 hours per day 5 days per week for a 90-day 
period.
    (C) Neuropathology. (1) A neuropathology test shall be conducted 
with MEKO in accordance with Sec.  798.6400 of this chapter except for 
the provisions in paragraphs (d) (4)(ii), (5), (6), and (8)(iv)(C) of 
Sec.  798.6400.
    (2) For the purpose of this section, the following provisions also 
apply:
    (i) Route of exposure. Animals shall be exposed either orally or by 
inhalation.
    (ii) Lower doses. The data from the lower doses shall show either 
graded dose-dependent effects in at least two of all the doses tested 
including the highest dose, or no neurotoxic (behavioral) effects at any 
dose tested.
    (iii) Duration and frequency of exposure. Animals shall be exposed 
orally once per day 5 days per week for a 90-day period; or if exposed 
by inhalation, for 6 hours per day 5 days per week for a 90-day period.
    (iv) Clearing and embedding. After dehydration, tissue specimens 
shall be cleared with xylene and embedded in paraffin or paraplast 
except for the sural nerve which should be embedded in plastic. Multiple 
tissue specimens (e.g., brain, cord, ganglia) may be embedded together 
in one single block for sectioning. All tissue blocks shall be labeled 
to provide unequivocal identification. A suggested method for plastic 
embedding is described by Spencer et al. in paragraph (d)(6) of this 
section.
    (ii) Reporting requirements. (A) The neurotoxicity tests required 
under this paragraph (c)(7) and administered orally shall be completed 
and the final results submitted to EPA within 18 months of the date 
specified in paragraph (e) of this section. The neurotoxicity tests 
required under this paragraph (c)(7) and administered by inhalation 
shall be completed and the final results submitted to EPA within 21 
months of the date specified in paragraph (e) of this section.
    (B) Interim progress reports shall be submitted to EPA at 6-month 
intervals beginning 6 months after the date specified in paragraph (e) 
of this section until submission of the final report to EPA.
    (d) References. For additional background information, the following 
references should be consulted.
    (1) Lamb, J. and Chapin, R.E. ``Experimental models of male 
reproductive toxicology.'' In: ``Endocrine Toxicity.'' Thomas, J.A., 
Korach, K.S., and McLachlan, J.A., eds. New York, NY: Raven Press. pp. 
85-115. (1985).

[[Page 258]]

    (2) Clermont, Y. and Percey, B. ``Quantitative study of the cell 
population of the seminiferous tubules in immature rats.'' ``American 
Journal of Anatomy.'' 100:241-267. (1957).
    (3) Sadleir, R.M.F.S. ``Cycles and seasons.'' In: ``Reproduction in 
Mammals: I. Germ Cells and Fertilization.'' Austin, R. and Short R.V., 
eds. New York, NY: Cambridge Press. Chapter 4. (1978).
    (4) Mattison, D.R. and Thorgiersson, S.S. ``Ovarian aryl hydrocarbon 
hydroxylase activity and primordial oocyte toxicity of polycyclic 
aromatic hydrocarbons in mice.'' ``Cancer Research.'' 39:3471-3475. 
(1979).
    (5) Pederson, T. and Peters, H. ``Proposal for classification of 
oocytes and follicles in the mouse ovary.'' ``Journal of Reproduction 
and Fertility.'' 17:555-557. (1968).
    (6) Spencer, P.S., Bischoff, M., and Schaumburg, H.H. 
``Neuropathological methods for the detection of neurotoxic disease.'' 
In: ``Experimental and Clinical Neurotoxicology.'' Spencer, P.S. and 
Schaumburg, H.H., eds. Baltimore, MD: Williams and Wilkins, pp. 743-757 
(1980).
    (7) Hafez, E.S., ed., ``Reproduction and Breeding Techniques for 
Laboratory Animals.'' Chapter 10. Philadelphia: Lea and Febiger. (1970).
    (e) Effective dates. (1) The effective date of this final rule is 
October 27, 1989.
    (2) The guidelines and other test methods cited in this section are 
referenced here as they exist on October 27, 1989.

[54 FR 37808, Sept. 13, 1989, as amended at 58 FR 34205, June 23, 1993]



Sec.  799.3300  Unsubstituted phenylenediamines.

    (a) Identification of test substance. (1) The unsubstituted 
phenylenediamines (pda's), para-phenylenediamine (p-pda, CAS No. 106-50-
3), or its sulfate salt (p-pda.H2SO4, CAS No. 
1624-57-75), meta-phenylenediamine (m-pda, CAS No. 108-45-2), or its 
sulfate salt (m-pda.H2SO4, CAS No. 54-17-08), and 
ortho-phenylenediamine (o-pda, CAS No. 95-54-5) shall be tested in 
accordance with this section.
    (2) p-Pda, m-pda, and o-pda of at least 98 percent purity shall be 
used as the test substances. Either the hydrochloride or sulfate salt of 
m-pda shall be used as the test substances. Either the hydrochloride or 
sulfate salt of m-pda shall be used as a test substance in the 
oncogenicity test in paragraph (c)(2) of this section if the free base 
proves to be unstable under the conditions of this study. Either the 
hydrochloride or sulfate salt of o-pda, p-pda, or m-pda shall be used as 
a test substance in the 90-day subchronic neurotoxicity studies in 
paragraph (c)(3)(B) of this section if the free base proves to be 
unstable under the conditions of these studies. The salt(s) shall be of 
at least 98 percent purity.
    (b) Persons required to submit study plans, conduct tests, and 
submit data. (1) All persons who manufacture (including import or by-
product manufacture) or process m-pda or m-
pda.H2SO4, or intend to manufacture or process m-
pda or m-pda.H2SO4, after the effective date of 
this rule to the end of the reimbursement period shall submit letters of 
intent to test, submit study plans, conduct tests, and submit data, or 
submit exemption applications as specified in paragraphs (c), (d), and 
(e) of this section, subpart A of this part, and parts 790 and 792 of 
this chapter for single-phase rulemaking.
    (2) All persons who manufacture (including import or by-product 
manufacture) or process p-pda, or p-pda.H2SO4, or 
intend to manufacture or process p-pda, or p-pda 
H2SO4, after the effective date of this rule to 
the end of the reimbursement period shall submit letters of intent to 
test, submit study plans, conduct tests, and submit data, or submit 
exemption applications as specified in paragraphs (c)(3), (d), and (e) 
of this section, subpart A of this part and parts 790 and 792 of this 
chapter for single-phase rulemaking.
    (3) All persons who manufacture (including import or by-product 
manufacture) or process o-pda, or intend to manufacture or process o-pda 
after the effective date of this rule to the end of the reimbursement 
period shall submit letters of intent to test, submit study plans, 
conduct tests, and submit data, or submit exemption applications as 
specified in paragraphs (c)(3), (d), and (e) of this section, subpart A 
of this part, and parts 790 and 792 of this chapter for single-phase 
rulemaking.

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    (c) Health effects testing--(1) Mutagenicity testing--(i) Required 
testing. (A) The sex-linked recessive lethal (SLRL) assay shall be 
conducted, by injection, in Drosophila melanogaster with m-pda in 
accordance with Sec.  798.5275 of this chapter.
    (B) If the SLRL assay conducted pursuant to paragraph (c)(1)(i)(A) 
of this section is positive, either the mouse visible specific locus 
test (MVSL) or the mouse biochemical specific locus test (MBSL) shall be 
conducted for m-pda by gavage in accordance with Sec. Sec.  798.5200 or 
798.5195 of this chapter, if after public program review, EPA issues a 
Federal Register notice or sends a certified letter to the test 
sponsor(s) specifying that testing shall be initiated. The test sponsor 
shall notify EPA of its choice in writing in its first interim report.
    (C) The mouse bone marrow cytogenetics: micronucleus (MBMC) assay 
shall be conducted on m-pda in accordance with Sec.  798.5395 of this 
chapter.
    (D) If the MBMC assay conducted pursuant to paragraph (c)(1)(i)(C) 
of this section is positive, the dominant lethal assay (DL) in mice 
shall be conducted on m-pda pursuant to Sec.  798.5450 of this chapter.
    (E) If the DL conducted pursuant to paragraph (c)(1)(i)(D) of this 
section is positive, heritable translocation (HT) testing in the mouse 
on m-pda shall be conducted pursuant to Sec.  798.5460 of this chapter, 
if after a public program review, EPA issues a Federal Register notice 
or sends a certified letter to the test sponsor(s) specifying that 
testing shall be initiated.
    (ii) Reporting requirements. (A) The tests shall be completed and 
the final reports for the MBMC assay shall be submitted to the EPA no 
later than January 16, 1991. The final report for the SLRL in Drosophila 
melanogaster shall be submitted no later than April 15, 1991.
    (B) If required, the DL test shall be completed and the final report 
shall be received by EPA no later than 24 months after the effective 
date of this final rule.
    (C) If required, the MVSL or the MBSL shall be completed and the 
final report shall be received by EPA no later than 51 months after EPA 
issues a Federal Register Notice or sends a certified letter to the test 
sponsor(s) identified under paragraph (c)(1)(i)(B) of this section 
specifying that testing shall be initiated.
    (D) If required, the HT test shall be completed and the final report 
shall be submitted to EPA not later than 36 months after the date on 
which EPA notifies the test sponsor under paragraph (c)(1)(i)(E) of this 
section to begin testing.
    (E) Interim reports for the SLRL assay and MBMC are required at 6-
month intervals beginning 6 months after the effective date of this 
section. If the DL is triggered, interim reports are required at 6 month 
intervals beginning with the date of initiation of the study.
    (F) Interim reports for the HT and either the MBSL or MVSL are 
required at 6-month intervals beginning 6 months after the date of 
notification by EPA that testing shall be initiated, and ending when the 
final report is submitted.
    (2) Oncogenicity--(i) Required testing. A 2-year dermal oncogenicity 
bioassay shall be conducted with m-pda if, after public program review, 
EPA issues a Federal Register notice specifying that the testing shall 
be initiated.
    (ii) [Reserved]
    (iii) Reporting requirements. (A) The final results and final report 
for the oncogenicity bioassay shall be submitted to EPA no later than 53 
months after EPA issues a Federal Register notice or sends a certified 
letter to the test sponsor under paragraph (c)(2)(i) of this section 
specifying that the testing shall be initiated.
    (B) Interim reports for the oncogenicity study are required at 6-
month intervals beginning 6 months after the date of notification by EPA 
that testing shall be initiated and ending when the final report is 
submitted.
    (3) Neurotoxicity--(i) Required testing. (A) Acute neurotoxicity 
testing in the neurotoxicity functional observational battery (FOB) in 
accordance with Sec.  798.6050 of this chapter, and the motor activity 
test (MAT) in accordance with Sec.  798.6200 of this chapter, shall be 
conducted for o-, m-, and p-pda.

[[Page 260]]

The test chemicals shall be administered in a single oral dose. Clinical 
observations shall be made at a minimum of 1, 4, 24, and 48 hours and at 
7 days after dosing.
    (B) If neurotoxic effects are observed at 24 hours, or longer, 
during the testing conducted pursuant to paragraph (c)(3)(i)(A) of this 
section, then 90-day subchronic neurotoxic FOB and MAT tests shall be 
conducted in accordance with Sec. Sec.  798.6050 and 798.6200 of this 
chapter, respectively, for each isomer showing such effects. At the end 
of these tests, the animals shall be sacrificed and the nervous tissue 
preserved and examined as described in the neuropathology test standard, 
Sec.  798.6400 of this chapter.
    (ii) Reporting requirements. (A) The acute neurotoxicity tests shall 
be completed and the final report submitted to EPA no later than 
September 15, 1990. If triggered, the final report of the subchronic 
neurotoxicity testing and the neuropathological examination shall be 
submitted to EPA on the following schedules. If one isomer is triggered, 
the reporting deadline is July 15, 1990. If two isomers are triggered, 
the reporting deadline is January 15, 1992. If three isomers are 
triggered, the reporting deadline is July 15, 1992.
    (B) [Reserved]
    (d) Chemical fate testing--(1) Indirect photolysis testing--(i) 
Required testing. Indirect photolysis studies shall be conducted with p-
, m-, and o-pda to determine the half-life in water of each of the three 
unsubstituted pda's in accordance with Sec.  795.70 of this chapter.
    (ii) Reporting requirements. (A) The final report shall be submitted 
to EPA no later than 8 months after the effective date of the final 
rule.
    (B) The final report shall include a calculation of the predicted 
environmental concentration (PEC), 100xPEC, and 1,000xPEC for each 
isomer. PEC shall be calculated by using results from the indirect 
photolysis studies and solving the following equations for the 
appropriate isomer: o-pda: PECo = 0.3629 + 1.0468 log t 1/2; m-pda: PECm 
= 0.6830 + 1.9702 log t 1/2; p-pda: PECp = 0.0085 + 0.0024 log t 1/2, 
where PEC is the predicted concentration in ppb and t 1/2 is the half-
life for oxidation (i.e., indirect photolysis) expressed in minutes. 
PEC, 100xPEC, and 1,000xPEC shall be used in the decision logic 
described in paragraph (e) of this section.
    (2) [Reserved]
    (e) Environmental effects testing--(1) Acute toxicity testing--(i) 
Required testing. (A) Flow-through fish acute toxicity tests in the 
rainbow trout (Salmo gairdneri) shall be conducted with o-, m-, and p-
pda in accordance with Sec.  797.1400 of this chapter.
    (B) Acute flow-through studies on the freshwater invertebrate 
Gammarus shall be conducted with o-, m-, and p-pda in accordance with 
Sec.  795.120 of this chapter.
    (C) If the concentration affecting 50 percent of the population 
(LC50 or EC50) for any study conducted pursuant to 
paragraphs (e)(1)(i)(A) and (B) of this section is less than or equal to 
100xPEC, less than or equal to 1 milligram/liter (mg/L), or less than or 
equal to 100 mg/L and shows indications of chronicity, chronic toxicity 
testing shall be conducted pursuant to paragraph (e)(2) of this section. 
Indications of chronicity shall be the following: for fish or aquatic 
invertebrates, the ratio of 24 hour/96 hour LC50s is greater 
than or equal to 2; for gammarids, the ratio of 24 hour/48 hour 
EC50s is greater than or equal to 2.
    (ii) Reporting requirements. The final reports for acute toxicity 
testing shall be submitted as follows:
    (A) Testing on the rainbow trout shall be completed and submitted to 
EPA 9 months after the effective date of the final rule for o-pda and p-
pda. Testing for m-pda shall be completed and submitted by January 15, 
1991.
    (B) The acute toxicity testing in freshwater Gammarus shall be 
completed and submitted no later than January 15, 1991.
    (2) Chronic toxicity testing--(i) Required testing. (A) A fish 
partial life-cycle flow-through test shall be conducted in the more 
sensitive fish species, either Pimephales promelas or Salmo gairdneri, 
with each isomer, o-, m-, and p-pda, demonstrating an LC50, 
determined by testing of fish pursuant to paragraph (e)(1)(i)(A) of this 
section, equal to or less than 100xPEC; or less than 1 mg/L; or less 
than 100 mg/L with indications of chronicity. Chronicity indicators are 
defined in paragraph

[[Page 261]]

(e)(1)(i)(C) of this section. Testing shall be conducted in accordance 
with Sec.  797.1600 of this chapter.
    (B) An invertebrate life-cycle flow-through toxicity test shall be 
conducted in Daphnia magna for o- and p-pda in accordance with Sec.  
797.1330 of this chapter.
    (ii) Reporting requirements. (A) The fish partial life-cycle flow-
through test shall be completed and final results shall be submitted to 
EPA no later than December 1, 1992.
    (B) The invertebrate life-cycle flow-through toxicity test shall be 
completed and the final report submitted to EPA no later than January 
15, 1993.
    (C) Progress reports shall be submitted at 6 month intervals after 
the effective date of the final rule.
    (f) Effective dates. (1) The effective date of this final rule is 
January 16, 1990, except for paragraphs (c)(1)(i)(B), (c)(1)(ii)(A), 
(c)(1)(ii)(C), (c)(1)(ii)(F), (c)(3)(ii)(A), (e)(1)(ii), (e)(2)(ii)(A), 
and (e)(2)(ii)(B) of this section. The effective date for paragraphs 
(c)(1)(i)(B), (c)(1)(ii)(C), and (c)(1)(ii)(F) of this section is May 
21, 1990. The effective date for paragraphs (c)(1)(ii)(A), 
(c)(3)(ii)(A), and (e)(1)(ii), of this section is May 21, 1991. The 
effective date for paragraph (e)(2)(ii)(A) is June 12, 1992. The 
effective date for paragraph (e)(2)(ii)(B) is May 28, 1993.
    (2) The guidelines and other test methods cited in this rule are 
referenced as they exist on the effective date of the final rule.

[54 FR 49294, Nov. 30, 1989, as amended at 55 FR 12644, Apr. 5, 1990; 56 
FR 23231, May 21, 1991; 57 FR 24961, June 12, 1992; 58 FR 30992, May 28, 
1993; 58 FR 34205, June 23, 1993]



Sec.  799.4360  Tributyl phosphate.

    (a) Identification of test substance. (1) Tributyl phosphate (TBP, 
CAS No. 126-73-8) shall be tested in accordance with this section.
    (2) TBP of at least 99 percent purity shall be used as the test 
substance.
    (b) Persons required to submit study plans, conduct tests, and 
submit data. All persons who manufacture (including import and byproduct 
manufacture) or process or intend to manufacture or process TBP, other 
than as an impurity, from the effective date of the final rule to the 
end of the reimbursement period shall submit letters of intent to 
conduct testing, submit study plans, conduct tests, and submit data, or 
submit exemption applications as specified in this section, subpart A of 
this part, and part 790 of this chapter for single-phase rulemaking.
    (c) Health effects testing--(1) Neurotoxicity--(i) Required testing. 
(A)(1) An acute and subchronic functional observational battery shall be 
conducted with TBP in accordance with Sec.  798.6050 of this chapter 
except for the provisions of paragraphs (d) (5) and (6) of Sec.  
798.6050.
    (2) For the purpose of this section, the following provisions also 
apply:
    (i) Animal selection. Testing shall be performed in laboratory rats.
    (ii) Duration of testing. For the acute testing, the substance shall 
be administered over a period not to exceed 24 hours; for the subchronic 
testing, test species shall be exposed daily for at least 90 days.
    (iii) Route of exposure. Animals shall be exposed to TBP orally.
    (B)(1) An acute and subchronic motor activity test shall be 
conducted with TBP in accordance with Sec.  798.6200 of this chapter 
except for the provisions of paragraphs (d) (5) and (6) of Sec.  
798.6200.
    (2) For the purpose of this section, the following provisions also 
apply:
    (i) Animal selection. Testing shall be performed in laboratory rats.
    (ii) Duration of testing. For the acute testing, the substance shall 
be administered over a period not to exceed 24 hours; for the subchronic 
testing, test species shall be exposed daily for at least 90 days.
    (iii) Route of administration. Animals shall be exposed to TBP 
orally.
    (C)(1) A neuropathology test shall be conducted with TBP in 
accordance with Sec.  798.6400 of this chapter except for the provision 
of paragraphs (d)(1)(i) (5) and (6) of Sec.  798.6400.
    (2) For the purpose of this section, the following provisions also 
apply:
    (i) Animal selection. Testing shall be performed in laboratory rats.
    (ii) Duration of testing. Animals shall be exposed for at least a 
90-day period.
    (iii) Route of administration. Animals shall be exposed to TBP 
orally.
    (ii) Reporting requirements--(A) The neurotoxicity tests required 
under

[[Page 262]]

paragraph (c)(1)(i) (A), (B), and (C) of this section shall be completed 
and final reports submitted to EPA within 18 months of the effective 
date of the final rule.
    (B) An interim progress report for these neurotoxicity tests shall 
be submitted to EPA 6 months after the effective date of the final rule.
    (2) Developmental toxicity--(i) Required testing. (A) A 
developmental toxicity study shall be conducted with TBP in accordance 
with Sec.  798.4900 of this chapter, except for the provisions of 
paragraph (e)(5) of Sec.  798.4900.
    (B) for the purpose of this section, the following provision also 
applies:
    (1) Route of administration. The animals shall be exposed to TBP by 
gavage.
    (2) [Reserved]
    (ii) Reporting requirements. (A) The developmental toxicity study 
required under paragraph (c)(2) of this section shall be completed and a 
final report submitted to EPA by January 27, 1991.
    (B) An interim progress report shall be submitted to EPA 6 months 
after the effective date of the final rule.
    (3) Reproductive and fertility--(i) Required testing. (A) A 
reproduction and fertility study shall be conducted with TBP in 
accordance with Sec.  798.4700 of this chapter, except for the 
provisions of paragraph (c)(5)(i)(A) of Sec.  798.4700.
    (B) for the purpose of this section, the following provisions also 
apply:
    (1) Route of administration. Animals should be exposed to TBP by 
gavage.
    (2) [Reserved]
    (ii) Reporting requirements. (A) The reproduction and fertility 
effects study required under paragraph (c)(3) of this section shall be 
completed and a final report submitted to EPA by August 17, 1992.
    (B) Interim program reports shall be submitted to EPA at 6 month 
intervals, beginning 6 months after the effective date of the final 
rule, until the final report is submitted to EPA.
    (4) Mutagenic effects--Gene mutation--(i) Required testing. (A) A 
detection of gene mutation in somatic cells in culture test shall be 
conducted with TBP in accordance with Sec.  798.5300 of this chapter.
    (B)(1) If TBP produces a positive result in the assay conducted 
pursuant to paragraph (c)(4)(i)(A) of this section, a sex-linked 
recessive lethal test in Drosophila melanogaster shall be conducted with 
TBP in accordance with Sec.  798.5275 of this chapter, except for the 
provisions of paragraph (d)(5)(iii) of Sec.  798.5275.
    (2) For the purpose of this section, the following provisions also 
apply:
    (i) Route of administration. Animals shall be exposed to TBP orally.
    (ii) [Reserved]
    (iii) Reporting requirements. (A) The somatic cells in culture assay 
shall be completed and the final report submitted to EPA, within 10 
months after the effective date of the final rule. If required, the 
Drosophila sex-linked recessive lethal assay shall be completed and the 
final report submitted to EPA within 22 months after the effective date 
of the final rule.
    (B) Interim progress reports shall be submitted to EPA at 6 month 
intervals beginning 6 months after initiation of the sex-linked 
recessive lethal test in Drosophila until the applicable final reports 
are submitted to EPA.
    (5) Mutagenic effects--Chromosomal aberration--(i) Required testing. 
(A) An in vitro mammalian cytogenetics test shall be conducted with TBP 
in accordance with Sec.  798.5375 of this chapter.
    (B)(1) If TBP produces a negative result in the in vitro 
cytogenetics test conducted pursuant to paragraph (c)(5)(i)(A) of this 
section, an in vivo mammalian bone marrow cytogenetics test shall be 
conducted with TBP in accordance with Sec.  798.5385 of this chapter, 
except for the provisions of paragraph (d)(5)(iii) of Sec.  798.5385.
    (2) For the purpose of this section, the following provisions also 
apply:
    (i) Route of administration. Animals shall be exposed to TBP orally.
    (ii) [Reserved]
    (C)(1) If TBP produces a positive result in either the in vitro or 
the in vivo cytogenetics test conducted pursuant to paragraphs (c)(5)(i) 
(A) and (B) of this section, a rodent dominant-lethal assay shall be 
conducted with TBP in accordance with Sec.  798.5450 of this chapter, 
except for the provisions of paragraph (d)(5)(iii) of Sec.  798.5450.
    (2) For the purpose of this section, the following provisions also 
apply:

[[Page 263]]

    (i) Route of administration. Animals shall be exposed orally to TBP.
    (ii) [Reserved]
    (D)(1) A rodent heritable trans- location assay shall be conducted 
with TBP if the dominant-lethal assay conducted for TBP pursuant to 
paragraph (c)(5)(i)(C) of this section produces a positive result, and 
if, after a public program review, EPA issues a Federal Register notice 
or sends a certified letter to the test sponsor specifying that the 
testing shall be initiated. This test shall be conducted in accordance 
with Sec.  798.5460 of this chapter except for the provisions of 
paragraph (d)(5)(iii) of Sec.  798.5460.
    (2) For the purpose of this section, the following provisions also 
apply:
    (i) Route of administration. Animals shall be exposed to TBP orally.
    (ii) [Reserved]
    (ii) Reporting requirements. (A)(1) The in vitro mammalian 
cytogenetics test shall be completed and the final report submitted to 
EPA within 10 months after the effective date of the final rule.
    (2) If required, the in vivo mammalian bone-marrow cytogenetics test 
shall be completed and the final report submitted to EPA within 24 
months after the effective date of the final rule.
    (3) If required, the dominant lethal assay shall be completed and 
the final report submitted to EPA within 36 months after the effective 
date of the final rule.
    (4) If required, the heritable translocation assay shall be 
completed and the final report submitted to EPA within 25 months after 
the date of EPA's notification of the test sponsor under paragraph 
(c)(5)(i)(D) of this section that testing shall be initiated.
    (B) Interim progress reports shall be submitted to EPA at 6 month 
intervals beginning 6 months after initiation of the rodent dominant 
lethal assay and the rodent heritable translocation assay respectively, 
if required, until the applicable final reports are submitted to EPA.
    (6) Oncogenicity--(i) Required testing. (A) An oncogenicity test 
shall be conducted with TBP in accordance with Sec.  798.3300 of this 
chapter except for the provisions of paragraphs (b)(1)(i), (b)(6)(i) and 
(b)(9), of Sec.  798.3300.
    (B) For the purpose of this section, the following provisions also 
apply:
    (1) Animal selection. TBP shall be tested in Sprague-Dawley rats and 
in mice.
    (2) Route of administration. Animals shall be exposed to TBP orally.
    (3) Clinical examinations. At 12 months, 18 months and during month 
24, a blood smear shall be obtained from all animals. A differential 
blood count shall be performed on blood smears from those animals in the 
highest dosage group and the controls. If these data, or data from the 
pathological examination indicate a need, then the 12- and 18-month 
blood smears from other dose levels shall also be examined. Differential 
blood counts shall be performed for the next lower group(s) if there is 
a major discrepancy between the highest group and the controls. If 
clinical observations suggest a deterioration in health of the animals 
during the study, a differential blood count of the affected animals 
shall be performed.
    (ii) Reporting requirements. (A) The oncogenicity test required 
under paragraph (c)(6) of this section shall be completed and a final 
report submitted to EPA within 53 months of the effective date of the 
final rule.
    (B) Interim progress reports shall be submitted to EPA at 6 month 
intervals beginning 6 months after the effective date of the final rule, 
until the final report is submitted to EPA.
    (7) Dermal sensitization--(i) Required testing. A dermal 
sensitization test shall be conducted with TBP in accordance with Sec.  
798.4100 for this chapter.
    (ii) Reporting requirements. The dermal sensitization test shall be 
completed and the final report submitted to EPA within 6 months of the 
effective date of the final rule.
    (8) Oral/Dermal Pharmacokinetics--(i) Required testing. (A) A 
pharmaco- kinetics test shall be conducted with TBP in accordance with 
Sec.  795.228 of this chapter, except for the provisions of paragraphs 
(c)(1)(iii)(B), (c)(2)(ii)(C)(1) and (c)(2)(ii)(C)(2) of Sec.  795.228.
    (B) For the purposes of this section, the following provisions also 
apply:
    (1) Animal care. During the acclimatization period, the animals 
shall be

[[Page 264]]

housed in suitable cages. All animals shall be provided with certified 
feed and tap water ad libitum.
    (2) Dermal treatment. For dermal treatment, two doses, comparable to 
the low and high oral doses, shall be dissolved in a suitable vehicle 
and applied in volumes adequate to deliver comparable doses. The backs 
of the animals should be lightly clipped with an electric clipper 24 
hours before treatment. The test substance shall be applied to the 
intact clipped skin (approximately 2 cm\2\ for rats, 40 cm\2\ for mini-
pigs). The dosed areas shall be protected with a suitable porous 
covering which is secured in place, and the animals shall be housed 
separately.
    (ii) Reporting requirements. (A) The pharmacokinetics test required 
in paragraph (c)(8)(i) of this section shall be completed and the final 
report submitted to EPA by December 26, 1992.
    (B) Interim 6 month progress reports shall be submitted to EPA 
beginning at 6 months after the effective date of the final rule and 
continuing until submission of the final report.
    (d) Environmental effects testing--(1) Algal acute toxicity--(i) 
Required testing. (A) Algal acute toxicity testing shall be conducted 
with TBP using Selenastrum capricornutum in accordance with Sec.  
797.1050 of this chapter except for the provisions of paragraphs 
(c)(6)(i)(A),(B), and (ii) of Sec.  797.1050.
    (B) For the purpose of this section, the following provisions also 
apply:
    (1) Summary of the test. The algal cells at the end of 24, 48, and 
72 hours shall be enumerated.
    (2) Chemical measurement. The final separation of the algal cells 
from the test solution shall be done using an ultrafiltration (e.g., 
0.45 micrometer pore size) technique. The total and dissolved (e.g., 
filtered) concentrations of the test substance shall be measured in each 
test chamber and the delivery chamber before the test and in each test 
chamber at 0 and 96 hours.
    (ii) Reporting requirements. The algal acute toxicity test required 
in paragraph (d)(1) of this section shall be completed and the final 
report submitted to EPA within 9 months of effective date of the final 
rule.
    (2) Fish acute toxicity--(i) Required testing. (A) Fish acute 
toxicity testing shall be conducted with TBP using Salmo gairdneri 
(rainbow trout) in accordance with Sec.  797.1400 of this chapter.
    (B) For the purpose of this section, the following provisions also 
apply:
    (1) Chemical measurement. The total and dissolved (e.g., filtered) 
concentrations of the test substance shall be measured in each test 
chamber delivery chamber before the test. If the dissolved test 
substance concentration is greater than 80 percent of total test 
substance concentration, then only total or dissolved test concentration 
shall be measured in each chamber at 0, 48, and 96 hours. If the 
dissolved test substance concentration is less than or equal to 80 
percent of total test substance, then total and dissolved test substance 
concentration shall be measured at 0, 48 and 96 hours.
    (2) Test procedures. The test shall be performed under flow-through 
conditions.
    (ii) Reporting requirements. The fish acute toxicity test shall be 
completed and the final report submitted to EPA within 9 months of the 
effective date of the final rule.
    (3) Daphnid acute toxicity--(i) Required testing. (A) Daphnid acute 
toxicity testing shall be conducted with TBP using Daphnia magna or D. 
pulex in accordance with Sec.  797.1300 of this chapter.
    (B) For the purpose of this section, the following provisions also 
apply:
    (1) Chemical measurement. The total and dissolved (e.g., filtered) 
concentrations of the test substance shall be measured in each test 
chamber and the delivery chamber before the test. If the dissolved test 
substance concentration is greater than 80 percent of total test 
substance concentration, then only total or dissolved test concentration 
shall be measured in each chamber at 0, 24, and 48 hours. If the 
dissolved test substance concentration is less than or equal to 80 
percent of total test substance, then total and dissolved test substance 
concentration shall be measured at 0, 29, and 48 hours.
    (2) Test procedures. The test shall be performed under flow-through 
conditions.
    (ii) Reporting requirements. The daphnid acute toxicity test shall 
be

[[Page 265]]

completed and the final report submitted to EPA within 9 months of the 
effective date of the final rule.
    (4) Gammarid acute toxicity--(i) Required testing. (A) Gammarid 
acute toxicity testing shall be conducted with TBP using Gammarus 
lacustris, G. fasciatus, or G. pseudolimnaeus in accordance with Sec.  
795.120 of this chapter.
    (B) For the purpose of this section, the following provisons also 
apply:
    (1) Chemical measurement. The total and dissolved (e.g., filtered) 
concentrations of the test substance shall be measured in each test 
chamber and the delivery chamber before the test. If the dissolved test 
substance concentration is greater than 80 percent of total test 
substance concentration, then only total or dissolved test concentration 
shall be measured in each chamber at 0, 48, and 96 hours. If the 
dissolved test substance concentration is less than or equal to 80 
percent of total test substance, then total and dissolved test substance 
concentration shall be measured at 0, 48, and 96 hours.
    (2) Test procedures. The test shall be performed under flow-through 
conditions.
    (ii) Reporting requirements. The Gammarid acute toxicity test shall 
be completed and the final report submitted to EPA within 9 months of 
the effective date of the final rule.
    (5) Daphnid chronic toxicity--(i) Required testing. (A) Daphnid 
chronic toxicity testing shall be conducted with TBP using Daphnia magna 
or D. pulex in accordance with Sec.  797.1330 of this chapter, if the 
algal EC50, the rainbow trout LC50, the daphnid EC50, or the gammarid 
LC50 determined in accordance with paragraphs (d)(1), (2), (3) and (4) 
of this section satisfy the following criteria: Any such value is <= 1 
mg/L; or any fish or aquatic invertebrate EC50 or LC50 is <= 100 mg/L 
and either the rainbow trout or gammarid 24-hour to 96-hour LC50 ratio 
= 2, or the daphnid 24-hour to 48-hour EC50 or LC50 ratio is 
= 2.
    (B) For the purpose of this section, the following provisions also 
apply:
    (1) Chemical measurement. The total and dissolved (e.g., filtered) 
concentrations of the test substance shall be measured in each test 
chamber and the delivery chamber before the test. If the dissolved test 
substance concentration is greater than 80 percent of total test 
substance concentration, then only total or dissolved test substance 
concentration shall be measured in each test chamber at 0, 7, 14, and 21 
days. If the dissolved test substance concentration is less than or 
equal to 80 percent of total test substance concentration, then total 
and dissovled test substance concentration shall be measured at 0, 7, 
14, and 21 days.
    (2) Test procedures. The test shall be performed under flow-through 
conditions.
    (ii) Reporting requirements. (A) The daphnid chronic toxicity test, 
if required, shall be completed and the final report submitted to EPA by 
September 27, 1991.
    (B) An interim progress report shall be submitted to EPA 6 months 
after the initiation of the test.
    (6) Fish early-life stage toxicity--(i) Required testing. A fish 
early-life stage toxicity test shall be conducted with TBP in accordance 
with Sec.  797.1600 of this chapter, using the fish with the lower LC50 
value (either the rainbow trout (Salmo gairdneri) or the fathead minnow 
(Pimephales promelas)), if the algal EC50, the rainbow trout LC50, the 
gammarid LC50 or the daphnid EC50 determined in accordance with 
paragraphs (d)(1), (2), (3), and (4) of this section satisfy the 
following criteria: Any such value is <= 1 mg/L; or any fish or aquatic 
invertebrate EC50 or LC50 is <= 100 mg/L and either the rainbow trout or 
gammarid 24 hour to 96 hour LC50 ratio = 2, or the daphnid 
24-hour to 48-hour EC50 or LC50 ratio is = 2.
    (ii) Reporting requirements. (A) The fish early-life stage flow-
through toxicity test shall be completed and the final report submitted 
to EPA by December 27, 1991.
    (B) An interim progress report shall be submitted to EPA 6 months 
after the initiation of the test.
    (7) Benthic sediment invertebrate bioassay--(i) Required testing. 
(A) A benthic sediment invertebrate bioassay shall be conducted on TBP 
with the midge (Chironomus tentans) if chronic toxicity testing is 
required pursuant to paragraph (d)(5) of this section and if the log Koc 
calculated according to paragraph (e)(2)(B)(1) of this section is

[[Page 266]]

greater than or equal to 3.5 but less than or equal to 6.5. The total 
aqueous sediment concentrations and interstitial water concentrations of 
the test substance shall be measured in each test chamber at 0, 4, 7, 
10, and 14 days. The aqueous concentrations of the test substance in the 
delivery chamber shall be measured at 0, 4, 7, 10, and 14 days. TBP-
spiked clean freshwater sediments containing low, medium, and high 
organic carbon content shall be used.
    (B) The benthic sediment invertebrate bioassay shall be conducted 
according to the test procedure specified in the American Society for 
Testing and Materials, Special Technical Publication 854 (ASTM STP 854) 
entitled, ``Aquatic Safety Assessment of Chemicals Sorbed to 
Sediments,'' by W.J. Adams, R.A. Kimerle, and R.G. Mosher, published in 
Aquatic Toxicity and Hazard Assessment: Seventh Symposium, ASTM STP 854, 
pp. 429-453, R.D. Caldwell, R. Purdy, and R.C. Bahner, Eds., 1985 which 
is incorporated by reference. This published procedure is available for 
public inspection at the National Archives and Records Administration 
(NARA). For information on the availability of this material at NARA, 
call 202-741-6030, or go to: http://www.archives.gov/federal--register/
code--of--federal--regulations/ibr--locations.html. Copies may be 
obtained from the Non-Confidential Information Center (NCIC) (7407), 
Office of Pollution Prevention and Toxics, U.S. Environmental Protection 
Agency, Room B-607 NEM, 401 M St., SW., Washington, DC 20460, between 
the hours of 12 p.m. and 4 p.m. weekdays excluding legal holidays. This 
incorporation by reference was approved by the Director of the Federal 
Register in accordance with 5 U.S.C. 522(a) and 1 CFR part 51. The 
method is incorporated as it exists on the effective date of this rule 
and a notice of any change to the method will be published in the 
Federal Register.
    (ii) Reporting requirements. (A) The benthic sediment invertebrate 
bioassay, if required, shall be completed and the final report submitted 
to EPA within 21 months of the effective date of the final rule.
    (B) An interim progress report shall be submitted to EPA for the 
benthic sediment invertebrate bioassy 6 months after the initiation of 
the test.
    (e) Chemical fate testing--(1) Vapor pressure--(i) Required testing. 
Vapor pressure testing shall be conducted with TBP in accordance with 
Sec.  796.1950 of this chapter.
    (ii) Reporting requirements. The vapor pressure test required in 
paragraph (d)(1) of this section shall be completed and the final report 
submitted to EPA by September 27, 1990.
    (2) Sediment and soil adsorption isotherm--(i) Required testing. 
Sediment and soil absorption isotherm testing shall be conducted with 
TBP in accordance with Sec.  796.2750 of this chapter and EPA will 
provide two soil and two sediment samples.
    (ii) Reporting requirements. (A) The sediment and soil absorption 
isotherm test required under paragraph (d)(2) of this section shall be 
completed and the final report submitted to EPA by September 27, 1990.
    (B) For the purpose of this section, the following provisions also 
apply:
    (1) A Koc value shall be calculated for each test sediment using the 
equation Koc=K/ (percent of organic carbon in test sediment).
    (2) [Reserved]
    (3) Hydrolysis as a function of pH at 25 [deg]C--(i) Required 
testing. Hydrolysis testing shall be completed with TBP in accordance 
with Sec.  796.3500 of this chapter.
    (ii) Reporting requirements. The hydrolysis test required under 
paragraph (e)(3)(i) of this section shall be completed and the final 
report submitted to EPA by September 27, 1990.
    (f) Effective date. (1) The effective date of this final rule is 
September 27, 1989, except for paragraphs (c)(2)(ii)(A), (c)(3)(ii)(A), 
(c)(6)(i)(A), (c)(6)(i)(B)(3), (c)(8)(i), (c)(8)(ii)(A), (d)(5)(ii)(A), 
(d)(6)(ii)(A), (e)(1)(ii), (e)(2)(ii)(A), and (e)(3)(ii) of this 
section. The effective date for paragraphs (c)(2)(ii)(A), (c)(3)(ii)(A), 
(c)(8)(i), (e)(1)(ii), (e)(2)(ii)(A), and (e)(3)(ii) of this section is 
May 21, 1991. The effective date for (c)(8)(ii)(A), (d)(5)(ii)(A), and 
(d)(6)(ii)(A) of this section is June 12, 1992. The effective date for 
(c)(6)(i)(A), (c)(6)(i)(B)(3), and (c)(8)(ii)(A) is May 28, 1993.

[[Page 267]]

    (2) The guidelines and other test methods cited in this rule are 
referenced as they exist on the effective date of the final rule.

[54 FR 33413, Aug. 14, 1989; 56 FR 23231, May 21, 1991, as amended at 57 
FR 24961, June 12, 1992; 58 FR 30992, May 28, 1993; 58 FR 34205, June 
23, 1993; 60 FR 34467, July 3, 1995; 69 FR 18803, Apr. 9, 2004]



Sec.  799.4440  Triethylene glycol monomethyl ether.

    (a) Identification of test substance. (1) Triethylene glycol 
monomethyl ether (TGME, CAS No. 112-35-6) shall be tested in accordance 
with this section.
    (2) TGME of at least 90 percent purity shall be used as the test 
substance.
    (b) Persons required to submit study plans, conduct tests, and 
submit data. All persons who manufacture or process TGME, other than as 
an impurity, after May 17, 1989, to the end of the reimbursement period 
shall submit letters of intent to conduct testing, submit study plans, 
conduct tests and submit data, or submit exemption applications as 
specified in this section, subpart A of this part, and parts 790 and 792 
of this chapter for single-phase rulemaking.
    (c) Developmental neurotoxicity--(1) Required testing. Developmental 
neurotoxicity testing shall be performed in the Sprague-Dawley rat by 
gavage in accordance with Sec.  795.250 of this chapter except for the 
provision in paragraph (c)(3)(iii) of Sec.  795.250.
    (2) For the purpose of this section, the following provisions also 
apply:
    (i) Number of animals. The objective is for a sufficient number of 
pregnant rats to be exposed to ensure that an adequate number of 
offspring are produced for neurotoxicity evaluation. At least 24 litters 
are recommended at each dose level.
    (ii) Dose levels and dose selection. In the absence of developmental 
toxicity or maternal toxicity the maximum dose shall be 5 grams/
kilogram.
    (3) Reporting requirements--(i) The developmental neurotoxicity test 
shall be completed and the final report submitted to EPA within 21 
months of the initiation of the test.
    (ii) Progress reports shall be submitted to EPA at 6- month 
intervals, beginning six months after the initiation of the test.
    (d) Effective date. (1) The effective date of this final rule is May 
17, 1989, except for paragraph (c)(2)(i) and (c)(3)(i) of this section. 
The effective date for paragraph (c)(2)(ii) and (c)(3)(i) of this 
section is May 21, 1991.
    (2) The guidelines and other test methods cited in this rule are 
referenced as they exist on the effective date of the final rule.

[54 FR 13477, Apr. 3, 1989; 56 FR 23232, May 21, 1991, as amended at 58 
FR 34205, June 23, 1993]



                    Subpart C_Testing Consent Orders



Sec.  799.5000  Testing consent orders for substances and mixtures with Chemical Abstract Service Registry Numbers.

    This section sets forth a list of substances and mixtures which are 
the subject of testing consent orders adopted under 40 CFR part 790. 
Listed below in Chemical Abstract Service (CAS) Registry Number order 
are the substances and mixtures which are the subject of these orders 
and the Federal Register citations providing public notice of such 
orders.

------------------------------------------------------------------------
                   Substance or                          FR Publication
  CAS Number       mixture name          Testing              Date
------------------------------------------------------------------------
       67-64-1  Acetone...........  Health effects...  January 23, 1995.
       71-55-6  1,1,1-              Health effects...  August 23, 1989.
                 Trichloroethane.
       78-83-1  Isobutyl alcohol..  Health effects...  January 23, 1995.
       79-10-7  Acrylic Acid......  Health effects...  March 4, 1992.
       84-74-2  Di-n-butyl          Environmental      January 9, 1989.
                 phthalate.          effects.
       84-75-3  Di-n-hexyl          Environmental      January 9, 1989.
                 phthalate.          effects.
                ..................  Chemical fate....  January 9, 1989.
      100-40-3  4-Vinylcyclohexene  Health effects...  September 23,
                                                        1991.
                ..................  Chemical fate....  September 23,
                                                        1991.
      106-91-2  Glycidyl            Health effects...  January 26, 1995.
                 methacrylate.
      108-10-1  Methyl isobutyl     Health effects...  January 23, 1995.
                 ketone.
      109-99-9  Tetrahydrofuran...  Health effects...  January 23, 1995.

[[Page 268]]

 
      110-82-7  Cyclohexane.......  Health Effects     November 18,
                                     and                1994.
                                     Environmental
                                     Releases Report.
      112-35-6  Triethylene glycol  Health effects...  April 3, 1989.
                 monomethyl ether.
      112-50-5  Triethylene glycol  Health effects...  April 3, 1989.
                 monoethyl ether.
      117-81-7  Di-2-ethylhexyl     Chemical fate....  January 9, 1989.
                 phthalate.
      119-06-2  Ditridecyl          Chemical fate....  January 9, 1989.
                 phthalate.
      123-86-4  N-butyl acetate...  Health effects...  January 23, 1995.
      131-11-3  Dimethly phthalate  Environmental      January 9, 1989.
                                     effects.
      141-78-6  Ethyl acetate.....  Health effects...  January 23, 1995.
      141-79-7  Mesityl oxide.....  Health effects...  September 5,
                                                        1991.
      143-22-6  Triethylene glycol  Health effects...  January 9, 1989.
                 monobutyl ether.
      143-33-9  Sodium cyanide....  Chemical fate....  December 17,
                                                        1991.
                ..................  Terrestrial        December 17,
                                     effects.           1991.
      556-67-2  Octamethylcyclo-    Chemical fate....  January 10, 1989.
                 tetrasiloxane.
                ..................  Environmental      January 10, 1989.
                                     effects.
      628-63-7  N-amyl acetate....  Health effects...  January 23, 1995.
      872-50-4  N-                  Health effects...  November 23,
                 methylpyrrolidone.                     1993.
      994-05-8  Tertiary-amyl       Health effects...  March 21, 1995.
                 methyl ether.
     1634-04-4  Methyl tert-butyl   Health effects...  March 31, 1988.
                 ether.
     2461-18-9  Lauryl glycidyl     Health effects...  June 11, 1996.
                 ether\1\.
     3618-72-2  C.I. Disperse Blue  Health effects...  November 21,
                 79:1 Acetamide,N-                      1989.
                 [5-[bis[2-
                 (acetyloxy)
                 ethyl]amino]-2-
                 [(2-bromo-4, 6-
                 dinitrophenyl)
                 azo]-4-
                 methoxyphenyl]-.
                ..................  Environmental      November 21,
                                     effects.           1989.
     3648-20-2  Diundecyl           Environmental      January 9, 1989.
                 phthalate.          effects.
     4170-30-3  Crotonaldehyde....  Environmental      November 9, 1989.
                                     effects.
                ..................  Chemical fate....  November 9, 1989.
     4675-54-3  Bisphenol A         Health effects...  August 1, 1994.
                 diglycidyl ether.  Exposure
                                     evaluation.
    15965-99-8  Hexadecyl glycidyl  Health effects...  June 11, 1996.
                 ether\1\.
    16245-97-9  n-Octadecyl         Health effects...  June 11, 1996.
                 glycidyl ether\1\.
    26761-40-0  Diisodecyl          Chemical fate....  January 9, 1989.
                 phthalate.
    38954-75-5  Tetradecyl          Health effects...  June 11, 1996.
                 glycidyl ether\1\.
    68081-84-5  Alkyl (C10-C16)     Health effects...  June 11, 1996.
                 glycidyl ether\1\.
    68515-47-9  Ditridecyl          Chemical fate....  January 9, 1989.
                 phthalate (mixed
                 isomers).
    68515-49-1  Diisodecyl          Chemical fate....  January 9, 1989.
                 phthalate (mixed
                 isomers).
    68515-50-4  Dihexyl phthalate   Environmental      January 9, 1989.
                 (mixed isomers).    effects.
                ..................  Chemical fate....  January 9, 1989.
    68609-97-2  Alkyl (C12-C14)     Health effects...  June 11, 1996.
                 glycidyl ether\1\.
   84852-15-3*  4-Nonylphenol,      Environmental      February 21,
                 branched.           effects.           1990.
                ..................  Chemical fate....  February 21,
                                                        1990.
   120547-52-6  Alkyl (C12-C13)     Health effects...  March 22, 1996.
                 glycidyl ether.
   142844-00-6  Refractory ceramic  Exposure           May 14, 1993.
                 fibers.             monitoring.
------------------------------------------------------------------------
\1\ As represented by alkyl (C12-C13) glycidyl ether (CAS No. 120547-52-
  6)


[57 FR 18829, May 1, 1992, as amended at 57 FR 24961, June 12, 1992; 58 
FR 28520, May 14, 1993; 58 FR 34205, June 23, 1993; 58 FR 61816, Nov. 
23, 1993; 59 FR 38920, Aug. 1, 1994; 59 FR 59663, Nov. 18, 1994; 60 FR 
4519, Jan. 23, 1995; 60 FR 5140, Jan. 26, 1995; 60 FR 14911, Mar. 21, 
1995; 60 FR 31924, June 19, 1995; 61 FR 11742, Mar. 22, 1996; 61 FR 
29487, June 11, 1996]



Sec.  799.5025  Testing consent orders for mixtures without Chemical Abstracts Service Registry Numbers.

    This section sets forth a list of mixtures (with no Chemical 
Abstracts Service Registry Numbers) which are the subject of testing 
consent orders adopted under 40 CFR part 790. Listed below are the 
mixtures which are the subject of these orders and the Federal Register 
citations providing public notice of such orders.

------------------------------------------------------------------------
        Mixture/substance             Required test       FR citation
------------------------------------------------------------------------
Di(heptyl, nonyl, undecyl)
 phthalate (D711P) as a mixture
 of the following six substances:
  (1) diheptyl phthalate           Environmental       January 9, 1989.
   (branched and linear isomers),   effects.
   CAS No. 68515-44-6

[[Page 269]]

 
  (2) dinonyl phthalate (branched  ......do..........  Do.
   and linear isomers), CAS No.
   68515-45-7
  (3) di(heptyl, nonyl) phthalate  ......do..........  Do.
   (branched and linear isomers),
   CAS No. 111381-89-6
  (4) diundecyl phthalate          ......do..........  Do.
   (branched and linear isomers),
   CAS No. 3648-20-2
  (5) di(heptyl, undecyl)          ......do..........  Do.
   phthalate (branched and linear
   isomers), CAS No., 111381-90-9
  (6) di(nonyl, undecyl)           ......do..........  Do.
   phthalate (branched and linear
   isomers), CAS No. 111381-91-0)
Fluoropolymer composite
 substance:
  (1) For Dry Non-Melt Resin                           .................
   containing the following
   chemical substances as
   specified in the ECA:
  (i) Ethene, tetrafluoro-,        Environmental       July 8, 2005.
   homopolymer, CAS No. 9002-84-0   effects.
  (ii) Polytetrafluoroethylene,    ......do..........  Do.
   Document Control Number (DCN)
   63040000018A
  (iii) Propane, 1,1,1,2,2,3,3-    ......do..........  Do.
   heptafluoro-3-
   [(trifluoroethenyl)oxy]-,
   polymer with
   tetrafluoroethene, CAS No.
   26655-00-5
  (2) For Dry Melt Fluoropolymer
   Resin containing the following
   chemical substances as
   specified in the ECA:
  (i) 1-Propene, 1,1,2,3,3,3-      ......do..........  Do.
   hexafluoro-, polymer with
   tetrafluoroethene, CAS No.
   25067-11-2
  (ii) Propane, 1,1,1,2,2,3,3-     ......do..........  Do.
   heptafluoro-3-
   [(trifluoroethenyl)oxy]-,
   polymer with
   tetrafluoroethene, CAS No.
   26655-00-5
  (iii) Ethene, tetrafluoro-,      ......do..........  Do.
   polymer with
   trifluoro(pentafluoroethoxy)et
   hene, CAS No. 31784-04-0
  (iv) 1-Propene, 1,1,2,3,3,3-     ......do..........  Do.
   hexafluoro-, polymer with 1,1-
   difluoroethene and
   tetrafluoroethene, CAS No.
   25190-89-0
  (v) ETFE, DCN 63040000026        ......do..........  Do.
  (vi) 1-Propene, 1,1,2,3,3,3-     ......do..........  Do.
   hexafluoro-, polymer with
   ethene and tetrafluoroethene,
   CAS No. 35560-16-8
  (3) For Dry Non-Melt
   Fluoroelastomer Resin/Gum
   containing the following
   chemical substances as
   specified in the ECA:
  (i) 1-Propene, 1,1,2,3,3,3-      ......do..........  Do.
   hexafluoro-, polymer with 1,1-
   difluoroethene, CAS No. 9011-
   17-0
  (ii) 1-Propene, 1,1,2,3,3,3-     ......do..........  Do.
   hexafluoro-, polymer with 1,1-
   difluoroethene and
   tetrafluoroethene, CAS No.
   25190-89-0
  (iii) 1-Propene, polymer with    ......do..........  Do.
   1,1- difluoroethene and
   tetrafluoroethene, CAS No.
   54675-89-7
  (iv) 1-Propene, polymer with     ......do..........  Do.
   tetrafluoroethene, CAS No.
   27029-05-6
  (v) Ethene, tetrafluoro-,        ......do..........  Do.
   polymer with
   trifluoro(trifluoromethoxy)
   ethene, CAS No. 26425-79-6
  (vi) Ethene, chlorotrifluoro-,   ......do..........  Do.
   polymer with 1,1-
   difluoroethene, CAS No. 9010-
   75-7
  (vii) Fluoroelastomer, DCN No.   ......do..........  Do.
   63040000018C
  (viii) Fluoroelastomer DCN       ......do..........  Do.
   63040000018D
  (ix) A low temperature           ......do..........  Do.
   fluoroelastomer, ACC No.
   137678
  (4) For Aqueous Fluoropolymer
   Dispersions containing the
   following chemical substances
   as specified in the ECA:
  (i) Ethene, tetrafluoro-,        ......do..........  Do.
   homopolymer, CAS No. 9002-84-0
  (ii) 1-Propene, 1,1,2,3,3,3-     ......do..........  Do.
   hexafluoro-, polymer with
   tetrafluoroethene, CAS No.
   25067-11-2
  (iii) Propane, 1,1,1,2,2,3,3-    ......do..........  Do.
   heptafluoro-3-
   [(trifluoroethenyl)oxy]-,
   polymer with
   tetrafluoroethene, CAS No.
   26655-00-5
  (iv) 1-Propene, 1,1,2,3,3,3-     ......do..........  Do.
   hexafluoro-, polymer with 1,1-
   difluoroethene and
   tetrafluoroethene, CAS No.
   25190-89-0
  (v) Polytetrafluoroethylene,     ......do..........  Do.
   DCN No. 63040000018B
Fluorotelomer-based composite
 substance:
  (1) For Paper containing three
   of the following chemical
   substances as specified in the
   ECA:

[[Page 270]]

 
  (i) Perfluoroalkylethyl          Environmental       July 8, 2005.
   acrylate copolymer, EPA-         effects.
   designated accession number
   (ACC) 171790
  (ii) Perfluoroalkyl acrylate     ......do..........  Do.
   copolymer, ACC 158022
  (iii) Perfluoroalkyl             ......do..........  Do.
   methacrylate polymer, EPA
   document control number (DCN)
   63040000037A
  (iv) Substituted methacrylate,   ......do..........  Do.
   propenoic acid, perfluoroalkyl
   esters, DCN 63040000033B
  (v) Perfluoroalkyl acrylic       ......do..........  Do.
   polymer, DCN 63040000037C
  (vi) Poly-.beta.-                ......do..........  Do.
   fluoroalkylethyl acrylate and
   alkyl acrylate, ACC 174993
  (vii) Poly(.beta.-               ......do..........  Do.
   fluoroalkylethyl acrylate and
   alkyl acrylate), ACC 70430
  (viii) Polysubstituted acrylic   ......do..........  Do.
   copolymer, ACC 157381
  (ix) Perfluoroalkyl acrylate     ......do..........  Do.
   copolymer latex, ACC No. 70907
  (2) For Textile containing six
   of the following chemical
   substances as specified in the
   ECA:
  (i) Perfluoroalkylethyl          ......do..........  Do.
   acrylate copolymer, EPA-
   designated accession number
   (ACC) 171790
  (ii) Perfluoroalkyl acrylate     ......do..........  Do.
   copolymer, ACC 158022
  (iii) Perfluoroalkyl             ......do..........  Do.
   methacrylate polymer, EPA
   document control number (DCN)
   63040000037A
  (iv) Substituted methacrylate,   ......do..........  Do.
   propenoic acid, perfluoroalkyl
   esters, DCN 63040000033B
  (v) Perfluoroalkyl acrylic       ......do..........  Do.
   polymer, DCN 63040000037C
  (vi) Poly-.beta.-                ......do..........  Do.
   fluoroalkylethyl acrylate and
   alkyl acrylate, ACC 174993
  (vii) Poly(.beta.-               ......do..........  Do.
   fluoroalkylethyl acrylate and
   alkyl acrylate), ACC 70430
  (viii) Polysubstituted acrylic   ......do..........  Do.
   copolymer, ACC 157381
  (ix) Perfluoroalkyl acrylate     ......do..........  Do.
   copolymer latex, ACC 70907
------------------------------------------------------------------------


[55 FR 3059, Jan. 30, 1990, as amended at 70 FR 39629, 39636, July 8, 
2005]



                   Subpart D_Multichemical Test Rules



Sec.  799.5055  Hazardous waste constituents subject to testing.

    (a) Identification of test substances. (1) The table in paragraph 
(c) of this section identifies those chemical substances that shall be 
tested in accordance with this section.
    (2) Substances of at least 98-percent purity shall be used as the 
test substances.
    (b) Persons required to submit study plans, conduct tests, and 
submit data. All persons who manufacuture (including import or 
manufacture as a byproduct) or process or intend to manufacture or 
process one or more of the substances in paragraph (c) of this section, 
other than as an impurity, after July 29, 1988, to the end of the 
reimbursement period shall submit letters of intent to conduct testing, 
submit study plans, conduct tests, and submit data, or submit exemption 
applications for those substances they manufacture or process, or intend 
to manufacture or process, as specified in this section, subpart A of 
this part, and parts 790 and 792 of this chapter for single-phase 
rulemaking.
    (c) Designation of testing. The substances identified in the 
following table by name and CAS number shall be tested in accordance 
with the designated requirements under paragraphs (d) and (e) of this 
section. The paragraph numbers listed for a substance refer to the 
specific testing and reporting requirements specified in paragraphs (d) 
and (e) of this section.

------------------------------------------------------------------------
                                                  Required testing under
           Chemical name               CAS No.    paragraphs (d) and (e)
                                                      of this section
------------------------------------------------------------------------
Acetamide, 2-fluoro................     640-19-7  (e)(1)
Bis(2-chloroethoxy)methane.........     111-91-1  (d)(2), (e)(1)
Bis(2-chloroisopropyl)ether........     108-60-1  (d)(2)
4-Bromobenzyl cyanide..............   16532-79-9  (d)(1), (2), (e)(1)
Bromoform..........................      75-25-2  (d)(2)
4-Chlorobenzo-trichloride..........    5216-25-1  (e)(1)
2,4-D..............................      94-75-7  (d)(2)
Dibromomethane 74-95-3 (d)(2)......
1,2-Dichlorobenzene................      95-50-1  (d)(2)
1,1-Dichloroethane.................      75-34-3  (d)(2)
1,3-Dichloropropanol...............      96-23-1  (d)(1), (e)(1)
Dihydrosafrole.....................      94-58-6  (d)(2)
Endrin.............................      72-20-8  (d)(2)
Ethyl methacrylate.................      97-63-2  (d)(2)

[[Page 271]]

 
Maleic hydrazide...................     123-33-1  (d)(1), (2)
Malononitrile......................     109-77-3  (d)(1), (e)(1)
Methanethiol.......................      74-93-1  (d)(1)
Methyl chloride....................      74-87-3  (d)(2)
p- Nitrophenol.....................     100-02-7  (e)(1)
Pentachlorobenzene.................     608-93-5  (d)(2)
Pentachloroethane..................      76-01-7  (d)(2)
1,2,4,5-Tetrachlorobenzene.........      95-94-3  (d)(2)
Trichloromethanethiol..............      75-70-7  (d)(1), (2), (e)(1)
------------------------------------------------------------------------

    (d) Chemical fate testing--(1) Soil adsorption--(i) Required 
testing. A soil adsorption isotherm test shall be conducted with the 
substances designated in paragraph (c) of this section in accordance 
with Sec.  796.2750 of this chapter except that the provisions of Sec.  
796.2750 (b)(1)(vii)(A) shall not apply to 1,3-Dichloropropanol.
    (ii) Reporting requirements. The sediment and soil adsorption 
isotherm tests shall be completed and the final results submitted to EPA 
within 9 months of the effective date of the final rule except that 
final results for testing of 1,3-Dichloropropanol and Methanethiol shall 
be completed and submitted to EPA within 11 months and 15 months, 
respectively, of the effective date of the final rule.
    (2) Hydrolysis--(i) Required testing. A test of hydrolysis as a 
function of pH at 25 [deg]C shall be conducted with the substances 
designated in paragraph (c) of this section in accordance with Sec.  
796.3500 of this chapter.
    (ii) Reporting requirements. The hydrolysis tests with the 
substances designated in paragraph (c) of this section shall be 
completed and the final results submitted to EPA within 6 months of the 
effective date of the final rule except that hydrolysis tests for 
Dibromomethane, Dihydrosafrole, Ethyl methacrylate, and Methyl chloride 
shall be completed and the final results submitted to EPA within 12 
months of the effective date of the final rule; and hydrolysis tests for 
1,2-Dichlorobenzene and 1,2,4,5-Tetrachlorobenzene shall be completed 
and final results submitted to EPA within 9 months of the effective date 
of the final rule.
    (e) Health effects testing--(1) Subchronic toxicity--(i) Required 
test. (A) An oral gavage subchronic toxicity test shall be conducted in 
the rat with the substances designated in paragraph (c) of this section 
except for bis(2-chloroethoxy) methane (CAS No. 111-91-1) in accordance 
with Sec.  798.2650 of this chapter.
    (B) For Bis(2-chloroethoxy)methane, an oral gavage subchronic 
toxicity test shall be conducted in the rat in accordance with Sec.  
798.2650 of this chapter except for the provisions in paragraphs 
(e)(9)(i)(A) and (e)(9)(i)(B). For Bis(2-chloroethoxy)methane, the 
following provisions also apply:
    (1) Hematology determinations shall be carried out at least two 
times during the test period: Just after dosing on day 30 and just prior 
to terminal sacrifice. Hematology determinations which are appropriate 
to all studies are: Hematocrit, hemoglobin concentration, erythrocyte 
count, total and differential leukocyte count, and a measure of clotting 
potential such as clotting time, prothrombin time, thromboplastin time, 
or platelet count.
    (2) Certain clinical biochemistry determinations on blood shall be 
carried out at least two times: Just after dosing on day 30 and just 
prior to terminal sacrifice. Test areas which are considered appropriate 
to all studies are: Electrolyte balance, carbohydrate metabolism, and 
liver and kidney function. The selection of specific tests will be 
influenced by observations on the mode of action of the substance. 
Suggested determinations are: Calcium, phosphorus, chloride, sodium, 
potassium, fasting glucose (with the period of fasting appropriate to 
the species), serum glutamic oxaloacetic transaminase (now known as 
serum aspartate aminotransferase), ornithine decarboxylase, gamma 
glutamyl transpeptidase, urea nitrogen, albumen blood creatinine, total 
bilirubin and total serum protein measurements. Other determinations 
which may be necessary for an adequate toxicological evaluation include: 
Analysis of lipids, hormones, acid/base balance, methemoglobin, and 
cholinesterase activity. Additional clinical biochemistry may be 
employed, where necessary, to extend the investigation of observed 
effects.
    (ii) Reporting requirements. (A) The oral gavage subchronic tests 
with the

[[Page 272]]

substances designated in paragraph (c) of this section shall be 
completed and submitted to EPA within 12 months of the effective date of 
the final rule except that the tests with Bis(2-chloroethoxy)methane, 
1,3-Dichloropropanol, and Malononitrile shall be completed and the 
results submitted to EPA within 15 months of the effective date of the 
final rule.
    (B) Progress reports for each test shall be submitted to the Agency 
6 months after the effective date of the final rule.
    (2) [Reserved]
    (f) Effective date. (1) The effective date of the final rule is July 
29, 1988, except for paragraphs (d)(1)(i), (d)(1)(ii), (d)(2)(ii), 
(e)(1)(i), and (e)(1)(ii)(A) of this section. The effective date of 
paragraphs (d)(1)(i), (d)(1)(ii), (d)(2)(ii), (e)(1)(i)(B) and 
(e)(1)(ii)(A) of this section is March 1, 1990. The effective date of 
paragraph (e)(1)(i)(A), is May 21, 1991.
    (2) The guidelines and other test methods cited here are referenced 
as they exist on the effective date of the final rule.

[53 FR 22324, June 15, 1988; 53 FR 48645, Dec. 2, 1988, as amended at 54 
FR 49760, Dec. 1, 1989; 55 FR 7324, Mar. 1, 1990; 56 FR 23232, May 21, 
1991; 58 FR 34205, June 23, 1993]



Sec.  799.5075  Drinking water contaminants subject to testing.

    (a) Identification of test substance. (1) 1,1,2,2-tetrachloroethane 
(CAS No. 79-34-5), and 1,3,5-trimethylbenzene (CAS No. 108-67-8) shall 
be tested as appropriate in accordance with this section.
    (2) A test substance of at least 99 percent purity shall be used for 
Chloroethane, 1,1-dichloroethane, and 1,3,5-trimethylbenzene. A test 
substance of at least 98 percent purity shall be used for 1,1,2,2-
tetrachloroethane.
    (b) Persons required to submit study plans, conduct tests, and 
submit data. All persons who manufacture (including import and by-
product manufacture) or process, or who intend to manufacture or 
process, the substances listed in paragraph (a) of this section after 
the effective date of this section to the end of the reimbursement 
period shall submit letters of intent to test, submit study plans, 
conduct tests, and submit data, or submit exemption applications as 
specified in this section, subpart A of this part, and parts 790 and 792 
of this chapter for single-phase rulemaking, for the substances they 
manufacture subject to exclusions contained in Sec.  790.42(a)(2), 
(a)(4) and (a)(5). These sections provide that processors, persons who 
manufacture less than 500 kg (1,100 lbs) annually, or persons who 
manufacture small quantities of the chemical solely for research and 
development as defined in Sec.  790.42(a)(5) shall not be required to 
submit study plans, conduct tests and submit data, or submit exemption 
applications as specified in this section unless directed to do so in a 
subsequent notice as set forth in Sec.  790.48(b).
    (c) Health effects testing--(1) Subacute toxicity--(i) Required 
testing. (A) An oral 14-day repeated dose toxicity test shall be 
conducted with 1,1,2,2-tetrachloroethane, and 1,3,5-trimethylbenzene in 
accordance with Sec.  798.2650 of this chapter except for the provisions 
in Sec.  798.2650 (a), (b)(1), (c), (e)(3), (e)(4)(i), (e)(5), (e)(6), 
(e)(7)(i), (e)(7)(iv), (e)(7)(v), (e)(8)(vii), (e)(9)(i)(A), 
(e)(9)(i)(B), (e)(11)(v), and (f)(2)(i). Each substance shall be tested 
in one mammalian species, preferably a rodent, but a non-rodent may be 
used. The species and strain of animals used in this test should be the 
same as those used in the 90-day subchronic test required in paragraph 
(c)(2)(i) of this section. The tests shall be performed using drinking 
water. However, if, due to poor stability or palatability, a drinking 
water test is not feasible for a given substance, that substance shall 
be administered either by oral gavage, in the diet, or in capsules.
    (B) For the purpose of this section, the following provisions also 
apply:
    (1) Purpose. To assess and evaluate the toxic characteristics of a 
substance, the determination of subacute toxicity should be carried out 
after initial information on toxicity has been obtained by acute 
testing. The 14-day repeated dose oral study provides information on the 
health hazard likely to arise from repeated short-term exposure by the 
oral route over a very limited period of time. It has been designed to 
permit the determination of the no-observed-adverse-effect level

[[Page 273]]

and toxic effects associated with continuous or repeated exposure to a 
test substance for 14 days and to evaluate reversibility, persistence, 
and delayed occurrence of toxic effects during a 14-day follow-up 
recovery period. The test is not capable of determining those effects 
that have a long latency period for development (e.g., carcinogenicity 
and life shortening). It will provide information on target organs and 
the possibility of accumulation, and can be used in selecting dose 
levels for subchronic studies and for establishing safety criteria for 
short-term human exposure.
    (2) Definitions. Subacute oral toxicity is the manifestation of 
adverse effect(s) occurring as a result of the repeated daily exposure 
of experimental animals to a substance by the oral route for 14 days.
    (3) Principle of the test method. The test substance is administered 
orally in graduated daily doses to several groups of experimental 
animals, one dose level per group, for a period of 14 days. During the 
period of administration the animals are observed daily to detect signs 
of toxicity. Animals which die during the period of administration are 
necropsied. At the conclusion of the test, all animals, except the 
satellite group, are necropsied and histopathological examinations are 
carried out. The satellite group is necropsied after the 14-day recovery 
period.
    (4) Satellite group (Rodent only). A satellite group of 20 animals 
(10 animals per sex) shall be treated with the high dose level for 14 
days and observed for reversibility, persistence, and delayed occurrence 
of toxic effects for a post-treatment recovery period of at least 14 
days.
    (5) Dose levels and dose selection. In subacute toxicity tests, it 
is desirable to have a dose response relationship as well as a NOAEL. 
Therefore, at least 3 dose levels with a control and, where appropriate, 
a vehicle control (corresponding to the concentration of vehicle at the 
highest exposure level) shall be used. Doses shall be spaced 
appropriately to produce test groups with a range of toxic effects. The 
data should be sufficient to produce a dose-response curve.
    (6) Exposure conditions. The animals are dosed with the test 
substance every day for 14 days.
    (7) Observation period. All animals shall be observed daily during 
the 14-day exposure period.
    (8) Observation period of satellite group. Animals in the satellite 
group scheduled for follow-up observations shall be kept for at least 14 
days further without treatment to detect recovery from, or persistence 
of, and delayed onset of toxic effects and shall be observed daily.
    (9) Administration of test substance. For substances of low 
toxicity, it is important to ensure that when administered in the 
drinking water, by gavage, in the diet, or in capsules, the quantities 
of the test substance involved do not interfere with normal nutrition. 
When the test substance is administered in the diet, either a constant 
dietary concentration (ppm) or a constant dose level in terms of the 
animals' body weight shall be used; the alternative used shall be 
specified in the final test report.
    (10) Time of administration of test substance. For a substance 
administered by gavage or capsule, the dose shall be given at 
approximately the same time each day, and adjusted on day 7 to maintain 
a constant dose level in terms of animal body weight.
    (11) Observation of animals. At the end of the 14-day exposure 
period, all survivors, except those in the satellite group, shall be 
necropsied. All survivors in the satellite group shall be necropsied 
after a recovery period of at least 14 days.
    (12) Hematology determinations. Certain hematology determinations 
shall be carried out at least two times during the test period: Just 
prior to initiation of dosing if adequate historical baseline data are 
not available (baseline data) and just prior to terminal sacrifice at 
the end of the test period. Hematology determinations which are 
appropriate to all studies are: Hematocrit, hemoglobin concentration, 
erythrocyte count, total and differential leukocyte count, and a measure 
of clotting potential such as clotting time, prothrombin time, 
thromboplastin time, or platelet count.

[[Page 274]]

    (13) Clinical biochemical determinations. Certain clinical 
biochemistry determinations on blood should be carried out at least two 
times: Just prior to initiation of dosing (if adequate historical 
baseline data are not available) and just prior to terminal sacrifice at 
the end of the test period. Test areas which are considered appropriate 
to all studies are: Electrolyte balance, carbohydrate metabolism, and 
liver and kidney function. The selection of specific tests will be 
influenced by observations on the mode of action of the substance. 
Suggested determinations are: Calcium, phosphorus, chloride, sodium, 
potassium, fasting glucose (with the period of fasting appropriate to 
the species), serum alanine aminotransferase, serum aspartate 
aminotransferase, gamma glutamyl transpeptidase, urea nitrogen, albumin, 
blood creatinine, and total serum protein measurements. Other 
determinations which may be necessary for an adequate toxicological 
evaluation include: analyses of lipids, hormones, acid/base balance, 
methemoglobin, and cholinesterase activity. Additional clinical 
biochemistry may be employed, where necessary, to extend the 
investigation of observed effects.
    (14) Histopathology. Histopathology of the lungs of all animals 
shall be performed. Special attention to examination of the lungs of 
rodents shall be made for evidence of infection since this provides a 
convenient assessment of the state of health of the animals.
    (15) Evaluation of the study results. The findings of a subacute 
oral toxicity study should be evaluated in conjunction with the findings 
of preceding studies and considered in terms of the toxic effects and 
the necropsy and histopathological findings. The evaluation will include 
the relationship between the dose of the test substance and the presence 
or absence, the incidence and severity, of abnormalities, including 
behavioral and clinical abnormalities, gross lesions, identified target 
organs, body weight changes, effects on mortality and any other general 
or specific toxic effects. A properly conducted subacute test should 
provide a satisfactory estimation of a NOAEL.
    (ii) Reporting requirements. (A) Each subacute test shall be 
completed and the final report submitted to EPA within 12 months of the 
date specified in paragraph (d)(1) of this section, except for 1,1,2,2-
tetrachloroethane. The subacute testing for 1,1,2,2-tetrachloroethane. 
The subacute testing for 1,1,2,2-tetrachloroethane shall be completed 
and the final report submitted to EPA by February 15, 1996.
    (B) Except for 1,3,5-trimethylbenzene, a progress report shall be 
submitted to EPA for each test beginning 6 months after the date 
specified in paragraph (d)(1) of this section and at 6-month intervals 
thereafter until the final report is submitted to EPA . The progress 
report for 1,3,5-trimethylbenzene shall be submitted to EPA by April 10, 
1995.
    (2) Subchronic toxicity--(i) Required testing. (A) An oral 90-day 
subchronic toxicity test shall be conducted with 1,3,5-trimethylbenzene 
in accordance with Sec.  798.2650 of this chapter except for the 
provisions in Sec.  798.2650 (e)(3), (e)(7)(i), and (e)(11)(v). The 
tests shall be performed using drinking water. However, if, due to poor 
stability or palatability, a drinking water test is not feasible for a 
given substance, that substance shall be administered either by oral 
gavage, in the diet, or in capsules.
    (B) For the purpose of this section, the following provisions also 
apply:
    (1) Satellite group (Rodent only). A satellite group of 20 animals 
(10 animals per sex) shall be treated with the high dose level for 90 
days and observed for reversibility, persistence, and delayed occurrence 
of toxic effects for a post-treatment period of appropriate length, 
normally not less than 28 days.
    (2) Histopathology. Histopathology of the lungs of all animals shall 
be performed. Special attention to examination of the lungs of rodents 
shall be made for evidence of infection since this provides a convenient 
assessment of the state of health of the animals.
    (ii) Reporting requirements. (A) The subchronic testing for 
chloroethane shall be completed and the final report submitted to EPA by 
June 27, 1995. The subchronic testing for 1,1-dichloroethane and 
1,1,2,2-tetrachlorethane shall be completed and the final report 
submitted to EPA by August 27, 1995. The subchronic testing for 1,3,5-
trimethylbenzene shall be

[[Page 275]]

completed and the final report submitted to EPA by April 10, 1995.
    (B) For each test, a progress report shall be submitted to EPA 
beginning 9 months after the date specified in paragraph (d)(1) of this 
section and at 6-month intervals thereafter until the final report is 
submitted to EPA.
    (d) Effective date. (1) This section is effective on December 27, 
1993, except for paragraphs (a)(1), (a)(2), (c)(1)(i)(A), (c)(1)(ii)(A), 
(c)(1)(ii)(B), (c)(2)(i)(A), and (c)(2)(ii)(A). The effective date for 
paragraphs (a)(2), (c)(1)(ii)(B), and (c)(2)(ii)(A) is September 29, 
1995. The effective date for paragraphs (a)(1), (c)(1)(i)(A), and 
(c)(2)(i)(A) is February 27, 1996. The effective date for paragraph 
(c)(1)(ii)(A) is June 30, 1997.
    (2) The guidelines and other test methods cited in this section are 
referenced as they exist on the effective date of the final rule.

[58 FR 59681, Nov. 10, 1993; 58 FR 1992, Jan. 13, 1994, as amended at 60 
FR 56956, Nov. 13, 1995; 61 FR 7223, Feb. 27, 1996; 62 FR 35105, June 
30, 1997]



Sec.  799.5085  Chemical testing requirements for certain high production volume chemicals.

    (a) What substances will be tested under this section? Table 2 in 
paragraph (j) of this section identifies the chemical substances that 
must be tested under this section. For the chemical substances 
identified as ``Class 1'' substances in Table 2 in paragraph (j) of this 
section, the purity of each chemical substance must be 99% or greater, 
except for 1,3-propanediol, 2,2-bis[(nitrooxy)methyl]-, dinitrate 
(ester) (CAS No. 78-11-5), also known as pentaerythritol tetranitrate 
(PETN). PETN cannot be tested at 99% purity because of its explosive 
properties. It must be diluted in water or tested as a stabilized 
mixture with an appropriate stabilizer (e.g., D-lactose monohydrate is 
the stabilizer in PETN, NF which is a mixture of 20% by weight PETN and 
80% by weight D-lactose monohydrate). The stabilizer used must be tested 
as a control. For the chemical substances identified as ``Class 2'' 
substances in Table 2 in paragraph (j), a representative form of each 
chemical substance must be tested. The representative form selected for 
a given Class 2 chemical substance should meet industry or consensus 
standards where they exist.
    (b) Am I subject to this section? (1) If you manufacture (including 
import) or intend to manufacture, or process or intend to process, any 
chemical substance listed in Table 2 in paragraph (j) of this section at 
any time from April 17, 2006 to the end of the test data reimbursement 
period as defined in 40 CFR 791.3(h), you are subject to this section 
with respect to that chemical substance.
    (2) If you do not know or cannot reasonably ascertain that you 
manufacture or process a chemical substance listed in Table 2 in 
paragraph (j) of this section during the time period described in 
paragraph (b)(1) of this section (based on all information in your 
possession or control, as well as all information that a reasonable 
person similarly situated might be expected to possess, control, or 
know, or could obtain without an unreasonable burden), you are not 
subject to this section with respect to that chemical substance.
    (c) If I am subject to this section, when must I comply with it? 
(1)(i) Persons subject to this section are divided into two groups, as 
set forth in Table 1 of this paragraph: Tier 1 (persons initially 
required to comply) and Tier 2 (persons not initially required to 
comply). If you are subject to this section, you must determine if you 
fall within Tier 1 or Tier 2, based on Table 1 of this paragraph.


[[Page 276]]



   Table 1--Persons Subject to the Rule: Persons in Tier 1 and Tier 2
------------------------------------------------------------------------
                                          Persons not initially required
  Persons initially required to comply     to comply with this section
       with this section (Tier 1)                    (Tier 2)
------------------------------------------------------------------------
Persons not otherwise specified in       A. Persons who manufacture (as
 column 2 of this table that              defined at TSCA section 3(7))
 manufacture (as defined at TSCA          or intend to manufacture a
 section 3(7)) or intend to manufacture   chemical substance included in
 a chemical substance included in this    this section solely as one or
 section.                                 more of the following:
                                         --As a byproduct (as defined at
                                          40 CFR 791.3(c));
                                         --As an impurity (as defined at
                                          40 CFR 790.3);
                                         --As a naturally occurring
                                          substance (as defined at 40
                                          CFR 710.4(b));
                                         --As a non-isolated
                                          intermediate (as defined at 40
                                          CFR 704.3);
                                         --As a component of a Class 2
                                          substance (as described at 40
                                          CFR 720.45(a)(1)(i));
                                         --In amounts of less than 500
                                          kg (1,100 lbs.) annually (as
                                          described at 40 CFR
                                          790.42(a)(4)); or
                                         --For R & D (as described at 40
                                          CFR 790.42(a)(5)).
                                         B. Persons who process (as
                                          defined at TSCA section 3(10))
                                          or intend to process a
                                          chemical substance included in
                                          this section (see 40 CFR
                                          790.42(a)(2)).
------------------------------------------------------------------------


    (ii) Table 1 of paragraph (c)(1)(i) of this section expands the list 
of persons specified in Sec.  790.42(a)(2), (a)(4), and (a)(5) of this 
chapter, who, while legally subject to this section, must comply with 
the requirements of this section only if directed to do so by EPA under 
the circumstances set forth in paragraphs (c)(5) and (c)(8) of this 
section.
    (2) If you are in Tier 1 with respect to a chemical substance listed 
in Table 2 in paragraph (j) of this section, you must, for each test 
required under this section for that chemical substance, either submit 
to EPA a letter of intent to test or apply to EPA for an exemption from 
testing. The letter of intent to test or the exemption application must 
be received by EPA no later than May 15, 2006.
    (3) If you are in Tier 2 with respect to a chemical substance listed 
in Table 2 in paragraph (j) of this section, you are considered to have 
an automatic conditional exemption and you will be required to comply 
with this section with regard to that chemical substance only if 
directed to do so by EPA under paragraphs (c)(5) or (c)(8) of this 
section.
    (4) If no person in Tier 1 has notified EPA of its intent to conduct 
one or more of the tests required by this section on any chemical 
substance listed in Table 2 in paragraph (j) of this section by May 15, 
2006, EPA will publish a Federal Register document that will specify the 
test(s) and the chemical substance(s) for which no letter of intent has 
been submitted, and notify manufacturers and processors in Tier 2 of 
their obligation to submit a letter of intent to test or to apply for an 
exemption from testing.
    (5) If you are in Tier 2 with respect to a chemical substance listed 
in Table 2 in paragraph (j) of this section, and if you manufacture or 
process this chemical substance as of April 17, 2006, or within 30 days 
after publication of the Federal Register document described in 
paragraph (c)(4) of this section, you must, for each test specified for 
that chemical substance in the document described in paragraph (c)(4) of 
this section, either submit to EPA a letter of intent to test or apply 
to EPA for an exemption from testing. The letter of intent to test or 
the exemption application must be received by EPA no later than 30 days 
after publication of the document described in paragraph (c)(4) of this 
section.
    (6) If no manufacturer or processor has notified EPA of its intent 
to conduct one or more of the tests required by this section for any of 
the chemical substances listed in Table 2 in paragraph (j) of this 
section within 30 days after the publication of the Federal Register 
document described in paragraph (c)(4) of this section, EPA will notify 
all manufacturers and processors of those chemical substances of this 
fact by certified letter or by publishing a Federal Register document 
specifying the test(s) for which no letter of intent has been submitted. 
This letter or Federal Register document will additionally notify all 
manufacturers and processors that all exemption applications concerning 
the test(s) have been denied, and will give the manufacturers and 
processors of the chemical substance(s) an opportunity to take 
corrective action.
    (7) If no manufacturer or processor has notified EPA of its intent 
to conduct one or more of the tests required

[[Page 277]]

by this section for any of the chemical substances listed in Table 2 in 
paragraph (j) of this section within 30 days after receipt of the 
certified letter or publication of the Federal Register document 
described in paragraph (c)(6) of this section, all manufacturers and 
processors subject to this section with respect to that chemical 
substance who are not already in violation of this section will be in 
violation of this section.
    (8) If a problem occurs with the initiation, conduct, or completion 
of the required testing or the submission of the required data with 
respect to a chemical substance listed in Table 2 in paragraph (j) of 
this section, under the procedures in Sec.  Sec.  790.93 and 790.97 of 
this chapter, EPA may initiate termination proceedings for all testing 
exemptions with respect to that chemical substance and may notify 
persons in Tier 1 and Tier 2 that they are required to submit letters of 
intent to test or exemption applications within a specified period of 
time.
    (9) If you are required to comply with this section, but your 
manufacturing or processing of a chemical substance listed in Table 2 in 
paragraph (j) of this section begins after the applicable compliance 
date referred to in paragraphs (c)(2), (c)(5), or (c)(8) of this 
section, you must either submit a letter of intent to test or apply to 
EPA for an exemption. The letter of intent to test or the exemption 
application must be received by EPA no later than the day you begin 
manufacturing or processing.
    (d) What must I do to comply with this section? (1) To comply with 
this section you must either submit to EPA a letter of intent to test, 
or apply to and obtain from EPA an exemption from testing.
    (2) For each test with respect to which you submit to EPA a letter 
of intent to test, you must conduct the testing specified in paragraph 
(h) of this section and submit the test data to EPA.
    (3) You must also comply with the procedures governing test rule 
requirements in part 790 of this chapter, as modified by this section, 
including the submission of letters of intent to test or exemption 
applications, the conduct of testing, and the submission of data; Part 
792--Good Laboratory Practice Standards of this chapter; and this 
section. The following provisions of 40 CFR part 790 do not apply to 
this section: Paragraphs (a), (d), (e), and (f) of Sec.  790.45; 
paragraph (a)(2) and paragraph (b) of Sec.  Sec.  790.80; 790.82(e)(1); 
790.85; and 790.48.
    (e) If I do not comply with this section, when will I be considered 
in violation of it? You will be considered in violation of this section 
as of 1 day after the date by which you are required to comply with this 
section.
    (f) How are EPA's data reimbursement procedures affected for 
purposes of this section? If persons subject to this section are unable 
to agree on the amount or method of reimbursement for test data 
development for one or more chemical substances included in this 
section, any person may request a hearing as described in 40 CFR part 
791. In the determination of fair reimbursement shares under this 
section, if the hearing officer chooses to use a formula based on 
production volume, the total production volume amount will include 
amounts of a chemical substance produced as an impurity.
    (g) Who must comply with the export notification requirements? Any 
person who exports, or intends to export, a chemical substance listed in 
Table 2 in paragraph (j) of this section is subject to part 707, subpart 
D, of this chapter.
    (h) How must I conduct my testing? (1) The tests that are required 
for each chemical substance are indicated in Table 2 in paragraph (j) of 
this section. The test methods that must be followed are provided in 
Table 3 in paragraph (j) of this section. You must proceed in accordance 
with these test methods as required according to Table 3 in paragraph 
(j) of this section, or as appropriate if more than one alternative is 
allowed according to Table 3 in paragraph (j) of this section. Included 
in Table 3 in paragraph (j) of this section are the following 11 methods 
which are incorporated by reference:
    (i) Standard Test Method for Relative Initial and Final Melting 
Points and the Melting Range of Organic Chemicals, ASTM E 324-99.
    (ii) Standard Test Method for Partition Coefficient (N-Octanol/
Water) Estimation by Liquid Chromatography, ASTM E 1147-92. (Reapproved 
1997)

[[Page 278]]

    (iii) Standard Guide for Conducting Acute Toxicity Tests on Test 
Materials with Fishes, Macroinvertebrates, and Amphibians, ASTM E 729-
96. (Reapproved 2002)
    (iv) Standard Test Method for Measurements of Aqueous Solubility, 
ASTM E 1148-02.
    (v) Standard Test Method for Estimating Acute Oral Toxicity in Rats, 
ASTM E 1163-98. (Reapproved 2002)
    (vi) Standard Guide for Conducting Daphnia Magna Life-Cycle Toxicity 
Tests, ASTM E 1193-97. (Reapproved 2004)
    (vii) Standard Guide for Conducting Static Toxicity Tests with 
Microalgae, ASTM E 1218-04.
    (viii) Standard Test Method for Determining Biodegradability of 
Organic Chemicals in Semi-Continuous Activated Sludge (SCAS), ASTM E 
1625-94. (Reapproved 2001)
    (ix) Standard Test Method for Vapor Pressure of Liquids by 
Ebulliometry, ASTM E 1719-97.
    (x) Standard Test Method for Determining Vapor Pressure by Thermal 
Analysis, ASTM E 1782-03.
    (xi) Water Quality--Evaluation of Ultimate Aerobic Biodegradability 
of Organic Compounds in Aqueous Medium--Static Test (Zahn-Wellens 
Method), Second Edition, June 1, 1999, ISO 9888-99.
    (2) The Director of the Federal Register approved this incorporation 
by reference in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. You 
may obtain copies of the ASTM guidelines from the American Society for 
Testing and Materials, 100 Bar Harbor Dr., West Conshohocken, PA 19428-
2959, and a copy of the ISO guideline from the International 
Organization for Standardization, Case Postale, 56 CH-1211 Geneve 20 
Switzerland. You may inspect each test method at the EPA Docket Center, 
EPA West, Rm. B102, 1301 Constitution Ave., NW., Washington, DC or at 
the National Archives and Records Administration (NARA). For information 
on the availability of this material at NARA, call (202) 741-6030, or go 
to: http://www.archives.gov/federal--register/code--of--federal--
regulations/ibr--locations.html.
    (i) Reporting requirements. A final report for each specific test 
for each subject chemical substance must be received by EPA by May 17, 
2007, unless an extension is granted in writing pursuant to 40 CFR 
790.55. A robust summary of the final report for each specific test 
should be submitted in addition to and at the same time as the final 
report. The term ``robust summary'' is used to describe the technical 
information necessary to adequately describe an experiment or study and 
includes the objectives, methods, results, and conclusions of the full 
study report which can be either an experiment or in some cases an 
estimation or prediction method. Guidance for the compilation of robust 
summaries is described in a document entitled Draft Guidance on 
Developing Robust Summaries which is available at: http://www.epa.gov/
chemrtk/robsumgd.htm.
    (j) Designation of specific chemical substances and testing 
requirements. The chemical substances identified by chemical name, 
Chemical Abstract Service Number (CAS No.), and class in Table 2 of this 
paragraph must be tested in accordance with the requirements designated 
in Tables 2 and 3 of this paragraph, and the requirements described in 
40 CFR Part 792--Good Laboratory Practice Standards:


                              Table 2--Chemical Substances And Testing Requirements
----------------------------------------------------------------------------------------------------------------
                                                                                     Required tests/(See Table 3
                 CAS No.                          Chemical name            Class           of this section)
----------------------------------------------------------------------------------------------------------------
74-95-3                                   Methane, dibromo-                  1       A, C1, E2, F2
----------------------------------------------------------------------------------------------------------------
75-36-5                                   Acetyl chloride                    1       A, B, C2, E2, F1
----------------------------------------------------------------------------------------------------------------
78-11-5                                   1,3-Propanediol, 2,2-              1       A4, A5, B, C6, F2
                                           bis[(nitrooxy)methyl]-,
                                           dinitrate (ester)
----------------------------------------------------------------------------------------------------------------
84-65-1                                   9,10-Anthracenedione               1       A, F2
----------------------------------------------------------------------------------------------------------------
108-19-0                                  Imidodicarbonic diamide            1       A, B, C1, D, E1, E2, F1
----------------------------------------------------------------------------------------------------------------

[[Page 279]]

 
110-44-1                                  2,4-Hexadienoic acid,              1       A, C4
                                           (2E,4E)-
----------------------------------------------------------------------------------------------------------------
112-52-7                                  Dodecane, 1-chloro                 1       A, B, C3, D, E1, E2, F1
----------------------------------------------------------------------------------------------------------------
118-82-1                                  Phenol, 4,4'-                      1       A, B, D, E1, E2, F2
                                           methylenebis[2,6-bis(1,1-
                                           dimethylethyl)]-
----------------------------------------------------------------------------------------------------------------
149-44-0                                  Methanesulfinic acid,              1       A, B, C1, E2, F1
                                           hydroxy-, monosodium salt
----------------------------------------------------------------------------------------------------------------
409-02-9                                  Heptenone, methyl-                 2       A, B, C1, D, E1, E2, F1
----------------------------------------------------------------------------------------------------------------
594-42-3                                  Methanesulfenyl chloride,          1       A, B, C1, E1, E2, F2
                                           trichloro-
----------------------------------------------------------------------------------------------------------------
624-83-9                                  Methane, isocyanato-               1       A, C1
----------------------------------------------------------------------------------------------------------------
1324-76-1                                 Benzenesulfonic acid, [[4-         2       A, B, C1, D, E1, E2, F1
                                           [[4-(phenylamino)phenyl][4-
                                           (phenylimino)-2,5-
                                           cyclohexadien-1-
                                           ylidene]methyl]phenyl]amino
                                           ]-
----------------------------------------------------------------------------------------------------------------
2941-64-2                                 Carbonochloridothioic acid,        1       A, B, C1, E2, F1
                                           S-ethyl ester
----------------------------------------------------------------------------------------------------------------
8005-02-5                                 C.I. Solvent Black 7               2       A, B, C1, D, E2, F1
----------------------------------------------------------------------------------------------------------------
68611-64-3                                Urea, reaction products with       2       A, B, C1, D, E1, E2, F1
                                           formaldehyde
----------------------------------------------------------------------------------------------------------------



       Table 3--Key to the Test Requirements Denoted by Alphanumeric Symbols in Table 2 of This Paragraph
----------------------------------------------------------------------------------------------------------------
                                                                 Test requirements and
           Testing category                  Test symbol               references           Special conditions
----------------------------------------------------------------------------------------------------------------
Physical/chemical properties           A                        1. Melting Point: ASTM   n-Octanol/water
                                                                 E 324 (capillary tube)   Partition Coefficient
                                                                2. Boiling Point: ASTM    or log Kow:
                                                                 E 1719 (ebulliometry).  Which method is
                                                                3. Vapor Pressure: ASTM   required, if any, is
                                                                 E 1782 (thermal          determined by the test
                                                                 analysis).               substance's
                                                                4. n-Octanol/Water        estimated\1\ log Kow
                                                                 Partition Coefficient    as follows:
                                                                 (log 10 basis) or log   log Kow <0: no testing
                                                                 Kow: (See special        required.
                                                                 conditions for the log  log Kow range 0-1:
                                                                 Kow test requirement     Method A or B.
                                                                 and select the          log Kow range >1-4:
                                                                 appropriate method to    Method A or B or C.
                                                                 use, if any, from       log Kow range >4-6:
                                                                 those listed in this     Method B or C.
                                                                 column.).               log Kow >6: Method C.
                                                                 Method A: 40 CFR        Test sponsors are
                                                                 799.6755 (shake flask).  required to provide in
                                                                 Method B: ASTM E 1147    the final study report
                                                                 (liquid                  the underlying
                                                                 chromatography).         rationale for the
                                                                 Method C: 40 CFR         method selected. In
                                                                 799.6756 (generator      order to ensure
                                                                 column).                 environmental
                                                                5. Water Solubility:      relevance, EPA highly
                                                                 (See special             recommends that the
                                                                 conditions for the       selected study be
                                                                 water solubility test    conducted at pH 7.
                                                                 requirement and select  Water Solubility:
                                                                 the appropriate method  Which method is
                                                                 to use, if any, from     required, if any, is
                                                                 those listed in this     determined by the test
                                                                 column.).                substance's
                                                                 Method A: ASTM E 1148    estimated\2\ water
                                                                 (shake flask).           solubility. Test
                                                                 Method B: 40 CFR         sponsors are required
                                                                 799.6784 (shake flask).  to provide in the
                                                                 Method C: 40 CFR         final study report the
                                                                 799.6784 (column         underlying rationale
                                                                 elution).                for the method
                                                                 Method D: 40 CFR         selected. In order to
                                                                 799.6786 (generator      ensure environmental
                                                                 column).                 relevance, EPA highly
                                                                                          recommends that the
                                                                                          selected study be
                                                                                          conducted at pH 7.
                                                                                         5,000 mg/L:
                                                                                          Method A or B.
                                                                                         10 mg/L --
                                                                                          5,000 mg/L: Method A,
                                                                                          B, C, or D.
                                                                                          0.001 mg/L--
                                                                                          10 mg/L: Method C or
                                                                                          D.
                                                                                         <=0.001 mg/L: No
                                                                                          testing required.
----------------------------------------------------------------------------------------------------------------
Environmental fate and pathways--      B                        For B, choose either of  None
 Inherent biodegradation                                         the methods listed in
                                                                 this column:
                                                                1. ASTM 1625
                                                                 (semicontinuous
                                                                 activated sludge test)
                                                                 OR.
                                                                2. ISO 9888 (Zahn-
                                                                 Wellens method).
----------------------------------------------------------------------------------------------------------------

[[Page 280]]

 
Aquatic toxicity                       C1                       For C1, Test Group 1 or  The following are the
                                                                 Test Group 2 listed in   special conditions for
                                                                 this column must be      C1, C2, C3, C4, C5,
                                                                 used to fulfill the      and C7 testing; there
                                                                 testing requirements--   are no special
                                                                 See special              conditions for C6.
                                                                 conditions.              If log Kow <4.2: Test
                                                                Test Group 1 for C1:...   Group 1 is required
                                                                1. Acute Toxicity to     If log Kow >= 4.2: Test
                                                                 Fish: ASTM E 729.        Group 2 is required
                                                                2. Acute Toxicity to     Which test group is
                                                                 Daphnia: ASTM E 729.     required is determined
                                                                3. Toxicity to Plants     by the test
                                                                 (Algae): ASTM E 1218.    substance's measured
                                                                Test Group 2 for C1:...   log Kow as obtained
                                                                1. Chronic Toxicity to    under A\3\.
                                                                 Daphnia: ASTM E 1193.
                                                                2. Toxicity to Plants
                                                                 (Algae): ASTM E 1218.
                                      --------------------------------------------------
                                       C2                       For C2, Test Group 1 or
                                                                 Test Group 2 listed in
                                                                 this column must be
                                                                 used to fulfill the
                                                                 testing requirements--
                                                                 See special
                                                                 conditions.
                                                                Test Group 1 for C2:...
                                                                1. Acute Toxicity to
                                                                 Daphnia: ASTM E 729.
                                                                2. Toxicity to Plants
                                                                 (Algae): ASTM E 1218.
                                                                Test Group 2 for C2:...
                                                                1. Chronic Toxicity to
                                                                 Daphnia: ASTM E 1193.
                                                                2. Toxicity to Plants
                                                                 (Algae): ASTM E 1218.
                                      --------------------------------------------------
                                       C3                       For C3, Test Group 1 or
                                                                 Test Group 2 listed in
                                                                 this column must be
                                                                 used to fulfill the
                                                                 testing requirements--
                                                                 See special
                                                                 conditions.
                                                                Test Group 1 for C3:...
                                                                1. Acute Toxicity to
                                                                 Fish: ASTM E 729.
                                                                2. Toxicity to Plants
                                                                 (Algae): ASTM E 1218.
                                                                Test Group 2 for C3:...
                                                                1. Chronic Toxicity to
                                                                 Daphnia: ASTM E 1193.
                                                                2. Toxicity to Plants
                                                                 (Algae): ASTM E 1218.
                                      --------------------------------------------------
                                       C4                       For C4, Test Group 1 or
                                                                 Test Group 2 listed in
                                                                 this column must be
                                                                 used to fulfill the
                                                                 testing requirements--
                                                                 See special
                                                                 conditions.
                                                                Test Group 1 for C4:...
                                                                1. Acute Toxicity to
                                                                 Fish: ASTM E 729.
                                                                2. Acute Toxicity to
                                                                 Daphnia: ASTM E 729.
                                                                Test Group 2 for C4:...
                                                                1. Chronic Toxicity to
                                                                 Daphnia: ASTM E 1193.
                                      --------------------------------------------------
                                       C5                       For C5, Test Group 1 or
                                                                 Test Group 2 below
                                                                 must be used to
                                                                 fulfill the testing
                                                                 requirements--See
                                                                 special conditions.
                                                                Test Group 1 for C5:...
                                                                1. Acute Toxicity to
                                                                 Daphnia: ASTM E 729.
                                                                Test Group 2 for C5:...
                                                                1. Chronic Toxicity to
                                                                 Daphnia: ASTM E 1193.
                                      --------------------------------------------------
                                       C6                       Toxicity to Plants
                                                                 (Algae): ASTM E 1218
                                      --------------------------------------------------
                                       C7                       For C7, Test Group 1 or  .......................
                                                                 Test Group 2 of this
                                                                 column must be used to
                                                                 fulfill the testing
                                                                 requirements--See
                                                                 special conditions.
                                                                Test Group 1 for C7:...
                                                                1. Acute Toxicity to
                                                                 Fish: ASTM E 729.
                                                                Test Group 2 for C7:...
                                                                1. Chronic Toxicity to
                                                                 Daphnia: ASTM E 1193.
----------------------------------------------------------------------------------------------------------------

[[Page 281]]

 
Mammalian toxicity--Acute              D                        See special conditions   Which testing method is
                                                                 for this test            required is determined
                                                                 requirement and select   by the test
                                                                 the method that must     substance's physical
                                                                 be used from those       state at room
                                                                 listed in this column.   temperature (25
                                                                Method A: Acute           [deg]C). For those
                                                                 Inhalation Toxicity      test substances that
                                                                 (rat): 40 CFR 799.9130.  are gases at room
                                                                Method B: EITHER:......   temperature, Method A
                                                                1. Acute (Up/Down) Oral   is required;
                                                                 Toxicity (rat): ASTM E   otherwise, use either
                                                                 1163 OR.                 of the two methods
                                                                 2. Acute (Up/Down)       listed under Method B.
                                                                 Oral Toxicity (rat):    In Method B, 40 CFR
                                                                 40 CFR                   799.9110(d)(1)(i)(A)
                                                                 799.9110(d)(1)(i)(A).    refers to the OECD 425
                                                                                          Up/Down Procedure\4\.
                                                                                         Estimating starting
                                                                                          dose for Method B:
                                                                                          Data from the neutral
                                                                                          red uptake basal
                                                                                          cytotoxicity assay\5\
                                                                                          using normal human
                                                                                          keratinocytes or mouse
                                                                                          BALB/c 3T3 cells may
                                                                                          be used to estimate
                                                                                          the starting dose.
----------------------------------------------------------------------------------------------------------------
Mammalian toxicity--Genotoxicity       E1                       Bacterial Reverse        None
                                                                 Mutation Test (in
                                                                 vitro): 40 CFR
                                                                 799.9510
                                      --------------------------------------------------------------------------
                                       E2                       Conduct any one of the   Persons required to
                                                                 following three tests    conduct testing for
                                                                 for chromosomal          chromosomal damage are
                                                                 damage:                  encouraged to use the
                                                                In vitro Mammalian        in vitro Mammalian
                                                                 Chromosome Aberration    Chromosome Aberration
                                                                 Test: 40 CFR 799.9537    Test (40 CFR 799.9537)
                                                                 OR.                      to generate the needed
                                                                Mammalian Bone Marrow     data unless known
                                                                 Chromosomal Aberration   chemical properties
                                                                 Test (in vivo in         (e.g., physical/
                                                                 rodents: mouse           chemical properties,
                                                                 (preferred species),     chemical class
                                                                 rat, or Chinese          characteristics)
                                                                 hamster): 40 CFR         preclude its use. A
                                                                 799.9538 OR.             subject person who
                                                                Mammalian Erythrocyte     uses one of the in
                                                                 Micronucleus Test        vivo methods instead
                                                                 [sampled in bone         of the in vitro method
                                                                 marrow] (in vivo in      to address a
                                                                 rodents: Mouse           chromosomal damage
                                                                 (preferred species),     test requirement must
                                                                 rat, or Chinese          submit to EPA a
                                                                 hamster): 40 CFR         rationale for
                                                                 799.9539.                conducting that
                                                                                          alternate test in the
                                                                                          final study report.
                                      --------------------------------------------------------------------------
 Mammalian toxicity--Repeated dose/    F1                       Combined Repeated Dose   Where F1 is required,
 reproduction/ developmental                                     Toxicity Study with      EPA recommends use of
                                                                 the Reproduction/        the Combined Repeated
                                                                 Developmental Toxicity   Dose Toxicity Study
                                                                 Screening Test: 40 CFR   with the Reproduction/
                                                                 799.9365 OR              Developmental Toxicity
                                                                Reproduction/             Screening Test (40 CFR
                                                                 Developmental Toxicity   799.9365). However,
                                                                 Screening Test: 40 CFR   there may be valid
                                                                 799.9355 AND.            reasons to test a
                                                                Repeated Dose 28-Day      particular chemical
                                                                 Oral Toxicity Study in   using both 40 CFR
                                                                 rodents: 40 CFR          799.9355 and 40 CFR
                                                                 799.9305.                799.9305 to fill
                                                                                          Mammalian Toxicity--
                                                                                          Repeated Dose/
                                                                                          Reproduction/
                                                                                          Developmental data
                                                                                          needs. A subject
                                                                                          person who uses the
                                                                                          combination of 40 CFR
                                                                                          799.9355 and 40 CFR
                                                                                          799.9305 in place of
                                                                                          40 CFR 799.9365 must
                                                                                          submit to EPA a
                                                                                          rationale for
                                                                                          conducting these
                                                                                          alternate tests in the
                                                                                          final study reports.
                                                                                          Where F2 or F3 is
                                                                                          required, no rationale
                                                                                          for conducting the
                                                                                          required test need be
                                                                                          provided in the final
                                                                                          study report.
                                      --------------------------------------------------
                                       F2                       Reproduction/
                                                                 Developmental Toxicity
                                                                 Screening Test: 40 CFR
                                                                 799.9355
                                      --------------------------------------------------
                                       F3                       Repeated Dose 28-Day
                                                                 Oral Toxicity Study in
                                                                 rodents: 40 CFR
                                                                 799.9305
----------------------------------------------------------------------------------------------------------------
\1\ EPA recommends, but does not require, that log Kow be quantitatively estimated prior to initiating this
  study. One method, among many similar methods, for estimating log Kow is described in the article entitled
  Atom/Fragment Contribution Method for Estimating Octanol-Water Partition Coefficients) by W.M. Meylan and P.H.
  Howard in the Journal of Pharmaceutical Sciences. 84(1):83-92. January 1992. This reference is available under
  docket ID number EPA-HQ-OPPT-2005-0033 at the EPA Docket Center, Rm. B102, 1301 Constitution Ave., NW.,
  Washington, DC, from 8:30 a.m. to 4:30 p.m., Monday through Friday, excluding legal holidays.
\2\ EPA recommends, but does not require, that water solubility be quantitatively estimated prior to initiating
  this study. One method, among many similar methods, for estimating water solubility is described in the
  article entitled Improved Method for Estimating Water Solubility From Octanol/Water Partition Coefficient by
  W.M. Meylan, P.H. Howard, and R.S. Boethling in Environmental Toxicology and Chemistry. 15(2):100-106. 1996.
  This reference is available under docket ID number EPA-HQ-OPPT-2005-0033 at the EPA Docket Center, Rm. B102,
  1301 Constitution Ave., NW., Washington, DC, from 8:30 a.m. to 4:30 p.m., Monday through Friday, excluding
  legal holidays.
\3\ Chemical substances that are dispersible in water may have log Kow values greater than 4.2 and may still be
  acutely toxic to aquatic organisms. EPA recommends, but does not require, that test sponsors who wish to
  conduct Test Group 1 studies on such chemicals to submit to EPA for approval a written request to conduct Test
  Group 1 studies 90 days prior to conducting such studies. The written request should include the rationale for
  conducting Test Group 1 studies.

[[Page 282]]

 
\4\ The OECD 425 Up/Down Procedure, revised by OECD in December 2001, is available under docket ID number EPA-HQ-
  OPPT-2005-0033 at the EPA Docket Center, Rm. B102, 1301 Constitution Ave., NW., Washington, DC, from 8:30 a.m.
  to 4:30 p.m., Monday through Friday, excluding legal holidays.
\5\ The neutral red uptake basal cytotoxicity assay, which may be used to estimate the starting dose for the
  mammalian toxicity-acute endpoint, is available under docket ID number EPA-HQ-OPPT-2005-0033 at the EPA Docket
  Center, Rm. B102, 1301 Constitution Ave., NW., Washington, DC, from 8:30 a.m. to 4:30 p.m., Monday through
  Friday, excluding legal holidays.

    (k) Effective date. This section is effective on April 17, 2006.

[71 FR 13730, Mar. 16, 2006, as amended at 71 FR 71062, Dec. 8, 2006]



Sec.  799.5115  Chemical testing requirements for certain chemicals of interest to the Occupational Safety and Health Administration.

    (a) What substances will be tested under this section? Table 2 in 
paragraph (j) of this section identifies the chemical substances that 
must be tested under this section. For the chemical substances 
identified as ``Class 1'' substances in Table 2 in paragraph (j) of this 
section, the purity of each chemical substance must be 99% or greater, 
unless otherwise specified in this section. For the chemical substances 
identified as ``Class 2'' substances in Table 2 in paragraph (j) of this 
section, a representative form of each chemical substance must be 
tested.
    (b) Am I subject to this section? (1) If you manufacture (including 
import) or intend to manufacture, or process or intend to process, any 
chemical substance listed in Table 2 in paragraph (j) of this section at 
any time from May 26, 2004, to the end of the test data reimbursement 
period as defined in 40 CFR 791.3(h), you are subject to this section 
with respect to that chemical substance.
    (2) If you do not know or cannot reasonably ascertain that you 
manufacture or process a chemical substance listed in Table 2 in 
paragraph (j) of this section during the time period described in 
paragraph (b)(1) of this section (based on all information in your 
possession or control, as well as all information that a reasonable 
person similarly situated might be expected to possess, control, or 
know, or could obtain without an unreasonable burden), you are not 
subject to this section with respect to that chemical substance.
    (c) If I am subject to this section, when must I comply with it? 
(1)(i) Persons subject to this section are divided into two groups, as 
set forth in Table 1 of this paragraph: Tier 1 (persons initially 
required to comply) and Tier 2 (persons not initially required to 
comply). If you are subject to this section, you must determine if you 
fall within Tier 1 or Tier 2, based on Table 1 of this paragraph.

   Table 1--Persons Subject to the Rule: Persons in Tier 1 and Tier 2
------------------------------------------------------------------------
                                          Persons not initially required
  Persons initially required to comply     to comply with this section
       with this section (Tier 1)                    (Tier 2)
------------------------------------------------------------------------
Persons not otherwise specified in       A. Persons who manufacture (as
 column 2 of this table that              defined at TSCA section 3(7))
 manufacture (as defined at TSCA          or intend to manufacture a
 section 3(7)) or intend to manufacture   chemical substance included in
 a chemical substance included in this    this section solely as one or
 section.                                 more of the following:
                                         --As a byproduct (as defined at
                                          40 CFR 791.3(c));
                                         --As an impurity (as defined at
                                          40 CFR 790.3);
                                         --As a naturally occurring
                                          substance (as defined at 40
                                          CFR 710.4(b));
                                         --As a non-isolated
                                          intermediate (as defined at 40
                                          CFR 704.3);
                                         --As a component of a Class 2
                                          substance (as described at 40
                                          CFR 720.45(a)(1)(i));
                                         --In amounts of less than 500
                                          kilograms (kg) (1,100 lbs)
                                          annually (as described at 40
                                          CFR 790.42(a)(4)); or
                                         --For research and development
                                          (as described at 40 CFR
                                          790.42(a)(5)).
                                         B. Persons who process (as
                                          defined at TSCA section 3(10))
                                          or intend to process a
                                          chemical substance included in
                                          this section (see 40 CFR
                                          790.42(a)(2)).
------------------------------------------------------------------------

    (ii) Table 1 in paragraph (c)(1)(i) of this section expands the list 
of persons specified in Sec.  790.42(a)(2), (a)(4), and (a)(5) of this 
chapter, who, while legally subject to this section, must comply with 
the requirements of this section only if directed to do so by EPA under 
the circumstances set forth in paragraphs (c)(4) through (c)(7) and 
(c)(10) of this section.
    (2) If you are in Tier 1 with respect to a chemical substance listed 
in Table 2 in paragraph (j) of this section, you must, for each test 
required under this section for that chemical substance, either submit 
to EPA a letter of intent

[[Page 283]]

to test or apply to EPA for an exemption from testing. The letter of 
intent to test or the exemption application must be received by EPA no 
later than June 25, 2004.
    (3) If you are in Tier 2 with respect to a chemical substance listed 
in Table 2 in paragraph (j) of this section, you are considered to have 
an automatic conditional exemption and you will be required to comply 
with this section with regard to that chemical substance only if 
directed to do so by EPA under paragraphs (c)(5), (c)(7), or (c)(10) of 
this section.
    (4) If no person in Tier 1 has notified EPA of its intent to conduct 
one or more of the tests required by this section on any chemical 
substance listed in Table 2 in paragraph (j) of this section by June 25, 
2004, EPA will publish a Federal Register document that would specify 
the test(s) and the chemical substance(s) for which no letter of intent 
has been submitted, and notify manufacturers in Tier 2A of their 
obligation to submit a letter of intent to test or to apply for an 
exemption from testing.
    (5) If you are in Tier 2A with respect to a chemical substance 
listed in Table 2 in paragraph (j) of this section, and if you 
manufacture this chemical substance as of May 26, 2004, or within 30 
days after publication of the Federal Register document described in 
paragraph (c)(4) of this section, you must, for each test specified for 
that chemical substance in the document described in paragraph (c)(4) of 
this section, either submit to EPA a letter of intent to test or apply 
to EPA for an exemption from testing. The letter of intent to test or 
the exemption application must be received by EPA no later than 30 days 
after publication of the document described in paragraph (c)(4) of this 
section.
    (6) If no manufacturer in Tier 1 or Tier 2A has notified EPA of its 
intent to conduct one or more of the tests required by this section on 
any chemical substance listed in Table 2 in paragraph (j) of this 
section within 30 days after the publication of the Federal Register 
document described in paragraph (c)(4) of this section, EPA will publish 
another Federal Register document that would specify the test(s) and the 
chemical substance(s) for which no letter of intent has been submitted, 
and notify processors in Tier 2B of their obligation to submit a letter 
of intent to test or to apply for an exemption from testing.
    (7) If you are in Tier 2B with respect to a chemical substance 
listed in Table 2 in paragraph (j) of this section, and if you process 
this chemical substance as of May 26, 2004, or within 30 days after 
publication of the Federal Register document described in paragraph 
(c)(6) of this section, you must, for each test specified for that 
chemical substance in the document described in paragraph (c)(6) of this 
section, either submit to EPA a letter of intent to test or apply to EPA 
for an exemption from testing. The letter of intent to test or the 
exemption application must be received by EPA no later than 30 days 
after publication of the document described in paragraph (c)(6) of this 
section.
    (8) If no manufacturer or processor has notified EPA of its intent 
to conduct one or more of the tests required by this section for any of 
the chemical substances listed in Table 2 in paragraph (j) of this 
section within 30 days after the publication of the Federal Register 
document described in paragraph (c)(6) of this section, EPA will notify 
all manufacturers and processors of those chemical substances of this 
fact by certified letter or by publishing a Federal Register document 
specifying the test(s) for which no letter of intent has been submitted. 
This letter or Federal Register document will additionally notify all 
manufacturers and processors that all exemption applications concerning 
the test(s) have been denied, and will give the manufacturers and 
processors of the chemical substance(s) an opportunity to take 
corrective action.
    (9) If no manufacturer or processor has notified EPA of its intent 
to conduct one or more of the tests required by this section for any of 
the chemical substances listed in Table 2 in paragraph (j) of this 
section within 30 days after receipt of the certified letter or 
publication of the Federal Register document described in paragraph 
(c)(8) of this section, all manufacturers and processors subject to this 
section with respect to that chemical substance who

[[Page 284]]

are not already in violation of this section will be in violation of 
this section.
    (10) If a problem occurs with the initiation, conduct, or completion 
of the required testing or the submission of the required data with 
respect to a chemical substance listed in Table 2 in paragraph (j) of 
this section, under the procedures in Sec.  Sec.  790.93 and 790.97 of 
this chapter, EPA may initiate termination proceedings for all testing 
exemptions with respect to that chemical substance and may notify 
persons in Tier 1 and Tier 2 that they are required to submit letters of 
intent to test or exemption applications within a specified period of 
time.
    (11) If you are required to comply with this section, but your 
manufacturing or processing of a chemical substance listed in Table 2 in 
paragraph (j) of this section begins after the applicable compliance 
date referred to in paragraphs (c)(2), (c)(5), (c)(7), or (c)(10) of 
this section, you must either submit a letter of intent to test or apply 
to EPA for an exemption. The letter of intent to test or the exemption 
application must be received by EPA no later than the day you begin 
manufacturing or processing.
    (d) What must I do to comply with this section? (1) To comply with 
this section you must either submit to EPA a letter of intent to test, 
or apply to and obtain from EPA an exemption from testing.
    (2) For each test with respect to which you submit to EPA a letter 
of intent to test, you must conduct the testing specified in paragraph 
(h) of this section and submit the test data to EPA.
    (3) You must also comply with the procedures governing test rule 
requirements in part 790 of this chapter, as modified by this section, 
including the submission of letters of intent to test or exemption 
applications, the conduct of testing, and the submission of data; Part 
792--Good Laboratory Practice Standards of this chapter; and this 
section. The following provisions of 40 CFR part 790 do not apply to 
this section: Paragraphs (a), (d), (e), and (f) of Sec.  790.45; 
paragraph (a)(2) and paragraph (b) of Sec.  790.80; and Sec.  790.48.
    (e) If I do not comply with this section, when will I be considered 
in violation of it? You will be considered in violation of this section 
as of 1 day after the date by which you are required to comply with this 
section.
    (f) How are EPA's data reimbursement procedures affected for 
purposes of this section? If persons subject to this section are unable 
to agree on the amount or method of reimbursement for test data 
development for one or more chemical substances included in this 
section, any person may request a hearing as described in 40 CFR part 
791. In the determination of fair reimbursement shares under this 
section, if the hearing officer chooses to use a formula based on 
production volume, the total production volume amount will include 
amounts of a chemical substance produced as an impurity.
    (g) Who must comply with the export notification requirements? Any 
person who exports, or intends to export, a chemical substance listed in 
Table 2 in paragraph (j) of this section is subject to part 707, subpart 
D, of this chapter.
    (h) How must I conduct my testing? The chemical substances 
identified by Chemical Abstract Service Registry Number (CAS No.) and 
chemical name in Table 2 in paragraph (j) of this section must be tested 
as follows:
    (1) Applicability. This in vitro dermal absorption rate test 
standard must be used for all testing conducted under this section. In 
certain instances, modifications to the test standard may be considered. 
The procedures for applying for a modification to the test standard are 
specified in 40 CFR 790.55.
    (2) Source. The test standard is based on the Protocol for In Vitro 
Percutaneous Absorption Rate Studies, referenced in paragraph (h)(8)(v) 
of this section.
    (3) Purpose. In the assessment and evaluation of the characteristics 
of a chemical substance or mixture for which testing is required under 
this section (test substance), it is important to determine the rate of 
absorption of the test substance in cases where dermal exposure to the 
test substance in the workplace may result in systemic toxicity. This 
test standard is designed to develop data that describe the rate at 
which test substances are absorbed through the skin so that the

[[Page 285]]

body burden of a test substance resulting from dermal exposure in the 
workplace can be better evaluated.
    (4) Principles of the test standard. This test standard describes 
procedures for measuring a permeability constant (Kp) and two short-term 
dermal absorption rates for test substances in liquid form. The test 
standard utilizes in vitro diffusion cell techniques which allow 
absorption studies to be conducted with human cadaver skin. In vitro 
diffusion studies are necessary for measuring a Kp. This test standard 
specifies the use of static or flow-through diffusion cells and non-
viable human cadaver skin. It also requires the use of radiolabeled test 
substances unless it can be demonstrated that procedures utilizing a 
non-radiolabeled test substance are able to measure the test substance 
with a sensitivity equivalent to the radiolabeled method.
    (5) Test procedure--(i) Choice of membrane--(A) Skin selection. 
Human cadaver skin must be used in all testing conducted under this test 
standard. This test standard does not require use of live skin, or the 
maintenance of skin viability during the course of the experiment. 
However, the time elapsed between death and harvest of tissue must be 
reported.
    (B) Number of skin samples. Data for the determination of a Kp must 
be obtained from a minimum of six skin samples and the skin samples must 
come from at least three different human subjects (two skin samples from 
each subject) in order to allow for biological variation between 
subjects. Data for the determination of each short-term (i.e., 10 minute 
and 60 minute) absorption rate must be obtained from a minimum of six 
skin samples and the skin samples must come from at least three 
different human subjects (two skin samples from each subject).
    (C) Anatomical region. In order to minimize the variability in skin 
absorption measurements for these tests, samples of human cadaver skin 
must be obtained from the abdominal region of human subjects of known 
source and disease state.
    (D) Validation of human cadaver skin barrier. Prior to conducting an 
experiment with the test substance, barrier properties of human cadaver 
skin must be pretested either by:
    (1) Measuring the absorption of a standard compound such as 
tritiated water as discussed, for example, in the reference in paragraph 
(h)(8)(i) of this section;
    (2) Determining an electrical resistance to an alternating current, 
at up to two volts; or
    (3) Measuring trans-epidermal water loss from the stratum corneum.
    (ii) Preparation of membrane. Full thickness skin must not be used. 
A suitable membrane must be prepared from skin either with a dermatome 
at a thickness of 200 to 500 micrometers ([micro]m), or with heat 
separation by treating the skin at 60 [deg]C for 45 seconds to 2 minutes 
after which the epidermis can be peeled from the dermis. These epidermal 
membranes can be stored frozen (-20 [deg]C) for up to 3 months, if 
necessary, if they are frozen quickly and the barrier properties of the 
samples are confirmed immediately prior to commencement of the 
experiment.
    (iii) Diffusion cell design. Either static or flow-through diffusion 
cells must be used in these studies. To ensure that an increase in 
concentration of the test substance in the receptor fluid does not alter 
penetration rate, the testing laboratory must verify that the 
concentration of the test substance in the receptor fluid is less than 
10% of the initial concentration in the donor chamber. Concentration of 
the neat (i.e., undiluted) liquid must be taken as the density of the 
test substance.
    (iv) Temperature. Skin must be maintained at a physiological 
temperature of 32 [deg]C during the test.
    (v) Testing hydrophobic chemicals. When testing hydrophobic 
chemicals, polyethoxyoleate (polyethylene glycol (PEG) 20 oleyl ether) 
must be added to the receptor fluid at a concentration of 6%.
    (vi) Vehicle. If the test substance is a liquid at room temperature 
and does not damage the skin during the determination of Kp, it must be 
applied neat. If the test substance cannot be applied neat because it is 
a solid at room temperature or because it damages the skin when applied 
neat, it

[[Page 286]]

must be dissolved in water. If the concentration of a hydrophobic test 
substance in water is not high enough so that a steady-state absorption 
can be obtained, the test substance must be dissolved in isopropyl 
myristate. A sufficient volume of liquid must be used to completely 
cover the skin and provide the amount of test substance as described in 
paragraph (h)(5)(vii) of this section.
    (vii) Dose--(A) Kp. A Kp must be determined for each test chemical, 
except for methyl isoamyl ketone (MIAK; CAS No.: 110-12-3, Chemical 
Abstracts (CA) Index Name: 2-Hexanone, 5-methoxy-) and dipropylene 
glycol methyl ether (DPGME; CAS No.: 34590-94-8, CA Index Name: 
Propanol, 1(or 2)-(2-methoxymethylethoxy)-). An ``infinite dose'' of the 
test substance must be applied to the skin to achieve the steady-state 
rate of absorption necessary for calculation of a Kp. Infinite dose is 
defined as the concentration of a test substance required to give an 
undepletable reservoir on the surface of the skin. The actual 
concentration required to give an undepletable reservoir on the surface 
of the skin depends on the rate of penetration of the test substance. 
Preliminary studies may be necessary to determine this concentration. 
Percutaneous absorption must be determined under occluded (i.e., 
covered) conditions unless it is demonstrated that such conditions cause 
leakage of material or damage to the skin membrane as a result of 
unrealistically high pressures or excessive hydration. Skin barrier 
integrity must be verified at the end of the experiment by the methods 
discussed in paragraph (h)(5)(i)(D) of this section.
    (B) Short-term absorption rates. Short-term absorption rates must be 
determined for all test chemicals. The dose of test chemical applied to 
the skin must be sufficient to completely cover the exposed skin 
surface. A minimum of four diffusion cells must be set up using skin 
from a single subject. Two diffusion cells must be terminated at 10 
minutes. The remaining two diffusion cells must be terminated at 60 
minutes. Skin absorption at each sampling time is the sum of the 
receptor fluid levels and the absorbed test substance that remains in 
the skin, as discussed, for example, in the reference in paragraph 
(h)(8)(iii) of this section. Unabsorbed chemical must be removed from 
the skin surface by washing gently with soap and water. This experiment 
must be repeated with skin from two additional subjects. In order to 
ensure reliable short-term absorption rates, percutaneous absorption 
must be determined under occluded conditions unless it is demonstrated 
that such conditions cause leakage of material or damage to the skin 
membrane as a result of unrealistically high pressures or excessive 
hydration.
    (viii) Study duration--(A) Kp. The in vitro dermal absorption rate 
test must be performed until at least four absorption measurements per 
diffusion cell experiment are obtained during the steady-state 
absorption portion of the experiment. A preliminary study may be useful 
to establish time points for sampling. The required absorption 
measurements can be accomplished in an hour or two with fast-penetrating 
chemicals but may require 24 hours or longer for slow-penetrating 
chemicals. Unabsorbed test substance need not be removed from the 
surface of the skin after each experiment.
    (B) Short-term absorption rates. The test substance must be applied 
to skin for durations of 10 and 60 minutes. At the end of the study, the 
unabsorbed test substance must be removed from the surface of the skin 
with soap and water and the amount absorbed into the skin and receptor 
fluid must be determined, as discussed, for example, in the reference in 
paragraph (h)(8)(iii) of this section.
    (6) Results--(i) Kp. The Kp must be calculated by dividing the 
steady-state rate of absorption (measured in micrograms ([micro]g) x 
hr-1 x centimeters (cm)-2) by the concentration of 
the test substance (measured in [micro]g x cm-3) applied to 
the skin. (For example, if the steady-state rate is 1 microgram x 
hr-1 x cm-2 and the concentration applied to the 
skin is 1,000 micrograms x cm-3, then the Kp value is 
calculated to be 0.001 cm x hr-1.) The mean and standard 
deviation of the calculated Kp values for all diffusion cell experiments 
must be determined.
    (ii) Short-term absorption rate. The absorption rates ([micro]g x 
hr-1 x cm-2) must

[[Page 287]]

be determined from the total amount of test substance found in the 
receptor fluid and skin after the 10-minute and 60-minute exposures for 
each diffusion cell experiment. The mean and standard deviation of 10-
minute short-term absorption rates from all experiments must be 
calculated. The mean and standard deviation of 60-minute short-term 
absorption rates from all experiments must also be calculated.
    (7) Test report. In addition to compliance with the TSCA Good 
Laboratory Practice Standards (GLPS) at 40 CFR part 792, the following 
specific information must be collected and reported by the date in 
paragraph (i) of this section:
    (i) Test systems and test methods. (A) A description of the date, 
time, and location of the test, the name(s) of the person(s) conducting 
the test, the location of records pertaining to the test, as well as a 
GLPS statement. These statements must be certified by the signatures of 
the individuals performing the work and their supervisors.
    (B) A description of the source, identity, and purity of the test 
substance and the source, identity, and handling of the test skin. There 
must be a detailed description of the test procedure and all materials, 
devices used and doses tested, as well as a detailed description and 
illustration of static or flow-through cell design. There must also be a 
description of the skin preparation method, including measurements of 
the skin membrane thickness.
    (C) A description of the analytical techniques to be used, including 
their accuracy, precision, and detection limits (in particular for non-
radiolabeled tests), and, if a radiolabel is used, there must be a 
description of the radiolabel (e.g., type, location of, and 
radiochemical purity of the label).
    (D) All data must be clearly identified as to dose and specimen. 
Derived values (means, permeability coefficient, graphs, charts, etc.) 
are not sufficient.
    (ii) Conduct of study. Data must be collected and reported on the 
following:
    (A) Monitoring of testing parameters.
    (B) Temperature of chamber.
    (C) Receptor fluid pH.
    (D) Barrier property validation.
    (E) Analysis of receptor fluid for radioactivity or test chemical
    (iii) Results. The mean Kp and mean short-term absorption rates must 
be presented along with their standard deviations and the number of 
diffusion cell experiments. In addition, all raw data from each 
individual diffusion cell must be retained to support the calculations 
of permeability constants and short-term absorption rates. When a 
radiolabeled test substance is used, a full balance of the radioactivity 
must be presented, including cell rinsing and stability of the test 
substance in the donor compartment.
    (8) References. For background information on this test standard, 
the following references may be consulted. These references are 
available under docket ID number OPPT-2003-0006 at the EPA Docket 
Center, Rm. B102-Reading Room, EPA West, 1301 Constitution Ave., NW., 
Washington, DC, from 8:30 a.m. to 4:30 p.m., Monday through Friday, 
excluding legal holidays.
    (i) Bronaugh, R.L., Stewart, R.F., and Simon, M. Methods for In 
Vitro Percutaneous Absorption Studies VII: Use of Excised Human Skin. 
Journal of Pharmaceutical Sciences. 75:1094-1097. 1986.
    (ii) Bronaugh, R.L. and Stewart, R.F. Methods for In Vitro 
Percutaneous Absorption Studies IV: The Flow-Through Diffusion Cell. 
Journal of Pharmaceutical Sciences. 74:64-67. 1985.
    (iii) Bronaugh, R.L., Stewart, R.F., and Storm, J.E. Extent of 
Cutaneous Metabolism During Percutaneous Absorption of Xenobiotics. 
Toxicology and Applied Pharmacology. 99:534-543. 1989.
    (iv) Walker, J.D., Whittaker, C. and McDougal, J.N. Role of the TSCA 
Interagency Testing Committee in Meeting the U.S. Government Data Needs: 
Designating Chemicals for Percutaneous Absorption Rate Testing. 
Dermatotoxicology. F. Marzulli and H. Maibach, Eds. Taylor & Francis, 
Washington, DC. pp. 371-381. 1996.
    (v) Bronaugh, R.L., and Collier, S.W. Protocol for In Vitro 
Percutaneous Absorption Studies. In Vitro Percutaneous Absorption: 
Principles, Fundamentals, and Applications. R.L. Bronaugh and H.I. 
Maibach, Eds. CRC Press, Boca Raton, FL. pp. 237-241. 1991.

[[Page 288]]

    (i) Reporting requirements. The reports submitted under this section 
must include the information specified in paragraph (h)(7) of this 
section. A final report for each chemical substance must be received by 
EPA by June 27, 2005, unless an extension is granted in writing pursuant 
to 40 CFR 790.55.
    (j) Designation of specific chemical substances for testing. The 
chemical substances identified by chemical name, CAS No., and class in 
Table 2 of this paragraph must be tested in accordance with the testing 
requirements in paragraph (h) of this section and the requirements 
described in 40 CFR part 792.

           Table 2--Chemical Substances Designated For Testing
------------------------------------------------------------------------
               CAS No.                       Chemical name         Class
------------------------------------------------------------------------
75-05-8..............................  Acetonitrile.............       1
75-15-0..............................  Carbon disulfide.........       1
75-35-4..............................  Vinylidene chloride......       1
77-73-6..............................  Dicyclopentadiene........       1
78-59-1..............................  Isophorone...............       1
78-87-5..............................  Propylene dichloride.....       1
79-20-9..............................  Methyl acetate...........       1
79-46-9..............................  2-Nitropropane...........       1
91-20-3..............................  Naphthalene..............       1
92-52-4..............................  Biphenyl.................       1
98-29-3..............................  tert-Butylcatechol.......       1
100-00-5.............................  p-Nitrochlorobenzene.....       1
100-01-6.............................  p-Nitroaniline...........       1
100-44-7.............................  Benzyl chloride..........       1
106-42-3.............................  p-Xylene.................       1
106-46-7.............................  p-Dichlorobenzene........       1
107-06-2.............................  Ethylene dichloride......       1
107-31-3.............................  Methyl formate...........       1
108-03-2.............................  1-Nitropropane...........       1
108-90-7.............................  Chlorobenzene............       1
108-93-0.............................  Cyclohexanol.............       1
109-66-0.............................  Pentane..................       1
109-99-9.............................  Tetrahydrofuran..........       1
110-12-3.............................  Methyl isoamyl ketone....       1
111-84-2.............................  Nonane...................       1
120-80-9.............................  Catechol.................       1
122-39-4.............................  Diphenylamine............       1
123-42-2.............................  Diacetone alcohol........       1
127-19-5.............................  Dimethyl acetamide.......       1
142-82-5.............................  n-Heptane................       1
150-76-5.............................  p-Methoxyphenol..........       1
25013-15-4...........................  Vinyl toluene............       2
34590-94-8...........................  Dipropylene glycol methyl       2
                                        ether.
------------------------------------------------------------------------

    (k) Effective date This section is effective on May 26, 2004.

[69 FR 22436, Apr. 26, 2004, as amended at 71 FR 18654, Apr. 12, 2006]



              Subpart E_Product Properties Test Guidelines

    Source: 65 FR 78751, Dec. 15, 2000, unless otherwise noted.



Sec.  799.6755  TSCA partition coefficient (n-octanol/water), shake flask method.

    (a) Scope--(1) Applicability. This section is intended to meet the 
testing requirements of the Toxic Substances Control Act (TSCA) (15 
U.S.C. 2601).
    (2) Source. The source material used in developing this TSCA test 
guideline is the Office of Prevention, Pesticides and Toxics (OPPTS) 
harmonized test guideline 830.7550 (August 1996, final guideline). The 
source is available at the address in paragraph (f) of this section.
    (b) Introductory information--(1) Prerequisites. Suitable analytical 
method, dissociation constant, water solubility, and hydrolysis 
(preliminary test).
    (2) Coefficient of variation. The coefficient of variation on the 
mean values reported by the participants of the Organization for 
Economic Coopertion and Development (OECD) Laboratory Intercomparison 
Testing, Part I, 1979, appeared to be dependent on the chemicals tested; 
it ranges from 0.17 to 1.03.
    (3) Qualifying statements. This method applies only to pure, water 
soluble substances which do not dissociate or associate, and which are 
not surface active. In order to use the partition coefficient (P) as a 
screening test for bioaccumulation, it should be ascertained that the 
impurities in the commercial product are of minor importance. Testing of 
P (n-octanol/water) cannot be used as a screening test in the case of 
organometallic compounds.
    (4) Alternative methods. High-pressure liquid chromatography (HPLC) 
methods described in the references in paragraphs (f)(3), (f)(4), and 
(f)(5) of this section may be considered as an alternative test method.
    (c) Method--(1) Introduction, purpose, scope, relevance, 
application, and limits of test. The P of a substance between water and 
a lipophilic solvent (n-octanol) is one model variable which may be used 
to describe the transfer of a substance from the aquatic environment 
into an organism and the potential bioaccumulation of the substance. 
Studies show a highly significant relationship between the P of 
different substances in the system water/n-octanol

[[Page 289]]

and their bioaccumulation in fish described in paragraph (f)(1) of this 
section.
    (2) Definitions--Partition coefficient (P) is defined as the ratio 
of the equilibrium concentrations (Ci) of a dissolved 
substance in a two-phase system consisting of two largely immiscible 
solvents. The P therefore is the quotient of two concentrations and is 
usually given in the form of its logarithm to base 10 (log P). In this 
case n-octanol and water:

                               Equation 1:
[GRAPHIC] [TIFF OMITTED] TR15DE00.039

    (3) Reference substances. The reference substances need not be 
employed in all cases when investigating a new substance. They are 
provided primarily so that calibration of the method may be performed 
from time to time and to offer the chance to compare the results when 
another method is applied. The values presented in table 1 of this 
section are not necessarily representative of the results which can be 
obtained with this test method as they have been derived from an earlier 
version of the test guideline.

                 Table 1--Data for Reference Substances
------------------------------------------------------------------------
          Tested substance \1\                       Pow \2\
------------------------------------------------------------------------
Di(2-ethylhexyl)phthalate (OECD).......   1.3 x 10\5\ (4.6 x 10\4\ - 2.8
                                          x 10\5\)
Hexachlorobenzene (OECD)...............   3.6 x 10\5\ (1.1 x 10\5\ - 8.3
                                          x 10\5\)
o-Dichlorobenzene European Economic       5.1 x 10\3\ (1.5 x 10\3\ - 2.3
 Community (EEC).                         x 10\4\)
Dibutyl phthalate (EEC)................   1.3 x 10\4\ (1.7 x 10\3\ - 2.8
                                          x 10\4\)
Trichloroethylene (OECD)...............   2.0 x 10\3\ (5.2x10\2\-
                                          3.7x10\3\)
Urea (OECD)............................   6.2x10-2 (2.0x10-2--2.4x10-1)
------------------------------------------------------------------------
\1\ Substances not tested: Ethyl acetate, 4-methyl-2,4-pentanediol.
\2\ Total, mean, and range of mean values (in parentheses) submitted by
  the participants of the OECD or EEC Laboratory Intercomparison
  Testing.

    (4) Principle of the test method. In order to determine a P, 
equilibrium between all interacting components of the system must be 
achieved, and the concentrations of the substances dissolved in the two 
phases must be determined. A study of the literature on this subject 
indicates that there are many different techniques which can be used to 
solve this problem, i.e. the thorough mixing of the two phases followed 
by their separation in order to determine the equilibrium concentration 
for the substance being examined.
    (5) Quality criteria--(i) Repeatability. In order to assure the 
precision of the P, duplicate determinations are to be made under three 
different test conditions, whereby the quantity of substance specified 
as well as the ratio of the solvent volumes may be varied. The 
determined values of the P expressed as their common logarithms should 
fall within a range of  0.3 log units.
    (ii) Sensitivity. The sensitivity of the method is determined by the 
sensitivity of the analytical procedure. This should be sufficient to 
permit the assessment of values of Pow up to 105 when the 
concentration of the solute in either phase is not more than 0.01 mol/
Liter (L). The substance being tested must not be water insoluble (mass 
concentration [rho] <= 10-6 gram (g)/L.
    (iii) Specificity. The Nernst Partition Law applies only at constant 
temperature, pressure, and pH for dilute solutions. It strictly applies 
to a pure substance dispersed between two pure solvents. If several 
different solutes occur in one or both phases at the same time, this may 
affect the results. Dissociation or association of the dissolved 
molecules result in deviations from the Nernst Partition Law. Such 
deviations are indicated by the fact that the P becomes dependent upon 
the concentration of the solution. Because of the multiple equilibria 
involved, this test guideline should not be applied to ionizable 
compounds without corrections being made. The use of buffer solutions in 
place of water should be considered for such compounds.

[[Page 290]]

    (iv) Possibility of standardization. This method can be 
standardized.
    (d) Description of the test procedure--(1) Preparations: Preliminary 
estimate of the P. The size of the P can be estimated either by means of 
calculation or by use of published solubilities of the test substance in 
the pure solvents. Alternatively, it may be roughly determined by 
performing a simplified preliminary test. For this:

                               Equation 2:
[GRAPHIC] [TIFF OMITTED] TR15DE00.040

    (2) Preparation of the solvents--(i) n-Octanol. The determination of 
the P should be carried out with analytical grade n-octanol. Inorganic 
contaminants can be removed from commercial n-octanol by washing with 
acid and base, drying, and distilling. More sophisticated methods will 
be required to separate the n-octanol from organic contaminants with 
similar vapor pressure if they are present.
    (ii) Water. Distilled water or water twice-distilled from glass or 
quartz apparatus should be employed. Water taken directly from an ion 
exchanger should not be used.
    (iii) Presaturation of the solvents. Before a P is determined, the 
phases of the solvent system are mutually saturated by shaking at the 
temperature of the experiment. For doing this, it is practical to shake 
two large stock bottles of purified n-octanol or distilled water each 
with a sufficient quantity of the other solvent for 24 hours on a 
mechanical shaker, and then to let them stand long enough to allow the 
phases to separate and to achieve a saturation state.
    (3) Preparation for the test. The entire volume of the two-phase 
system should nearly fill the test vessel. This will help prevent loss 
of material due to volatilization. The volume ratio and quantities of 
substance to be used are fixed by the following:
    (i) The preliminary assessment of the P as discussed in paragraph 
(d)(1) of this section).
    (ii) The minimum quantity of test substance required for the 
analytical procedure.
    (iii) The limitation of a maximum concentration in either phase of 
0.01 mol/L.
    (iv) Three tests are carried out. In the first, the calculated 
volume ratio is added; in the second, twice the volume of n-octanol is 
added; and in the third, half the volume of n-octanol is added.
    (4) Test substance. The test substance should be the purest 
available. For a material balance during the test a stock solution is 
prepared in n-octanol with a mass concentration between 1 and 100 
milligram/milliliter (mg/mL). The actual mass concentration of this 
stock solution should be precisely determined before it is employed in 
the determination of the P. This solution should be stored under stable 
conditions.
    (5) Test conditions. The test temperature should be kept constant 
( 1 [deg]C) and lie in the range of 20-25 [deg]C.
    (6) Performance of the test--(i) Establishment of the partition 
equilibrium. Duplicate test vessels containing the required, accurately 
measured amounts of the two solvents together with the necessary 
quantity of the stock solution should be prepared for each of the test 
conditions. The n-octanol parts should be measured by volume. The test 
vessels should either be placed in a suitable shaker or shaken by hand. 
A recommended method is to rotate the centrifuge tube quickly through 
180[deg] about its transverse axis so that any trapped air rises through 
the two phases. Experience has shown that 50 such rotations are usually 
sufficient for the establishment of the partition equilibrium. To be 
certain, 100 rotations in 5 minutes are recommended.
    (ii) Phase separation. In order to separate the phases, 
centrifugation of the mixture should be carried out. This

[[Page 291]]

should be done in a laboratory centrifuge maintained at room 
temperature, or, if a non-temperature-controlled centrifuge is used, the 
centrifuge tubes should be reequilibrated at the test temperature for at 
least 1 hour before analysis.
    (7) Analysis. (i) For the determination of the P, it is necessary to 
analyze the concentrations of the test substance in both phases. This 
may be done by taking an aliquot of each of the two phases from each 
tube for each test condition and analyzing them by the chosen procedure. 
The total quantity of substances present in both phases should be 
calculated and compared with the quantity of the substance originally 
introduced.
    (ii) The aqueous phase should be sampled by the following procedure 
to minimize the risk of including traces of the n-octanol: A glass 
syringe with a removable needle should be used to sample the water 
phase. The syringe should initially be partially filled with air. Air 
should be gently expelled while inserting the needle through the n-
octanol layer. An adequate volume of aqueous phase is withdrawn into the 
syringe. The syringe is quickly removed from the solution and the needle 
detached. The contents of the syringe may then be used as the aqueous 
sample.
    (iii) The concentration in the two-separated phases should 
preferably be determined by a substance-specific method. Examples of 
physical-chemical determinations which may be appropriate are:
    (A) Photometric methods.
    (B) Gas chromatography.
    (C) HPLC.
    (D) Back-extraction of the aqueous phase and subsequent gas 
chromatography.
    (e) Data and reporting--(1) Treatment of results. The reliability of 
the determined values of P can be tested by comparison of the means of 
the duplicate determinations with the overall mean.
    (2) Test report. The following should be included in the report:
    (i) Name of the substance, including its purity.
    (ii) Temperature of the determination.
    (iii) The preliminary estimate of the P and its manner of 
determination.
    (iv) Data on the analytical procedures used in determining 
concentrations.
    (v) The measured concentrations in both phases for each 
determination. This means that a total of 12 concentrations must be 
reported.
    (vi) The weight of the test substance, the volume of each phase 
employed in each test vessel, and the total calculated amount of test 
substance present in each phase after equilibration.
    (vii) The calculated values of the P and the mean should be reported 
for each set of test conditions as should the mean for all 
determinations. If there is a suggestion of concentration dependency of 
the P, this should be noted in the report.
    (viii) The standard deviation of individual P values about their 
mean should be reported.
    (ix) The mean P from all determinations should also be expressed as 
its logarithm (base 10).
    (f) References. For additional background information on this test 
guideline, the following references should be consulted. These 
references are available from the TSCA Nonconfidential Information 
Center, Rm. NE-B607, Environmental Protection Agency, 401 M St., SW., 
Washington, DC, 12 noon to 4 p.m., Monday through Friday, excluding 
legal holidays.
    (1) Neely, W.B. et al. Partition Coefficients to Measure 
Bioconcentration Potential of Organic Chemicals in Fish. Environmental 
Science and Technology 8:1113 (1974).
    (2) Leo, A. et al. Partition Coefficients and Their Uses. Chemical 
Reviews 71:525 (1971).
    (3) Miyake, K. and H. Terada, Direct measurements of partition 
coefficients in an octanol-water system. Journal of Chromatography 
157:386 (1978).
    (4) Veith G.D. and R.T. Morris, A Rapid Method for Estimating Log P 
for Organic Chemicals, EPA-600/3-78-049 (1978).
    (5) Mirrless, M.S. et al., Direct measurement of octanol-water 
partition coefficient by high pressure liquid chromatography. Journal of 
Medicinal Chemistry 19:615 (1976).

[[Page 292]]

    (6) EPA Draft Guidance of September 8, 1978 (F-16).
    (7) Konemann H. et al. Determination of log Poct values 
of chlorosubstituted benzenes, toluenes, and anilines by high 
performance liquid chromatography on ODS silica, Journal of 
Chromatography 178:559 (1979).
    (8) Organization for Economic Cooperation and Development, 
Guidelines for The Testing of Chemicals, OECD 107, Partition Coefficient 
(n-octanol/water) (Shake Flask Method, Adopted 27 July 1995), OECD, 
Paris, France.



Sec.  799.6756  TSCA partition coefficient (n-octanol/water), generator column method.

    (a) Scope--(1) Applicability. This section is intended to meet the 
testing requirements of the Toxic Substances Control Act (TSCA) (15 
U.S.C. 2601).
    (2) Source. The source material used in developing this TSCA test 
guideline is the Office of Pollution Prevention, Pesticides and Toxic 
Substances (OPPTS) harmonized test guideline 830.7560 (August 1996, 
final guideline). This source is available at the address in paragraph 
(e) of this section.
    (b)(1) Purpose. (i) The measurement and estimation of the n-octanol/
water partition coefficient (Kow), has become the cornerstone 
of a myriad of structure-activity relationships (SAR) property. The 
coefficient has been used extensively for correlating structural changes 
in drugs with changes observed in biological, biochemical, or toxic 
effects. These correlations are then used to predict the effect of a new 
drug for which a Kow could be measured.
    (ii) In the study of the environmental fate of organic chemicals, 
the Kow has become a key parameter. Kow is 
correlated to water solubility, soil/sediment sorption coefficient, and 
bioconcentration and is important to SAR.
    (iii) Of the three properties that can be estimated from 
Kow, water solubility is the most important because it 
affects both the fate and transport of chemicals. For example, highly 
soluble chemicals become quickly distributed by the hydrologic cycle, 
have low-sorption coefficients for soils and sediments, and tend to be 
more easily degraded by microorganisms. In addition, chemical 
transformation processes such as hydrolysis, direct photolysis, and 
indirect photolysis (oxidation) tend to occur more readily if a compound 
is soluble.
    (iv) Direct correlations between Kow and both the soil/
sediment sorption coefficient and the bioconcentration factor are to be 
expected. In these cases, compounds that are more soluble in n-octanol 
(more hydrophobic and lipophilic) would be expected to partition out of 
the water and into the organic portion of soils/sediments and into 
lipophilic tissue. The relationship between Kow and the 
bioconcentration factor, are the principal means of estimating 
bioconcentration factors. This relationship is discussed in the 
reference listed in paragraph (e)(14) of this section. These factors are 
then used to predict the potential for a chemical to accumulate in 
living tissue.
    (v) This section describes a method for determining the 
Kow based on the dynamic coupled column liquid 
chromatographic (DCCLC) technique, a technique commonly referred to as 
the generator column method. The method described herein can be used in 
place of the standard shake-flask method specified in Sec.  799.6755 for 
compounds with a log10Kow greater than 1.0.
    (2) Definitions. The following definitions apply to this section.
    Extractor column is used to extract the solute from the aqueous 
solution produced by the generator column. After extraction onto a 
bonded chromatographic support, the solute is eluted with a solvent/
water mixture and subsequently analyzed by high-performance liquid 
chromatography (HPLC), gas chromatography (GC), or any other analytical 
procedure. A detailed description of the preparation of the extractor 
column is given in paragraph (c)(1)(i) of this section.
    Generator column is used to partition the test substance between the 
n-octanol and water phases. The column in figure 1 in paragraph 
(c)(1)(i)(A)(2) of this section is packed with a solid support and is 
coated with the test substance at a fixed concentration in n-octanol. 
The test substance is eluted from the column with water and the aqueous 
solution leaving the column

[[Page 293]]

represents the equilibrium concentration of the test substance that has 
partitioned from the n-octanol phase into the water phase. Preparation 
of the generator column is described in paragraph (c)(1)(i) of this 
section.
    n-Octanol/water partition coefficient (Kow) is defined as 
the ratio of the molar concentrations of a chemical in n-octanol and 
water, in dilute solution. The coefficient Kow is a constant 
for a given chemical at a given temperature. Since Kow is the 
ratio of two molar concentrations, it is a dimensionless quantity. 
Sometimes Kow is reported as the decadic logarithm 
(log10Kow). In this equation, Coctanol 
and Cwater are the molar concentration of the solute in n-
octanol and water, respectively, at a given temperature. This test 
procedure determines Kow at 25 0.05 
[deg]C. The mathematical statement of Kow is:

                               Equation 1:
[GRAPHIC] [TIFF OMITTED] TR15DE00.041

    Response factor (RF) is the solute concentration required to give a 
one unit area chromatographic peak or one unit output from the HPLC 
recording integrator at a particular recorder and detector attenuation. 
The factor is required to convert from units of area to units of 
concentration. The determination of the RF is given in paragraph 
(c)(3)(iii)(C)(2) of this section.
    Sample loop is a \1/16\ inch (in) outside diameter (O.D.) (1.6 
millimeter (mm)) stainless steel tube with an internal volume between 20 
and 50 [micro]L. The loop is attached to the sample injection valve of 
the HPLC and is used to inject standard solutions into the mobile phase 
of the HPLC when determining the RF for the recording integrator. The 
exact volume of the loop must be determined as described in paragraph 
(c)(3)(iii)(C)(1) of this section when the HPLC method is used.
    (3) Principle of the test method. (i) This test method is based on 
the DCCLC technique for determining the aqueous solubility of organic 
compounds. The development of this test method is described in the 
references listed in paragraphs (e)(6), (e)(12), and (e)(19) of this 
section. The DCCLC technique utilizes a generator column, extractor 
column, and HPLC coupled or interconnected to provide a continuous 
closed-flow system. Aqueous solutions of the test compound are produced 
by pumping water through the generator column that is packed with a 
solid support coated with an approximately 1.0% weight/weight (w/w) 
solution of the compound in n-octanol. The aqueous solution leaving the 
column represents the equilibrium concentration of the test chemical 
which has partitioned from the n-octanol phase into the water phase. The 
compound is extracted from the aqueous solution onto an extractor 
column, then eluted from the extractor column with a solvent/water 
mixture and subsequently analyzed by HPLC using a variable wavelength 
ultraviolet (UV) absorption detector operating at a suitable wavelength. 
Chromatogram peaks are recorded and integrated using a recording 
integrator. The concentration of the compound in the effluent from the 
generator column is determined from the mass of the compound (solute) 
extracted from a measured volume of water (solvent). The Kow 
is calculated from the ratio of the molar concentration of the solute in 
the 1.0% (w/w) n-octanol and molar concentration of the solute in water 
as determined using the generator column technique.
    (ii) Since the HPLC method is only applicable to compounds that 
absorb in the UV, an alternate GC method, or any other reliable 
quantitative procedure must be used for those compounds that do not 
absorb in the UV. In the GC method the saturated solutions produced in 
the generator column are extracted using an appropriate organic solvent 
that is subsequently injected into the GC, or any other suitable 
analytical device, for analysis of the test compound.
    (4) Reference chemicals. (i) Columns 2, 3, 4, and 5 of table 1 in 
paragraph (b)(4)(ii) of this section list the experimental values of the 
decadic logarithm of the n-octanol/water partition coefficient 
(log10Kow) at 25 [deg]C for a number of organic 
chemicals as obtained from the scientific literature. These values were 
obtained by any one of the following experimental methods: Shake-flask; 
generator column; reverse-phase HPLC; or reverse-phase thin-layer 
chromatography, as indicated in the footnotes

[[Page 294]]

following each literature citation. The estimation method of Hawker and 
Connell as described in paragraph (e)(8) of this section, correlates 
log10Kow with the total surface area of the 
molecule and was used to estimate log10Kow for 
biphenyl and the chlorinated biphenyls. These estimated values are 
listed in column 7 of table 1 in paragraph (b)(4)(ii) of this section. 
Recommended values of log10Kow were obtained by 
critically analyzing the available experimental and estimated values and 
averaging the best data. These recommended values are listed in column 8 
of table 1 in paragraph (b)(4)(ii) of this section.
    (ii) The recommended values listed in table 1 of this section have 
been provided primarily so that the generator column method can be 
calibrated and to allow the chemical laboratory the opportunity to 
compare its results with these values. The testing laboratory has the 
option of choosing its reference chemicals, but references must be given 
to establish the validity of the measured values of 
log10Kow.

                                Table 1--n-Octanol/Water Partition Coefficient at 25 [deg]C for Some Reference Compounds
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                             Experimental log10Kow                Estimated log10Kow
                                                               -----------------------------------------------------------------------
                           Chemical                                           Generator                           Hansch                  Recommended
                                                                 Hansch and     Column    Banerjee\2\    Other      and    Hawker and       log10Kow
                                                                   Leo\1\       Method                  values    Leo\3\   Connell\4\
--------------------------------------------------------------------------------------------------------------------------------------------------------
Ethyl acetate.................................................   0.73, 0.66    \5\0.68         --         --       0.671       --          \17\0.685
1-Butanol.....................................................  0.88, 0.89,    \5\0.785        --         --       0.823       --          \23\0.852
                                                                 0.32, 0.88
1-Pentanol....................................................   1.28, 1.40    \5\1,53         --         --       1.35        --           \17\1.39
Nitrobenzene..................................................  1.85, 1.88,    \5\1.85        1.83      \6\1.82    1.89        --           \17\1.84
                                                                    1.79
Benzene.......................................................   2.15, 2.13       --          2.12        --       2.14        --           \17\2.14
Trichloroethylene.............................................      2.29       \5\2.53        2.42        --       2.27        --           \17\2.38
Chlorobenzene.................................................   2.84, 2.46    \7\2.98         --       \8\2.84    2.86        --           \18\2.80
o-Dichlorobenzene.............................................      3.38       \7\3.38        3.40      \8\3.38    3.57        --           \17\3.42
n-Propylbenzene...............................................  3.66, 3.66,    \5\3.69         --         --       3.85        --           \17\3.69
                                                                 3.68, 3.57
Biphenyl......................................................  3.95, 4.17,    \7\3.67,       4.04      \6\3.75    4.03       4.09          \17\3.96
                                                                 4.09, 4.04    \9\3.89,
                                                                               \10\3.79
2-Chlorobiphenyl..............................................       --        \7\4.50,        --      \10\3.90     --        4.99          \19\4.49
                                                                               \9\4.38                     ,
                                                                                                       \11\3.75
                                                                                                           ,
                                                                                                       \12\4.59
                                                                                                           ,
                                                                                                       \13\4.54
1,2,3,5-Tetrachlorobenzene....................................       --        \7\4.65        4.46        --       4.99        --           \17\4.70
2,2'-Dichlorobiphenyl.........................................       --        \9\4.90         --      \9\4.90,     --        4.65          \20\4.80
                                                                                                       \10\3.63
                                                                                                           ,
                                                                                                       \11\3.55
                                                                                                           ,
                                                                                                       \14\4.51
                                                                                                           ,
                                                                                                       \15\5.02
Pentachlorobenzene............................................       --        \7\5.03        4.94        --       5.71        --           \24\4.99
2,4,5-Trichlorobiphenyl.......................................       --        \7\5.51,        --      \10\5.67     --        5.60          \17\5.70
                                                                               \9\5.81                     ,
                                                                                                       \10\5.86
                                                                                                           ,
                                                                                                       \15\5.77
2,3,4,5-Tetrachlorobiphenyl...................................       --        \4\6.18,        --         --        --        6.04          \17\5.98
                                                                               \7\5.72
2,2',4,5,5'-Pentachlorobi-phenyl..............................      6.11       \9\6.50,        --      \13\6.11     --        6.38          \17\6.31
                                                                               \7\5.92                     ,
                                                                                                       \12\6.85
2,2',3,3',6,6'-Hexachloro-biphenyl............................       --        \4\5.76,        --         --        --        6.22          \17\6.36
                                                                               \7\6.63,
                                                                               \9\6.81
2,2',3,3',4,4',6-Heptachlorobiphenyl..........................       --        \7\6.68         --         --        --        7.11          \17\6.90
2,2',3,3',5,5',6,6'-Octachlorobiphenyl........................       --        \7\7.11,        --      \12\8.42     --        7.24          \21\7.16
                                                                               \9\7.14
2,2',3,3',4, 4',5,6,6'-Nona-chlorobiphenyl....................       --        \4\7.52         --         --        --        7.74          \17\7.63
2,2',3,3',4, 5,5'6,6'-Nona-chlorobiphenyl.....................       --        \7\8.16         --         --        --        7.71          \17\7.94
Decachlorobiphenyl............................................       --        \7\8.26,        --      \12\9.60     --        8.18         \22\8.21
                                                                               \9\8.20
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Hansch and Leo (1979). Shake-flask method in paragraph (e)(8) of this section.
\2\ Banerjee, Yalkowski, and Valvani (1980). Shake-flask method in paragraph (e)(1) of this section.
\3\ Hansch and Leo (1984). Estimates log10Kow using the CLogP3 computer program in paragraph (e)(9) of this section.
\4\ Hawker and Connell (1988). Generator column method and an estimation method correlating log10Kow with the total surface area of the molecule in
  paragraph (e)(8) of this section.
\5\ Tewari et al. (1982). Generator column method in paragraph (e)(14) of this section.

[[Page 295]]

 
\6\ Veith, Austin, and Morris (1979). Reverse-phase HPLC method in paragraph (e)(16) of this section.
\7\ Miller et al. (1984). Generator column method in paragraph (e)(11) of this section.
\8\ Chiou and Schmedding (1982). Shake-flask method in paragraph (e)(4) of this section.
\9\ Woodburn, Doucette, and Andren (1984). Generator column method in paragraph (e)(19) of this section.
\10\ Rapaport and Eisenreich (1984). Reverse-phase HPLC method in paragraph (e)(13) of this section.
\11\ Woodburn (1982). Reverse-phase HPLC method in paragraph (e)(18) of this section.
\12\ Bruggemann, Van der Steen, and Hutzinger (1978). Shake-flask method in paragraph (e)(2) of this section.
\13\ Tulp and Hutzinger (1978). Shake-flask method in paragraph (e)(15) of this section.
\14\ Chiou, Porter, and Schmedding (1983). Shake-flask method in paragraph (e)(5) of this section.
\15\ Bruggemann, Van Der Steen , and Hutzinger (1982). Reverse-phase thin-layer chromatography in paragraph (e)(2) of this section.
\16\ Chiou et al. (1977). Shake-flask method in paragraph (e)(3) of this section.
\17\ Average value using all the data.
\18\ Average value using all the data except the datum point 2.46.
\19\ Average value using all the data except the data points 3.90 and 3.75.
\20\ Average value using all the data except the data points 3.63 and 3.55.
\21\ Average value using all the data except the datum point 8.42.
\22\ Average value using all the data except the datum point 9.60.
\23\ Average value using all the data except the datum point 0.32.
\24\ Average value using all the data excluding the estimated datum point 5.71.

    (5) Applicability and specificity. The test guideline is designed to 
determine the Kow of solid or liquid organic chemicals in the 
range log10Kow 1.0 to <=6.0 (10 to <=10\6\).
    (c) Test procedure--(1) Test conditions--(i) Special laboratory 
equipment--(A)(1) Generator column. Either of two different methods for 
connecting to the generator column shall be used depending on whether 
the eluted aqueous phase is analyzed by HPLC (Procedure A, as described 
in paragraph (c)(3)(iii) of this section) or by solvent extraction 
followed by GC analysis, or any other reliable method of solvent extract 
(Procedure B, as described in paragraph (c)(3)(iv) of this section).
    (2)(i) The design of the generator column is shown in the following 
figure 1:
[GRAPHIC] [TIFF OMITTED] TR15DE00.042

    (ii) The column consists of a 6 mm (\1/4\ in) O.D. pyrex tube joined 
to a short enlarged section of 9 mm pyrex tubing which in turn is 
connected to another section of 6 mm (\1/4\ in) O.D. pyrex tubing. 
Connections to the inlet teflon

[[Page 296]]

tubing (\1/8\ in O.D.) and to the outlet stainless steel tubing (\1/16\ 
in O.D.) are made by means of stainless steel fittings with teflon 
ferrules. The column is enclosed in a water jacket for temperature 
control as shown in the following figure 2:

Figure 2--Setup Showing Generator Column Enclosed in a Water Jacket and 
         Overall Arrangement of the Apparatus Used in GC Method
[GRAPHIC] [TIFF OMITTED] TR15DE00.043

    (B) Constant temperature bath with circulation pump-bath and capable 
of controlling temperature to 25 0.05 [deg]C. 
(Procedures A and B, as described in paragraphs (c)(3)(iii) and 
(c)(3)(iv) of this section, respectively).
    (C) HPLC equipped with a variable wavelength UV absorption detector 
operating at a suitable wavelength and a recording integrator (Procedure 
A, as described in paragraph (c)(3)(iii) of this section).
    (D) Extractor column--6.6 x 0.6 centimeter (cm) stainless steel tube 
with end fittings containing 5 micron frits filled with a superficially 
porous phase packing (such as Bondapack C18 Corasil: Waters 
Associates) (Procedure A, as described in paragraph (c)(3)(iii) of this 
section).
    (E) Two 6-port high-pressure rotary switching valves (Procedure A, 
as described in paragraph (c)(3)(iii) of this section).
    (F) Collection vessel--8 x \3/4\ in section of pyrex tubing with a 
flat bottom connected to a short section of \3/8\ in O.D. borosilicate 
glass tubing. The collecting vessel is sealed with a \3/8\ in teflon cap 
fitting (Procedure B, as described in paragraph (c)(3)(iv) of this 
section).
    (G) GC, or any other reliable analytic equipment, equipped with a 
detector sensitive to the solute of interest (Procedure B, as described 
in paragraph (c)(3)(iv) of this section).
    (ii) Purity of n-octanol and water. Purified n-octanol, described in 
paragraph (c)(2)(i) of this section, and water meeting appropriate 
American Society for Testing and Materials Type II standards, or an 
equivalent grade, are recommended to minimize the effects of dissolved 
salts and other impurities. An ASTM Type II water standard is presented 
in the reference listed in paragraph (e)(20) of this section).
    (iii) Purity of solvents. It is important that all solvents used in 
this method be reagent or HPLC grade and contain no impurities which 
could interfere with the determination of the test compound.
    (iv) Reference compounds. In order to ensure that the HPLC system is 
working properly, at least two of the reference compounds listed in 
table 1 in paragraph (b)(4)(ii) of this section should be run. Reference 
compounds shall be reagent or HPLC grade to avoid interference by 
impurities.
    (2) Preparation of reagents and solutions--(i) n-Octanol and water. 
Very pure n-octanol can be obtained as follows: Wash pure n-octanol 
(minimum 98% pure) sequentially with 0.1N H2SO4, with 0.1N 
NaOH, then with distilled water until neutral. Dry the n-octanol with 
magnesium sulfate and distill twice in a good distillation column under 
reduced pressure [b.p. about 80 [deg]C at 0.27 kPa (2 torr)]. The n-
octanol produced should be at least 99.9% pure. Alternatively, a grade 
equivalent to Fisher Scientific Co. No. A-402 ``Certified Octanol-1'' 
can be used. Reagent-grade water shall be used throughout the test 
procedure, such as ASTM Type II

[[Page 297]]

water, or an equivalent grade, as described in paragraph (c)(1)(ii) of 
this section.
    (ii) Presaturated water. Prepare presaturated water with n-octanol 
to minimize the depletion of n-octanol from the column when measuring 
the Kowof a test chemical. This is very important when the 
test chemical is lipophilic and the log10Kow <=4.
    (3) Performance of the test. Initially, an approximately 1.0% (w/w) 
solution of the test substance in n-octanol is prepared. Precise 
measurement of the solute concentration in this solution is required for 
the Kowcalculation. Subsequently, the 1.0% (w/w) solution is 
coated on the generator column and using either Procedure A or Procedure 
B as described in paragraphs (c)(3)(iii) and (c)(3)(iv) of this section, 
the molar concentration of the test substance in reagent-grade water is 
determined.
    (i) Test solution. The test solution consists of an approximately 
1.0% (w/w) solution of the test substance in n-octanol. A sufficient 
quantity (about 10-20 milliliter (mL)) of the test solution should be 
prepared to coat the generator column. The solution is prepared by 
accurately weighing out, using a tared bottle, quantities of both the 
test substance and n-octanol required to make a 1.0% (w/w) solution. 
When the weights are measured precisely (to the nearest 0.1 milligram 
(mg)), knowing the density of n-octanol (0.827 gram (g)/mL at 25 
[deg]C), then the molar concentration of the test substance in the n-
octanol is sufficiently accurate for the purposes of the test procedure. 
If desired, however, a separate analytical determination (e.g., by GC, 
or any other reliable analytical method) may be used to check the 
concentration in the test solution. If storage is required, the test 
solution should be kept stoppered to prevent volatilization of the test 
chemical.
    (ii) Test procedures. Prior to the determination of the 
Kow of the test chemical, two procedures shall be followed:
    (A) The saturated aqueous solution leaving the generator column 
shall be tested for the presence of an emulsion, using a Tyndall 
procedure (i.e. light scattering). If colloids are present, they must be 
removed prior to injection into the extractor column by lowering the 
flow rate of water.
    (B) The efficiency of removal of the solute (the test chemical) by 
solvent extraction from the extractor column shall be determined and 
used in the determination of the Kow of the test chemical.
    (iii) Procedure A--HPLC method. (A) Procedure A covers the 
determination of the aqueous solubility of compounds which absorb in the 
UV. Two reciprocating piston pumps deliver the mobile phase (water or 
solvent/water mixture) through two 6-port high-pressure rotary valves 
and a 30x0.6 cm C18 analytical column to a UV absorption 
detector operating at a suitable wavelength. Chromatogram peaks are 
recorded and integrated with a recording integrator. One of the 6-port 
valves is the sample injection valve used for injecting samples of 
standard solutions of the solute in an appropriate concentration for 
determining RFs or standard solutions of basic chromate for determining 
the sample-loop volume. The other 6-port valve in the system serves as a 
switching valve for the extractor column which is used to remove solute 
from the aqueous solutions. The HPLC analytical system is shown 
schematically in the following figure 3:

        Figure 3--Schematic of HPLC--Generator Column Flow System

[[Page 298]]

[GRAPHIC] [TIFF OMITTED] TR15DE00.044

    (B) The general procedure for analyzing the aqueous phase after 
equilibration is as follows; a detailed procedure is given in paragraph 
(c)(3)(iii)(C)(4) of this section:
    (1) Direct the aqueous solution from the generator column to 
``Waste'' in figure 3 in paragraph (c)(3)(iii)(A) of this section with 
the switching valve in the inject position in order to equilibrate 
internal surfaces with the solution, thus insuring that the analyzed 
sample would not be depleted by solute adsorption on surfaces upstream 
from the valve.
    (2) At the same time, water is pumped from the HPLC pumps in order 
to displace the solvent from the extractor column.
    (3) The switching valve is next changed to the load position to 
divert a sample of the solution from the generator column through the 
extractor column, and the liquid leaving the extractor column is 
collected in a tared weighing bottle. During this extraction step, the 
HPLC mobile phase is changed to a solvent/water mixture to condition the 
analytical column.
    (4) After the desired volume of sample is extracted, the switching 
valve is returned to the inject position for elution from the extractor 
column and analysis. Assuming that all of the solute was adsorbed by the 
extractor column during the extraction step, the chromatographic peak 
represents all of the solute in the extracted sample, provided that the 
extraction efficiency is 100%. If the extraction efficiency is less than 
100%, then the extraction efficiency shall be measured and used to 
determine the actual amount of the solute extracted.
    (5) The solute concentration in the aqueous phase is calculated from 
the peak area, the weight of the extracted liquid collected in the 
weighing bottle, the extraction efficiency, and the RF.
    (C)(1) Determination of the sample-loop volume. Accurate measurement 
of the sample loop may be accomplished by using a spectrophotometric 
method such as the one described in the reference listed in paragraph 
(e)(6) of this section. For this method, measure absorbance, 
Aloop, at 373 nanometers (nm) for at least three solutions, 
each of which is prepared by collecting from the sample valve an 
appropriate number, n, of loopfuls of an aqueous stock solution of 
K2CrO4 (1.3% by weight) and diluting to 50 mL with 
0.2% KOH. (For a 20 [micro]L loop, use n = 5; for a 50 [micro]L loop, 
use n = 2.) Also measure the absorbance, Astock, of the same 
stock solution after diluting 1:500 with 0.2% KOH. Calculate the loop 
volume to the nearest 0.1 [micro]L using the relation:

                               Equation 2:
[GRAPHIC] [TIFF OMITTED] TR15DE00.045

    (2) Determination of the RF. (i) For all determinations adjust the 
mobile phase solvent/water ratio and flow rate to obtain a reasonable 
retention time on the HPLC column. For example, typical concentrations 
of organic solvent in the mobile phase range from 50

[[Page 299]]

to 100% while flow rates range from 1 to 3 mL/minutes (min); these 
conditions often give a 3 to 5 min retention time.
    (ii) Prepare standard solutions of known concentrations of the 
solute in a suitable solvent. Concentrations must give a recorder 
response within the maximum response of the detector. Inject samples of 
each standard solution into the HPLC system using the calibrated sample 
loop. Obtain an average peak area from at least three injections of each 
standard sample at a set detector absorbance unit full scale (AUFS), 
i.e., at the same absorbance scale attenuation setting.
    (iii) Calculate the RF from the following equation:

                               Equation 3:
[GRAPHIC] [TIFF OMITTED] TR15DE00.046

    (3) Loading of the generator column. (i) The design of the generator 
column was described in paragraph (c)(1)(i) of this section and is shown 
in figure 1 in paragraph (c)(1)(i)(A)(2)(i) of this section. To pack the 
column, a plug of silanized glass wool is inserted into one end of the 6 
mm pyrex tubing. Silanized diatomaceous silica support (about 0.5g of 
100-120 mesh Chromosorb W chromatographic support material) is poured 
into the tube with tapping and retained with a second plug of silanized 
glass wool.
    (ii) The column is loaded by pulling the test solution through the 
dry support with gentle suction and then allowing the excess solution to 
drain out. After loading the column, draw water up through the column to 
remove any entrapped air.
    (4) Analysis of the solute. Use the following procedure to collect 
and analyze the solute:
    (i) With the switching valve in figure 3 in paragraph (c)(3)(iii)(A) 
of this section in the inject position (i.e., water to waste), pump 
water through the generator column at a flow rate of approximately 1 mL/
min for approximately 15 min to bring the system into equilibrium. Pump 
water to the generator column by means of a minipump or pressurized 
water reservoir as shown in the following figure 4:

                 Figure 4--Water Reservoir for GC Method


    [GRAPHIC] [TIFF OMITTED] TR15DE00.047
    
    (ii) Flush out the organic solvent that remains in the system from 
previous runs by changing the mobile phase to 100% H2O and 
allowing the water to reach the HPLC detector, as indicated by a 
negative reading. As soon as this occurs, place a 25 mL weighing bottle 
(weighed to the nearest mg) at the waste position and immediately turn 
the switching valve to the load position.
    (iii) Collect an amount of water from the generator column (as 
determined

[[Page 300]]

by trial and error) in the weighing bottle, corresponding to the amount 
of solute adsorbed by the extractor column that gives a reasonable 
detector response. During this extraction step, switch back to the 
original HPLC mobile phase composition, i.e., solvent/water mixture, to 
condition the HPLC analytical column.
    (iv) After the desired volume of sample has been extracted, turn the 
switching valve back to the inject position in figure 3 in paragraph 
(c)(3)(iii)(A) of this section. As soon as the switching valve is turned 
to the inject position, remove the weighing bottle, cap it and replace 
it with the waste container; at the same time turn on the recording 
integrator. The solvent/water mobile phase will elute the solute from 
the extractor column and transfer the solute to the HPLC analytical 
column.
    (v) Determine the weight of water collected to the nearest mg and 
record the corresponding peak area. Using the same AUFS setting repeat 
the analysis of the solute at least two more times and determine the 
average ratio of peak area to grams of water collected. In this 
equation, S = solubility (M), RF = response factor, Vloop = 
sample-loop volume (L), and R = ratio of area to grams of water. 
Calculate the solute solubility in water using the following equation:

                               Equation 4:
[GRAPHIC] [TIFF OMITTED] TR15DE00.048

    (iv) Procedure B--GC Method. In the GC method, or any other reliable 
quantitative method, aqueous solutions from the generator column enter a 
collecting vessel in figure 2 in paragraph (c)(1)(i)(A) (2) (ii) of this 
section containing a known weight of extracting solvent which is 
immiscible in water. The outlet of the generator column is positioned 
such that the aqueous phase always enters below the extracting solvent. 
After the aqueous phase is collected, the collecting vessel is stoppered 
and the quantity of aqueous phase is determined by weighing. The solvent 
and the aqueous phase are equilibrated by slowly rotating the collecting 
vessel. A small amount of the extracting solvent is then removed and 
injected into a GC equipped with an appropriate detector. The solute 
concentration in the aqueous phase is determined from a calibration 
curve constructed using known concentrations of the solute. The 
extraction efficiency of the solvent shall be determined in a separate 
set of experiments.
    (A) Determination of calibration curve. (1) Prepare solute standard 
solutions of concentrations covering the expected range of the solute 
solubility. Select a column and optimum GC operating conditions for 
resolution between the solute and solvent and the solute and extracting 
solvent. Inject a known volume of each standard solution into the 
injection port of the GC. For each standard solution determine the 
average of the ratio R of peak area to volume (in [micro]L) for the 
chromatographic peak of interest from at least three separate 
injections.
    (2) After running all the standard solutions, determine the 
coefficients, a and b, using linear regression analysis on the equation 
of concentration (C) vs. R in the form:

                               Equation 5:
[GRAPHIC] [TIFF OMITTED] TR15DE00.049

    (B) Loading of the generator column. The generator column is packed 
and loaded with solute in the same manner as for the HPLC method in 
paragraph (c)(3)(iii) of this section. As shown in figure 2 in paragraph 
(c)(1)(i)(A) (2) (ii) of this section, attach approximately 20 cm of 
straight stainless steel tubing to the bottom of the generator column. 
Connect the top of the generator column to a water reservoir in figure 4 
in paragraph (c)(3)(iii)(C) (4)(i) of this section using teflon tubing. 
Use air or nitrogen pressure (5 PSI) from an air or nitrogen cylinder to 
force water from the reservoir through the column. Collect water in an 
Erlenmeyer flask for approximately 15 min while the solute concentration 
in water equilibrates; longer time may be required for less soluble 
compounds.
    (C) Collection and extraction of the solute. During the 
equilibration time, add a known weight of extracting solvent to a 
collection vessel which can be capped. The extracting solvent should

[[Page 301]]

cover the bottom of the collection vessel to a depth sufficient to 
submerge the collecting tube but still maintain 100:1 water/solvent 
ratio. Record the weight (to the nearest mg) of a collection vessel with 
cap and extracting solvent. Place the collection vessel under the 
generator column so that water from the collecting tube enters below the 
level of the extracting solvent in figure 2 in paragraph (c)(1)(i)(A) 
(2) (ii) of this section. When the collection vessel is filled, remove 
it from under the generator column, replace cap, and weigh the filled 
vessel. Determine the weight of water collected. Before analyzing for 
the solute, gently rotate the collection vessel contents for 
approximately 30 min, controlling the rate of rotation so as not to form 
an emulsion; rotating the flask end over end five times per minute is 
sufficient. The extraction efficiency of the solvent shall be determined 
in a separate set of experiments.
    (D) Analysis of the solute. (1) After rotating, allow the collection 
vessel to stand for approximately 30 min; then remove a known volume of 
the extracting solvent from the vessel using a microliter syringe and 
inject it into the GC. Record the ratio of peak area to volume injected 
and, from the regression equation of the calibration line, determine the 
concentration of solute in the extracting solvent. If the extraction 
efficiency is not 100%, the measured extraction efficiency shall be used 
to obtain the correct concentration of solute extracted. In this 
equation, Ces is the molar concentration of solute in 
extracting solvent, dH2O and des are 
the densities in grams per milliliter of water and extracting solvent, 
respectively, and ges and gH2O are the 
grams of extracting solvent and water, respectively, contained in the 
collection vessels. The molar concentration of solute in water C(M) is 
determined from the following equation:

                               Equation 6:
[GRAPHIC] [TIFF OMITTED] TR15DE00.050

    (2) Make replicate injections from each collecting vessel to 
determine the average solute concentration in water for each vessel. To 
make sure the generator column has reached equilibrium, run at least two 
additional (for a total of three) collection vessels and analyze the 
extracted solute as described in paragraph (c)(3)(iv)(D)(1) of this 
section. Calculate C(M) from the average solute concentration in the 
three vessels.
    (3) If another analytical method is used in place of the GC, then 
Procedure B, as described in paragraph (c)(3)(iv) of this section, shall 
be modified and the new analytical procedure shall be used to determine 
quantitatively the amount of solute extracted in the extraction solvent.
    (v) Analysis of reference compounds. Prior to analyzing the test 
solution, make duplicate runs on at least two of the reference compounds 
listed in table 1 in paragraph (b)(4)(ii) of this section. When using 
the reference compounds, follow the same procedure previously described 
for preparing the test solution and running the test. If the average 
value obtained for each compound is within 0.1 log unit of the reference 
value, then the test procedure and HPLC system are functioning properly; 
if not a thorough checking over of the HPLC and careful adherence to the 
test procedures should be done to correct the discrepancy.
    (vi) Modification of procedures for potential problems--
Decomposition of the test compound. If the test compound decomposes in 
one or more of the aqueous solvents required during the period of the 
test at a rate such that an accurate value for water solubility cannot 
be obtained, then it will be necessary to carry out detailed 
transformation studies, such as hydrolysis studies. If decomposition is 
due to aqueous photolysis, then it will be necessary to carry out the 
studies in the dark, under red or yellow lights, or by any other 
suitable method to eliminate this transformation process.
    (d) Data and reporting--(1) Test report. (i) For the test solution, 
report the weights to the nearest 0.1 mg of the test substance and n-
octanol. Also report the weight percent and molar concentration of the 
test substance in the n-octanol; the density of n-octanol at 25 [deg]C 
is 0.827 grams per milliliter (gm)/mL.

[[Page 302]]

    (ii) For each run provide the molar concentration of the test 
substance in water for each of three determinations, the mean value, and 
the standard deviation.
    (iii) For each of the three determinations calculate the 
Kow as the ratio of the molar concentration of the test 
substance in n-octanol to the molar concentration in water. Also 
calculate and report the mean Kow and its standard deviation. 
Values of Kow shall be reported as their logarithms 
(log10Kow).
    (iv) Report the temperature (0.05 [deg]C) at 
which the generator column was controlled during the test.
    (v) For each reference compound report the individual values of 
log10Kow and the average of the two runs.
    (vi) For compounds that decompose at a rate such that a precise 
value for the solubility cannot be obtained, provide a statement to that 
effect.
    (2) Specific analytical, calibration, and recovery procedures. (i) 
For the HPLC method describe and/or report:
    (A) The method used to determine the sample-loop volume and the 
average and standard deviation of that volume.
    (B) The average and standard deviation of the RF.
    (C) The extraction solvent and the extraction efficiency used.
    (D) Any changes made or problems encountered in the test procedures.
    (ii) For the GC method report:
    (A) The column and GC operating conditions of temperature and flow 
rate.
    (B) The average and standard deviation of the average area per 
microliter obtained for each of the standard solutions.
    (C) The form of the regression equation obtained in the calibration 
procedure.
    (D) The extracting solvent and extraction efficiency used.
    (E) The average and standard deviation of solute concentration in 
each collection vessel.
    (F) Any changes made or problems encountered in the test procedure.
    (iii) If another approved analytical method is used to determine the 
concentration of the test chemical in water, then all the important test 
conditions shall be reported.
    (iv) If the concentration of the test substance in n-octanol is 
determined by an independent analytical method such as GC, provide a 
complete description of the method.
    (e) References. For additional background information on this test 
guideline, the following references should be consulted. These 
references are available from the TSCA Nonconfidential Information 
Center, Rm. NE-B607, Environmental Protection Agency, 401 M St., SW., 
Washington, DC, 12 noon to 4 p.m., Monday through Friday, excluding 
legal holidays.
    (1) Banerjee, S. et al., Water solubility and octanol/water 
partition coefficient of organics. Limitation of the solubility-
partition coefficient correlation. Environmental Science and Technology 
14:1227-1229 (1980).
    (2) Bruggemann W.A. et al., Reversed-phase thin-layer chromatography 
of polynuclear aromatic hydrocarbons and chlorinated biphenyls. 
Relationship with hydrophobicity as measured by aqueous solubility and 
octanol/water partition coefficient. Journal of Chromatography 238: 335-
346 (1982).
    (3) Chiou, C.T. et al. Partition coefficient and bioaccumulation of 
selected organic chemicals. Environmental Science and Technology 11:475-
478 (1977).
    (4) Chiou, C.T. and Schmedding, D.W., Partitioning of organic 
compounds in octanol/water systems. Environmental Science and Technology 
16:4-10 (1982).
    (5) Chiou, C.T et al., Partition equilibria of nonionic organic 
compounds between soil, organic matter, and water. Environmental Science 
and Technology 17:227-231 (1983).
    (6) DeVoe, H. et al. ``Generator Columns and High Pressure Liquid 
Chromatography for Determining Aqueous Solubilities and Octanol-Water 
Partition Coefficients of Hydrophobic Substances,'' Journal of Research 
of the National Bureau of Standards, 86:361-366 (1981).
    (7) Fujita, T. et al. ``A New Substituent Constant, Derived from 
Partition Coefficients.'' Journal of the American Chemical Society, 
86:5175 (1964).

[[Page 303]]

    (8) Hansch, C. and Leo, A. 1985 MEDCHEM Project, version 26. Pomona 
College, Claremont, CA. USA.
    (9) Hansch, C. and Leo, A. Medchem Software Manual. CLOGP3 Users 
Guide. Release 3.32. December 1984. Medicinal Chemistry Project, Pomona 
College, Claremont, CA.
    (10) Hawker, D.W. and Connell, D.W. Octanol-water partition 
coefficients of polychlorinated biphenyl congeners. Environmental 
Science and Technology 22:382-387 (1988).
    (11) May, W.E. et al. ``Determination of the aqueous solubility of 
polynuclear aromatic hydrocarbons by a coupled column liquid 
chromatographic technique,'' Analytical Chemistry, 50:175-179 (1978).
    (12) May, W.E. et al. ``Determination of the Solubility Behavior of 
Some Polycyclic Aromatic Hydrocarbons in Water,'' Analytical Chemistry 
50:997-1000 (1978).
    (13) Miller, M.M. et al. Aqueous solubilities, octanol/water 
partition coefficients and entropies of melting of chlorinated benzenes 
and biphenyls. Journal of Chemical and Engineering Data 29:184-190 
(1984).
    (14) Neely, W.B. et al. Partition Coefficient to Measure 
Bioconcentration Potential of Organic Chemicals in Fish, Environmental 
Science Technology, 8:113-115 (1974).
    (15) Rappaport, R.A. and Eisenrich, S.J. Chromatographic 
determination of octanol-water partition coefficients (Kow's) 
for 58 polychlorinated biphenyl congeners. Environmental Science and 
Technology 18:163-170 (1984).
    (16) Tewari, Y.B. et al. Aqueous solubility and octanol/water 
partition coefficients of organic compounds at 25 [deg]C. Journal of 
Chemical and Engineering Data 27:451-454 (1982).
    (17) Tulp, M.T.M. and Hutzinger, O. Some thoughts on aqueous 
solubilities and partition coefficients of PCB, and the mathematical 
correlation between bioaccumulation and physio-chemical properties. 
Chemosphere 10:849-860 (1978).
    (18) Veith, G.D. et al. A rapid method for estimating 
log10 P for organic chemicals, Water Research 13:43-47 
(1979).
    (19) Wasik, S.P. et al. Octanol/water partition coefficient and 
aqueous solubilities of organic compounds, Report NBSIR 81-2406 (1981). 
National Bureau of Standards, U.S. Department of Commerce, Washington, 
DC.
    (20) Woodburn, K.B. Measurement and application of the octanol/water 
partition coefficients for selected polychlorinated biphenyls. Master's 
Thesis (1982), University of Wisconsin at Madison, Madison, WI.
    (21) Woodburn, K.B. et al. Generator column determination of 
octanol/water partition coefficients for selected polychlorinated 
biphenyl congeners. Environmental Science and Technology 18:457-459 
(1984).
    (22) ASTM D 1193-91 (Approved Sep 15, 1991), ``Standard 
Specification for Reagent Water.'' American Society for Testing and 
Materials (ASTM), 1916 Race St., Philadelphia, PA 19103.



Sec.  799.6784  TSCA water solubility: Column elution method; shake flask method.

    (a) Scope--(1) Applicability. This section is intended to meet the 
testing requirements of the Toxic Substances Control Act (TSCA) (15 
U.S.C. 2601).
    (2) Source. The source material used in developing this TSCA test 
guideline is the Office of Pollution Prevention, Pesticides and Toxics 
(OPPTS) harmonized test guideline 830.7840 (March 1998, revised final 
guideline). This source is available at the address in paragraph (f) of 
this section.
    (b) Introductory information--(1) Prerequisites. Suitable analytical 
method, structural formula, vapor pressure curve, dissociation constant, 
and hydrolysis independence of pH (preliminary test).
    (2) Coefficient of variation. The coefficient of variation on the 
mean values reported by the participants of the Organization for 
Economic Cooperation and Development (OECD) Laboratory Intercomparison 
Testing, Part I, 1979, appeared to be dependent on the chemicals tested 
and the test temperatures; it ranges from 0.05 to 0.34 for the column 
elution method, and from 0.03 to 1.12 for the flask method.
    (3) Qualifying statements. (i) The method is not applicable to 
volatile substances. Care should be taken that the substances examined 
are as pure as possible and stable in water. It must be

[[Page 304]]

ascertained that the identity of the substance is not changed during the 
procedure.
    (ii) The column elution method is not suitable for volatile 
substances. The carrier material used here may not yet be optimal. This 
method is intended for material with solubilities below approximately 
10-2 gram/Liter (g/L).
    (iii) The flask method is intended for materials with solubility 
above 10-2 g/L. It is not applicable to volatile substances; 
this method may pose difficulties in the case of surface-active 
materials.
    (c) Method--(1) Introduction, purpose, scope, relevance, 
application, and limits of test. (i) A solution is a homogeneous mixture 
of different substances in a solvent. The particle sizes of the 
dispersed substances are of the same magnitude as molecules and ions; 
therefore, the smallest volumes which can be obtained from a solution 
are always of uniform composition.
    (ii) Solubility in water is a significant parameter because:
    (A) The spatial and temporal movement (mobility) of a substance is 
largely determined by its solubility in water.
    (B) Water soluble substances gain ready access to humans and other 
living organisms.
    (C) The knowledge of the solubility in water is a prerequisite for 
testing biological degradation and bioaccumulation in water and for 
other tests.
    (iii) No single method is available to cover the whole range of 
solubilities in water, from relatively soluble to very low-soluble 
chemicals. A general test guideline for the determination of the 
solubility in water must include methods which cover the whole range of 
water soluble substances. Therefore, this section includes two methods:
    (A) One which applies to substances with low solubilities 
(<10-2 g/L), referred to as the ``column elution method.''
    (B) The other which applies to substances with higher solubilities 
(<=10-2 g/L), referred to as the ``flask method.''
    (2) Definition. The solubility in water of a substance is specified 
by the saturation mass concentration of the substance in water and is a 
function of temperature. The solubility in water is specified in units 
of weight per volume of solution. The SI-unit is killogram/meter (kg/
m)\3\; g/L may also be used.
    (3) Reference substances. The reference substances need not be 
employed in all cases when investigating a new substance. They are 
provided primarily so that calibration of the method may be performed 
from time to time and to offer the chance to compare the results when 
another method is applied. The values presented in table 1 of this 
section are not necessarily representative of the results which can be 
obtained with this test method as they have been derived from an earlier 
version of the test method.

                                     Table 1--Data for Reference Substances
----------------------------------------------------------------------------------------------------------------
                                                   T,     Mean (milligram                                 No. of
                     Method                      [deg]C       (mg)/L)               Range (mg/L)           labs
----------------------------------------------------------------------------------------------------------------
Fluoranthene
        Elution method.........................    15          0.275               0.104 to 0.920            6
                                                   25          0.373               0.198 to 1.050            7
Hexachlorobenzene
        Elution method.........................    15       9.21 x 10-3       2.06 x 10-3 to 2.16 x 10-2     6
                                                   25       9.96 x 10-3       1.19 x 10-3 to 2.31 x 10-2     7
[gamma]-Hexachlorocyclohexane
        Elution method.........................    15           6.50                4.43 to 10.5             6
                                                   25           9.20                6.64 to 14.5             7
2,4-Dichlorophenoxyacetic acid
        Flask method...........................    15          0.633               0.380 to 0.764            5
                                                   25          0.812               0.655 to 0.927            5
Mercury(II) chloride:
        Flask method...........................    15           53.0                47.7 to 56.5             4
                                                   25           66.4                58.3 to 70.4             4
4-Nitrophenol:
        Flask method...........................    15           9.95                8.88 to 10.9             6
                                                   25           14.8                13.8 to 15.9             6
----------------------------------------------------------------------------------------------------------------


[[Page 305]]

    (4) Principle of the test methods. The approximate amount of the 
sample and the time necessary to achieve the saturation mass 
concentration should be determined in a simple preliminary test.
    (i) Column elution method. This method is based on the elution of a 
test substance with water from a microcolumn which is charged with an 
inert carrier material such as glass beads, silica gel, or sand, and an 
excess of test substance. The water solubility is determined when the 
mass concentration of the eluate is constant. This is shown by a 
concentration plateau as a function of time in the following figure 1:

     Figure 1--Concentration versus Time of Substance in the Eluate
[GRAPHIC] [TIFF OMITTED] TR15DE00.051

    (ii) Flask method. In this method, the substance (solids must be 
pulverized) is dissolved in water at a temperature somewhat above the 
test temperature. When saturation is achieved, the mixture is cooled and 
kept at the test temperature, stirring as long as necessary to reach 
equilibrium. Such a procedure is described in the reference listed in 
paragraph (f)(2) of this section. Subsequently, the mass concentration 
of the substance in the aqueous solution, which must not contain any 
undissolved particles, is determined by a suitable analytical method.
    (5) Quality criteria--(i) Repeatability. For the column elution 
method <30% is acceptable; for the flask method <15% should be observed.
    (ii) Sensitivity. This depends upon the method of analysis, but mass 
concentration determinations down to at least 10-6 g/L can be 
determined.
    (iii) Specificity. These methods should only be applied to:
    (A) Pure substance.
    (B) Substances that are stable in water.
    (C) Slightly soluble substances, i.e. <10-2 g/L for the 
column elution method.
    (D) Organic substances for the column elution method.
    (iv) Possibility of standardization. These methods can be 
standardized.
    (d) Description of the test procedures--(1) Preparations--(i) 
Apparatus--(A) Column elution method. (1) The schematic arrangement of 
the system is presented in the following figure 2:

[[Page 306]]

                  Figure 2--Schematic Test Arrangement
[GRAPHIC] [TIFF OMITTED] TR15DE00.052

    (2) Although any size is acceptable, provided it meets the criteria 
for reproducibility and sensitivity. The column should provide for a 
head space of at least five bed-volumes of water and a minimum of five 
samples. Alternatively, the size can be reduced if make-up solvent is 
employed to replace the initial five bed-volumes removed with 
impurities. A suitable microcolumn is shown in the following figure 3:

[[Page 307]]

          Figure 3--Microcolumn (all dimensions in millimeters)
[GRAPHIC] [TIFF OMITTED] TR15DE00.053

    (3) The column should be connected to a recycling pump capable of 
controlling flows of approximately 25 mL/hours (h). The pump is 
connected with polytetrafluoroethylene and/or glass connections. The 
column and pump, when assembled, should have provision for sampling the 
effluent and equilibrating the head space at atmospheric pressure. The 
column material is supported with a small (5 millimeter (mm)) plug of 
glass wool, which must also serve to filter particles.
    (B) Flask method. For the flask method, the following material is 
needed:
    (1) Normal laboratory glassware and instrumentation.
    (2) A device suitable for the agitation of solutions under 
controlled constant temperatures.
    (3) A centrifuge (preferably thermostatted), if required with 
emulsions.
    (4) Equipment for analytical determinations.
    (2) Reagents. The substance to be tested should be as pure as 
possible, particularly in the flask method where purification is not 
provided. The carrier material for the column elution

[[Page 308]]

method should be inert. Possible materials which can be employed are 
glass beads and silica. A suitable volatile solvent of analytical 
reaction quality should be used to apply the test substance to the 
carrier material. Double distilled water from glass or quartz apparatus 
should be employed as the eluent or solvent. Water directly from an ion 
exchanger must not be used.
    (3) Test conditions. The test is preferably run at 20  0.5 [deg]C (293 [deg]K). If temperature dependence is 
suspected in the solubility (<= 3%/ [deg]C), two other temperatures 
should also be used--both differing from each other and the initially 
chosen temperature by 10 [deg]C. In this case the temperature control 
should be  0.1 [deg]C. One of these additional 
temperatures should be below the initial temperature. The chosen 
temperature(s) should be kept constant in all parts of the equipment 
(including the leveling vessel).
    (4) Performance of the tests--(i) Preliminary test. (A) To 
approximately 0.1 g of the sample (solid substances must be pulverized) 
in a glass-stoppered 10 milliliter (mL) graduated cylinder, increasing 
volumes of distilled water at room temperature are added according to 
the steps shown in Table 2 of this section:

                                      Table 2--Determination of Solubility
----------------------------------------------------------------------------------------------------------------
                 Solubility data                    step 1   step 2  step 3  step 4  step 5  step 6     step 7
----------------------------------------------------------------------------------------------------------------
Total volume H2O added (mL)......................     0.1      0.5      1       2      10      100      <=100
Approximate solubility (g/L).....................   <=1,000    200     100     50      10       1         <1
----------------------------------------------------------------------------------------------------------------

    (B) After each addition of water to give the indicated total volume, 
the mixture is shaken vigorously for 10 min and is visually checked for 
any undissolved parts of the sample. If, after a total of 10 mL of water 
has been added (step 5), the sample or parts of it remain undissolved, 
the contents of the measuring cylinder is transferred to a 100 mL 
measuring cylinder which is then filled up with water to 100 mL (step 6) 
and shaken. At lower solubilities the time required to dissolve a 
substance can be considerably long (24 h should be allowed). The 
approximate solubility is given in the table under that volume of added 
water in which complete dissolution of the sample occurs. If the 
substance is still apparently insoluble, further dilution should be 
undertaken to ascertain whether the column elution or flask solubility 
method should be used.
    (ii) Column elution--(A) Apparatus. (1) The equipment is arranged as 
shown in figures 2 and 3 in paragraphs (d)(1)(i)(A)(1) and 
(d)(1)(i)(A)(2) of this section. Approximately 600 milligrams (mg) of 
carrier material is weighed and transferred to a 50 mL round-bottom 
flask. A suitable, weighed amount of test substance is dissolved in the 
chosen solvent, and an appropriate amount of the test substance solution 
is added to the carrier material. The solvent must be completely 
evaporated, e.g. in a rotary evaporator; otherwise water saturation of 
the carrier is not achieved due to partition effects on the surface of 
the carrier.
    (2) The loading of carrier material may cause problems (erroneous 
results) if the test substance is deposited as an oil or a different 
crystal phase. The problem should be examined experimentally.
    (3) The loaded carrier material is allowed to soak for about 2 h in 
approximately 5 mL of water, and then the suspension is added to the 
microcolumn. Alternatively, dry loaded carrier material may be poured in 
the microcolumn, which has been filled with water and then equilibrated 
for approximately 2 h.
    (B) Test procedure. The elution of the substance from the carrier 
material can be carried out in two different ways: Leveling vessel or 
circulating pump. The two principles should be used alternatively.
    (1) Leveling vessel, see figure 3 in paragraph (d)(1)(i)(A)(2) and 
figure 4 in paragraph (d)(4)(iii) of this section.
    (i) The connection to the leveling vessel is made by using a ground 
glass joint which is connected by teflon tubing. It is recommended that 
a flow rate

[[Page 309]]

of approximately 25 mL/h be used. Successive eluate fractions should be 
collected and analyzed by the chosen method.
    (ii) Fractions from the middle eluate range where the concentrations 
are constant (30%) in at least five consecutive 
fractions are used to determine the solubility in water.
    (iii) A second run is to be performed at half the flow rate of the 
first. If the results of the two runs are in agreement, the test is 
satisfactory; if there is a higher apparent solubility with the lower 
flow rate, then the halving of the flow rate must continue until two 
successive runs give the same solubility.
    (2) Circulating pump, see figures 2 and 3 in paragraphs 
(d)(1)(i)(A)(1) and (d)(1)(i)(A)(2) of this section.
    (i) With this apparatus, the microcolumn must be modified. A 
stopcock with 2-way action must be used, see figure 3 in paragraph 
(d)(1)(i)(A)(2) of this section). The circulating pump can be, e.g. a 
peristaltic pump (be careful that no contamination and/or adsorption 
occurs with the tube material) or a membrane pump.
    (ii) The flow through the column is started. It is recommended that 
a flow rate of approximately 25 mL/h be used (approximately 10 bed 
volumes per h for the described column). The first five-bed volumes 
(minimum) are discarded to remove water soluble impurities.
    (iii) Following this, the recycling pump is connected and the 
apparatus allowed to run until equilibration is established, as defined 
by five successive samples whose concentrations do not differ by more 
than 30% in a random fashion (see paragraph (f)(2) of this section). 
These samples should be separated from each other by time intervals 
corresponding to the passage of at least 10 bed-volumes of the eluent.
    (3) In both cases (using a circulation pump or a leveling vessel) 
the fractions should be checked for the presence of colloidal matter by 
examination for the Tyndall effect (light scattering). Presence of such 
particles invalidates the results, and the test should be repeated with 
improvements in the filtering action of the column. The pH of each 
sample should be recorded. A second run should be performed at the same 
temperature.
    (iii) Flask method: Test procedure. The quantity of material 
necessary to saturate the desired volume of water is estimated from the 
preliminary test. The volume of water required will depend on the 
analytical method and the solubility range. About five times the 
quantity of material determined in paragraph (d)(4)(i)(A) of this 
section is weighed into each of three glass vessels fitted with glass 
stoppers (e.g. centrifuge tubes, flasks). The chosen volume of water is 
added to each vessel, and the vessels are tightly stoppered. The closed 
vessels are then agitated at 30 [deg]C. (A shaking or stirring device 
capable of operating at constant temperature should be used, e.g. 
magnetic stirring in a thermostatically controlled water bath.) After 1 
day, one of the vessels is removed and re-equilibrated for 24 h at the 
test temperature with occasional shaking. The contents of the vessel are 
then centrifuged at the test temperature, and the concentration of 
compound in the clear aqueous phase is determined by a suitable 
analytical method. The other two flasks are treated similarly after 
initial equilibration at 30 [deg]C for 2 and 3 days, respectively. If 
the concentration results from at least the last two vessels agree with 
the required reproducibility, the test is satisfactory. The whole test 
should be repeated, using longer equilibration times if the results from 
vessels one, two, and three show a tendency to increasing values. The 
arrangement of the apparatus is shown in the following figure 4:

[[Page 310]]

Figure 4--Test Arrangement for the Determination of Solubility in Water 
         of Slightly Soluble, Low Volatility Organic Substances
[GRAPHIC] [TIFF OMITTED] TR15DE00.054


1 = Leveling vessel (e.g. 2.5 L chemical flask)

2 = Column (see figure 3 in paragraph (d)(1)(i)(A)(2) of this section)

3 = Fraction accumulator

4 = Thermostat

5 = Teflon tubing

6 = Glass stopper

7 = Water line (between thermostat and column, inner diameter: 
approximately 8 mm)
    (iv) Analysis. A substance-specific analytical method is required 
for these determinations, since small amounts of soluble impurities can 
cause large errors in the measured solubility. Examples of such methods 
are gas or liquid chromatography, titration methods, photometric 
methods, and polarographic methods.
    (e) Data and reporting--(1) Column elution method--(i) Treatment of 
results. The mean value from at least five consecutive samples taken 
from the saturation plateau (figure 1 in paragraph (c)(4)(i) of this 
section) should be determined for each run, as should the standard 
deviation. A comparison should be made between the two means to ensure 
that they agree with a repeatability of less than 30%.
    (ii) Test report. The report should contain an indication of the 
results of the preliminary test plus the following information:
    (A) The individual concentrations, flow rates and pHs of each 
samples.
    (B) The means and standard deviations from at least five samples 
from the saturation plateau of each run.
    (C) The average of the two successive, acceptable runs.
    (D) The temperature of the runs.
    (E) The method of analysis employed.
    (F) The nature of the carrier material employed.
    (G) Loading of carrier material.
    (H) Solvent used.

[[Page 311]]

    (I) Statement that the identity of the substance in the saturated 
solution has been proved.
    (2) Flask method--(i) Treatment of results. The individual results 
should be given for each of the three flasks and those results deemed to 
be constant (repeatability <15%) should be averaged and given in units 
of mass per volume of solution. This may require the conversion of mass 
units to volume units, using the density when the solubility is very 
high (100 g/L).
    (ii) Test report. The report should include the following 
information:
    (A) The individual analytical determinations and the average where 
more than one value was determined for each flask.
    (B) The average of the value for the different flasks which were in 
agreement.
    (C) The test temperature.
    (D) The analytical method employed.
    (f) References. For additional information on this test guideline, 
the following references should be consulted. These references are 
available from the TSCA Nonconfidential Information Center, Rm. NE-B607, 
Environmental Protection Agency, 401 M St., SW., Washington, DC, 12 noon 
to 4 p.m., Monday through Friday, excluding legal holidays.
    (1) Veith, G.D. and V.M. Comstock. Apparatus for continuously 
saturating water with hydrophobic organic chemicals. Journal of the 
Fishing Research Board of Canada 32:1849-1851 (1975).
    (2) Organization for Economic Cooperation and Development, 
Guidelines for The Testing of Chemicals, OECD 105, Water Solubility 
(Column Elution Method--Shake Flask Method), OECD, Paris, France (1981).



Sec.  799.6786  TSCA water solubility: Generator column method.

    (a) Scope--(1) Applicability. This section is intended to meet the 
testing requirements of the Toxic Substances Control Act (TSCA) (15 
U.S.C. 2601).
    (2) Source. The source material used in developing this TSCA test 
guideline is the Office of Pollution Prevention, Pesticides and Toxics 
(OPPTS) harmonized test guideline 830.7860 (March 1998, revised final 
guideline). The source is available at the address in paragraph (e) of 
this section.
    (b) Introduction--(1) Purpose. (i) The water solubility of a 
chemical is defined as the equilibrium concentration of the chemical in 
a saturated aqueous solution at a given temperature and pressure. The 
aqueous phase solubility is an important factor in governing the 
movement, distribution, and rate of degradation of chemicals in the 
environment. Substances that are relatively water soluble are more 
likely to be widely distributed by the hydrologic cycle than those which 
are relatively insoluble. Furthermore, substances with higher water 
solubility are more likely to undergo microbial or chemical degradation 
in the environment because dissolution makes them ``available'' to 
interact and, therefore, react with other chemicals and microorganisms. 
Both the extent and rate of degradation via hydrolysis, photolysis, 
oxidation, reduction, and biodegradation depend on a chemical being 
soluble in water (i.e., homogeneous kinetics).
    (ii) Water provides the medium in which many organisms live, and 
water is a major component of the internal environment of all living 
organisms (except for dormant stages of certain life forms). Even 
organisms which are adapted to life in a gaseous environment require 
water for normal functioning. Water is thus the medium through which 
most other chemicals are transported to and into living cells. As a 
result, the extent to which chemicals dissolve in water will be a major 
determinant for movement through the environment and entry into living 
systems.
    (iii) The water solubility of a chemical also has an effect on its 
sorption into and desorption from soils and sediments, and on 
volatilization from aqueous media. The more soluble a chemical substance 
is, the less likely it is to sorb to soils and sediments and the less 
likely it is to volatilize from water. Finally, the design of most 
chemical tests and many ecological and health tests requires precise 
knowledge of the water solubility of the chemical to be tested.
    (2) Definitions. The following definitions apply to this section.

[[Page 312]]

    Concentration (C) of a solution is the amount of solute in a given 
amount of solvent or solution and can be expressed as a weight/weight or 
weight/volume relationship. The conversion from a weight relationship to 
one of volume incorporates density as a factor. For dilute aqueous 
solutions, the density of the solvent is approximately equal to the 
density of the solution; thus, concentrations expressed in milligrams 
per liter (mg/L) are approximately equal to 10-3 g/10\3\ g or 
parts per million (ppm); those expressed in micrograms per liter 
([micro]g/L) are approximately equal to 10-6 g/10\3\ g or 
parts per billion (ppb). In addition, concentration can be expressed in 
terms of molarity, normality, molality, and mole fraction. For example, 
to convert from weight/volume to molarity molecular mass is incorporated 
as a factor.
    Density is the mass of a unit volume of a material. It is a function 
of temperature, hence the temperature at which it is measured should be 
specified. For a solid, it is the density of the impermeable portion 
rather than the bulk density. For solids and liquids, suitable units of 
measurement are grams per cubic centimeter (g/cm\3\). The density of a 
solution is the mass of a unit volume of the solution and suitable units 
of measurement are g/cm\3\.
    Extractor column is used to extract the solute from the saturated 
solutions produced by the generator column. After extraction onto a 
chromatographic support, the solute is eluted with a solvent/water 
mixture and subsequently analyzed by high-pressure liquid chromatography 
(HPLC), gas chromatography (GC), or any other suitable analytical 
procedure. A detailed description of the preparation of the extractor 
column is given in paragraph (c)(1)(i)(D) of this section.
    Generator column is used to produce or generate saturated solutions 
of a solute in a solvent. The column, see figure 1 in paragraph 
(c)(1)(i)(A) of this section, is packed with a solid support coated with 
the solute, i.e., the organic compound whose solubility is to be 
determined. When water (the solvent) is pumped through the column, 
saturated solutions of the solute are generated. Preparation of the 
generator column is described in paragraph (c)(1)(i)(A) of this section.
    Response factor (RF) is the solute concentration required to give a 
1 unit area chromatographic peak or 1 unit output from the HPLC 
recording integrator at a particular recorder attenuation. The factor is 
required to convert from units of area to units of concentration. The 
determination of the RF is given in paragraph (c)(3)(ii)(B)(2) of this 
section.
    Sample loop is a \1/16\ inch (in) outer diameter (O.D.) (1.6 
millimeter (mm)) stainless steel tube with an internal volume between 20 
and 50 [micro]L. The loop is attached to the sample injection valve of 
the HPLC and is used to inject standard solutions into the mobile phase 
of the HPLC when determining the RF for the recording integrator. The 
exact volume of the loop must be determined as described in paragraph 
(c)(3)(ii)(B)(1) of this section when the HPLC method is used.
    Saturated solution is a solution in which the dissolved solute is in 
equilibrium with an excess of undissolved solute; or a solution in 
equilibrium such that at a fixed temperature and pressure, the 
concentration of the solute in the solution is at its maximum value and 
will not change even in the presence of an excess of solute.
    Solution is a homogeneous mixture of two or more substances 
constituting a single phase.
    (3) Principle of the test method. (i) This test method is based on 
the dynamic coupled column liquid chromatographic (DCCLC) technique for 
determining the aqueous solubility of organic compounds that was 
initially developed by May et al. (as described in the references listed 
in paragraphs (e)(5) and (e)(6) of this section), modified by DeVoe et 
al. (as described in the reference listed in paragraph (e)(1) of this 
section), and finalized by Wasik et al. (as described in the reference 
listed in paragraph (e)(11) of this section). The DCCLC technique 
utilizes a generator column, extractor column and HPLC coupled or 
interconnected to provide a continuous closed flow system. Saturated 
aqueous solutions of the test compound are produced by pumping water 
through the generator column that is packed with a

[[Page 313]]

solid support coated with the compound. The compound is extracted from 
the saturated solution onto an extractor column, then eluted from the 
extractor column with a solvent/water mixture and subsequently analyzed 
by HPLC using a variable wavelength ultraviolet (UV) detector operating 
at a suitable wavelength. Chromatogram peaks are recorded and integrated 
using a recording integrator. The concentration of the compound in the 
effluent from the generator column, i.e., the water solubility of the 
compound, is determined from the mass of the compound (solute) extracted 
from a measured volume of water (solvent).
    (ii) Since the HPLC method is only applicable to compounds that 
absorb in the UV, an alternate GC method, or any other reliable 
procedure (which must be approved by OPPTS), can be used for those 
compounds that do not absorb in the UV. In the GC method the saturated 
solutions produced in the generator column are extracted using an 
appropriate organic solvent that is subsequently injected into the GC, 
or any other suitable analytical device, for analysis of the test 
compound.
    (4) Reference chemicals. Table 1 of this section lists the water 
solubilities at 25 [deg]C for a number of reference chemicals as 
obtained from the scientific literature. The data from Wasik et al. (as 
described in the reference listed in paragraph (e)(11) of this section), 
Miller et al. and Tewari et al. (as described in the references listed 
in paragraphs (e)(7) and (e)(10) of this section, respectively) were 
obtained from the generator column method. The water solubilities data 
were also obtained from Mackay et al. and Yalkowski et al. (as described 
in the references listed in paragraphs (e)(4) and (e)(12) of this 
section, respectively) and other scientists by the conventional shake 
flask method. These data have been provided primarily so that the 
generator column method can be calibrated from time to time and to allow 
the chemical testing laboratory an opportunity to compare its results 
with those listed in table 1 of this section. The water solubility 
values at 25 [deg]C reported by Yalkowski et al. are their preferred 
values and, in general, represent the best available water solubility 
data at 25 [deg]C. The testing laboratory has the option of choosing its 
own reference chemicals, but references must be given to establish the 
validity of the measured values of the water solubility.

                      Table 1--Water Solubilities at 25 [deg]C of Some Reference Chemicals
----------------------------------------------------------------------------------------------------------------
                                                                   Water solubility (ppm at 25 [deg]C)
                                                        --------------------------------------------------------
                   Reference chemical                     Wasik (generator                      Other literature
                                                           column method)    Yalkowski\1\ \5\      references
----------------------------------------------------------------------------------------------------------------
2-Heptanone............................................       \2\4080              4300             \5\4330
1-Chlorobutane.........................................        \2\873             872.9              \7\666
Ethylbenzene...........................................        \2\187              208               \7\162
1,2,3-Trimethylbenzene.................................       \2\65.5              75.2             \7\48.2
Biphenyl...............................................     \3\ \10\6.71           7.48             \8\6.62
Phenanthrene...........................................       \4\1.002            1.212                --
2,4,6-Trichlorobiphenyl................................    \3\ \10\0.226          0.225             \8\0.119
2,3,4,5-Tetrachlorobiphenyl............................    \3\ \10\0.0209        0.01396           \8\0.0192
Hexachlorobenzene......................................          --              0.004669          \9\0.00996
2,3,4,5,6-Pentachlorobiphenyl..........................   \3\ \10\0.00548        0.004016          \8\0.0068
----------------------------------------------------------------------------------------------------------------
\1\ Preferred water solubility at 25 [deg]C by Yalkowski et al. (1990) in paragraph (e)(12) of this section
  based on a critical review of all the experimental water solubility data published.
\2\ Tewari et al. (1982) in paragraph (e)(10) of this section.
\3\ Leifer et al. (1983) in paragraph (e)(3) of this section.
\4\ May, Wasik, and Freeman (1978, 1978a) in paragraphs (e)(5) and (6) of this section.
\5\ Yalkowski et al. (1990) in paragraph (e)(12) of this section.
\6\ Hansch et al. (1968) in paragraph (e)(2) of this section.
\7\ Sutton and Calder (1975) in paragraph (e)(9) of this section.
\8\ Mackay et al. (1980) in paragraph (e)(4) of this section.
\9\ The elution chromatographic method from Organization for Economic Cooperation and Development (OECD) (1981)
  in paragraph (e)(8) of this section.
\10\ Miller et al. (1984) in paragraph (e)(7) of this section.


[[Page 314]]

    (5) Applicability and specificity. (i) Procedures are described in 
this section to determine the water solubility for liquid or solid 
compounds. The water solubility can be determined in very pure water, 
buffer solution for compounds that reversibly ionize or protonate, or in 
artificial seawater as a function of temperature (i.e., in the range of 
temperatures of environmental concern). This section is not applicable 
to the water solubility of gases.
    (ii) This section is designed to determine the water solubility of a 
solid or liquid test chemical in the range of 1 ppb to 5,000 ppm. For 
chemicals whose solubility is below 1 ppb, the water solubility should 
be characterized as ``less than 1 ppb'' with no further quantification. 
For solubilities greater than 5,000 ppm, the shake flask method should 
be used, see paragraph (e)(15) of this section.
    (c) Test procedure--(1) Test conditions--(i) Special laboratory 
equipment--(A) Generator column. (1) Either of two different designs 
shall be used depending on whether the eluted aqueous phase is analyzed 
by HPLC in paragraph (c)(3)(ii) of this section or by solvent extraction 
followed by GC (or any other reliable quantitative) analysis of solvent 
extract in paragraph (c)(3)(iv) of this section. The design of the 
generator column is shown in the following figure 1:
                       Figure 1--Generator Column
[GRAPHIC] [TIFF OMITTED] TR15DE00.055

    (2) The column consists of a 6 mm (\1/4\ in) O.D. pyrex tube joined 
to a short enlarged section of 9 mm pyrex tubing which in turn is 
connected to another section of 6 mm (\1/4\ in) O.D. pyrex tubing. 
Connections to the inlet teflon tubing (\1/8\ in O.D.) and to the outlet 
stainless steel tubing (\1/16\ in O.D.) shall be made by means of 
stainless steel fittings with teflon ferrules. The column

[[Page 315]]

is enclosed in a water jacket for temperature control as shown in the 
following figure 2:
Figure 2--Setup Showing Generator Column Enclosed in a Water Jacket and 
       Overall Arrangement of the Apparatus Used in the GC Method
[GRAPHIC] [TIFF OMITTED] TR15DE00.056

    (B) Constant temperature bath with circulation pump-bath and capable 
of controlling temperature to 0.05 [deg]C, see 
paragraph (c)(3) of this section.
    (C) HPLC equipped with a variable wavelenth UV absorption detector 
operating at a suitable wavelength and a recording integrator in 
paragraph (c)(3)(ii) of this section.
    (D) Extractor column--6.6 x 0.6 cm stainless steel tube with end 
fittings containing 5 [micro]m frits filled with a superficially porous 
phase packing (Bondapack C18/Corasil: Waters Associates) in paragraph 
(c)(3)(ii) of this section.
    (E) Two 6-port high-pressure rotary switching valves in paragraph 
(c)(3)(ii) of this section.
    (F) Collection vessel--8 x \3/4\ in section of pyrex tubing with a 
flat bottom connected to a short section of \3/8\ in O.D. borosilicate 
glass tubing in figure 2 in paragraph (c)(1)(i)(A)(2) of this section. 
The collecting vessel is sealed with a \3/8\ in teflon cap fitting in 
paragraph (c)(3)(iii) of this section.
    (G) GC, or any other reliable analytical equipment, which has a 
detector sensitive to the solute of interest in paragraph (c)(3)(iii) of 
this section.
    (ii) Purity of water. Water meeting appropriate American Society for 
Testing and Materials (ASTM) Type II standards, or an equivalent grade, 
are recommended to minimize the effects of dissolved salts and other 
impurities on water solubility. ASTM Type II water is presented in the 
reference listed in paragraph (e)(13) of this section.
    (iii) Purity of solvents. All solvents used in this method must be 
reagent or HPLC grade. Solvents must contain no impurities which could 
interfere with the determination of the test compound.
    (iv) Seawater. When the water solubility in seawater is desired, the 
artificial seawater described in paragraph (c)(2)(ii) of this section 
must be used.
    (v) Effect of pH on solubility. For chemicals that reversibly ionize 
or protonate with a pKa or pKb between 3 and 11, 
experiments must be performed at pH's 5.0, 7.0, and 9.0 using 
appropriate buffers.
    (2) Preparation of reagents and solutions--(i) Buffer solutions. 
Prepare buffer solutions as follows:
    (A) pH 3.0--to 250 mL of 0.10M potassium hydrogen phosphate add 111 
mL of 0.10 M hydrochloric acid; adjust the final volume to 500 mL with 
reagent grade water.
    (B) pH 5.0--to 250 mL of 0.1M potassium hydrogen phthalate add 113 
mL of 0.1M sodium hydroxide; adjust the final volume to 500 mL with 
reagent grade water.
    (C) pH 7.0--to 250 mL of 0.1M potassium dihydrogen phosphate add 145 
mL of 0.1M sodium hydroxide; adjust the final volume to 500 mL with 
reagent grade water.
    (D) pH 9.0--to 250 mL of 0.075M borax add 69 mL of 0.1M HCl; adjust 
the final volume to 500 mL with reagent grade water.
    (E) pH 11.0--to 250 mL of 0.05 M sodium bicarbonate add 3 mL of 0.10 
M

[[Page 316]]

sodium hydroxide; adjust the final volume to 500 mL with reagent grade 
water.
    (ii) Check the pH of each buffer solution with a pH meter at 25 
[deg]C and adjust to pH 5.0, 7.0, or 9.0, if necessary. If the pH of the 
solution has changed by 0.2 pH units or more after 
the addition of the test compound, then a more concentrated buffer is 
required for that pH determination. The sponsor should then choose a 
more suitable buffer.
    (iii) Artificial seawater. Add the reagent-grade chemicals listed in 
table 2 of this section in the specified amounts and order to 890 mL of 
reagent-grade water. Each chemical shall be dissolved before another one 
is added.

             Table 2--Constituents of Artificial Seawater\1\
------------------------------------------------------------------------
                       Chemical                              Amount
------------------------------------------------------------------------
NaF..................................................               3 mg
SrCl2.6H2O...........................................              20 mg
H3BO3................................................              30 mg
KBr..................................................             100 mg
KCl..................................................             700 mg
CaCl2.2H2O...........................................      1.47 gram (g)
Na2SO4...............................................             4.00 g
MgCl2.6H2O...........................................            10.78 g
NaCl.................................................            23.50 g
Na2SiO3.9H2O.........................................              20 mg
NaHCO3...............................................            200 mg
------------------------------------------------------------------------
\1\ If the resulting solution is diluted to 1 L, the salinity should be
  34 0.5 g/kilogram (kg) and the pH 8.0 0.2. The desired test salinity is attained by dilution
  at time of use.

    (3) Performance of the test. Using either the procedures in 
paragraph (c)(3)(ii) or (c)(3)(iii) of this section, determine the water 
solubility of the test compound at 25 [deg]C in reagent-grade water or 
buffer solution, as appropriate. Under certain circumstances, it may be 
necessary to determine the water solubility of a test compound at 25 
[deg]C in artificial seawater. The water solubility can also be 
determined at other temperatures of environmental concern by adjusting 
the temperature of the water bath to the appropriate temperature.
    (i) Prior to the determination of the water solubility of the test 
chemical, two procedures shall be followed.
    (A) The saturated aqueous solution leaving the generator column must 
be tested for the presence of an emulsion, using a Tyndall procedure. If 
colloids are present, they must be eliminated prior to the injection 
into the extractor column. This may be achieved by lowering the flow 
rate of the water.
    (B) The efficiency of the removal of the solute (i.e. test chemical) 
by the solvent extraction from the extraction column must be determined 
and used in the determination of the water solubility of the test 
chemical.
    (ii) Procedure A--HPLC method--(A) Scope. (1) Procedure A covers the 
determination of the aqueous solubility of compounds which absorb in the 
UV.
    (i) The HPLC analytical system is shown schematically in the 
following figure 3:

        Figure 3--Schematic of HPLC--Generator Column Flow System
[GRAPHIC] [TIFF OMITTED] TR15DE00.057


[[Page 317]]


    (ii) Two reciprocating piston pumps deliver the mobile phase (water 
or solvent/water mixture) through two 6-port high-pressure rotary valves 
and a 30 x 0.6 cm C18/Corasil analytical column to a variable wavelength 
UV absorption detector operating at a suitable wavelength; chromatogram 
peaks are recorded and integrated with a recording integrator. One of 
the 6-port valves is the sample injection valve used for injecting 
samples of standard solutions of the solute in an appropriate 
concentration for determining RFs of standard solutions of basic 
chromate for determining the sample-loop volume. The other 6-port valve 
in the system serves as a switching valve for the extractor column which 
is used to remove solute from the aqueous solutions.
    (2) The general procedure for analyzing the aqueous phase is as 
follows (a detailed procedure is given in paragraph (c)(3)(ii)(B)(4) of 
this section).
    (i) Direct the aqueous solution to ``Waste,'' see figure 3 in 
paragraph (c)(3)(ii)(A)(1)(i) of this section, with the switching valve 
in the inject position in order to equilibrate internal surfaces with 
the solution, thus ensuring that the analyzed sample would not be 
depleted by solute adsorption on surfaces upstream from the valve.
    (ii) At the same time, water is pumped from the HPLC pumps in order 
to displace the solvent from the extractor column.
    (iii) The switching valve is next changed to the load position to 
divert a sample of the solution through the extractor column, and the 
liquid leaving this column is collected in a weighing bottle. During 
this extraction step, the mobile phase is changed to a solvent/water 
mixture to condition the analytical column.
    (iv) After the desired volume of sample is extracted, the switching 
valve is returned to the inject position for elution and analysis. 
Assuming that there is no breakthrough of solute from the extractor 
column during the extraction step, the chromatographic peak represents 
all of the solute in the sample, provided that the extraction efficiency 
is 100%. If the extraction efficiency is less than 100%, then the 
extraction efficiency shall be used to determine the actual weight of 
the solute extracted.
    (v) The solute concentration in the aqueous phase is calculated from 
the peak area and the weight of the extracted liquid collected in the 
weighing bottle.
    (B) Determinations--(1) Sample-loop volume. Accurate measurement of 
the sample loop may be accomplished by using the spectrophotometric 
method of Devoe et al. under paragraph (e)(1) of this section. For this 
method measure absorbance, Aloop, at 373 nm of at least three 
solutions, each of which is prepared by collecting from the sample valve 
an appropriate number, n, of loopfuls of an aqueous stock solution of 
K2CrO4 (1.3% by weight) and diluting to 50 mL with 
0.2% KOH. (For a 20 [micro]L loop, use n = 5; for a 50 [micro]L loop, 
use n = 2.) Also measure the absorbance, Astock, of the same 
stock solution after diluting 1:500 with 0.2% KOH. Calculate the loop 
volume to the nearest 0.1 [micro]L using the equation:

                               Equation 1:
[GRAPHIC] [TIFF OMITTED] TR15DE00.059

    (2) RF. (i) For all determinations adjust the mobile phase solvent/
water ratio and flow rate to obtain a reasonable retention time on the 
HPLC column. For example, typical concentrations of solvent in the 
mobile phase range from 50 to 100% while flow rates range from 1 to 3 
mL/min; these conditions give a 3 to 5 min retention time.
    (ii) Prepare standard solutions of known concentrations of the 
solute in a suitable solvent. Concentrations must give a recorder 
response within the maximum response of the detector. Inject samples of 
each standard solution into the HPLC system using the calibrated sample 
loop. Obtain an average peak area from at least three injections of each 
standard sample at a set absorbance unit full scale (AUFS), i.e., at the 
same absorbance scale attenuation setting.
    (iii) Calculate the RF from the following equation:

                               Equation 2:

[[Page 318]]

[GRAPHIC] [TIFF OMITTED] TR15DE00.058

    (3) Loading of the generator column. (i) The design of the generator 
column was described in paragraph (c)(1)(i) of this section and is shown 
in figure 1 in paragraph (c)(1)(i)(A) of this section. To pack the 
column, a plug of silanized glass wool is inserted into one end of the 6 
mm pyrex tubing. Silanized diatomaceous silica support (about 0.5g 100-
120 mesh Chromosorb (W) chromatographic support material) is poured into 
the tube with tapping and retained with a second plug of silanized glass 
wool.
    (ii) If the solute is a liquid, the column is loaded by pulling the 
liquid solute through the dry support with gentle suction. If the solute 
is a solid, a 1% solution of the solid in a volatile solvent is added to 
the dry packing. The solvent is then distilled off the column under 
reduced pressure. After loading the column draw water up through the 
column to remove entrapped air.
    (4) Analysis of the solute. Use the following procedure to collect 
and analyze the solute.
    (i) With the switching valve (figure 3 in paragraph 
(c)(3)(ii)(A)(1)(i) of this section) in the inject position (i.e., water 
to waste), pump water through the generator column at a flow rate of 
approximately 1 mL/min for approximately 5 minutes (min) to bring the 
system into equilibrium. Pump water to the generator column by means of 
a minipump or pressurized water reservoir as shown in the following 
figure 4:
                 Figure 4--Water Reservoir for GC Method
[GRAPHIC] [TIFF OMITTED] TR15DE00.060

    (ii) Flush out the solvent that remains in the system from previous 
runs by changing the mobile phase to 100% H2O and allowing 
the water to reach the HPLC detector, as indicated by a negative 
reading. As soon as this occurs, place a 25 mL weighing bottle (weighed 
to the nearest mg) at the waste position and immediately turn the 
switching valve to the load position.
    (iii) Collect an amount of water (as determined by trial and error) 
in the weighing bottle, corresponding to the amount of solute adsorbed 
by the extractor column that gives a large on-scale detector response. 
During this extraction step, switch back to the original HPLC mobile 
phase composition, i.e., solvent/water mixture, to condition the HPLC 
analytical column.
    (iv) After the desired volume of sample has been extracted, turn the

[[Page 319]]

switching valve back to the inject position (figure 3 in paragraph 
(c)(3)(ii)(A)(1)(i) of this section); at the same time turn on the 
recording integrator. The solvent/water mobile phase will elute the 
solute from the extractor column and transfer the solute to the HPLC 
analytical column.
    (v) Remove the weighing bottle, cap it, and replace it with the 
waste container. Determine the weight of water collected to the nearest 
mg and record the corresponding peak area. Using the same AUFS setting 
repeat the analysis of the solute at least two more times and determine 
the average ratio of peak area to grams of water collected. In this 
equation, s = solubility (M), RF = response factor, Vloop = 
sample-loop volume (L), and R = ratio of area to grams of water. 
Calculate the solute solubility in water using the following equation:

                               Equation 3:
[GRAPHIC] [TIFF OMITTED] TR15DE00.061

    (iii) Procedure B--GC method--(A) Scope. In the GC method, or any 
other analytical method, aqueous solutions from the generator column 
enter a collecting vessel (figure 2 in paragraph (c)(1)(i)(A)(2) of this 
section) containing a known weight of extracting solvent which is 
immiscible in water. The outlet of the generator column is positioned 
such that the aqueous phase always enters below the extracting solvent. 
After the aqueous phase is collected, the collecting vessel is stoppered 
and the quantity of aqueous phase is determined by weighing. The solvent 
and the aqueous phase are equilibrated by slowly rotating the collecting 
vessel. The extraction efficiency of the solvent must be determined at 
this time. A small amount of the extracting solvent is removed and 
injected into a gas chromograph equipped with an appropriate detector. 
The solute concentration in the aqueous phase is determined from a 
calibration curve constructed using known concentrations of the solute.
    (B) Alternative method. If another (approved) analytical method is 
used instead of the GC, that method shall be used to determine 
quantitatively the amount of solute present in the extraction solvent.
    (C) Determinations--(1) Calibration curve. (i) Prepare solute 
standard solutions of concentrations covering the range of the solute 
solubility. Select a column and optimum GC operating conditions for 
resolution between the solute and solvent and the solute and extracting 
solvent. Inject a known volume of each standard solution into the 
injection port of the GC. For each standard solution determine the 
average of the ratio R of peak area to volume (in microliters) for three 
chromatographic peaks from three injections.
    (ii) After running all the standard solutions, determine the 
coefficients, a and b, using a linear regression equation of C vs. R in 
the following form:

                               Equation 4:
[GRAPHIC] [TIFF OMITTED] TR15DE00.062

    (iii) If another analytical method is used, the procedures described 
in paragraph (c)(3)(iii)(C)(1) of this section shall be used to 
determine quantitatively the amount of solute in the extraction solvent.
    (2) Loading of the generator column. The generator column is packed 
and loaded with solute in the same manner as for the HPLC method 
described under paragraph (c)(3)(ii)(B)(3) of this section. As shown in 
figure 2 in paragraph (c)(1)(i)(A)(2) of this section, attach 
approximately 20 cm of straight stainless steel tubing to the bottom of 
the generator column. Connect the top of the generator column to a water 
reservoir (figure 4 in paragraph (c)(3)(ii)(B)(4)(i) of this section) 
using teflon tubing. Use air or nitrogen pressure (5 PSI) from an air or 
nitrogen cylinder to force water from the reservoir through the column. 
Collect water in an Erlenmeyer flask for approximately 15 min while the 
solute concentration in water equilibrates; longer time may be required 
for less soluble compounds.
    (3) Collection and extraction of the solute. During the 
equilibration time, add a known weight of extracting solvent to a 
collection vessel which can be capped. The extracting solvent should

[[Page 320]]

cover the bottom of the collection vessel to a depth sufficient to 
submerge the collecting tube but still maintain 100:1 water/solvent 
ratio. Record the weight (to the nearest mg) of a collection vessel with 
cap and extracting solvent. Place the collection vessel under the 
generator column so that water from the collecting tube enters below the 
level of the extracting solvent (figure 2 in paragraph (c)(1)(i)(A)(2) 
of this section). When the collection vessel is filled, remove it from 
under the generator column, replace cap, and weigh the filled vessel. 
Determine the weight of water collected. Before analyzing for the 
solute, gently shake the collection vessel contents for approximately 30 
min, controlling the rate of shaking so as not to form an emulsion; 
rotating the flask end over end five times per minute is sufficient.
    (4) Analysis of the solute. (i) After shaking, allow the collection 
vessel to stand for approximately 30 min; then remove a known volume of 
the extracting solvent from the vessel using a microliter syringe and 
inject it into the GC. Record the ratio of peak area to volume injected 
and, from the regression equation of the calibration line, determine the 
concentration of solute in the extracting solvent. In this equation, 
Ces is the concentration of solute in extracting solvent (M), 
dH2O and des are the densities of water and 
extracting solvent, respectively, and ges and gH2O 
are the grams of extracting solvent and water, respectively, contained 
in the collection vessel. The concentration of solute in water C(M) is 
determined from the following equation:

                               Equation 5:
[GRAPHIC] [TIFF OMITTED] TR15DE00.063

    (ii) Make replicate injections from each collecting vessel to 
determine the average solute concentration in water for each vessel. To 
make sure the generator column has reached equilibrium, run at least two 
additional (for a total of three) collection vessels and analyze the 
extracted solute as described above. Calculate the water solubility of 
the solute from the average solute concentration in the three vessels.
    (iv) Modification of procedures for potential problems. If the test 
compound decomposes in one or more of the aqueous solvents required 
during the period of the test at a rate such that an accurate value for 
water solubility cannot be obtained, then it will be necessary to carry 
out detailed transformation studies; e.g., hydrolysis in paragraph 
(e)(16) of this section. If decomposition is due to aqueous photolysis, 
then it will be necessary to carry out water solubility studies in the 
dark, under red or yellow lights, or by any other suitable method to 
eliminate this transformation process.
    (d) Data and reporting--(1) Test report. (i) For each set of 
conditions, (e.g., temperature, pure water, buffer solution, artificial 
seawater) required for the study, provide the water solubility value for 
each of three determinations, the mean value, and the standard 
deviation.
    (ii) For compounds that decompose at a rate such that a precise 
value for the water solubility cannot be obtained, provide a statement 
to that effect.
    (iii) For compounds with water solubility below 1 ppb, report the 
value as ``less than 1 ppb.''
    (2) Specific analytical, calibration, and recovery procedures. (i) 
For the HPLC method describe and/or report:
    (A) The method used to determine the sample-loop volume and the 
average and standard deviation of that volume.
    (B) The average and standard deviation of the RF.
    (C) Any changes made or problems encountered in the test procedure.
    (ii) For the GC, or any other analytical, method report:
    (A) The column and GC operating conditions of temperature and flow 
rate, or the operating conditions of any other analytical method used.
    (B) The average and standard deviation of the average area per 
microliter obtained for each of the standard solutions.
    (C) The form of the regression equation obtained in the calibration 
procedure.

[[Page 321]]

    (D) The extracting solvent used, and its extraction efficiency.
    (E) The average and standard deviation of solute concentration in 
each collection vessel.
    (F) Any changes made or problems encountered in the test procedure.
    (G) If applicable, a complete description of the analytical method 
which was used instead of the GC method.
    (e) References. For additional information on this test guideline, 
the following references should be consulted. These references are 
available from the TSCA Nonconfidential Information Center, Rm. NE-B607, 
Environmental Protection Agency, 401 M St., SW., Washington, DC, 12 noon 
to 4 p.m., Monday through Friday, excluding legal holidays.
    (1) DeVoe, H. et al., Generator columns and high pressure liquid 
chromatography for determining aqueous solubilities and octanol-water 
partition coefficients of hydrophobic substances. Journal of Research, 
National Bureau of Standards, 86:361-366 (1981).
    (2) Hansch, C. et al., The linear free-energy relationship between 
partition coefficients, and the aqueous solubility of organic liquids. 
Journal of Organic Chemistry 33:347-350 (1968).
    (3) Leifer, A. et al., Environmental transport and transformation of 
polychlorinated biphenyls. Chapter 1. U.S. Environmental Protection 
Agency Report: EPA-560/5-83-005 (1983).
    (4) Mackay, D. et al., Relationships between aqueous solubility and 
octanol-water partition coefficient. Chemosphere 9:701-711 (1980).
    (5) May, W.E. et al., Determination of the aqueous solubility of 
polynuclear aromatic hydrocarbons by a coupled column liquid 
chromatographic technique. Analytical Chemistry 50:175-179 (1978).
    (6) May, W.E. et al. Determination of the solubility behavior of 
some polycyclic aromatic hydrocarbons in the water. Analytical 
Chemistry, 50:997-1000 (1978a).
    (7) Miller, N.M. et al., Aqueous solubilities, octanol/water 
partition coefficients, and entropy of melting of chlorinated benzenes 
and biphenyls. Journal of Chemical and Engineering Data 29:184-190 
(1984).
    (8) OECD/Organization for Economic Cooperation and Development. Test 
Guideline No. 105. Water solubility column elution-flask method (1981).
    (9) Sutton, C. and Calder, J.A., Solubility of alkylbenzenes in 
distilled water and seawater at 25 [deg]C. Journal of Chemical and 
Engineering Data 20:320-322 (1975).
    (10) Tewari, Y.B. et al., Aqueous solubility and octanol/water 
partition coefficient of organic compounds at 25 [deg]C. Journal of 
Chemical and Engineering Data 27:451-454 (1982).
    (11) Wasik, S.P. et al., Octanol/Water Partition Coefficient and 
Aqueous Solubilities of Organic Compounds. NBS Report NBSIR 81-2406. 
Washington, DC: National Bureau of Standards, U.S. Department of 
Commerce (1981).
    (12) Yalkowski, S.H. et al., ``Aquasol database of aqueous 
solubilities of organic compounds''; Fifth Edition. University of 
Arizona, College of Pharmacy, Tucson, AZ 85721 (1990) (available at 
http://www.pharm.arizona.edu/aquasol/index.html).
    (13) ASTM D 1193-91, Standard Specification for Reagent Water. 
American Society for Testing and Materials (ASTM). 1916 Race St., 
Philadelphia, PA 19103.

Subparts F-G [Reserved]



                Subpart H_Health Effects Test Guidelines

    Source: 62 FR 43824, Aug. 15, 1997, unless otherwise noted.



Sec.  799.9110  TSCA acute oral toxicity.

    (a) Scope. This section is intended to meet the testing requirements 
under section 4 of the Toxic Substances Control Act (TSCA). In the 
assessment and evaluation of the toxic characteristics of a substance, 
determination of acute oral toxicity is usually an initial step. It 
provides information on health hazards likely to arise from short-term 
exposure by the oral route. Data from an acute study may serve as a 
basis for classification and labeling. It is traditionally a step in 
establishing a dosage regimen in subchronic and other studies and may 
provide initial information

[[Page 322]]

on the mode of toxic action of a substance. An evaluation of acute 
toxicity data should include the relationship, if any, between the 
exposure of animals to the test substance and the incidence and severity 
of all abnormalities, including behavioral and clinical abnormalities, 
the reversibility of observed abnormalities, gross lesions, body weight 
changes, effects on mortality, and any other toxic effects.
    (b) Source. The source material used in developing this TSCA test 
guideline is the Office of Prevention, Pesticides, and Toxic Substances 
(OPPTS) harmonized test guideline 870.1100 (August 1998, final 
guideline). This source is available at the address in paragraph (f) of 
this section.
    (c) Definitions. The following definitions apply to this section.
    Acute oral toxicity is the adverse effects occurring within a short 
period of time after oral administration of either a single dose of a 
substance or multiple doses given within a 24-hour period.
    Dosage is a general term comprising the dose, its frequency, and the 
duration of dosing.
    Dose is the amount of test substance administered. Dose is expressed 
as weight of test substance (milligrams, grams) per unit weight of test 
animal (e.g., milligrams per kilogram).
    Dose-effect is the relationship between the dose and the magnitude 
of a defined biological effect either in an individual or in a 
population sample.
    Dose-response is the relationship between the dose and the 
proportion of a population sample showing a defined effect.
    LD50 (median lethal dose) is a statistically derived 
estimate of single dose of a substance that can be expected to cause 
death in 50% of animals when administered by the oral route. The 
LD50 value is expressed in terms of weight of test substance 
per unit weight of test animal (milligrams per kilogram).
    (d) Alternative approaches to the determination of acute toxicity. 
(1) EPA will accept the following procedures to reduce the number of 
animals used to evaluate acute effects of chemical exposure while 
preserving its ability to make reasoned judgments about safety:
    (i) Estimation of acute oral toxicity. When further study is 
warranted, EPA generally supports limiting such tests to those using the 
lowest number of animals feasible. EPA will accept three alternative 
Organization for Economic Cooperation and Development (OECD) test 
methods in place of the ``traditional'' acute oral toxicity test. The 
three OECD alternatives are the following:
    (A) The up and down procedure as described in OECD Guideline 425 
referenced in paragraph (f)(4) of this section.
    (B) The acute toxic class method as described in OECD Guideline 423 
and referenced in paragraph (f)(6) of this section.
    (C) The fixed dose method as described in OECD Guideline 420 and 
referenced in paragraph (f)(5) of this section.
    (ii) Limit test. When data on structurally related chemicals are 
inadequate, a limit test may be considered. If rodents are used, a limit 
dose of at least 2,000 mg per kilogram of body weight may be 
administered to a single group of five males and five females using the 
procedures described in paragraph (e) of this section. If no lethality 
is demonstrated, no further testing for acute oral toxicity is needed. 
(Under current policy and regulations for pesticide products, 
precautionary statements may still be required unless there are data to 
indicate the LD50 is greater than 5,000 mg/kg.) If compound-
related mortality is produced in the limit test, further study may need 
to be considered.
    (2) [Reserved]
    (e) Conventional acute toxicity test--(1) Principle of the test 
method. The test substance is administered orally by gavage in graduated 
doses to several groups of experimental animals, one dose being used per 
group. The doses chosen may be based on the results of a range finding 
test. Subsequently, observations of effects and deaths are made. Animals 
that die during the test are necropsied, and at the conclusion of the 
test the surviving animals are sacrificed and necropsied. This section 
is directed primarily to studies in rodent species but may be adapted 
for studies in nonrodents. Animals showing severe

[[Page 323]]

and enduring signs of distress and pain may need to be humanely 
sacrificed. Dosing test substances in a way known to cause marked pain 
and distress due to corrosive or irritating properties need not be 
carried out.
    (2) Substance to be tested. Test, control, and reference substances 
are described in 40 CFR Part 792--Good Laboratory Practice Standards.
    (3) Test procedures--(i) Preparations. Healthy young adult animals 
are acclimatized to the laboratory conditions for at least 5 days prior 
to the test before the test animals are randomized and assigned to the 
treatment groups.
    (ii) Animal selection--(A) Species and strain. Although several 
mammalian test species may be used, the rat is the preferred species. 
Commonly used laboratory strains must be employed. If another species is 
used, the tester must provide justification and reasoning for its 
selection.
    (B) Age. Young adult rats between 8- and 12-weeks-old at the 
beginning of dosing should be used. Rabbits should be at least 12 weeks 
of age at study initiation. The weight variation of animals used in a 
test must be within 20% of the mean weight for each sex.
    (C) Number and sex of animals. (1) At least five experimentally 
naive rodents are used at each dose level. They should all be of the 
same sex. After completion of the study in one sex, at least one group 
of five animals of the other sex is dosed to establish that animals of 
this sex are not markedly more sensitive to the test substance. The use 
of fewer animals may be justified in individual circumstances. Where 
adequate information is available to demonstrate that animals of the sex 
tested are markedly more sensitive, testing in animals of the other sex 
may be dispensed with. An acceptable option would be to test at least 
one group of five animals per sex at one or more dose levels to 
definitively determine the more sensitive sex prior to conducting the 
main study.
    (2) The females must be nulliparous and nonpregnant.
    (3) In acute toxicity tests with animals of a higher order than 
rodents, the use of smaller numbers should be considered.
    (D) Assignment of animals. Each animal must be assigned a unique 
identification number. A system to assign animals to test groups and 
control groups randomly is required.
    (E) Housing. Animals may be group-caged by sex, but the number of 
animals per cage must not interfere with clear observation of each 
animal. The biological properties of the test substance or toxic effects 
(e.g., morbidity, excitability) may indicate a need for individual 
caging.
    (1) The temperature of the experimental animal rooms should be at 22 
 3 [deg]C for rodents.
    (2) The relative humidity of the experimental animal rooms should be 
30 to 70%.
    (3) Where lighting is artificial, the sequence should be 12-hours 
light/12-hours dark.
    (4) For feeding, conventional laboratory diets may be used with an 
unlimited supply of drinking water.
    (iii) Dose levels and dose selection. (A) Three dose levels must be 
used, spaced appropriately to produce test groups with a range of toxic 
effects and mortality rates. The data collected must be sufficient to 
produce a dose-response curve and permit an acceptable estimation of the 
LD50. Range finding studies using single animals may help to 
estimate the positioning of dose groups so that no more than three dose 
levels will be necessary.
    (B) Limit test. This test has been defined and described in 
paragraph (d)(1)(ii) of this section.
    (C) Vehicle. Where necessary, the test substance is dissolved or 
suspended in a suitable vehicle. If a vehicle or diluent is needed, it 
should not elicit toxic effects itself nor substantially alter the 
chemical or toxicological properties of the test substance. It is 
recommended that wherever possible the use of an aqueous solution be 
considered first, followed by consideration of a solution in oil (e.g., 
corn oil), and then by consideration of possible solution in other 
vehicles. Toxic characteristics of nonaqueous vehicles should be known, 
and, if not known, should be determined before the test.
    (D) Volume. The maximum volume of liquid that can be administered at 
one time depends on the size of the test

[[Page 324]]

animal. In rodents, the volume should not exceed 1 mL/100 g body weight, 
except when an aqueous solution is used in which case 2 mL/100 g may be 
administered. Either constant volume or constant concentration 
administration is acceptable when dosing, provided the following 
guidance is employed. When possible, the liquid test material should be 
dosed neat. Otherwise, it may be diluted, using the highest 
concentration possible, although volumes less than 0.5 mL per animal 
would not be required. Lower dose volumes are acceptable if they can be 
accurately administered. Solid materials should be suspended or 
dissolved in the minimum amount of vehicle and dosed at the highest 
concentration possible.
    (iv) Exposure and exposure duration. (A) Animals must be fasted 
prior to test substance administration. For the rat, feed should be 
withheld overnight; for other rodents with higher metabolic rates a 
shorter period of fasting is appropriate.
    (B) The test substance must be administered in a single dose by 
gavage, using a stomach tube or suitable intubation cannula.
    (C) If a single dose is not possible, the dose may be given in 
smaller fractions over a period not exceeding 24 hours. Where a dose is 
administered in fractions, it may be necessary to provide the animals 
with food and water, depending on the length of the dosing period.
    (D) After the substance has been administered, feed may be withheld 
for an additional 3-4 hours.
    (v) Observation period. Although 14 days is recommended as a minimum 
observation period, the duration of observation should not be fixed 
rigidly. It should be determined by the toxic reactions, rate of onset, 
and length of recovery period, and may thus be extended when considered 
necessary. The time at which signs of toxicity appear, their duration, 
and the time to death are important, especially if there is a tendency 
for deaths to be delayed.
    (vi) Observation of animals. (A) A careful clinical examination must 
be made at least once each day.
    (B) Additional observations must be made daily, especially in the 
early days of the study. Appropriate actions should be taken to minimize 
loss of animals to the study (e.g., necropsy or refrigeration of those 
animals found dead and isolation of weak or moribund animals).
    (C) Observations must be detailed and carefully recorded, preferably 
using explicitly defined scales. Observations should include, but not be 
limited to, evaluation of skin and fur, eyes and mucous membranes, 
respiratory and circulatory effects, autonomic effects such as 
salivation, central nervous system effects, including tremors and 
convulsions, changes in the level of activity, gait and posture, 
reactivity to handling or sensory stimuli, altered strength, and 
stereotypies or bizarre behavior (e.g., self-mutilation, walking 
backwards).
    (D) Individual weights of animals must be determined shortly before 
the test substance is administered, weekly thereafter, and at death. 
Changes in weights should be calculated and recorded when survival 
exceeds 1 day.
    (E) The time of death should be recorded as precisely as possible.
    (vii) Gross pathology. (A) At the end of the test, surviving animals 
must be weighed and sacrificed.
    (B) A gross necropsy must be performed on all animals under test. 
All gross pathology changes should be recorded.
    (C) If necropsy cannot be performed immediately after a dead animal 
is discovered, the animal should be refrigerated (not frozen) at 
temperatures low enough to minimize autolysis. Necropsies should be 
performed as soon as practicable, normally within a day or two.
    (viii) Additional evaluation. Microscopic examination of organs 
showing evidence of gross pathology in animals surviving 24 hours or 
more should also be considered because it may yield useful information.
    (ix) Data and reporting--(A) Treatment of results. Data must be 
summarized in tabular form, showing for each test group the number of 
animals at the start of the test, body weights, time of death of 
individual animals at different dose levels, number of animals 
displaying other signs of toxicity, description of toxic effects, and 
necropsy findings. Any methods used for calculation

[[Page 325]]

of the LD50 or any other parameters should be specified and 
referenced. Methods for parameter estimation are described in the 
references listed in paragraphs (f)(1), (f)(2), and (f)(3) of this 
section.
    (B) Evaluation of results. An evaluation should include the 
relationship, if any, between exposure of the animals to the test 
substance and the incidence and severity of all abnormalities, including 
behavioral and clinical abnormalities, gross lesions, body weight 
changes, effects on mortality, and any other toxic effects. The 
LD50 value should always be considered in conjunction with 
the observed toxic effects and any necropsy findings. The 
LD50 value is a relatively coarse measurement, useful only as 
a reference value for classification and labeling purposes, and for an 
expression of the lethal potential of the test substance by the 
ingestion route. Reference should always be made to the experimental 
animal species in which the LD50 value was obtained.
    (C) Test report. In addition to the reporting requirements specified 
under EPA Good Laboratory Practice Standards at 40 CFR part 792, subpart 
J, the following specific information must be reported. The test report 
shall include:
    (1) Species, strain, sex, and source of test animals.
    (2) Method of randomization in assigning animals to test and control 
groups.
    (3) Rationale for selection of species, if other than that 
recommended.
    (4) Tabulation of individual and test group data by sex and dose 
level (e.g., number of animals exposed, number of animals showing signs 
of toxicity and number of animals that died or were sacrificed during 
the test).
    (i) Description of toxic effects, including their time of onset, 
duration, reversibility, and relationship to dose.
    (ii) Body weights.
    (iii) Time of dosing and time of death after dosing.
    (iv) Dose-response curves for mortality and other toxic effects 
(when permitted by the method of determination).
    (v) Gross pathology findings.
    (vi) Histopathology findings and any additional clinical chemistry 
evaluations, if performed.
    (5) Description of any pretest conditioning, including diet, 
quarantine and treatment for disease.
    (6) Description of caging conditions including: Number (or change in 
number) of animals per cage, bedding material, ambient temperature and 
humidity, photoperiod, and identification of diet of test animals.
    (7) Manufacturer, source, purity, and lot number of test substance.
    (8) Relevant properties of substance tested including physical state 
and pH (if applicable).
    (9) Identification and composition of any vehicles (e.g., diluents, 
suspending agents, and emulsifiers) or other materials used in 
administering the test substance.
    (10) A list of references cited in the body of the report. 
References to any published literature used in developing the test 
protocol, performing the testing, making and interpreting observations, 
and compiling and evaluating the results.
    (f) References. For additional background information on this test 
guideline, the following references should be consulted. These 
references are available for inspection at the TSCA Nonconfidential 
Information Center, Rm. NE-B607, Environmental Protection Agency, 401 M 
St., NW., Washington, DC, 12 noon to 4 p.m., Monday through Friday, 
except legal holidays.
    (1) Chanter, D.O. and Heywood, R. The LD50 Test: Some 
Considerations of Precision. Toxicology Letters 10:303-307 (1982).
    (2) Finney, D.J. Chapter 3--Estimation of the median effective dose 
and Chapter 4--Maximum likelihood estimation, Probit Analysis, 3rd ed. 
Cambridge, London (1971).
    (3) Finney, D.J. The Median Lethal Dose and Its Estimation. Archives 
of Toxicology 56:215-218 (1985).
    (4) Organization for Economic Cooperation and Development. OECD 
Guidelines for the Testing of Chemicals. OECD Guideline 425: Acute Oral 
Toxicity: Up-and-Down Procedure, Approved: June 1998.
    (5) Organization for Economic Cooperation and Development. OECD

[[Page 326]]

Guidelines for Testing of Chemicals. Guideline 420: Acute Oral 
Toxicity--Fixed Dose Method, Adopted: July 17, 1992.
    (6) Organization for Economic Cooperation and Development. OECD 
Guidelines for Testing of Chemicals. Guideline 423: Acute Oral 
Toxicity--Acute Toxic Class Method, Adopted: March 22, 1996.
    (7) Organization for Economic Cooperation and Development. OECD 
Guidelines for Testing of Chemicals. Guideline 401: Acute Oral Toxicity, 
Adopted: February 24, 1987.

[65 FR 78771, Dec. 15, 2000]



Sec.  799.9120  TSCA acute dermal toxicity.

    (a) Scope. This section is intended to meet the testing requirements 
under section 4 of the Toxic Substances Control Act (TSCA). In the 
assessment and evaluation of the toxic characteristics of a substance, 
determination of acute dermal toxicity is useful where exposure by the 
dermal route is likely. It provides information on health hazards likely 
to arise from short-term exposure by the dermal route. Data from an 
acute study may serve as a basis for classification and labeling. It is 
an initial step in establishing a dosage regimen in subchronic and other 
studies and may provide information on dermal absorption and the mode of 
toxic action of a substance by this route. An evaluation of acute 
toxicity data should include the relationship, if any, between the 
exposure of animals to the test substance and the incidence and severity 
of all abnormalities, including behavioral and clinical abnormalities, 
the reversibility of observed abnormalities, gross lesions, body weight 
changes, effects on mortality, and any other toxic effects.
    (b) Source. The source material used in developing this TSCA test 
guideline is the Office of Prevention, Pesticides, and Toxic Substances 
(OPPTS) harmonized test guideline 870.1200 (August 1998, final 
guideline). This source is available at the address in paragraph (f) of 
this section.
    (c) Definitions. The following definitions apply to this section.
    Acute dermal toxicity is the adverse effects occurring within a 
short time of dermal application of a single dose of a substance or 
multiple doses given within a 24-hour period.
    Dosage is a general term comprising the dose, its frequency and the 
duration of dosing.
    Dose is the amount of test substance applied. Dose is expressed as 
weight of test substance (grams, milligrams) per unit weight of test 
animal (e.g., milligrams per kilogram).
    Dose-effect is the relationship between the dose and the magnitude 
of a defined biological effect either in an individual or in a 
population sample.
    Dose-response is the relationship between the dose and the 
proportion of a population sample showing a defined effect.
    LD50 (median lethal dose), dermal, is a statistically 
derived estimate of a single dose of a substance that can be expected to 
cause death in 50% of treated animals when applied to the skin. The 
LD50 value is expressed in terms of weight of test substance 
per unit weight of test animal (milligrams per kilogram).
    (d) Approaches to the determination of acute toxicity. (1) EPA 
recommends the following means to reduce the number of animals used to 
evaluate acute effects of chemical exposure while preserving its ability 
to make reasonable judgments about safety:
    (i) Using data from substantially similar mixtures. In order to 
minimize the need for animal testing, the Agency encourages the review 
of existing acute toxicity information on mixtures that are 
substantially similar to the mixture under investigation. In certain 
cases it may be possible to glean enough information to make preliminary 
hazard evaluations that may reduce the need for further animal testing.
    (ii) Limit test. When data on structurally related chemicals are 
inadequate, a limit test may be considered. If rodents are used, a limit 
dose of at least 2,000 mg/kg bodyweight may be administered to a single 
group of five males and five females using the procedures described in 
paragraph (e) of this section. If no lethality is demonstrated, no 
further testing for acute dermal toxicity is needed. If compound-related 
mortality is produced,

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further study may need to be considered.
    (2) [Reserved]
    (e) Conventional acute toxicity test--(1) Principle of the test 
method. The test substance is applied dermally in graduated doses to 
several groups of experimental animals, one dose being used per group. 
The doses chosen may be based on the results of a range finding test. 
Subsequently, observations of effects and deaths are made. Animals that 
die during the test are necropsied, and at the conclusion of the test 
the surviving animals are sacrificed and necropsied. This section is 
directed primarily to studies in either rats, rabbits, or guinea pigs 
but may be adapted for studies in other species. Animals showing severe 
and enduring signs of distress and pain may need to be humanely 
sacrificed. Dosing test substances in a way known to cause marked pain 
and distress due to corrosive or irritating properties need not be 
carried out.
    (2) Substance to be tested. Test, control, and reference substances 
are discussed in 40 CFR Part 792--Good Laboratory Practice Standards.
    (3) Test procedures--(i) Preparations. Healthy young adult animals 
are acclimatized to the laboratory conditions for at least 5 days prior 
to the test before the test animals are randomized and assigned to the 
treatment groups.
    (ii) Animal selection--(A) Species and strain. The rat, rabbit, or 
guinea pig may be used. The albino rabbit is preferred because of its 
size, ease of handling, skin permeability, and extensive data base. 
Commonly used laboratory strains must be employed. If a species other 
than rats, rabbits, or guinea pigs is used, the tester must provide 
justification and reasoning for its selection.
    (B) Age. Young adult animals, rats between 8- and 12-weeks-old, 
rabbits at least 12-weeks-old, and guinea pigs between 5- and 6-weeks-
old at the beginning of dosing should be used. The weight variation of 
animals used in a test must be within 20% of the mean weight for each 
sex.
    (C) Number and sex of animals. (1) At least five experimentally 
naive animals with healthy intact skin are used at each dose level. They 
should all be of the same sex. After completion of the study in one sex, 
at least one group of five animals of the other sex is dosed to 
establish that animals of this sex are not markedly more sensitive to 
the test substance. The use of fewer animals may be justified in 
individual circumstances. Where adequate information is available to 
demonstrate that animals of the sex tested are markedly more sensitive, 
testing in animals of the other sex may be dispensed with. An acceptable 
option would be to test at least one group of five animals per sex at 
one or more dose levels to definitively determine the more sensitive sex 
prior to conducting the main study.
    (2) The females must be nulliparous and nonpregnant.
    (3) In acute toxicity tests with animals of a higher order than 
those mentioned above, the use of smaller numbers should be considered.
    (D) Assignment of animals. Each animal must be assigned a unique 
identification number. A system to randomly assign animals to test 
groups and control groups is required.
    (E) Housing. Animals should be housed in individual cages.
    (1) The temperature of the experimental animal rooms should be at 22 
 3 [deg]C for rodents, 20  3 
[deg]C for rabbits.
    (2) The relative humidity of the experimental animal rooms should be 
30 to 70%.
    (3) Where lighting is artificial, the sequence should be 12-hours 
light/12-hours dark.
    (4) For feeding, conventional laboratory diets may be used with an 
unlimited supply of drinking water.
    (iii) Dose levels and dose selection. (A) Three dose levels must be 
used and spaced appropriately to produce test groups with a range of 
toxic effects and mortality rates. The data must be sufficient to 
produce a dose-response curve and permit an acceptable estimation of the 
median lethal dose. Range finding studies using single animals may help 
to estimate the positioning of the dose groups so that no more than 
three dose levels will be necessary.
    (B) Limit test. This test is described in paragraph (d)(2)(ii) of 
this section.
    (C) Vehicle. Solids should be pulverized when possible. The test 
substance

[[Page 328]]

should be moistened sufficiently with water or, where necessary, a 
suitable vehicle to ensure good contact with skin. If a vehicle or 
diluent is needed, it should not elicit toxic effects itself nor 
substantially alter the chemical or toxicological properties of the test 
substance. In addition, the influence of the vehicle on penetration of 
skin by the test substance should be taken into account. It is 
recommended that wherever possible the use of an aqueous solution be 
considered first, followed by consideration of a solution in oil (e.g., 
corn oil), and then by consideration of possible solution in other 
vehicles. For nonaqueous vehicles the toxic characteristics of the 
vehicle should be known, and if not known should be determined before 
the test. Acceptable alternative vehicles include gum arabic, ethanol 
and water, carboxymethyl cellulose, glycerol, propylene glycol, PEG 
vegetable oil, and mineral oil as long as the vehicle is not irritating 
and the inability to use water or saline is justified in the report.
    (iv) Exposure and exposure duration. The test substance must be 
administered over a period of 24 hours.
    (v) Preparation of animal skin. Fur must be clipped from the dorsal 
area of the trunk of the test animals. Shaving may be employed, but it 
should be carried out at least 24 hours before dosing. Care must be 
taken to avoid abrading the skin, which would alter its permeability.
    (vi) Application of test substance. (A) The test substance must be 
applied uniformly over a shaved or clipped area which is approximately 
10% of the body surface area. The area starting at the scapulae 
(shoulders) to the wing of the ileum (hip bone) and half way down the 
flank on each side of the animal should be shaved or clipped. Liquid 
test materials should be undiluted if possible. With highly toxic 
substances, the surface area covered may be less, but as much of the 
area as possible should be covered with as thin and uniform a film as 
practical. The test material is not removed until 24 hours after 
application. In the case where less than 10% of the surface area is 
covered an approximation of the exposed areas should be determined.
    (B) The test substance must be held in contact with the skin with a 
porous gauze dressing (<8 ply) and nonirritating tape throughout a 24-
hour exposure period. The test site must be further covered in a 
suitable manner to retain the gauze dressing and test substance and 
ensure that the animals cannot ingest the test substance. Restrainers 
may be used to prevent the ingestion of the test substance, but complete 
immobilization is not a recommended method. Although a semiocclusive 
dressing is preferred, an occlusive dressing will also be acceptable.
    (C) At the end of the exposure period, residual test substance 
should be removed where practicable using water or an appropriate 
solvent.
    (vii) Observation period. Although 14 days is recommended as a 
minimum observation period, the duration of observation should not be 
fixed rigidly. It should be determined by the toxic reactions, rate of 
onset, and length of recovery period, and may thus be extended when 
considered necessary. The time at which signs of toxicity appear, their 
duration, and the time to death are important, especially if there is a 
tendency for deaths to be delayed.
    (viii) Observation of animals. (A) A careful clinical examination 
must be made at least once each day.
    (B) Additional observations must be made daily, especially in the 
early days of the study. Appropriate actions should be taken to minimize 
loss of animals to the study (e.g., necropsy or refrigeration of those 
animals found dead and isolation of weak or moribund animals).
    (C) Observations must be detailed and carefully recorded, preferably 
using explicitly defined scales. Observations should include, but not be 
limited to, evaluation of skin and fur, eyes and mucous membranes, 
respiratory and circulatory effects, autonomic effects such as 
salivation, central nervous system effects, including tremors and 
convulsions, changes in the level of activity, gait and posture, 
reactivity to handling or sensory stimuli, altered strength, and 
stereotypies or bizarre behavior (e.g., self-mutilation, walking 
backwards).

[[Page 329]]

    (D) Individual weights of animals must be determined shortly before 
the test substance is administered, weekly thereafter, and at death. 
Changes in weights should be calculated and recorded when survival 
exceeds one day.
    (E) The time of death should be recorded as precisely as possible.
    (ix) Gross pathology. (A) At the end of the test, surviving animals 
must be weighed and sacrificed.
    (B) A gross necropsy must be performed on all animals under test. 
All gross pathology changes should be recorded.
    (C) If necropsy cannot be performed immediately after a dead animal 
is discovered, the animal should be refrigerated (not frozen) at 
temperatures low enough to minimize autolysis. Necropsies should be 
performed as soon as practicable, normally within a day or two.
    (x) Additional evaluations. Microscopic examination of organs 
showing evidence of gross pathology in animals surviving 24 hours or 
more should also be considered because it may yield useful information.
    (xi) Data and reporting--(A) Treatment of results. Data must be 
summarized in tabular form, showing for each test group the number of 
animals at the start of the test, body weights, time of death of 
individual animals at different dose levels, number of animals 
displaying other signs of toxicity, description of toxic effects and 
necropsy findings. Any methods used for calculation of the 
LD50 or any other parameters should be specified and 
referenced. Methods for parameter estimation are described in the 
references listed in paragraphs (f)(1), (f)(2), and (f)(3) of this 
section.
    (B) Evaluation of results. An evaluation should include the 
relationship, if any, between exposure of the animals to the test 
substance and the incidence and severity of all abnormalities, including 
behavioral and clinical abnormalities, gross lesions, body weight 
changes, effects on mortality, and any other toxic effects. The 
LD50 value should always be considered in conjunction with 
the observed toxic effects and any necropsy findings. The 
LD50 value is a relatively coarse measurement, useful only as 
a reference value for classification and labeling purposes, and for an 
expression of the lethal potential of the test substance by the dermal 
route. Reference should always be made to the experimental animal 
species in which the LD50 value was obtained.
    (C) Test report. In addition to the reporting requirements specified 
under EPA Good Laboratory Practice Standards at 40 CFR part 792, subpart 
J, the following specific information must be reported. The test report 
must include:
    (1) Species, strain, sex, and source of test animals.
    (2) Method of randomization in assigning animals to test and control 
groups.
    (3) Rationale for selection of species, if other than that 
recommended.
    (4) Tabulation of individual and test group data by sex and dose 
level (e.g., number of animals exposed, number of animals showing signs 
of toxicity and number of animals that died or were sacrificed during 
the test).
    (i) Description of toxic effects, including their time of onset, 
duration, reversibility, and relationship to dose.
    (ii) Body weights.
    (iii) Time of dosing and time of death after dosing.
    (iv) Dose-response curves for mortality and other toxic effects 
(when permitted by the method of determination).
    (v) Gross pathology findings.
    (vi) Histopathology findings and any additional clinical chemistry 
evaluations, if performed.
    (5) Description of any pre-test conditioning, including diet, 
quarantine and treatment for disease.
    (6) Description of caging conditions including: Number (or change in 
number) of animals per cage, bedding material, ambient temperature and 
humidity, photoperiod, and identification of diet of test animals.
    (7) Manufacturer, source, purity, and lot number of test substance.
    (8) Relevant properties of substance tested including physical state 
and pH (if applicable).
    (9) Identification and composition of any vehicles (e.g., diluents, 
suspending agents, and emulsifiers) or other materials used in 
administering the test substance.

[[Page 330]]

    (10) A list of references cited in the body of the report. 
References to any published literature used in developing the test 
protocol, performing the testing, making and interpreting observations, 
and compiling and evaluating the results.
    (f) References. For additional background information on this test 
guideline, the following references should be consulted. These 
references are available for inspection at the TSCA Nonconfidential 
Information Center, Rm. NE-B607, Environmental Protection Agency, 401 M 
St., NW., Washington, DC, 12 noon to 4 p.m., Monday through Friday, 
except legal holidays.
    (1) Chanter, D.O. and Heywood, R., The LD50 Test: Some 
Considerations of Precision, Toxicology Letters 10:303-307 (1982).
    (2) Finney, D.J. Chapter 3--Estimation of the median effective dose 
and Chapter 4-Maximum likelihood estimation, Probit Analysis, 3rd ed. 
Cambridge, London (1971).
    (3) Finney, D.J. The Median Lethal Dose and Its Estimation. Archives 
of Toxicology 56:215-218 (1985).
    (4) Organization for Economic Cooperation and Development. OECD 
Guideline for the Testing of Chemicals. OECD Guideline 425: Acute Oral 
Toxicity: Up-and-Down Procedure. Adopted: September 21, 1998.
    (5) Organization for Economic Cooperation and Development. OECD 
Guidelines for Testing of Chemicals. Guideline 420: Acute Oral 
Toxicity--Fixed Dose Method. Adopted: July 17, 1992.
    (6) Organization for Economic Cooperation and Development. OECD 
Guidelines for Testing of Chemicals. Guideline 423: Acute Oral 
Toxicity--Acute Toxic Class Method. Adopted: March 22, 1996
    (7) Organization for Economic Cooperation and Development. OECD 
Guidelines for Testing of Chemicals. Guideline 402: Acute Dermal 
Toxicity. Adopted: February 24, 1987.

[65 FR 78774, Dec. 15, 2000]



Sec.  799.9130  TSCA acute inhalation toxicity.

    (a) Scope. This section is intended to meet testing requirements 
under section 4 of the Toxic Substances Control Act (TSCA). 
Determination of acute toxicity is usually an initial step in the 
assessment and evaluation of the toxic characteristics of a substance 
that may be inhaled such as a gas, volatile substance, or aerosol/
particle. It provides information on health hazards likely to arise from 
short-term exposure by the inhalation route. Data from an acute study 
may serve as a basis for classification and labeling. It is 
traditionally a step in establishing a dosage regimen in subchronic and 
other studies and may provide initial information on the mode of toxic 
action of a substance. An evaluation of acute toxicity data should 
include the relationship, if any, between the animals' exposure to the 
test substance and the incidence and severity of all abnormalities, 
including behavioral and clinical abnormalities, the reversibility of 
observed abnormalities, gross lesions, body weight changes, effects on 
mortality, and any other toxic effects.
    (b) Source. The source material used in developing this TSCA test 
guideline is the harmonized Office of Prevention, Pesticides, and Toxic 
Substances (OPPTS) test guideline 870.1300 (August 1998, final 
guideline). These sources are available at the address in paragraph (g) 
of this section.
    (c) Definitions. The definitions in section 3 of TSCA and the 
definitions in 40 CFR Part 792--Good Laboratory Practice Standards apply 
to this section. The following definitions also apply to this section.
    Acute inhalation toxicity is the adverse effect caused by a 
substance following a single uninterrupted exposure by inhalation over a 
short period of time (24 hours or less) to a substance capable of being 
inhaled.
    Aerodynamic equivalent diameter is defined as the diameter of a 
unit-density sphere having the same terminal settling velocity as the 
particle in question, whatever its size, shape, and density. It is used 
to predict where in the respiratory tract such particles may be 
deposited.
    Concentration is expressed as weight of the test substance per unit 
volume of air, e.g., milligrams per liter.
    Geometric standard deviation (GSD) is a dimensionless number equal 
to the

[[Page 331]]

ratio between the mass median aerodynamic diameter (MMAD) and either 84% 
or 16% of the diameter size distribution (e.g., MMAD = 2 m; 84% = 4 m; 
GSD = 4/2 = 2.0.) The MMAD, together with the GSD, describe the particle 
size distribution of an aerosol. Use of the GSD may not be valid for 
non-lognormally distributed aerosols. (If the size distribution deviates 
from the lognormal, it shall be noted).
    Inhalable diameter refers to that aerodynamic diameter of a particle 
which is considered to be inhalable for the organism under study. It is 
used to refer to particles which are capable of being inhaled and 
deposited anywhere within the respiratory tract .
    LC50 (median lethal concentration) is a statistically 
derived estimate of a concentration of a substance that can be expected 
to cause death during exposure or within a fixed time after exposure in 
50% of animals exposed for a specified time. The LC50 value 
is a relatively coarse measurement useful only for classification and 
labeling purposes and an expression of the lethal potential of the test 
substance following inhalation. The LC50 value is expressed 
as weight of test substance per unit volume of air (milligrams per 
liter) or parts per million. For clarity, the exposure duration and test 
animal species should also be specified, e.g., 4 hours LC50 
in F344.
    Mass median aerodynamic diameter (MMAD) is the median aero-dynamic 
diameter and, along with the geometric standard deviation, is used to 
describe the particle size distribution of any aerosol statistically, 
based on the weight and size of the particles. Fifty percent of the 
particles by weight will be smaller than the median diameter and 50% of 
the particles will be larger.
    (d) Approaches to the determination of acute toxicity. (1) EPA 
recommends the following means to reduce the number of animals used to 
evaluate acute effects of chemical exposure while preserving its ability 
to make reasonable judgments about safety:
    (i) Using data from substantially similar mixtures. In order to 
minimize the need for animal testing, the Agency encourages the review 
of existing acute toxicity information on mixtures that are 
substantially similar to mixtures under investigation. In certain cases, 
it may be possible to get enough information to make preliminary hazard 
evaluations that may reduce the need for further animal testing.
    (ii) Limit test. When data on structurally related chemicals are 
inadequate, a limit test may be considered. In the limit test, a single 
group of five males and five females is exposed to 2 mg/L for 4 hours, 
or where this is not possible due to physical or chemical properties of 
the test substance, the maximum attainable concentration where a 
particle size distribution having an MMAD between 1 and 4 [micro]m 
cannot be maintained, using the procedures described under paragraph (e) 
of this section. For fibers, the bivariate distribution of length and 
diameter must ensure inhalability. For gases and vapors, the 
concentrations need not be greater than 50,000 ppm or 50% of the lower 
explosive limit, whichever is lower. If a test at an aerosol or 
particulate exposure of 2 mg/L (actual concentration of respirable 
substance) for 4 hours or, where this is not feasible, the maximum 
attainable concentration, using the procedures described for this study, 
produces no observable toxic effects, then a full study using three 
concentrations will not be necessary. Similarly, if a test at a gas or 
vapor exposure of 50,000 ppm or 50% of the lower explosive limit, 
whichever is lower, produces no observable toxic effects, then a full 
study using three concentrations will not be necessary.
    (2) [Reserved]
    (e) Conventional acute toxicity test--(1) Principle of the test 
method. Several groups of experimental animals are exposed to the test 
substance in graduated concentrations for a defined period, one 
concentration being used per group. When a vehicle other than water is 
used to help generate an appropriate concentration of the substance in 
the atmosphere, a vehicle control group should be used when historical 
data are not available or adequate to determine the acute inhalation 
toxicity of the vehicle. Subsequently, observations of effects and death 
are made. Animals that die during the test are necropsied and at the 
conclusion of the test surviving animals are sacrificed and necropsied. 
This guideline is directed primarily to

[[Page 332]]

studies in rodent species but may be adapted for studies in non-rodents. 
Animals showing severe and enduring signs of distress and pain may need 
to be sacrificed. Dosing test substances in a way known to cause marked 
pain and distress due to corrosive or irritating properties need not be 
carried out.
    (2) Substance to be tested. Test, control, and reference substances 
are discussed under EPA Good Laboratory Practice Standards at 40 CFR 
part 792, subpart f.
    (3) Test procedures--(i) Preparation. Healthy young adult animals 
are acclimatized to the laboratory conditions for at least 5 days prior 
to the test. Before the test, animals are randomized and assigned to the 
required number of groups.
    (ii) Animal selection--(A) Species and strain. (1) Although several 
mammalian test species may be used, the preferred species is the rat. 
Commonly used laboratory strains should be employed. If another 
mammalian species is used, the investigator should provide justification 
and reasoning for the selection.
    (2) Health Status. Body weight and feed consumption are not 
sufficient indicators of the health status of animals prior to 
initiating an inhalation toxicity study. Prior to initiating the study, 
animals must be monitored for known viral and bacterial respiratory 
pathogens determined by conventional microbiological assays (e.g., 
serology). The animals must be free from pathogens at the start of 
exposure.
    (B) Age. Young adult rats between 8-12 weeks old at the beginning of 
dosing, should be used. The weight variation in animals or between 
groups used in a test should not exceed 20% of the 
mean weight of each sex.
    (C) Number of animals and sex. (1) At least five experimentally 
naive animals are used at each concentration and they must be of one 
sex. After completion of the study in one sex, at least one group of 
five animals of the other sex is exposed to establish that animals of 
this sex are not markedly more sensitive to the test substance. The use 
of fewer animals may be justified in individual circumstances. Where 
adequate information is available to demonstrate that animals of the sex 
tested are markedly more sensitive, testing in animals of the other sex 
is not required. An acceptable option would be to test at least one 
group of five animals per sex at one or more dose levels to definitively 
determine the more sensitive sex prior to conducting the main study.
    (2) Females must be nulliparous and nonpregnant.
    (3) In acute toxicity tests with animals of a higher order than 
rodents, the use of fewer animals per concentration group should be 
considered.
    (D) Assignment of animals. (1) Each animal must be assigned a unique 
identification number. A system to assign animals to test groups and 
control groups randomly is required.
    (2) Control groups. A concurrent untreated control group is not 
necessary. Where a vehicle other than water is used to generate an 
appropriate concentration of the test substance in the atmosphere and 
historical data are not available or adequate to determine the acute 
toxicity of the vehicle, a vehicle control group must be used. The 
vehicle control group must be a sham-treated group. Except for treatment 
with the test substance, animals in the vehicle control group must be 
handled in a manner identical to the test-group animals.
    (E) Housing. The animals may be group-caged by sex, but the number 
of animals per cage must not interfere with clear observation of each 
animal. The biological properties of the test substance or toxic effects 
(e.g., morbidity, excitability) may indicate a need for individual 
caging. Animals must be housed individually in inhalation chambers 
during exposure to aerosols.
    (1) Before and after exposure, the temperature of the animal room 
should be 22 3 [deg]C and the relative humidity 
30-70%.
    (2) Where lighting is artificial, the sequence should be 12 hours 
light/12 hours dark.
    (3) For feeding, conventional laboratory diets may be used with an 
unlimited supply of drinking water.
    (F) Inhalation equipment. (1) Animals can be exposed to the 
substance by either a nose-only procedure or in a

[[Page 333]]

whole-body exposure chamber. Maintenance of slight negative pressure 
inside the chamber will prevent leakage of the test substance into the 
surrounding areas. The nose-only exposure procedure is recommended for 
studies of aerosols to minimize exposures confounding resultant from 
test substance ingestion due to test animal fur licking following 
exposures. Animals must be acclimated to the nose-only exposure chamber 
prior to study and heat stress minimized during testing.
    (2) Inhalation chambers. The animals must be tested in inhalation 
equipment designed to sustain a dynamic airflow for nose-only exposures 
of at least 300 ml/minute/animal or an airflow for whole-body exposures 
of at least 12 to 15 air changes per hour and ensure an adequate oxygen 
content of at least 19% and an evenly distributed exposure atmosphere. 
Where a whole-body chamber is used, its design must minimize crowding by 
providing individual caging. As a general rule, to ensure stability of a 
chamber atmosphere, the total ``volume'' of the test animals should not 
exceed 5% of the volume of the test chamber.
    (3) Environmental conditions. The temperature at which the test is 
performed must be maintained at 22 [deg]C (2 
[deg]C). Ideally, the relative humidity should be maintained between 40% 
and 60%, but in certain instances (e.g., tests using water as a 
vehicle), this may not be practical.
    (G) Physical measurements. Measurements or monitoring must be made 
of the following:
    (1) Chemical purity of the test material must be analyzed. If the 
test substance is present in a mixture, the mass and composition of the 
entire mixture, as well as the principal compound, must be measured. If 
there is some difficulty in measuring chamber analytical concentration 
due to precipitation, nonhomogeneous mixtures, volatile components, or 
other factors, additional analyses of components may be necessary.
    (2) The rate of air flow should be monitored continuously, and must 
be recorded at least every 30 minutes during the exposure period.
    (3) The actual concentrations of the test substance must be measured 
in the breathing zone. During the exposure period, the actual 
concentrations of the test substance must be held as constant as 
practicable, monitored continuously or intermittently depending on the 
method of analysis, and recorded at least three times (i.e., at the 
beginning, at an intermediate time, and at the end) during the exposure 
period. Chamber concentration may be measured using gravimetric or 
analytical methods as appropriate. If trial run measurements are 
reasonably consistent (10% for liquid aerosol, 
gas, or vapor; 20% for dry aerosol), then a 
minimum of two measurements are sufficient. If measurements are not 
consistent, then a minimum of four measurements should be taken.
    (4) During the development of the generating system, particle size 
analysis must be performed to establish the stability of aerosol 
concentrations. During exposure, analysis should be conducted as often 
as necessary to determine the consistency of particle size distribution. 
The MMAD particle size range should be between 1-4 [micro]m. The 
particle size of hygroscopic materials must be small enough when dry to 
assure that the size of the swollen particle will still be within the 1-
4 [micro]m MMAD range. Characterization for fibers must include the 
bivariate distribution of length and diameter; this distribution must 
ensure inhalability. Measurements of aerodynamic particle size in the 
animal's breathing zone must be measured during a trial run. If MMAD 
values for each exposure level are within 10% of each other, then a 
minimum of two measurements during the exposures should be sufficient. 
If pretest measurements are not within 10% of each other, then a minimum 
of four measurements should be taken.
    (5) Temperature and humidity must be monitored continuously, and 
must be recorded at least every 30 minutes.
    (iii) Exposure duration and concentration levels. (A) Exposure 
duration. Shortly before exposure, the animals are weighed and then 
exposed to the test target concentration in the designated apparatus for 
4 hour exposure period after equilibration of the chamber 
concentrations. The target concentration is defined by an average of 5% 
for gases and vapors and 15% for

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particles and aerosols. The animals are weighed again at the conclusion 
of the exposure period to determine body weight change. Other durations 
may be needed to meet specific requirements. Food must be withheld 
during exposure. Water may also be withheld in certain circumstances.
    (B) Exposure concentration levels. At least three concentration 
levels and a vehicle control group, if required (see paragraph 
(e)(3)(ii)(D)(2) of this section), must be used. The concentration 
levels should be spaced appropriately to produce a concentration-
response curve and permit an estimation of the median lethal 
concentration (LC50). The concentrations can either be 
linearly or logarithmically spaced depending on the anticipated 
steepness of the concentration-response curve. A rationale for 
concentration selection should be provided to indicate that the selected 
concentrations will maximally support detection of concentration-
response relationship. The high concentration should be clearly toxic or 
a limit concentration, but should not result in an incidence of 
fatalities that would preclude a meaningful evaluation of the data. The 
lowest concentration should define a no-observed-effects level (NOEL). 
Range-finding studies using single animals may help to estimate the 
positioning of the test groups so that no more than three concentration 
levels will be necessary.
    (C) When the physical and chemical properties of the test substance 
show a low flash point or the test substance is otherwise known or 
thought to be explosive, care must be taken to avoid exposure level 
concentrations that could result in an exposure chamber explosion during 
the test.
    (iv) Observation period. The observation period must be at least 14 
days. However, the duration of observation should not be fixed rigidly. 
It should be determined by the toxic reactions, rate of onset, and 
length of recovery period, and thus may be extended when considered 
necessary. The time at which signs of toxicity appear, the duration of 
the signs observed, and the time of death must be recorded and are 
important, especially if there is a tendency for delayed effects.
    (v) Observation of animals. (A) A careful clinical examination must 
be made at least once each day.
    (B) Additional observations should be made daily with appropriate 
actions taken to minimize loss of animals to the study, e.g., necropsy 
or refrigeration of those animals found dead and isolation of weak or 
moribund animals.
    (C) Observations must be detailed and carefully recorded, preferably 
using explicitly defined scales. Observations should include, but not be 
limited to, evaluation of skin and fur, eyes and mucous membranes, 
respiratory and circulatory effects, autonomic effects such as 
salivation, central nervous system effects, including tremors and 
convulsions, changes in the level of activity, gait and posture, 
reactivity to handling or sensory stimuli, altered strength, and 
stereotypies or bizarre behavior (e.g., self mutilation, walking 
backwards).
    (D) Individual weights of animals must be determined pre-exposure 
and post-exposure, weekly after exposure, and at death. Changes in 
weights should be calculated and recorded when survival exceeds 1 day.
    (E) The time of death should be recorded as precisely as possible.
    (vi) Gross pathology. (A) At the end of the test, surviving animals 
must be weighed, sacrificed and a gross necropsy must be performed on 
all animals under test, with particular reference to any changes in the 
respiratory tract. All gross pathology changes must be recorded.
    (1) The gross necropsy must include examination of orifices and the 
cranial, thoracic, and abdominal cavities, and contents.
    (2) At least the lungs, liver, kidneys, adrenals, brain, and gonads 
should be weighed wet, as soon as possible after dissection to avoid 
drying.
    (3) Optionally, the following organs and tissues, or representative 
samples thereof, may be preserved in a suitable medium for possible 
future histopathological examination: All gross lesions; brain-including 
sections of medulla/pons; cerebellar cortex and cerebral cortex; 
pituitary; thyroid/parathyroid; thymus; heart; sternum with bone marrow; 
salivary glands;

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liver; spleen; kidneys; adrenals; pancreas; gonads; accessory genital 
organs (epididymis, prostrate, and, if present, seminal vesicles); 
aorta; skin; gall bladder (if present); esophagus; stomach; duodenum; 
jejunum; ileum; cecum; colon; rectum; urinary bladder; representative 
lymph nodes; thigh musculature; peripheral nerve; spinal cord at three 
levels cervical, midthoracic, and lumbar; and eyes. Respiratory tract 
tissues should be perfusion preserved in a suitable medium.
    (B) If necropsy cannot be performed immediately after a dead animal 
is discovered during the observation period, the animal should be 
refrigerated (not frozen) at temperatures low enough to minimize 
autolysis. Necropsies should be performed as soon as possible after 
death (normally within 24 to 48 hours).
    (vii) Additional evaluations. In animals surviving 24 hours or more, 
microscopic examination of organs showing evidence of gross pathology 
should be considered since it may yield useful information on the nature 
of acute toxic effects.
    (f) Data and reporting--(1) Treatment of results. Data must be 
summarized in tabular form showing for each test group the number of 
animals at the start of the test, body weights, time of death of 
individual animals at different exposure levels, number of animals 
displaying other signs of toxicity, description of toxic effects and 
necropsy findings. The method used for calculation of the 
LC50 or any other parameters must be specified and 
referenced. Some acceptable methods for parameter estimation are 
described in the references described in paragraphs (g)(1), (g)(2), and 
(g)(3) of this section.
    (2) Evaluation of results. The LC50 value should be 
considered in conjunction with the observed toxic effects and the 
necropsy findings. The evaluation should include the relationship, if 
any, between exposure of animals to the test substance and the incidence 
and severity of all abnormalities including behavioral and clinical 
abnormalities, gross lesions, body weight changes, mortality, and other 
toxic effects.
    (3) Test report. In addition to the reporting requirements specified 
under EPA Good Laboratory Practice Standards at 40 CFR part 792, subpart 
J, the following specific information must be reported. The test report 
shall include:
    (i) Test conditions. (A) Description of exposure apparatus including 
design, type, dimensions.
    (B) Source of air, system for generating the test article as 
particle, aerosol, gas, or vapor.
    (C) Method for conditioning air, equipment for measuring 
temperature, humidity, particle size or particulate aerosol 
concentration size, and actual concentration.
    (D) Treatment of exhaust air and the method of housing the animals 
in a test chamber when this is used.
    (ii) Exposure data. The exposure data must be tabulated and 
presented with mean values and a measure of variability (e.g., standard 
deviation) and should include:
    (A) Chemical purity of the test material.
    (B) Airflow rates through the inhalation equipment.
    (C) Temperature and humidity of the air.
    (D) Nominal concentration (total amount of test substance fed into 
the inhalation equipment divided by volume of air).
    (E) Actual (analytical or gravimetric) concentration in test 
breathing zone.
    (F) Particle size distribution (calculated MMAD and GSD) and the 
bivariate distribution of fiber length and diameter, where appropriate.
    (G) Explanation as to why the desired chamber concentration and/or 
particle size could not be achieved (if applicable), and the efforts 
taken to comply with these aspects of this section.
    (iii) Species, strain, sex, and source of test animals.
    (iv) Method of randomization in assigning animals to test and 
control groups.
    (v) Rationale for selection of species, if other than that 
recommended.
    (vi) Results. Tabulation of individual and test group data by sex 
and exposure concentration level (e.g., number of animals exposed, 
number of animals showing signs of toxicity and number of animals that 
died or were sacrificed during the test).

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    (A) Description of toxic effects including time of onset, duration, 
reversibility, and relationship to the exposure concentration levels.
    (B) Pre-exposure and post-exposure body weight change in animals, 
and weight change during the observation period.
    (C) Time of dosing and time of death during or following exposure.
    (D) Concentration-response curves for mortality and other toxic 
effects (when permitted by the method of determination).
    (E) Gross pathology necropsy findings in the test animals and 
vehicle control animals, if included. Data must be tabulated to show the 
counts and incidence of gross alterations observed for each group tested 
and the number of animals affected by each type of lesion along with the 
location and frequency of each type of lesion.
    (F) Histopathology findings and any additional evaluations (e.g., 
clinical chemistry), if performed.
    (vii) Description of any pretest conditioning, including diet, 
quarantine and treatment for disease.
    (viii) Description of caging conditions, including: number (or 
change in number) of animals per cage, bedding material, ambient 
temperature and humidity, photoperiod, and identification of diet of 
test animals.
    (ix) Manufacturer (source), lot number, and purity of test 
substance.
    (x) Identification and composition of any vehicles (e.g., diluents, 
suspending agents, and emulsifiers) or other materials , if used in 
administering the test substance.
    (xi) A list of references cited in the body of the report. 
References to any published literature used in developing the test 
protocol, performing the testing, making and interpreting observations, 
and compiling and evaluating the results.
    (g) References. For additional background information on this test 
guideline, the following references should be consulted. These 
references are available for inspection at the TSCA Nonconfidential 
Information Center, Rm. NE-B607, Environmental Protection Agency, 401 M 
St., NW., Washington, DC, 12 noon to 4 p.m., Monday through Friday, 
except legal holidays.
    (1) Chanter, D.O. and Heywood, R. The LD50 test: some 
considerations of precision. Toxicology Letters 10:303 307 (1982).
    (2) Finney, D.G. Chapter 3 Estimation of the median effective dose, 
Chapter 4 Maximum likelihood estimation. Probit Analysis. 3rd Ed. 
(Cambridge, London. (1971).
    (3) Finney, D.J. The Median Lethal Dose and Its Estimation, Archives 
of Toxicology 56:215 218 (1985).
    (4) Organization for Economic Cooperation and Development. OECD 
Guidelines for the Testing of Chemicals. Final Draft OECD Guideline 425: 
Acute Oral Toxicity: Up-and-Down Procedure to be adopted in the Tenth 
Addendum to the OECD Guidelines for the Testing of Chemicals.
    (5) Organization for Economic Cooperation and Development. OECD 
Guidelines for Testing of Chemicals. Guideline 403: Acute Inhalation 
Toxicity. Adopted: May 12, 1981.
    (6) Organization for Economic Cooperation and Development. OECD 
Guidelines for Testing of Chemicals. Guideline 420: Acute Oral Toxicity 
Fixed Dose Method. Adopted: July 17, 1992.
    (7) Organization for Economic Cooperation and Development. OECD 
Guidelines for Testing of Chemicals. Guideline 423: Acute Oral Toxicity 
Acute Toxic Class Method. Adopted: March 22, 1996.
    (8) U. S. EPA. Interim Policy for Particle Size and Limit 
Concentration Issues in Inhalation Toxicity Studies. 2/1/94. Health 
Effects Division, Office of Pesticide Programs.

[65 FR 78776, Dec. 15, 2000]



Sec.  799.9135  TSCA acute inhalation toxicity with histopathology.

    (a) Scope. This section is intended to meet the testing requirements 
under section 4 of the Toxic Substances Control Act (TSCA). In the 
assessment and evaluation of the potential human health effects of 
chemical substances, it is appropriate to test for acute inhalation 
toxic effects. The goals of this test are to characterize the exposure-
response relationship for sensitive endpoints following acute exposure 
and to characterize toxicologic response following acute high exposures. 
The

[[Page 337]]

latter is of particular concern in relation to spills and other 
accidental releases. This testing is designed to determine the gross 
pathology and histopathology resulting from acute inhalation exposure to 
a substance. Because toxic effects on the respiratory tract are of 
particular concern following inhalation exposure, several indicators of 
respiratory toxicity consisting of histopathology on fixed tissue and 
evaluation of cellular and biochemical parameters in bronchoalveolar 
lavage fluid should be employed. The respiratory histopathology consists 
of specialized techniques to preserve tissues of the respiratory tract 
in order to allow detailed microscopic examination to identify adverse 
effects of chemical substances on this organ system. The bronchoalveolar 
lavage is designed to be a rapid screening test to provide an early 
indicator of pulmonary toxicity by examining biochemical and cytologic 
endpoints of material from the lungs of animals exposed to potentially 
toxic chemical substances. These acute tests are designed to assess the 
relationship, if any, between the animals' exposure to the test 
substance and to demonstrate relationship between the animals' exposure 
and the incidence and severity of observed abnormalities, including 
gross or histopathologic lesions, body weight changes, effects on 
mortality, and any other toxic effects. These acute tests are not 
intended to provide a complete evaluation of the toxicologic effects of 
a substance, and additional functional and morphological evaluations may 
be necessary to assess completely the potential effects produced by a 
chemical substance. Additional tests may include longer-term exposures, 
or more in-depth evaluation of specific organ systems as indicated by 
signs of toxicity following acute exposure.
    (b) Source. This a new section developed by the United States 
Environmental Protection Agency.
    (c) Definitions. The following definitions apply to this section.
    Aerodynamic diameter (dae) refers to the size of 
particles. It is the diameter of a sphere of unit density that behaves 
aerodynamically (has the same settling velocity in air) as the particle 
of the test substance. It is used to compare particles of different 
size, shape, and density, and to predict where in the respiratory tract 
such particles may be primarily deposited.
    Exposure response is the relationship between the exposure 
concentration and the measured toxic response, whether expressed as a 
group mean standard deviation) in the case of a 
continuous variable or as incidence in the case of a quantal variable. 
This definiton should not preclude the exploration of other dose metrics 
in establishing this relationship.
    Geometric standard deviation (GSD) is a dimensionless number equal 
to the ratio between the mass median aerodynamic diameter (MMAD) and 
either 84% or 16% of the diameter size distribution (e.g., MMAD = 2 
[micro]m; 84% = 4 [micro]m; GSD = 4/2 = 2.0.) The MMAD, together with 
the GSD, describe the particle size distribution of an aerosol. Use of 
the GSD may not be valid for non-lognormally distributed aerosols. (If 
the size distribution deviates from the lognormal, it shall be noted).
    Inhalability is the ratio of the number concentration of particles 
of a certain aerodynamic diameter, dae, that are inspired 
through the nose or mouth to the number concentration of the same 
dae present in the inspired volume of ambient air. In humans, 
inhalability can exceed 15 [micro]m dae, whereas inhalability 
dramatically decreases for particles above 4 [micro]m dae in 
small laboratory animals.
    Lower respiratory tract consists of those structures of the 
respiratory tract below the larynx.
    Mass geometric mean aerodynamic diameter or the mass median 
aerodynamic diameter (MMAD) is the calculated aerodynamic diameter that 
divides the particles of an aerosol (a gaseous suspension of fine liquid 
or solid particles) in half, based on the weight of the particles. By 
weight, 50% of the particles will be larger than the MMAD and 50% of the 
particles will be smaller than the MMAD.
    Particle regional deposition is the fraction of inhaled particles 
that deposits in the specific region of the respiratory tract. The major 
mechanisms of particle deposition in the respiratory tract

[[Page 338]]

include impaction, sedimentation, diffusion, interception, and 
electrostatic precipitation. The deposition mechanism that is dominant 
for a given region depends on the respiratory tract architecture and 
ventilation rate of the species and the aerosol particle size and 
distribution. The respiratory tract in both humans and various 
experimental mammals can be divided into three regions on the basis of 
structure, size, and function:
    (1) The extrathoracic region or upper respiratory tract that 
includes the nose, mouth, nasopharynx, oropharynx, laryngopharynx, and 
larynx.
    (2) The tracheobronchial region that includes the trachea, bronchi, 
and bronchioles (including the terminal bronchioles).
    (3) The alveolar region that includes the respiratory bronchioles 
(if present in the species), alveolar ducts, alveolar sacs, and alveoli.
    Respiratory effects are any adverse effects on the structure or 
functions of the respiratory system related to exposure to a chemical 
substance.
    Target organ is any organ found to be a target of toxicity in the 4-
hour (hr) high concentration group as a result of:
    (1) The initial histopathologic examination (respiratory tract, 
liver, kidney, gross lesions); or
    (2) The retrospective histopathologic examination of archived organs 
triggered by their identification as targets of toxicity in a 90-day 
study.
    Toxic effects are any adverse changes (a change that is 
statistically and biologically significant) in the structure or function 
of an experimental animal as a result of exposure to a chemical 
substance.
    Upper respiratory tract consists of those structures of the 
respiratory tract above and including the larynx.
    (d) Principle of the test method. The test substance shall be 
administered to several groups of experimental animals; one 
concentration level and duration being used per group. Bronchoalveolar 
lavage shall be used to evaluate early effects on the respiratory system 
by examining changes in the content of the lavage fluid of the lung. At 
24 hrs following exposure, the animals shall be sacrificed and 
necropsied, and tissue samples from the respiratory tract and other 
major organs will be prepared for microscopic examination. The exposure 
levels at which significant toxic effects on the respiratory organ 
system are produced are compared to those levels that produce other 
toxic effects. As triggered by the results of the 4-hr test, additional 
exposure periods of 1 hr and 8 hrs will be required to determine the 
effect of exposure time on the toxicity observed. A 1-hr exposure study 
can be elected as an option to provide data suitable for risk assessment 
for very short duration exposures as may occur from chemical releases. 
In the absence of adequate toxicological data for 1-hr exposure, the 
Agency will extrapolate to shorter-term exposures from the 4-hr data on 
the basis of concentration alone. This is a conservative method of 
extrapolation, consistent with general Agency methods for deriving 
criteria for short-term exposure from longer-term studies (a 
concentration x time extrapolation would result in higher concentration 
for a shorter duration).
    (e) Test procedures--(1) Animal selection--(i) Species. In general, 
the laboratory rat and mouse should be used. Under some circumstances, 
other species, such as the hamster or guinea pig, may be more 
appropriate, and if these or other species are used, justification 
should be provided.
    (ii) Strain. If rats and mice are used, the use of the F344 rat and 
the B6C3F1 mouse is preferred to facilitate comparison with existing 
data.
    (iii) Age. Young adults shall be used. The weight variation of 
animals used in a test should not exceed 20% of 
the mean weight for each species.
    (iv) Sex. Equal numbers of animals of each sex shall be used for 
each concentration level. The females shall be nulliparous and 
nonpregnant.
    (v) Health status. Body weight and feed consumption are not 
sufficient indicators of the health status of animals prior to 
initiating an inhalation toxicity study. Prior to initiating the study, 
animals shall be monitored for known viral and bacterial respiratory 
pathogens determined by conventional microbiological assays (e.g., 
serology). The animals shall be free from pathogens at the start of 
exposure.

[[Page 339]]

    (2) Number of animals. At least five males and five females shall be 
used in each concentration/duration and control group. Animals shall be 
randomly assigned to treatment and control groups.
    (3) Control groups. The control group shall be a sham-treated group. 
Except for treatment with the test substance, animals in the control 
group shall be handled in a manner identical to the test-group animals. 
Where a vehicle is used to help generate an appropriate concentration of 
the substance in the atmosphere, a vehicle control group shall be used. 
If the 4- and 8-hr exposure studies are conducted concurrently, a 
concurrent 8-hr sham-exposed control group may serve as the control 
group for both the 4-hr and the 8-hr exposure studies, provided there is 
adequate historical control data showing no changes in histopathology or 
bronchoalveolar lavage of controls exposed for 4 and 8 hrs. Similarly, 
if the optional 1-hr exposure study is conducted concurrently with the 
4- and/or 8-hr study, the concurrent control group for those studies may 
also be used for the 1-hr study, provided adequate historical control 
data show no changes in histopathology or bronchoalveolar lavage between 
controls exposed for these time periods.
    (4) Concentration level and concentration selection. For the 4-hr 
study, at least three concentrations shall be used in addition to the 
control group. Ideally, the data generated from the test should be 
sufficient to produce an exposure-response curve. The concentrations can 
either be linearly or logarithmically spaced depending on the 
anticipated steepness of the concentration-response curve. A rationale 
for concentration selection should be provided to indicate that the 
selected concentrations will maximally support detection of 
concentration-response relationship. The high concentration should be 
clearly toxic or a limit concentration, but should not result in an 
incidence of fatalities that would preclude a meaningful evaluation of 
the data. The lowest concentration should define a no-observed-adverse-
effects level (NOAEL).
    (i) Limit concentration. For aerosols and particles, the high 
concentrations need not be greater than 2 mg/L, or concentrations that 
cannot maintain a particle size distribution having an MMAD between 1 
and 4 [micro]m (i.e., a particle size that permits inhalability and 
deposition throughout the respiratory tract). For fibers, the bivariate 
distribution of length and diameter must ensure inhalability. For gases 
and vapors, the concentrations need not be greater than 50,000 ppm or 
50% of the lower explosive limit, whichever is lower. If a test at an 
aerosol or particulate exposure of 2 mg/L (actual concentration of 
respirable substance) for 4 hrs or, where this is not feasible, the 
maximum attainable concentration, using the procedures described for 
this study, produces no observable toxic effects, then a full study 
using three concentrations will not be necessary. Similarly, if a test 
at a gas or vapor exposure of 50,000 ppm or 50% of the lower explosive 
limit, whichever is lower, produces no observable toxic effects, then a 
full study using three concentrations will not be necessary.
    (ii) 8-hr study and optional 1-hr study. If the 8-hr study is 
triggered, three concentrations shall be tested. These concentrations 
should allow for the determination of an effect level and a NOAEL. If 
the option to perform a 1-hr study is elected, three concentrations 
shall be selected and tested in a similar manner.
    (5) Inhalation exposure. Animals can be exposed to the substance by 
either a nose-only procedure or in a whole-body exposure chamber.
    (i) Inhalation chambers. The animals shall be tested in inhalation 
equipment designed to sustain a dynamic airflow for nose-only exposures 
of at least 300 ml/minute/animal or an airflow for whole-body exposures 
of at least 12 to 15 air changes per hr and ensure an adequate oxygen 
content of at least 19% and an evenly distributed exposure atmosphere. 
Where a whole-body chamber is used, its design shall minimize crowding 
by providing individual caging. As a general rule, to ensure stability 
of a chamber atmosphere, the total ``volume'' of the test animals should 
not exceed 5% of the volume of the test chamber.

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    (ii) Environmental conditions. The temperature at which the test is 
performed shall be maintained at 22 [deg]C ( 2 
[deg]C). Ideally, the relative humidity should be maintained between 40% 
and 60%, but in certain instances (e.g., tests using water as a 
vehicle), this may not be practical.
    (iii) Exposure periodicity. For acute testing, the exposure design 
shall enable 4 hrs of exposure to the target concentrations, as defined 
by an average of 5% for gases and vapors and 
15% for particles and aerosols. If triggered by 
the results of the 4-hr exposure, additional testing shall be conducted 
in a comparable manner using an 8-hr exposure period.
    (6) Physical measurements. Measurements or monitoring shall be made 
of the following:
    (i) Chemical purity of the test material shall be analyzed.
    (ii) The rate of airflow shall be monitored continuously, but shall 
be recorded at least every 30 minutes.
    (iii) The actual concentrations of the test substance shall be 
measured in the breathing zone. During the exposure period, the actual 
concentrations of the test substance shall be held as constant as 
practical, monitored continuously or intermittently depending on the 
method of analysis, and recorded at least at the beginning, at an 
intermediate time, and at the end of the exposure period. Well-
established and published monitoring methods should be used where 
available. If no standard methods are available, then accuracy and 
precision information must be supplied.
    (iv) During the development of the generating system, appropriate 
particle size analysis shall be performed to establish the stability of 
the aerosol. During exposure, analysis should be conducted as often as 
necessary to determine the consistency of particle size distribution. 
The particle size distribution shall have an MMAD between 1 and 4 
[micro]m. The particle size of hygroscopic materials shall be small 
enough when dry to assure that the size of the particle at saturation 
will still have an MMAD between 1 and 4 [micro]m. Characterization for 
fibers shall include the bivariate distribution of length and diameter; 
this distribution must ensure inhalability.
    (v) If the test substance is present in a mixture, the mass and 
composition of the entire mixture, as well as the principal compound, 
shall be measured.
    (vi) Temperature and humidity shall be monitored continuously, but 
shall be recorded at least every 30 minutes.
    (7) Food and water during exposure period. Food shall be withheld 
during exposure. Water may also be withheld in certain cases.
    (8) Observation period. The bronchoalveolar lavage and respiratory 
pathology shall be conducted 24 hrs following exposure to allow 
expression of signs of toxicity. There is concern that some latency time 
will be required to allow migration of cells and macromolecules into the 
lungs following exposure, and that some pathology may require 
macromolecular synthesis or degradation before cell damage develops.
    (9) Gross pathology. (i) All animals shall be subjected to a full 
gross necropsy which includes examination of orifices and the cranial, 
thoracic, and abdominal cavities and their contents.
    (ii) At least the lungs, liver, kidneys, adrenals, brain, and gonads 
shall be weighed wet, as soon as possible after dissection to avoid 
drying.
    (iii) The following organs and tissues, or representative samples 
thereof, shall be preserved in a suitable medium for possible future 
histopathological examination: All gross lesions; brain-including 
sections of medulla/pons; cerebellar cortex and cerebral cortex; 
pituitary; thyroid/parathyroid; thymus; heart; sternum with bone marrow; 
salivary glands; liver; spleen; kidneys; adrenals; pancreas; gonads; 
accessory genital organs (epididymis, prostrate, and, if present, 
seminal vesicles); aorta; skin; gall bladder (if present); esophagus; 
stomach; duodenum; jejunum; ileum; cecum; colon; rectum; urinary 
bladder; representative lymph nodes; thigh musculature; peripheral 
nerve; spinal cord at three levels cervical, midthoracic, and lumbar; 
and eyes. Respiratory tract tissues shall also be preserved in a 
suitable medium.
    (10) Histopathology. The following histopathology shall be 
performed:

[[Page 341]]

    (i) Full histopathology shall be performed on the respiratory tract, 
liver and kidney of all animals in the control and high concentration 
groups. The histopathology of the respiratory tract is described under 
paragraph (e)(11) of this section.
    (ii) All gross lesions which differ from controls in frequency, 
distribution, type, or severity in all concentration groups.
    (iii) Target organs in all animals, as indicated by the observations 
in the high concentration group in this study. Histopathologic 
examination of target organs in animals at all concentration levels 
(rather than only to the extent necessary to define the NOAEL) can 
support the application of exposure-response analyses such as the 
benchmark concentration approach.
    (iv) Archived organs identified as targets of toxicity from results 
of the 90-day study (if a 90-day study is required for this substance) 
should be elevated in high concentration animals of the 4-hr acute study 
to determine if they are also targets of acute toxicity.
    (11) Respiratory tract histopathology. (i) Representative sections 
of the respiratory tract shall be examined histologically. These shall 
include the trachea, major conducting airways, alveolar region, terminal 
and respiratory bronchioles (if present), alveolar ducts and sacs, and 
interstitial tissues.
    (ii) Care shall be taken that the method used to kill the animal 
does not result in damage to the tissues of the upper or lower 
respiratory tract. The lungs shall be infused with a fixative while in 
an inflated state of fixed pressure.
    (iii) The upper respiratory tract shall be examined for 
histopathologic lesions. This examination shall use a minimum of four 
sections located as specified under paragraphs (e)(11)(iii)(A) through 
(e)(11)(iii)(D) of this section. An evaluation of the nasal vestibule 
shall be conducted. The method described by the reference under 
paragraph (h)(11) of this section should be given consideration. The use 
of additional sections shall be left to the discretion of the study 
pathologist, but consideration should be given to additional sections as 
recommended in the reference under paragraph (h)(8) of this section to 
ensure adequate evaluation of the entire upper respiratory tract, 
particularly the nasopharyngeal meatus. The following transverse 
sections shall be examined:
    (A) Immediately posterior to the upper incisor teeth.
    (B) At the incisor papilla.
    (C) At the second palatal ridge.
    (D) At the level of the first upper molar teeth.
    (iv) The laryngeal mucosa shall be examined for histopathologic 
changes. Sections of the larynx to be examined include the epithelium 
covering the base of the epiglottis, the ventral pouch, and the medial 
surfaces of the vocal processes of the arytenoid cartilages.
    (12) Bronchoalveolar lavage. (i) Animals can be exposed to the 
substance by either a nose-only procedure or in a whole-body exposure 
chamber.
    (ii) Care should be taken that the method used to kill the animal 
results in minimum changes in the fluid of the lungs of the test 
animals.
    (iii) At the appropriate time, the test animals shall be killed and 
the heart-lung including trachea removed in bloc. Alternatively, lungs 
can be lavaged in situ. If the study will not be compromised, one lobe 
of the lungs may be used for lung lavage while the other is fixed for 
histologic evaluation. The lungs should be lavaged using physiological 
saline. The lavages shall consist of two washes, each of which consists 
of approximately 80% (e.g., 5 ml in rats and 1 ml in mice) of the total 
lung volume. Additional washes merely tend to reduce the concentrations 
of the material collected. The lung lavage fluid shall be stored on ice 
at 5 [deg]C until assayed.
    (iv) The following parameters shall be determined in the lavage 
fluid as indicators of cellular damage in the lungs: total protein, cell 
count, and percent leukocytes. In addition, a phagocytosis assay shall 
be performed to determine macrophage activity. Assay methods described 
in the references under paragraphs (h)(1) and (h)(3) of this section may 
be used.
    (13) Combined protocol. The tests described may be combined with any 
other toxicity study, as long as none of

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the requirements of either are violated by the combination.
    (f) Triggered testing. If no adverse effects are seen in the 4-hr 
study as compared with controls, no further testing is necessary. If the 
4-hr study shows positive effects in histopathology or the 
bronchoalveolar lavage, an 8-hr study shall be conducted. Only those 
tissues showing positive results in the 4-hr study must be pursued in 
the follow-up 8-hr study. Similarly, if the option to perform a 1-hr 
study is exercised, only those tissues showing positive results in the 
4-hr study shall be pursued.
    (g) Data reporting and evaluation. The final test report shall 
include the following information:
    (1) Description of equipment and test methods. A description of the 
general design of the experiment and any equipment used shall be 
provided.
    (i) Description of exposure apparatus, including design, type, 
dimensions, source of air, system for generating particles, aerosols, 
gasses, and vapors, method of conditioning air, treatment of exhaust 
air, and the method of housing animals in a test chamber.
    (ii) Description of the equipment for measuring temperature, 
humidity, and particulate aerosol concentration and size.
    (iii) Exposure data shall be tabulated and presented with mean 
values and measure of variability (e.g., standard deviation) and should 
include:
    (A) Chemical purity of the test material.
    (B) Airflow rates through the inhalation equipment.
    (C) Temperature and humidity of air.
    (D) Nominal concentration (total amount of test substance fed into 
the inhalation equipment divided by the volume of air).
    (E) Actual concentration in test breathing zone.
    (F) Particle size distribution (e.g., MMAD with GSD) and the 
bivariate distribution of fiber length and diameter, where appropriate.
    (2) Results--(i) General group animal data. The following 
information shall be arranged by test group exposure level.
    (A) Number of animals exposed.
    (B) Number of animals dying.
    (C) Number of animals showing overt signs of toxicity.
    (D) Pre- and post-exposure body weight change in animals, and weight 
change during the observation period.
    (ii) Counts and incidence of gross alterations observed at necropsy 
in the test and control groups. Data shall be tabulated to show:
    (A) The number of animals used in each group and the number of 
animals in which any gross lesions were found.
    (B) The number of animals affected by each different type of lesion, 
and the locations and frequency of each type of lesion.
    (iii) Counts and incidence of general histologic alterations in the 
test group. Data shall be tabulated to show:
    (A) The number of animals used in each group and the number of 
animals in which any histopathologic lesions were found.
    (B) The number of animals affected by each different type of lesion, 
and the locations, frequency, and average grade of each type of lesion.
    (iv) Counts and incidence of respiratory histopathologic alterations 
by the test group. Data shall be tabulated to show:
    (A) The number of animals used in each group and the number of 
animals in which any histopathologic lesions were found.
    (B) The number of animals affected by each different type of lesion, 
and the locations, frequency, and average grade of each type of lesion.
    (v) Results of the bronchoalveolar lavage study. Data shall be 
tabulated to show:
    (A) The amount of administered lavage fluid and recovered lavage 
fluid for each test animal.
    (B) The magnitude of change of biochemical and cytologic indices in 
lavage fluids at each test concentration for each animal.
    (C) Results shall be quantified as amount of constituent/mL of 
lavage fluid. This assumes that the amount of lavage fluid recovered is 
a representative sample of the total lavage fluid.
    (3) Evaluation of data. The findings from this acute study should be 
evaluated in the context of preceding and/or concurrent toxicity studies 
and any correlated functional findings. The

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evaluation shall include the relationship between the concentrations of 
the test substance and the presence or absence, incidence, and severity 
of any effects. The evaluation should include appropriate statistical 
analyses, for example, parametric tests for continuous data and non-
parametric tests for the remainder. Choice of analyses should consider 
tests appropriate to the experimental design, including repeated 
measures. The report must include concentration-response curves for the 
bronchoalveolar lavage and tables reporting observations at each 
concentration level for necropsy findings and gross, general, and 
respiratory system histopathology.
    (h) Reference. For additional background information on this test 
guideline, the following references should be consulted. These 
references are available for inspection at the TSCA Nonconfidential 
Information Center, Rm. NE-B607, Environmental Protection Agency, 401 M 
St., SW., Washington, DC, 12 noon to 4 p.m., Monday through Friday, 
except legal holidays.
    (1) Burleson, G.R., Fuller, L.B., M[eacute]nache, M.G., and Graham, 
J.A. Poly (I): poly (C)-enhanced alveolar peritoneal macrophage 
phagocytosis: Quantification by a new method utilizing fluorescent 
beads. Proceedings of the Society of Experimental Biology and Medicine. 
184:468-476 (1987).
    (2) Gardner, D.E., Crapo, J.D., and McClellan, R.O. (Eds.) 
Toxicology of the Lung. (Raven Press, New York, 1993) pp. i-xii, 1-30.
    (3) Gilmour, G.I., and Selgrade, M.K. A comparison of the pulmonary 
defenses against streptococcal infection in rats and mice following O3 
exposure: Differences in disease susceptibility and neutrophil 
recruitment. Toxicology and Applied Pharmacology. 123:211-218 (1993).
    (4) Henderson, R.F., Benson, J.M., Hahn, F.F., Hobbs, C.H., Jones, 
R.K., Mauderly, J.L., McClellan, R.O., and Pickrell, J.A. New approaches 
for the evaluation of pulmonary toxicity: Bronchoalveolar lavage fluid 
analysis. Fundamental and Applied Toxicology. 5:451-458 (1985).
    (5) Henderson, R.F. Use of bronchoalveolar lavage to detect lung 
damage. Environmental Health Perspectives. 56:115-129 (1984).
    (6) Henderson, R.F., Rebar, A.H., Pickrell, J.A., and Newton, G.J. 
Early damage indicators in the lung. III. Biochemical and cytological 
response of the lung to inhaled metal salts. Toxicology and Applied 
Pharmacology. 50:123-136 (1979).
    (7) McClellan, R.O. and Henderson, R.F. (Eds.) Second edition. 
Concepts in Inhalation Toxicology. (Taylor and Francis, Washington, DC, 
1995) pp.i-xxiv, 1-24, 441-470.
    (8) Mery, S., Gross, E.A., Joyner, D.R., Godo, M., and Morgan, K.T. 
Nasal Diagrams: A Tool for Recording the Distribution of Nasal Lesions 
in Rats and Mice. Toxicologic Pathology. 22:353-372 (1994).
    (9) Phalen, R.F. (Ed) Methods in Inhalation Toxicology. (CRC Press, 
Boca Raton, FL, 1997) pp. i-xii, 1-12.
    (10) Renne, R.A., Gideon, K.M., Miller, R.A., Mellick, P.W., and 
Grumbein, S.L. Histologic methods and interspecies variations in the 
laryngeal histology of F344/N rats and B6C3F1 mice. Toxicology and 
Pathology. 20:44-51 (1992).
    (11) Young, J.T. Histopathologic examination of the rat nasal 
cavity. Fundamental and Applied Toxicology. 1:309-312 (1981).



Sec.  799.9305  TSCA Repeated dose 28-day oral toxicity study in rodents.

    (a) Scope--(1) Applicability. This section is intended to meet 
testing requirements of the Toxic Substances Control Act (TSCA) (15 
U.S.C. 2601).
    (2) Source. The source material used in developing this TSCA test 
guideline is the Office of Prevention, Pesticides and Toxic Substances 
(OPPTS) harmonized test guideline 870.3050 (July 2000, final 
guidelines). This source is available at the address in paragraph (h) of 
this section.
    (b) Purpose. (1) In the assessment and evaluation of the toxic 
characteristics of a chemical, the determination of oral toxicity using 
repeated doses may be carried out after initial information on toxicity 
has been obtained by acute testing. This study provides information on 
the possible health hazards likely to arise from repeated exposure over 
a relatively limited period of time. The method comprises the basic

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repeated dose toxicity study that may be used for chemicals on which a 
90-day study is not warranted (e.g., when the production volume does not 
exceed certain limits) or as a preliminary to a long term study. The 
duration of exposure should normally be 28 days although a 14-day study 
may be appropriate in certain circumstances; justification for use of a 
14-day exposure period should be provided.
    (2) This section places emphasis on neurological effects as a 
specific endpoint, and the need for careful clinical observations of the 
animals, so as to obtain as much information as possible, is stressed. 
The method should identify chemicals with neurotoxic potential, which 
may warrant further in-depth investigation of this aspect. In addition, 
the method may give an indication of immunological effects and 
reproductive organ toxicity.
    (c) Definitions. The definitions in section 3 of TSCA and in 40 CFR 
Part 792--Good Laboratory Practice Standards apply to this section. The 
following definitions also apply to this section.
    Dosage is a general term comprising of dose, its frequency and the 
duration of dosing.
    Dose is the amount of test substance administered. Dose is expressed 
as weight (g, mg) or as weight of test substance per unit weight of test 
animal (e.g., mg/kg), or as constant dietary concentrations (parts per 
million (ppm)).
    No-observed-effects level (NOEL) is the maximum dose used in a study 
which produces no adverse effects. The NOEL is usually expressed in 
terms of the weight of a test substance given daily per unit weight of 
test animals (milligrams per kilograms per day).
    (d) Principle of the test. The test substance is orally administered 
daily in graduated doses to several groups of experimental animals, one 
dose level per group for a period of 28 days. During the period of 
administration the animals are observed closely, each day for signs of 
toxicity. Animals which die or are sacrificed during the test are 
necropsied and at the conclusion of the test surviving animals are 
sacrificed and necropsied.
    (e) Description of the method--(1) Selection of animal species. The 
preferred rodent species is the rat, although other rodent species may 
be used. Commonly used laboratory strains of young healthy adult animals 
should be employed. The females should be nulliparous and non-pregnant. 
Dosing should begin as soon as possible after weaning and, in any case, 
before the animals are 9 weeks old. At the commencement of the study the 
weight variation of animals used should be minimal and not exceed 20% of the mean weight of each sex. Where a repeated 
dose oral study is conducted as a preliminary to a long term study, 
preferably animals from the same strain and source should be used in 
both studies.
    (2) Housing and feeding conditions. The temperature in the 
experimental animal room should be 22 [deg]C (3 
[deg]C). Although the relative humidity should be at least 30% and 
preferably not to exceed 70% other than during room cleaning, the aim 
should be 50-60%. Lighting should be artificial, the sequence being 12 
hours light, 12 hours dark. For feeding, conventional laboratory diets 
may be used with an unlimited supply of drinking water. The choice of 
diet may be influenced by the need to ensure a suitable admixture of a 
test substance when administered by this method. Animals may be housed 
individually, or be caged in small groups of the same sex; for group 
caging, no more than five animals should be housed per cage.
    (3) Preparation of animals. Healthy young adult animals must be 
randomly assigned to the control and treatment groups. Cages should be 
arranged in such a way that possible effects due to cage placement are 
minimized. The animals are identified uniquely and kept in their cages 
for at least 5 days prior to the start of the study to allow for 
acclimatization to the laboratory conditions.
    (4) Preparation of doses. (i) The test compound must be administered 
by gavage or via the diet or drinking water. The method of oral 
administration is dependent on the purpose of the study, and the 
physical/chemical properties of the test material.
    (ii) Where necessary, the test substance is dissolved or suspended 
in a suitable vehicle. It is recommended that, wherever possible, the 
use of an

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aqueous solution/suspension be considered first, followed by 
consideration of a solution/emulsion in oil (e.g., corn oil) and then by 
possible solution in other vehicles. For vehicles other than water the 
toxic characteristics of the vehicle must be known. The stability of the 
test substance in the vehicle should be determined.
    (f) Procedure--(1)Number and sex of animals. At least 10 animals 
(five female and five male) should be used at each dose level. If 
interim sacrifices are planned, the number should be increased by the 
number of animals scheduled to be sacrificed before the completion of 
the study. Consideration should be given to an additional satellite 
group of 10 animals (five per sex) in the control and in the top dose 
group for observation of reversibility, persistence, or delayed 
occurrence of toxic effects, for at least 14 days post treatment.
    (2) Dosage. (i) Generally, at least three test groups and a control 
group should be used, but if from assessment of other data, no effects 
would be expected at a dose of 1000 mg/kg bodyweight/per day, a limit 
test may be performed. If there are no suitable data available, a range 
finding study may be performed to aid the determination of the doses to 
be used. Except for treatment with the test substance, animals in the 
control group should be handled in an identical manner to the test group 
subjects. If a vehicle is used in administering the test substance, the 
control group should receive the vehicle in the highest volume used.
    (ii) Dose levels should be selected taking into account any existing 
toxicity and (toxico-) kinetic data available for the test compound or 
related materials. The highest dose level should be chosen with the aim 
of inducing toxic effects but not death or severe suffering. Thereafter, 
a descending sequence of dose levels should be selected with a view to 
demonstrating any dosage related response and NOEL at the lowest dose 
level. Two to four fold intervals are frequently optimal for setting the 
descending dose levels and addition of a fourth test group is often 
preferable to using very large intervals (e.g., more than a factor of 
10) between dosages.
    (3) Limit test. If a test at one dose level of at least 1000 mg/kg 
body weight/day or, for dietary or drinking water administration, an 
equivalent percentage in the diet, or drinking water (based upon body 
weight determinations), using the procedures described for this study, 
produces no observable toxic effects and if toxicity would not be 
expected based upon data from structurally related compounds, then a 
full study using three dose levels may not be considered necessary. The 
limit test applies except when human exposure indicates the need for a 
higher dose level to be used.
    (4) Administration of doses. (i) The animals are dosed with the test 
substance daily 7 days each week for a period of 28 days; use of a 5-day 
per week dosing regime or a 14-day exposure period needs to be 
justified. When the test substance is administered by gavage, this 
should be done in a single dose to the animals using a stomach tube or a 
suitable intubation cannula. The maximum volume of liquid that can be 
administered at one time depends on the size of the test animal. The 
volume should not exceed 1ml/100g body weight, except in the case of 
aqueous solutions where 2ml/100g body weight may be used. Except for 
irritating or corrosive substances which will normally reveal 
exacerbated effects with higher concentrations, variability in test 
volume should be minimized by adjusting the concentration to ensure a 
constant volume at all dose levels.
    (ii) For substances administered via the diet or drinking water it 
is important to ensure that the quantities of the test substance 
involved do not interfere with normal nutrition or water balance. When 
the test substance is administered in the diet either a constant dietary 
concentration (parts per million (ppm)) or a constant dose level in 
terms of the animals' body weight may be used; the alternative used must 
be specified. For a substance administered by gavage, the dose should be 
given at similar times each day, and adjusted as necessary to maintain a 
constant dose level in terms of animal body weight. Where a repeated 
dose study is used as a preliminary to a long term study, a similar diet 
should be used in both studies.

[[Page 346]]

    (5) Observations. (i) The observation period should be 28 days, 
unless the study duration is 14 days (see paragraph (b)(1) of this 
section). Animals in a satellite group scheduled for follow-up 
observations should be kept for at least a further 14 days without 
treatment to detect delayed occurrence, or persistence of, or recovery 
from toxic effects.
    (ii) General clinical observations should be made at least once a 
day, preferably at the same time(s) each day and considering the peak 
period of anticipated effects after dosing. The health condition of the 
animals should be recorded. At least twice daily, all animals are 
observed for morbidity and mortality.
    (iii) Once before the first exposure (to allow for within-subject 
comparisons), and at least once a week thereafter, detailed clinical 
observations should be made in all animals. These observations should be 
made outside the home cage in a standard arena and preferably at the 
same time, each time. They should be carefully recorded, preferably 
using scoring systems, explicitly defined by the testing laboratory. 
Effort should be made to ensure that variations in the test conditions 
are minimal and that observations are preferably conducted by observers 
unaware of the treatment. Signs noted should include, but not be limited 
to, changes in skin, fur, eyes, mucous membranes, occurrence of 
secretions and excretions and autonomic activity (e.g., lacrimation, 
piloerection, pupil size, unusual respiratory pattern). Changes in gait, 
posture and response to handling as well as the presence of clonic or 
tonic movements, stereotypies (e.g., excessive grooming, repetitive 
circling) or bizarre behaviour (e.g., self-mutilation, walking 
backwards) should also be recorded.
    (iv) In the fourth exposure week sensory reactivity to stimuli of 
different types (see paragraph (h)(2) of this section) (e.g., auditory, 
visual and proprioceptive stimuli), assessment of grip strength and 
motor activity assessment should be conducted. Further details of the 
procedures that could be followed are given in the respective 
references. However, alternative procedures than those referenced could 
also be used. Examples of procedures for observation are described in 
the references in paragraphs (h)(1), (h)(2), (h)(3), (h)(4), and (h)(5) 
of this section.
    (v) Functional observations conducted in the fourth exposure week 
may be omitted when the study is conducted as a preliminary study to a 
subsequent subchronic (90-day) study. In that case, the functional 
observations should be included in this follow-up study. On the other 
hand, the availability of data on functional observations from the 
repeated dose study may enhance the ability to select dose levels for a 
subsequent subchronic study.
    (vi) Exceptionally, functional observations may also be omitted for 
groups that otherwise reveal signs of toxicity to an extent that would 
significantly interfere with the functional test performance.
    (6) Body weight and food/water consumption. All animals should be 
weighed at least once a week. Measurements of food consumption should be 
made at least weekly. If the test substance is administered via the 
drinking water, water consumption should also be measured at least 
weekly.
    (7) Hematology. (i) The following hematological examinations should 
be made at the end of the test period: hematocrit, hemoglobin 
concentration, erythrocyte count, total and differential leukocyte 
count, platelet count and a measure of blood clotting time/potential.
    (ii) Blood samples should be taken from a named site just prior to 
or as part of the procedure for sacrificing the animals, and stored 
under appropriate conditions.
    (8) Clinical Biochemistry. (i) Clinical biochemistry determinations 
to investigate major toxic effects in tissues and, specifically, effects 
on kidney and liver, should be performed on blood samples obtained of 
all animals just prior to or as part of the procedure for sacrificing 
the animals (apart from those found moribund and/or intercurrently 
sacrificed). Overnight fasting of the animals prior to blood sampling is

[[Page 347]]

recommended.\1\ Investigations of plasma or serum shall include sodium, 
potassium, glucose, total cholesterol, urea, creatinine, total protein 
and albumin, at least two enzymes indicative of hepatocellular effects 
(such as alanine aminotransferase, aspartate aminotransferase, alkaline 
phosphatase, gamma glutamyl transpeptidase, and sorbitol dehydrogenase). 
Measurements of additional enzymes (of hepatic or other origin) and bile 
acids may provide useful information under certain circumstances.
---------------------------------------------------------------------------

    \1\ For a number of measurements in serum and plasma, most notably 
for glucose, overnight fasting would be preferable. The major reason for 
this preference is that the increased variability which would inevitably 
result from non-fasting, would tend to mask more subtle effects and make 
interpretation difficult. On the other hand, however, overnight fasting 
may interfere with the general metabolism of the animals and, 
particularly in feeding studies, may disturb the daily exposure to the 
test substance. If overnight fasting is adopted, clinical biochemical 
determinations should be performed after the conduct of functional 
observations in week 4 of the study.
---------------------------------------------------------------------------

    (ii) Optionally, the following urinalysis determinations could be 
performed during the last week of the study using timed urine volume 
collection; appearance, volume, osmolality or specific gravity, pH, 
protein, glucose and blood and blood cells.
    (iii) In addition, studies to investigate serum markers of general 
tissue damage should be considered. Other determinations that should be 
carried out if the known properties of the test substance may, or are 
suspected to, affect related metabolic profiles include calcium, 
phosphate, fasting triglycerides, specific hormones, methemoglobin and 
cholinesterase. These must to be identified for chemicals in certain 
classes or on a case-by-case basis.
    (iv) Overall, there is a need for a flexible approach, depending on 
the species and the observed and/or expected effect with a given 
compound.
    (v) If historical baseline data are inadequate, consideration should 
be given to determination of hematological and clinical biochemistry 
variables before dosing commences.
    (9) Pathology--(i)Gross necropsy. (A) All animals in the study must 
be subjected to a full, detailed gross necropsy which includes careful 
examination of the external surface of the body, all orifices, and the 
cranial, thoracic and abdominal cavities and their contents. The liver, 
kidneys, adrenals, testes, epididymides, thymus, spleen, brain and heart 
of all animals (apart from those found moribund and/or intercurrently 
sacrificed) should be trimmed of any adherent tissue, as appropriate, 
and their wet weight taken as soon as possible after dissection to avoid 
drying.
    (B) The following tissues should be preserved in the most 
appropriate fixation medium for both the type of tissue and the intended 
subsequent histopathological examination: all gross lesions, brain 
(representative regions including cerebrum, cerebellum and pons), spinal 
cord, stomach, small and large intestines (including Peyer's patches), 
liver, kidneys, adrenals, spleen, heart, thymus, thyroid, trachea and 
lungs (preserved by inflation with fixative and then immersion), 
ovaries, uterus, testes, epididymides, accessory sex organs (e.g., 
prostate, seminal vesicles), urinary bladder, lymph nodes (preferably 
one lymph node covering the route of administration and another one 
distant from the route of administration to cover systemic effects), 
peripheral nerve (sciatic or tibial) preferably in close proximity to 
the muscle, and a section of bone marrow (or, alternatively, a fresh 
mounted bone marrow aspirate). The clinical and other findings may 
suggest the need to examine additional tissues. Also any organs 
considered likely to be target organs based on the known properties of 
the test substance should be preserved.
    (ii) Histopathology. (A) Full histopathology should be carried out 
on the preserved organs and tissues of all animals in the control and 
high dose groups. These examinations should be extended to animals of 
all other dosage groups, if treatment-related changes are observed in 
the high dose group.
    (B) All gross lesions must be examined.

[[Page 348]]

    (C) When a satellite group is used, histopathology should be 
performed on tissues and organs identified as showing effects in the 
treated groups.
    (g) Data and reporting--(1) Data. (i) Individual data should be 
provided. Additionally, all data should be summarized in tabular form 
showing for each test group the number of animals at the start of the 
test, the number of animals found dead during the test or sacrificed for 
humane reasons and the time of any death or humane sacrifice, the number 
showing signs of toxicity, a description of the signs of toxicity 
observed, including time of onset, duration, and severity of any toxic 
effects, the number of animals showing lesions, the type of lesions and 
the percentage of animals displaying each type of lesion.
    (ii) When possible, numerical results should be evaluated by an 
appropriate and generally acceptable statistical method. The statistical 
methods should be selected during the design of the study.
    (2) Test report. The test report must include the following 
information:
    (i) Test substance:
    (A) Physical nature, purity and physicochemical properties.
    (B) Identification data.
    (ii) Vehicle (if appropriate): Justification for choice of vehicle, 
if other than water.
    (iii) Test animals:
    (A) Species/strain used.
    (B) Number, age and sex of animals.
    (C) Source, housing conditions, diet, etc.
    (D) Individual weights of animals at the start of the test.
    (iv) Test conditions:
    (A) Rationale for dose level selection.
    (B) Details of test substance formulation/diet preparation, achieved 
concentration, stability and homogeneity of the preparation.
    (C) Details of the administration of the test substance.
    (D) Conversion from diet/drinking water test substance concentration 
(parts per million (ppm)) to the actual dose (mg/kg body weight/day), if 
applicable.
    (E) Details of food and water quality.
    (v) Results:
    (A) Body weight/body weight changes.
    (B) Food consumption, and water consumption, if applicable.
    (C) Toxic response data by sex and dose level, including signs of 
toxicity.
    (D) Nature, severity and duration of clinical observations (whether 
reversible or not).
    (E) Sensory activity, grip strength and motor activity assessments.
    (F) Hematological tests with relevant base-line values.
    (G) Clinical biochemistry tests with relevant base-line values.
    (H) Body weight at sacrificing and organ weight data.
    (I) Necropsy findings.
    (J) A detailed description of all histopathological findings.
    (K) Absorption data if available.
    (L) Statistical treatment of results, where appropriate.
    (vi) Discussion of results.
    (vii) Conclusions.
    (h) References. For additional background information on this test 
guideline, the following references should be consulted. These 
references are available for inspection at the TSCA Nonconfidential 
Information Center, Rm. NE-B607, Environmental Protection Agency, 401 M 
St., SW., Washington, DC, 12 noon to 4 p.m., Monday through Friday, 
except legal holidays.
    (1) Tupper, D.E., Wallace, R.B. (1980). Utility of the Neurologic 
Examination in Rats. Acta Neurobiological Exposure, 40:999-1003.
    (2) Gad, S.C. (1982). A Neuromuscular Screen for Use in Industrial 
Toxicology. Journal of Toxicology and Environmental Health, 9:691-704.
    (3) Moser, V.C., McDaniel, K.M., Phillips, P.M. (1991). Rat Strain 
and Stock Comparisons Using a Functional Observational Battery: Baseline 
Values and Effects of Amitraz. Toxicology and Applied Pharmacology, 
108:267-283.
    (4) Meyer O.A., Tilson H.A., Byrd W.C., Riley M.T. (1979). A Method 
forthe Routine Assessment of Fore- and Hindlimb Grip Strength of Rats 
and Mice. Neurobehavioral Toxicology, 1:233-236.
    (5) Crofton K.M., Howard J.L., Moser V.C., Gill M.W., Reiter L.W., 
Tilson

[[Page 349]]

H.A., MacPhail R.C. (1991). Interlaboratory Comparison of Motor Activity 
Experiments: Implication for Neurotoxicological Assessments. 
Neurotoxicology and Teratology, 13:599-609.

[65 FR 78780, Dec. 15, 2000]



Sec.  799.9310  TSCA 90-day oral toxicity in rodents.

    (a) Scope. This section is intended to meet the testing requirements 
under section 4 of the Toxic Substances Control Act (TSCA). In the 
assessment and evaluation of the toxic characteristics of a chemical, 
the determination of subchronic oral toxicity may be carried out after 
initial information on toxicity has been obtained by acute testing. The 
subchronic oral study has been designed to permit the determination of 
the no-observed-effects level (NOEL) and toxic effects associated with 
continuous or repeated exposure to a test substance for a period of 90 
days. This study is not capable of determining those effects that have a 
long latency period for development (e.g., carcinogenicity and life 
shortening). Extrapolation from the results of this study to humans is 
valid only to a limited degree. However, it can useful in providing 
information on health hazards likely to arise from repeated exposure by 
the oral route over a limited period of time, such as target organs, the 
possibilities of accumulation, and can be of use in selecting dose 
levels for chronic studies and for establishing safety criteria for 
human exposure.
    (b) Source. The source material used in developing this TSCA test 
guideline is the Office of Prevention, Pesticides, and Toxic Substances 
(OPPTS) harmonized test guideline 870.3100 (August 1998, final 
guideline). This source is available at the address in paragraph (h) of 
this section.
    (c) Definitions. The following definitions apply to this section.
    Cumulative toxicity is the adverse effects of repeated doses 
occurring as a result of prolonged action on, or increased concentration 
of, the administered test substance or its metabolites in susceptible 
tissue.
    Dose in a subchronic oral study is the amount of test substance 
administered daily via the oral route (gavage, drinking water or diet) 
for a period of 90 days. Dose is expressed as weight of the test 
substance (grams, milligrams) per unit body weight of test animal 
(milligram per kilogram) or as weight of the test substance in parts per 
million in food or drinking water per day.
    No-observed-effects level (NOEL) is the maximum dose used in a study 
which produces no adverse effects. The NOEL is usually expressed in 
terms of the weight of a test substance given daily per unit weight of 
test animal (milligrams per kilogram per day).
    Subchronic oral toxicity is the adverse effects occurring as a 
result of the repeated daily exposure of experimental animals to a 
chemical by the oral route for a part (approximately 10%) of the test 
animal's life span.
    Target organ is any organ of a test animal showing evidence of an 
effect induced by a test substance.
    (d) Limit test. If a test at one dose level of at least 1,000 mg/kg 
body weight (expected human exposure may indicate the need for a higher 
dose level), using the procedures described for this study, produces no 
observable toxic effects or if toxic effects would not be expected based 
upon data of structurally related compounds, then a full study using 
three dose levels might not be necessary.
    (e) Test procedures--(1) Animal selection--(i) Species and strain. A 
variety of rodent species may be used, although the rat is the preferred 
species. Commonly used laboratory strains must be employed.
    (ii) Age/weight. (A) Testing should be started with young healthy 
animals as soon as possible after weaning and acclimatization.
    (B) Dosing of rodents should generally begin no later than 8-9 weeks 
of age.
    (C) At the commencement of the study the weight variation of animals 
used must be within 20% of the mean weight for each sex.
    (iii) Sex. Equal numbers of animals of each sex must be used at each 
dose level, and the females shall be nulliparous and nonpregnant.
    (iv) Numbers. (A) At least 20 rodents (10 males and 10 females) at 
each dose level.

[[Page 350]]

    (B) If interim sacrifices are planned, the number must be increased 
by the number of animals scheduled to be sacrificed before the 
completion of the study.
    (C) To avoid bias, the use of adequate randomization procedures for 
the proper allocation of animals to test and control groups is required.
    (D) Each animal must be assigned a unique identification number. 
Dead animals, their preserved organs and tissues, and microscopic slides 
must be identified by reference to the animal's unique number.
    (v) Husbandry. (A) Animals may be group-caged by sex, but the number 
of animals per cage must not interfere with clear observation of each 
animal. The biological properties of the test substance or toxic effects 
(e.g., morbidity, excitability) may indicate a need for individual 
caging.
    (B) The temperature of the experimental animal rooms should be at 22 
3 [deg]C.
    (C) The relative humidity of the experimental animal rooms should be 
50 20%.
    (D) Where lighting is artificial, the sequence should be 12 hours 
light/12 hours dark.
    (E) Control and test animals must be fed from the same batch and 
lot. The feed should be analyzed to assure adequacy of nutritional 
requirements of the species tested and for impurities that might 
influence the outcome of the test. For feeding, conventional laboratory 
diets may be used with an unlimited supply of drinking water.
    (F) The study should not be initiated until animals have been 
allowed a period of acclimatization/quarantine to environmental 
conditions, nor should animals from outside sources be placed on test 
without an adequate period of quarantine. An acclimation period of at 
least five days is recommended.
    (2) Control and test substances. (i) Where necessary, the test 
substance is dissolved or suspended in a suitable vehicle. If a vehicle 
or diluent is needed, the vehicle should not elicit toxic effects or 
substantially alter the chemical or toxicological properties of the test 
substance. It is recommended that wherever possible the usage of an 
aqueous solution be considered first, followed by consideration of a 
solution in oil and then solution in other vehicles.
    (ii) If possible, one lot of the test substance tested should be 
used throughout the duration of the study and the research sample should 
be stored under conditions that maintain its purity and stability. Prior 
to the initiation of the study, there should be a characterization of 
the test substance, including the purity of the test compound and, if 
technically feasible, the names and quantities of contaminants and 
impurities.
    (iii) If the test or control substance is to be incorporated into 
feed or another vehicle, the period during which the test substance is 
stable in such a mixture should be determined prior to the initiation of 
the study. Its homogeneity and concentration should be determined prior 
to the initiation of the study and periodically during the study. 
Statistically randomized samples of the mixture should be analyzed to 
ensure that proper mixing, formulation, and storage procedures are being 
followed, and that the appropriate concentration of the test or control 
substance is contained in the mixture.
    (3) Control groups. A concurrent control group is required. This 
group must be an untreated or sham-treated control group or, if a 
vehicle is used in administering the test substance, a vehicle control 
group. If the toxic properties of the vehicle are not known or cannot be 
made available, both untreated and vehicle control groups are required.
    (4) Satellite group. A satellite group of 20 animals (10 animals per 
sex) may be treated with the high dose level for 90 days and observed 
for reversibility, persistence, or delayed occurrence of toxic effects 
for a post-treatment period of appropriate length, normally not less 
than 28 days. In addition, a control group of 20 animals (10 animals of 
each sex) should be added to the satellite study.
    (5) Dose levels and dose selection. (i) In subchronic toxicity 
tests, it is desirable to determine a dose-response relationship as well 
as a NOEL. Therefore, at least three dose levels plus a control and, 
where appropriate, a vehicle control (corresponding to the concentration 
of vehicle at the highest dose

[[Page 351]]

level) must be used. Doses should be spaced appropriately to produce 
test groups with a range of toxic effects. The data should be sufficient 
to produce a dose-response curve.
    (ii) The highest dose level should result in toxic effects but not 
produce an incidence of fatalities which would prevent a meaningful 
evaluation.
    (iii) The intermediate dose levels should be spaced to produce a 
gradation of toxic effects.
    (iv) The lowest dose level should produce no evidence of toxicity.
    (6) Administration of the test substance. (i) If the test substance 
is administered by gavage, the animals are dosed with the test substance 
on a 7-day per week basis for a period of at least 90 days. However, 
based primarily on practical considerations, dosing by gavage on a 5-day 
per week basis is acceptable. If the test substance is administered in 
the drinking water, or mixed in the diet, then exposure should be on a 
7-day per week basis.
    (ii) All animals must be dosed by the same method during the entire 
experimental period.
    (iii) For substances of low toxicity, it is important to ensure that 
when administered in the diet the quantities of the test substance 
involved do not interfere with normal nutrition. When the test substance 
is administered in the diet, either a constant dietary concentration 
(parts per million) or a constant dose level in terms of body weight 
should be used; the alternative used should be specified.
    (iv) For a substance administered by gavage, the dose should be 
given at approximately the same time each day, and adjusted at intervals 
(weekly or biweekly) to maintain a constant dose level in terms of body 
weight.
    (7) Observation period. (i) The animals must be observed for a 
period of 90 days.
    (ii) Animals in the satellite group (if used) scheduled for follow-
up observations should be kept for at least 28 days further without 
treatment to detect recovery from, or persistence of, toxic effects.
    (8) Observation of animals. (i) Observations must be made at least 
twice each day for morbidity and mortality. Appropriate actions should 
be taken to minimize loss of animals to the study (e.g., necropsy or 
refrigeration of those animals found dead and isolation or sacrifice of 
weak or moribund animals). General clinical observations should be made 
at least once a day, preferably at the same time each day, taking into 
consideration the peak period of anticipated effects after dosing. The 
clinical condition of the animal should be recorded.
    (ii) A careful clinical examination must be made at least once 
weekly. Observations should be detailed and carefully recorded, 
preferably using explicity defined scales. Observations should include, 
but not be limited to, evaluation of skin and fur, eyes and mucous 
membranes, respiratory and circulatory effects, autonomic effects such 
as salivation, central nervous system effects, including tremors and 
convulsions, changes in the level of activity, gait and posture, 
reactivity to handling or sensory stimuli, altered strength, and 
stereotypes or bizarre behavior (e.g., self-mutilation, walking 
backwards).
    (iii) Signs of toxicity should be recorded as they are observed 
including the time of onset, degree and duration.
    (iv) Measurements of food consumption and water consumption, if 
drinking water is the exposure route, must be made weekly.
    (v) Individual weights of animals must be determined shortly before 
the test substance is administered, weekly thereafter, and at death.
    (vi) Moribund animals should be removed and sacrificed when noticed 
and the time of death should be recorded as precisely as possible.
    (vii) At termination, all survivors in the treatment and control 
groups must be sacrificed.
    (9) Clinical pathology. Hematology and clinical chemistry 
examinations must be made on all animals, including controls, of each 
sex in each group. The hematology and clinical chemistry parameters 
should be examined at terminal sacrifice at the end of the study. 
Overnight fasting of the animals prior to blood sampling is recommended. 
Overall, there is a need for a flexible approach in the measures 
examined, depending on the observed or expected

[[Page 352]]

effects from a chemical, and in the frequency of measures, depending on 
the duration of potential chemical exposures.
    (i) Hematology. The recommended parameters are red blood cell count, 
hemoglobin concentration, hematocrit, mean corpuscular volume, mean 
corpuscular hemoglobin, and mean corpuscular hemoglobin concentration, 
white blood cell count, differential leukocyte count, platelet count, 
and a measure of clotting potential, such as prothrombin time or 
activated partial thromboplastin time.
    (ii) Clinical chemistry. (A) Parameters which are considered 
appropriate to all studies are electrolyte balance, carbohydrate 
metabolism, and liver and kidney function. The selection of specific 
tests will be influenced by observations on the mode of action of the 
substance and signs of clinical toxicity.
    (B) The recommended clinical chemistry determinations are potassium, 
sodium, glucose, total cholesterol, urea nitrogen, creatinine, total 
protein and albumin. More than 2 hepatic enzymes, (such as alanine 
aminotransferase, aspartate aminotransferase, alkaline phosphatase, 
sorbitol dehydrogenase, or gamma glutamyl transpeptidase) should also be 
measured. Measurements of addtional enzymes (of hepatic or other origin) 
and bile acids, may also be useful.
    (C) If a test chemical has an effect on the hematopoietic system, 
reticulocyte counts and bone marrow cytology may be indicated.
    (D) Other determinations that should be carried out if the test 
chemical is known or suspected of affecting related measures include 
calcium, phosphorus, fasting triglycerides, hormones, methemoglobin, and 
cholinesterases.
    (iii) Optionally, the following urinalysis determinations could be 
performed during the last week of the study using timed urine volume 
collection: appearance, volume, osmolality or specific gravity, pH, 
protein, glucose and blood/blood cells.
    (10) Ophthalmological examination. Ophthalmological examinations 
using an ophthalmoscope or an equivalent device must be made on all 
animals prior to the administration of the test substance and on all 
high dose and control groups at termination. If changes in the eyes are 
detected, all animals in the other dose groups must be examined.
    (11) Gross necropsy. (i) All animals must be subjected to a full 
gross necropsy which includes examination of the external surface of the 
body, all orifices, and the cranial, thoracic and abdominal cavities and 
their contents.
    (ii) The liver, kidneys, adrenals, testes, epididymides, ovaries, 
uterus, thymus, spleen, brain, and heart must be trimmed and weighed 
wet, as soon as possible after dissection.
    (iii) The following organs and tissues, or representative samples 
thereof, should be preserved in a suitable medium for possible future 
histopathological examination:
    (A) Digestive system--salivary glands, esophagus, stomach, duodenum, 
jejunum, ileum, cecum, colon, rectum, liver, pancreas, gallbladder (when 
present).
    (B) Nervous system--brain (including sections of medulla/pons, 
cerebellum and cerebrum), pituitary, peripheral nerve (sciatic or 
tibial, preferably in close proximity to the muscle), spinal cord (three 
levels: cervical, mid-thoracic and lumbar), eyes (retina, optic nerve).
    (C) Glandular system--adrenals, parathyroid, thyroid.
    (D) Respiratory system--trachea, lungs, pharynx, larynx, nose.
    (E) Cardiovascular/hemopoietic system--aorta, heart, bone marrow 
(and/or fresh aspirate), lymph nodes (preferably one lymph node covering 
the route of administration and another one distant from the route of 
administration to cover systemic effects), spleen, thymus.
    (F) Urogenital system--kidneys, urinary bladder, prostate, testes, 
epididymides, seminal vesicle(s), uterus, ovaries, female mammary gland.
    (G) Others--all gross lesions and masses, skin.
    (12) Histopathology. (i) The following histopathology must be 
performed:
    (A) Full histopathology on the organs and tissues, listed in 
paragraph (e)(11)(iii) of this section, of all rodents in the control 
and high dose groups, and all rodents that died or were sacrificed 
during the study.

[[Page 353]]

    (B) All gross lesions in all animals.
    (C) Target tissues in all animals.
    (D) When a satellite group is used, histopathology should be 
performed on tissues and organs identified as showing effects in the 
treated groups.
    (ii) If excessive early deaths or other problems occur in the high 
dose group compromising the significance of the data, the next dose 
level should be examined for complete histopathology.
    (iii) An attempt should be made to correlate gross observations with 
microscopic findings.
    (iv) Tissues and organs designated for microscopic examination 
should be fixed in 10% buffered formalin or a recognized suitable 
fixative as soon as necropsy is performed and no less than 48 hours 
prior to trimming.
    (f) Data and reporting--(1) Treatment of results. (i) Data must be 
summarized in tabular form, showing for each test group the number of 
animals at the start of the test, the number of animals showing lesions, 
the types of lesions and the percentage of animals displaying each type 
of lesion.
    (ii) When applicable, all observed results, qualitative and 
quantitative, should be evaluated by an appropriate and generally 
accepted statistical method. Any generally accepted statistical methods 
may be used; the statistical methods, including significance criteria, 
should be selected during the design of the study.
    (2) Evaluation of study results. The findings of a subchronic oral 
toxicity study should be evaluated in conjunction with the findings of 
preceding studies and considered in terms of the toxic effects and the 
necropsy and histopathological findings. The evaluation must include the 
relationship between the dose of the test substance and the presence or 
absence, the incidence and severity, of abnormalities, including 
behavioral and clinical abnormalities, gross lesions, identified target 
organs, body weight changes, effects on mortality and any other general 
or specific toxic effects. A properly conducted subchronic test should 
provide a satisfactory estimation of a NOEL. It also can indicate the 
need for an additional longer-term study and provide information on the 
selection of dose levels.
    (3) Test report. In addition to reporting requirements specified 
under EPA Good Laboratory Practice Standards at 40 CFR part 792, subpart 
J, the following specific information must be reported:
    (i) Test substance characterization should include:
    (A) Chemical identification.
    (B) Lot or batch number.
    (C) Physical properties.
    (D) Purity/impurities.
    (ii) Identification and composition of any vehicle used.
    (iii) Test system should contain data on:
    (A) Species and strain of animals used and rationale for selection 
if other than that recommended.
    (B) Age including body weight data and sex.
    (C) Test environment including cage conditions, ambient temperature, 
humidity, and light/dark periods.
    (D) Identification of animal diet.
    (E) Acclimation period.
    (iv) Test procedure should include the following data:
    (A) Method of randomization used.
    (B) Full description of experimental design and procedure.
    (C) Dose regimen including levels, methods, and volume.
    (v) Test results should include:
    (A) Group animal data. Tabulation of toxic response data by species, 
strain, sex and exposure level for:
    (1) Number of animals exposed.
    (2) Number of animals showing signs of toxicity.
    (3) Number of animals dying.
    (B) Individual animal data. Data should be presented as summary 
(group mean) as well as for individual animals.
    (1) Date of death during the study or whether animals survived to 
termination.
    (2) Date of observation of each abnormal sign and its subsequent 
course.
    (3) Body weight data.
    (4) Feed and water (if collected) consumption data.
    (5) Achieved dose (mg/kg/day) as a time-weighted average if the test 
substance is administered in the diet or drinking water.
    (6) Results of ophthalmological examination.

[[Page 354]]

    (7) Results of hematological tests performed.
    (8) Results of clinical chemistry tests performed.
    (9) Results of urinalysis, if performed.
    (10) Necropsy findings, including absolute and relative (to body 
weight) organ weight data.
    (11) Detailed description of all histopathological findings.
    (12) Statistical treatment of results, where appropriate.
    (g) Quality control. A system must be developed and maintained to 
assure and document adequate performance of laboratory equipment. The 
study must be conducted in compliance with 40 CFR Part 792--Good 
Laboratory Practice Standards.
    (h) References. For additional background information on this test 
guideline, the following references should be consulted. These 
references are available for inspection at the TSCA Nonconfidential 
Information Center, Rm. NE-B607, Environmental Protection Agency, 401 M 
St., NW., Washington, DC, 12 noon to 4 p.m., Monday through Friday, 
except legal holidays.
    (1) Boyd, E.M. Chapter 14. Pilot Studies, 15. Uniposal Clinical 
Parameters, 16. Uniposal Autopsy Parameters. Predictive Toxicometrics. 
Williams and Wilkins, Baltimore (1972).
    (2) Fitzhugh, O.G. Subacute Toxicity, Appraisal of the Safety of 
Chemicals in Foods, Drugs and Cosmetics. The Association of Food and 
Drug Officials of the United States (1959, 3rd Printing 1975) pp. 26-35.
    (3) Organization for Economic Cooperation and Development. OECD 
uidelines for Testing of Chemicals. Guideline 408: Subchronic Oral 
Toxicity-Rodent: 90-day Study, Adopted: May 12, 1981.
    (4) Weingand K., Brown G., Hall R. et al. Harmonization of Animal 
Clinical Pathology Testing in Toxicity and Safety Studies. Fundam. & 
Appl. Toxicol. 29:198-201. (1996)

[65 FR 78783, Dec. 15, 2000]



Sec.  799.9325  TSCA 90-day dermal toxicity.

    (a) Scope. This section is intended to meet the testing requirements 
under section 4 of the Toxic Substances Control Act (TSCA). In the 
assessment and evaluation of the toxic characteristics of a chemical, 
the determination of subchronic dermal toxicity may be carried out after 
initial information on toxicity has been obtained by acute testing. The 
subchronic dermal study has been designed to permit the determination of 
the no-observed-effects level (NOEL) and toxic effects associated with 
continuous or repeated exposure to a test substance for a period of 90 
days. This study is not capable of determining those effects that have a 
long latency period for development (e.g., carcinogenicity and life 
shortening). Extrapolation from the results of this study to humans is 
valid only to a limited degree. It can, however, provide useful 
information on the degree of percutaneous absorption, target organs, the 
possibilities of accumulation, and can be of use in selecting dose 
levels for chronic studies and for establishing safety criteria for 
human exposure.
    (b) Source. The source material used in developing this TSCA test 
guideline is the Office of Prevention, Pesticides, and Toxic Substances 
(OPPTS) harmonized test guideline 870.3250 (August 1998, final 
guideline). This source is available at the address in paragraph (h) of 
this section.
    (c) Definitions. The following definitions also apply to this 
section.
    Cumulative toxicity is the adverse effect of repeated doses 
occurring as a result of prolonged action or increased concentration of 
the administered test substance or its metabolites in susceptible 
tissues.
    Dose in a subchronic dermal study is the amount of test substance 
applied daily to the skin for 90 days. Dose is expressed as weight of 
the test substance (grams, milligrams), per unit body weight of test 
animal (milligrams per kilogram), or as weight of the test substance per 
unit of surface area (milligrams per square centimeter) per day.
    No-observed-effects level (NOEL) is the maximum dose used in a study 
which produces no adverse effects. The NOEL is expressed in terms of the 
weight of a test substance given daily per unit weight of test animal 
(milligrams per kilogram per day).

[[Page 355]]

    Subchronic dermal toxicity is the adverse effects occurring as a 
result of the repeated daily exposure of experimental animals to a 
chemical by the dermal route for a part of the test animal's life span.
    Target organ is any organ of a test animal showing evidence of an 
effect induced by a test substance.
    (d) Limit test. If a test at one dose level of at least 1,000 mg/kg 
body weight (expected human exposure may indicate the need for a higher 
dose level), using the procedures described for this section, produces 
no observable toxic effects or if toxic effects would not be expected 
based upon data on structurally related compounds, a full study using 
three dose levels might not be necessary.
    (e) Test procedures--(1) Animal selection--(i) Species and strain. A 
mammalian species must be used for testing. The rat, rabbit, or guinea 
pig may be used. Commonly used laboratory strains must be employed. If 
other mammalian species are used, the tester must provide justification/
reasoning for their selection. When a subchronic dermal study is 
conducted as a preliminary to a chronic dermal study, the same species 
and strain must be used in both studies.
    (ii) Age/weight. (A) Testing should be started with young healthy 
animals as soon as possible after weaning and acclimatization.
    (B) Dosing should generally begin in guinea pigs between 5-6 weeks 
of age, in rats between 8-9 weeks of age, and in rabbits at least 12 
weeks old.
    (C) At the commencement of the study, the weight variation of 
animals used must be within 20% of the mean weight for each sex.
    (iii) Sex. Equal numbers of animals of each sex with healthy skin 
must be used at each dose level. The females shall be nulliparous and 
nonpregnant except for specially designed studies.
    (iv) Numbers. (A) At least 20 animals (10 animals per sex) must be 
used at each dose level.
    (B) If interim sacrifices are planned, the number must be increased 
by the number of animals scheduled to be sacrificed before completion of 
the study.
    (C) To avoid bias, the use of adequate randomization procedures for 
the proper allocation of animals to test and control groups is required.
    (D) Each animal must be assigned a unique identification number. 
Dead animals, their preserved organs and tissues, and microscopic slides 
must be identified by reference to the animal's unique number.
    (v) Husbandry. (A) Animals should be housed in individual cages.
    (B) The temperature of the experimental animal rooms should be at 22 
3 [deg]C
    (C) The relative humidity of the experimental animal rooms should be 
50 20%.
    (D) Where lighting is artificial, the sequence should be 12 hours 
light/12 hours dark.
    (E) Control and test animals must be fed from the same batch and 
lot. The feed should be analyzed to assure adequacy of nutritional 
requirements of the species tested and for impurities that might 
influence the outcome of the test. For feeding, conventional laboratory 
diets may be used with an unlimited supply of drinking water.
    (F) The study should not be initiated until animals have been 
allowed a period of acclimatization/quarantine to environmental 
conditions, nor should animals from outside sources be placed on test 
without an adequate period of quarantine. An acclimation period of at 
least five days is recommended.
    (2) Control and test substances. (i) Where necessary, the test 
substance is dissolved or suspended in a suitable vehicle. If a vehicle 
or diluent is needed, the vehicle should not elicit toxic effects or 
substantially alter the chemical or toxicological properties of the test 
substance. It is recommended that, whenever possible, the usage of an 
aqueous solution be considered first, followed by consideration of a 
solution of oil and then solution of other vehicles.
    (ii) One lot of the test substance should be used, if possible, 
throughout the duration of the study, and the research sample should be 
stored under conditions that maintain its purity and stability. Prior to 
the initiation of the study, there should be a characterization of the 
test substance, including the purity of the test compound and if 
technically feasible, the name and

[[Page 356]]

quantities of unknown contaminants and impurities.
    (iii) If the test substance is dissolved or suspended in a vehicle, 
the period during which the test substance is stable in such a mixture 
should be determined prior to the initiation of the study. Its 
homogeneity and concentration should be determined prior to the 
initiation of the study and periodically during the study. Statistically 
randomized samples of the mixture should be analyzed to ensure that 
proper mixing, formulation, and storage procedures are being followed, 
and that the appropriate concentration of the test or control substance 
is contained in the mixture.
    (3) Control groups. A concurrent control group is required. This 
group must be an untreated or sham-treated control group or, if a 
vehicle is used in the application of the test substance, a vehicle 
control group. If the toxic properties of the vehicle are not known or 
not available, both untreated/sham-treated and vehicle control groups 
are required.
    (4) Satellite group. A satellite group of 20 animals (10 animals per 
sex) may be treated with the high dose level for 90 days and observed 
for reversibility, persistence, or delayed occurrence of toxic effects 
for a post-treatment period of appropriate length, normally not less 
than 28 days. In addition a control group of 20 animals (10 animals per 
sex) should be added to the satellite study.
    (5) Dose levels and dose selection. (i) In subchronic toxicity 
tests, it is desirable to determine a dose-response relationship as well 
as a NOEL. Therefore, at least three dose levels plus a control and, 
where appropriate, a vehicle control (corresponding to the concentration 
of vehicle at the highest dose level) group shall be used. Doses should 
be spaced appropriately to produce test groups with a range of toxic 
effects. The data should be sufficient to produce a dose-response curve.
    (ii) The highest dose level should elicit signs of toxicity but not 
produce severe skin irritation or an incidence of fatality which would 
prevent a meaningful evaluation. If application of the test substance 
produces severe skin irritation, the concentration may be reduced, 
although this may result in a reduction in, or absence of, other toxic 
effects at the high dose level. If the skin has been badly damaged early 
in the study, it may be necessary to terminate the study and undertake a 
new one at lower concentrations.
    (iii) The intermediate dose levels should be spaced to produce a 
gradation of toxic effects.
    (iv) The lowest dose level should not produce any evidence of toxic 
effects.
    (6) Preparation of animal skin. Shortly before testing, fur must be 
clipped from not less than 10% of the body surface area for application 
of the test substance. In order to dose approximately 10% of the body 
surface, the area starting at the scapulae (shoulders) to the wing of 
the ileum (hipbone) and half way down the flank on each side of the 
animal should be shaved. Shaving should be carried out approximately 24 
hours before dosing. Repeated clipping or shaving is usually needed at 
approximately weekly intervals. When clipping or shaving the fur, care 
should be taken to avoid abrading the skin which could alter its 
permeability.
    (7) Preparation of test substance. (i) Liquid test substances are 
generally used undiluted, except as indicated in paragraph (e)(5)(ii) of 
this section.
    (ii) Solids should be pulverized when possible. The substance should 
be moistened sufficiently with water or, when necessary, a suitable 
vehicle to ensure good contact with the skin. When a vehicle is used, 
the influence of the vehicle on toxicity of, and penetration of the skin 
by, the test substance should be taken into account.
    (iii) The volume of application should be kept constant, e.g., less 
than 300 [micro]L for the rat; different concentrations of test solution 
shall be prepared for different dose levels.
    (8) Administration of test substance. (i) The duration of exposure 
should be at least for 90 days.
    (ii) Ideally, the animals should be treated with test substance for 
at least 6 hours per day on a 7-day per week basis. However, based on 
practical considerations, application on a 5-day per week basis is 
acceptable. Dosing should be conducted at approximately the same time 
each day.

[[Page 357]]

    (iii) The test substance must be applied uniformly over the 
treatment site.
    (iv) The surface area covered may be less for highly toxic 
substances. As much of the area should be covered with as thin and 
uniform a film as possible.
    (v) During the exposure period, the test substance must be held in 
contact with the skin with a porous gauze dressing (less than or equal 
to 8 ply). The test site must be further covered with nonirritating tape 
to retain the gauze dressing and the test substance and to ensure that 
the animals cannot ingest the test substance. Restrainers may be used to 
prevent the ingestion of the test substance, but complete immobilization 
is not recommended. The test substance may be wiped from the skin after 
the six-hour exposure period to prevent ingestion.
    (9) Observation of animals. (i) Observations must be made at least 
twice each day for morbidity and mortality. Appropriate actions should 
be taken to minimize loss of animals to the study (e.g., necropsy or 
refrigeration of those animals found dead and isolation or sacrifice of 
weak or moribund animals). General clinical observations must be made at 
least once a day, preferably at the same time each day, taking into 
consideration the peak period of anticipated effects after dosing. The 
clinical condition of the animal should be recorded.
    (ii) A careful clinical examination must be made at least once 
weekly. Observations should be detailed and carefully recorded, 
preferably using explicity defined scales. Observations should include, 
but not be limited to, evaluation of skin and fur, eyes and mucous 
membranes, respiratory and circulatory effects, autonomic effects such 
as salivation, central nervous system effects, including tremors and 
convulsions, changes in the level of activity, gait and posture, 
reactivity to handling or sensory stimuli, altered strength, and 
stereotypes or bizarre behavior (e.g., self-mutilation, walking 
backwards).
    (iii) Signs of toxicity should be recorded as they are observed 
including the time of onset, degree and duration.
    (iv) Individual weights of animals must be determined shortly before 
the test substance is administered, weekly thereafter, and at death.
    (v) Food consumption must also be determined weekly if abnormal body 
weight changes are observed.
    (vi) Moribund animals should be removed and sacrificed when noticed 
and the time of death should be recorded as precisely as possible.
    (vii) At termination, all survivors in the control and treatment 
groups must be sacrificed.
    (10) Clinical pathology. Hematology and clinical chemistry 
examinations must be made on all animals, including controls, of each 
sex in each group. The hematology and clinical chemistry parameters 
should be examined at terminal sacrifice at the end of the study. 
Overnight fasting of the animals prior to blood sampling is recommended. 
Overall, there is a need for a flexible approach in the measures 
examined, depending on the observed or expected effects from a chemical, 
and in the frequency of measures, depending on the duration of potential 
chemical exposures.
    (i) Hematology. The recommended parameters are red blood cell count, 
hemoglobin concentration, hematocrit, mean corpuscular volume, mean 
corpuscular hemoglobin, and mean corpuscular hemoglobin concentration, 
white blood cell count, differential leukocyte count, platelet count, 
and a measure of clotting potential, such as prothrombin time or 
activated partial thromboplastin time.
    (ii) Clinical chemistry. (A) Parameters which are considered 
appropriate to all studies are electrolyte balance, carbohydrate 
metabolism, and liver and kidney function. The selection of specific 
tests will be influenced by observations on the mode of action of the 
substance and signs of clinical toxicity.
    (B) The recommended clinical chemistry determinations are potassium, 
sodium, glucose, total cholesterol, urea nitrogen, creatinine, total 
protein and albumin. More than 2 hepatic enzymes, (such as alanine 
aminotransferase, aspartate aminotransferase, alkaline phosphatase, 
sorbitol dehydrogenase, or gamma glutamyl transpeptidase)

[[Page 358]]

should also be measured. Measurements of additional enzymes (of hepatic 
or other origin) and bile acids, may also be useful.
    (C) If a test chemical has an effect on the hematopoietic system, 
reticulocyte counts and bone marrow cytology may be indicated.
    (D) Other determinations that should be carried out if the test 
chemical is known or suspected of affecting related measures include 
calcium, phosphorus, fasting triglycerides, hormones, methemoglobin, and 
cholinesterases.
    (iii) Optionally, the following urinalysis determinations could be 
performed during the last week of the study using timed urine volume 
collection: appearance, volume, osmolality or specific gravity, pH, 
protein, glucose and blood/blood cells.
    (11) Ophthalmological examination. Using an ophthalmoscope or an 
equivalent device, ophthalmological examinations must be made on all 
animals prior to the administration of the test substance and on all 
high dose and control groups at termination. If changes in the eyes are 
detected, all animals in the other dose groups must be examined.
    (12) Gross necropsy. (i) All animals must be subjected to a full 
gross necropsy which includes examination of the external surface of the 
body, all orifices, and the cranial, thoracic and abdominal cavities and 
their contents.
    (ii) The liver, brain, kidneys, spleen, adrenals, testes, 
epididymides, uterus, ovaries, thymus and heart must be trimmed and 
weighed wet, as soon as possible after dissection.
    (iii) The following organs and tissues, or representative samples 
thereof, must be preserved in a suitable medium for possible future 
histopathological examination:
    (A) Digestive system--salivary glands, esophagus, stomach, duodenum, 
jejunum, ileum, cecum, colon, rectum, liver, pancreas, gallbladder (when 
present).
    (B) Nervous system--brain (multiple sections, including cerebrum, 
cerebellum and medulla/pons), pituitary, peripheral nerve (sciatic or 
tibial, preferably in close proximity to the muscle), spinal cord (three 
levels, cervical, mid-thoracic and lumbar), eyes (retina, optic nerve).
    (C) Glandular system--adrenals, parathyroid, thyroid.
    (D) Respiratory system--trachea, lungs, pharynx, larynx, nose.
    (E) Cardiovascular/Hematopoietic system--aorta, heart, bone marrow 
(and/or fresh aspirate), lymph nodes (preferably one lymph node covering 
the route of administration and another one distant from the route of 
administration to cover systemic effects), spleen, thymus.
    (F) Urogenital system--kidneys, urinary bladder, prostate, testes, 
epididymides, seminal vesicle(s), uterus, ovaries, female mammary gland.
    (G) Other--all gross lesions and masses, skin (both treated and 
adjacent untreated areas).
    (13) Histopathology. (i) The following histopathology must be 
performed:
    (A) Full histopathology on the organs and tissues, listed in 
paragraph (e)(12)(iii) of this section, of all animals in the control 
and high dose groups and all animals that died or were sacrificed during 
the study.
    (B) All gross lesions in all animals.
    (C) Target organs in all animals.
    (D) When a satellite group is used, histopathology must be performed 
on tissues and organs identified as showing toxic effects in the treated 
groups.
    (ii) If excessive early deaths or other problems occur in the high 
dose group compromising the significance of the data, the next dose 
level must be examined for complete histopathology.
    (iii) An attempt should be made to correlate gross observations with 
microscopic findings.
    (iv) Tissues and organs designated for microscopic examination 
should be fixed in 10% buffered formalin or a recognized suitable 
fixative as soon as necropsy is performed and no less than 48 hours 
prior to trimming.
    (f) Data and reporting--(1) Treatment of results. (i) Data must be 
summarized in tabular form, showing for each test group, number of 
animals at the start of the test, the number of animals showing lesions, 
the types of lesions and the percentage of animals displaying each type 
of lesion.
    (ii) When applicable, all observed results, qualitative and 
quantitative,

[[Page 359]]

should be evaluated by an appropriate and generally acceptable 
statistical method. Any generally accepted statistical method should be 
used; the statistical methods including significance criteria should be 
selected during the design of the study.
    (2) Evaluation of study results. The findings of a subchronic dermal 
toxicity study should be evaluated in conjunction with the findings of 
preceding studies and considered in terms of toxic effects and the 
necropsy and histopathological findings. The evaluation should include 
the relationship between the dose of the test substance, the incidence 
and severity of abnormalities including behavioral and clinical 
abnormalities, gross lesions, identified target organs, body weight 
changes, effect on mortality, and any other general or specific toxic 
effects. A properly conducted 90-day subchronic dermal study should 
provide information on the effects of repeated application of a 
substance and a satisfactory estimation of a NOEL. It also can indicate 
the need for an additional longer-term study and provide information on 
the selection of dose levels.
    (3) Test report. In addition to reporting requirements specified 
under EPA Good Laboratory Practice Standards at 40 CFR part 792, subpart 
J, the following specific information must be reported:
    (i) Test substance characterization should include:
    (A) Chemical identification.
    (B) Lot or batch numbers.
    (C) Physical properties.
    (D) Purity/impurities.
    (ii) Identification and composition of any vehicle if used.
    (iii) Test system should contain data on:
    (A) Species and strain of animals used and rationale for selection 
if other than that recommended.
    (B) Age including body weight data and sex.
    (C) Test environment including cage conditions, ambient temperature, 
humidity, and light/dark periods.
    (D) Identification of animal diet.
    (E) Acclimation period.
    (iv) Test procedure should include the following data:
    (A) Method of randomization used.
    (B) Full description of experimental design and procedure.
    (C) Dose regime including levels, method, and volume.
    (v) Test results should include:
    (A) Group animal data. Tabulation of toxic response data by species, 
strain, sex and exposure level for:
    (1) Number of animals exposed.
    (2) Number of animals showing signs of toxicity.
    (3) Number of animals dying.
    (B) Individual animal data. Data should be presented as summary 
(group mean) as well as for individual animals.
    (1) Date of death during the study or whether animals survived to 
termination.
    (2) Date of observation of each abnormal sign and its subsequent 
course.
    (3) Body weight data.
    (4) Feed consumption data, when collected.
    (5) Results of ophthalmological examination.
    (6) Results of hematological tests performed.
    (7) Results of clinical chemistry tests performed.
    (8) Results of urinalysis, when performed.
    (9) Results of observations made.
    (10) Necropsy findings, including absolute and relative (to body 
weight) organ weight data.
    (11) Detailed description of all histopathological findings.
    (12) Statistical treatment of results, where appropriate.
    (g) Quality control. A system must be developed and maintained to 
assure and document adequate performance of laboratory equipment. The 
study must be conducted in compliance with the Good Laboratory Practice 
(GLP) regulations.
    (h) References. For additional background information on this test 
guideline, the following references should be consulted. These 
references are available for inspection at the TSCA Nonconfidential 
Information Center, Rm. NE-B607, Environmental Protection Agency, 401 M 
St., NW., Washington, DC, 12 noon to 4 p.m., Monday through Friday, 
except legal holidays.
    (1) Organization for Economic Cooperation and Development. 
Guidelines

[[Page 360]]

for Testing of Chemicals, Section 4-Health Effects, Part 411 Subchronic 
Toxicity Studies, Paris, 1981.
    (2) Weingand K, Brown G, Hall R et al. (1996). Harmonization of 
Animal Clinical Pathology Testing in Toxicity and Safety Studies. 
Fundam. & Appl. Toxicol. 29:198-201.

[65 FR 78786, Dec. 15, 2000]



Sec.  799.9346  TSCA 90-day inhalation toxicity.

    (a) Scope. This section is intended to meet the testing requirements 
under section 4 of TSCA. In the assessment and evaluation of the toxic 
characteristics of a gas, volatile substance, or aerosol/particulate, 
determination of subchronic inhalation toxicity may be carried out after 
initial information on toxicity has been obtained by acute testing. The 
subchronic inhalation study has been designed to permit the 
determination of the no-observed-effect-level (NOEL) and toxic effects 
associated with continuous or repeated exposure to a test substance for 
a period of 90 days. This study is not capable of determining those 
effects that have a long latency period for development (e.g., 
carcinogenicity and life shortening). Extrapolation from the results of 
this study to humans is valid only to a limited degree. It can, however, 
provide useful information on health hazards likely to arise from 
repeated exposures by the inhalation route over a limited period of 
time. It will provide information on target organs and the possibilities 
of accumulation, and can be of use in selecting concentration levels for 
chronic studies and establishing safety criteria for human exposure. 
Hazards of inhaled substances are influenced by the inherent toxicity 
and by physical factors such as volatility and particle size.
    (b) Source. The source material used in developing this TSCA test 
guideline is the OPPTS harmonized test guideline 870.3465 (June 1996 
Public Draft). This source is available at the address in paragraph (h) 
of this section.
    (c) Definitions. The following definitions apply to this section.
    Aerodynamic equivalent diameter is defined as the diameter of a unit 
density sphere having the same terminal settling velocity as the 
particle in question, whatever its size, shape, and density. It is used 
to predict where in the respiratory tract such particles may be 
deposited.
    Concentration in a subchronic inhalation study is the amount of test 
substance administered via inhalation for a period of 90-days. 
Concentration is expressed as weight of the test substance per unit 
volume of air (milligrams per liter or parts per million).
    Cumulative toxicity is the adverse effects of repeated exposures 
occurring as a result of prolonged action on, or increased concentration 
of the administered test substance or its metabolites in susceptible 
tissues.
    Inhalable diameter refers to that aerodynamic diameter of a particle 
which is considered to be inhalable for the organism. It is used to 
refer to particles which are capable of being inhaled and may be 
deposited anywhere within the respiratory tract
    Mass median aerodynamic diameter (MMAD) is the median aerodynamic 
diameter and along with the geometric standard deviation (GSD) is used 
to describe the particle size distribution of any aerosol statistically 
based on the weight and size of the particles. Fifty percent of the 
particles by weight will be smaller than the median diameter and 50% of 
the particles will be larger.
    No-observed-effect-level (NOEL) is the maximum concentration used in 
a study which produces no adverse effects.
    Subchronic inhalation toxicity is the adverse effects occurring as a 
result of the repeated daily exposure of experimental animals to a 
chemical by inhalation for part (approximately 10%) of a life span.
    (d) Limit test. If exposure at a concentration of 1 mg/L (expected 
human exposure may indicate the need for a higher concentration), or 
where this is not possible due to physical or chemical properties of the 
test substance, the maximum attainable concentration produces no 
observable toxic effects, then a full study using three concentrations 
might not be necessary.
    (e) Test procedures--(1) Animal selection--(i) Species and strain. A 
mammalian species shall be used for testing. A variety of rodent species 
may be used,

[[Page 361]]

although the rat is the preferred species. Commonly used laboratory 
strains should be employed. If another mammalian species is used, the 
tester shall provide justification/reasoning for its selection.
    (ii) Age/weight. Testing should be started with young healthy 
animals as soon as possible after weaning and acclimatization.
    (B) Dosing of rodents should generally begin no later than 8 weeks 
of age.
    (C) At the commencement of the study the weight variation of animals 
used shall not exceed  20% of the mean weight for 
each sex.
    (iii) Sex. (A) Equal numbers of animals of each sex shall be used at 
each concentration.
    (B) Females shall be nulliparous and nonpregnant.
    (iv) Numbers. (A) At least 20 animals (10 females and 10 males) 
should be used for each test group.
    (B) If interim sacrifices are planned, the number of animals shall 
be increased by the number of animals scheduled to be sacrificed before 
the completion of the study.
    (C) To avoid bias, the use of adequate randomization procedures for 
the proper allocation of animals to test and control groups is required.
    (D) Each animal shall be assigned a unique identification number. 
Dead animals, their preserved organs and tissues, and microscopic slides 
shall be identified by reference to the animal's unique number.
    (v) Husbandry. (A) Animals may be group-caged by sex, but the number 
of animals per cage must not interfere with clear observation of each 
animal. The biological properties of the test substance or toxic effects 
(e.g., morbidity, excitability) may indicate a need for individual 
caging. Animals must be housed individually in inhalation chambers 
during exposure to aerosols.
    (B) The temperature of the experimental animal rooms should be at 22 
3 [deg]C.
    (C) The relative humidity of the experimental animal rooms should be 
30-70%.
    (D) Where lighting is artificial, the sequence should be 12 h light/
12 h dark.
    (E) Control and test animals should be fed from the same batch and 
lot. The feed should be analyzed to assure adequacy of nutritional 
requirements of the species tested and for impurities that might 
influence the outcome of the rest. For feeding, conventional laboratory 
diets may be used with an unlimited supply of drinking water.
    (F) The study should not be initiated until animals have been 
allowed a period of acclimatization/quarantine to environmental 
conditions, nor should animals from outside sources be placed on test 
without an adequate period of quarantine. An acclimatization period of 
at least 5 days is recommended.
    (2) Control and test substances. (i) Whenever it is necessary to 
formulate the test substance with a vehicle for aerosol generation, the 
vehicle ideally should not elicit toxic effects or substantially alter 
the chemical or toxicological properties of the test substance.
    (ii) One lot of the test substance should be used, if possible 
throughout the duration of the study, and the research sample should be 
stored under conditions that maintain its purity and stability. Prior to 
the initiation of the study, there should be a characterization of the 
test substance, including the purity of the test substance and, if 
technically feasible, the name and quantities of unknown contaminants 
and impurities.
    (3) Control groups. A concurrent control group is required. This 
group shall be an untreated or sham-treated control group. Except for 
treatment with the test substance, animals in the control group shall be 
handled in a manner identical to the test group animals. Where a vehicle 
other than water is used to generate a substance, a vehicle control 
group should be used. If the toxic properties of the vehicle are not 
known or cannot be made available, both untreated and vehicle control 
groups are required.
    (4) Satellite group. A satellite group of 20 animals (10 animals per 
sex) may be treated with the high concentration level for 90 days and 
observed for reversibility, persistence, or delayed occurrence of toxic 
effects for a post-treatment period of appropriate length,

[[Page 362]]

normally not less than 28 days. In addition, a control group of 20 
animals (10 animals of each sex) should be added to the satellite study.
    (5) Concentration levels and concentration selection. (i) In 
subchronic toxicity tests, it is desirable to have a concentration-
response relationship as well as a NOEL. Therefore, at least three 
concentration levels plus a control and, where appropriate, a vehicle 
control (corresponding to the concentration of vehicle at the highest 
exposure level) shall be used. Concentrations should be spaced 
appropriately to produce test groups with a range of toxic effects. The 
data should be sufficient to produce a concentration-response curve.
    (ii) The highest concentration should result in toxic effects but 
not produce an incidence of fatalities which would prevent a meaningful 
evaluation.
    (iii) The intermediate concentrations should be spaced to produce a 
gradation of toxic effects.
    (iv) The lowest concentration should produce no evidence of 
toxicity.
    (v) In the case of potentially explosive test substances, care 
should be taken to avoid generating explosive concentrations.
    (6) Administration of the test substance. Animals should be exposed 
to the test substance for 6 h per day on a 7-day per week basis for a 
period of at least 90 days. Based primarily on practical considerations, 
exposure for 6 h per day on a 5-day per week basis is acceptable.
    (7) Observation period. The animals should be observed for a period 
of 90 days. Animals in the satellite group (if used) scheduled for 
follow-up observations should be kept for at least 28 days further 
without treatment to assess reversibility.
    (8) Exposure specifications. (i) The animals shall be tested in 
dynamic inhalation equipment designed to sustain a minimum airflow of 10 
air changes per hr, an adequate oxygen content of at least 19%, and 
uniform conditions throughout the exposure chamber. Maintenance of 
slight negative pressure inside the chamber will prevent leakage of the 
test substance into the surrounding areas. It is not normally necessary 
to measure chamber oxygen concentration if airflow is adequate.
    (ii) The selection of a dynamic inhalation chamber should be 
appropriate for the test substance and test system. Where a whole body 
chamber is used to expose animals to an aerosol, individual housing must 
be used to minimize crowding of the test animals and maximize their 
exposure to the test substance. To ensure stability of a chamber 
atmosphere, the total volume occupied by the test animals shall not 
exceed 5% of the volume of the test chamber. It is recommended, but not 
required, that nose-only or head-only exposure be used for aerosol 
studies in order to minimize oral exposures due to animals licking 
compound off their fur. Heat stress should be minimized.
    (iii) The temperature at which the test is performed should be 
maintained at 22  2 [deg]C. The relative humidity 
should be maintained between 40 and 60%, but in certain instances (e.g., 
use of water vehicle) this may not be practicable.
    (9) Physical measurements. Measurements or monitoring shall be made 
of the following:
    (i) The rate of airflow shall be monitored continuously but recorded 
at least three times during the exposure.
    (ii) The actual concentrations of the test substance shall be 
measured in the animal's breathing zone. During the exposure period, the 
actual concentrations of the test substance shall be held as constant as 
practicable and monitored continuously or intermittently depending on 
the method of analysis. Chamber concentration may be measured using 
gravimetric or analytical methods as appropriate. If trial run 
measurements are reasonably consistent  10% for 
liquid, aerosol, gas, or vapor;  20% for dry 
aerosol), then two measurements should be sufficient. If measurements 
are not consistent, three to four measurements should be taken. Whenever 
the test substance is a formulation, or it is necessary to formulate the 
test substance with a vehicle for aerosol generation, the analytical 
concentration must be reported for the total formulation, and not just 
for the active ingredient (AI). If, for example, a formulation contains 
10% AI and 90% inerts, a chamber analytical limit concentration of 2 mg/
L would consist

[[Page 363]]

of 0.2 mg/L of the AI. It is not necessary to analyze inert ingredients 
provided the mixture at the animal's breathing zone is analogous to the 
formulation; the grounds for this conclusion must be provided in the 
study report. If there is some difficulty in measuring chamber 
analytical concentration due to precipitation, nonhomogeneous mixtures, 
volatile components, or other factors, additional analyses of inert 
components may be necessary.
    (iii) During the development of the generating system, particle size 
analysis shall be performed to establish the stability of aerosol 
concentrations with respect to particle size. The MMAD particle size 
range should be between 1-3 [micro]m. The particle size of hygroscopic 
materials should be small enough when dry to assure that the size of the 
swollen particle will still be within the 1-3 [micro]m range. 
Measurements of aerodynamic particle size in the animal's breathing zone 
should be measured during a trial run. If MMAD valves for each exposure 
level are within 10% of each other, then two measurements during the 
exposures should be sufficient. If pretest measurements are not within 
10% of each other, three to four measurements should be taken.
    (iv) Temperature and humidity shall be monitored continuously and 
recorded at least three times during an exposure.
    (10) Feed and water during exposure period. Feed shall be withheld 
during exposure. Water may also be withheld during exposure.
    (11) Observation of animals. (i) During and following exposure, 
observations are made and recorded systematically; individual records 
should be maintained for each animal. It is not always possible to 
observe animals during exposure in a whole-body chamber.
    (ii) Observations shall be made at least once each day for morbidity 
and mortality. Appropriate actions should be taken to minimize loss of 
animals to the study (e.g., Necropsy or refrigeration of those animals 
found dead and isolation or sacrifice of weak or moribund animals).
    (iii) A careful clinical examination shall be made at least once 
weekly. Observations should be detailed and carefully recorded, 
preferably using explicitly defined scales. Observations should include, 
but not be limited to, evaluation of skin and fur, eyes and mucous 
membranes, respiratory and circulatory effects, autonomic effects such 
as salivation, central nervous system effects, including tremors and 
convulsions, changes in the level of activity, gait and posture, 
reactivity to handling or sensory stimuli, altered strength, and 
stereotypes or bizarre behavior (e.g., self-mutilation, walking 
backwards).
    (iv) Signs of toxicity should be recorded as they are observed 
including the time of onset, degree and duration.
    (v) Individual weights of animals shall be determined shortly before 
the test substance is administered, and weekly thereafter.
    (vi) Food consumption shall also be determined weekly if abnormal 
body weight changes are observed.
    (vii) Moribund animals should be removed and sacrificed when noticed 
and the time of death should be recorded as precisely as possible.
    (viii) At termination, all survivors in the treatment groups shall 
be sacrificed.
    (12) Clinical pathology. Hematology and clinical chemistry 
examinations shall be made on all animals, including controls, of each 
sex in each group. The hematology and clinical chemistry parameters 
should be examined at terminal sacrifice at the end of the study. 
Overnight fasting of the animals prior to blood sampling is recommended. 
Overall, there is a need for a flexible approach in the measures 
examined, depending on the observed or expected effects from a chemical, 
and in the frequency of measures, depending on the duration of potential 
chemical exposures.
    (i) Hematology. The recommended parameters are red blood cell count, 
hemoglobin concentration, hematocrit, mean corpuscular volume, mean 
corpuscular hemoglobin, and mean corpuscular hemoglobin concentration, 
white blood cell count, differential leukocyte count, platelet count, 
and a measure of clotting potential, such as prothrombin time or 
activated partial thromboplastin time.

[[Page 364]]

    (ii) Clinical chemistry. (A) Parameters which are considered 
appropriate to all studies are electrolyte balance, carbohydrate 
metabolism, and liver and kidney function. The selection of specific 
tests will be influenced by observations on the mode of action of the 
substance and signs of clinical toxicity.
    (B) The recommended clinical chemistry determinations are potassium, 
sodium, glucose, total cholesterol, urea nitrogen, creatinine, total 
protein and albumin. More than 2 hepatic enzymes, (such as alanine 
aminotransferase, aspartate aminotransferase, alkaline phosphatase, 
sorbitol dehydrogenase, or gamma glutamyl transpeptidase) should also be 
measured. Measurements of addtional enzymes (of hepatic or other origin) 
and bile acids, may also be useful.
    (C) If a test chemical has an effect on the hematopoietic system, 
reticulocyte counts and bone marrow cytology may be indicated.
    (D) Other determinations that should be carried out if the test 
chemical is known or suspected of affecting related measures include 
calcium, phosphorus, fasting triglycerides, hormones, methemoglobin, and 
cholinesterases.
    (iii) Optionally, the following urinalysis determinations could be 
performed during the last week of the study using timed urine volume 
collection: appearance, volume, osmolality or specific gravity, pH, 
protein, glucose, and blood/blood cells.
    (13) Ophthalmological examination. Ophthalmological examinations 
shall be made on all animals prior to the administration of the test 
substance and on all high concentration and control groups at 
termination. If changes in the eyes are detected, all animals in the 
other concentration groups shall be examined.
    (14) Gross pathology. (i) All animals shall be subjected to a full 
gross necropsy which includes examination of the external surface of the 
body, all orifices and the cranial, thoracic, and abdominal cavities and 
their contents.
    (ii) At least the liver, kidneys, brain, and gonads shall be trimmed 
and weighed wet, as soon as possible after dissection to avoid drying.
    (iii) The following organs and tissues, or representative samples 
thereof, shall be preserved in a suitable medium for possible future 
histopathological examination:
    (A) Digestive system.
    (1) Salivary glands.
    (2) Esophagus.
    (3) Stomach.
    (4) Duodenum.
    (5) Jejunum.
    (6) Ileum.
    (7) Cecum.
    (8) Colon.
    (9) Rectum.
    (10) Liver.
    (11) Pancreas.
    (12) Gallbladder (dogs).
    (B) Nervous system.
    (1) Brain (multiple sections).
    (2) Pituitary.
    (3) Peripheral nerve(s).
    (4) Spinal cord (three levels).
    (5) Eyes (retina, optic nerve).
    (C) Glandular system.
    (1) Adrenals.
    (2) Parathyroids.
    (3) Thyroids.
    (D) Respiratory system.
    (1) Trachea.
    (2) Lung.
    (3) Pharynx.
    (4) Larynx.
    (5) Nose.
    (E) Cardiovascular/hematopoietic system.
    (1) Aorta (thoracic).
    (2) Heart.
    (3) Bone marrow.
    (4) Lymph nodes.
    (5) Spleen.
    (6) Thymus.
    (F) Urogenital system.
    (1) Kidneys.
    (2) Urinary bladder.
    (3) Prostate.
    (4) Testes.
    (5) Epididymides.
    (6) Seminal vesicle(s).
    (7) Uterus.
    (8) Ovaries.
    (G) Other.
    (1) Lacrimal gland.
    (2) Mammary gland.
    (3) Skin.
    (4) Skeletal muscle.
    (5) All gross lesions and masses.
    (6) Sternum and/or femur.
    (15) Histopathology. (i) The following histopathology shall be 
performed:

[[Page 365]]

    (A) Full histopathology on the respiratory tract and other organs 
and tissues, listed under paragraph (e)(15)(iii) of this section, of all 
animals in the control and high exposure groups and all animals that 
died or were killed during the study.
    (B) All gross lesions in all animals.
    (C) Target organs in all animals.
    (D) Lungs of all animals. Special attention to examination of the 
respiratory tract should be made for evidence of infection as this 
provides a convenient assessment of the state of health of the animals.
    (E) When a satellite group is used, histopathology shall be 
performed on tissues and organs identified as showing effects in the 
treated groups.
    (ii) If excessive early deaths or other problems occur in the high 
exposure group compromising the significance of the data, the next 
concentration should be examined for complete histopathology.
    (iii) An attempt should be made to correlate gross observations with 
microscopic findings.
    (iv) Tissues and organs designated for microscopic examination 
should be fixed in 10% buffered formalin or a recognized suitable 
fixative as soon as necropsy is performed and no less than 48 hrs prior 
to trimming. Tissues should be trimmed to a maximum thickness of 0.4 cm 
for processing.
    (f) Data and reporting--(1) Treatment of results. (i) Data shall be 
summarized in tabular form, showing for each test group the number of 
animals at the start of the test, the number of animals showing lesions, 
the types of lesions, and the percentage of animals displaying each type 
of lesion.
    (ii) All observed results (quantitative and qualitative) should be 
evaluated by an appropriate statistical method. Any generally accepted 
statistical method may be used; the statistical methods including 
significance criteria should be selected during the design of the study.
    (2) Evaluation of study results. The findings of the subchronic 
inhalation toxicity study should be evaluated in conjunction with the 
findings of preceding studies and considered in terms of the observed 
toxic effects and the necropsy and histopathological findings. The 
evaluation will include the relationship between the concentration of 
the test substance and duration of exposure, and the presence or 
absence, the incidence and severity, of abnormalities, including 
behavioral and clinical abnormalities, gross lesions, identified target 
organs, body weight changes, effects on mortality and any other general 
or specific toxic effects. A properly conducted subchronic test should 
provide a satisfactory estimation of a no-effect level. It also can 
indicate the need for an additional longer-term study and provide 
information on the selection of concentrations.
    (3) Test report. In addition to reporting requirements specified 
under 40 CFR part 792, subpart J, the following specific information 
shall be reported. Both individual and summary data should be presented.
    (i) Test substance characterization shall include:
    (A) Chemical identification.
    (B) Lot or batch number.
    (C) Physical properties.
    (D) Purity/impurities.
    (E) Identification and composition of any vehicle used.
    (ii) Test system information shall include:
    (A) Species and strain of animals used and rationale for selection 
if other than that recommended.
    (B) Age, sex, and body weight.
    (C) Test environment including cage conditions, ambient temperature, 
humidity, and light/dark periods.
    (D) Identification of animal diet.
    (E) Acclimation period.
    (iii) Test procedure information shall include:
    (A) Method of randomization used.
    (B) Full description of experimental design and procedure.
    (C) Exposure regimen including concentration levels, methods, and 
volume.
    (D) Description of test conditions; the following exposure 
conditions shall be reported:
    (1) Description of exposure apparatus including design, type, 
volume, source of air, system for generating aerosols, method of 
conditioning air, treatment of exhaust air and the method of housing the 
animals in a test chamber.

[[Page 366]]

    (2) The equipment for measuring temperature, humidity, and 
particulate aerosol concentrations and size should be described.
    (E) Exposure data shall be tabulated and presented with mean values 
and a measure of variability (e.g., standard deviation) and include:
    (1) Airflow rates through the inhalation equipment.
    (2) Temperature and humidity of air.
    (3) Actual (analytical or gravimetric) concentration in the 
breathing zone.
    (4) Nominal concentration (total amount of test substance fed into 
the inhalation equipment divided by volume of air).
    (5) Particle size distribution, calculated mass median aerodynamic 
diameter (MMAD) and geometric standard deviation (GSD).
    (6) Explanation as to why the desired chamber concentration and/or 
particle size could not be achieved (if applicable) and the efforts 
taken to comply with this aspect of the section.
    (iv) Test results information shall include:
    (A) Group animal data. Tabulation of toxic response data by species, 
strain, sex and exposure level for:
    (1) Number of animals exposed.
    (2) Number of animals showing signs of toxicity.
    (3) Number of animals dying.
    (B) Individual animal data. Data should be presented as summary 
(group mean) as well as for individual animals.
    (1) Time of death during the study or whether animals survived to 
termination.
    (2) Time of observation of each abnormal sign and its subsequent 
course.
    (3) Body weight data.
    (4) Feed consumption data, when collected.
    (5) Results of ophthalmological examination, when performed.
    (6) Results of hematological tests performed. .
    (7) Results of clinical chemistry tests performed.
    (8) Results of urinalysis tests performed.
    (9) Necropsy findings, including absolute and relative organ weight 
data.
    (10) Detailed description of all histopathological findings.
    (11) Statistical treatment of results, where appropriate.
    (g) Quality control. A system shall be developed and maintained to 
assure and document adequate performance of laboratory staff and 
equipment. The study shall be conducted in compliance with 40 CFR part 
792--Good Laboratory Practice Standards.
    (h) References. For additional background information on this test 
guideline, the following references should be consulted. These 
references are available for inspection at the TSCA Nonconfidential 
Information Center, Rm. NE-B607, Environmental Protection Agency, 401 M 
St., SW., Washington, DC, 12 noon to 4 p.m., Monday through Friday, 
except legal holidays.
    (1) Cage, J.C. Ed. Paget, G.E. Experimental Inhalation Toxicology, 
Methods in Toxicology. (F.A. Davis Co., Philadelphia, PA, 1970) pp. 258-
277.
    (2) Casarett, L.J. and Doull. Chapter 9. Toxicology: The Basic 
Science of Poisons (New York: Macmillan Publishing Co., Inc., 1975).
    (3) U.S. Environmental Protection Agency, Office of Pesticide 
Programs, Health Effects Division. Interim policy for particle size and 
limit concentration issues in inhalation toxicity studies (February 1, 
1994).
    (4) MacFarland, H.N. Ed. Hayes, W.J. Vol. 7. Respiratory Toxicology, 
Essays in Toxicology. (Academic Press, New York, NY, 1976) pp. 121-154.
    (5) Organisation for Economic Co-operation and Development. 
Guidelines for testing of chemicals, section 4-health effects, part 413. 
Subchronic Inhalation Toxicity Studies (Paris, 1981).

[62 FR 43824, Aug. 15, 1997, as amended at 64 FR 35077, June 30, 1999]



Sec.  799.9355  TSCA reproduction/developmental toxicity screening test.

    (a) Scope--(1) Applicability. This section is intended to meet 
testing requirements of the Toxic Substances Control Act (TSCA) (15 
U.S.C. 2601).
    (2) Source. The source material used in developing this TSCA test 
guideline is the Office of Prevention, Pesticides, and Toxic Substances 
(OPPTS) harmonized test guideline 870.3550 (July 2000, final 
guidelines). This source is available at the address in paragraph (h) of 
this section.

[[Page 367]]

    (b) Purpose. (1) This guideline is designed to generate limited 
information concerning the effects of a test substance on male and 
female reproductive performance such as gonadal function, mating 
behavior, conception, development of the conceptus, and parturition. It 
is not an alternative to, nor does it replace, the existing 
comprehensive test standards in Sec. Sec.  799.9370 and 799.9380.
    (2) This screening test guideline can be used to provide initial 
information on possible effects on reproduction and/or development, 
either at an early stage of assessing the toxicological properties of 
chemicals, or on chemicals of high concern. It can also be used as part 
of a set of initial screening tests for existing chemicals for which 
little or no toxicological information is available, as a dose range 
finding study for more extensive reproduction/developmental studies, or 
when otherwise considered relevant.
    (3) This test does not provide complete information on all aspects 
of reproduction and development. In particular, it offers only limited 
means of detecting postnatal manifestations of prenatal exposure, or 
effects that may be induced during postnatal exposure. Due (amongst 
other reasons) to the relatively small numbers of animals in the dose 
groups, the selectivity of the end points, and the short duration of the 
study, this method will not provide evidence for definite claims of no 
effects.
    (c) Definitions. The definitions in section 3 of TSCA and in 40 CFR 
Part 792--Good Laboratory Practice Standards apply to this section. The 
following definitions also apply to this section.
    Dosage is a general term comprising of dose, its frequency and the 
duration of dosing.
    Dose is the amount of test substance administered. Dose is expressed 
as weight (g, mg) as weight of test substance per unit weight of test 
animal (e.g., mg/kg), or as constant dietary concentration parts per 
million (ppm).
    No-observed-effects level (NOEL) is the maximum dose used in a study 
which produces no adverse effects. The NOEL is expressed in terms of the 
weight of a test substance given daily per unit weight of test animal 
(milligrams per kilograms per day).
    (d) Principle of the test. (1) The test substance is administered in 
graduated doses to several groups of males and females. Males should be 
dosed for a minimum of four weeks and up to and including the day before 
scheduled sacrifice (this includes a minimum of two weeks prior to 
mating, during the mating period and, approximately, two weeks post-
mating). In view of the limited pre-mating dosing period in males, 
fertility may not be a particular sensitive indicator of testicular 
toxicity. Therefore, a detailed histological examination of the testes 
is essential. The combination of a pre-mating dosing period of two weeks 
and subsequent mating/fertility observations with an overall dosing 
period of at least four weeks, followed by detailed histopathology of 
the male gonads, is considered sufficient to enable detection of the 
majority of effects on male fertility and spermatogenesis.
    (2) Females should be dosed throughout the study. This includes two 
weeks prior to mating (with the objective of covering at least two 
complete oestrous cycles), the variable time to conception, the duration 
of pregnancy and at least four days after delivery, up to and including 
the day before scheduled sacrifice.
    (3) Duration of study, following acclimatization, is dependent on 
the female performance and is approximately 54 days, (at least 14 days 
premating, (up to) 14 days mating, 22 days gestation, 4 days lactation).
    (4) During the period of administration, the animals are observed 
closely each day for signs of toxicity. Animals which die or are 
sacrificed during the test period are necropsied and, at the conclusion 
of the test, surviving animals are sacrificed and necropsied.
    (e) Description of the method--(1) Selection of animal species. This 
test standard is designed for use with the rat. If other species are 
used, appropriate modifications will be necessary. Strains with low 
fecundity or well-known high incidence of developmental defects should 
not be used. Healthy virgin animals, not subjected to previous 
experimental procedures, should be

[[Page 368]]

used. The test animals should be characterized as to species, strain, 
sex, weight and/or age. At the commencement of the study the weight 
variation of animals used should be minimal and not exceed 20% of the 
mean weight of each sex.
    (2) Housing and feeding conditions. (i) The temperature in the 
experimental animal room should be 22 [deg]C (3[deg]). Although the relative humidity should be at 
least 30% and preferably not exceed 70% other than during room cleaning, 
the aim should be 50-60%. Lighting should be artificial, the sequence 
being 12 hours light, 12 hours dark. For feeding, conventional 
laboratory diets may be used with an unlimited supply of drinking water. 
The choice of diet may be influenced by the need to ensure a suitable 
admixture of a test substance when administered by this method.
    (ii) Animals may be housed individually or be caged in small groups 
of the same sex; for group caging, no more than five animals should be 
housed per cage. Mating procedures should be carried out in cages 
suitable for the purpose. Pregnant females should be caged individually 
and provided with nesting materials.
    (3) Preparation of the animals. Healthy young adult animals must be 
randomly assigned to the control and treatment groups. Cages should be 
arranged in such a way that possible effects due to cage placement are 
minimized. The animals must be uniquely identified and kept in their 
cages for at least five days prior to the start of the study to allow 
for acclimatization to the laboratory conditions.
    (4) Preparation of doses. (i) It is recommended that the test 
substance be administered orally unless other routes of administration 
are considered more appropriate. When the oral route is selected, the 
test compound is usually administered by gavage; however, alternatively, 
test compounds may be administered via the diet or drinking water.
    (ii) Where necessary, the test substance is dissolved or suspended 
in a suitable vehicle. It is recommended that, wherever possible, the 
use of an aqueous solution/suspension be considered first, followed by 
consideration of a solution/emulsion in oil (e.g., corn oil) and then by 
possible solution in other vehicles. For vehicles other than water the 
toxic characteristics of the vehicle must be known. The stability of the 
test substance in the vehicle should be determined.
    (f) Procedure--(1) Number and sex of animals. It is recommended that 
each group be started with at least 10 animals of each sex. Except in 
the case of marked toxic effects, it is expected that this will provide 
at least 8 pregnant females per group which normally is the minimum 
acceptable number of pregnant females per group. The objective is to 
produce enough pregnancies and offspring to assure a meaningful 
evaluation of the potential of the substance to affect fertility, 
pregnancy, maternal and suckling behaviour, and growth and development 
of the F1 offspring from conception to day 4 post-partum.
    (2) Dosage. (i) Generally, at least three test groups and a control 
group should be used. Dose levels may be based on information from acute 
toxicity tests or on results from repeated dose studies. Except for 
treatment with the test substance, animals in the control group should 
be handled in an identical manner to the test group subjects. If a 
vehicle is used in administering the test substance, the control group 
should receive the vehicle in the highest volume used.
    (ii) Dose levels should be selected taking into account any existing 
toxicity and (toxico-) kinetic data available for the test compound or 
related materials. The highest dose level should be chosen with the aim 
of inducing toxic effects but not death or severe suffering. Thereafter, 
a descending sequence of dose levels should be selected in order to 
demonstrate any dose response relationships and no adverse effects at 
the lowest dose level. Two to four fold intervals are frequently optimal 
for setting the descending dose levels and addition of a fourth test 
group is often preferable to using very large intervals (e.g., more than 
a factor of 10) between dosages.
    (3) Limit test. If an oral study at one dose level of at least 1000 
mg/kg body weight/day or, for dietary or drinking water administration, 
an equivalent percentage in the diet, or drinking

[[Page 369]]

water using the procedures described for this study, produces no 
observable toxic effects and if toxicity would not be expected based 
upon data from structurally related compounds, then a full study using 
several dose levels may not be considered necessary. The limit test 
applies except when human exposure indicates the need for a higher oral 
dose level to be used. For other types of administration, such as 
inhalation or dermal application, the physical chemical properties of 
the test substance often may dictate the maximum attainable 
concentration.
    (4) Administration of doses. (i) The animals must be dosed with the 
test substance daily for seven days a week. When the test substance is 
administered by gavage, this should be done in a single dose to the 
animals using a stomach tube or a suitable intubation cannula. The 
maximum volume of liquid that can be administered at one time depends on 
the size of the test animal. The volume should not exceed 1 ml/100 g 
body weight, except in the case of aqueous solutions where 2 ml/100 g 
body weight may be used. Except for irritating substances which will 
normally reveal exacerbated effects with higher concentrations, 
variability in test volume should be minimized by adjusting the 
concentration to ensure a constant volume at all dose levels.
    (ii) For substances administered via the diet or drinking water, it 
is important to ensure that the quantities of the test substance 
involved do not interfere with normal nutrition or water balance. When 
the test substance is administered in the diet either a constant dietary 
concentration (parts per million (ppm)) or a constant dose level in 
terms of the animals' body weight may be used; the alternative used must 
be specified. For a substance administered by gavage, the dose should be 
given at similar times each day, and adjusted at least weekly to 
maintain a constant dose level in terms of animal body weight.
    (5) Experimental schedule. (i) Dosing of both sexes should begin at 
least 2 weeks prior to mating, after they have been acclimatized for at 
least five days. The study should be scheduled in such a way that mating 
begins soon after the animals have attained full sexual maturity. This 
may vary slightly for different strains of rats in different 
laboratories, e.g., Sprague Dawley rats 10 weeks of age, Wistar rats 
about 12 weeks of age. Dams with offspring should be sacrificed on day 4 
post-partum, or shortly thereafter. The day of birth (viz. when 
parturition is complete) is defined as day 0 post-partum. Females 
showing no-evidence of copulation are sacrificed 24-26 days after the 
last day of the mating period. Dosing is continued in both sexes during 
the mating period. Males should further be dosed after the mating period 
at least until the minimum total dosing period of 28 days has been 
completed. They are then sacrificed, or, alternatively, are retained and 
continued to be dosed for the possible conduction of a second mating if 
considered appropriate.
    (ii) Daily dosing of the parental females should continue throughout 
pregnancy and at least up to, and including, day 3 post-partum or the 
day before sacrifice. For studies where the test substance is 
administered by inhalation or by the dermal route, dosing should be 
continued at least up to, and including, day 19 of gestation.
    (iii) The experimental schedule is given in the following figure 1.

[[Page 370]]

[GRAPHIC] [TIFF OMITTED] TR15DE00.064

    (6) Mating procedure. Normally, 1:1 (one male to one female) matings 
should be used in this study. Exceptions can arise in the case of 
occasional deaths of males. The female should be placed with the same 
male until pregnancy occurs or two weeks have elapsed. Each morning the 
females should be examined for the presence of sperm or a vaginal plug. 
Day 0 of pregnancy is defined as the day a vaginal plug or sperm is 
found.
    (7) Observations. (i) Throughout the test period, general clinical 
observations should be made at least once a day, and more frequently 
when signs of toxicity are observed. They should be made preferably at 
the same time(s) each day, considering the peak period of anticipated 
effects after dosing. Pertinent behavioural changes, signs of difficult 
or prolonged parturition and all signs of toxicity, including mortality, 
should be recorded. These records should include time of onset, degree 
and duration of toxicity signs.
    (ii) The duration of gestation should be recorded and is calculated 
from day 0 of pregnancy. Each litter should be examined as soon as 
possible after delivery to establish the number and sex of pups, 
stillbirths, live births, runts (pups that are significantly smaller 
than corresponding control pups) and the presence of gross 
abnormalities.
    (iii) Live pups should be counted and sexed and litters weighed 
within 24 hours of parturition (day 1) and on day 4 post-partum. In 
addition to the observations on parent animals, described by paragraph 
(f)(7) of this section, any abnormal behaviour of the offspring should 
be recorded.
    (8) Body weight and food/water consumption. (i) Males and females 
should be individually weighed on the first day of dosing, at least 
weekly thereafter, and at termination. During pregnancy, females should 
be weighed on days 0, 7, 14 and 20 and within 24 hours of parturition 
(day 1) and day 4 post-partum.
    (ii) During pre-mating, pregnancy and lactation, food consumption 
should be measured at least weekly. The measurement of food consumption 
during mating is optional. Water consumption during these periods should 
also be

[[Page 371]]

measured when the test substance is administered via drinking water.
    (9) Pathology--(i) Gross necropsy. (A) At the time of sacrifice or 
death during the study, the adult animals should be examined 
macroscopically for any abnormalities or pathological changes. Special 
attention should be paid to the organs of the reproductive system. The 
number of implantation sites should be recorded. Corpora lutea should be 
counted.
    (B) The testes and epididymides of all male adult animals should be 
weighed.
    (C) Dead pups and pups sacrificed at day 4 post-partum, or shortly 
thereafter, should, at least, be carefully examined externally for gross 
abnormalities.
    (D) The ovaries, testes, epididymides, accessory sex organs and all 
organs showing macroscopic lesions of all adult animals should be 
preserved. Formalin fixation is not recommended for routine examination 
of testes and epididymides. An acceptable method is the use of Bouin's 
fixative for these tissues.
    (ii) Histopathology. (A) Detailed histological examination should be 
performed on the ovaries, testes and epididymides of the animals of the 
highest dose group and the control group. The other preserved organs may 
be examined when necessary. Examinations should be extended to the 
animals of other dosage groups when changes are seen in the highest dose 
group.
    (B) Detailed testicular histopathological examination (e.g., using 
Bouin's fixative, paraffin embedding and transverse sections of 4-5 
m thickness) should be conducted with special 
emphasis on stages of spermatogenesis and histopathology interstitial 
testicular cell structure. The evaluation should identify treatment-
related effects such as retained spermatids, missing germ cell layers or 
types, multinucleated giant cells or sloughing of spermatogenic cells 
into the lumen (the specifications for the evaluation are discussed in 
paragraph (g)(2) of this section). Examination of the intact epididymis 
should include the caput, corpus, and cauda, which can be accomplished 
by evaluation of a longitudinal section. The epididymis should be 
evaluated for leukocyte infiltration, change in prevalence of cell 
types, aberrant cell types, and phagocytosis of sperm. PAS and 
hematoxylin staining may be used for examination of the male 
reproductive organs. Histopathological examination of the ovary should 
detect qualitative depletion of the primordial follicle population.
    (g) Data and reporting--(1) Data. Individual animal data should be 
provided. Additionally, all data should be summarised in tabular form, 
showing for each test group the number of animals at the start of the 
test, the number of animals found dead during the test or sacrificed for 
humane reasons, the time of any death or humane sacrifice, the number of 
fertile animals, the number of pregnant females, the number of animals 
showing signs of toxicity, a description of the signs of toxicity 
observed, including time of onset, duration, and severity of any toxic 
effects, the types of histopathological changes, and all relevant litter 
data.
    (2) Evaluation of results. (i) The findings of this toxicity study 
should be evaluated in terms of the observed effects, necropsy and 
microscopic findings. This evaluation must include the relationship 
between the dose of the test substance and the presence or absence, 
incidence and severity of abnormalities, including gross lesions, 
identified target organs, infertility, clinical abnormalities, affected 
reproductive and litter performance, body weight changes, effects on 
mortality and any other toxic effects.
    (ii) Because of the short period of treatment of the male, the 
histopathology of the testis and epididymus must be considered along 
with the fertility data, when assessing male reproductive effects.
    (iii) Due to the limited dimensions of the study, statistical 
analysis in the form of tests for ``significance'' are of limited value 
for many endpoints, especially reproductive endpoints. If statistical 
analyses are used then the method chosen should be appropriate for the 
distribution of the variable examined, and be selected prior to the 
start of the study. Because of the small group size, the use of historic 
control data (e.g.,

[[Page 372]]

for litter size), where available, may also be useful as an aid to the 
interpretation of the study.
    (3) Test report. The test report must include the following 
information:
    (i) Test substance:
    (A) Physical nature and, where relevant, physicochemical properties.
    (B) Identification data.
    (ii) Vehicle (if appropriate): Justification for choice of vehicle 
if other than water.
    (iii) Test animals:
    (A) Species/strain used.
    (B) Number, age and sex of animals.
    (C) Source, housing conditions, diet, etc.
    (D) Individual weights of animals at the start of the test.
    (iv) Test conditions:
    (A) Rationale for dose level selection.
    (B) Details of test substance formulation/diet preparation, achieved 
concentrations, stability and homogeneity of the preparation.
    (C) Details of the administration of the test substance.
    (D) Conversion from diet/drinking water test substance concentration 
(parts per million (ppm)) to the actual dose (mg/kg body weight/day), if 
applicable.
    (E) Details of food and water quality.
    (v) Results (toxic response data by sex and dose):
    (A) Time of death during the study or whether animals survived to 
termination.
    (B) Nature, severity and duration of clinical observations (whether 
reversible or not).
    (C) Body weight/body weight change data.
    (D) Food consumption and water consumption, if applicable.
    (E) Effects on reproduction, including information on mating/
precoital interval, fertility, fecundity and gestation duration.
    (F) Effects on offspring, including number of pups born (live and 
dead), sex ratio, postnatal growth (pup weights) and survival (litter 
size), gross abnormalities and clinical observations during lactation.
    (G) Body weight at termination and organ weight data for the 
parental animals.
    (H) Necropsy data, including number of implantations and number of 
corpora lutea.
    (I) Calculations of pre- and postimplantation loss.
    (J) Detailed description of histopathological findings.
    (K) Statistical treatment of results, where appropriate.
    (vi) Discussion of results.
    (vii) Conclusions.
    (4) Interpretation of results. The study will provide evaluations of 
reproduction/developmental toxicity associated with administration of 
repeated doses. It could provide an indication of the need to conduct 
further investigations and provides guidance in the design of subsequent 
studies.
    (h) References. For additional background information on this test 
guideline, the following references should be consulted. These 
references are available for inspection at the TSCA Nonconfidential 
Information Center, Rm. NE-B607, Environmental Protection Agency, 401 M 
St., SW., Washington, DC, 12 noon to 4 p.m., Monday through Friday, 
except legal holidays.
    (1) OECD (1995). Reproduction/Developmental Toxicity Screening Test, 
OECD 421, OECD Guidelines for Testing of Chemicals.
    (2) [Reserved]

[65 FR 78789, Dec. 15, 2000]



Sec.  799.9365  TSCA combined repeated dose toxicity study with the reproduction/developmental toxicity screening test.

    (a) Scope--(1) Applicability. This section is intended to meet 
testing requirements of the Toxic Substances Control Act (TSCA) (15 
U.S.C. 2601).
    (2) Source. The source material used in developing this TSCA test 
guideline is the Office of Prevention, Pesticides and Toxic Substances 
(OPPTS) harmonized test guideline 870.3650 (July 2000, final 
guidelines). This source is available at the address in paragraph (h) of 
this section.
    (b) Purpose. (1) This screening test provides limited information on 
systemic toxicity, neurotoxicity, and/or immunotoxicity following 
repeated exposure over a limited time period. In addition, it can be 
used to provide initial information on possible effects on

[[Page 373]]

male and female reproductive performance such as gonadal function, 
mating behavior, conception, development of the conceptus, and 
parturition. It is not an alternative to, nor does it replace, the 
existing test guidelines in Sec. Sec.  799.9370, 799.9380, 799.9620, and 
799.9780 of this part.
    (2) This test does not provide complete information on all aspects 
of reproduction and development. In particular, it offers only limited 
means of detecting postnatal manifestations of prenatal exposure, or 
effects that may be induced during postnatal exposure. Due (amongst 
other reasons) to the selectivity of the end points, and the short 
duration of the study, this method will not provide evidence for 
definite claims of no reproduction/developmental effects.
    (3) This test can be used to provide initial information either at 
an early stage of assessing the toxicological properties of chemicals, 
or chemicals of high concern. It can also be used as part of a set of 
initial screening tests for existing chemicals for which little or no 
toxicological information is available or when otherwise considered 
relevant. It also can serve as an alternative to conducting two separate 
screening tests for repeated dose toxicity as described in Sec.  
799.9305 of this part and reproductive/developmental toxicity as 
described in Sec.  799.9355 of this part.
    (c) Definitions. The definitions in section 3 of TSCA and in 40 CFR 
Part 792--Good Laboratory Practice Standards apply to this section. The 
following definitions also apply to this section.
    Dosage is a general term comprising dose, its frequency and the 
duration of dosing.
    Dose is the amount of test substance administered. Dose is expressed 
as weight (g, gm) or as weight of test substance per unit weight of test 
animal (e.g., mg/kg), or as constant dietary concentration (parts per 
million (ppm)).
    No-observed-effects level (NOEL) is the maximum dose used in a study 
which produces no adverse effects. The NOEL is expressed in terms of the 
weight of a test substance given daily per unit weight of test animal 
(milligrams per kilogram per day).
    (d) Principle of the test. (1) The test substance must be 
administered in graduated doses to several groups of males and females. 
Males should be dosed for a minimum of 4 weeks, up to and including the 
day before scheduled sacrifice (this includes a minimum of 2 weeks prior 
to mating, during the mating period and, approximately, 2 weeks post 
mating). In view of the limited pre-mating dosing period in males, 
fertility may not be a particularly sensitive indicator of testicular 
toxicity. Therefore, a detailed histological examination of the testes 
is essential. The combination of a pre-mating dosing period of 2 weeks 
and subsequent mating/fertility observations with an overall dosing 
period of at least 4 weeks, followed by detailed histopathology of the 
male gonads, is considered sufficient to enable detection of the 
majority of effects on male fertility and spermatogenesis.
    (2) Females should be dosed throughout the study. This includes 2 
weeks prior to mating (with the objective of covering at least two 
complete oestrous cycles), the variable time to conception, the duration 
of pregnancy and at least 4 days after delivery, up to and including the 
day before scheduled sacrifice.
    (3) Duration of study, following acclimatization, is dependent on 
the female performance and is approximately 54 days, (at least 14 days 
pre-mating, (up to) 14 days mating, 22 days gestation, 4 days 
lactation).
    (4) During the period of administration, the animals are observed 
closely each day for signs of toxicity. Animals which die or are 
sacrificed during the test are necropsied and, at the conclusion of the 
test, surviving animals are sacrificed and necropsied.
    (e) Description of the method--(1) Selection of animal species. This 
test guideline is designed for use with the rat. If other species are 
used, appropriate modifications will be necessary. Strains with low 
fecundity or well-known high incidence of developmental defects should 
not be used. Healthy virgin animals, not subjected to previous 
experimental procedures, should be used. The test animals should be 
characterised as to species, strain, sex,

[[Page 374]]

weight and/or age. At the commencement of the study the weight variation 
of animals used should be minimal and not exceed 20% of the mean weight of each sex. Where the study is 
conducted as a preliminary study to a long-term or a full-generation 
study, preferably animals from the same strain and source should be used 
in both studies.
    (2) Housing and feeding conditions. (i) The temperature in the 
experimental animal room should be 22 [deg]C (3[deg]). The relative humidity should be at least 30% 
and preferably not exceed 70% other than during room cleaning. Lighting 
should be artificial, the sequence being 12 hours light, 12 hours dark. 
For feeding, conventional laboratory diets may be used with an unlimited 
supply of drinking water. The choice of diet may be influenced by the 
need to ensure a suitable admixture of a test substance when 
administered by this method.
    (ii) Animals may be housed individually or be caged in small groups 
of the same sex; for group caging, no more than five animals should be 
housed per cage. Mating procedures should be carried out in cages 
suitable for the purpose. Pregnant females should be caged individually 
and provided with nesting materials.
    (3) Preparation of the animals. Healthy young adult animals must be 
randomised and assigned to the treatment groups and cages. Cages should 
be arranged in such a way that possible effects due to cage placements 
are minimized. The animals must be uniquely identified and kept in their 
cages for at least 5 days prior to the start of the study to allow for 
acclimatisation to the laboratory conditions.
    (4) Preparation of doses. (i) It is recommended that the test 
substance be administered orally unless other routes of administration 
are considered more appropriate. When the oral route is selected, the 
test compound is usually administered by gavage; however, alternatively, 
test compounds may also be administered via the diet or drinking water.
    (ii) Where necessary, the test substance is dissolved or suspended 
in a suitable vehicle. It is recommended that, wherever possible, the 
use of an aqueous solution/suspension be considered first, followed by 
consideration of a solution/emulsion in oil (e.g., corn oil) and then by 
possible solution in other vehicles. For non-aqueous vehicles the toxic 
characteristics of the vehicle must be known. The stability of the test 
substance in the vehicle should be determined.
    (f) Procedure--(1) Number and sex of animals. It is recommended that 
each group be started with at least 10 animals of each sex. Except in 
the case of marked toxic effects, it is expected that this will provide 
at least eight pregnant females per group which normally is the minimum 
acceptable number of pregnant females per group. The objective is to 
produce enough pregnancies and offspring to assure a meaningful 
evaluation of the potential of the substance to affect fertility, 
pregnancy, maternal and suckling behaviour, and growth and development 
of the F1 offspring from conception to day 4 post-partum. If 
interim sacrifices are planned, the number should be increased by the 
number of animals scheduled to be sacrificed before the completion of 
the study. Consideration should be given to an additional satellite 
group of five animals per sex in the control and the top dose group for 
observation of reversibility, persistence or delayed occurrence of 
systemic toxic effects, for at least 14 days post treatment. Animals of 
the satellite groups must not be mated and, consequently, must not used 
for the assessment of reproduction/developmental toxicity.
    (2) Dosage. (i) Generally, at least three test groups and a control 
group should be used. If there are no suitable general toxicity data 
available, a range finding study may be performed to aid the 
determination of the doses to be used. Except for treatment with the 
test substance, animals in the control group should be handled in an 
identical manner to the test group subjects. If a vehicle is used in 
administering the test substance, the control group should receive the 
vehicle in the highest volume used.
    (ii) Dose levels should be selected taking into account any existing 
toxicity and (toxico-) kinetic data available for the test compound or 
related

[[Page 375]]

materials. It should also be taken into account that there may be 
differences in sensitivity between pregnant and non-pregnant animals. 
The highest dose level should be chosen with the aim of inducing toxic 
effects but not death nor obvious suffering. Thereafter, a descending 
sequence of dose levels should be selected with a view to demonstrating 
any dosage related response and no adverse effects at the lowest dose 
level. Two- to four-fold intervals are frequently optimum and addition 
of a fourth test group is often preferable to using very large intervals 
(e.g., more than a factor of 10) between dosages.
    (3) Limit test. If an oral study at 1-dose level of at least 1000 
mg/kg body weight/day or, for dietary administration, an equivalent 
percentage in the diet, or drinking water (based upon body weight 
determinations), using the procedures described for this study, produces 
no observable toxic effects and if toxicity would not be expected based 
upon data from structurally related compounds, then a full study using 
several dose levels may not be considered necessary. The limit test 
applies except when human exposure indicates the need for a higher dose 
level to be used. For other types of administration, such as inhalation 
or dermal application, the physical chemical properties of the test 
substance often may dictate the maximum attainable exposure.
    (4) Administration of doses. (i) The animals are dosed with the test 
substance daily for 7 days a week. When the test substance is 
administered by gavage, this should be done in a single dose to the 
animals using a stomach tube or a suitable intubation cannula. The 
maximum volume of liquid that can be administered at one time depends on 
the size of the test animal. The volume should not exceed 1 ml/100 g 
body weight, except in the case of aqueous solutions where 2 ml/100 g 
body weight may be used. Except for irritating or corrosive substances 
which will normally reveal exacerbated effects with higher 
concentrations, variability in test volume should be minimized by 
adjusting the concentration to ensure a constant volume at all dose 
levels.
    (ii) For substances administered via the diet or drinking water, it 
is important to ensure that the quantities of the test substance 
involved do not interfere with normal nutrition or water balance. When 
the test substance is administered in the diet either a constant dietary 
concentration (parts per million (ppm)) or a constant dose level in 
terms of the animals' body weight may be used; the alternative used must 
be specified. For a substance administered by gavage, the dose should be 
given at similar times each day, and adjusted at least weekly to 
maintain a constant dose level in terms of animal body weight.
    (5) Experimental schedule. (i) Dosing of both sexes should begin 2 
weeks prior to mating, after they have been acclimatized for at least 5 
days. The study should be scheduled in such a way that mating begins 
soon after the animals have attained full sexual maturity. This may vary 
slightly for different strains of rats in different laboratories, e.g., 
Sprague Dawley rats 10 weeks of age, Wistar rats about 12 weeks of age. 
Dams with offspring should be sacrificed on day 4 post-partum, or 
shortly thereafter. In order to allow for overnight fasting of dams 
prior to blood collection (if this option is preferred), dams and their 
offspring need not necessarily be sacrificed on the same day. The day of 
birth (viz. when parturition is complete) is defined as day 0 post-
partum. Females showing no-evidence of copulation are sacrificed 24-26 
days after the last day of the mating period. Dosing is continued in 
both sexes during the mating period. Males should further be dosed after 
the mating period at least until the minimum total dosing period of 28 
days has been completed. They are then sacrificed, or, alternatively, 
are retained and continued to be dosed for the possible conduction of a 
second mating if considered appropriate.
    (ii) Daily dosing of the parental females should continue throughout 
pregnancy and at least up to, and including, day 3 post-partum or the 
day before sacrifice. For studies where the test substance is 
administered by inhalation or by the dermal route, dosing should be 
continued at least up to, and including, day 19 of gestation.

[[Page 376]]

    (iii) Animals in a satellite group scheduled for follow-up 
observations, if included, must not mated. They should be kept at least 
for a further 14 days after the first scheduled sacrifice of dams, 
without treatment to detect delayed occurrence, or persistence of, or 
recovery from toxic effects.
    (iv) The experimental schedule is given in the following figure 1.
    [GRAPHIC] [TIFF OMITTED] TR15DE00.065
    
    (6) Mating procedure. Normally, 1:1 (one male to one female) matings 
should be used in this study. Exceptions can arise in the case of 
occasional deaths of males. The female should be placed with the same 
male until pregnancy occurs or 2 weeks have elapsed. Each morning the 
females should be examined for the presence of sperm or a vaginal plug. 
Day 0 of pregnancy is defined as the day a vaginal plug or sperm is 
found. In case pairing was unsuccessful, re-mating of females with 
proven males of the same group could be considered.
    (7) Observations. (i) General clinical observations should be made 
at least once a day, preferably at the same time(s) each day and 
considering the peak period of anticipated effects after dosing. The 
health condition of the animals should be recorded. At least twice daily 
all animals must be observed for morbidity and mortality.
    (ii) Once before the first exposure (to allow for within-subject 
comparisons), and at least once a week thereafter, detailed clinical 
observations should be made in all animals. These observations should be 
made outside the home cage in a standard arena and preferably at the 
same time, each day. They should be carefully recorded; preferably using 
scoring systems, explicitly defined by the testing laboratory. Effort 
should be made to ensure that variations in the test conditions are 
minimal and that observations are preferably conducted by observers 
unaware of the treatment. Signs noted should include, but not be limited 
to, changes in skin, fur, eyes, mucous membranes, occurrence of 
secretions and excretions and autonomic activity (e.g., lacrimation, 
piloerection, pupil size, unusual respiratory pattern). Changes in gait, 
posture and response to handling as well as the presence of clonic or 
tonic movements, stereotypies (e.g., excessive grooming, repetitive 
circling), difficult or prolonged parturition or bizarre behaviour 
(e.g., self-mutilation, walking backwards) should also be recorded.

[[Page 377]]

    (iii) At one time during the study, sensory reactivity to stimuli of 
different modalities (e.g., auditory, visual and proprioceptive stimuli) 
assessment of grip strength and motor activity assessment should be 
conducted in five males and five females, randomly selected from each 
group. Further details of the procedures that could be followed are 
given in the respective references. However, alternative procedures than 
those referenced could also be used. In males, these functional 
observations should be made towards the end of their dosing period, 
shortly before scheduled sacrifice but before blood sampling for 
hematology or clinical chemistry. Females should be in a physiologically 
similar state during these functional tests and should preferably be 
tested during lactation, shortly before scheduled sacrifice. In order to 
avoid hypothermia of pups, dams should be removed from the pups for not 
more than 30 to 40 minutes. Examples of procedures for observation are 
described in the references in paragraphs (h)(3), (h)(4), (h)(5), 
(h)(6), and (h)(7) of this section.
    (iv) Functional observations made once towards the end of the study 
may be omitted when the study is conducted as a preliminary study to a 
subsequent subchronic (90-day) or long-term study. In that case, the 
functional observations should be included in this follow-up study. On 
the other hand, the availability of data on functional observations from 
this repeated dose study may enhance the ability to select dose levels 
for a subsequent subchronic or long-term study.
    (v) Functional observations may also be omitted for groups that 
otherwise reveal signs of toxicity to an extent that would significantly 
interfere with the functional test performance.
    (vi) The duration of gestation should be recorded and is calculated 
from day 0 of pregnancy. Each litter should be examined as soon as 
possible after delivery to establish the number and sex of pups, 
stillbirths, live births, runts (pups that are significantly smaller 
than corresponding control pups), and the presence of gross 
abnormalities.
    (vii) Live pups should be counted and sexed and litters weighed 
within 24 hours of parturition (day 0 or 1 post-partum) and on day 4 
post-partum. In addition to the observations on parental animals, 
described by paragraphs (f)(7)(ii) and (f)(7)(iii) of this section, any 
abnormal behaviour of the offspring should be recorded.
    (8) Body weight and food/water consumption. (i) Males and females 
should be weighed on the first day of dosing, at least weekly 
thereafter, and at termination. During pregnancy, females should be 
weighed on days 0, 7, 14 and 20 and within 24 hours of parturition (day 
0 or 1 post-partum), and day 4 post-partum. These observations should be 
reported individually for each adult animal.
    (ii) During pre-mating, pregnancy and lactation, food consumption 
should be measured at least weekly. The measurement of food consumption 
during mating is optional. Water consumption during these periods should 
also be measured, when the test substance is administered by that 
medium.
    (9) Hematology. (i) Once during the study, the following 
hematological examinations should be made in five males and five females 
randomly selected from each group: hematocrit, hemoglobin concentration, 
erythrocyte count, total and differential leucocyte count, platelet 
count and a measure of blood clotting time/potential.
    (ii) Blood samples should be taken from a named site. Females should 
be in a physiologically similar state during sampling. In order to avoid 
practical difficulties related to the variability in the onset of 
gestation, blood collection in females may be done at the end of the 
pre-mating period as an alternative to sampling just prior to, or as 
part of, the procedure for sacrificing the animals. Blood samples of 
males should preferably be taken just prior to, or as part of, the 
procedure for sacrificing the animals. Alternatively, blood collection 
in males may also be done at the end of the pre-mating period when this 
time point was preferred for females.
    (iii) Blood samples should be stored under appropriate conditions.
    (10) Clinical biochemistry. (i) Clinical biochemistry determinations 
to investigate major toxic effects in tissues and, specifically, effects 
on kidney and liver, should be performed on blood

[[Page 378]]

samples obtained from the selected five males and five females of each 
group. Overnight fasting of the animals prior to blood sampling is 
recommended\1\. Investigations of plasma or serum must include sodium, 
potassium, glucose, total cholesterol, urea, creatinine, total protein 
and albumin, at least two enzymes indicative of hepatocellular effects 
(such as alanine aminotransferase, aspartate aminotransferase and 
sorbitol dehydrogenase) and bile acids. Measurements of additional 
enzymes (of hepatic or other origin) may provide useful information 
under certain circumstances.
---------------------------------------------------------------------------

    \1\ For a number of measurements in serum and plasma, most notably 
for glucose, overnight fasting would be preferable. The major reason for 
this preference is that the increased variability which would inevitably 
result from non-fasting, would tend to mask more subtle effects and make 
interpretation difficult. On the other hand, however, overnight fasting 
may interfere with the general metabolism of the (pregnant) animals, 
disturbs lactation and nursing behaviour, and, particularly in feeding 
studies, may disturb the daily exposure to the test substance. If 
overnight fasting is adopted, clinical biochemical determinations should 
be performed after the conduct of functional observations in week 4 of 
the study.
---------------------------------------------------------------------------

    (ii) Optionally, the following urinalysis determinations could be 
performed in five randomly selected males of each group during the last 
week of the study using timed urine volume collection; appearance, 
volume, osmolality or specific gravity, pH, protein, glucose and blood 
or blood cells.
    (iii) In addition, studies to investigate serum markers of general 
tissue damage should be considered. Other determinations that should be 
carried out if the known properties of the test substance may, or are 
suspected to, affect related metabolic profiles include calcium, 
phosphate, fasting triglycerides and fasting glucose, specific hormones, 
methemoglobin and cholinesterase. These need to be identified on a case-
by-case basis.
    (iv) Overall, there is a need for a flexible approach, depending on 
the observed and/or expected effect with a given compound.
    (v) If historical baseline data are inadequate, consideration should 
be given to determination of hematological and clinical biochemistry 
variables before dosing commences.
    (11) Pathology--(i) Gross necropsy. (A) All adult animals in the 
study must be subjected to a full, detailed gross necropsy which 
includes careful examination of the external surface of the body, all 
orifices, and the cranial, thoracic and abdominal cavities and their 
contents. Special attention should be paid to the organs of the 
reproductive system. The number of implantation sites should be 
recorded. Corpora lutea should be counted.
    (B) The testes and epididymides of all adult males should be weighed 
and the ovaries, testes, epididymides, accessory sex organs, and all 
organs showing macroscopic lesions of all adult animals, should be 
preserved.
    (C) In addition, for five adult males and females, randomly selected 
from each group, the liver, kidneys, adrenals, thymus, spleen, brain and 
heart should be trimmed of any adherent tissue, as appropriate and their 
wet weight taken as soon as possible after dissection to avoid drying. 
Of the selected males and females, the following tissues should also be 
preserved in the most appropriate fixation medium for both the type of 
tissue and the intended subsequent histopathological examination: all 
gross lesions, brain (representative regions including cerebrum, 
cerebellum and pons), spinal cord, stomach, small and large intestines 
(including Peyer's patches), liver, kidneys, adrenals, spleen, heart, 
thymus, thyroid, trachea and lungs (preserved by inflation with fixative 
and then immersion), uterus, urinary bladder, lymph nodes (preferably 1 
lymph node covering the route of administration and another one distant 
from the route of administration to cover systemic effects), peripheral 
nerve (sciatic or tibial) preferably in close proximity to the muscle, 
and a section of bone marrow (or, alternatively, a fresh mounted marrow 
aspirate).
    (D) Formalin fixation is not recommended for routine examination of 
testes and epididymides. An acceptable method is the use of Bouin's 
fixative for these tissues. The clinical and other findings may suggest 
the need to examine additional tissues. Also, any organs

[[Page 379]]

considered likely to be target organs based on the known properties of 
the test substance should be preserved.
    (E) Dead pups and pups sacrificed at day 4 post-partum, or shortly 
thereafter, should, at least, be carefully examined externally for gross 
abnormalities.
    (ii) Histopathology. (A) Full histopathology should be conducted on 
the preserved organs and tissues of the selected animals in the control 
and high dose groups and all gross lesions. These examinations should be 
extended to animals of other dosage groups if treatment-related changes 
are observed in the high dose group.
    (B) Detailed testicular histopathological examination (e.g., using 
Bouin's fixative, paraffin embedding and transverse sections of 4-5 
m thickness) should be conducted with special 
emphasis on stages of spermatogenesis and histopathology interstitial 
testicular cell structure. The evaluation should identify treatment-
related effects such as retained spermatids, missing germ cell layers or 
types, multinucleated giant cells or sloughing of spermatogenic cells 
into the lumen (the specifications for the evaluation are discussed in 
paragraph (g)(2) of this section). Examination of the intact epididymis 
should include the caput, corpus, and cauda, which can be accomplished 
by evaluation of a longitudinal section. The epididymis should be 
evaluated for leukocyte infiltration, change in prevalence of cell 
types, aberrant cell types, and phagocytosis of sperm. Periodic acid-
Schiff (PAS) and hematoxylin staining may be used for examination of the 
male reproductive organs. Histopathological examination of the ovary 
should detect qualitative depletion of the primordial follicle 
population.
    (C) When a satellite group is used, histopathology should be 
performed on tissues and organs identified as showing effects in the 
treated groups.
    (g) Data and reporting--(1) Data. Individual animal data should be 
provided. Additionally, all data should be summarised in tabular form, 
showing for each test group the number of animals at the start of the 
test, the number of animals found dead during the test or sacrificed for 
humane reasons, the time of any death or humane sacrifice, the number of 
fertile animals, the number of pregnant females, the number of animals 
showing signs of toxicity, a description of the signs of toxicity 
observed, including time of onset, duration, and severity of any toxic 
effects, the types of histopathological changes, and all relevant litter 
data.
    (2) Evaluation of results. (i) The findings of this toxicity study 
should be evaluated in terms of the observed effects, necropsy and 
microscopic findings. The evaluation will include the relationship 
between the dose of the test substance and the presence or absence, 
incidence and severity of abnormalities, including gross lesions, 
identified target organs, infertility, clinical abnormalities, affected 
reproductive and litter performance, body weight changes, effects on 
mortality and any other toxic effects.
    (ii) Because of the short period of treatment of the male, the 
histopathology of the testes and epididymides must be considered along 
with the fertility data, when assessing male reproduction effects. The 
use of historic control data on reproduction/development (e.g. for 
litter size) where available may also be useful as an aid to the 
interpretation of the study.
    (iii) When possible, numerical results should be evaluated by an 
appropriate and general acceptable statistical method. The statistical 
methods should be selected during the design of the study. Due to the 
limited dimensions of the study, statistical analysis in the form of 
tests for ``significance'' are of limited value for many endpoints, 
especially reproductive endpoints. Some of the most widely used methods, 
especially parametric tests for measures of central tendency, are 
inappropriate. If statistical analyses are used then the method chosen 
should be appropriate for the distribution of the variable examined and 
be selected prior to the start of the study.
    (3) Test report. The test report must include the following 
information:
    (i) Test substance:
    (A) Physical nature and, where relevant, physicochemical properties.
    (B) Identification data.

[[Page 380]]

    (ii) Vehicle (if appropriate): Justification for choice of vehicle, 
if other than water.
    (iii) Test animals:
    (A) Species/strain used.
    (B) Number, age and sex of animals.
    (C) Source, housing conditions, diet, etc.
    (D) Individual weights of animals at the start of the test.
    (iv) Test conditions:
    (A) Rationale for dose level selection.
    (B) Details of test substance formulation/diet preparation, achieved 
concentration, stability and homogeneity of the preparation.
    (C) Details of the administration of the test substance.
    (D) Conversion from diet/drinking water test substance concentration 
(parts per mission (ppm)) to the actual dose (mg/kg body weight/day), if 
applicable.
    (E) Details of food and water quality.
    (v) Results (toxic response data by sex and dose):
    (A) Time of death during the study or whether animals survived to 
termination.
    (B) Nature, severity and duration of clinical observations (whether 
reversible or not).
    (C) Body weight/body weight change data.
    (D) Food consumption and water consumption, if applicable.
    (E) Sensory activity, grip strength and motor activity assessments.
    (F) Hematological tests with relevant baseline values,
    (G) Clinical biochemistry tests with relevant baseline values.
    (H) Effects on reproduction, including information on mating/
precoital interval, fertility, fecundity and gestation duration.
    (I) Effects on offspring, including number of pups born (live and 
dead), sex ratio, postnatal growth (pup weights) and survival (litter 
size), gross abnormalities and clinical observations during lactation.
    (J) Body weight at termination and organ weight data for the 
parental animals.
    (K) Necropsy data, including number of implantations and number of 
corpora lutea.
    (L) Calculations of pre- and postimplantation loss.
    (M) Detailed description of histopathological findings.
    (N) Statistical treatment of results, where appropriate.
    (vi) Discussion of results.
    (vii) Conclusions.
    (h) References. For additional background information on this test 
guideline, the following references should be consulted. These 
references are available for inspection at the TSCA Nonconfidential 
Information Center, Rm. NE-B607, Environmental Protection Agency, 401 M 
St., NW., Washington, DC, 12 noon to 4 p.m., Monday through Friday, 
except legal holidays.
    (1) Mitsumori, K., Kodama, Y., Uchida, O., Takada, K., Saito, M. 
Naito, K., Tanaka, S., Kurokawa, Y., Usami, M., Kawashima, K., Yasuhara, 
K., Toyoda, K., Onodera, H., Furukawa, F., Takahashi, M. and Hayashi, 
Y., (1994). Confirmation Study, Using Nitro-Benzene, of the Combined 
Repeat Dose and Reproductive/ Developmental Toxicity Test Protocol 
Proposed by the Organization for Economic Cooperation and Development 
(OECD). Journal of Toxicology and Science, 19:141-149.
    (2) Tanaka, S., Kawashima, K., Naito, K., Usami, M., Nakadate, M., 
Imaida, K., Takahashi, M., Hayashi, Y., Kurokawa, Y. and Tobe, M. 
(1992). Combined Repeat Dose and Reproductive/Developmental Toxicity 
Screening Test (OECD): Familiarization Using Cyclophosphamide. 
Fundamental and Applied Toxicology, 18:89-95.
    (3) Tupper D.E., Wallace R.B. (1980). Utility of the Neurologic 
Examination in Rats. Acta Neurobiological Exposure, 40:999-1003.
    (4) Gad S.C. (1982). A Neuromuscular Screen for Use in Industrial 
Toxicology. Journal of Toxicology and Environmental Health, 9:691-704.
    (5) Moser V.C., McDaniel K.M., Phillips P.M. (1991). Rat Strain and 
Stock Comparisons Using a Functional Observational Battery: Baseline 
Values and Effects of Amitraz. Toxicology and Applied Pharmacology, 
108:267-283.
    (6) Meyer O.A., Tilson H.A., Byrd W.C., Riley M.T. (1979). A Method 
for the Routine Assessment of Fore- and Hindlimb Grip Strength of Rats 
and

[[Page 381]]

Mice. Neurobehavorial Toxicology, 1:233-236.
    (7) Crofton K.M., Howard J.L., Moser V.C., Gill M.W., Reiter L.W., 
Tilson H.A., MacPhail R.C. (1991). Interlaboratory Comparison of Motor 
Activity Experiments: Implication for Neurotoxicological Assessments. 
Neurotoxicology and Teratology 13:599-609.

[65 FR 78793, Dec. 15, 2000]



Sec.  799.9370  TSCA prenatal developmental toxicity.

    (a) Scope This section is intended to meet the testing requirements 
under section 4 of TSCA. This guideline for developmental toxicity 
testing is designed to provide general information concerning the 
effects of exposure on the pregnant test animal and on the developing 
organism; this may include death, structural abnormalities, or altered 
growth and an assessment of maternal effects. For information on testing 
for functional deficiencies and other postnatal effects, the guidelines 
for the two-generation reproductive toxicity study and the developmental 
neurotoxicity study should be consulted.
    (b) Source. The source material used in developing this TSCA test 
guideline is the OPPTS harmonized test guideline 870.3700 (February 1996 
Public Draft). This source is available at the address in paragraph (h) 
of this section.
    (c) Good laboratory practice standards. The study shall be conducted 
in compliance with 40 CFR Part 792--Good Laboratory Practice Standards.
    (d) Principle of the test method. The test substance is administered 
to pregnant animals at least from implantation to one day prior to the 
expected day of parturition. Shortly before the expected date of 
delivery, the pregnant females are terminated, the uterine contents are 
examined, and the fetuses are processed for visceral and skeletal 
evaluation.
    (e) Test procedures--(1) Animal selection--(i) Species and strain. 
It is recommended that testing be performed in the most relevant 
species, and that laboratory species and strains which are commonly used 
in prenatal developmental toxicity testing be employed. The preferred 
rodent species is the rat and the preferred non-rodent species is the 
rabbit.
    (ii) Age. Young adult animals shall be used.
    (iii) Sex. Nulliparous female animals shall be used at each dose 
level. Animals should be mated with males of the same species and 
strain, avoiding the mating of siblings, if parentage is known. Day 0 in 
the test is the day on which a vaginal plug and/or sperm are observed in 
the rodent or that insemination is performed or observed in the rabbit.
    (iv) Number of animals. Each test and control group shall contain a 
sufficient number of animals to yield approximately 20 animals with 
implantation sites at necropsy.
    (2) Administration of test and control substances--(i) Dose levels 
and dose selection. (A) At least three-dose levels and a concurrent 
control shall be used. Healthy animals shall be randomly assigned to the 
control and treatment groups, in a manner which results in comparable 
mean body weight values among all groups. The dose levels should be 
spaced to produce a gradation of toxic effects. Unless limited by the 
physical/chemical nature or biological properties of the test substance, 
the highest dose shall be chosen with the aim to induce some 
developmental and/or maternal toxicity but not death or severe 
suffering. In the case of maternal mortality, this should not be more 
than approximately 10%. The intermediate dose levels should produce 
minimal observable toxic effects. The lowest dose level should not 
produce any evidence of either maternal or developmental toxicity (i.e., 
the no-observed-adverse-effect level, NOAEL) or should be at or near the 
limit of detection for the most sensitive endpoint. Two- or four-fold 
intervals are frequently optimal for spacing the dose levels, and the 
addition of a fourth test group is often preferable to using very large 
intervals (e.g., more than a factor of 10) between dosages.
    (B) It is desirable that additional information on metabolism and 
pharmacokinetics of the test substance be available to demonstrate the 
adequacy of the dosing regimen. This information should be available 
prior to testing.

[[Page 382]]

    (C) The highest dose tested need not exceed 1,000 mg/kg/day by oral 
or dermal administration, or 2 mg/L (or the maximum attainable 
concentration) by inhalation, unless potential human exposure data 
indicate the need for higher doses. If a test performed at the limit 
dose level, using the procedures described for this study, produces no 
observable toxicity and if an effect would not be expected based upon 
data from structurally related compounds, then a full study using three-
dose levels may not be considered necessary.
    (ii) Control group. (A) A concurrent control group shall be used. 
This group shall be a sham-treated control group or a vehicle-control 
group if a vehicle is used in administering the test substance.
    (B) The vehicle control group should receive the vehicle in the 
highest volume used.
    (C) If a vehicle or other additive is used to facilitate dosing, 
consideration should be given to the following characteristics: Effects 
on the absorption, distribution, metabolism, or retention of the test 
substance; effects on the chemical properties of the test substance 
which may alter its toxic characteristics; and effects on the food or 
water consumption or the nutritional status of the animals.
    (iii) Route of administration. (A) The test substance or vehicle is 
usually administered orally by intubation.
    (B) If another route of administration is used, for example, when 
the route of administration is based upon the principal route of 
potential human exposure, the tester shall provide justification and 
reasoning for its selection, and appropriate modifications may be 
necessary. Care should be taken to minimize stress on the maternal 
animals. For materials administered by inhalation, whole-body exposure 
is preferable to nose-only exposure due to the stress of restraint 
required for nose-only exposure.
    (C) The test substance shall be administered at approximately the 
same time each day.
    (D) When administered by gavage or dermal application, the dose to 
each animal shall be based on the most recent individual body weight 
determination.
    (iv) Dosing schedule. At minimum, the test substance shall be 
administered daily from implantation to the day before cesarean section 
on the day prior to the expected day of parturition. Alternatively, if 
preliminary studies do not indicate a high potential for preimplantation 
loss, treatment may be extended to include the entire period of 
gestation, from fertilization to approximately 1 day prior to the 
expected day of termination.
    (f) Observation of animals--(1) Maternal. (i) Each animal shall be 
observed at least once daily, considering the peak period of anticipated 
effects after dosing. Mortality, moribundity, pertinent behavioral 
changes, and all signs of overt toxicity shall be recorded at this 
cageside observation. In addition, thorough physical examinations shall 
be conducted at the same time maternal body weights are recorded.
    (ii) Animals shall be weighed on day 0, at termination, and at least 
at 3-day intervals during the dosing period.
    (iii) Food consumption shall be recorded on at least 3-day 
intervals, preferably on days when body weights are recorded.
    (iv) (A) Females shall be terminated immediately prior to the 
expected day of delivery.
    (B) Females showing signs of abortion or premature delivery prior to 
scheduled termination shall be killed and subjected to a thorough 
macroscopic examination.
    (v) At the time of termination or death during the study, the dam 
shall be examined macroscopically for any structural abnormalities or 
pathological changes which may have influenced the pregnancy. Evaluation 
of the dams during cesarean section and subsequent fetal analyses should 
be conducted without knowledge of treatment group in order to minimize 
bias.
    (vi) (A) Immediately after termination or as soon as possible after 
death, the uteri shall be removed and the pregnancy status of the 
animals ascertained. Uteri that appear nongravid shall be further 
examined (e.g. by ammonium sulfide staining) to confirm the nonpregnant 
status.
    (B) Each gravid uterus (with cervix) shall be weighed. Gravid 
uterine weights should not be obtained from

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dead animals if autolysis or decomposition has occurred.
    (C) The number of corpora lutea shall be determined for pregnant 
animals.
    (D) The uterine contents shall be examined for embryonic or fetal 
deaths and the number of viable fetuses. The degree of resorption shall 
be described in order to help estimate the relative time of death of the 
conceptus.
    (2) Fetal. (i) The sex and body weight of each fetus shall be 
determined.
    (ii) Each fetus shall be examined for external anomalies.
    (iii) Fetuses shall be examined for skeletal and soft tissue 
anomalies (e.g. variations and malformations or other categories of 
anomalies as defined by the performing laboratory).
    (A) For rodents, approximately one-half of each litter shall be 
prepared by standard techniques and examined for skeletal alterations, 
preferably bone and cartilage. The remainder shall be prepared and 
examined for soft tissue anomalies, using appropriate serial sectioning 
or gross dissection techniques. It is also acceptable to examine all 
fetuses by careful dissection for soft tissue anomalies followed by an 
examination for skeletal anomalies.
    (B) For rabbits, all fetuses shall be examined for both soft tissue 
and skeletal alterations. The bodies of these fetuses should be 
evaluated by careful dissection for soft-tissue anomalies, followed by 
preparation and examination for skeletal anomalies. An adequate 
evaluation of the internal structures of the head, including the eyes, 
brain, nasal passages, and tongue, should be conducted for at least half 
of the fetuses.
    (g) Data and reporting--(1) Treatment of results. Data shall be 
reported individually and summarized in tabular form, showing for each 
test group the types of change and the number of dams, fetuses, and 
litters displaying each type of change.
    (2) Evaluation of study results. The following shall be provided:
    (i) Maternal and fetal test results, including an evaluation of the 
relationship, or lack thereof, between the exposure of the animals to 
the test substance and the incidence and severity of all findings.
    (ii) Criteria used for categorizing fetal external, soft tissue, and 
skeletal anomalies.
    (iii) When appropriate, historical control data to enhance 
interpretation of study results. Historical data (on litter incidence 
and fetal incidence within litter), when used, should be compiled, 
presented, and analyzed in an appropriate and relevant manner. In order 
to justify its use as an analytical tool, information such as the dates 
of study conduct, the strain and source of the animals, and the vehicle 
and route of administration should be included.
    (iv) Statistical analysis of the study findings should include 
sufficient information on the method of analysis, so that an independent 
reviewer/statistician can reevaluate and reconstruct the analysis. In 
the evaluation of study data, the litter should be considered the basic 
unit of analysis.
    (v) In any study which demonstrates an absence of toxic effects, 
further investigation to establish absorption and bioavailability of the 
test substance should be considered.
    (3) Test report. In addition to the reporting requirements as 
specified under 40 CFR part 792, subpart J, the following specific 
information shall be reported. Both individual and summary data should 
be presented.
    (i) Species and strain.
    (ii) Maternal toxic response data by dose, including but not limited 
to:
    (A) The number of animals at the start of the test, the number of 
animals surviving, the number pregnant, and the number aborting.
    (B) Day of death during the study or whether animals survived to 
termination.
    (C) Day of observation of each abnormal clinical sign and its 
subsequent course.
    (D) Body weight and body weight change data, including body weight 
change adjusted for gravid uterine weight.
    (E) Food consumption and, if applicable, water consumption data.
    (F) Necropsy findings, including gravid uterine weight.
    (iii) Developmental endpoints by dose for litters with implants, 
including:
    (A) Corpora lutea counts.

[[Page 384]]

    (B) Implantation data, number and percent of live and dead fetuses, 
and resorptions (early and late).
    (C) Pre- and postimplantation loss calculations.
    (iv) Developmental endpoints by dose for litters with live fetuses, 
including:
    (A) Number and percent of live offspring.
    (B) Sex ratio.
    (C) Fetal body weight data, preferably by sex and with sexes 
combined.
    (D) External, soft tissue, and skeletal malformation and variation 
data. The total number and percent of fetuses and litters with any 
external, soft tissue, or skeletal alteration, as well as the types and 
incidences of individual anomalies, should be reported.
    (v) The numbers used in calculating all percentages or indices.
    (vi) Adequate statistical treatment of results.
    (vii) A copy of the study protocol and any amendments should be 
included.
    (h) References. For additional background information on this test 
guideline, the following references should be consulted. These 
references are available for inspection at the TSCA Nonconfidential 
Information Center, Rm. NE-B607, Environmental Protection Agency, 401 M 
St., SW., Washington, DC, 12 noon to 4 p.m., Monday through Friday, 
except legal holidays.
    (1) Aliverti, V.L. et al. The extent of fetal ossification as an 
index of delayed development in teratogenicity studies in the rat. 
Teratology. 20:237-242 (1979).
    (2) Barrow, M.V. and W.J. Taylor. A rapid method for detecting 
malformations in rat fetuses. Journal of Morphology 127:291-306 (1969).
    (3) Burdi, A.R. Toluidine blue-alizarin red S staining of cartilage 
and bone in whole-mount skeltons in vitro. Stain Technolology. 40:45-48 
(1965).
    (4) Edwards, J.A. Ed. Woolam,D.H.M. The external development of the 
rabbit and rat embryo. Vol. 3. Advances in Teratology (Academic, NY, 
1968).
    (5) Fritz, H. Prenatal ossification in rabbits as indicative of 
fetal maturity. Teratology. 11:313-320 (1974).
    (6) Fritz, H. and Hess, R. Ossification of the rat and mouse 
skeleton in the perinatal period. Teratology. 3:331-338 (1970).
    (7) Gibson, J.P. et al. Use of the rabbit in teratogenicity studies. 
Toxicology and Applied Pharmacology. 9:398-408 (1966).
    (8) Inouye, M. Differential staining of cartilage and bone in fetal 
mouse skeleton by alcian blue and alizarin red S. Congenital Anomalies. 
16(3):171-173 (1976).
    (9) Igarashi, E. et al. Frequence of spontaneous axial skeletal 
variations detected by the double staining technique for ossified and 
cartilaginous skeleton in rat fetuses. Congenital Anomalies. 32:381-391 
(1992).
    (10) Kimmel, C.A. et al. Skeletal development following heat 
exposure in the rat. Teratology. 47:229-242 (1993).
    (11) Kimmel, C.A. and Francis, E.Z. Proceedings of the workshop on 
the acceptability and interpretation of dermal developmental toxicity 
studies. Fundamental and Applied Toxicology. 14:386-398 (1990).
    (12) Kimmel, C.A. and C. Trammell. A rapid procedure for routine 
double staining of cartilage and bone in fetal and adult animals. Stain 
Technology. 56:271-273 (1981).
    (13) Kimmel, C.A. and Wilson, J.G. Skeletal deviation in rats: 
malformations or variations? Teratology. 8:309-316 (1973).
    (14) Marr, M.C. et al. Comparison of single and double staining for 
evaluation of skeletal development: the effects of ethylene glycol (EG) 
in CD rats. Teratology. 37:476 (1988).
    (15) Marr, M.C. et al. Developmental stages of the CD (Sprague-
Dawley) rat skeleton after maternal exposure to ethylene glycol. 
Teratology. 46:169-181 (1992).
    (16) McLeod, M.J. Differential staining of cartilage and bone in 
whole mouse fetuses by Alcian blue and alizarin red S. Teratology. 
22:299-301 (1980).
    (17) Monie, I.W. et al. Dissection procedures for rat fetuses 
permitting alizarin red staining of skeleton and histological study of 
viscera. Supplement to Teratology Workshop Manual. pp. 163-173 (1965).
    (18) Organisation for Economic Co-operation and Development, No. 
414: Teratogenicity, Guideline for Testing of Chemicals. [C(83)44 
(Final)] (1983).
    (19) Salewski (Koeln), V.E. Faerbermethode zum makroskopischen

[[Page 385]]

nachweis von implantations stellen am uterus der ratte. Naunyn-
Schmeidebergs Archiv f[uuml]r Pharmakologie und Experimentelle 
Pathologie. 247:367 (1964).
    (20) Spark, C. and Dawson,A.B. The order and time of appearance of 
centers of ossification in the fore and hind limbs of the albino rat, 
with special reference to the possible influence of the sex factor. 
American Journal of Anatomy. 41:411-445 (1928).
    (21) Staples, R.E. Detection of visceral alterations in mammalian 
fetuses. Teratology. 9(3):A37-A38 (1974).
    (22) Staples, R.E. and Schnell, V.L. Refinements in rapid clearing 
technique in the KOH--alizarin red S method for fetal bone. Stain 
Technology. 39:61-63 (1964).
    (23) Strong, R.M. The order time and rate of ossification of the 
albino rat (mus norvegicus albinus) skeleton. American Journal of 
Anatomy. 36: 313-355 (1928).
    (24) Stuckhardt, J.L. and Poppe, S.M. Fresh visceral examination of 
rat and rabbit fetuses used in teratogenicity testing. Teratogenesis, 
Carcinogenesis, and Mutagenesis. 4:181-188 (1984).
    (25) Van Julsingha, E.B. and Bennett,C.G. Eds. Neubert, D., Merker, 
H.J., and Kwasigroch, T.E. A dissecting procedure for the detection of 
anomalies in the rabbit foetal head. Methods in Prenatal Toxicology 
(University of Chicago, Chicago, IL, 1977) pp. 126-144.
    (26) Whitaker, J. and Dix, D.M. Double-staining for rat foetus 
skeletons in teratological studies. Laboratory Animals. 13:309-310 
(1979).
    (27) Wilson, J.G. Eds. Wilson, J.G. and Warkany, J. Embryological 
considerations in teratology. Teratology: Principles and Techniques 
(University of Chicago, Chicago, IL, 1965) pp. 251-277.



Sec.  799.9380  TSCA reproduction and fertility effects.

    (a) Scope. This section is intended to meet the testing requirements 
under section 4 of the TSCA. This section is for two-generation 
reproduction testing and is designed to provide general information 
concerning the effects of a test substance on the integrity and 
performance of the male and female reproductive systems, including 
gonadal function, the estrous cycle, mating behavior, conception, 
gestation, parturition, lactation, and weaning, and on the growth and 
development of the offspring. The study may also provide information 
about the effects of the test substance on neonatal morbidity, 
mortality, target organs in the offspring, and preliminary data on 
prenatal and postnatal developmental toxicity and serve as a guide for 
subsequent tests. Additionally, since the study design includes in utero 
as well as postnatal exposure, this study provides the opportunity to 
examine the susceptibility of the immature/neonatal animal.
    (b) Source. The source material used in developing this TSCA test 
guideline is the OPPTS harmonized test guideline 870.3800 (February 1996 
Public Draft). This source is available at the address in paragraph (g) 
of this section.
    (c) Good laboratory practice standards. The study shall be conducted 
in compliance with 40 CFR part 792--Good Laboratory Practice Standards.
    (d) Principle of the test method. The test substance is administered 
to parental (P) animals prior to and during their mating, during the 
resultant pregnancies, and through the weaning of their F1 offspring. 
The substance is then administered to selected F1 offspring during their 
growth into adulthood, mating, and production of an F2 generation, until 
the F2 generation is weaned.
    (e) Test procedures--(1) Animal selection--(i) Species and strain. 
The rat is the most commonly used species for testing. If another 
mammalian species is used, the tester shall provide justification/
reasoning for its selection, and appropriate modifications will be 
necessary. Healthy parental animals, which have been acclimated to 
laboratory conditions for at least 5 days and have not been subjected to 
previous experimental procedures, should be used. Strains of low 
fecundity shall not be used.
    (ii) Age. Parental (P) animals shall be 5 to 9 weeks old at the 
start of dosing. The animals of all test groups should be of uniform 
weight, age, and parity as nearly as practicable, and should be 
representative of the species and strain under study.
    (iii) Sex. (A) For an adequate assessment of fertility, both males 
and females shall be studied.

[[Page 386]]

    (B) The females shall be nulliparous and nonpregnant.
    (iv) Number of animals. Each control group shall contain a 
sufficient number of mating pairs to yield approximately 20 pregnant 
females. Each test group shall contain a similar number of mating pairs.
    (v) Identification of animals. Each animal shall be assigned a 
unique identification number. For the P generation, this should be done 
before dosing starts. For the F1 generation, this should be done for 
animals selected for mating; in addition, records indicating the litter 
of origin shall be maintained for all selected F1 animals.
    (2) Administration of test and control substances--(i) Dose levels 
and dose selection. (A) At least three-dose levels and a concurrent 
control shall be used. Healthy animals should be randomly assigned to 
the control and treatment groups, in a manner which results in 
comparable mean body weight values among all groups. The dose levels 
should be spaced to produce a gradation of toxic effects. Unless limited 
by the physical/chemical nature or biological properties of the test 
substance, the highest dose should be chosen with the aim to induce some 
reproductive and/or systemic toxicity but not death or severe suffering. 
In the case of parental mortality, this should not be more than 
approximately 10%. The intermediate dose levels should produce minimal 
observable toxic effects. The lowest dose level should not produce any 
evidence of either systemic or reproductive toxicity (i.e., the no-
observed-adverse-effect level, NOAEL) or should be at or near the limit 
of detection for the most sensitive endpoint. Two- or four-fold 
intervals are frequently optimal for spacing the dose levels, and the 
addition of a fourth test group is often preferable to using very large 
intervals (e.g., more than a factor of 10) between dosages.
    (B) It is desirable that additional information on metabolism and 
pharmacokinetics of the test substance be available to demonstrate the 
adequacy of the dosing regimen. This information should be available 
prior to testing.
    (C) The highest dose tested should not exceed 1,000 mg/kg/day (or 
20,000 ppm in the diet), unless potential human exposure data indicate 
the need for higher doses. If a test performed at the limit dose level, 
using the procedures described for this study, produces no observable 
toxicity and if an effect would not be expected based upon data from 
structurally related compounds, then a full study using three dose 
levels may not be considered necessary.
    (ii) Control group. (A) A concurrent control group shall be used. 
This group shall be an untreated or sham treated group or a vehicle-
control group if a vehicle is used in administering the test substance.
    (B) If a vehicle is used in administering the test substance, the 
control group shall receive the vehicle in the highest volume used.
    (C) If a vehicle or other additive is used to facilitate dosing, 
consideration should be given to the following characteristics: Effects 
on the absorption, distribution, metabolism, or retention of the test 
substance; effects on the chemical properties of the test substance 
which may alter its toxic characteristics; and effects on the food or 
water consumption or the nutritional status of the animals.
    (D) If a test substance is administered in the diet and causes 
reduced dietary intake or utilization, the use of a pair-fed control 
group may be considered necessary.
    (iii) Route of administration. (A) The test substance is usually 
administered by the oral route (diet, drinking water, or gavage).
    (B) If administered by gavage or dermal application, the dosage 
administered to each animal prior to mating and during gestation and 
lactation shall be based on the individual animal body weight and 
adjusted weekly at a minimum.
    (C) If another route of administration is used, for example, when 
the route of administration is based upon the principal route of 
potential human exposure, the tester should provide justification and 
reasoning for its selection, and appropriate modifications may be 
necessary. Care should be taken to minimize stress on the maternal 
animals and their litters during gestation and lactation.

[[Page 387]]

    (D) All animals should be dosed by the same method during the 
appropriate experimental period.
    (iv) Dosing schedule. (A) The animals should be dosed with the test 
substance on a 7-days-a-week basis.
    (B) Daily dosing of the parental (P) males and females shall begin 
when they are 5 to 9 weeks old. Daily dosing of the F1 males and females 
shall begin at weaning. For both sexes (P and F1), dosing shall be 
continued for at least 10 weeks before the mating period.
    (C) Daily dosing of the P and F1 males and females shall continue 
until termination.
    (3) Mating procedure--(i) Parental. (A) For each mating, each female 
shall be placed with a single randomly selected male from the same dose 
level (1:1 mating) until evidence of copulation is observed or either 3 
estrous periods or 2 weeks has elapsed. Animals should be separated as 
soon as possible after evidence of copulation is observed. If mating has 
not occurred after 2 weeks or 3 estrous periods, the animals should be 
separated without further opportunity for mating. Mating pairs should be 
clearly identified in the data.
    (B) Vaginal smears shall be collected daily and examined for all 
females during mating, until evidence of copulation is observed.
    (C) Each day, the females shall be examined for presence of sperm or 
vaginal plugs. Day 0 of pregnancy is defined as the day a vaginal plug 
or sperm are found.
    (ii) F1 mating. For mating the F1 offspring, at least one male and 
one female should be randomly selected from each litter for mating with 
another pup of the same dose level but different litter, to produce the 
F2 generation.
    (iii) Second mating. In certain instances, such as poor reproductive 
performance in the controls, or in the event of treatment-related 
alterations in litter size, the adults may be remated to produce an F1b 
or F2b litter. If production of a second litter is deemed necessary in 
either generation, the dams should be remated approximately 1-2 weeks 
following weaning of the last F1a or F2a litter.
    (iv) Special housing. After evidence of copulation, animals that are 
presumed to be pregnant shall be caged separately in delivery or 
maternity cages. Pregnant animals shall be provided with nesting 
materials when parturition is near.
    (v) Standardization of litter sizes. (A) Animals should be allowed 
to litter normally and rear their offspring to weaning. Standardization 
of litter sizes is optional.
    (B) If standardization is performed, the following procedure should 
be used. On day 4 after birth, the size of each litter may be adjusted 
by eliminating extra pups by random selection to yield, as nearly as 
possible, four males and four females per litter or five males and five 
females per litter. Selective elimination of pups, i.e. based upon body 
weight, is not appropriate. Whenever the number of male or female pups 
prevents having four (or five) of each sex per litter, partial 
adjustment (for example, five males and three females, or four males and 
six females) is acceptable. Adjustments are not appropriate for litters 
of eight pups or less.
    (4) Observation of animals--(i) Parental. (A) Throughout the test 
period, each animal shall be observed at least once daily, considering 
the peak period of anticipated effects after dosing. Mortality, 
moribundity, pertinent behavioral changes, signs of difficult or 
prolonged parturition, and all signs of overt toxicity shall be recorded 
at this cageside examination. In addition, thorough physical 
examinations should be conducted weekly on each animal.
    (B) Parental animals (P and F1) shall be weighed on the first day of 
dosing and weekly thereafter. Parental females (P and F1) should be 
weighed at a minimum on approximately gestation days 0, 7, 14, and 21, 
and during lactation on the same days as the weighing of litters.
    (C) During the premating and gestation periods, food consumption 
shall be measured weekly at a minimum. Water consumption should be 
measured weekly at a minimum if the test substance is administered in 
the water.
    (D) Estrous cycle length and pattern should be evaluated by vaginal 
smears for all P and F1 females during a minimum of 3 weeks prior to 
mating and throughout cohabitation; care should

[[Page 388]]

be taken to prevent the induction of pseudopregnancy.
    (E) For all P and F1 males at termination, sperm from one testis and 
one epididymis shall be collected for enumeration of homogenization-
resistant spermatids and cauda epididymal sperm reserves, respectively. 
In addition, sperm from the cauda epididymis (or vas deferens) should be 
collected for evaluation of sperm motility and sperm morphology.
    (1) The total number of homogenization-resistant testicular sperm 
and cauda epididymal sperm should be enumerated. The method described in 
the reference under paragraph (g)(8) of this section may be used. Cauda 
sperm reserves can be derived from the concentration and volume of sperm 
in the suspension used to complete the qualitative evaluations, and the 
number of sperm recovered by subsequent mincing and/or homogenizing of 
the remaining cauda tissue. Enumeration in only control and high-dose P 
and F1 males may be performed unless treatment-related effects are 
observed; in that case, the lower dose groups should also be evaluated.
    (2) An evaluation of epididymal (or vas deferens) sperm motility 
should be performed. Sperm should be recovered while minimizing damage 
(the evaluation techniques as described in the reference under paragraph 
(g)(8) of this section may be used), and the percentage of progressively 
motile sperm should be determined either subjectively or objectively. 
For objective evaluations, an acceptable counting chamber of sufficient 
depth can be used to effectively combine the assessment of motility with 
sperm count and sperm morphology. When computer-assisted motion analysis 
is performed, the derivation of progressive motility relies on user-
defined thresholds for average path velocity and straightness or linear 
index. If samples are videotaped, or images otherwise recorded, at the 
time of necropsy, subsequent analysis of only control and high-dose P 
and F1 males may be performed unless treatment-related effects are 
observed; in that case, the lower dose groups should also be evaluated. 
In the absence of a video or digital image, all samples in all treatment 
groups should be analyzed at necropsy.
    (3) A morphological evaluation of an epididymal (or vas deferens) 
sperm sample shall be performed. Sperm (at least 200 per sample) should 
be examined as fixed, wet preparations (the techniques for such 
examinations is described in the references under paragraphs (g)(4) and 
(g)(8) of this section may be used) and classified as either normal 
(both head and midpiece/tail appear normal) or abnormal. Examples of 
morphologic sperm abnormalities would include fusion, isolated heads, 
and misshapen heads and/or tails. Evaluation of only control and high-
dose P and F1 males may be performed unless treatment-related effects 
are observed; in that case, the lower dose groups should also be 
evaluated.
    (ii) Offspring. (A) Each litter should be examined as soon as 
possible after delivery (lactation day 0) to establish the number and 
sex of pups, stillbirths, live births, and the presence of gross 
anomalies. Pups found dead on day 0 should be examined for possible 
defects and cause of death.
    (B) Live pups should be counted, sexed, and weighed individually at 
birth, or soon thereafter, at least on days 4, 7, 14, and 21 of 
lactation, at the time of vaginal patency or balanopreputial separation, 
and at termination.
    (C) The age of vaginal opening and preputial separation should be 
determined for F1 weanlings selected for mating. If there is a 
treatment-related effect in F1 sex ratio or sexual maturation, 
anogenital distance should be measured on day 0 for all F2 pups.
    (5) Termination schedule. (i) All P and F1 adult males and females 
should be terminated when they are no longer needed for assessment of 
reproductive effects.
    (ii) F1 offspring not selected for mating and all F2 offspring 
should be terminated at comparable ages after weaning.
    (6) Gross necropsy. (i) At the time of termination or death during 
the study, all parental animals (P and F1) and when litter size permits 
at least three pups per sex per litter from the unselected F1 weanlings 
and the F2 weanlings shall be examined

[[Page 389]]

macroscopically for any structural abnormalities or pathological 
changes. Special attention shall be paid to the organs of the 
reproductive system.
    (ii) Dead pups or pups that are terminated in a moribund condition 
should be examined for possible defects and/or cause of death.
    (iii) At the time of necropsy, a vaginal smear should be examined to 
determine the stage of the estrous cycle. The uteri of all cohabited 
females should be examined, in a manner which does not compromise 
histopathological evaluation, for the presence and number of 
implantation sites.
    (7) Organ weights. (i) At the time of termination, the following 
organs of all P and F1 parental animals shall be weighed:
    (A) Uterus (with oviducts and cervix), ovaries.
    (B) Testes, epididymides (total weights for both and cauda weight 
for either one or both), seminal vesicles (with coagulating glands and 
their fluids), and prostate.
    (C) Brain, pituitary, liver, kidneys, adrenal glands, spleen, and 
known target organs.
    (ii) For F1 and F2 weanlings that are examined macroscopically, the 
following organs shall be weighed for one randomly selected pup per sex 
per litter.
    (A) Brain.
    (B) Spleen and thymus.
    (8) Tissue preservation. The following organs and tissues, or 
representative samples thereof, shall be fixed and stored in a suitable 
medium for histopathological examination.
    (i) For the parental (P and F1) animals:
    (A) Vagina, uterus with oviducts, cervix, and ovaries.
    (B) One testis (preserved in Bouins fixative or comparable 
preservative), one epididymis, seminal vesicles, prostate, and 
coagulating gland.
    (C) Pituitary and adrenal glands.
    (D) Target organs, when previously identified, from all P and F1 
animals selected for mating.
    (E) Grossly abnormal tissue.
    (ii) For F1 and F2 weanlings selected for macroscopic examination: 
Grossly abnormal tissue and target organs, when known.
    (9) Histopathology--(i) Parental animals. Full histopathology of the 
organs listed in paragraph (e)(8)(i) of this section shall be performed 
for ten randomly chosen high dose and control P and F1 animals per sex, 
for those animals that were selected for mating. Organs demonstrating 
treatment-related changes shall also be examined for the remainder of 
the high-dose and control animals and for all parental animals in the 
low- and mid-dose groups. Additionally, reproductive organs of the low- 
and mid-dose animals suspected of reduced fertility, e.g., those that 
failed to mate, conceive, sire, or deliver healthy offspring, or for 
which estrous cyclicity or sperm number, motility, or morphology were 
affected, shall be subjected to histopathological evaluation. Besides 
gross lesions such as atrophy or tumors, testicular histopathological 
examination should be conducted in order to identify treatment-related 
effects such as retained spermatids, missing germ cell layers or types, 
multinucleated giant cells, or sloughing of spermatogenic cells into the 
lumen. Examination of the intact epididymis should include the caput, 
corpus, and cauda, which can be accomplished by evaluation of a 
longitudinal section, and should be conducted in order to identify such 
lesions as sperm granulomas, leukocytic infiltration (inflammation), 
aberrant cell types within the lumen, or the absence of clear cells in 
the cauda epididymal epithelium. The postlactational ovary should 
contain primordial and growing follicles as well as the large corpora 
lutea of lactation. Histopathological examination should detect 
qualitative depletion of the primordial follicle population. A 
quantitative evaluation of primordial follicles should be conducted for 
all F1 females; the number of animals, ovarian section selection, and 
section sample size should be statistically appropriate for the 
evaluation procedure used. Examination should include enumeration of the 
number of primordial follicles, which can be combined with small growing 
follicles (see paragraphs (g)(1) and (g)(2) of this section), for 
comparison of treated and control ovaries.

[[Page 390]]

    (ii) Weanling. For F1 and F2 weanlings, histopathological 
examination of treatment-related abnormalities noted in macroscopic 
examination should be considered, if such evaluation were deemed 
appropriate and would contribute to the interpretation of the study 
data.
    (f) Data and reporting--(1) Treatment of results. Data shall be 
reported individually and summarized in tabular form, showing for each 
test group the types of change and the number of animals displaying each 
type of change.
    (2) Evaluation of study results. (i) An evaluation of test results, 
including the statistical analysis, shall be provided. This should 
include an evaluation of the relationship, or lack thereof, between the 
exposure of the animals to the test substance and the incidence and 
severity of all abnormalities.
    (ii) When appropriate, historical control data should be used to 
enhance interpretation of study results. Historical data, when used, 
should be compiled, presented, and analyzed in an appropriate and 
relevant manner. In order to justify its use as an analytical tool, 
information such as the dates of study conduct, the strain and source of 
the animals, and the vehicle and route of administration should be 
included.
    (iii) Statistical analysis of the study findings should include 
sufficient information on the method of analysis, so that an independent 
reviewer/statistician can reevaluate and reconstruct the analysis.
    (iv) In any study which demonstrates an absence of toxic effects, 
further investigation to establish absorption and bioavailability of the 
test substance should be considered.
    (3) Test report. In addition to the reporting requirements as 
specified under 40 CFR part 792, subpart J, the following specific 
information shall be reported. Both individual and summary data should 
be presented.
    (i) Species and strain.
    (ii) Toxic response data by sex and dose, including indices of 
mating, fertility, gestation, birth, viability, and lactation; offspring 
sex ratio; precoital interval, including the number of days until mating 
and the number of estrous periods until mating; and duration of 
gestation calculated from day 0 of pregnancy. The report should provide 
the numbers used in calculating all indices.
    (iii) Day (week) of death during the study or whether animals 
survived to termination; date (age) of litter termination.
    (iv) Toxic or other effects on reproduction, offspring, or postnatal 
growth.
    (v) Developmental milestone data (mean age of vaginal opening and 
preputial separation, and mean anogenital distance, when measured).
    (vi) Number of P and F1 females cycling pattern and mean estrous 
cycle length.
    (vii) Day (week) of observation of each abnormal sign and its 
subsequent course.
    (viii) Body weight and body weight change data by sex for P, F1, and 
F2 animals.
    (ix) Food (and water, if applicable) consumption, food efficiency 
(body weight gain per gram of food consumed), and test material 
consumption for P and F1 animals, except for the period of cohabitation.
    (x) Total cauda epididymal sperm number, homogenization-resistant 
testis spermatid number, number and percent of progressively motile 
sperm, number and percent of morphologically normal sperm, and number 
and percent of sperm with each identified anomaly.
    (xi) Stage of the estrous cycle at the time of termination for P and 
F1 parental females.
    (xii) Necropsy findings.
    (xiii) Implantation data and postimplantation loss calculations for 
P and F1 parental females.
    (xiv) Absolute and adjusted organ weight data.
    (xv) Detailed description of all histopathological findings.
    (xvi) Adequate statistical treatment of results.
    (xvii) A copy of the study protocol and any amendments should be 
included.
    (g) References. For additional backgound information on this test 
guideline, the following references should be consulted. These 
references are available for inspection at the TSCA Nonconfidential 
Information Center, Rm. NE-B607, Environmental Protection Agency, 401 M 
St., SW.,

[[Page 391]]

Washington, DC, 12 noon to 4 p.m., Monday through Friday, except legal 
holidays.
    (1) Gray, L.E. et al. A dose-response analysis of methoxychlor-
induced alterations of reproductive development and function in the rat. 
Fundamental and Applied Toxicology. 12:92-108 (1989).
    (2) Heindel, J.J. et al. Ed. Hirshfield, A.N. Histological 
assessment of ovarian follicle number in mice as a screen of ovarian 
toxicity. Growth Factors and the Ovary (Plenum, NY, 1989) pp. 421-426.
    (3) Korenbrot, C.C. et al. Preputial separation as an external sign 
of pubertal development in the male rat. Biology of Reproduction. 
17:298-303 (1977).
    (4) Linder, R.E. et al. Endpoints of spermatoxicity in the rat after 
short duration exposures to fourteen reproductive toxicants. 
Reproductive Toxicology. 6:491-505 (1992).
    (5) Manson, J.M. and Kang, Y.J. Ed. Hayes, A.W. Test methods for 
assessing female reproductive and developmental toxicology. Principles 
and Methods of Toxicology (Raven, NY, 1989).
    (6) Organisation for Economic Co-operation and Development, No. 416: 
Two Generation Reproduction Toxicity Study, Guidelines for Testing of 
Chemicals. [C(83)44 (Final)] (1983).
    (7) Pederson, T. and Peters, H. Proposal for classification of 
oocytes and follicles in the mouse ovary. Journal of Reproduction and 
Fertility. 17:555-557 (1988).
    (8) Seed, J., Chapin, R.E. E.D. Clegg, L.A. Dostal, R.H. Foote, M.E. 
Hurtt, G.R. Klinefelter, S.L. Makris, S.D. Perreault, S. Schrader, D. 
Seyler, R. Sprando, K.A. Treinen, D.N.R. Veeramachaneni, and Wise, L.D. 
Methods for assessing sperm motility, morphology, and counts in the rat, 
rabbit, and dog: a consensus report. Reproductive Toxicology. 10(3):237-
244 (1996).
    (9) Smith, B.J. et al. Comparison of random and serial sections in 
assessment of ovarian toxicity. Reproductive Toxicology. 5:379-383 
(1991).
    (10) Thomas, J.A. Eds. M.O. Amdur, J. Doull, and C.D. Klaassen. 
Toxic responses of the reproductive system. Casarett and Doull's 
Toxicology (Pergamon, NY, 1991).
    (11) Working, P.K. and Hurtt, M. Computerized videomicrographic 
analysis of rat sperm motility. Journal of Andrology. 8:330-337 (1987).
    (12) Zenick, H. et al. Ed. Hayes, A.W. Assessment of male 
reproductive toxicity: a risk assessment approach. Principles and 
Methods of Toxicology (Raven, NY, 1994).

[62 FR 43824, Aug. 15, 1997, as amended at 64 FR 35078, June 30, 1999]



Sec.  799.9410  TSCA chronic toxicity.

    (a) Scope--(1) Applicability. This section is intended to meet the 
testing requirement of the Toxic Substances Control Act (TSCA) (15 
U.S.C. 2601).
    (2) Source. The source material used in developing this TSCA test 
guideline is the Office of Prevention, Pesticides and Toxic Substances 
(OPPTS) harmonized test guideline 870.4100 (August 1998, final 
guidelines). This source is available at the address in paragraph (h) of 
this section
    (b) Purpose. The objective of a chronic toxicity study is to 
determine the effects of a substance in a mammalian species following 
prolonged and repeated exposure. A chronic toxicity study should 
generate data from which to identify the majority of chronic effects and 
to define long-term dose-response relationships. The design and conduct 
of chronic toxicity tests should allow for the detection of general 
toxic effects, including neurological, physiological, biochemical, and 
hematological effects and exposure-related morphological (pathological) 
effects.
    (c) Definitions. The definitions in section 3 of TSCA and in 40 CFR 
Part 792--Good Laboratory Practice Standards apply to this section. The 
following definitions also apply to this section.
    Chronic toxicity is the adverse effects occurring as a result of the 
repeated daily exposure of experimental animals to a chemical by the 
oral, dermal, or inhalation routes of exposure.
    Cumulative toxicity is the adverse effects of repeated doses 
occurring as a result of prolonged action on, or increased concentration 
of, the administered test substance or its metabolites in susceptible 
tissue.
    Dose in a chronic toxicity study is the amount of test substance 
administered daily via the oral, dermal or inhalation routes for a 
period of at least 12

[[Page 392]]

months. Dose is expressed as weight of the test substance (grams, 
milligrams) per unit body weight of test animal (milligram per 
kilogram), or as weight of the test substance in parts per million (ppm) 
in food or drinking water per day. For inhalation exposure, dose is 
expressed as weight of the test substance per unit volume of air 
(milligrams per liter) or as parts per million per day. For dermal 
exposure, dose is expressed as weight of the test substance (grams, 
milligrams) per unit body weight of the test animal (milligrams per 
kilogram) or as weight of the substance per unit of surface area 
(milligrams per square centimeter) per day.
    No-observed-effects level (NOEL) is the maximum dose used in a study 
which produces no adverse effects. The NOEL is usually expressed in 
terms of the weight of a test substance given daily per unit weight of 
test animal (milligrams per kilogram per day).
    Target organ is any organ of a test animal showing evidence of an 
effect induced by a test substance.
    (d) Limit test. If a test at one dose level of at least 1,000 mg/kg 
body weight (expected human exposure may indicate the need for a higher 
dose level), using the procedures described for this study, produces no 
observable toxic effects and if toxicity would not be expected based 
upon data of structurally related compounds, a full study using three 
dose levels might not be necessary.
    (e) Test procedures--(1) Animal selection--(i) Species and strain. 
Testing should be performed with two mammalian species, one a rodent and 
the other a nonrodent. The rat is the preferred rodent species. Commonly 
used laboratory strains must be employed.
    (ii) Age/weight. (A) Testing must be started with young healthy 
animals as soon as possible after weaning and acclimatization.
    (B) Dosing of rodents should generally begin no later than 8 weeks 
of age.
    (C) Dosing of non-rodents should begin between 4 and 6 months of age 
and in no case later than 9 months of age.
    (D) At commencement of the study, the weight variation of animals 
used should be within 20% of the mean weight for each sex.
    (E) Studies using prenatal or neonatal animals may be recommended 
under special conditions.
    (iii) Sex. (A) Equal numbers of animals of each sex should be used 
at each dose level.
    (B) Females should be nulliparous and nonpregnant.
    (iv) Numbers. (A) For rodents, at least 40 animals (20 males and 20 
females) and for nonrodents at least 8 animals (4 females and 4 males) 
should be used at each dose level and concurrent control group.
    (B) If interim sacrifices are planned, the number should be 
increased by the number of animals scheduled to be sacrificed during the 
course of the study.
    (C) The number of animals at the termination of the study must be 
adequate for a meaningful and valid statistical evaluation of chronic 
effects. The Agency must be notified if excessive early deaths or other 
problems are encountered that might compromise the integrity of the 
study.
    (D) To avoid bias, the use of adequate randomization procedures for 
the proper allocation of animals to test and control groups is required.
    (E) Each animal should be assigned a unique identification number. 
Dead animals, their preserved organs and tissues, and microscopic slides 
should be identified by reference to the unique numbers assigned.
    (v) Husbandry. (A) Rodents may be group-caged by sex, but the number 
of animals per cage must not interfere with clear observation of each 
animal. The biological properties of the test substance or toxic effects 
(e.g., morbidity, excitability) may indicate a need for individual 
caging. Rodents should be housed individually in dermal studies and 
during exposure in inhalation studies. Caging should be appropriate to 
the nonrodent species.
    (B) The temperature of the experimental animal rooms should be at 22 
3 [deg]C.
    (C) The relative humidity of the experimental animal rooms should be 
50 20%.
    (D) Where lighting is artificial, the sequence should be 12 hours 
light/12 hours dark.

[[Page 393]]

    (E) Control and test animals should be fed from the same batch and 
lot. The feed should be analyzed to assure adequacy of nutritional 
requirements of the species tested and for impurities that might 
influence the outcome of the test. Animals should be fed and watered ad 
libitum with food replaced at least weekly.
    (F) The study should not be initiated until animals have been 
allowed a period of acclimatization/quarantine to environmental 
conditions, nor should animals from outside sources be placed on test 
without an adequate period of quarantine. An acclimation period of at 
least 5 days is recommended.
    (2) Control and test substances. (i) Where necessary, the test 
substance is dissolved or suspended in a suitable vehicle. If a vehicle 
or diluent is needed it should not elicit toxic effects itself nor 
substantially alter the chemical or toxicological properties of the test 
substance. It is recommended that wherever possible the use of an 
aqueous solution be the first choice, followed by consideration of 
solution in oil, and finally, solution in other vehicles.
    (ii) One lot of the test substance should be used, if possible, 
throughout the duration of the study, and the research sample should be 
stored under conditions that maintain its purity and stability. Prior to 
the initiation of the study, there should be a characterization of the 
test substance, including the purity of the test compound, and, if 
technically feasible, the names and quantities of contaminants and 
impurities.
    (iii) If the test or control substance is to be incorporated into 
feed or another vehicle, the period during which the test substance is 
stable in such a mixture should be determined prior to the initiation of 
the study. Its homogeneity and concentration should be determined prior 
to the initiation of the study and periodically during the study. 
Statistically randomized samples of the mixture should be analyzed to 
ensure that proper mixing, formulation, and storage procedures are being 
followed, and that the appropriate concentration of the test or control 
substance is contained in the mixture.
    (3) Control groups. A concurrent control group is required. This 
group should be an untreated or sham-treated control group or, if a 
vehicle is used in administering the test substance, a vehicle control 
group. If the toxic properties of the vehicle are not known or cannot be 
made available, both untreated and vehicle control groups are required.
    (4) Satellite group. A satellite group of 40 animals (20 animals per 
sex) for rodents and 8 animals (4 animals per sex) for nonrodents may be 
treated with the high-dose level for 12 months and observed for 
reversibility, persistence, or delayed occurrence of toxic effects for a 
post-treatment of appropriate length, normally not less than 28 days. In 
addition, a control group of 40 animals (20 animals per sex) for rodents 
and 8 animals (4 animals per sex) for nonrodents should be added to the 
satellite study.
    (5) Dose levels and dose selections. (i) In chronic toxicity tests, 
it is desirable to determine a dose-response relationship as well as a 
NOEL. Therefore, at least three dose levels with a control group and, 
where appropriate, a vehicle control (corresponding to the concentration 
of the vehicle at the highest exposure level) should be used. Dose 
levels should be spaced to produce a gradation of effects. A rationale 
must be provided for the doses selected.
    (ii) The highest-dose level should elicit signs of toxicity without 
substantially altering the normal life span of the animal. The highest 
dose should be determined based on the findings from a 90-day study to 
ensure that the dose used is adequate to assess the chronic toxicity of 
the test substance. Thus, the selection of the highest dose to be tested 
is dependent upon changes observed in several toxicological parameters 
in subchronic studies. The highest dose tested need not exceed 1,000 mg/
kg/day. If dermal application of the test substance produces severe skin 
irritation, then it may be necessary either to terminate the study and 
choose a lower high-dose level or to reduce the dose level. Gross 
criteria for defining severe irritation would include ulcers, fissures, 
exudate/crust(eschar), dead tissue, or anything leading to destruction 
of the functional integrity of the epidermis (e.g. caking,

[[Page 394]]

open sores, fissuring, eschar). Histological criteria for defining 
severe irritation would include follicular and interfollicular crust, 
microulcer, mild/moderate degeneration/necrosis, moderate/marked 
epidermal edema, marked dermal edema, and marked inflammation.
    (iii) The intermediate dose levels should be spaced to produce a 
gradation of toxic effects.
    (iv) The lowest-dose level should produce no evidence of toxicity.
    (6) Administration of the test substance. The three main routes of 
administration are oral, dermal, and inhalation. The choice of the route 
of administration depends upon the physical and chemical characteristics 
of the test substance and the form typifying exposure in humans.
    (i) Oral studies. Ideally, the animals should be dosed by gavage or 
with capsules on a 7-day per week basis for a period of at least 12 
months. However, based primarily on practical considerations, dosing by 
gavage or capsules on a 5-day per week schedule is acceptable. If the 
test substance is administered via in the drinking water or mixed in the 
diet, exposure should be on a 7-day per week basis.
    (ii) Dermal studies. (A) Preparation of animal skin. Shortly before 
testing, fur should be clipped from not less than 10% of the body 
surface area for application of the test substance. In order to dose 
approximately 10% of the body surface, the area starting at the scapulae 
(shoulders) to the wing of the ileum (hipbone) and half way down the 
flank on each side of the animal should be shaved. Shaving should be 
carried out approximately 24 hours before dosing. Repeated clipping or 
shaving is usually needed at approximately weekly intervals. When 
clipping or shaving the fur, care should be taken to avoid abrading the 
skin which could alter its permeability.
    (B) Preparation of test substance. Liquid test substances are 
generally used undiluted, except as indicated in paragraph (e)(5)(ii) of 
this section. Solids should be pulverized when possible. The substance 
should be moistened sufficiently with water or, when necessary, with a 
suitable vehicle to ensure good contact with the skin. When a vehicle is 
used, the influence of the vehicle on toxicity of, and penetration of 
the skin by, the test substance should be taken into account. The volume 
of application should be kept constant, e.g., less than 100 [micro]L for 
the mouse and less than 300 [micro]L for the rat. Different 
concentrations of test solution should be prepared for different dose 
levels.
    (C) Administration of test substance. The duration of exposure 
should be at least for 12 months. Ideally, the animals should be treated 
with test substance for at least 6 hours per day on a 7-day per week 
basis. However, based on practical considerations, application on a 5-
day per week basis is acceptable. Dosing should be conducted at 
approximately the same time each day. The test substance should be 
applied uniformly over the treatment site. The surface area covered may 
be less for highly toxic substances. As much of the area should be 
covered with as thin and uniform a film as possible. For rats, the test 
substance may be held in contact with the skin with a porous gauze 
dressing and nonirritating tape if necessary. The test site should be 
further covered in a suitable manner to retain the gauze dressing plus 
test substance and to ensure that the animals cannot ingest the test 
substance. The application site should not be covered when the mouse is 
the species of choice. The test substance may be wiped from the skin 
after the six-hour exposure period to prevent ingestion.
    (iii) Inhalation studies. (A) The animals should be exposed to the 
test substance for 6 hours per day on a 7-day per week basis, for a 
period of at least 12 months. However, based primarily on practical 
considerations, exposure for 6 hours per day on a 5-day per week basis 
is acceptable.
    (B) The animals should be tested in dynamic inhalation equipment 
designed to sustain a minimum air flow of 10 air changes per hour, an 
adequate oxygen content of at least 19%, and uniform conditions 
throughout the exposure chamber. Maintenance of slight negative pressure 
inside the chamber will prevent leakage of the test substance into 
surrounding areas. It is not

[[Page 395]]

normally necessary to measure chamber oxygen concentration if airflow is 
adequate.
    (C) The selection of a dynamic inhalation chamber should be 
appropriate for the test substance and test system. When a whole body 
chamber is used, individual housing must be used to minimize crowding of 
the test animals and maximize their exposure to the test substance. To 
ensure stability of a chamber atmosphere, the total volume occupied by 
the test animals should not exceed 5% of the volume of the test chamber. 
It is recommended, but not required, that nose-only or head-only 
exposure be used for aerosol studies in order to minimize oral exposures 
due to animals licking compound off their fur. The animals should be 
acclimated and heat stress minimized.
    (D) The temperature at which the test is performed should be 
maintained at 22 2 [deg]C. The relative humidity 
should be maintained between 40-60%, but in certain instances (e.g., use 
of water vehicle) this may not be practicable.
    (E) The rate of air flow should be monitored continuously but 
recorded at least three times during the exposure.
    (F) Temperature and humidity should be monitored continuously but 
should be recorded at least every 30 min.
    (G) The actual concentrations of the test substance should be 
measured in the breathing zone. During the exposure period, the actual 
concentrations of the test substance should be held as constant as 
practicable, monitored continuously or intermittently depending on the 
method of analysis. Chamber concentration may be measured using 
gravimetric or analytical methods, as appropriate. If trial run 
measurements are reasonably consistent (10% for 
liquid aerosol, gas, or vapor; 20% for dry 
aerosol), then two measurements should be sufficient. If measurements 
are not consistent, three to four measurements should be taken. If there 
is some difficulty measuring chamber analytical concentration due to 
precipitation, nonhomogeneous mixtures, volatile components, or other 
factors, additional analysis of inert components may be necessary.
    (H) During the development of the generating system, particle size 
analysis should be performed to establish the stability of aerosol 
concentrations with respect to particle size. The mass median 
aerodynamic diameter (MMAD) particle size range should be between 1-3 
[micro]m. The particle size of hygroscopic materials should be small 
enough when dry to assure that the size of the swollen particle will 
still be within the 1-3 [micro]m range. Measurements of aerodynamic 
particle size in the animal's breathing zone should be measured during a 
trial run. If MMAD values for each exposure level are within 10% of each 
other, then two measurements during the exposures should be sufficient. 
If pretest measurements are not within 10% of each other, three to four 
measurements should be taken.
    (I) Feed should be withheld during exposure. Water may also be 
withheld during exposure.
    (7) Observation period. (i) Animals should be observed for a period 
of at least 12 months.
    (ii) Animals in a satellite group (if used) scheduled for follow-up 
observations should be kept for at least 28 days further without 
treatment to detect recovery from, or persistence of, toxic effects.
    (8) Observation of animals. (i) Observations should be made at least 
twice each day for morbidity and mortality. Appropriate actions should 
be taken to minimize loss of animals to the study (e.g., necropsy or 
refrigeration of those animals found dead and isolation or sacrifice of 
weak or moribund animals). General clinical observations should be made 
at least once a day, preferably at the same time each day, taking into 
consideration the peak period of anticipated effects after dosing. The 
clinical condition of the animal should be recorded.
    (ii) A careful clinical examination should be made at least once 
prior to the initiation of treatment (to allow for within subject 
comparisons) and once weekly during treatment in all animals. These 
observations should be made outside the home cage, preferably in a 
standard arena, and at similar times on each occasion. Effort should be 
made to ensure that variations in the observation conditions

[[Page 396]]

are minimal. Observations should be detailed and carefully recorded, 
preferably using scoring systems, explicitly defined by the testing 
laboratory. Signs noted should include, but not be limited to, changes 
in skin, fur, eyes, mucous membranes, occurrence of secretions and 
excretions and autonomic activity (e.g., lacrimation, piloerection, 
pupil size, unusual respiratory pattern). Changes in gait, posture and 
response to handling as well as the presence of clonic or tonic 
movements, stereotypies (e.g., excessive grooming, repetitive circling) 
or bizarre behavior (e.g., self-mutilation, walking backwards) should be 
recorded.
    (iii) Once, near the end of the first year of the exposure period 
and in any case not earlier than in month 11, assessment of motor 
activity, grip strength, and sensory reactivity to stimuli of different 
types (e.g., visual, auditory, and proprioceptive stimuli) should be 
conducted in rodents. Further details of the procedures that could be 
followed are described in the references listed under paragraphs (h)(2), 
(h)(7), (h)(8), and (h)(11) of this section.
    (iv) Functional observations conducted towards the end of the study 
may be omitted when data on functional observations are available from 
other studies and the daily clinical observations did not reveal any 
functional deficits.
    (v) Exceptionally, functional observations may be omitted for groups 
that otherwise reveal signs of toxicity to an extent that would 
significantly interfere with functional test performance.
    (vi) Body weights should be recorded individually for all animals 
once prior to the administration of the test substance, once a week 
during the first 13 weeks of study and at least once every 4 weeks 
thereafter, unless signs of clinical toxicity suggest more frequent 
weighing to facilitate monitoring of health status.
    (vii) Measurements of feed consumption should be determined weekly 
during the first 13 weeks of the study and at approximately monthly 
intervals thereafter unless health status or body weight changes dictate 
otherwise. Measurements of water consumption should be determined at the 
same intervals if the test substance is administered in the drinking 
water.
    (viii) Moribund animals should be removed and sacrificed when 
noticed and the time of death should be recorded as precisely as 
possible. All survivors should be sacrificed at the end of the study 
period.
    (9) Clinical pathology. Hematology, clinical chemistry, and 
urinalysis should be performed on 10 rats per sex per group, and on all 
nonrodents. In rodents, the parameters should be examined at 
approximately 6 month intervals during the conduct of the study and at 
termination. If possible, these collections should be from the same 
animals at each interval. In nonrodents, the parameters should be 
examined once or twice prior to initiation of treatment, at 6-month 
intervals during the conduct of the study, and at termination. If 
hematological and biochemical effects were seen in the subchronic study, 
testing should also be performed at 3 months. Overnight fasting of 
animals prior to blood sampling is recommended.
    (i) Hematology. The recommended parameters are red blood cell count, 
hemoglobin concentration, hematocrit, mean corpuscular volume, mean 
corpuscular hemoglobin, and mean corpuscular hemoglobin concentration, 
white blood cell count, differential leukocyte count, platelet count, 
and a measure of clotting potential, such as prothrombin time or 
activated partial thromboplastin time.
    (ii) Clinical chemistry. (A) Parameters which are considered 
appropriate to all studies are electrolyte balance, carbohydrate 
metabolism, and liver and kidney function. The selection of specific 
tests will be influenced by observations on the mode of action of the 
substance and signs of clinical toxicity.
    (B) The recommended clinical chemistry determinations are potassium, 
sodium, calcium (nonrodent), phosphorus (nonrodent), chloride 
(nonrodent), glucose, total cholesterol, urea nitrogen, creatinine, 
total protein, total bilirubin (nonrodent), and albumin. More than two 
hepatic enzymes, (such as alanine aminotransferase, aspartate 
aminotransferase, alkaline phosphatase, sorbitol dehydrogenase, or

[[Page 397]]

gamma glutamyl transpeptidase) should also be measured. Measurements of 
additional enzymes (of hepatic or other origin) and bile acids, may also 
be useful.
    (C) If a test chemical has an effect on the hematopoietic system, 
reticulocyte counts and bone marrow cytology may be indicated.
    (D) Other determinations that should be carried out if the test 
chemical is known or suspected of affecting related measures include 
calcium, phosphorus, fasting triglycerides, hormones, methemoglobin, and 
cholinesterases.
    (iii) Urinalysis. Urinalysis for rodents should be performed at the 
end of the study using timed urine collection. Urinalysis for nonrodents 
should be performed prior to treatment, midway through treatment and at 
the end of the study using timed urine collection. Urinalysis 
determinations include: appearance, volume, osmolality or specific 
gravity, pH, protein, glucose, and blood/blood cells.
    (10) Ophthalmological examination. Examinations should be made of 
all animals using an ophthalmoscope or equivalent device prior to the 
administration of the test substance and at termination of the study on 
10 rats of each sex in the high-dose and control groups and preferably 
in all nonrodents, but at least the control and high-dose groups should 
be examined. If changes in eyes are detected, all animals should be 
examined.
    (11) Gross necropsy. (i) All animals should be subjected to a full 
gross necropsy which includes examination of the external surface of the 
body, all orifices, and the cranial, thoracic and abdominal cavities and 
their contents.
    (ii) At least the liver, kidneys, adrenals, testes, epididymides, 
ovaries, uterus, nonrodent thyroid (with parathyroid), spleen, brain, 
and heart should be weighed wet as soon as possible after dissection to 
avoid drying. The lungs should be weighed if the test substance is 
administered by the inhalation route.
    (iii) The following organs and tissues, or representative samples 
thereof, should be preserved in a suitable medium for possible future 
histopathological examination:
    (A) Digestive system--salivary glands, esophagus, stomach, duodenum, 
jejunum, ileum, cecum, colon, rectum, liver, pancreas, gallbladder (when 
present).
    (B) Nervous system--brain (multiple sections, including cerebrum, 
cerebellum and medulla/pons), pituitary, peripheral nerve (sciatic or 
tibial, preferably in close proximity to the muscle), spinal cord (three 
levels, cervical, mid-thoracic and lumbar), eyes (retina, optic nerve).
    (C) Glandular system--adrenals, parathyroid, thyroid.
    (D) Respiratory system--trachea, lungs, pharynx, larynx, nose.
    (E) Cardiovascular/hematopoietic system--aorta, heart, bone marrow 
(and/or fresh aspirate), lymph nodes (preferably one lymph node covering 
the route of administration and another one distant from the route of 
administration to cover systemic effects), spleen.
    (F) Urogenital system--kidneys, urinary bladder, prostate, testes, 
epididymides, seminal vesicle(s), uterus, ovaries, female mammary gland.
    (G) Other--all gross lesions and masses, skin.
    (iv) In inhalation studies, the entire respiratory tract, including 
nose, pharynx, larynx, and paranasal sinuses should be examined and 
preserved. In dermal studies, skin from treated and adjacent control 
skin sites should be examined and preserved.
    (v) Inflation of lungs and urinary bladder with a fixative is the 
optimal method for preservation of these tissues. The proper inflation 
and fixation of the lungs in inhalation studies is considered essential 
for appropriate and valid histopathological examination.
    (vi) Information from clinical pathology and other in-life data 
should be considered before microscopic examination, since they may 
provide significant guidance to the pathologist.
    (12) Histopathology. (i) The following histopathology should be 
performed:
    (A) Full histopathology on the organs and tissues (listed under 
paragraph (e)(11)(iii) of this section) of all rodents and nonrodents in 
the control and high-dose groups, and all rodents

[[Page 398]]

and nonrodents that died or were sacrificed during the study. The 
examination should be extended to all animals in all dosage groups if 
treatment-related changes are observed in the high-dose group.
    (B) All gross lesions in all animals.
    (C) Target tissues in all animals.
    (ii) If the results show substantial alteration of the animal's 
normal life span, or other effects that might compromise the 
significance of the data, the next lower levels should be examined fully 
as described in paragraph (e)(12)(i) of this section.
    (iii) An attempt should be made to correlate gross observations with 
microscopic findings.
    (iv) Tissues and organs designated for microscopic examination 
should be fixed in 10% buffered formalin or a recognized suitable 
fixative as soon as necropsy is performed and no less than 48 hours 
prior to trimming.
    (f) Data and reporting--(1) Treatment of results. (i) Data should be 
summarized in tabular form, showing for each test group the number of 
animals at the start of the test, the number of animals showing lesions, 
the types of lesions and the percentage of animals displaying each type 
of lesion.
    (ii) When applicable, all observed results (quantitative and 
qualitative) should be evaluated by an appropriate statistical method. 
Any generally accepted statistical methods may be used; the statistical 
methods including significance criteria should be selected during the 
design of the study.
    (2) Evaluation of study results. The findings of a chronic toxicity 
study should be evaluated in conjunction with the findings of preceding 
studies and considered in terms of the toxic effects as well as the 
necropsy and histopathological findings. The evaluation will include the 
relationship between the dose of the test substance and the presence, 
incidence, and severity of abnormalities (including behavioral and 
clinical abnormalities), gross lesions, identified target organs, body 
weight changes, effects on mortality and any other general or specific 
toxic effects.
    (3) Test report. In addition to the reporting requirements specified 
under EPA Good Laboratory Practice Standards at 40 CFR part 792, subpart 
J, the following specific information must be reported:
    (i) Test substance characterization should include:
    (A) Chemical identification.
    (B) Lot or batch number.
    (C) Physical properties.
    (D) Purity/impurities.
    (ii) Identification and composition of any vehicle used.
    (iii) Test system should contain data on:
    (A) Species and strain of animals used and rationale for selection 
if other than that recommended.
    (B) Age including body weight data and sex.
    (C) Test environment including cage conditions, ambient temperature, 
humidity, and light/dark periods.
    (D) Identification of animal diet.
    (E) Acclimation period.
    (iv) Test procedure should include the following data:
    (A) Method of randomization used.
    (B) Full description of experimental design and procedure.
    (C) Dose regimen including levels, methods, and volume.
    (v) Test results.
    (A) Group animal data. Tabulation of toxic response data by species, 
strain, sex and exposure level for:
    (1) Number of animals exposed.
    (2) Number of animals showing signs of toxicity.
    (3) Number of animals dying.
    (B) Individual animal data. Data should be presented as summary 
(group mean) as well as for individual animals.
    (1) Time of death during the study or whether animals survived to 
termination.
    (2) Time of observation of each abnormal sign and its subsequent 
course.
    (3) Body weight data.
    (4) Feed and water (if collected) consumption data.
    (5) Achieved dose (mg/kg/day) as a time-weighted average if the test 
substance is administered in the diet or drinking water.
    (6) Results of ophthalmological examinations.
    (7) Results of hematological tests performed.

[[Page 399]]

    (8) Results of clinical chemistry tests performed.
    (9) Urinalysis tests performed and results.
    (10) Results of observations made.
    (11) Necropsy findings, including absolute and relative (to body 
weight) organ weight data.
    (12) Detailed description of all histopathological findings.
    (13) Statistical treatment of results, where appropriate.
    (vi) In addition, for inhalation studies the following should be 
reported:
    (A) Test conditions. The following exposure conditions must be 
reported:
    (1) Description of exposure apparatus including design, type, 
dimensions, source of air, system for generating particulate and 
aerosols, method of conditioning air, treatment of exhaust air and the 
method of housing the animals in a test chamber.
    (2) The equipment for measuring temperature, humidity, and 
particulate aerosol concentrations and size should be described.
    (B) Exposure data. These data should be tabulated and presented with 
mean values and a measure of variability (e.g., standard deviation) and 
should include:
    (1) Airflow rates through the inhalation equipment.
    (2) Temperature and humidity of air.
    (3) Actual (analytical or gravimetric) concentration in the 
breathing zone.
    (4) Nominal concentration (total amount of test substance fed into 
the inhalation equipment divided by volume of air).
    (5) Particle size distribution, calculated MMAD, and geometric 
standard deviation.
    (6) Explanation as to why the desired chamber concentration and/or 
particle size could not be achieved (if applicable) and the efforts 
taken to comply with this aspect of the guidelines.
    (g) Quality control. A system should be developed and maintained to 
assure and document adequate performance of laboratory staff and 
equipment. The study must be conducted in compliance with 40 CFR Part 
792--Good Laboratory Practice Standards.
    (h) References. For additional background information on this test 
guideline, the following references should be consulted. These 
references are available for inspection at the TSCA Nonconfidential 
Information Center, Rm. NE-B607, Environmental Protection Agency, 401 M 
St., SW., Washington, DC, 12 noon to 4 p.m., Monday through Friday, 
except legal holidays.
    (1) Benitz, K.F. Measurement of Chronic Toxicity. Methods of 
Toxicology. Ed. G.E. Paget. Blackwell, Oxford. pp. 82-131 (1970).
    (2) Crofton K.M., Howard J.L., Moser V.C., Gill M.W., Leiter L.W., 
Tilson H.A., MacPhail, R.C. Interlaboratory Comparison of Motor Activity 
Experiments: Implication for Neurotoxicological Assessments. 
Neurotoxicol. Teratol. 13, 599-609. (1991)
    (3) D'Aguanno, W. Drug Safety Evaluation-Pre-Clinical 
Considerations. Industrial Pharmacology: Neuroleptic. Vol. I, Ed. S. 
Fielding and H. Lal. Futura, Mt. Kisco, NY. pp. 317-332 (1974).
    (4) Fitzhugh, O.G. Chronic Oral Toxicity, Appraisal of the Safety of 
Chemicals in Foods, Drugs and Cosmetics. The Association of Food and 
Drug Officials of the United States. pp. 36-45 (1959, 3rd Printing 
1975).
    (5) Gad S.C. A Neuromuscular Screen for Use in Industrial 
Toxicology. Journal of Toxicology and Environmental Health. 9, 691-704. 
(1982)
    (6) Goldenthal, E.I. and D'Aguanno, W. Evaluation of Drugs, 
Appraisal of the Safety of Chemicals in Foods, Drugs, and Cosmetics. The 
Association of Food and Drug Officials of the United States. pp. 60-67 
(1959, 3rd Printing 1975).
    (7) Meyer O.A., Tilson H.A., Byrd W.C., Riley M.T. A Method for the 
Routine Assessment of Fore- and Hind-Limb Grip Strength of Rats and 
Mice. Neurobehav. Toxicol. 1, 233-236. (1979)
    (8) Moser V.C., McDaniel K.M., Phillips P.M. Rat Strain and Stock 
Comparisons using a Functional Observational Battery: Baseline Values 
and Effects of Amitraz. Toxicol. Appl. Pharmacol. 108, 267-283 (1991)
    (9) Organization for Economic Cooperation and Development. 
Guidelines for Testing of Chemicals, Section 4-Health Effects, Part 452 
Chronic Toxicity Studies, Paris (1981).
    (10) Page, N.P. Chronic Toxicity and Carcinogenicity Guidelines. 
Journal of

[[Page 400]]

Environmental Pathology and Toxicology. 11:161-182 (1977).
    (11) Tupper, D.E., Wallace R.B. Utility of the Neurologic 
Examination in Rats. Acta. Neurobiol. Exp. 40, 999-1003 (1980).
    (12) Weingand K., Brown G., Hall R. et al. (1996). Harmonization of 
Animal Clinical Pathology Testing in Toxicity and Safety Studies. 
Fundam. and Appl. Toxicol. 29:198-201.

[65 FR 78797, Dec. 15, 2000]



Sec.  799.9420  TSCA carcinogenicity.

    (a) Scope. This section is intended to meet the testing requirements 
under section 4 of TSCA. The objective of a long-term carcinogenicity 
study is to observe test animals for a major portion of their life span 
for development of neoplastic lesions during or after exposure to 
various doses of a test substance by an appropriate route of 
administration.
    (b) Source. The source material used in developing this TSCA test 
guideline is the OPPTS harmonized test guideline 870.4200 (June 1996 
Public Draft). This source is available at the address in paragraph (g) 
of this section.
    (c) Definitions. The following definitions apply to this section.
    Carcinogenicity is the development of neoplastic lesions as a result 
of the repeated daily exposure of experimental animals to a chemical by 
the oral, dermal, or inhalation routes of exposure.
    Cumulative toxicity is the adverse effects of repeated dose 
occurring as a result of prolonged action on, or increased concentration 
of, the administered test substance or its metabolites in susceptible 
tissues.
    Dose in a carcinogenicity study is the amount of test substance 
administered via the oral, dermal or inhalation routes for a period of 
up to 24 months. Dose is expressed as weight of the test substance 
(grams, milligrams) per unit body weight of test animal (milligram per 
kilogram), or as weight of the test substance in parts per million (ppm) 
in food or drinking water. When exposed via inhalation, dose is 
expressed as weight of the test substance per unit volume of air 
(milligrams per liter) or as parts per million.
    Target organ is any organ of a test animal showing evidence of an 
effect induced by a test substance.
    (d) Test procedures--(1) Animal selection--(i) Species and strain. 
Testing shall be performed on two mammalian species. Rats and mice are 
the species of choice because of their relatively short life spans, 
limited cost of maintenance, widespread use in pharmacological and 
toxicological studies, susceptibility to tumor induction, and the 
availability of inbred or sufficiently characterized strains. Commonly 
used laboratory strains shall be used. If other mammalian species are 
used, the tester shall provide justification/reasoning for their 
selection.
    (ii) Age/weight. (A) Testing shall be started with young healthy 
animals as soon as possible after weaning and acclimatization.
    (B) Dosing should generally begin no later than 8 weeks of age.
    (C) At commencement of the study, the weight variation of animals 
used shall not exceed  20% of the mean weight for 
each sex.
    (D) Studies using prenatal or neonatal animals may be recommended 
under special conditions.
    (iii) Sex. (A) Equal numbers of animals of each sex shall be used at 
each dose level.
    (B) Females shall be nulliparous and nonpregnant.
    (iv) Numbers. (A) At least 100 rodents (50 males and 50 females) 
shall be used at each dose level and concurrent control group.
    (B) If interim sacrifices are planned, the number shall be increased 
by the number of animals scheduled to be sacrificed during the course of 
the study.
    (C) For a meaningful and valid statistical evaluation of long term 
exposure and for a valid interpretation of negative results, the number 
of animals in any group should not fall below 50% at 15 months in mice 
and 18 months in rats. Survival in any group should not fall below 25% 
at 18 months in mice and 24 months in rats.
    (D) The use of adequate randomization procedures for the proper 
allocation of animals to test and control groups is required to avoid 
bias.
    (E) Each animal shall be assigned a unique identification number. 
Dead

[[Page 401]]

animals, their preserved organs and tissues, and microscopic slides 
shall be identified by reference to the unique numbers assigned.
    (v) Husbandry. (A) Animals may be group-caged by sex, but the number 
of animals per cage must not interfere with clear observation of each 
animal. The biological properties of the test substance or toxic effects 
(e.g., morbidity, excitability) may indicate a need for individual 
caging. Animals should be housed individually in dermal studies and 
during exposure in inhalation studies.
    (B) The temperature of the experimental animal rooms should be at 22 
 3 [deg]C.
    (C) The relative humidity of the experimental animal rooms should be 
30 to 70%.
    (D) Where lighting is artificial, the sequence should be 12 h light/
12 h dark.
    (E) Control and test animals should be fed from the same batch and 
lot. The feed should be analyzed to assure uniform distribution and 
adequacy of nutritional requirements of the species tested and for 
impurities that might influence the outcome of the test. Animals should 
be fed and watered ad libitum with food replaced at least weekly.
    (F) The study should not be initiated until animals have been 
allowed a period of acclimatization/quarantine to environmental 
conditions, nor should animals from outside sources be placed on test 
without an adequate period of quarantine.
    (2) Control and test substances. (i) Where necessary, the test 
substance is dissolved or suspended in a suitable vehicle. If a vehicle 
or diluent is needed, it should not elicit toxic effects itself. It is 
recommended that wherever possible the use of an aqueous solution be 
considered first, followed by consideration of solution in oil, and 
finally solution in other vehicles.
    (ii) One lot of the test substance should be used, if possible, 
throughout the duration of the study, and the research sample should be 
stored under conditions that maintain its purity and stability. Prior to 
the initiation of the study, there should be a characterization of the 
test substance, including the purity of the test compound, and, if 
possible, the name and quantities of contaminants and impurities.
    (iii) If the test or control substance is to be incorporated into 
feed or another vehicle, the period during which the test substance is 
stable in such a mixture should be determined prior to the initiation of 
the study. Its homogeneity and concentration should be determined prior 
to the initiation of the study and periodically during the study. 
Statistically randomized samples of the mixture should be analyzed to 
ensure that proper mixing, formulation, and storage procedures are being 
followed, and that the appropriate concentration of the test or control 
substance is contained in the mixture.
    (3) Control groups. A concurrent control group (50 males and 50 
females) is required. This group shall be untreated or if a vehicle is 
used in administering the test substance, a vehicle control group. If 
the toxic properties of the vehicle are not known, both untreated and 
vehicle control groups are required.
    (4) Dose levels and dose selection. (i) For risk assessment 
purposes, at least three dose levels shall be used, in addition to the 
concurrent control group. Dose levels should be spaced to produce a 
gradation of effects. A rationale for the doses selected must be 
provided.
    (ii) The highest dose level should elicit signs of toxicity without 
substantially altering the normal life span due to effects other than 
tumors. The highest dose should be determined based on the findings from 
a 90-day study to ensure that the dose used is adequate to asses the 
carcinogenic potential of the test substance. Thus, the selection of the 
highest dose to be tested is dependent upon changes observed in several 
toxicological parameters in subchronic studies. The highest dose tested 
need not exceed 1,000 mg/kg/day.
    (iii) The intermediate-dose level should be spaced to produce a 
gradation of toxic effects.
    (iv) The lowest dose level should produce no evidence of toxicity.

[[Page 402]]

    (v) For skin carcinogenicity studies, when toxicity to the skin is a 
determining factor, the highest dose selected should not destroy the 
functional integrity of the skin, the intermediate dose should be a 
minimally irritating dose, and the low dose should be the highest 
nonirritating dose.
    (vi) The criteria for selecting the dose levels for skin 
carcinogenicity studies, based on gross and histopathologic dermal 
lesions, are as follows:
    (A) Gross criteria for reaching the high dose:
    (1) Erythema (moderate).
    (2) Scaling.
    (3) Edema (mild).
    (4) Alopecia.
    (5) Thickening.
    (B) Histologic criteria for reaching the high dose:
    (1) Epidermal hyperplasia.
    (2) Epidermal hyperkeratosis.
    (3) Epidermal parakeratosis.
    (4) Adnexal atrophy/hyperplasia.
    (5) Fibrosis.
    (6) Spongiosis (minimal-mild).
    (7) Epidermal edema (minimal-mild).
    (8) Dermal edema (minimal-moderate).
    (9) Inflammation (moderate).
    (C) Gross criteria for exceeding the high dose:
    (1) Ulcers, fissures.
    (2) Exudate/crust (eschar).
    (3) nonviable (dead) tissues.
    (4) Anything leading to destruction of the functional integrity of 
the epidermis (e.g., caking, fissuring, open sores, eschar).
    (D) Histologic criteria for exceeding the high dose:
    (1) Crust (interfollicular and follicular).
    (2) Microulcer.
    (3) Degeneration/necrosis (mild to moderate).
    (4) Epidermal edema (moderate to marked).
    (5) Dermal edema (marked).
    (6) Inflammation (marked).
    (5) Administration of the test substance. The three main routes of 
administration are oral, dermal, and inhalation. The choice of the route 
of administration depends upon the physical and chemical characteristics 
of the test substance and the form typifying exposure in humans.
    (i) Oral studies. If the test substance is administered by gavage, 
the animals are dosed with the test substance on a 7-day per week basis 
for a period of at least 18 months for mice and hamsters and 24 months 
for rats. However, based primarily on practical considerations, dosing 
by gavage or via a capsule on a 5-day per week basis is acceptable. If 
the test substance is administered in the drinking water or mixed in the 
diet, then exposure should be on a 7-day per week basis.
    (ii) Dermal studies. (A) The animals should be treated with the test 
substance for at least 6 h/day on a 7-day per week basis for a period of 
at least 18 months for mice and hamsters and 24 months for rats. 
However, based primarily on practical considerations, application on a 
5-day per week basis is acceptable. Dosing should be conducted at 
approximately the same time each day.
    (B) Fur should be clipped weekly from the dorsal area of the trunk 
of the test animals. Care should be taken to avoid abrading the skin 
which could alter its permeability. A minimum of 24 hrs should be 
allowed for the skin to recover before the next dosing of the animal.
    (C) Preparation of test substance. Liquid test substances are 
generally used undiluted, except as indicated in paragraph (e)(4)(vi) of 
this section. Solids should be pulverized when possible. The substance 
should be moistened sufficiently with water or, when necessary, with a 
suitable vehicle to ensure good contact with the skin. When a vehicle is 
used, the influence of the vehicle on toxicity of, and penetration of 
the skin by, the test substance should be taken into account. The volume 
of application should be kept constant, e.g. less than 100 uL for the 
mouse and less than 300 uL for the rat. Different concentrations of test 
solution should be prepared for different dose levels.
    (D) The test substance shall be applied uniformly over a shaved area 
which is approximately 10 percent of the total body surface area. In 
order to dose approximately 10 percent of the body surface, the area 
starting at the

[[Page 403]]

scapulae (shoulders) to the wing of the ileum (hipbone) and half way 
down the flank on each side of the animal should be shaved. With highly 
toxic substances, the surface area covered may be less, but as much of 
the area as possible should be covered with as thin and uniform a film 
as practical.
    (iii) Inhalation studies. (A) The animals should be exposed to the 
test substance for 6 h/day on a 7-day per week basis, for a period of at 
least 18 months in mice and 24 months in rats. However, based primarily 
on practical considerations, exposure for 6 h/day on a 5-day per week 
basis is acceptable.
    (B) The animals shall be tested in dynamic inhalation equipment 
designed to sustain a minimum air flow of 10 air changes per hr, an 
adequate oxygen content of at least 19%, and uniform conditions 
throughout the exposure chamber. Maintenance of slight negative pressure 
inside the chamber will prevent leakage of the test substance into 
surrounding areas.
    (C) The selection of a dynamic inhalation chamber should be 
appropriate for the test substance and test system. Where a whole body 
chamber is used to expose animals to an aerosol, individual housing must 
be used to minimize crowding of the test animals and maximize their 
exposure to the test substance. To ensure stability of a chamber 
atmosphere, the total volume occupied by the test animals shall not 
exceed 5% of the volume of the test chamber. It is recommended, but not 
required, that nose-only or head-only exposure be used for aerosol 
studies in order to minimize oral exposures due to animals licking 
compound off their fur. Heat stress to the animals should be minimized.
    (D) The temperature at which the test is performed should be 
maintained at 22  2 [deg]C. The relative humidity 
should be maintained between 40 to 60%, but in certain instances (e.g., 
tests of aerosols, use of water vehicle) this may not be practicable.
    (E) The rate of air flow shall be monitored continuously but 
recorded at least three times during exposure.
    (F) Temperature and humidity shall be monitored continuously but 
should be recorded at least every 30 minutes.
    (G) The actual concentration of the test substance shall be measured 
in the breathing zone. During the exposure period, the actual 
concentrations of the test substance should be held as constant as 
practicable, monitored continuously or intermittently depending on the 
method of analysis. Chamber concentrations may be measured using 
gravimetric or analytical methods as appropriate. If trial run 
measurements are reasonably consistent (plus or minus 10 percent for 
liquid aerosol, gas, or vapor; plus or minus 20 percent for dry 
aerosol), the two measurements should be sufficient. If measurements are 
not consistent, then three to four measurements should be taken.
    (H) During the development of the generating system, particle size 
analysis shall be performed to establish the stability of aerosol 
concentrations with respect to particle size. Measurement of aerodynamic 
particle size in the animals's breathing zone should be measured during 
a trial run. If median aerodynamic diameter (MMAD) values for each 
exposure level are within 10% of each other, then two measurements 
during the exposures should be sufficient. If pretest measurements are 
not within 10% of each other, three to four measurements should be 
taken. The MMAD particle size range should be between 1-3 [micro]m. The 
particle size of hygroscopic materials should be small enough to allow 
pulmonary deposition once the particles swell in the moist environment 
of the respiratory tract.
    (I) Feed shall be withheld during exposure. Water may also be 
withheld during exposure.
    (6) Observation period. It is necessary that the duration of the 
carcinogenicity study comprise the majority of the normal life span of 
the strain of animals used. This time period shall not be less than 24 
months for rats and 18 months for mice, and ordinarily not longer than 
30 months for rats and 24 months for mice. For longer time periods, and 
where any other species are used, consultation with the Agency in regard 
to the duration of the study is advised.
    (7) Observation of animals. (i) Observations shall be made at least 
once each

[[Page 404]]

day for morbidity and mortality. Appropriate actions should be taken to 
minimize loss of animals from the study (e.g., necropsy or refrigeration 
of those animals found dead and isolation or sacrifice of weak or 
moribund animals).
    (ii) A careful clinical examination shall be made at least once 
weekly. Observations should be detailed and carefully recorded, 
preferably using explicitly defined scales. Observations should include, 
but not be limited to, evaluation of skin and fur, eyes and mucous 
membranes, respiratory and circulatory effects, autonomic effects such 
as salivation, central nervous system effects, including tremors and 
convulsions, changes in the level of activity, gait and posture, 
reactivity to handling or sensory stimuli, altered strength and 
stereotypes or bizarre behavior (e.g., self-mutilation, walking 
backwards).
    (iii) Body weights shall be recorded individually for all animals; 
once a week during the first 13 weeks of the study and at least once 
every 4 weeks, thereafter, unless signs of clinical toxicity suggest 
more frequent weighing to facilitate monitoring of health status.
    (iv) Measurements of feed consumption should be determined weekly 
during the first 13 weeks of the study and at approximately monthly 
intervals thereafter unless health status or body weight changes dictate 
otherwise. Measurement of water consumption should be determined at the 
same intervals if the test substance is administered in the drinking 
water.
    (v) Moribund animals shall be removed and sacrificed when noticed 
and the time of death should be recorded as precisely as possible. At 
the end of the study period, all survivors shall be sacrificed.
    (8) Clinical pathology. At 12 months, 18 months, and at terminal 
sacrifice, a blood smear shall be obtained from all animals. A 
differential blood count should be performed on blood smears from those 
animals in the highest dosage group and the controls from the terminal 
sacrifice. If these data, or data from the pathological examination 
indicate a need, then the 12- and 18-month blood smears should also be 
examined. Differential blood counts should be performed for the next 
lower groups if there is a major discrepancy between the highest group 
and the controls. If clinical observations suggest a deterioration in 
health of the animals during the study, a differential blood count of 
the affected animals shall be performed.
    (9) Gross necropsy. (i) A complete gross examination shall be 
performed on all animals, including those that died during the 
experiment or were killed in a moribund condition.
    (ii) At least the liver, kidneys, adrenals, testes, epididymides, 
ovaries, uterus, spleen, brain, and heart should be weighed wet as soon 
as possible after dissection to avoid drying. The lungs should be 
weighed if the test substance is administered by the inhalation route. 
The organs should be weighed from interim sacrifice animals as well as 
from at least 10 animals per sex per group at terminal sacrifice.
    (iii) The following organs and tissues, or representative samples 
thereof, shall be preserved in a suitable medium for possible future 
histopathological examination.
    (A) Digestive system.
    (1) Salivary glands.
    (2) Esophagus.
    (3) Stomach.
    (4) Duodenum.
    (5) Jejunum.
    (6) Ileum.
    (7) Cecum.
    (8) Colon.
    (9) Rectum.
    (10) Liver.
    (11) Pancreas.
    (12) Gallbladder (mice).
    (B) Nervous system.
    (1) Brain (multiple sections).
    (2) Pituitary.
    (3) Peripheral nerves.
    (4) Spinal cord (three levels).
    (5) Eyes (retina, optic nerve).
    (C) Glandular system.
    (1) Adrenals.
    (2) Parathyroids.
    (3) Thyroids.
    (D) Respiratory system.
    (1) Trachea.
    (2) Lung.
    (3) Pharynx.
    (4) Larynx.
    (5) Nose.

[[Page 405]]

    (E) Cardiovascular/hematopoietic system.
    (1) Aorta (thoracic).
    (2) Heart.
    (3) Bone marrow.
    (4) Lymph nodes.
    (5) Spleen.
    (F) Urogenital system.
    (1) Kidneys.
    (2) Urinary bladder.
    (3) Prostate.
    (4) Testes/epididymides.
    (5) Seminal vesicles.
    (6) Uterus.
    (7) Ovaries.
    (8) Female mammary gland.
    (G) Other.
    (1) Skin.
    (2) All gross lesions and masses.
    (iv) In inhalation studies, the entire respiratory tract, including 
nose, pharynx, larynx, and paranasal sinuses should be examined and 
preserved. In dermal studies, skin from treated and adjacent control 
skin sites should be examined and preserved.
    (v) Inflation of lungs and urinary bladder with a fixative is the 
optimal method for preservation of these tissues. The proper inflation 
and fixation of the lungs in inhalation studies is essential for 
appropriate and valid histopathological examination.
    (vi) Information from clinical pathology, and other in-life data 
should be considered before microscopic examination, since they may 
provide significant guidance to the pathologist.
    (10) Histopathology. (i) The following histopathology shall be 
performed:
    (A) Full histopathology on the organs and tissues under paragraph 
(d)(9) (iii) of this section of all animals in the control and high dose 
groups and all animals that died or were killed during the study.
    (B) All gross lesions in all animals.
    (C) Target organs in all animals.
    (ii) If the results show substantial alteration of the animal's 
normal life span, the induction of effects that might affect a 
neoplastic response, or other effects that might compromise the 
significance of the data, the next lower dose levels shall be examined 
as described in paragraph (d)(10)(i) of this section.
    (iii) An attempt should be made to correlate gross observations with 
microscopic findings.
    (iv) Tissues and organs designated for microscopic examination 
should be fixed in 10 percent buffered formalin or a recognized suitable 
fixative as soon as necropsy is performed and no less than 48 hours 
prior to trimming.
    (e) Data and reporting--(1) Treatment of results. (i) Data shall be 
summarized in tabular form, showing for each test group the number of 
animals at the start of the test, the number of animals showing lesions, 
the types of lesions, and the percentage of animals displaying each type 
of lesion.
    (ii) All observed results (quantitative and qualitative) shall be 
evaluated by an appropriate statistical method. Any generally accepted 
statistical methods may be used; the statistical methods including 
significance criteria shall be selected during the design of the study.
    (2) Evaluation of study results. (i) The findings of a 
carcinogenicity study should be evaluated in conjunction with the 
findings of previous studies and considered in terms of the toxic 
effects, the necropsy and histopathological findings. The evaluation 
shall include the relationship between the dose of the test substance 
and the presence, incidence, and severity of abnormalities (including 
behavioral and clinical abnormalities), gross lesions, identified target 
organs, body weight changes, effects on mortality, and any other general 
or specific toxic effects.
    (ii) In any study which demonstrates an absence of toxic effects, 
further investigation to establish absorption and bioavailablity of the 
test substance should be considered.
    (iii) In order for a negative test to be acceptable, it must meet 
the following criteria: No more than 10% of any group is lost due to 
autolysis, cannibalism, or management problems; and survival in each 
group is no less than 50% at 15 months for mice and 18 months for rats. 
Survival should not fall below 25% at 18 months for mice and 24 months 
for rats.
    (iv) The use of historical control data from an appropriate time 
period from the same testing laboratory (i.e., the incidence of tumors 
and other suspect

[[Page 406]]

lesions normally occurring under the same laboratory conditions and in 
the same strain of animals employed in the test) is helpful for 
assessing the significance of changes observed in the current study.
    (3) Test report. (i) In addition to the reporting requirements as 
specified under 40 CFR part 792, subpart J, the following specific 
information shall be reported. Both individual and summary data should 
be presented.
    (A) Test substance characterization should include:
    (1) Chemical identification.
    (2) Lot or batch number.
    (3) Physical properties.
    (4) Purity/impurities.
    (5) Identification and composition of any vehicle used.
    (B) Test system should contain data on:
    (1) Species and strain of animals used and rationale for selection 
if other than that recommended.
    (2) Age including body weight data and sex.
    (3) Test environment including cage conditions, ambient temperature, 
humidity, and light/dark periods.
    (4) Identification of animal diet.
    (5) Acclimation period.
    (C) Test procedure should include the following data:
    (1) Method of randomization used.
    (2) Full description of experimental design and procedure.
    (3) Dose regimen including levels, methods, and volume.
    (4) Test results--(i) Group animal data. Tabulation of toxic 
response data by species, strain, sex, and exposure level for:
    (A) Number of animals exposed.
    (B) Number of animals showing signs of toxicity.
    (C) Number of animals dying.
    (ii) Individual animal data. Data should be presented as summary 
(group mean) as well as for individual animals.
    (A) Time of death during the study or whether animals survived to 
termination.
    (B) Time of observation of each abnormal sign and its subsequent 
course.
    (C) Body weight data.
    (D) Feed and water consumption data, when collected.
    (E) Results of clinical pathology and immunotoxicity screen when 
performed.
    (F) Necropsy findings including absolute/relative organ weight data.
    (G) Detailed description of all histopathological findings.
    (H) Statistical treatment of results where appropriate.
    (I) Historical control data.
    (J) Achieved dose (mg/kg/day) as a time-weighted average if the test 
substance is administered in the diet or drinking water.
    (iii) Inhalation studies. In addition, for inhalation studies the 
following shall be reported:
    (A) Test conditions. The following exposure conditions shall be 
reported.
    (1) Description of exposure apparatus including design, type, 
dimensions, source of air, system for generating particulate and 
aerosols, method of conditioning air, treatment of exhaust air and the 
method of housing the animals in a test chamber.
    (2) The equipment for measuring temperature, humidity, and 
particulate aerosol concentrations and size should be described.
    (B) Exposure data. These shall be tabulated and presented with mean 
values and a measure of variability (e.g. standard deviation) and should 
include:
    (1) Airflow rates through the inhalation equipment.
    (2) Temperature and humidity of air.
    (3) Actual (analytical or gravimetric) concentration in the 
breathing zone.
    (4) Nominal concentration (total amount of test substance fed into 
the inhalation equipment divided by volume of air).
    (5) Particle size distribution, calculated MMAD and geometric 
standard deviation (GSD).
    (6) Explanation as to why the desired chamber concentration and/or 
particle size could not be achieved (if applicable) and the efforts 
taken to comply with this aspect of the sections.
    (f) Quality assurance. A system shall be developed and maintained to 
assure and document adequate performance of laboratory staff and 
equipment. The study shall be conducted in compliance with 40 CFR part 
792--Good Laboratory Practice Standards.

[[Page 407]]

    (g) References. For additional background information on this test 
guideline, the following references should be consulted. These 
references are available for inspection at the TSCA Nonconfidential 
Information Center, Rm. NE-B607, Environmental Protection Agency, 401 M 
St., SW., Washington, DC, 12 noon to 4 p.m., Monday through Friday, 
except legal holidays.
    (1) Benitz, K.F. Ed. Paget, G.E. Measurement of Chronic Toxicity. 
Methods of Toxicology (Blackwell, Oxford, 1970) pp. 82-131.
    (2) Fitzhugh, O.G. Chronic Oral Toxicity, Appraisal of the Safety of 
Chemicals in Foods, Drugs and Cosmetics. The Association of Food and 
Drug Officials of the United States. pp. 36-45 (1959, 3rd Printing 
1975).
    (3) Goldenthal, E.I. and D'Aguanno, W. Evaluation of Drugs, 
Appraisal of the Safety of Chemicals in Foods, Drugs, and Cosmetics. The 
Association of Food and Drug Officials of the United States. pp. 60-67 
(1959, 3rd Printing 1975).
    (4) Organisation for Economic Co-operation and Development. 
Guidelines for Testing of Chemicals, Section 4-Health Effects, Part 451 
Carcinogenicity Studies (Paris, 1981).
    (5) Page, N.P. Chronic Toxicity and Carcinogenicity Guidelines. 
Journal of Environmental Pathology and Toxicology. 11:161-182 (1977).
    (6) Page, N.P. Eds. Kraybill and Mehlman. Concepts of a Bioassay 
Program in Environmental Carcinogenesis. Vol.3. Advances in Modern 
Toxicology (Hemisphere, Washington, DC., 1977) pp. 87-171.
    (7) Sontag, J.M. et al. Guidelines for Carcinogen Bioassay in Small 
Rodents. NCI-CS-TR-1 United States Cancer Institute, Division of Cancer 
Control and Prevention, Carcinogenesis Bioassay Program (Bethesda, MD).

[62 FR 43824, Aug. 15, 1997, as amended at 64 FR 35078, June 30, 1999]



Sec.  799.9430  TSCA combined chronic toxicity/carcinogenicity.

    (a) Scope. This section is intended to meet the testing requirements 
under section 4 of the Toxic Substances Control Act (TSCA). The 
objective of a combined chronic toxicity/carcinogenicity study is to 
determine the effects of a substance in a mammalian species following 
prolonged and repeated exposure. The application of this section should 
generate data which identify the majority of chronic and carcinogenicity 
effects and determine dose-response relationships. The design and 
conduct should allow for the detection of neoplastic effects and a 
determination of the carcinogenic potential as well as general toxicity, 
including neurological, physiological, biochemical, and hematological 
effects and exposure-related morphological (pathology) effects.
    (b) Source. The source material used in developing this TSCA test 
guideline is the Office of Prevention, Pesticides, and Toxic Substances 
(OPPTS) harmonized test guideline 870.4300 (August 1998, final 
guideline). This source is available at the address in paragraph (h) of 
this section.
    (c) Definitions. The following definitions apply to this section.
    Carcinogenicity is the development of neoplastic lesions as a result 
of the repeated daily exposure of experimental animals to a chemical by 
the oral, dermal, or inhalation routes of exposure.
    Chronic toxicity is the adverse effects occurring as a result of the 
repeated daily exposure of experimental animals to a chemical by the 
oral, dermal, or inhalation routes of exposure.
    Cumulative toxicity is the adverse effects of repeated dose 
occurring as a result of prolonged action on, or increased concentration 
of, the administered test substance or its metabolites in susceptible 
tissues.
    Dose in a combined chronic toxicity/carcinogenicity study is the 
amount of test substance administered via the oral, dermal, or 
inhalation routes for a period of up to 24 months. Dose is expressed as 
weight of the test substance per unit body weight of test animal 
(milligrams per kilogram), or as weight of the test substance in parts 
per million (ppm) in food or drinking water. When exposed via 
inhalation, dose is expressed as weight of the test substance per unit 
volume of air (milligrams per liter) or as parts per million per day. 
For dermal application, dose is expressed as weight of the test 
substance (grams, milligrams) per unit

[[Page 408]]

body weight of the test animal (milligrams per kilogram) or as weight of 
the substance per unit surface area (milligrams per square centimeter) 
per day.
    No-observed-effects level (NOEL) is the maximum dose used in a study 
which produces no observed adverse effects. The NOEL is usually 
expressed in terms of the weight of a test substance given daily per 
unit weight of test animal (milligrams per kilogram per day).
    Target organ is any organ of a test animal showing evidence of an 
effect induced by a test substance.
    (d) Limit test. If a test at one dose level of at least 1,000 mg/kg 
body weight (expected human exposure may indicate the need for a higher 
dose level), using the procedures described for this study, produces no 
observable toxic effects or if toxic effects would not be expected based 
upon data of structurally related compounds, then a full study using 
three dose levels might not be necessary.
    (e) Test procedures--(1) Animal selection--(i) Species and strain. 
Preliminary studies providing data on acute, subchronic, and metabolic 
responses should have been carried out to permit an appropriate choice 
of animals (species and strain). As discussed in other guidelines, the 
mouse and rat have been most widely used for assessment of carcinogenic 
potential, while the rat and dog have been most often studied for 
chronic toxicity. For the combined chronic toxicity/carcinogenicity 
study via the oral and inhalation routes, the rat is the species of 
choice and for the dermal route, the mouse is species of choice. If 
other species are used, the tester must provide justification/reasoning 
for their selection. The strain selected should be susceptible to the 
carcinogenic or toxic effect of the class of substances being tested, if 
known, and provided it does not have a spontaneous background incidence 
too high for meaningful assessment. Commonly used laboratory strains 
must be employed.
    (ii) Age/weight. (A) Testing must be started with young healthy 
animals as soon as possible after weaning and acclimatization.
    (B) Dosing should generally begin no later than 8 weeks of age.
    (C) At commencement of the study, the weight variation of animals 
used must be within 20% of the mean weight for each sex.
    (D) Studies using prenatal or neonatal animals may be recommended 
under special conditions.
    (iii) Sex. (A) Equal numbers of animals of each sex must be used at 
each dose level.
    (B) Females must be nulliparous and nonpregnant.
    (iv) Numbers. (A) At least 100 rodents (50 males and 50 females) 
must be used at each dose level and concurrent control group. At least 
20 additional rodents (10 males and 10 females) should be used for 
satellite dose groups and the satellite control group. The purpose of 
the satellite group is to allow for the evaluation of chronic toxicity 
after 12 months of exposure to the test substance.
    (B) For a meaningful and valid statistical evaluation of long term 
exposure and for a valid interpretation of negative results, the number 
of animals in any group should not fall below 50% at 15 months in mice 
and 18 months in rats. Survival in any group should not fall below 25% 
at 18 months in mice and 24 months in rats.
    (C) To avoid bias, the use of adequate randomization procedures for 
the proper allocation of animals to test and control groups is required.
    (D) Each animal must be assigned a unique identification number. 
Dead animals (and their preserved organs) and tissues, and microscopic 
slides shall be identified by reference to the unique numbers assigned.
    (v) Husbandry. (A) Animals may be group-caged by sex, but the number 
of animals per cage must not interfere with clear observation of each 
animal. The biological properties of the test substance or toxic effects 
(e.g., morbidity, excitability) may indicate a need for individual 
caging. Rodents should be housed individually in dermal studies and 
during exposure in inhalation studies.
    (B) The temperature of the experimental animal rooms should be at 22 
3 [deg]C.
    (C) The relative humidity of the experimental animal rooms should be 
50 20%.

[[Page 409]]

    (D) Where lighting is artificial, the sequence should be 12 hours 
light/12 hours dark.
    (E) Control and test animals should be fed from the same batch and 
lot. The feed should be analyzed to assure uniform distribution and 
adequacy of nutritional requirements of the species tested and for 
impurities that might influence the outcome of the test. Animals should 
be fed and watered ad libitum with food replaced at least weekly.
    (F) The study should not be initiated until animals have been 
allowed a period of acclimatization/quarantine to environmental 
conditions, nor should animals from outside sources be placed on test 
without an adequate period of quarantine. An acclimation period of at 
least five days is recommended.
    (2) Control and test substances. (i) Where necessary, the test 
substance is dissolved or suspended in a suitable vehicle. If a vehicle 
or diluent is needed, it should not elicit toxic effects itself nor 
substantially alter the chemical or toxicological properties of the test 
substance. It is recommended that wherever possible the usage of an 
aqueous solution be considered first, followed by consideration of a 
solution in oil, and finally solution in other vehicles.
    (ii) One lot of the test substance should be used throughout the 
duration of the study if possible, and the research sample should be 
stored under conditions that maintain its purity and stability. Prior to 
the initiation of the study, there should be a characterization of the 
test substance, including the purity of the test compound, and, if 
possible, the name and quantities of contaminants and impurities.
    (iii) If the test or control substance is to be incorporated into 
feed or another vehicle, the period during which the test substance is 
stable in such a mixture should be determined prior to the initiation of 
the study. Its homogeneity and concentration should be determined prior 
to the initiation of the study and periodically during the study. 
Statistically randomized samples of the mixture should be analyzed to 
ensure that proper mixing, formulation, and storage procedures are being 
followed, and that the appropriate concentration of the test or control 
substance is contained in the mixture.
    (3) Control groups. A concurrent control group is required. This 
group should be an untreated or sham-treated control group or, if a 
vehicle is used in administering the test substance, a vehicle control 
group. If the toxic properties of the vehicle are not known or cannot be 
made available, both untreated and vehicle control groups are required.
    (4) Dose levels and dose selection. (i) For risk assessment 
purposes, at least three dose levels must be used, in addition to the 
concurrent control group. Dose levels should be spaced to produce a 
gradation of effects. A rationale for the doses selected must be 
provided.
    (ii) The highest dose level in rodents should elicit signs of 
toxicity without substantially altering the normal life span due to 
effects other than tumors. The highest dose should be determined based 
on the findings from a 90-day study to ensure that the dose used is 
adequate to assess the chronic toxicity and the carcinogenic potential 
of the test substance. Thus, the selection of the highest dose to be 
tested is dependent upon changes observed in several toxicological 
parameters in subchronic studies. The highest dose tested need not 
exceed 1,000 mg/kg/day.
    (iii) The intermediate-dose levels should be spaced to produce a 
gradation of toxic effects.
    (iv) The lowest-dose level should produce no evidence of toxicity.
    (v) For skin carcinogenicity studies, when toxicity to the skin is a 
determining factor, the highest dose selected should not destroy the 
functional integrity of the skin, the intermediate doses should be a 
minimally irritating dose and the low dose should be the highest 
nonirritating dose.
    (vi) The criteria for selecting the dose levels for skin 
carcinogenicity studies, based on gross and histopathologic dermal 
lesions, are as follows:
    (A) Gross criteria for reaching the high dose:
    (1) Erythema (moderate).
    (2) Scaling.
    (3) Edema (mild).
    (4) Alopecia.
    (5) Thickening.

[[Page 410]]

    (B) Histologic criteria for reaching the high dose:
    (1) Epidermal hyperplasia.
    (2) Epidermal hyperkeratosis.
    (3) Epidermal parakeratosis.
    (4) Adnexal atrophy/hyperplasia.
    (5) Fibrosis.
    (6) Spongiosis (minimal-mild).
    (7) Epidermal edema (minimal-mild).
    (8) Dermal edema (minimal-moderate).
    (9) Inflammation (moderate).
    (C) Gross criteria for exceeding the high dose:
    (1) Ulcers-fissures, exudate/crust (eschar), nonviable (dead) 
tissues.
    (2) Anything leading to destruction of the functional integrity of 
the epidermis (e.g., caking, fissuring, open sores, eschar).
    (D) Histologic criteria for exceeding the high-dose:
    (1) Crust (interfollicular and follicular).
    (2) Microulcer.
    (3) Degeneration/necrosis (mild to moderate).
    (4) Epidermal edema (moderate to marked).
    (5) Dermal edema (marked).
    (6) Inflammation (marked).
    (5) Administration of the test substance. The three main routes of 
administration are oral, dermal, and inhalation. The choice of the route 
of administration depends upon the physical and chemical characteristics 
of the test substance and the form typifying exposure in humans.
    (i) Oral studies. If the test substance is administered by gavage, 
the animals are dosed with the test substance on a 7-day per week basis 
for a period of at least 18 months for mice and hamsters and 24 months 
for rats. However, based primarily on practical considerations, dosing 
by gavage on a 5-day per week basis is acceptable. If the test substance 
is administered in the drinking water or mixed in the diet, then 
exposure should be on a 7-day per week basis.
    (ii) Dermal studies. (A) Preparation of animal skin. Shortly before 
testing, fur should be clipped from not less than 10% of the body 
surface area for application of the test substance. In order to dose 
approximately 10% of the body surface, the area starting at the scapulae 
(shoulders) to the wing of the ileum (hipbone) and half way down the 
flank on each side of the animal should be shaved. Shaving should be 
carried out approximately 24 hours before dosing. Repeated clipping or 
shaving is usually needed at approximately weekly intervals. When 
clipping or shaving the fur, care should be taken to avoid abrading the 
skin which could alter its permeability.
    (B) Preparation of test substance. Liquid test substances are 
generally used undiluted, except as indicated in paragraph (e)(4)(vi) of 
this section. Solids should be pulverized when possible. The substance 
should be moistened sufficiently with water or, when necessary, with a 
suitable vehicle to ensure good contact with the skin. When a vehicle is 
used, the influence of the vehicle on toxicity of, and penetration of 
the skin by, the test substance should be taken into account. The volume 
of application should be kept constant, e.g., less than 100 [micro]L for 
the mouse and less than 300 [micro]L for the rat. Different 
concentrations of test solution should be prepared for different dose 
levels.
    (C) Administration of test substance. The duration of exposure 
should be at least 18 months for mice and hamsters and 24 months for 
rats. Ideally, the animals should be treated with test substance for at 
least 6 hours per day on a 7-day per week basis. However, based on 
practical considerations, application on a 5-day per week basis is 
acceptable. Dosing should be conducted at approximately the same time 
each day. The test substance must be applied uniformly over the 
treatment site. The surface area covered may be less for highly toxic 
substances. As much of the area should be covered with as thin and 
uniform a film as possible. For rats, the test substance may be held in 
contact with the skin with a porous gauze dressing and nonirritating 
tape if necessary. The test site should be further covered in a suitable 
manner to retain the gauze dressing plus test substance and to ensure 
that the animals cannot ingest the test substance. The application site 
should not be covered when the mouse is the species of choice. The test 
substance may

[[Page 411]]

be wiped from the skin after the 6-hour exposure period to prevent 
ingestion.
    (iii) Inhalation studies. (A) The animals should be exposed to the 
test substance, for 6 hours per day on a 7-day per week basis, for a 
period of at least 18 months in mice and 24 months in rats. However, 
based primarily on practical considerations, exposure for 6 hours per 
day on a 5-day per week basis is acceptable.
    (B) The animals must be tested in dynamic inhalation equipment 
designed to sustain a minimum air flow of 10 air changes per hour, an 
adequate oxygen content of at least 19%, and uniform conditions 
throughout the exposure chamber. Maintenance of slight negative pressure 
inside the chamber will prevent leakage of the test substance into 
surrounding areas. It is not normally necessary to measure chamber 
oxygen concentration if airflow is adequate.
    (C) The selection of a dynamic inhalation chamber should be 
appropriate for the test substance and test system. Where a whole body 
chamber is used, individual housing must be used to minimize crowding of 
the test animals and maximize their exposure to the test substance. To 
ensure stability of a chamber atmosphere, the total volume occupied by 
the test animals shall not exceed 5% of the volume of the test chamber. 
It is recommended, but not required, that nose-only or head-only 
exposure be used for aerosol studies in order to minimize oral exposures 
due to animals licking compound off their fur. The animals should be 
acclimated and heat stress minimized.
    (D) The temperature at which the test is performed should be 
maintained at 22 2 [deg]C. The relative humidity 
should be maintained between 40 to 60%, but in certain instances (e.g., 
tests of aerosols, use of water vehicle) this may not be practicable.
    (E) The rate of air flow must be monitored continuously but recorded 
at least three times during the exposure.
    (F) Temperature and humidity must be monitored continuously but 
should be recorded at least every 30 minutes.
    (G) The actual concentrations of the test substance must be measured 
in the animal's breathing zone. During the exposure period, the actual 
concentrations of the test substance must be held as constant as 
practicable and monitored continuously or intermittently depending on 
the method of analysis. Chamber concentration may be measured using 
gravimetric or analytical methods as appropriate. If trial run 
measurements are reasonably consistent (10% for 
liquid aerosol, gas, or vapor; 20% for dry 
aerosol), then two measurements should be sufficient. If measurements 
are not consistent, three to four measurements should be taken. If there 
is some difficulty in measuring chamber analytical concentration due to 
precipitation, nonhomogeneous mixtures, volatile components, or other 
factors, additional analyses of inert components may be necessary.
    (H) During the development of the generating system, particle size 
analysis must be performed to establish the stability of aerosol 
concentrations with respect to particle size. The mass median 
aerodynamic diameter (MMAD) particle size range should be between 1-3 
[micro]m. The particle size of hygroscopic materials should be small 
enough when dry to assure that the size of the swollen particle will 
still be within the 1-3 [micro]m range. Measurements of aerodynamic 
particle size in the animal's breathing zone should be measured during a 
trial run. If MMAD values for each exposure level are within 10% of each 
other, then two measurements during the exposures should be sufficient. 
If pretest measurements are not within 10% of each other, three to four 
measurements should be taken.
    (I) Feed must be withheld during exposure. Water may also be 
withheld during exposure.
    (J) When the physical and chemical properties of the test substance 
show a low flash point or the test substance is otherwise known or 
thought to be explosive, care must be taken to avoid exposure level 
concentrations that could result in an exposure chamber explosion during 
the test.
    (6) Observation period. (i) This time period must not be less than 
24 months for rats and 18 months for mice, and ordinarily not longer 
than 30 months for rats and 24 months for mice. For longer time periods, 
and where any other species are used, consultation with the

[[Page 412]]

Agency in regard to the duration of the study is advised.
    (ii) Animals in a satellite group to assess chronic toxicity should 
be observed for 12 months.
    (7) Observation of animals. (i) Observations must be made at least 
twice each day for morbidity and mortality. Appropriate actions should 
be taken to minimize loss of animals to the study (e.g., necropsy or 
refrigeration of those animals found dead and isolation or sacrifice of 
weak or moribund animals). General clinical observations shall be made 
at least once a day, preferably at the same time each day, taking into 
consideration the peak period of anticipated effects after dosing. The 
clinical condition of the animal should be recorded.
    (ii) A careful clinical examination must be made at least once 
weekly. Observations should be detailed and carefully recorded, 
preferably using explicity defined scales. Observations should include, 
but not be limited to, evaluation of skin and fur, eyes and mucous 
membranes, respiratory and circulatory effects, autonomic effects such 
as salivation, central nervous system effects, including tremors and 
convulsions, changes in the level of activity, gait and posture, 
reactivity to handling or sensory stimuli, altered strength, and 
stereotypes or bizarre behavior (e.g., self-mutilation, walking 
backwards).
    (iii) Signs of toxicity should be recorded as they are observed 
including the time of onset, degree and duration.
    (iv) Body weights must be recorded individually for all animals once 
prior to administration of the test substance, once a week during the 
first 13 weeks of the study and at least once every 4 weeks thereafter 
unless signs of clinical toxicity suggest more frequent weighing to 
facilitate monitoring of health status.
    (v) Measurements of feed consumption should be determined weekly 
during the first 13 weeks of the study and then at approximately monthly 
intervals unless health status or body weight changes dictate otherwise. 
Measurements of water consumption should be determined at the same 
intervals if the test material is administered in drinking water.
    (vi) Moribund animals must be removed and sacrificed when noticed 
and the time of death should be recorded as precisely as possible. At 
the end of the study period, all survivors must be sacrificed. Animals 
in the satellite group must be sacrificed after 12 months of exposure to 
the test substance (interim sacrifice).
    (8) Clinical pathology. Hematology, clinical chemistry and 
urinalyses must be performed from 10 animals per sex per group. The 
parameters should be examined at approximately 6 month intervals during 
the first 12 months of the study. If possible, these collections should 
be from the same animals at each interval. If hematological and 
biochemical effects are seen in the subchronic study, testing shall also 
be performed at 3 months. Overnight fasting of animals prior to blood 
sampling is recommended.
    (i) Hematology. The recommended parameters are red blood cell count, 
hemoglobin concentration, hematocrit, mean corpuscular volume, mean 
corpuscular hemoglobin, and mean corpuscular hemoglobin concentration, 
white blood cell count, differential leukocyte count, platelet count, 
and a measure of clotting potential, such as prothrombin time or 
activated partial thromboplastin time.
    (ii) Clinical chemistry. (A) Parameters which are considered 
appropriate to all studies are electrolyte balance, carbohydrate 
metabolism, and liver and kidney function. The selection of specific 
tests will be influenced by observations on the mode of action of the 
substance and signs of clinical toxicity.
    (B) The recommended clinical chemistry determinations are potassium, 
sodium, glucose, total cholesterol, urea nitrogen, creatinine, total 
protein, and albumin. More than two hepatic enzymes, (such as alanine 
aminotransferase, aspartate aminotransferase, alkaline phosphatase, 
sorbitol dehydrogenase, or gamma glutamyl transpeptidase) should also be 
measured. Measurements of addtional enzymes (of hepatic or other origin) 
and bile acids, may also be useful.
    (iii) If a test chemical has an effect on the hematopoietic system,

[[Page 413]]

reticulocyte counts and bone marrow cytology may be indicated.
    (iv) Other determinations that should be carried out if the test 
chemical is known or suspected of affecting related measures include 
calcium, phosphorus, fasting triglycerides, hormones, methemoglobin, and 
cholinesterases.
    (v) Urinalyses. Urinalysis for rodents must be performed at the end 
of the first year of the study using timed urine collection. Urinalysis 
determinations include: appearance, volume, osmolality or specific 
gravity, pH, protein, glucose, and blood/blood cells.
    (9) Ophthalmological examination. Examinations must be made on all 
animals using an ophthalmoscope or an equivalent device prior to the 
administration of the test substance and at termination of the study on 
10 animals per sex in the high-dose and control groups. If changes in 
eyes are detected, all animals must be examined.
    (10) Gross necropsy. (i) A complete gross examination must be 
performed on all animals, including those which died during the 
experiment or were sacrificed in a moribund condition.
    (ii) At least, the liver, kidneys, adrenals, testes, epididymides, 
ovaries, uterus, spleen, brain, and heart should be trimmed and weighed 
wet, as soon as possible after dissection to avoid drying. The lungs 
should be weighed if the test substance is administered by the 
inhalation route. The organs should be weighed from interim sacrifice 
animals as well as from at least 10 animals per sex per group at 
terminal sacrifice.
    (iii) The following organs and tissues, or representative samples 
thereof, must be preserved in a suitable medium for possible future 
histopathological examination:
    (A) Digestive system--salivary glands, esophagus, stomach, duodenum, 
jejunum, ileum, cecum, colon, rectum, liver, pancreas, gallbladder (when 
present) .
    (B) Nervous system--brain (multiple sections, including cerebrum, 
cerebellum and medulla/pons), pituitary, peripheral nerve (sciatic or 
tibial, preferably in close proximity to the muscle), spinal cord (three 
levels, cervical, mid-thoracic, and lumbar), eyes (retina, optic nerve).
    (C) Glandular system--adrenals, parathyroid, thyroid.
    (D) Respiratory system--trachea, lungs, pharynx, larynx, nose.
    (E) Cardiovascular/Hematopoietic system--aorta, heart, bone marrow 
(and/or fresh aspirate), lymph nodes (preferably one lymph node covering 
the route of administration and another one distant from the route of 
administration to cover systemic effects), spleen.
    (F) Urogenital system--kidneys, urinary bladder, prostate, testes, 
epididymides, seminal vesicle(s), uterus, ovaries, female mammary gland.
    (G) Other--all gross lesions and masses, skin.
    (iv) In inhalation studies, the entire respiratory tract, including 
nose, pharynx, larynx, and paranasal sinuses should be examined and 
preserved. In dermal studies, skin from treated and adjacent control 
skin sites should be examined and preserved.
    (v) Inflation of lungs and urinary bladder with a fixative is the 
optimal method for preservation of these tissues. The proper inflation 
and fixation of the lungs in inhalation studies is essential for 
appropriate and valid histopathological examination.
    (vi) Information from clinical pathology and other in-life data 
should be considered before microscopic examination, since these data 
may provide significant guidance to the pathologist.
    (11) [Reserved]
    (12) Histopathology. (i) The following histopathology must be 
performed:
    (A) Full histopathology on the organs and tissues, listed in 
paragraph (e)(10)(iii) of this section of all animals in the control and 
high dose groups and of all animals that died or were sacrificed during 
the study.
    (B) All gross lesions in all animals.
    (C) Target organs in all animals.
    (ii) If the results show substantial alteration of the animal's 
normal life span, the induction of effects that might affect a 
neoplastic response, or other effects that might compromise the 
significance of the data, the next lower levels should be examined fully 
as described in paragraph (e)(12)(i) of this section.

[[Page 414]]

    (iii) An attempt should be made to correlate gross observations with 
microscopic findings.
    (iv) Tissues and organs designated for microscopic examination 
should be fixed in 10% buffered formalin or a recognized suitable 
fixative as soon as necropsy is performed and no less than 48 hours 
prior to trimming.
    (f) Data and reporting--(1) Treatment of results. (i) Data must be 
summarized in tabular form, showing for each test group the number of 
animals at the start of the test, the number of animals showing lesions, 
the types of lesions and the percentage of animals displaying each type 
of lesion.
    (ii) When applicable, all observed results, quantitative and 
qualitative, must be evaluated by an appropriate statistical method. Any 
generally accepted statistical methods may be used; the statistical 
methods including significance criteria should be selected during the 
design of the study.
    (2) Evaluation of study results. (i) The findings of a combined 
chronic toxicity/carcinogenicity study should be evaluated in 
conjunction with the findings of previous studies and considered in 
terms of the toxic effects, the necropsy and histopathological findings. 
The evaluation must include the relationship between the dose of the 
test substance and the presence, incidence and severity of abnormalities 
(including behavioral and clinical abnormalities), gross lesions, 
identified target organs, body weight changes, effects on mortality and 
any other general or specific toxic effects.
    (ii) In any study which demonstrates an absence of toxic effects, 
further investigation to establish absorption and bioavailablity of the 
test substance should be considered.
    (iii) In order for a negative test to be acceptable, it should meet 
the following criteria--no more than 10% of any group is lost due to 
autolysis, cannibalism, or management problems, and survival in each 
group is no less than 50% at 15 months for mice and 18 months for rats. 
Survival should not fall below 25% at 18 months for mice and 24 months 
for rats.
    (iv) The use of historical control data from an appropriate time 
period from the same testing laboratory (i.e, the incidence of tumors 
and other suspect lesions normally occurring under the same laboratory 
conditions and in the same strain of animals employed in the test) is 
helpful for assessing the significance of changes observed in the 
current study.
    (3) Test report. (i) In addition to the reporting requirements 
specified under EPA Good Laboratory Practice Standards at 40 CFR part 
792, subpart J, the following specific information must be reported:
    (A) Test substance characterization should include:
    (1) Chemical identification.
    (2) Lot or batch number.
    (3) Physical properties.
    (4) Purity/impurities.
    (5) Identification and composition of any vehicle used.
    (B) Test system should contain data on:
    (1) Species and strain of animals used and rationale for selection 
if other than that recommended.
    (2) Age including body weight data and sex.
    (3) Test environment including cage conditions, ambient temperature, 
humidity, and light/dark periods.
    (4) Identification of animal diet.
    (5) Acclimation period.
    (C) Test procedure should include the following data:
    (1) Method of randomization used.
    (2) Full description of experimental design and procedure.
    (3) Dose regimen including levels, methods, and volume.
    (4) Test results. (i) Group animal data. Tabulation of toxic 
response data by species, strain, sex, and exposure level for:
    (A) Number of animals exposed.
    (B) Number of animals showing signs of toxicity.
    (C) Number of animals dying.
    (ii) Individual animal data. Data should be presented as summary 
(group mean) as well as for individual animals.
    (A) Time of death during the study or whether animals survived to 
termination.
    (B) Time of observation of each abnormal sign and its subsequent 
course.
    (C) Body weight data.

[[Page 415]]

    (D) Feed and water consumption data, when collected.
    (E) Achieved dose (milligrams/kilogram body weight) as a time-
weighed average is the test substance is administered in the diet or 
drinking water.
    (F) Results of ophthalmological examination, when performed.
    (G) Results of hematological tests performed.
    (H) Results of clinical chemistry tests performed.
    (I) Results of urinalysis tests performed.
    (J) Results of observations made.
    (K) Necropsy findings including absolute/relative organ weight data.
    (L) Detailed description of all histopathological findings.
    (M) Statistical treatment of results where appropriate.
    (N) Historical control data.
    (iii) In addition, for inhalation studies the following should be 
reported:
    (A) Test conditions. The following exposure conditions must be 
reported.
    (1) Description of exposure apparatus including design, type, 
dimensions, source of air, system for generating particulates and 
aerosols, method of conditioning air, treatment of exhaust air and the 
method of housing the animals in a test chamber.
    (2) The equipment for measuring temperature, humidity, and 
particulate aerosol concentrations and size should be described.
    (B) Exposure data. These must be tabulated and presented with mean 
values and a measure of variability (e.g., standard deviation) and 
should include:
    (1) Airflow rates through the inhalation equipment.
    (2) Temperature and humidity of air.
    (3) Actual (analytical or gravimetric) concentration in the 
breathing zone.
    (4) Nominal concentration (total amount of test substance fed into 
the inhalation equipment divided by volume of air).
    (5) Particle size distribution, and calculated MMAD and geometric 
standard deviation.
    (6) Explanation as to why the desired chamber concentration and/or 
particle size could not be achieved (if applicable) and the efforts 
taken to comply with this aspect of the guidelines.
    (g) Quality control. A system must be developed and maintained to 
assure and document adequate performance of laboratory equipment. The 
study must be conducted in compliance with 40 CFR Part 792--Good 
Laborary Practice Standards.
    (h) References. For additional background information on this test 
guideline, the following references should be consulted. These 
references are available for inspection at the TSCA Nonconfidential 
Information Center, Rm. NE-B607, Environmental Protection Agency, 401 M 
St., NW., Washington, DC, 12 noon to 4 p.m., Monday through Friday, 
except legal holidays.
    (1) Benitz, K.F. Measurement of Chronic Toxicity. Methods of 
Toxicology. Ed. G.E. Paget. Blackwell, Oxford. pp. 82-131 (1970).
    (2) Crofton K.M., Howard J.L., Moser V.C., Gill M.W., Leiter L.W., 
Tilson H.A., MacPhail, R.C. Interlaboratory Comparison of Motor Activity 
Experiments: Implication for Neurotoxicological Assessments. 
Neurotoxicol. Teratol. 13, 599-609. (1991)
    (3) D'Aguanno, W. Drug Safety Evaluation--Pre-Clinical 
Considerations. Industrial Pharmacology: Neuroleptic. Vol. I, Ed. S. 
Fielding and H. Lal. Futura, Mt. Kisco, NY. pp. 317-332 (1974).
    (4) Fitzhugh, O.G. Chronic Oral Toxicity, Appraisal of the Safety of 
Chemicals in Foods, Drugs and Cosmetics. The Association of Food and 
Drug Officials of the United States. pp. 36-45 (1959, 3rd Printing 
1975).
    (5) Goldenthal, E.I. and D'Aguanno, W. Evaluation of Drugs, 
Appraisal of the Safety of Chemicals in Foods, Drugs, and Cosmetics. The 
Association of Food and Drug Officials of the United States. pp. 60-67 
(1959, 3rd Printing 1975).
    (6) Organization for Economic Cooperation and Development. 
Guidelines for Testing of Chemicals, Section 4-Health Effects, Part 453 
Combined Chronic Toxicity/Carcinogenicity Studies, Paris. (1981).
    (7) Page, N.P. Chronic Toxicity and Carcinogenicity Guidelines. 
Journal of Environmental Pathology and Toxicology 11:161-182 (1977).
    (8) Page, N.P. Concepts of a Bioassay Program in Environmental 
Carcinogenesis, Advances in Modern Toxicology. Vol.3, Ed. Kraybill and

[[Page 416]]

Mehlman. Hemisphere, Washington, DC pp. 87-171 (1977)
    (9) Sontag, J.M. et al. Guidelines for Carcinogen Bioassay in Small 
Rodents. NCI-CS-TR-1 (Bethesda: United States Cancer Institute, Division 
of Cancer Control and Prevention, Carcinogenesis Bioassay Program.
    (10) Summary of the EPA Workshop on Carcinogenesis Bioassay via the 
Dermal Route. EPA Report 50/6-89-002; 50/6-89-003. Washington, DC.
    (11) The Atlas Of Dermal Lesions, EPA Report 20T-004, U.S 
Environmental Protection Agency, Washington, DC.

[65 FR 78802, Dec. 15, 2000]



Sec.  799.9510  TSCA bacterial reverse mutation test.

    (a) Scope. This section is intended to meet the testing requirements 
under section 4 of TSCA.
    (1) The bacterial reverse mutation test uses amino-acid requiring 
strains of Salmonella typhimurium and Escherichia coli to detect point 
mutations, which involve substitution, addition or deletion of one or a 
few DNA base pairs. The principle of this bacterial reverse mutation 
test is that it detects mutations which revert mutations present in the 
test strains and restore the functional capability of the bacteria to 
synthesize an essential amino acid. The revertant bacteria are detected 
by their ability to grow in the absence of the amino acid required by 
the parent test strain.
    (2) Point mutations are the cause of many human genetic diseases and 
there is substantial evidence that point mutations in oncogenes and 
tumor suppressor genes of somatic cells are involved in tumor formation 
in humans and experimental animals. The bacterial reverse mutation test 
is rapid, inexpensive and relatively easy to perform. Many of the test 
strains have several features that make them more sensitive for the 
detection of mutations, including responsive DNA sequences at the 
reversion sites, increased cell permeability to large molecules and 
elimination of DNA repair systems or enhancement of error-prone DNA 
repair processes. The specificity of the test strains can provide some 
useful information on the types of mutations that are induced by 
genotoxic agents. A very large data base of results for a wide variety 
of structures is available for bacterial reverse mutation tests and 
well-established methodologies have been developed for testing chemicals 
with different physico-chemical properties, including volatile 
compounds.
    (b) Source. The source material used in developing this TSCA test 
guideline are the OECD replacement guidelines for 471 and 472 (February 
1997). This source is available at the address in paragraph (g) of this 
section.
    (c) Definitions. The following definitions apply to this section:
    A reverse mutation test in either Salmonella typhimurium or 
Escherichia coli detects mutation in an amino-acid requiring strain 
(histidine or tryptophan, respectively) to produce a strain independent 
of an outside supply of amino-acid.
    Base pair substitution mutagens are agents that cause a base change 
in DNA. In a reversion test this change may occur at the site of the 
original mutation, or at a second site in the bacterial genome.
    Frameshift mutagens are agents that cause the addition or deletion 
of one or more base pairs in the DNA, thus changing the reading frame in 
the RNA
    (d) Initial considerations. (1) The bacterial reverse mutation test 
utilizes prokaryotic cells, which differ from mammalian cells in such 
factors as uptake, metabolism, chromosome structure and DNA repair 
processes. Tests conducted in vitro generally require the use of an 
exogenous source of metabolic activation. In vitro metabolic activation 
systems cannot mimic entirely the mammalian in vivo conditions. The test 
therefore does not provide direct information on the mutagenic and 
carcinogenic potency of a substance in mammals.
    (2) The bacterial reverse mutation test is commonly employed as an 
initial screen for genotoxic activity and, in particular, for point 
mutation-inducing activity. An extensive data base has demonstrated that 
many chemicals that are positive in this test also exhibit mutagenic 
activity in other tests. There are examples of mutagenic agents which 
are not detected by this

[[Page 417]]

test; reasons for these shortcomings can be ascribed to the specific 
nature of the endpoint detected, differences in metabolic activation, or 
differences in bioavailability. On the other hand, factors which enhance 
the sensitivity of the bacterial reverse mutation test can lead to an 
overestimation of mutagenic activity.
    (3) The bacterial reverse mutation test may not be appropriate for 
the evaluation of certain classes of chemicals, for example highly 
bactericidal compounds (e.g. certain antibiotics) and those which are 
thought (or known) to interfere specifically with the mammalian cell 
replication system (e.g. some topoisomerase inhibitors and some 
nucleoside analogues). In such cases, mammalian mutation tests may be 
more appropriate.
    (4) Although many compounds that are positive in this test are 
mammalian carcinogens, the correlation is not absolute. It is dependent 
on chemical class and there are carcinogens that are not detected by 
this test because they act through other, non-genotoxic mechanisms or 
mechanisms absent in bacterial cells.
    (e) Test method--(1) Principle. (i) Suspensions of bacterial cells 
are exposed to the test substance in the presence and in the absence of 
an exogenous metabolic activation system. In the plate incorporation 
method, these suspensions are mixed with an overlay agar and plated 
immediately onto minimal medium. In the preincubation method, the 
treatment mixture is incubated and then mixed with an overlay agar 
before plating onto minimal medium. For both techniques, after 2 or 3 
days of incubation, revertant colonies are counted and compared to the 
number of spontaneous revertant colonies on solvent control plates.
    (ii) Several procedures for performing the bacterial reverse 
mutation test have been described. Among those commonly used are the 
plate incorporation method, the preincubation method, the fluctuation 
method, and the suspension method. Suggestions for modifications for the 
testing of gases or vapors are described in the reference in paragraph 
(g)(12) of this section.
    (iii) The procedures described in this section pertain primarily to 
the plate incorporation and preincubation methods. Either of them is 
acceptable for conducting experiments both with and without metabolic 
activation. Some compounds may be detected more efficiently using the 
preincubation method. These compounds belong to chemical classes that 
include short chain aliphatic nitrosamines, divalent metals, aldehydes, 
azo-dyes and diazo compounds, pyrollizidine alkaloids, allyl compounds 
and nitro compounds. It is also recognized that certain classes of 
mutagens are not always detected using standard procedures such as the 
plate incorporation method or preincubation method. These should be 
regarded as ``special cases'' and it is strongly recommended that 
alternative procedures should be used for their detection. The following 
``special cases'' could be identified (together with examples of 
procedures that could be used for their detection): azo-dyes and diazo 
compounds (alterative procedures are described in the references in 
paragraphs (g)(3), (g)(5), (g)(6), and (g)(13) of this section), gases 
and volatile chemicals (alterative procedures are described in the 
references in paragraphs (g)(12), (g)(14), (g)(15), and (g)(16) of this 
section), and glycosides (alterative procedures are described in the 
references in paragraphs (g)(17) and (g)(18) of this section). A 
deviation from the standard procedure needs to be scientifically 
justified.
    (2) Description--(i) Preparations--(A) Bacteria. (1) Fresh cultures 
of bacteria should be grown up to the late exponential or early 
stationary phase of growth (approximately 10\9\ cells per ml). Cultures 
in late stationary phase should not be used. The cultures used in the 
experiment shall contain a high titre of viable bacteria. The titre may 
be demonstrated either from historical control data on growth curves, or 
in each assay through the determination of viable cell numbers by a 
plating experiment.
    (2) The culture temperature shall be 37 [deg]C.
    (3) At least five strains of bacteria should be used. These should 
include four strains of S. typhimurium (TA1535; TA1537 or TA97a or TA97; 
TA98; and

[[Page 418]]

TA100) that have been shown to be reliable and reproducibly responsive 
between laboratories. These four S. typhimurium strains have GC base 
pairs at the primary reversion site and it is known that they may not 
detect certain oxidizing mutagens, cross-linking agents, and hydrazines. 
Such substances may be detected by E. coli WP2 strains or S. typhimurium 
TA102 (see reference in paragraph (g)(19) of this section) which have an 
AT base pair at the primary reversion site. Therefore the recommended 
combination of strains is:
    (i) S. typhimurium TA1535.
    (ii) S. typhimurium TA1537 or TA97 or TA97a.
    (iii) S. typhimurium TA98.
    (iv) S. typhimurium TA100.
    (v) E. coli WP2 uvrA, or E. coli WP2 uvrA (pKM101), or S. 
typhimurium TA102. In order to detect cross-linking mutagens it may be 
preferable to include TA102 or to add a DNA repair-proficient strain of 
E.coli [e.g. E.coli WP2 or E.coli WP2 (pKM101).]
    (4) Established procedures for stock culture preparation, marker 
verification and storage should be used. The amino-acid requirement for 
growth should be demonstrated for each frozen stock culture preparation 
(histidine for S. typhimurium strains, and tryptophan for E. coli 
strains). Other phenotypic characteristics should be similarly checked, 
namely: the presence or absence of R-factor plasmids where appropriate 
[i.e. ampicillin resistance in strains TA98, TA100 and TA97a or TA97, 
WP2 uvrA and WP2 uvrA (pKM101), and ampicillin = tetracycline resistance 
in strain TA102]; the presence of characteristic mutations (i.e. rfa 
mutation in S. typhimurium through sensitivity to crystal violet, and 
uvrA mutation in E. coli or uvrB mutation in S. typhimurium, through 
sensitivity to ultra-violet light). The strains should also yield 
spontaneous revertant colony plate counts within the frequency ranges 
expected from the laboratory's historical control data and preferably 
within the range reported in the literature.
    (B) Medium. An appropriate minimal agar (e.g. containing Vogel-
Bonner minimal medium E and glucose) and an overlay agar containing 
histidine and biotin or tryptophan, to allow for a few cell divisions, 
shall be used. The procedures described in the references under 
paragraphs (g)(1), (g)(2), and (g)(9) of this section may be used for 
this analysis.
    (C) Metabolic activation. Bacteria shall be exposed to the test 
substance both in the presence and absence of an appropriate metabolic 
activation system. The most commonly used system is a cofactor-
supplemented post-mitochondrial fraction (S9) prepared from the livers 
of rodents treated with enzyme-inducing agents such as Aroclor 1254 (the 
system described in the references under paragraphs (g)(1) and (g)(2) of 
this section may be used) or a combination of phenobarbitone and [beta]-
naphthoflavone (the system described in the references under paragraphs 
(g)(18), (g)(20), and (g)(21) of this section may be used). The post-
mitochondrial fraction is usually used at concentrations in the range 
from 5 to 30% v/v in the S9-mix. The choice and condition of a metabolic 
activation system may depend upon the class of chemical being tested. In 
some cases it may be appropriate to utilize more than one concentration 
of post-mitochondrial fraction. For azo-dyes and diazo-compounds, using 
a reductive metabolic activation system may be more appropriate (the 
system described in the references under paragraphs (g)(6) and (g)(13) 
of this section may be used).
    (D) Test substance/preparation. Solid test substances should be 
dissolved or suspended in appropriate solvents or vehicles and diluted 
if appropriate prior to treatment of the bacteria. Liquid test 
substances may be added directly to the test systems and/or diluted 
prior to treatment. Fresh preparations should be employed unless 
stability data demonstrate the acceptability of storage.
    (ii) Test conditions--(A) Solvent/vehicle. The solvent/vehicle 
should not be suspected of chemical reaction with the test substance and 
shall be compatible with the survival of the bacteria and the S9 
activity (for further information see the reference in paragraph (g)(22) 
of this section). If other than well-known

[[Page 419]]

solvent/vehicles are used, their inclusion should be supported by data 
indicating their compatibility. It is recommended that wherever 
possible, the use of an aqueous solvent/vehicle be considered first. 
When testing water-unstable substances, the organic solvents used be 
free of water.
    (B) Exposure concentrations. (1) Amongst the criteria to be taken 
into consideration when determining the highest amount of test substance 
to be used are cytotoxicity and solubility in the final treatment 
mixture. It may be useful to determine toxicity and insolubility in a 
preliminary experiment. Cytotoxicity may be detected by a reduction in 
the number of revertant colonies, a clearing or diminution of the 
background lawn, or the degree of survival of treated cultures. The 
cytotoxicity of a substance may be altered in the presence of metabolic 
activation systems. Insolubility should be assessed as precipitation in 
the final mixture under the actual test conditions and evident to the 
unaided eye. The recommended maximum test concentration for soluble non-
cytotoxic substances is 5 mg/plate or 5 [micro]l/plate. For non-
cytotoxic substances that are not soluble at 5 mg/plate or 5 [micro]l/
plate, one or more concentrations tested should be insoluble in the 
final treatment mixture. Test substances that are cytotoxic already 
below 5mg/plate or 5 [micro]l/plate should be tested up to a cytotoxic 
concentration. The precipitate should not interfere with the scoring.
    (2) At least five different analyzable concentrations of the test 
substance shall be used with approximately half log (i.e. [radic]10) 
intervals between test points for an initial experiment. Smaller 
intervals may be appropriate when a concentration-response is being 
investigated.
    (3) Testing above the concentration of 5 mg/plate or 5 [micro]l/
plate may be considered when evaluating substances containing 
substantial amounts of potentially mutagenic impurities.
    (C) Controls. (1) Concurrent strain-specific positive and negative 
(solvent or vehicle) controls, both with and without metabolic 
activation, shall be included in each assay. Positive control 
concentrations that demonstrate the effective performance of each assay 
should be selected.
    (2)(i) For assays employing a metabolic activation system, the 
positive control reference substance(s) should be selected on the basis 
of the type of bacteria strains used. The following chemicals are 
examples of suitable positive controls for assays with metabolic 
activation:

------------------------------------------------------------------------
                 Chemical                              CAS No.
------------------------------------------------------------------------
9,10-Dimethylanthracene...................  [CAS no. 781-43-1]
7,12-Dimethylbenzanthracene...............  [CAS no. 57-97-6]
Congo Red (for the reductive metabolic      [CAS no. 573-58-0]
 activation method).
Benzo(a)pyrene............................  [CAS no. 50-32-8]
Cyclophosphamide (monohydrate)............  [CAS no. 50-18-0]
                                            [CAS no. 6055-19-2]
2-Aminoanthracene.........................  [CAS no. 613-13-8]
------------------------------------------------------------------------

    (ii) 2-Aminoanthracene should not be used as the sole indicator of 
the efficacy of the S9-mix. If 2-aminoanthracene is used, each batch of 
S9 should also be characterized with a mutagen that requires metabolic 
activation by microsomal enzymes, e.g., benzo(a)pyrene, 
dimethylbenzanthracene.
    (3) For assays performed without metabolic activation system, 
examples of strain-specific positive controls are:

------------------------------------------------------------------------
            Chemical                    CAS No.             Strain
------------------------------------------------------------------------
(a) Sodium azide................  [CAS no. 26628-22-  TA1535 and TA100
                                   8].
(b) 2-Nitrofluorene.............  [CAS no. 607-57-8]  TA 98
(c) 9-Aminoacridine or ICR 191..  [CAS no. 90-45-9]   TA1537, TA97 and
                                   or.                 TA97a
                                  [CAS no. 17070-45-
                                   0].
(d) Cumene hydroperoxide........  [CAS no. 80-15-9].  TA102
(e) Mitomycin C.................  [CAS no. 50-07-7].  WP2 uvrA and TA102
(f) N-Ethyl-N-nitro-N-            [CAS no. 70-25-7]   WP2, WP2 uvrA and
 nitrosoguanidine or               or.                 WP2 uvrA (pKM101)
4-nitroquinoline 1-oxide........  [CAS no. 56-57-5].
(g) Furylfuramide (AF-2)........  [CAS no. 3688-53-   Plasmid-containing
                                   7].                 strains
------------------------------------------------------------------------


[[Page 420]]

    (4) Other appropriate positive control reference substances may be 
used. The use of chemical class-related positive control chemicals may 
be considered, when available.
    (5) Negative controls, consisting of solvent or vehicle alone, 
without test substance, and otherwise treated in the same way as the 
treatment groups, shall be included. In addition, untreated controls 
should also be used unless there are historical control data 
demonstrating that no deleterious or mutagenic effects are induced by 
the chosen solvent.
    (3) Procedure--(i) Treatment with test substance. (A) For the plate 
incorporation method, without metabolic activation, usually 0.05 ml or 
0.1 ml of the test solutions, 0.1 ml of fresh bacterial culture 
(containing approximately 10\8\ viable cells) and 0.5 ml of sterile 
buffer are mixed with 2.0 ml of overlay agar. For the assay with 
metabolic activation, usually 0.5 ml of metabolic activation mixture 
containing an adequate amount of post-mitochondrial fraction (in the 
range from 5 to 30% v/v in the metabolic activation mixture) are mixed 
with the overlay agar (2.0 ml), together with the bacteria and test 
substance/test solution. The contents of each tube are mixed and poured 
over the surface of a minimal agar plate. The overlay agar is allowed to 
solidify before incubation.
    (B) For the preincubation method the test substance/test solution is 
preincubated with the test strain (containing approximately 10\8\ viable 
cells) and sterile buffer or the metabolic activation system (0.5 ml) 
usually for 20 min. or more at 30-37 [deg]C prior to mixing with the 
overlay agar and pouring onto the surface of a minimal agar plate. 
Usually, 0.05 or 0.1 ml of test substance/test solution, 0.1 ml of 
bacteria, and 0.5 ml of S9-mix or sterile buffer, are mixed with 2.0 ml 
of overlay agar. Tubes should be aerated during pre-incubation by using 
a shaker.
    (C) For an adequate estimate of variation, triplicate plating should 
be used at each dose level. The use of duplicate plating is acceptable 
when scientifically justified. The occasional loss of a plate does not 
necessarily invalidate the assay.
    (D) Gaseous or volatile substances should be tested by appropriate 
methods, such as in sealed vessels (methods described in the references 
under paragraphs (g)(12), (g)(14), (g)(15), and (g)(16) of this section 
may be used).
    (ii) Incubation. All plates in a given assay shall be incubated at 
37 [deg]C for 48-72 hrs. After the incubation period, the number of 
revertant colonies per plate is counted.
    (f) Data and reporting--(1) Treatment of results. (i) Data shall be 
presented as the number of revertant colonies per plate. The number of 
revertant colonies on both negative (solvent control, and untreated 
control if used) and positive control plates shall also be given.
    (ii) Individual plate counts, the mean number of revertant colonies 
per plate and the standard deviation shall be presented for the test 
substance and positive and negative (untreated and/or solvent) controls.
    (iii) There is no requirement for verification of a clear positive 
response. Equivocal results shall be clarified by further testing 
preferably using a modification of experimental conditions. Negative 
results need to be confirmed on a case-by-case basis. In those cases 
where confirmation of negative results is not considered necessary, 
justification should be provided. Modification of study parameters to 
extend the range of conditions assessed should be considered in follow-
up experiments. Study parameters that might be modified include the 
concentration spacing, the method of treatment (plate incorporation or 
liquid preincubation), and metabolic activation conditions.
    (2) Evaluation and interpretation of results. (i) There are several 
criteria for determining a positive result, such as a concentration-
related increase over the range tested and/or a reproducible increase at 
one or more concentrations in the number of revertant colonies per plate 
in at least one strain with or without metabolic activation system. 
Biological relevance of the results should be considered first. 
Statistical methods may be used as an aid in evaluating the test 
results. However, statistical significance should not be the only 
determining factor for a positive response.

[[Page 421]]

    (ii) A test substance for which the results do not meet the criteria 
described under paragraph (f)(2)(i) of this section is considered non-
mutagenic in this test
    (iii) Although most experiments will give clearly positive or 
negative results, in rare cases the data set will preclude making a 
definite judgement about the activity of the test substance. Results may 
remain equivocal or questionable regardless of the number of times the 
experiment is repeated.
    (iv) Positive results from the bacterial reverse mutation test 
indicate that a substance induces point mutations by base substitutions 
or frameshifts in the genome of either Salmonella typhimurium and/or 
Escherichia coli. Negative results indicate that under the test 
conditions, the test substance is not mutagenic in the tested species.
    (3) Test report. The test report shall include the following 
information:
    (i) Test substance:
    (A) Identification data and CAS no., if known.
    (B) Physical nature and purity.
    (C) Physicochemical properties relevant to the conduct of the study.
    (D) Stability of the test substance, if known.
    (ii) Solvent/vehicle:
    (A) Justification for choice of solvent/vehicle.
    (B) Solubility and stability of the test substance in solvent/
vehicle, if known.
    (iii) Strains:
    (A) Strains used.
    (B) Number of cells per culture.
    (C) Strain characteristics.
    (iv) Test conditions:
    (A) Amount of test substance per plate (mg/plate or ml/plate) with 
rationale for selection of dose and number of plates per concentration.
    (B) Media used.
    (C) Type and composition of metabolic activation system, including 
acceptability criteria.
    (D) Treatment procedures.
    (v) Results:
    (A) Signs of toxicity.
    (B) Signs of precipitation.
    (C) Individual plate counts.
    (D) The mean number of revertant colonies per plate and standard 
deviation.
    (E) Dose-response relationship, where possible.
    (F) Statistical analyses, if any.
    (G) Concurrent negative (solvent/vehicle) and positive control data, 
with ranges, means and standard deviations.
    (H) Historical negative (solvent/vehicle) and positive control data, 
with e.g. ranges, means and standard deviations.
    (vi) Discussion of the results.
    (vii) Conclusion.
    (g) References. For additional background information on this test 
guideline, the following references should be consulted. These 
references are available for inspection at the TSCA Nonconfidential 
Information Center, Rm. NE-B607, Environmental Protection Agency, 401 M 
St., SW., Washington, DC, 12 noon to 4 p.m., Monday through Friday, 
except legal holidays.
    (1) Ames, B.N., McCann, J., and Yamasaki, E. Methods for Detecting 
Carcinogens and Mutagens With the Salmonella/Mammalian-Microsome 
Mutagenicity Test. Mutation Research. 31, 347-364 (1975).
    (2) Maron, D.M. and Ames, B.N. Revised Methods for the Salmonella 
Mutagenicity Test. Mutation Research. 113, 173-215 (1983).
    (3) Gatehouse, D., Haworth, S., Cebula, T., Gocke, E., Kier, L., 
Matsushima, T., Melcion, C., Nohmi, T., Venitt, S., and Zeiger, E. 
Recommendations for the Performance of Bacterial Mutation Assays. 
Mutation Research. 312, 217-233 (1994).
    (4) Kier, L.D., Brusick, D.J., Auletta, A.E., Von Halle, E.S., 
Brown, M.M., Simmon, V.F., Dunkel, V., McCann, J., Mortelmans, K., 
Prival, M., Rao, T.K., and Ray V. The Salmonella Typhimurium/Mammalian 
Microsomal Assay: A Report of the U.S. Environmental Protection Agency 
Gene-Tox Program. Mutation Research. 168, 69-240 (1986).
    (5) Yahagi, T., Degawa, M., Seino, Y.Y., Matsushima, T., Nagao, M., 
Sugimura, T., and Hashimoto, Y. Mutagenicity of Carcinogen Azo Dyes and 
Their Derivatives. Cancer Letters, 1. 91-96 (1975).
    (6) Matsushima, M., Sugimura, T., Nagao, M., Yahagi, T., Shirai, A., 
and

[[Page 422]]

Sawamura, M. Factors Modulating Mutagenicity Microbial Tests. Eds. 
Norpoth, K.H. and Garner, R.C. Short-Term Test Systems for Detecting 
Carcinogens (Springer, Berlin-Heidelberg-New York, 1980) pp. 273-285.
    (7) Gatehouse, D.G., Rowland, I.R., Wilcox, P., Callender, R.D., and 
Foster, R. Bacterial Mutation Assays. Ed. Kirkland, D.J. Basic 
Mutagenicity Tests. UKEMS Part 1 Revised (Cambridge University Press, 
1990) pp. 13-61.
    (8) Aeschbacher, H.U., Wolleb, U., and Porchet, L.J. Liquid 
Preincubation Mutagenicity Test for Foods. Food Safety. 8, 167-177 
(1987).
    (9) Green, M.H.L., Muriel, W.J., and Bridges, B.A. Use of a 
Simplified Fluctuation Test to Detect Low Levels of Mutagens. Mutation 
Research. 38, 33-42 (1976).
    (10) Hubbard, S.A., Green, M.H.L., Gatehouse, D., and J.W. Bridges. 
The Fluctuation Test in Bacteria. 2nd Edition. Ed. Kilbey, B.J., 
Legator, M., Nichols, W., and Ramel C. Handbook of Mutagenicity Test 
Procedures (Elsevier, Amsterdam-New York-Oxford, 1984) pp. 141-161.
    (11) Thompson, E.D. and Melampy, P.J. An Examination of the 
Quantitative Suspension Assay for Mutagenesis With Strains of Salmonella 
Typhimurium. Environmental Mutagenesis. 3, 453-465 (1981).
    (12) Araki, A., Noguchi, T., Kato, F., and T. Matsushima. Improved 
Method for Mutagenicity Testing of Gaseous Compounds by Using a Gas 
Sampling Bag. Mutation Research. 307, 335-344 (1994).
    (13) Prival, M.J., Bell, S.J., Mitchell, V.D., Reipert, M.D., and 
Vaughn, V.L. Mutagenicity of Benzidine and Benzidine-Congener Dyes and 
Selected Monoazo Dyes in a Modified Salmonella Assay. Mutation Research. 
136, 33-47 (1984).
    (14) Zeiger, E., Anderson, B. E., Haworth, S, Lawlor, T., and 
Mortelmans, K. Salmonella Mutagenicity Tests. V. Results from the 
Testing of 311 Chemicals. Environ. Mol. Mutagen. 19, 2-141 (1992).
    (15) Simmon, V., Kauhanen, K., and Tardiff, R.G. Mutagenic Activity 
of Chemicals Identified in Drinking Water. Ed. Scott, D., Bridges, B., 
and Sobels, F. Progress in Genetic Toxicology (Elsevier, Amsterdam, 
1977) pp. 249-258.
    (16) Hughes, T.J., Simmons, D.M., Monteith, I.G., and Claxton, L.D. 
Vaporization Technique to Measure Mutagenic Activity of Volatile Organic 
Chemicals in the Ames/Salmonella Assay. Environmental Mutagenesis. 9, 
421-441 (1987).
    (17) Matsushima, T., Matsumoto, A., Shirai, M., Sawamura, M., and 
Sugimura, T. Mutagenicity of the Naturally Occurring Carcinogen Cycasin 
and Synthetic Methylazoxy Methane Conjugates in Salmonella Typhimurium. 
Cancer Research. 39, 3780-3782 (1979).
    (18) Tamura, G., Gold, C., Ferro-Luzzi, A., and Ames. B.N. Fecalase: 
A Model for Activation of Dietary Glycosides to Mutagens by Intestinal 
Flora. Proc. National Academy of Science. (USA, 1980) 77, 4961-4965.
    (19) Wilcox, P., Naidoo, A., Wedd, D. J., and Gatehouse, D. G. 
Comparison of Salmonella Typhimurium TA 102 With Escherichia Coli WP2 
Tester Strains. Mutagenesis. 5, 285-291 (1990).
    (20) Matsushima, T., Sawamura, M., Hara, K., and Sugimura, T. A Safe 
Substitute for Polychlorinated Biphenyls as an Inducer of Metabolic 
Activation Systems. Ed. F.J. de Serres et al. In Vitro Metabolic 
Activation in Mutagenesis Testing. (Elsevier, North Holland, 1976) pp. 
85-88.
    (21) Elliott, B.M., Combes, R.D., Elcombe, C.R., Gatehouse, D.G., 
Gibson, G.G., Mackay, J.M., and Wolf, R.C. Alternatives to Aroclor 1254-
Induced S9 in In Vitro Genotoxicity Assays. Mutagenesis. 7, 175-177 
(1992).
    (22) Maron, D., Katzenellenbogen, J., and Ames, B.N. Compatibility 
of Organic Solvents With the Salmonella/Microsome Test. Mutation 
Research. 88, 343-350 (1981).
    (23) Claxton, L.D., Allen, J., Auletta, A., Mortelmans, K., 
Nestmann, E., and Zeiger, E. Guide for the Salmonella Typhimurium/
Mammalian Microsome Tests for Bacterial Mutagenicity. Mutation Research. 
189, 83-91 (1987).
    (24) Mahon, G.A.T., Green, M.H.L., Middleton, B., Mitchell, I., 
Robinson, W.D., and Tweats, D.J. Analysis of Data from Microbial Colony 
Assays. UKEMS Sub-Committee on Guidelines for Mutagenicity Testing Part 
II. Ed.

[[Page 423]]

Kirkland, D.J. Statistical Evaluation of Mutagenicity Test Data 
(Cambridge University Press, 1989) pp. 28-65.

[62 FR 43824, Aug. 15, 1997, as amended at 64 FR 35079, June 30, 1999]



Sec.  799.9530  TSCA in vitro mammalian cell gene mutation test.

    (a) Scope. This section is intended to meet the testing requirements 
under section 4 of TSCA. The in vitro mammalian cell gene mutation test 
can be used to detect gene mutations induced by chemical substances. 
Suitable cell lines include L5178Y mouse lymphoma cells, the CHO, AS52 
and V79 lines of Chinese hamster cells, and TK6 human lymphoblastoid 
cells under paragraph (g)(1) of this section. In these cell lines the 
most commonly-used genetic endpoints measure mutation at thymidine 
kinase (TK) and hypoxanthine-guanine phosphoribosyl transferase (HPRT), 
and a transgene of xanthine-guanine phosphoribosyl transferase (XPRT). 
The TK, HPRT and XPRT mutation tests detect different spectra of genetic 
events. The autosomal location of TK and XPRT may allow the detection of 
genetic events (e.g. large deletions) not detected at the HPRT locus on 
X-chromosomes (For a discussion see the references in paragraphs (g)(2), 
(g)(3), (g)(4),(g)(5), and (g)(6) of this section).
    (b) Source. The source material used in developing this TSCA test 
guideline is the OECD guideline 476 (February 1997). This source is 
available at the address in paragraph (g) of this section.
    (c) Definitions. The following definitions apply to this section:
    Base pair substitution mutagens are substances which cause 
substitution of one or several base pairs in the DNA.
    Forward mutation is a gene mutation from the parental type to the 
mutant form which gives rise to an alteration or a loss of the enzymatic 
activity or the function of the encoded protein.
    Frameshift mutagens are substances which cause the addition or 
deletion of single or multiple base pairs in the DNA molecule.
    Mutant frequency is the number of mutant cells observed divided by 
the number of viable cells.
    Phenotypic expression time is a period during which unaltered gene 
products are depleted from newly mutated cells.
    Relative suspension growth is an increase in cell number over the 
expression period relative to the negative control.
    Relative total growth is an increase in cell number over time 
compared to a control population of cells; calculated as the product of 
suspension growth relative to the negative control times cloning 
efficiency relative to negative control.
    Survival is the cloning efficiency of the treated cells when plated 
at the end of the treatment period; survival is usually expressed in 
relation to the survival of the control cell population.
    Viability is the cloning efficiency of the treated cells at the time 
of plating in selective conditions after the expression period.
    (d) Initial considerations. (1) In the in vitro mammalian cell gene 
mutation test, cultures of established cell lines or cell strains can be 
used. The cells used are selected on the basis of growth ability in 
culture and stability of the spontaneous mutation frequency. Tests 
conducted in vitro generally require the use of an exogenous source of 
metabolic activation. This metabolic activation system cannot mimic 
entirely the mammalian in vivo conditions. Care should be taken to avoid 
conditions which would lead to results not reflecting intrinsic 
mutagenicity. Positive results which do not reflect intrinsic 
mutagenicity may arise from changes in pH, osmolality or high levels of 
cytotoxicity.
    (2) This test is used to screen for possible mammalian mutagens and 
carcinogens. Many compounds that are positive in this test are mammalian 
carcinogens; however, there is not a perfect correlation between this 
test and carcinogenicity. Correlation is dependent on chemical class and 
there is increasing evidence that there are carcinogens that are not 
detected by this test because they appear to act through other, non-
genotoxic mechanisms or mechanisms absent in bacterial cells.
    (e) Test method--(1) Principle. (i) Cells deficient in thymidine 
kinase (TK) due

[[Page 424]]

to the mutation TK=/- -<= TK-/
- are resistant to the cytotoxic effects of the pyrimidine 
analogue trifluorothymidine (TFT). Thymidine kinase proficient cells are 
sensitive to TFT, which causes the inhibition of cellular metabolism and 
halts further cell division. Thus mutant cells are able to proliferate 
in the presence of TFT, whereas normal cells, which contain thymidine 
kinase, are not. Similarly, cells deficient in HPRT or XPRT are selected 
by resistance to 6-thioguanine (TG) or 8-azaguanine (AG). The properties 
of the test substance should be considered carefully if a base analogue 
or a compound related to the selective agent is tested in any of the 
mammalian cell gene mutation tests. For example, any suspected selective 
toxicity by the test substance for mutant and non-mutant cells should be 
investigated. Thus, performance of the selection system/agent shall be 
confirmed when testing chemicals structurally related to the selective 
agent.
    (ii) Cells in suspension or monolayer culture shall be exposed to 
the test substance, both with and without metabolic activation, for a 
suitable period of time and subcultured to determine cytotoxicity and to 
allow phenotypic expression prior to mutant selection. Cytotoxicity is 
usually determined by measuring the relative cloning efficiency 
(survival) or relative total growth of the cultures after the treatment 
period. The treated cultures shall be maintained in growth medium for a 
sufficient period of time, characteristic of each selected locus and 
cell type, to allow near-optimal phenotypic expression of induced 
mutations. Mutant frequency is determined by seeding known numbers of 
cells in medium containing the selective agent to detect mutant cells, 
and in medium without selective agent to determine the cloning 
efficiency (viability). After a suitable incubation time, colonies shall 
be counted. The mutant frequency is derived from the number of mutant 
colonies in selective medium and the number of colonies in non-selective 
medium.
    (2) Description--(i) Preparations--(A) Cells. (1) A variety of cell 
types are available for use in this test including subclones of L5178Y, 
CHO, CHO-AS52, V79, or TK6 cells. Cell types used in this test should 
have a demonstrated sensitivity to chemical mutagens, a high cloning 
efficiency and a stable spontaneous mutant frequency. Cells should be 
checked for mycoplasma contamination and should not be used if 
contaminated.
    (2) The test should be designed to have a predetermined sensitivity 
and power. The number of cells, cultures, and concentrations of test 
substance used should reflect these defined parameters. The parameters 
discussed in the reference under paragraph (g)(13) of this section may 
be used. The minimal number of viable cells surviving treatment and used 
at each stage in the test should be based on the spontaneous mutation 
frequency. A general guide is to use a cell number which is at least ten 
times the inverse of the spontaneous mutation frequency. However, it is 
recommended to utilize at least 10\6\ cells. Adequate historical data on 
the cell system used should be available to indicate consistent 
performance of the test.
    (B) Media and culture conditions. Appropriate culture media and 
incubation conditions (culture vessels, temperature, CO2 
concentration and humidity) shall be used. Media should be chosen 
according to the selective systems and cell type used in the test. It is 
particularly important that culture conditions should be chosen that 
ensure optimal growth of cells during the expression period and colony 
forming ability of both mutant and non-mutant cells.
    (C) Preparation of cultures. Cells are propagated from stock 
cultures, seeded in culture medium and incubated at 37 [deg]C. Prior to 
use in this test, cultures may need to be cleansed of pre-existing 
mutant cells.
    (D) Metabolic activation. Cells shall be exposed to the test 
substance both in the presence and absence of an appropriate metabolic 
activation system. The most commonly used system is a co-factor-
supplemented post-mitochondrial fraction (S9) prepared from the livers 
of rodents treated with enzyme-inducing agents such as Aroclor 1254 or a 
combination of phenobarbitone and [beta]-naphthoflavone. The post-
mitochondrial fraction is usually used at concentrations in the range 
from 1-10% v/v in the final test

[[Page 425]]

medium. The choice and condition of a metabolic activation system may 
depend upon the class of chemical being tested. In some cases it may be 
appropriate to utilize more than one concentration of post-mitochondrial 
fraction. A number of developments, including the construction of 
genetically engineered cell lines expressing specific activating 
enzymes, may provide the potential for endogenous activation. The choice 
of the cell lines used should be scientifically justified (e.g. by the 
relevance of the cytochrome P450 isoenzyme to the metabolism of the test 
substance).
    (E) Test substance/preparations. Solid test substances should be 
dissolved or suspended in appropriate solvents or vehicles and diluted 
if appropriate prior to treatment of the cells. Liquid test substances 
may be added directly to the test systems and/or diluted prior to 
treatment. Fresh preparations should be employed unless stability data 
demonstrate the acceptability of storage.
    (ii) Test conditions--(A) Solvent/vehicle. The solvent/vehicle shall 
not be suspected of chemical reaction with the test substance and shall 
be compatible with the survival of the cells and the S9 activity. If 
other than well-known solvent/vehicles are used, their inclusion should 
be supported by data indicating their compatibility. It is recommended 
that wherever possible, the use of an aqueous solvent/vehicle be 
considered first. When testing water-unstable substances, the organic 
solvents used should be free of water. Water can be removed by adding a 
molecular sieve.
    (B) Exposure concentrations. (1) Among the criteria to be considered 
when determining the highest concentration are cytotoxicity and 
solubility in the test system and changes in pH or osmolality.
    (2) Cytotoxicity should be determined with and without metabolic 
activation in the main experiment using an appropriate indicator of cell 
integrity and growth, such as relative cloning efficiency (survival) or 
relative total growth. It may be useful to determine cytotoxicity and 
solubility in a preliminary experiment.
    (3) At least four analyzable concentrations shall be used. Where 
there is cytotoxicity, these concentrations shall cover a range from the 
maximum to little or no toxicity; this will usually mean that the 
concentration levels should be separated by no more than a factor 
between 2 and [radic]10. If the maximum concentration is based on 
cytotoxicity then it shall result in approximately 10-20% but not less 
than 10% relative survival (relative cloning efficiency) or relative 
total growth. For relatively non-cytotoxic compounds the maximum 
concentration should be 5 mg/ml, 5 [micro]l/ml, or 0.01 M, whichever is 
the lowest.
    (4) Relatively insoluble substances should be tested up to or beyond 
their limit of solubility under culture conditions. Evidence of 
insolubility should be determined in the final treatment medium to which 
cells are exposed. It may be useful to assess solubility at the 
beginning and end of the treatment, as solubility can change during the 
course of exposure in the test system due to presence of cells, S9, 
serum etc. Insolubility can be detected by using the unaided eye. The 
precipitate should not interfere with the scoring.
    (C) Controls. (1) Concurrent positive and negative (solvent or 
vehicle) controls both with and without metabolic activation shall be 
included in each experiment. When metabolic activation is used the 
positive control chemical shall be one that requires activation to give 
a mutagenic response.
    (2) Examples of positive control substances include:

----------------------------------------------------------------------------------------------------------------
    Metabolic Activation condition              Locus                   Chemical                 CAS No.
----------------------------------------------------------------------------------------------------------------
Absence of exogenous metabolic         HPRT...................  Ethylmethanesulfonate..  [CAS no. 62-50-0]
 activation
                                       .......................  Ethylnitrosourea.......  [CAS no. 759-73-9]
                                       TK (small and large      Methylmethanesulfonate.  [CAS no. 66-27-3]
                                        colonies).
                                       XPRT...................  Ethylmethanesulfonate..  [CAS no. 62-50-0]
                                                                Ethylnitrosourea.......  [CAS no. 759-73-9]

[[Page 426]]

 
Presence of exogenous metabolic        HPRT...................  3-Methylcholanthrene...  [CAS no. 56-49-5]
 activation.
                                                                N-Nitrosodimethylamine.  [CAS no. 62-75-9]
                                                                7,12-                    [CAS no. 57-97-6]
                                                                 Dimethylbenzanthracene.
                                       TK (small and large      Cyclophosphamide         [CAS no. 50-18-0]
                                        colonies).               (monohydrate).          [CAS no. 6055-19-2]
                                                                Benzo(a)pyrene.........  [CAS no. 50-32-8]
                                                                3-Methylcholanthrene...  [CAS no. 56-49-5]
                                       XPRT...................  N-Nitrosodimethylamine   [CAS no. 62-75-9]
                                                                 (for high levels of S-
                                                                 9).
                                                                Benzo(a)pyrene.........  [CAS no. 50-32-8]
----------------------------------------------------------------------------------------------------------------

    (3) Other appropriate positive control reference substances may be 
used, e.g., if a laboratory has a historical data base on 5-Bromo 2'-
deoxyuridine [CAS No. 59-14-3], this reference substance could be used 
as well. The use of chemical class-related positive control chemicals 
may be considered, when available.
    (4) Negative controls, consisting of solvent or vehicle alone in the 
treatment medium, and treated in the same way as the treatment groups 
shall be included. In addition, untreated controls should also be used 
unless there are historical control data demonstrating that no 
deleterious or mutagenic effects are induced by the chosen solvent.
    (3) Procedure--(i) Treatment with test substance. (A) Proliferating 
cells shall be exposed to the test substance both with and without 
metabolic activation. Exposure shall be for a suitable period of time 
(usually 3 to 6 hrs is effective). Exposure time may be extended over 
one or more cell cycles.
    (B) Either duplicate or single treated cultures may be used at each 
concentration tested. When single cultures are used, the number of 
concentrations should be increased to ensure an adequate number of 
cultures for analysis (e.g. at least eight analyzsable concentrations). 
Duplicate negative (solvent) control cultures should be used.
    (C) Gaseous or volatile substances should be tested by appropriate 
methods, such as in sealed culture vessels. Methods described in the 
references under paragraphs (g)(20) and (g)(21) of this section may be 
used.
    (ii) Measurement of survival, viability, and mutant frequency. (A) 
At the end of the exposure period, cells shall be washed and cultured to 
determine survival and to allow for expression of the mutant phenotype. 
Measurement of cytotoxicity by determining the relative cloning 
efficiency (survival) or relative total growth of the cultures is 
usually initiated after the treatment period.
    (B) Each locus has a defined minimum time requirement to allow near 
optimal phenotypic expression of newly induced mutants (HPRT and XPRT 
require at least 6-8 days, and TK at least 2 days). Cells are grown in 
medium with and without selective agent(s) for determination of numbers 
of mutants and cloning efficiency, respectively. The measurement of 
viability (used to calculate mutant frequency) is initiated at the end 
of the expression time by plating in non-selective medium.
    (C) If the test substance is positive in the L5178Y TK=/
- test, colony sizing should be performed on at least one of 
the test cultures (the highest positive concentration) and on the 
negative and positive controls. If the test substance is negative in the 
L5178Y TK=/- test, colony sizing should be 
performed on the negative and positive controls. In studies using 
TK6TK=/-, colony sizing may also be performed.
    (f) Data and reporting--(1) Treatment of results. (i) Data shall 
include cytotoxicity and viability determination, colony counts and 
mutant frequencies for the treated and control cultures. In the case of 
a positive response in the L5178Y TK=/- test, 
colonies are scored using the criteria of small and large colonies on at 
least one concentration of the test substance (highest positive 
concentration) and on the negative and positive control. The molecular 
and cytogenetic nature of both large and small colony mutants

[[Page 427]]

has been explored in detail and is discussed in the references under 
paragraphs (g)(22) and (g)(23) of this section. In the TK=/
- test, colonies are scored using the criteria of normal 
growth (large) and slow growth (small) colonies (a scoring system 
similar to the one described in the reference under paragraph (g)(24) of 
this section may be used). Mutant cells that have suffered the most 
extensive genetic damage have prolonged doubling times and thus form 
small colonies. This damage typically ranges in scale from the losses of 
the entire gene to karyotypically visible chromosome aberrations. The 
induction of small colony mutants has been associated with chemicals 
that induce gross chromosome aberrations. Less seriously affected mutant 
cells grow at rates similar to the parental cells and form large 
colonies.
    (ii) Survival (relative cloning efficiencies) or relative total 
growth shall be given. Mutant frequency shall be expressed as number of 
mutant cells per number of surviving cells.
    (iii) Individual culture data shall be provided. Additionally, all 
data shall be summarized in tabular form.
    (iv) There is no requirement for verification of a clear positive 
response. Equivocal results shall be clarified by further testing 
preferably using a modification of experimental conditions. Negative 
results need to be confirmed on a case-by-case basis. In those cases 
where confirmation of negative results is not considered necessary, 
justification should be provided. Modification of study parameters to 
extend the range of conditions assessed should be considered in follow-
up experiments for either equivocal or negative results. Study 
parameters that might be modified include the concentration spacing, and 
the metabolic activation conditions.
    (2) Evaluation and interpretation of results. (i) There are several 
criteria for determining a positive result, such as a concentration-
related, or a reproducible increase in mutant frequency. Biological 
relevance of the results should be considered first. Statistical methods 
may be used as an aid in evaluating the test results. Statistical 
significance should not be the only determining factor for a positive 
response.
    (ii) A test substance, for which the results do not meet the 
criteria described in paragraph (f)(2)(i) of this section is considered 
non-mutagenic in this system.
    (iii) Although most studies will give clearly positive or negative 
results, in rare cases the data set will preclude making a definite 
judgement about the activity of the test substance. Results may remain 
equivocal or questionable regardless of the number of times the 
experiment is repeated.
    (iv) Positive results for an in vitro mammalian cell gene mutation 
test indicate that the test substance induces gene mutations in the 
cultured mammalian cells used. A positive concentration-response that is 
reproducible is most meaningful. Negative results indicate that, under 
the test conditions, the test substance does not induce gene mutations 
in the cultured mammalian cells used.
    (3) Test report. The test report shall include the following 
information:
    (i) Test substance:
    (A) Identification data and CAS no., if known.
    (B) Physical nature and purity.
    (C) Physicochemical properties relevant to the conduct of the study.
    (D) Stability of the test substance.
    (ii) Solvent/vehicle:
    (A) Justification for choice of vehicle/solvent.
    (B) Solubility and stability of the test substance in solvent/
vehicle, if known.
    (iii) Cells:
    (A) Type and source of cells.
    (B) Number of cell cultures.
    (C) Number of cell passages, if applicable.
    (D) Methods for maintenance of cell cultures, if applicable.
    (E) Absence of mycoplasma.
    (iv) Test conditions:
    (A) Rationale for selection of concentrations and number of cell 
cultures including e.g., cytotoxicity data and solubility limitations, 
if available.
    (B) Composition of media, CO2 concentration.
    (C) Concentration of test substance.
    (D) Volume of vehicle and test substance added.

[[Page 428]]

    (E) Incubation temperature.
    (F) Incubation time.
    (G) Duration of treatment.
    (H) Cell density during treatment.
    (I) Type and composition of metabolic activation system including 
acceptability criteria.
    (J) Positive and negative controls.
    (K) Length of expression period (including number of cells seeded, 
and subcultures and feeding schedules, if appropriate).
    (L) Selective agent(s).
    (M) Criteria for considering tests as positive, negative or 
equivocal.
    (N) Methods used to enumerate numbers of viable and mutant cells.
    (O) Definition of colonies of which size and type are considered 
(including criteria for ``small'' and ``large'' colonies, as 
appropriate).
    (v) Results:
    (A) Signs of toxicity.
    (B) Signs of precipitation.
    (C) Data on pH and osmolality during the exposure to the test 
substance, if determined.
    (D) Colony size if scored for at least negative and positive 
controls.
    (E) Laboratory's adequacy to detect small colony mutants with the 
L5178Y TK=/- system, where appropriate.
    (F) Dose-response relationship, where possible.
    (G) Statistical analyses, if any.
    (H) Concurrent negative (solvent/vehicle) and positive control data.
    (I) Historical negative (solvent/vehicle) and positive control data 
with ranges, means, and standard deviations.
    (J) Mutant frequency.
    (vi) Discussion of the results.
    (vii) Conclusion.
    (g) References. For additional background information on this test 
guideline, the following references should be consulted. These 
references are available for inspection at the TSCA Nonconfidential 
Information Center, Rm. NE-B607, Environmental Protection Agency, 401 M 
St., SW., Washington, DC, 12 noon to 4 p.m., Monday through Friday, 
except legal holidays.
    (1) Chu, E.H.Y. and Malling, H.V. Mammalian Cell Genetics. II. 
Chemical Induction of Specific Locus Mutations in Chinese Hamster Cells 
In Vitro, Proc. National Academy Science (USA, 1968) 61, 1306-1312.
    (2) Liber, H.L. and Thilly, W.G. Mutation Assay at the Thymidine 
Kinase Locus in Diploid Human Lymphoblasts. Mutation Research. 94, 467-
485 (1982).
    (3) Moore, M.M., Harrington-Brock, K., Doerr, C.L., and Dearfield, 
K.L. Differential Mutant Quantitation at the Mouse Lymphoma TK and CHO 
HGPRT Loci. Mutagenesis. 4, 394-403 (1989).
    (4) Aaron, C.S. and Stankowski, Jr., L.F. Comparison of the AS52/
XPRT and the CHO/HPRT Assays: Evaluation of Six Drug Candidates. 
Mutation Research. 223, 121-128 (1989).
    (5) Aaron, C.S., Bolcsfoldi, G., Glatt, H.R., Moore, M., Nishi, Y., 
Stankowski, L., Theiss, J., and Thompson, E. Mammalian Cell Gene 
Mutation Assays Working Group Report. Report of the International 
Workshop on Standardization of Genotoxicity Test Procedures. Mutation 
Research. 312, 235-239 (1994).
    (6) Scott, D., Galloway, S.M., Marshall, R.R., Ishidate, M., 
Brusick, D., Ashby, J., and Myhr, B.C. Genotoxicity Under Extreme 
Culture Conditions. A report from ICPEMC Task Group 9. Mutation 
Research. 257, 147-204 (1991).
    (7) Clive, D., McCuen, R., Spector, J.F.S., Piper, C., and 
Mavournin, K.H. Specific Gene Mutations in L5178Y Cells in Culture. A 
Report of the U.S. Environmental Protection Agency Gene-Tox Program. 
Mutation Research. 115, 225-251 (1983).
    (8) Li, A.P., Gupta, R.S., Heflich, R.H., and Wasson, J. S. A Review 
and Analysis of the Chinese Hamster Ovary/Hypoxanthine Guanine 
Phosphoribosyl Transferase System to Determine the Mutagenicity of 
Chemical Agents: A Report of Phase III of the U.S. Environmental 
Protection Agency Gene-Tox Program. Mutation Research. 196, 17-36 
(1988).
    (9) Li, A.P., Carver, J.H., Choy, W.N., Hsie, A.W., Gupta, R.S., 
Loveday, K.S., O'Neill, J.P., Riddle, J.C., Stankowski, Jr., L.F., and 
Yang, L.L. A Guide for the Performance of the Chinese Hamster Ovary 
Cell/Hypoxanthine-Guanine Phosphoribosyl Transferase Gene Mutation 
Assay. Mutation Research. 189, 135-141 (1987).
    (10) Liber, H.L., Yandell, D.W., and Little, J.B. A Comparison of 
Mutation

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Induction at the tk and hprt Loci in Human Lymphoblastoid Cells; 
Quantitative Differences are Due to an Additional Class of Mutations at 
the Autosomal TK Locus. Mutation Research. 216, 9-17 (1989).
    (11) Stankowski, L.F. Jr., Tindall, K.R., and Hsie, A.W. 
Quantitative and Molecular Analyses of Ethyl Methanesulfonate- and ICR 
191-Induced Molecular Analyses of Ethyl Methanesulfonate- and ICR 191-
Induced Mutation in AS52 Cells. Mutation Reseach. 160, 133-147 (1986).
    (12) Turner, N.T., Batson, A.G., and Clive, D. Eds. Kilbey, B.J. et 
al. Procedures for the L5178Y/TK=/-  
TK=/- Mouse Lymphoma Cell Mutagenicity Assay. 
Handbook of Mutagenicity Test Procedures (Elsevier Science Publishers, 
New York, 1984) pp. 239-268.
    (13) Arlett, C.F., Smith, D.M., Clarke, G.M., Green, M.H.L., Cole, 
J., McGregor, D.B., and Asquith, J.C. Ed. Kirkland, D.J. Mammalian Cell 
Gene Mutation Assays Based Upon Colony Formation. Statistical Evaluation 
of Mutagenicity Test Data (Cambridge University Press, 1989) pp. 66-101.
    (14) Abbondandolo, A., Bonatti, S., Corti, G., Fiorio, R., Loprieno, 
N., and Mazzaccaro, A. Induction of 6-Thioguanine-Resistant Mutants in 
V79 Chinese Hamster Cells by Mouse-Liver Microsome-Activated 
Dimethylnitrosamine. Mutation Research. 46, 365-373 (1977).
    (15) Ames, B.N., McCann, J., and Yamasaki, E. Methods for Detecting 
Carcinogens and Mutagens with the Salmonella/Mammalian-Microsome 
Mutagenicity Test. Mutation Reseach. 31, 347-364 (1975).
    (16) Clive, D., Johnson, K.O., Spector, J.F.S., Batson, A.G., and 
Brown M.M.M. Validation and Characterization of the L5178Y/
TK=/- Mouse Lymphoma Mutagen Assay System. 
Mutation Reseach. 59, 61-108 (1979).
    (17) Maron, D.M. and Ames, B.N. Revised Methods for the Salmonella 
Mutagenicity Test. Mutation Reseach. 113, 173, 215 (1983).
    (18) Elliott, B.M., Combes, R.D., Elcombe, C.R., Gatehouse, D.G., 
Gibson, G.G., Mackay, J.M., and Wolf, R.C. Alternatives to Aroclor 1254-
Induced S9 in In Vitro Genotoxicity Assays. Mutagenesis. 7, 175-177 
(1992).
    (19) Matsushima, T., Sawamura, M., Hara, K., and Sugimura, T. A Safe 
Substitute for Polychlorinated Biphenyls as an Inducer of Metabolic 
Activation Systems. (Eds.) de Serres, F.J., Fouts, J.R., Bend, J.R., and 
Philpot, R.M. In Vitro Metabolic Activation in Mutagenesis Testing 
(Elsevier, North-Holland, 1976) pp. 85-88.
    (20) Krahn, D.F., Barsky, F.C., and McCooey, K.T. Eds. Tice, R.R., 
Costa, D.L., and Schaich, K.M. CHO/HGPRT Mutation Assay: Evaluation of 
Gases and Volatile Liquids. Genotoxic Effects of Airborne Agents (New 
York, Plenum, 1982) pp. 91-103.
    (21) Zamora, P.O., Benson, J.M., Li, A.P., and Brooks, A.L. 
Evaluation of an Exposure System Using Cells Grown on Collagen Gels for 
Detecting Highly Volatile Mutagens in the CHO/HGPRT Mutation Assay. 
Environmental Mutagenesis. 5, 795-801 (1983).
    (22) Applegate, M.L., Moore, M.M., Broder, C.B., Burrell, A., and 
Hozier, J.C. Molecular Dissection of Mutations at the Heterozygous 
Thymidine Kinase Locus in Mouse Lymphoma Cells. Proc. National Academy 
Science (USA, 1990) 87, 51-55.
    (23) Moore, M.M., Clive, D., Hozier, J.C., Howard, B.E., Batson, 
A.G., Turner, N.T., and Sawyer, J. Analysis of Trifluorothymidine-
Resistant (TFT\r\) Mutants of L5178Y/TK=/- Mouse 
Lymphoma Cells. Mutation Research. 151, 161-174 (1985).
    (24) Yandell, D.W., Dryja, T.P., and Little J.B. Molecular Genetic 
Analysis of Recessive Mutations at a Heterozygous Autosomal Locus in 
Human Cells. Mutation Research. 229, 89-102 (1990).
    (25) Moore, M.M. and Doerr, C.L. Comparison of Chromosome Aberration 
Frequency and Small-Colony TK-Deficient Mutant Frequency in L5178Y/
TK=/- 3.7.2C Mouse Lymphoma Cells. Mutagenesis. 5, 
609-614 (1990).



Sec.  799.9537  TSCA in vitro mammalian chromosome aberration test.

    (a) Scope--(1) Applicability. This section is intended to meet 
testing requirements under section 4 of the Toxic Substances Control Act 
(TSCA) (15 U.S.C. 2601).
    (2) Background. The source material used in developing this TSCA 
test

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guideline is the Office of Prevention, Pesticides, and Toxic Substances 
(OPPTS) harmonized test guideline 870.5375 (August 1998, final 
guidelines). The source is available at the address in paragraph (i) of 
this section.
    (b) Purpose. (1) The purpose of the in vitro chromosome aberration 
test is to identify agents that cause structural chromosome aberrations 
in cultured mammalian cells (see paragraphs (i)(1), (i)(2), and (i)(3) 
of this section). Structural aberrations may be of two types, chromosome 
or chromatid. With the majority of chemical mutagens, induced 
aberrations are of the chromatid type, but chromosome-type aberrations 
also occur. An increase in polyploidy may indicate that a chemical has 
the potential to induce numerical aberrations. However, this guideline 
is not designed to measure numerical aberrations and is not routinely 
used for that purpose. Chromosome mutations and related events are the 
cause of many human genetic diseases and there is substantial evidence 
that chromosome mutations and related events causing alterations in 
oncogenes and tumour-suppressor genes of somatic cells are involved in 
cancer induction in humans and experimental animals.
    (2) The in vitro chromosome aberration test may employ cultures of 
established cell lines, cell strains or primary cell cultures. The cells 
used are selected on the basis of growth ability in culture, stability 
of the karyotype, chromosome number, chromosome diversity, and 
spontaneous frequency of chromosome aberrations.
    (c) Definitions. The definitions in section 3 of TSCA and in 40 CFR 
Part 792--Good Laboratory Practice Standards apply to this test 
guideline. The following definitions also apply to this test guideline.
    Chromatid-type aberration is structural chromosome damage expressed 
as breakage of single chromatids or breakage and reunion between 
chromatids.
    Chromosome-type aberration is structural chromosome damage expressed 
as breakage, or breakage and reunion, of both chromatids at an identical 
site.
    Endoreduplication is a process in which after an S period of DNA 
replication, the nucleus does not go into mitosis but starts another S 
period. The result is chromosomes with 4, 8, 16,...chromatids.
    Gap is an achromatic lesion smaller than the width of one chromatid, 
and with minimum misalignment of the chromatid(s).
    Mitotic index is the ratio of cells in metaphase divided by the 
total number of cells observed in a population of cells; an indication 
of the degree of proliferation of that population.
    Numerical aberration is a change in the number of chromosomes from 
the normal number characteristic of the cells utilized.
    Polyploidy is a multiple of the haploid chromosome number (n) other 
than the diploid number (i.e., 3n, 4n, and so on).
    Structural aberration is a change in chromosome structure detectable 
by microscopic examination of the metaphase stage of cell division, 
observed as deletions and fragments, intrachanges, and interchanges.
    (d) Initial considerations. (1) Tests conducted in vitro generally 
require the use of an exogenous source of metabolic activation. This 
metabolic activation system cannot mimic entirely the mammalian in vivo 
conditions. Care should be taken to avoid conditions which would lead to 
positive results which do not reflect intrinsic mutagenicity and may 
arise from changes in pH, osmolality, or high levels of cytotoxicity 
(the test techniques described in the references under paragraphs (i)(4) 
and (i)(5) of this section may be used).
    (2) This test is used to screen for possible mammalian mutagens and 
carcinogens. Many compounds that are positive in this test are mammalian 
carcinogens; however, there is not a perfect correlation between this 
test and carcinogenicity. Correlation is dependent on chemical class and 
there is increasing evidence that there are carcinogens that are not 
detected by this test because they appear to act through mechanisms 
other than direct DNA damage.
    (e) Principle of the test method. Cell cultures are exposed to the 
test substance both with and without metabolic activation. At 
predetermined intervals after exposure of cell cultures

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to the test substance, they are treated with a metaphase-arresting 
substance (e.g., Colcemid [reg] or colchicine), harvested, 
stained, and metaphase cells are analysed microscopically for the 
presence of chromosome aberrations.
    (f) Description of the method--(1) Preparations--(i) Cells. A 
variety of cell lines, strains, or primary cell cultures, including 
human cells, may be used (e.g., Chinese hamster fibroblasts, human, or 
other mammalian peripheral blood lymphocytes).
    (ii) Media and culture conditions. Appropriate culture media, and 
incubation conditions (culture vessels, CO2 concentration, temperature 
and humidity) must be used in maintaining cultures. Established cell 
lines and strains must be checked routinely for stability in the modal 
chromosome number and the absence of Mycoplasma contamination and should 
not be used if contaminated. The normal cell-cycle time for the cells 
and culture conditions used should be known.
    (iii) Preparation of cultures--(A) Established cell lines and 
strains. Cells are propagated from stock cultures, seeded in culture 
medium at a density such that the cultures will not reach confluency 
before the time of harvest, and incubated at 37 [deg]C.
    (B) Lymphocytes. Whole blood treated with an anti-coagulant (e.g., 
heparin) or separated lymphocytes obtained from healthy subjects are 
added to culture medium containing a mitogen (e.g., phytohemagglutinin) 
and incubated at 37 [deg]C.
    (iv) Metabolic activation. Cells must be exposed to the test 
substance both in the presence and absence of an appropriate metabolic 
activation system. The most commonly used system is a co-factor-
supplemented post-mitochondrial fraction (S9) prepared from the livers 
of rodents treated with enzyme-inducing agents such as Aroclor 1254 (the 
test techniques described in the references under paragraphs (i)(6), 
(i)(7), (8)(i), and (i)(9) of this section may be used), or a mixture of 
phenobarbitone and [beta]-naphthoflavone (the test techniques described 
in the references under paragraphs (i)(10), (i)(11), and (i)(12) of this 
section may be used). The post-mitochondrial fraction is usually used at 
concentrations in the range from 1-10% v/v in the final test medium. The 
condition of a metabolic activation system may depend upon the class of 
chemical being tested. In some cases, it may be appropriate to utilize 
more than one concentration of post-mitochondrial fraction. A number of 
developments, including the construction of genetically engineered cell 
lines expressing specific activating enzymes, may provide the potential 
for endogenous activation. The choice of the cell lines used should be 
scientifically justified (e.g., by the relevance of the cytochrome P450 
isoenzyme for the metabolism of the test substance).
    (v) Test substance/preparation. Solid test substances should be 
dissolved or suspended in appropriate solvents or vehicles and diluted, 
if appropriate, prior to treatment of the cells. Liquid test substances 
may be added directly to the test systems and/or diluted prior to 
treatment. Fresh preparations of the test substance should be employed 
unless stability data demonstrate the acceptability of storage.
    (2) Test conditions--(i) Solvent/vehicle. The solvent/vehicle should 
not be suspected of chemical reaction with the test substance and must 
be compatible with the survival of the cells and the S9 activity. If 
other than well-known solvent/vehicles are used, their inclusion should 
be supported by data indicating their compatibility. It is recommended 
that wherever possible, the use of an aqueous solvent/vehicle be 
considered first. When testing water-unstable substances, the organic 
solvents used should be free of water. Water can be removed by adding a 
molecular sieve.
    (ii) Exposure concentrations. (A) Among the criteria to be 
considered when determining the highest concentration are cytotoxicity, 
solubility in the test system, and changes in pH or osmolality.
    (B) Cytotoxicity should be determined with and without metabolic 
activation in the main experiment using an appropriate indication of 
cell integrity and growth, such as degree of confluency, viable cell 
counts, or mitotic index. It may be useful to determine cytotoxicity and 
solubility in a preliminary experiment.

[[Page 432]]

    (C) At least three analyzable concentrations should be used. Where 
cytotoxicity occurs, these concentrations should cover a range from the 
maximum to little or no toxicity; this will usually mean that the 
concentrations should be separated by no more than a factor between 2 
and [radic]10. At the time of harvesting, the highest concentration 
should show a significant reduction in degree of confluency, cell count 
or mitotic index, (all greater than 50%). The mitotic index is only an 
indirect measure of cytotoxic/cytostatic effects and depends on the time 
after treatment. However, the mitotic index is acceptable for suspension 
cultures in which other toxicity measurements may be cumbersome and 
impractical. Information on cell-cycle kinetics, such as average 
generation time (AGT), could be used as supplementary information. AGT, 
however, is an overall average that does not always reveal the existence 
of delayed subpopulations, and even slight increases in average 
generation time can be associated with very substantial delay in the 
time of optimal yield of aberrations. For relatively non-cytotoxic 
compounds the maximum concentration should be 5 [micro]g/ml, 5mg/ml, or 
0.01M, whichever is the lowest.
    (D) For relatively insoluble substances that are not toxic at 
concentrations lower than the insoluble concentration, the highest dose 
used should be a concentration above the limit of solubility in the 
final culture medium at the end of the treatment period. In some cases 
(e.g., when toxicity occurs only at higher than the lowest insoluble 
concentration) it is advisable to test at more than one concentration 
with visible precipitation. It may be useful to assess solubility at the 
beginning and the end of the treatment, as solubility can change during 
the course of exposure in the test system due to presence of cells, S9, 
serum etc. Insolubility can be detected by using the unaided eye. The 
precipitate should not interfere with the scoring.
    (iii) Controls. (A) Concurrent positive and negative (solvent or 
vehicle) controls both with and without metabolic activation must be 
included in each experiment. When metabolic activation is used, the 
positive control chemical must be the one that requires activation to 
give a mutagenic response.
    (B) Positive controls must employ a known clastogen at exposure 
levels expected to give a reproducible and detectable increase over 
background which demonstrates the sensitivity of the test system. 
Positive control concentrations should be chosen so that the effects are 
clear but do not immediately reveal the identity of the coded slides to 
the reader. Examples of positive-control substances include:

------------------------------------------------------------------------
 Metabolic activation condition        Chemical           CAS number
------------------------------------------------------------------------
Absence of exogenous metabolic    Methyl              [66-27-3]
 activation.                       methanesulfonate.
                                  Ethyl               [62-50-0]
                                   methanesulfonate.
                                  Ethylnitrosourea..  [759-73-9]
                                  Mitomycin C.......  [50-07-7]
                                  4-Nitroquinoline-N- [56-57-5]
                                   Oxide.
Presence of exogenous metabolic   Benzo(a)pyrene....  [50-32-8]
 activation.
                                  Cyclophosphamide..  [50-18-0]
                                  (monohydrate).....  ([6055-19-2])
------------------------------------------------------------------------

    (C) Other appropriate positive control substances may be used. The 
use of chemical class-related positive-control chemicals may be 
considered, when available.
    (D) Negative controls, consisting of solvent or vehicle alone in the 
treatment medium, and treated in the same way as the treatment cultures, 
must be included for every harvest time. In addition, untreated controls 
should also be used unless there are historical-control data 
demonstrating that no deleterious or mutagenic effects are induced by 
the chosen solvent.
    (g) Procedure--(1) Treatment with test substance. (i) Proliferating 
cells are treated with the test substance in the presence and absence of 
a metabolic-activation system. Treatment of lymphocytes should commence 
at about 48 hours after mitogenic stimulation.
    (ii) Duplicate cultures must be used at each concentration, and are 
strongly recommended for negative/solvent control cultures. Where 
minimal variation between duplicate cultures can be demonstrated (the 
test techniques described in the references under paragraphs (i)(13) and 
(i)(14) of this section

[[Page 433]]

may be used), from historical data, it may be acceptable for single 
cultures to be used at each concentration.
    (iii) Gaseous or volatile substances should be tested by appropriate 
methods, such as in sealed culture vessels (the test techniques 
described in the references under paragraphs (i)(15) and (i)(16) of this 
section may be used).
    (2) Culture harvest time. In the first experiment, cells should be 
exposed to the test substance both with and without metabolic activation 
for 3-6 hours, and sampled at a time equivalent to about 1.5 normal 
cell-cycle length after the beginning of treatment (the test techniques 
described in the references under paragraph (i)(12) of this section may 
be used). If this protocol gives negative results both with and without 
activation, an additional experiment without activation should be done, 
with continuous treatment until sampling at a time equivalent to about 
1.5 normal cell-cycle lengths. Certain chemicals may be more readily 
detected by treatment/sampling times longer than 1.5 cycle lengths. 
Negative results with metabolic activation need to be confirmed on a 
case-by-case basis. In those cases where confirmation of negative 
results is not considered necessary, justification should be provided.
    (3) Chromosome preparation. Cell cultures must be treated with 
Colcemid [reg] or colchicine usually for 1 to 3 hours prior 
to harvesting. Each cell culture must be harvested and processed 
separately for the preparation of chromosomes. Chromosome preparation 
involves hypotonic treatment of the cells, fixation and staining.
    (4) Analysis. (i) All slides, including those of positive and 
negative controls, must be independently coded before microscopic 
analysis. Since fixation procedures often result in the breakage of a 
proportion of metaphase cells with loss of chromosomes, the cells scored 
must therefore contain a number of centromeres equal to the modal number 
2 for all cell types. At least 200 well-spread 
metaphases should be scored per concentration and control equally 
divided amongst the duplicates, if applicable. This number can be 
reduced when high numbers of aberrations are observed.
    (ii) Though the purpose of the test is to detect structural 
chromosome aberrations, it is important to record polyploidy and 
endoreduplication when these events are seen.
    (h) Data and reporting--(1) Treatment of results. (i) The 
experimental unit is the cell, and therefore the percentage of cells 
with structural chromosome aberration(s) should be evaluated. Different 
types of structural chromosome aberrations must be listed with their 
numbers and frequencies for experimental and control cultures. Gaps are 
recorded separately and reported but generally not included in the total 
aberration frequency.
    (ii) Concurrent measures of cytotoxicity for all treated and 
negative control cultures in the main aberration experiment(s) should 
also be recorded.
    (iii) Individual culture data should be provided. Additionally, all 
data should be summarized in tabular form.
    (iv) There is no requirement for verification of a clear positive 
response. Equivocal results should be clarified by further testing 
preferably using modification of experimental conditions. The need to 
confirm negative results has been discussed in paragraph (g)(2) of this 
section. Modification of study parameters to extend the range of 
conditions assessed should be considered in follow-up experiments. Study 
parameters that might be modified include the concentration spacing and 
the metabolic activation conditions.
    (2) Evaluation and interpretation of results. (i) There are several 
criteria for determining a positive result, such as a concentration-
related increase or a reproducible increase in the number of cells with 
chromosome aberrations. Biological relevance of the results should be 
considered first. Statistical methods may be used as an aid in 
evaluating the test results (see paragraphs (i)(3) and (i)(13) of this 
section). Statistical significance should not be the only determining 
factor for a positive response.
    (ii) An increase in the number of polyploid cells may indicate that 
the test substance has the potential to inhibit mitotic processes and to 
induce numerical chromosome aberrations. An increase in the number of 
cells with

[[Page 434]]

endoreduplicated chromosomes may indicate that the test substance has 
the potential to inhibit cell-cycle progression (the test techniques 
described in the references under paragraphs (i)(17) and (i)(18) of this 
section may be used).
    (iii) A test substance for which the results do not meet the 
criteria in paragraphs (h)(2)(i) and (h)(2)(ii) of this section is 
considered nonmutagenic in this system.
    (iv) Although most experiments will give clearly positive or 
negative results, in rare cases the data set will preclude making a 
definite judgement about the activity of the test substance. Results may 
remain equivocal or questionable regardless of the number of times the 
experiment is repeated.
    (v) Positive results from the in vitro chromosome aberration test 
indicate that the test substance induces structural chromosome 
aberrations in cultured mammalian somatic cells. Negative results 
indicate that, under the test conditions, the test substance does not 
induce chromosome aberrations in cultured mammalian somatic cells.
    (3) Test report. The test report must include the following 
information.
    (i) Test substance.
    (A) Identification data and CAS no., if known.
    (B) Physical nature and purity.
    (C) Physicochemical properties relevant to the conduct of the study.
    (D) Stability of the test substance, if known.
    (ii) Solvent/vehicle.
    (A) Justification for choice of solvent/vehicle.
    (B) Solubility and stability of the test substance in solvent/
vehicle, if known.
    (iii) Cells.
    (A) Type and source of cells.
    (B) Karyotype features and suitability of the cell type used.
    (C) Absence of Mycoplasma, if applicable.
    (D) Information on cell-cycle length.
    (E) Sex of blood donors, whole blood or separated lymphocytes, 
mitogen used.
    (F) Number of passages, if applicable.
    (G) Methods for maintenance of cell cultures if applicable.
    (H) Modal number of chromosomes.
    (iv) Test conditions.
    (A) Identity of metaphase arresting substance, its concentration and 
duration of cell exposure.
    (B) Rationale for selection of concentrations and number of cultures 
including, e.g., cytotoxicity data and solubility limitations, if 
available.
    (C) Composition of media, CO2 concentration if applicable.
    (D) Concentration of test substance.
    (E) Volume of vehicle and test substance added.
    (F) Incubation temperature.
    (G) Incubation time.
    (H) Duration of treatment.
    (I) Cell density at seeding, if appropriate.
    (J) Type and composition of metabolic activation system, including 
acceptability criteria.
    (K) Positive and negative controls.
    (L) Methods of slide preparation.
    (M) Criteria for scoring aberrations.
    (N) Number of metaphases analyzed.
    (O) Methods for the measurements of toxicity.
    (P) Criteria for considering studies as positive, negative or 
equivocal.
    (v) Results.
    (A) Signs of toxicity, e.g., degree of confluency, cell-cycle data, 
cell counts, mitotic index.
    (B) Signs of precipitation.
    (C) Data on pH and osmolality of the treatment medium, if 
determined.
    (D) Definition for aberrations, including gaps.
    (E) Number of cells with chromosome aberrations and type of 
chromosome aberrations given separately for each treated and control 
culture.
    (F) Changes in ploidy if seen.
    (G) Dose-response relationship, where possible.
    (H) Statistical analyses, if any.
    (I) Concurrent negative (solvent/vehicle) and positive control data.
    (J) Historical negative (solvent/vehicle) and positive control data, 
with ranges, means and standard deviations.
    (vi) Discussion of the results.
    (vii) Conclusion.
    (i) References. For additional background information on this test 
guideline, the following references should be consulte. These references 
are available for inspection at the TSCA Nonconfidential Information 
Center, Rm.

[[Page 435]]

NE-B607, Environmental Protection Agency, 401 M St., SW., Washington, 
DC, 12 noon to 4 p.m., Monday through Friday, except legal holidays.
    (1) Evans, H.J. Cytological Methods for Detecting Chemical Mutagens. 
Chemical Mutagens, Principles and Methods for their Detection, Vol. 4, 
Hollaender, A. Ed. Plenum Press, New York and London, pp. 1-29 (1976).
    (2) Ishidate, M. Jr. and Sofuni, T. The In Vitro Chromosomal 
Aberration Test Using Chinese Hamster Lung (CHL) Fibroblast Cells in 
Culture. Progress in Mutation Research, Vol. 5, Ashby, J. et al., Eds. 
Elsevier Science Publishers, Amsterdam-New York-Oxford, pp. 427-432 
(1985).
    (3) Galloway, S.M. et al. Chromosome aberration and sister chromatid 
exchanges in Chinese hamster ovary cells: Evaluation of 108 chemicals. 
Environmental and Molecular Mutagenesis 10 (suppl. 10), 1-175 (1987).
    (4) Scott, D. et al. Genotoxicity under Extreme Culture Conditions. 
A report from ICPEMC Task Group 9. Mutation Research 257, 147-204 
(1991).
    (5) Morita, T. et al. Clastogenicity of Low pH toVarious Cultured 
Mammalian Cells. Mutation Research 268, 297-305 (1992).
    (6) Ames, B.N., McCann, J. and Yamasaki, E. Methods for Detecting 
Carcinogens and Mutagens with the Salmonella/Mammalian Microsome 
Mutagenicity Test. Mutation Research 31, 347-364 (1975).
    (7) Maron, D.M. and Ames, B.N. Revised Methods for the Salmonella 
Mutagenicity Test. Mutation Research 113, 173-215 (1983).
    (8) Natarajan, A.T. et al. Cytogenetic Effects of Mutagens/
Carcinogens after Activation in a Microsomal System In Vitro, I. 
Induction of Chromosome Aberrations and Sister Chromatid Exchanges by 
Diethylnitrosamine (DEN) and Dimethylnitrosamine (DMN) in CHO Cells in 
the Presence of Rat-Liver Microsomes. Mutation Research 37, 83-90 
(1976).
    (9) Matsuoka, A., Hayashi, M. and Ishidate, M., Jr. Chromosomal 
Aberration Tests on 29 Chemicals Combined with S9 Mix In Vitro. Mutation 
Research 66, 277-290 (1979).
    (10) Elliot, B.M. et al. Report of UK Environmental Mutagen Society 
Working Party. Alternatives to Aroclor 1254-induced S9 in In Vitro 
Genotoxicity Assays. Mutagenesis 7, 175-177 (1992).
    (11) Matsushima, T. et al. A Safe Substitute for Polychlorinated 
Biphenyls as an Inducer of Metabolic Activation Systems. de Serres, 
F.J., Fouts, J.R., Bend, J.R. and Philpot, R.M. Eds. In Vitro Metabolic 
Activation in Mutagenesis Testing, Elsevier, North-Holland, pp. 85-88 
(1976).
    (12) Galloway, S.M. et al. Report from Working Group on In Vitro 
Tests for Chromosomal Aberrations. Mutation Research 312, 241-261 
(1994).
    (13) Richardson, C. et al. Analysis of Data from In Vitro 
Cytogenetic Assays. Statistical Evaluation of Mutagenicity Test Data. 
Kirkland, D.J., Ed. Cambridge University Press, Cambridge, pp. 141-154 
(1989).
    (14) Soper, K.A. and Galloway S.M. Replicate Flasks are not 
Necessary for In Vitro Chromosome Aberration Assays in CHO Cells. 
Mutation Research 312, 139-149 (1994).
    (15) Krahn, D.F., Barsky, F.C. and McCooey, K.T. CHO/HGPRT Mutation 
Assay: Evaluation of Gases and Volatile Liquids. Tice, R.R., Costa, 
D.L., Schaich, K.M. Eds. Genotoxic Effects of Airborne Agents. New York, 
Plenum, pp. 91-103 (1982).
    (16) Zamora, P.O. et al. Evaluation of an Exposure System Using 
Cells Grown on Collagen Gels for Detecting Highly Volatile Mutagens in 
the CHO/HGPRT Mutation Assay. Environmental Mutagenesis 5, 795-801 
(1983).
    (17) Locke-Huhle, C. Endoreduplication in Chinese hamster cells 
during alpha-radiation induced G2 arrest. Mutation Research 119, 403-413 
(1983).
    (18) Huang, Y., Change, C. and Trosko, J.E. Aphidicolin--induced 
endoreduplication in Chinese hamster cells. Cancer Research 43, 1362-
1364 (1983).

[65 FR 78807, Dec. 15, 2000]



Sec.  799.9538  TSCA mammalian bone marrow chromosomal aberration test.

    (a) Scope. This section is intended to meet the testing requirements 
under section 4 of TSCA. The mammalian bone marrow chromosomal 
aberration test is used for the detection of structural chromosome 
aberrations induced

[[Page 436]]

by test compounds in bone marrow cells of animals, usually rodents. 
Structural chromosome aberrations may be of two types, chromosome or 
chromatid. An increase in polyploidy may indicate that a chemical has 
the potential to induce numerical aberrations. With the majority of 
chemical mutagens, induced aberrations are of the chromatid-type, but 
chromosome-type aberrations also occur. Chromosome mutations and related 
events are the cause of many human genetic diseases and there is 
substantial evidence that chromosome mutations and related events 
causing alterations in oncogenes and tumor suppressor genes are involved 
in cancer in humans and experimental systems.
    (b) Source. The source material used in developing this TSCA test 
guideline is the OECD guideline 475 (February 1997). This source is 
available at the address in paragraph (g) of this section.
    (c) Definitions. The following definitions apply to this section:
    Chromatid-type aberration is structural chromosome damage expressed 
as breakage of single chromatids or breakage and reunion between 
chromatids.
    Chromosome-type aberration is structural chromosome damage expressed 
as breakage, or breakage and reunion, of both chromatids at an identical 
site.
    Endoreduplication is a process in which after an S period of DNA 
replication, the nucleus does not go into mitosis but starts another S 
period. The result is chromosomes with 2,4,8,...chromatids.
    Gap is an achromatic lesion smaller than the width of one chromatid, 
and with minimum misalignment of the chromatids.
    Numerical aberration is a change in the number of chromosomes from 
the normal number characteristic of the animals utilized.
    Polyploidy is a multiple of the haploid chromosome number (n) other 
than the diploid number (i.e., 3n, 4n and so on).
    Structural aberration is a change in chromosome structure detectable 
by microscopic examination of the metaphase stage of cell division, 
observed as deletions and fragments, intrachanges or interchanges.
    (d) Initial considerations. (1) Rodents are routinely used in this 
test. Bone marrow is the target tissue in this test, since it is a 
highly vascularised tissue, and it contains a population of rapidly 
cycling cells that can be readily isolated and processed. Other species 
and target tissues are not the subject of this section.
    (2) This chromosome aberration test is especially relevant to 
assessing mutagenic hazard in that it allows consideration of factors of 
in vivo metabolism, pharmacokinetics and DNA-repair processes although 
these may vary among species and among tissues. An in vivo test is also 
useful for further investigation of a mutagenic effect detected by an in 
vitro test.
    (3) If there is evidence that the test substance, or a reactive 
metabolite, will not reach the target tissue, it is not appropriate to 
use this test.
    (e) Test method--(1) Principle. Animals are exposed to the test 
substance by an appropriate route of exposure and are sacrificed at 
appropriate times after treatment. Prior to sacrifice, animals are 
treated with a metaphase-arresting agent (e.g., colchicine or Colcemid 
[reg]). Chromosome preparations are then made from the bone 
marrow cells and stained, and metaphase cells are analyzed for 
chromosome aberrations.
    (2) Description--(i) Preparations--(A) Selection of animal species. 
Rats, mice and Chinese hamsters are commonly used, although any 
appropriate mammalian species may be used. Commonly used laboratory 
strains of young healthy adult animals should be employed. At the 
commencement of the study, the weight variation of animals should be 
minimal and not exceed 20% of the mean weight of 
each sex.
    (B) Housing and feeding conditions. The temperature in the 
experimental animal room should be 22 [deg]C 3 
[deg]C). Although the relative humidity should be at least 30% and 
preferably not exceed 70% other than during room cleaning, the aim 
should be 50-60%. Lighting should be artificial, the sequence being 12 
hrs light, 12 hrs dark. For feeding, conventional laboratory diets may 
be used with an unlimited supply of drinking water. The choice of diet 
may be influenced by the need to ensure a suitable admixture of a test 
substance

[[Page 437]]

when administered by this method. Animals may be housed individually, or 
be caged in small groups of the same sex.
    (C) Preparation of the animals. Healthy young adult animals shall be 
randomly assigned to the control and treatment groups. Cages should be 
arranged in such a way that possible effects due to cage placement are 
minimized. The animals are identified uniquely. The animals are 
acclimated to the laboratory conditions for at least 5 days.
    (D) Preparation of doses. Solid test substances shall be dissolved 
or suspended in appropriate solvents or vehicles and diluted, as 
appropriate, prior to dosing of the animals. Liquid test substances may 
be dosed directly or diluted prior to dosing. Fresh preparations of the 
test substance should be employed unless stability data demonstrate the 
acceptability of storage.
    (ii) Test conditions--(A) Solvent/vehicle. The solvent/vehicle shall 
not produce toxic effects at the dose levels used, and shall not be 
suspected of chemical reaction with the test substance. If other than 
well-known solvents/vehicles are used, their inclusion should be 
supported with data indicating their compatibility. It is recommended 
that wherever possible, the use of an aqueous solvent/vehicle should be 
considered first.
    (B) Controls. (1) Concurrent positive and negative (solvent/vehicle) 
controls shall be included for each sex in each test. Except for 
treatment with the test substance, animals in the control groups should 
be handled in an identical manner to the animals in the treated groups.
    (2) Positive controls shall produce structural chromosome 
aberrations in vivo at exposure levels expected to give a detectable 
increase over background. Positive control doses should be chosen so 
that the effects are clear but do not immediately reveal the identity of 
the coded slides to the reader. It is acceptable that the positive 
control be administered by a route different from the test substance and 
sampled at only a single time. The use of chemical class related 
positive control chemicals may be considered, when available. Examples 
of positive control substances include:

------------------------------------------------------------------------
                 Chemical                              CAS No.
------------------------------------------------------------------------
Triethylenemelamine.......................  [CAS no. 51-18-3]
Ethyl methanesulphonate...................  [CAS no. 62-50-0]
Ethyl nitrosourea.........................  [CAS no. 759-73-9]
Mitomycin C...............................  [CAS no. 50-07-7]
Cyclophosphamide (monohydrate)............  [CAS no. 50-18-0]
                                            [CAS no. 6055-19-2]
------------------------------------------------------------------------

    (3) Negative controls, treated with solvent or vehicle alone, and 
otherwise treated in the same way as the treatment groups, shall be 
included for every sampling time, unless acceptable inter-animal 
variability and frequencies of cells with chromosome aberrations are 
available from historical control data. If single sampling is applied 
for negative controls, the most appropriate time is the first sampling 
time. In the absence of historical or published control data 
demonstrating that no deleterious or mutagenic effects are induced by 
the chosen solvent/vehicle, untreated animals should be used.
    (3) Procedure--(i) Number and sex of animals. Each treated and 
control group shall include at least 5 analyzable animals per sex. If at 
the time of the study there are data available from studies in the same 
species and using the same route of exposure that demonstrate that there 
are no substantial differences in toxicity between sexes, then testing 
in a single sex will be sufficient. Where human exposure to chemicals 
may be sex-specific, as for example with some pharmaceutical agents, the 
test should be performed with animals of the appropriate sex.
    (ii) Treatment schedule. (A) Test substances are preferably 
administered as a single treatment. Test substances may also be 
administered as a split dose, i.e. two treatments on the same day 
separated by no more than a few hrs, to facilitate administering a large 
volume of material. Other dose regimens should be scientifically 
justified.
    (B) Samples shall be taken at two separate times following treatment 
on one day. For rodents, the first sampling interval is 1.5 normal cell 
cycle length (the latter being normally 12-18 hr) following treatment. 
Since the time required for uptake and metabolism of the test substance 
as well as its

[[Page 438]]

effect on cell cycle kinetics can affect the optimum time for chromosome 
aberration detection, a later sample collection 24 hr after the first 
sample time is recommended. If dose regimens of more than one day are 
used, one sampling time at 1.5 normal cell cycle lengths after the final 
treatment should be used.
    (C) Prior to sacrifice, animals shall be injected intraperitoneally 
with an appropriate dose of a metaphase arresting agent (e.g. Colcemid 
[reg] or colchicine). Animals are sampled at an appropriate 
interval thereafter. For mice this interval is approximately 3-5 hrs; 
for Chinese hamsters this interval is approximately 4-5 hrs. Cells shall 
be harvested from the bone marrow and analyzed from chromosome 
aberrations.
    (iii) Dose levels. If a range finding study is performed because 
there are no suitable data available, it shall be performed in the same 
laboratory, using the same species, strain, sex, and treatment regimen 
to be used in the main study (an approach to dose selection is presented 
in the reference under paragraph (g)(5) of this section). If there is 
toxicity, three dose levels shall be used for the first sampling time. 
These dose levels shall cover a range from the maximum to little or no 
toxicity. At the later sampling time only the highest dose needs to be 
used. The highest dose is defined as the dose producing signs of 
toxicity such that higher dose levels, based on the same dosing regimen, 
would be expected to produce lethality. Substances with specific 
biological activities at low non-toxic doses (such as hormones and 
mitogens) may be exceptions to the dose-setting criteria and should be 
evaluated on a case-by-case basis. The highest dose may also be defined 
as a dose that produces some indication of toxicity in the bone marrow 
(e.g. greater than 50% reduction in mitotic index).
    (iv) Limit test. If a test at one dose level of at least 2,000 mg/kg 
body weight using a single treatment, or as two treatments on the same 
day, produces no observable toxic effects, and if genotoxicity would not 
be expected based on data from structurally related compounds, then a 
full study using three dose levels may not be considered necessary. For 
studies of a longer duration, the limit dose is 2,000 mg/kg/body weight/
day for treatment up to 14 days, and 1,000 mg/kg/body weight/day for 
treatment longer than 14 days. Expected human exposure may indicate the 
need for a higher dose level to be used in the limit test.
    (v) Administration of doses. The test substance is usually 
administered by gavage using a stomach tube or a suitable intubation 
cannula, or by intraperitoneal injection. Other routes of exposure may 
be acceptable where they can be justified. The maximum volume of liquid 
that can be administered by gavage or injection at one time depends on 
the size of the test animal. The volume should not exceed 2 ml/100g body 
weight. The use of volumes higher than these must be justified. Except 
for irritating or corrosive substances which will normally reveal 
exacerbated effects with higher concentrations, variability in test 
volume should be minimized by adjusting the concentration to ensure a 
constant volume at all dose levels.
    (vi) Chromosome preparation. Immediately after sacrifice, bone 
marrow shall be obtained, exposed to hypotonic solution and fixed. The 
cells shall be then spread on slides and stained.
    (vii) Analysis. (A) The mitotic index should be determined as a 
measure of cytotoxicity in at least 1,000 cells per animal for all 
treated animals (including positive controls) and untreated negative 
control animals.
    (B) At least 100 cells should be analyzed for each animal. This 
number could be reduced when high numbers of aberrations are observed. 
All slides, including those of positive and negative controls, shall be 
independently coded before microscopic analysis. Since slide preparation 
procedures often result in the breakage of a proportion of metaphases 
with loss of chromosomes, the cells scored should therefore contain a 
number of centromeres equal to the number 2n 2.
    (f) Data and reporting--(1) Treatment of results. Individual animal 
data shall be presented in tabular form. The experimental unit is the 
animal. For each animal the number of cells scored, the number of 
aberrations per cell and the

[[Page 439]]

percentage of cells with structural chromosome aberration(s) shall be 
evaluated. Different types of structural chromosome aberrations shall be 
listed with their numbers and frequencies for treated and control 
groups. Gaps shall be recorded separately and reported but generally not 
included in the total aberration frequency. If there is no evidence for 
a difference in response between the sexes, the data may be combined for 
statistical analysis.
    (2) Evaluation and interpretation of results. (i) There are several 
criteria for determining a positive result, such as a dose-related 
increase in the relative number of cells with chromosome aberrations or 
a clear increase in the number of cells with aberrations in a single 
dose group at a single sampling time. Biological relevance of the 
results should be considered first. Statistical methods may be used as 
an aid in evaluating the test results (some statistical methods are 
described in the reference under paragraph (g)(6) of this section). 
Statistical significance should not be the only determining factor for a 
positive response. Equivocal results should be clarified by further 
testing preferably using a modification of experimental conditions.
    (ii) An increase in polyploidy may indicate that the test substance 
has the potential to induce numerical chromosome aberrations. An 
increase in endoreduplication may indicate that the test substance has 
the potential to inhibit cell cycle progression. This phenomenon is 
described in the references under paragraphs (g)(7) and (g)(8) of this 
section.
    (iii) A test substance for which the results do not meet the 
criteria described in paragraph (f)(2)(i) of this section is considered 
non-mutagenic in this test.
    (iv) Although most experiments will give clearly positive or 
negative results, in rare cases the data set will preclude making a 
definite judgment about the activity of the test substance. Results may 
remain equivocal or questionable regardless of the number of experiments 
performed.
    (v) Positive results from the in vivo chromosome aberration test 
indicate that a substance induces chromosome aberrations in the bone 
marrow of the species tested. Negative results indicate that, under the 
test conditions, the test substance does not induce chromosome 
aberrations in the bone marrow of the species tested.
    (vi) The likelihood that the test substance or its metabolites reach 
the general circulation or specifically the target tissue (e.g., 
systemic toxicity) should be discussed.
    (3) Test report. The test report shall include the following 
information:
    (i) Test substance:
    (A) Identification data and CAS No., if known.
    (B) Physical nature and purity.
    (C) Physicochemical properties relevant to the conduct of the study.
    (D) Stability of the test substance, if known.
    (ii) Solvent/vehicle:
    (A) Justification for choice of vehicle.
    (B) Solubility and stability of the test substance in solvent/
vehicle, if known.
    (iii) Test animals:
    (A) Species/strain used.
    (B) Number, age and sex of animals.
    (C) Source, housing conditions, diet, etc.
    (D) Individual weight of the animals at the start of the test, 
including body weight range, mean and standard deviation for each group.
    (iv) Test conditions:
    (A) Positive and negative (vehicle/solvent) controls.
    (B) Data from range-finding study, if conducted.
    (C) Rationale for dose level selection.
    (D) Details of test substance preparation.
    (E) Details of the administration of the test substance.
    (F) Rationale for route of administration.
    (G) Methods for verifying that the test substance reached the 
general circulation or target tissue, if applicable.
    (H) Conversion from diet/drinking water test substance concentration 
parts per million (ppm) to the actual dose (mg/kg body weight/day), if 
applicable.
    (I) Details of food and water quality.
    (J) Detailed description of treatment and sampling schedules.

[[Page 440]]

    (K) Methods for measurement of toxicity.
    (L) Identity of metaphase arresting substance, its concentration and 
duration of treatment.
    (M) Methods of slide preparation.
    (N) Criteria for scoring aberrations.
    (O) Number of cells analyzed per animal.
    (P) Criteria for considering studies as positive, negative or 
equivocal.
    (v) Results:
    (A) Signs of toxicity.
    (B) Mitotic index.
    (C) Type and number of aberrations, given separately for each 
animal.
    (D) Total number of aberrations per group with means and standard 
deviations.
    (E) Number of cells with aberrations per group with means and 
standard deviations.
    (F) Changes in ploidy, if seen.
    (G) Dose-response relationship, where possible.
    (H) Statistical analyses, if any.
    (I) Concurrent negative control data.
    (J) Historical negative control data with ranges, means and standard 
deviations.
    (K) Concurrent positive control data.
    (vi) Discussion of the results.
    (vii) Conclusion.
    (g) References. For additional background information on this test 
guideline, the following references should be consulted. These 
references are available for inspection at the TSCA Nonconfidential 
Information Center, Rm. NE-B607, Environmental Protection Agency, 401 M 
St., SW., Washington, DC, 12 noon to 4 p.m., Monday through Friday, 
except legal holidays.
    (1) Adler, I.D. Eds. S. Venitt and J.M. Parry. Cytogenetic Tests in 
Mammals. Mutagenicity Testing: A Practical Approach. (IRL Press, Oxford, 
Washington DC, 1984) pp. 275-306.
    (2) Preston, R.J., Dean, B.J., Galloway, S., Holden, H., McFee, 
A.F., and Shelby, M. Mammalian In Vivo Cytogenetic Assays: Analysis of 
Chromosome Aberrations in Bone Marrow Cells. Mutation Research. 189, 
157-165 (1987).
    (3) Richold, M., Chandley, A., Ashby, J., Gatehouse, D.G., Bootman, 
J., and Henderson, L. Ed. D.J. Kirkland. In Vivo Cytogenetic Assays. 
Basic Mutagenicity Tests, UKEMS Recommended Procedures. UKEMS 
Subcommittee on Guidelines for Mutagenicity Testing. Report. Part I 
revised. (Cambridge University Press, Cambridge, NY, Port Chester, 
Melbourne, Sydney, 1990) pp. 115-141.
    (4) Tice, R.R., Hayashi, M., MacGregor, J.T., Anderson, D., Blakey, 
D.H., Holden, H.E., Kirsch-Volders, M., Oleson Jr., F.B., Pacchierotti, 
F., Preston, R.J., Romagna, F., Shimada, H., Sutou, S., and Vannier, B. 
Report from the Working Group on the In Vivo Mammalian Bone Marrow 
Chromosomal Aberration Test. Mutation Research. 312, 305-312 (1994).
    (5) Fielder, R.J., Allen, J.A., Boobis, A.R., Botham, P.A., Doe, J., 
Esdaile, D.J., Gatehouse, D.G., Hodson-Walker, G., Morton, D.B., 
Kirkland, D. J., and Richold, M. Report of British Toxicology Society/UK 
Environmental Mutagen Society Working Group: Dose Setting in In Vivo 
Mutagenicity Assays. Mutagenesis. 7, 313-319 (1992).
    (6) Lovell, D.P., Anderson, D., Albanese, R., Amphlett, G.E., Clare, 
G., Ferguson, R., Richold, M., Papworth, D.G., and Savage, J.R.K. Ed. 
Kirkland,D. J. Statistical Analysis of In Vivo Cytogenetic Assays. UKEMS 
Sub-Committee on Guidelines for Mutagenicity Testing. Report Part III. 
Statistical Evaluation of Mutagenicity Test Data (Cambridge University 
Press, Cambridge, 1989) pp. 184-232.
    (7) Locke-Huhle, C. Endoreduplication in Chinese Hamster Cells 
During Alpha-Radiation Induced G2 Arrest. Mutation Research. 119, 403-
413 (1983).
    (8) Huang, Y., Change, C., and Trosko, J. E. Aphidicolin-Induced 
Endoreduplication in Chinese Hamster Cells. Cancer Research. 43, 1362-
1364 (1983).

[62 FR 43824, Aug. 15, 1997, as amended at 64 FR 35079, June 30, 1999]



Sec.  799.9539  TSCA mammalian erythrocyte micronucleus test.

    (a) Scope. This section is intended to meet the testing requirements 
under section 4 of TSCA.

[[Page 441]]

    (1) The mammalian erythrocyte micronucleus test is used for the 
detection of damage induced by the test substance to the chromosomes or 
the mitotic apparatus of erythroblasts by analysis of erythrocytes as 
sampled in bone marrow and/or peripheral blood cells of animals, usually 
rodents.
    (2) The purpose of the micronucleus test is to identify substances 
that cause cytogenetic damage which results in the formation of 
micronuclei containing lagging chromosome fragments or whole 
chromosomes.
    (3) When a bone marrow erythroblast develops into a polychromatic 
erythrocyte, the main nucleus is extruded; any micronucleus that has 
been formed may remain behind in the otherwise anucleated cytoplasm. 
Visualization of micronuclei is facilitated in these cells because they 
lack a main nucleus. An increase in the frequency of micronucleated 
polychromatic erythrocytes in treated animals is an indication of 
induced chromosome damage.
    (b) Source. The source material used in developing this TSCA test 
guideline is the OECD guideline 474 (February 1997). This source is 
available at the address in paragraph (g) of this section.
    (c) Definitions. The following definitions apply to this section:
    Centromere (kinetochore) is a region of a chromosome with which 
spindle fibers are associated during cell division, allowing orderly 
movement of daughter chromosomes to the poles of the daughter cells.
    Micronuclei are small nuclei, separate from and additional to the 
main nuclei of cells, produced during telophase of mitosis (meiosis) by 
lagging chromosome fragments or whole chromosomes.
    Normochromatic erythrocyte is a mature erythrocyte that lacks 
ribosomes and can be distinguished from immature, polychromatic 
erythrocytes by stains selective for ribosomes.
    Polychromatic erythrocyte is an immature erythrocyte, in an 
intermediate stage of development, that still contains ribosomes and 
therefore can be distinguished from mature, normochromatic erythrocytes 
by stains selective for ribosomes.
    (d) Initial considerations. (1) The bone marrow of rodents is 
routinely used in this test since polychromatic erythrocytes are 
produced in that tissue. The measurement of micronucleated immature 
(polychromatic) erythrocytes in peripheral blood is equally acceptable 
in any species in which the inability of the spleen to remove 
micronucleated erythrocytes has been demonstrated, or which has shown an 
adequate sensitivity to detect agents that cause structural or numerical 
chromosome aberrations. Micronuclei can be distinguished by a number of 
criteria. These include identification of the presence or absence of a 
kinetochore or centromeric DNA in the micronuclei. The frequency of 
micronucleated immature (polychromatic) erythrocytes is the principal 
endpoint. The number of mature (normochromatic) erythrocytes in the 
peripheral blood that contain micronuclei among a given number of mature 
erythrocytes can also be used as the endpoint of the assay when animals 
are treated continuously for 4 weeks or more. This mammalian in vivo 
micronucleus test is especially relevant to assessing mutagenic hazard 
in that it allows consideration of factors of in vivo metabolism, 
pharmacokinetics and DNA-repair processes although these may vary among 
species, among tissues and among genetic endpoints. An in vivo assay is 
also useful for further investigation of a mutagenic effect detected by 
an in vitro system.
    (2) If there is evidence that the test substance, or a reactive 
metabolite, will not reach the target tissue, it is not appropriate to 
use this test.
    (e) Test method--(1) Principle. Animals are exposed to the test 
substance by an appropriate route. If bone marrow is used, the animals 
are sacrificed at appropriate times after treatment, the bone marrow 
extracted, and preparations made and stained (test techniques described 
in the references under paragraphs (g)(1), (g)(2), and (g)(3) of this 
section may be used). When peripheral blood is used, the blood is 
collected at appropriate times after treatment and smear preparations 
are made and stained (the test techniques described in the references

[[Page 442]]

under paragraphs (g)(3), (g)(4), (g)(5), and (g)(6) of this section may 
be used). For studies with peripheral blood, as little time as possible 
should elapse between the last exposure and cell harvest. Preparations 
are analyzed for the presence of micronuclei.
    (2) Description--(i) Preparations--(A) Selection of animal species. 
Mice or rats are recommended if bone marrow is used, although any 
appropriate mammalian species may be used. When peripheral blood is 
used, mice are recommended. However, any appropriate mammalian species 
may be used provided it is a species in which the spleen does not remove 
micronucleated erythrocytes or a species which has shown an adequate 
sensitivity to detect agents that cause structural or numerical 
chromosome aberrations. Commonly used laboratory strains of young 
healthy animals should be employed. At the commencement of the study, 
the weight variation of animals should be minimal and not exceed 20% of the mean weight of each sex.
    (B) Housing and feeding conditions. The temperature in the 
experimental animal room should be 22 [deg]C 3 
[deg]C). Although the relative humidity should be at least 30% and 
preferably not exceed 70% other than during room cleaning, the aim 
should be 50-60%. Lighting should be artificial, the sequence being 12 
hrs light, 12 hrs dark. For feeding, conventional laboratory diets may 
be used with an unlimited supply of drinking water. The choice of diet 
may be influenced by the need to ensure a suitable admixture of a test 
substance when administered by this route. Animals may be housed 
individually, or caged in small groups of the same sex.
    (C) Preparation of the animals. Healthy young adult animals shall be 
randomly assigned to the control and treatment groups. The animals are 
identified uniquely. The animals are acclimated to the laboratory 
conditions for at least 5 days. Cages should be arranged in such a way 
that possible effects due to cage placement are minimized.
    (D) Preparation of doses. Solid test substances shall be dissolved 
or suspended in appropriate solvents or vehicles and diluted, if 
appropriate, prior to dosing of the animals. Liquid test substances may 
be dosed directly or diluted prior to dosing. Fresh preparations of the 
test substance should be employed unless stability data demonstrate the 
acceptability of storage.
    (ii) Test conditions--(A) Solvent/vehicle. The solvent/vehicle shall 
not produce toxic effects at the dose levels used, and shall not be 
suspected of chemical reaction with the test substance. If other than 
well-known solvents/vehicles are used, their inclusion should be 
supported with reference data indicating their compatibility. It is 
recommended that wherever possible, the use of an aqueous solvent/
vehicle should be considered first.
    (B) Controls. (1) Concurrent positive and negative (solvent/vehicle) 
controls shall be included for each sex in each test. Except for 
treatment with the test substance, animals in the control groups should 
be handled in an identical manner to animals of the treatment groups.
    (2) Positive controls shall produce micronuclei in vivo at exposure 
levels expected to give a detectable increase over background. Positive 
control doses should be chosen so that the effects are clear but do not 
immediately reveal the identity of the coded slides to the reader. It is 
acceptable that the positive control be administered by a route 
different from the test substance and sampled at only a single time. In 
addition, the use of chemical class-related positive control chemicals 
may be considered, when available. Examples of positive control 
substances include:

------------------------------------------------------------------------
                 Chemical                              CAS No.
------------------------------------------------------------------------
Ethyl methanesulphonate...................  [CAS no. 62-50-0]
Ethyl nitrosourea.........................  [CAS no. 759-73-9]
Mitomycin C...............................  [CAS no. 50-07-7]
Cyclophosphamide (monohydrate)............  [CAS no. 50-18-0]
                                            [CAS no. 6055-19-2]
Triethylenemelamine.......................  [CAS no. 51-18-3]
------------------------------------------------------------------------

    (3) Negative controls, treated with solvent or vehicle alone, and 
otherwise treated in the same way as the treatment groups shall be 
included for every sampling time, unless acceptable inter-animal 
variability and frequencies of cells with micronuclei are demonstrated 
by historical control data. If single sampling is applied for negative 
controls, the most appropriate time is

[[Page 443]]

the first sampling time. In addition, untreated controls should also be 
used unless there are historical or published control data demonstrating 
that no deleterious or mutagenic effects are induced by the chosen 
solvent/vehicle.
    (4) If peripheral blood is used, a pre-treatment sample may also be 
acceptable as a concurrent negative control, but only in the short 
peripheral blood studies (e.g., one to three treatment(s)) when the 
resulting data are in the expected range for the historical control.
    (3) Procedure--(i) Number and sex of animals. Each treated and 
control group shall include at least 5 analyzable animals per sex 
(techniques described in the reference under paragraph (g)(7) of this 
section may be used). If at the time of the study there are data 
available from studies in the same species and using the same route of 
exposure that demonstrate that there are no substantial differences 
between sexes in toxicity, then testing in a single sex will be 
sufficient. Where human exposure to chemicals may be sex-specific, as 
for example with some pharmaceutical agents, the test should be 
performed with animals of the appropriate sex.
    (ii) Treatment schedule. (A) No standard treatment schedule (i.e. 
one, two, or more treatments at 24 h intervals) can be recommended. The 
samples from extended dose regimens are acceptable as long as a positive 
effect has been demonstrated for this study or, for a negative study, as 
long as toxicity has been demonstrated or the limit dose has been used, 
and dosing continued until the time of sampling. Test substances may 
also be administered as a split dose, i.e., two treatments on the same 
day separated by no more than a few hrs, to facilitate administering a 
large volume of material.
    (B) The test may be performed in two ways:
    (1) Animals shall be treated with the test substance once. Samples 
of bone marrow shall be taken at least twice, starting not earlier than 
24 hrs after treatment, but not extending beyond 48 hrs after treatment 
with appropriate interval(s) between samples. The use of sampling times 
earlier than 24 hrs after treatment should be justified. Samples of 
peripheral blood shall be taken at least twice, starting not earlier 
than 36 hrs after treatment, with appropriate intervals following the 
first sample, but not extending beyond 72 hrs. When a positive response 
is recognized at one sampling time, additional sampling is not required.
    (2) If two or more daily treatments are used (e.g. two or more 
treatments at 24 hr intervals), samples shall be collected once between 
18 and 24 hrs following the final treatment for the bone marrow and once 
between 36 and 48 hrs following the final treatment for the peripheral 
blood (techniques described in the reference under paragraph (g)(8) of 
this section may be used).
    (C) Other sampling times may be used in addition, when relevant.
    (iii) Dose levels. If a range finding study is performed because 
there are no suitable data available, it shall be performed in the same 
laboratory, using the same species, strain, sex, and treatment regimen 
to be used in the main study (guidance on dose setting is provided in 
the reference in paragraph (g)(9) of this section). If there is 
toxicity, three dose levels shall be used for the first sampling time. 
These dose levels shall cover a range from the maximum to little or no 
toxicity. At the later sampling time only the highest dose needs to be 
used. The highest dose is defined as the dose producing signs of 
toxicity such that higher dose levels, based on the same dosing regimen, 
would be expected to produce lethality. Substances with specific 
biological activities at low non-toxic doses (such as hormones and 
mitogens) may be exceptions to the dose-setting criteria and should be 
evaluated on a case-by-case basis. The highest dose may also be defined 
as a dose that produces some indication of toxicity in the bone marrow 
(e.g. a reduction in the proportion of immature erythrocytes among total 
erythrocytes in the bone marrow or peripheral blood).
    (iv) Limit test. If a test at one dose level of at least 2,000 mg/kg 
body weight using a single treatment, or as two treatments on the same 
day, produces no observable toxic effects, and if genotoxicity would not 
be expected based upon data from structurally related substances, then a 
full study

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using three dose levels may not be considered necessary. For studies of 
a longer duration, the limit dose is 2,000 mg/kg/body weight/day for 
treatment up to 14 days, and 1,000 mg/kg/body weight/day for treatment 
longer than 14 days. Expected human exposure may indicate the need for a 
higher dose level to be used in the limit test.
    (v) Administration of doses. The test substance is usually 
administered by gavage using a stomach tube or a suitable intubation 
cannula, or by intraperitoneal injection. Other routes of exposure may 
be acceptable where they can be justified. The maximum volume of liquid 
that can be administered by gavage or injection at one time depends on 
the size of the test animal. The volume should not exceed 2 ml/100g body 
weight. The use of volumes higher than these must be justified. Except 
for irritating or corrosive substances which will normally reveal 
exacerbated effects with higher concentrations, variability in test 
volume should be minimized by adjusting the concentration to ensure a 
constant volume at all dose levels.
    (vi) Bone marrow/blood preparation. Bone marrow cells shall be 
obtained from the femurs or tibias immediately following sacrifice. 
Cells shall be removed from femurs or tibias, prepared and stained using 
established methods. Peripheral blood is obtained from the tail vein or 
other appropriate blood vessel. Blood cells are immediately stained 
supravitally (the test techniques described in the references under 
paragraphs (g)(4), (g)(5), and (g)(6) of this section may be used) or 
smear preparations are made and then stained. The use of a DNA specific 
stain (e.g. acridine orange (techniques described in the reference under 
paragraph (g)(10) of this section may be used) or Hoechst 33258 plus 
pyronin-Y) can eliminate some of the artifacts associated with using a 
non-DNA specific stain. This advantage does not preclude the use of 
conventional stains (e.g., Giemsa). Additional systems (e.g. cellulose 
columns to remove nucleated cells (the test techniques described in the 
references under paragraph (g)(12) of this section may be used)) can 
also be used provided that these systems have been shown to adequately 
work for micronucleus preparation in the laboratory.
    (vii) Analysis. The proportion of immature among total (immature = 
mature) erythrocytes is determined for each animal by counting a total 
of at least 200 erythrocytes for bone marrow and 1,000 erythrocytes for 
peripheral blood (techniques described in the reference under paragraph 
(g)(13) of this section maybe used). All slides, including those of 
positive and negative controls, shall be independently coded before 
microscopic analysis. At least 2,000 immature erythrocytes per animal 
shall be scored for the incidence of micronucleated immature 
erythrocytes. Additional information may be obtained by scoring mature 
erythrocytes for micronuclei. When analyzing slides, the proportion of 
immature erythrocytes among total erythrocytes should not be less than 
20% of the control value. When animals are treated continuously for 4 
weeks or more, at least 2,000 mature erythrocytes per animal can also be 
scored for the incidence of micronuclei. Systems for automated analysis 
(image analysis) and cell suspensions (flow cytometry) are acceptable 
alternatives to manual evaluation if appropriately justified and 
validated.
    (f) Data and reporting--(1) Treatment of results. Individual animal 
data shall be presented in tabular form. The experimental unit is the 
animal. The number of immature erythrocytes scored, the number of 
micronucleated immature erythrocytes, and the number of immature among 
total erythrocytes shall be listed separately for each animal analyzed. 
When animals are treated continuously for 4 weeks or more, the data on 
mature erythrocytes should also be given if it is collected. The 
proportion of immature among total erythrocytes and, if considered 
applicable, the percentage of micronucleated erythrocytes shall be given 
for each animal. If there is no evidence for a difference in response 
between the sexes, the data from both sexes may be combined for 
statistical analysis.
    (2) Evaluation and interpretation of results. (i) There are several 
criteria for determining a positive result, such as a dose-related 
increase in the number of

[[Page 445]]

micronucleated cells or a clear increase in the number of micronucleated 
cells in a single dose group at a single sampling time. Biological 
relevance of the results should be considered first. Statistical methods 
may be used as an aid in evaluating the test results (the test 
techniques described in the references paragraphs (g)(14) and (g)(15) of 
this section may be used). Statistical significance should not be the 
only determining factor for a positive response. Equivocal results 
should be clarified by further testing preferably using a modification 
of experimental conditions.
    (ii) A test substance for which the results do not meet the criteria 
in paragraph (f)(2)(i) of this section is considered non-mutagenic in 
this test.
    (iii) Although most experiments will give clearly positive or 
negative results, in rare cases the data set will preclude making a 
definite judgement about the activity of the test substance. Results, 
may remain equivocal or questionable regardless of the number of times 
the experiment is repeated. Positive results in the micronucleus test 
indicate that a substance induces micronuclei which are the result of 
chromosomal damage or damage to the mitotic apparatus in the 
erythroblasts of the test species. Negative results indicate that, under 
the test conditions, the test substance does not produce micronuclei in 
the immature erythrocytes of the test species.
    (iv) The likelihood that the test substance or its metabolites reach 
the general circulation or specifically the target tissue (e.g. systemic 
toxicity) should be discussed.
    (3) Test report. The test report shall include the following 
information:
    (i) Test substance:
    (A) Identification data and CAS no., if known.
    (B) Physical nature and purity.
    (C) Physiochemical properties relevant to the conduct of the study.
    (D) Stability of the test substance, if known.
    (ii) Solvent/vehicle:
    (A) Justification for choice of vehicle.
    (B) Solubility and stability of the test substance in the solvent/
vehicle, if known.
    (iii) Test animals:
    (A) Species/strain used.
    (B) Number, age, and sex of animals.
    (C) Source, housing conditions, diet, etc.
    (D) Individual weight of the animals at the start of the test, 
including body weight range, mean and standard deviation for each group.
    (iv) Test conditions:
    (A) Positive and negative (vehicle/solvent) control data.
    (B) Data from range-finding study, if conducted.
    (C) Rationale for dose level selection.
    (D) Details of test substance preparation.
    (E) Details of the administration of the test substance.
    (F) Rationale for route of administration.
    (G) Methods for verifying that the test substance reached the 
general circulation or target tissue, if applicable.
    (H) Conversion from diet/drinking water test substance concentration 
parts per million (ppm) to the actual dose (mg/kg body weight/day), if 
applicable.
    (I) Details of food and water quality.
    (J) Detailed description of treatment and sampling schedules.
    (K) Methods of slide preparation.
    (L) Methods for measurement of toxicity.
    (M) Criteria for scoring micronucleated immature erythrocytes.
    (N) Number of cells analyzed per animal.
    (O) Criteria for considering studies as positive, negative or 
equivocal.
    (v) Results:
    (A) Signs of toxicity.
    (B) Proportion of immature erythrocytes among total erythrocytes.
    (C) Number of micronucleated immature erythrocytes, given separately 
for each animal.
    (D) Mean = standard deviation of 
micronucleated immature erythrocytes per group.
    (E) Dose-response relationship, where possible.
    (F) Statistical analyses and method applied.
    (G) Concurrent and historical negative control data.

[[Page 446]]

    (H) Concurrent positive control data.
    (vi) Discussion of the results.
    (vii) Conclusion.
    (g) References. For additional background information on this test 
guideline, the following references should be consulted. These 
references are available for inspection at the TSCA Nonconfidential 
Information Center, Rm. NE-B607, Environmental Protection Agency, 401 M 
St., SW., Washington, DC, 12 noon to 4 p.m., Monday through Friday, 
except legal holidays.
    (1) Heddle, J.A. A Rapid In Vivo Test for Chromosomal Damage. 
Mutation Research. 18, 187-190 (1973).
    (2) Schmid, W. The Micronucleus Test. Mutation Research. 31, 9-15 
(1975).
    (3) Mavournin, K.H., Blakey, D.H., Cimino, M.C., Salamone, M.F., and 
Heddle, J.A. The In Vivo Micronucleus Assay in Mammalian Bone Marrow and 
Peripheral Blood. A report of the U.S. Environmental Protection Agency 
Gene-Tox Program. Mutation Research. 239, 29-80 (1990).
    (4) Hayashi, M., Morita, T., Kodama, Y., Sofuni, T., and Ishidate, 
Jr., M. The Micronucleus Assay with Mouse Peripheral Blood Reticulocytes 
Using Acridine Orange-Coated Slides. Mutation Research. 245, 245-249 
(1990).
    (5) The Collaborative Study Group for the Micronucleus Test (1992). 
Micronucleus Test with Mouse Peripheral Blood Erythrocytes by Acridine 
Orange Supravital Staining: The Summary Report of the 5th Collaborative 
Study by CSGMT/JEMS. MMS. Mutation Research. 278, 83-98.
    (6) The Collaborative Study Group for the Micronucleus Test (CSGMT/
JEMMS.MMS, The Mammalian Mutagenesis Study Group of the Environmental 
Mutagen Society of Japan) Protocol recommended for the short-term mouse 
peripheral blood micronucleus test. Mutagenesis. 10, 153-159 (1995).
    (7) Hayashi, M., Tice, R.R., MacGregor, J.T., Anderson, D., Blakey, 
D.H., Kirsch-Volders, M., Oleson, Jr. F.B., Pacchierotti, F., Romagna, 
F., Shimada, H., Sutou, S., and Vannier, B. In Vivo Rodent Erythrocyte 
Micronucleus Assay. Mutation Research. 312, 293-304 (1994).
    (8) Higashikuni, N. and Sutou, S. An optimal, generalized sampling 
time of 30 =/- 6 h after double dosing in the mouse 
peripheral blood micronucleus test. Mutagenesis. 10, 313-319 (1995).
    (9) Fielder, R.J., Allen, J.A., Boobis, A.R., Botham, P.A., Doe, J., 
Esdaile, D.J., Gatehouse, D.G., Hodson-Walker, G., Morton, D.B., 
Kirkland, D. J., and Richold, M. Report of British Toxicology Society/UK 
Environmental Mutagen Society Working Group: Dose Setting in In Vivo 
Mutagenicity Assays. Mutagenesis. 7, 313-319 (1992).
    (10) Hayashi, M., Sofuni, T., and Ishidate, Jr., M. An Application 
of Acridine Orange Fluorescent Staining to the Micronucleus Test. 
Mutation Research. 120, 241-247 (1983).
    (11) MacGregor, J.T., Wehr, C.M., and Langlois, R.G. A Simple 
Fluorescent Staining Procedure for Micronuclei and RNA in Erythrocytes 
Using Hoechst 33258 and Pyronin Y. Mutation Research. 120, 269-275 
(1983).
    (12) Romagna, F. and Staniforth, C.D. The automated bone marrow 
micronucleus test. Mutation Research. 213, 91-104 (1989).
    (13) Gollapudi, B. and McFadden, L.G. Sample size for the estimation 
of polychromatic to normochromatic eruthrocyte ratio in the bone marrow 
micronucleus test. Mutation Research. 347, 97-99 (1995).
    (14) Richold, M., Ashby, J., Bootman, J., Chandley, A., Gatehouse, 
D.G., and Henderson, L. Ed. Kirkland, D.J. In Vivo Cytogenetics Assays. 
Basic Mutagenicity Tests, UKEMS Recommended Procedures. UKEMS 
Subcommittee on Guidelines for Mutagenicity Testing. Report. Part I 
revised (Cambridge University Press, Cambridge, New York, Port Chester, 
Melbourne, Sydney, 1990) pp. 115-141.
    (15) Lovell, D.P., Anderson, D., Albanese, R., Amphlett, G.E., 
Clare, G., Ferguson, R., Richold, M., Papworth, D.G., and Savage, J.R.K. 
Ed. D.J. Kirkland. Statistical Analysis of In Vivo Cytogenetic Assays. 
Statistical Evaluation of Mutagenicity Test Data. UKEMS Sub-Committee on 
Guidelines for Mutagenicity Testing, Report, Part III. (Cambridge 
University Press, Cambridge, New York, Port Chester, Melbourne, Sydney, 
1989) pp. 184-232.
    (16) Heddle, J.A., Salamone, M.F., Hite, M., Kirkhart, B., 
Mavournin, K., MacGregor, J.G., and Newell, G.W. The

[[Page 447]]

Induction of Micronuclei as a Measure of Genotoxicity. Mutation 
Research. 123: 61-118 (1983).
    (17) MacGregor, J.T., Heddle, J.A., Hite, M., Margolin, G.H., Ramel 
C., Salamone, M.F., Tice, R.R., and Wild, D. Guidelines for the Conduct 
of Micronucleus Assays in Mammalian Bone Marrow Erythrocytes. Mutation 
Research. 189: 103-112 (1987).
    (18) MacGregor, J.T., Wehr, C.M., Henika, P.R., and Shelby, M.E. 
(1990). The In Vivo Erythrocyte Micronucleus Test: Measurement at Steady 
State Increases Assay Efficiency and Permits Integration with Toxicity 
Studies. Fundamental Applied Toxicology. 14: 513-522.
    (19) MacGregor, J.T., Schlegel, R. Choy, W.N., and Wehr, C.M. Eds. 
Hayes, A.W., Schnell, R.C., and Miya, T.S. Micronuclei in Circulating 
Erythrocytes: A Rapid Screen for Chromosomal Damage During Routine 
Toxicity Testing in Mice. Developments in Science and Practice of 
Toxicology (Elsevier, Amsterdam, 1983) pp. 555-558.

[62 FR 43824, Aug. 15, 1997, as amended at 64 FR 35079, June 30, 1999]



Sec.  799.9620  TSCA neurotoxicity screening battery.

    (a) Scope. This section is intended to meet the testing requirements 
under section 4 of TSCA. This neurotoxicity screening battery consists 
of a functional observational battery, motor activity, and 
neuropathology. The functional observational battery consists of 
noninvasive procedures designed to detect gross functional deficits in 
animals and to better quantify behavioral or neurological effects 
detected in other studies. The motor activity test uses an automated 
device that measures the level of activity of an individual animal. The 
neuropathological techniques are designed to provide data to detect and 
characterize histopathological changes in the central and peripheral 
nervous system. This battery is designed to be used in conjunction with 
general toxicity studies and changes should be evaluated in the context 
of both the concordance between functional neurological and 
neuropatholgical effects, and with respect to any other toxicological 
effects seen. This test battery is not intended to provide a complete 
evaluation of neurotoxicity, and additional functional and morphological 
evaluation may be necessary to assess completely the neurotoxic 
potential of a chemical.
    (b) Source. The source material used in developing this TSCA test 
guideline is the OPPTS harmonized test guideline 870.6200 (June 1996 
Public Draft). This source is available at the address in paragraph (g) 
of this section.
    (c) Definitions. The following definitions apply to this section.
    ED is effective dose.
    Motor activity is any movement of the experimental animal.
    Neurotoxicity is any adverse effect on the structure or function of 
the nervous system related to exposure to a chemical substance.
    Toxic effect is an adverse change in the structure or function of an 
experimental animal as a result of exposure to a chemical substance.
    (d) Principle of the test method. The test substance is administered 
to several groups of experimental animals, one dose being used per 
group. The animals are observed under carefully standardized conditions 
with sufficient frequency to ensure the detection and quantification of 
behavioral and/or neurologic abnormalities, if present. Various 
functions that could be affected by neurotoxicants are assessed during 
each observation period. Measurements of motor activity of individual 
animals are made in an automated device. The animals are perfused and 
tissue samples from the nervous system are prepared for microscopic 
examination. The exposure levels at which significant neurotoxic effects 
are produced are compared to one another and to those levels that 
produce other toxic effects.
    (e) Test procedures--(1) Animal selection--(i) Species. In general, 
the laboratory rat should be used. Under some circumstances, other 
species, such as the mouse or the dog, may be more appropriate, although 
not all of the battery may be adaptable to other species.
    (ii) Age. Young adults (at least 42 days old for rats) shall be 
used.
    (iii) Sex. Both males and females shall be used. Females shall be 
nulliparous and nonpregnant.

[[Page 448]]

    (2) Number of animals. At least 10 males and 10 females should be 
used in each dose and control group for behavioral testing. At least 
five males and five females should be used in each dose and control 
group for terminal neuropathology. If interim neuropathological 
evaluations are planned, the number should be increased by the number of 
animals scheduled to be perfused before the end of the study. Animals 
shall be randomly assigned to treatment and control groups.
    (3) Control groups. (i) A concurrent (vehicle) control group is 
required. Subjects shall be treated in the same way as for an exposure 
group except that administration of the test substance is omitted. If 
the vehicle used has known or potential toxic properties, both untreated 
or saline treated and vehicle control groups are required.
    (ii) Positive control data from the laboratory performing the 
testing shall provide evidence of the ability of the observational 
methods used to detect major neurotoxic endpoints including limb 
weakness or paralysis, tremor, and autonomic signs. Positive control 
data are also required to demonstrate the sensitivity and reliability of 
the activity-measuring device and testing procedures. These data should 
demonstrate the ability to detect chemically induced increases and 
decreases in activity. Positive control groups exhibiting central 
nervous system pathology and peripheral nervous system pathology are 
also required. Separate groups for peripheral and central neuropathology 
are acceptable (e.g. acrylamide and trimethyl tin). Permanently 
injurious substances need not be used for the behavioral tests. 
Historical data may be used if the essential aspects of the experimental 
procedure remain the same. Periodic updating of positive control data is 
recommended. New positive control data should also be collected when 
personnel or some other critical element in the testing laboratory has 
changed.
    (4) Dose level and dose selection. At least three doses shall be 
used in addition to the vehicle control group. The data should be 
sufficient to produce a dose-effect curve. The Agency strongly encourage 
the use of equally spaced doses and a rationale for dose selection that 
will maximally support detection of dose-effect relations. For acute 
studies, dose selection may be made relative to the establishment of a 
benchmark dose (BD). That is, doses may be specified as successive 
fractions, e.g. 0.5, 0.25, ...n of the BD. The BD itself may be 
estimated as the highest nonlethal dose as determined in a preliminary 
range-finding lethality study. A variety of test methodologies may be 
used for this purpose, and the method chosen may influence subsequent 
dose selection. The goal is to use a dose level that is sufficient to be 
judged a limit dose, or clearly toxic.
    (i) Acute studies. The high dose need not be greater than 2 g/kg. 
Otherwise, the high dose should result in significant neurotoxic effects 
or other clearly toxic effects, but not result in an incidence of 
fatalities that would preclude a meaningful evaluation of the data. This 
dose may be estimated by a BD procedure as described under paragraph 
(e)(4) of this section, with the middle and low dose levels chosen as 
fractions of the BD dose. The lowest dose should produce minimal effect, 
e.g. an ED10, or alternatively, no effects.
    (ii) Subchronic and chronic studies. The high dose need not be 
greater than 1 g/kg. Otherwise, the high dose level should result in 
significant neurotoxic effects or other clearly toxic effects, but not 
produce an incidence of fatalities that would prevent a meaningful 
evaluation of the data. The middle and low doses should be fractions of 
the high dose. The lowest dose should produce minimal effects, e.g. an 
ED10, or alternatively, no effects.
    (5) Route of exposure. Selection of route may be based on several 
criteria including, the most likely route of human exposure, 
bioavailability, the likelihood of observing effects, practical 
difficulties, and the likelihood of producing nonspecific effects. For 
many materials, it should be recognized that more than one route of 
exposure may be important and that these criteria may conflict with one 
another. Initially only one route is required for screening for 
neurotoxicity. The route that best meets these criteria should

[[Page 449]]

be selected. Dietary feeding will generally be acceptable for repeated 
exposures studies.
    (6) Combined protocol. The tests described in this screening battery 
may be combined with any other toxicity study, as long as none of the 
requirements of either are violated by the combination.
    (7) Study conduct--(i) Time of testing. All animals shall be weighed 
on each test day and at least weekly during the exposure period.
    (A) Acute studies. At a minimum, for acute studies observations and 
activity testing shall be made before the initiation of exposure, at the 
estimated time of peak effect within 8 hrs of dosing, and at 7 and 14 
days after dosing. Estimation of times of peak effect may be made by 
dosing pairs of rats across a range of doses and making regular 
observations of gait and arousal.
    (B) Subchronic and chronic studies. In a subchronic study, at a 
minimum, observations and activity measurements shall be made before the 
initiation of exposure and before the daily exposure, or for feeding 
studies at the same time of day, during the 4th, 8th, and 13th weeks of 
exposure. In chronic studies, at a minimum, observations and activity 
measurements shall be made before the initiation of exposure and before 
the daily exposure, or for feeding studies at the same time of day, 
every 3 months.
    (ii) Functional observational battery--(A) General conduct. All 
animals in a given study shall be observed carefully by trained 
observers who are unaware of the animals' treatment, using standardized 
procedures to minimize observer variability. Where possible, it is 
advisable that the same observer be used to evaluate the animals in a 
given study. If this is not possible, some demonstration of 
interobserver reliability is required. The animals shall be removed from 
the home cage to a standard arena for observation. Effort should be made 
to ensure that variations in the test conditions are minimal and are not 
systematically related to treatment. Among the variables that can affect 
behavior are sound level, temperature, humidity, lighting, odors, time 
of day, and environmental distractions. Explicit, operationally defined 
scales for each measure of the battery are to be used. The development 
of objective quantitative measures of the observational end-points 
specified is encouraged. Examples of observational procedures using 
defined protocols may be found in the references under paragraphs 
(g)(5), (g)(6), and (g)(9) of this section. The functional observational 
battery shall include a thorough description of the subject's 
appearance, behavior, and functional integrity. This shall be assessed 
through observations in the home cage and while the rat is moving freely 
in an open field, and through manipulative tests. Testing should proceed 
from the least to the most interactive with the subject. Scoring 
criteria, or explicitly defined scales, should be developed for those 
measures which involve subjective ranking.
    (B) List of measures. The functional observational battery shall 
include the following list of measures:
    (1) Assessment of signs of autonomic function, including but not 
limited to:
    (i) Ranking of the degree of lacrimation and salivation, with a 
range of severity scores from none to severe.
    (ii) Presence or absence of piloerection and exophthalmus.
    (iii) Ranking or count of urination and defecation, including 
polyuria and diarrhea. This is most easily conducted during the open 
field assessment.
    (iv) Pupillary function such as constriction of the pupil in 
response to light or a measure of pupil size.
    (v) Degree of palpebral closure, e.g., ptosis.
    (2) Description, incidence, and severity of any convulsions, 
tremors, or abnormal motor movements, both in the home cage and the open 
field.
    (3) Ranking of the subject's reactivity to general stimuli such as 
removal from the cage or handling, with a range of severity scores from 
no reaction to hyperreactivity.
    (4) Ranking of the subject's general level of activity during 
observations of the unperturbed subject in the open field, with a range 
of severity scores from unresponsive to hyperactive.
    (5) Descriptions and incidence of posture and gait abnormalities 
observed in the home cage and open field.

[[Page 450]]

    (6) Ranking of any gait abnormalities, with a range of severity 
scores from none to severe.
    (7) Forelimb and hindlimb grip strength measured using an objective 
procedure (the procedure described in the reference under paragraph 
(g)(8) of this section may be used).
    (8) Quantitative measure of landing foot splay (the procedure 
described in the reference under paragraph (g)(3) of this section may be 
used).
    (9) Sensorimotor responses to stimuli of different modalities will 
be used to detect gross sensory deficits. Pain perception may be 
assessed by a ranking or measure of the reaction to a tail-pinch, tail-
flick, or hot-plate. The response to a sudden sound, e.g., click or 
snap, may be used to assess audition.
    (10) Body weight.
    (11) Description and incidence of any unusual or abnormal behaviors, 
excessive or repetitive actions (stereotypies), emaciation, dehydration, 
hypotonia or hypertonia, altered fur appearance, red or crusty deposits 
around the eyes, nose, or mouth, and any other observations that may 
facilitate interpretation of the data.
    (C) Additional measures. Other measures may also be included and the 
development and validation of new tests is encouraged. Further 
information on the neurobehavioral integrity of the subject may be 
provided by:
    (1) Count of rearing activity on the open field.
    (2) Ranking of righting ability.
    (3) Body temperature.
    (4) Excessive or spontaneous vocalizations.
    (5) Alterations in rate and ease of respiration, e.g., rales or 
dyspnea.
    (6) Sensorimotor responses to visual or proprioceptive stimuli.
    (iii) Motor activity. Motor activity shall be monitored by an 
automated activity recording apparatus. The device used must be capable 
of detecting both increases and decreases in activity, i.e., baseline 
activity as measured by the device must not be so low as to preclude 
detection of decreases nor so high as to preclude detection of increases 
in activity. Each device shall be tested by standard procedures to 
ensure, to the extent possible, reliability of operation across devices 
and across days for any one device. In addition, treatment groups must 
be balanced across devices. Each animal shall be tested individually. 
The test session shall be long enough for motor activity to approach 
asymptotic levels by the last 20% of the session for nontreated control 
animals. All sessions shall have the same duration. Treatment groups 
shall be counterbalanced across test times. Effort should be made to 
ensure that variations in the test conditions are minimal and are not 
systematically related to treatment. Among the variables which can 
affect motor activity are sound level, size and shape of the test cage, 
temperature, relative humidity, lighting conditions, odors, use of the 
home cage or a novel test cage, and environmental distractions.
    (iv) Neuropathology: Collection, processing and examination of 
tissue samples. To provide for adequate sampling as well as optimal 
preservation of cellular integrity for the detection of 
neuropathological alterations, tissue shall be prepared for histological 
analysis using in situ perfusion and paraffin and/or plastic embedding 
procedures. Paraffin embedding is acceptable for tissue samples from the 
central nervous system. Plastic embedding of tissue samples from the 
central nervous system is encouraged, when feasible. Plastic embedding 
is required for tissue samples from the peripheral nervous system. 
Subject to professional judgment and the type of neuropathological 
alterations observed, it is recommended that additional methods, such as 
glial fibrillary acidic protein (GFAP) immunohistochemistry and/or 
methods known as Bodian's or Bielchowsky's silver methods be used in 
conjunction with more standard stains to determine the lowest dose level 
at which neuropathological alterations are observed. When new or 
existing data provide evidence of structural alterations it is 
recommended that the GFAP immunoassay also be considered. A description 
of this technique can be found in the reference under paragraph (g)(10) 
of this section.
    (A) Fixation and processing of tissue. The nervous system shall be 
fixed by in situ perfusion with an appropriate

[[Page 451]]

aldehyde fixative. Any gross abnormalities should be noted. Tissue 
samples taken should adequately represent all major regions of the 
nervous system. The tissue samples should be postfixed and processed 
according to standardized published histological protocols (protocols 
described in the references under paragraphs (g)(1), (g)(2), or (g)(11) 
of this section may be used). Tissue blocks and slides should be 
appropriately identified when stored. Histological sections should be 
stained for hematoxylin and eosin (H&E), or a comparable stain according 
to standard published protocols (some of these protocols are described 
in the references under paragraphs (g)(1) and (g)(11) of this section).
    (B) Qualitative examination. Representative histological sections 
from the tissue samples should be examined microscopically by an 
appropriately trained pathologist for evidence of neuropathological 
alterations. The nervous system shall be thoroughly examined for 
evidence of any treatment-related neuropathological alterations. 
Particular attention should be paid to regions known to be sensitive to 
neurotoxic insult or those regions likely to be affected based on the 
results of functional tests. Such treatment-related neuropathological 
alterations should be clearly distinguished from artifacts resulting 
from influences other than exposure to the test substance. A stepwise 
examination of tissue samples is recommended. In such a stepwise 
examination, sections from the high dose group are first compared with 
those of the control group. If no neuropathological alterations are 
observed in samples from the high dose group, subsequent analysis is not 
required. If neuropathological alterations are observed in samples from 
the high dose group, samples from the intermediate and low dose groups 
are then examined sequentially.
    (C) Subjective diagnosis. If any evidence of neuropathological 
alterations is found in the qualitative examination, then a subjective 
diagnosis shall be performed for the purpose of evaluating dose-response 
relationships. All regions of the nervous system exhibiting any evidence 
of neuropathological changes should be included in this analysis. 
Sections from all dose groups from each region will be coded and 
examined in randomized order without knowledge of the code. The 
frequency of each type and severity of each lesion will be recorded. 
After all samples from all dose groups including all regions have been 
rated, the code will be broken and statistical analysis performed to 
evaluate dose-response relationships. For each type of dose-related 
lesion observed, examples of different degrees of severity should be 
described. Photomicrographs of typical examples of treatment-related 
regions are recommended to augment these descriptions. These examples 
will also serve to illustrate a rating scale, such as 1=, 2=, and 3= for 
the degree of severity ranging from very slight to very extensive.
    (f) Data reporting and evaluation. The final test report shall 
include the following information:
    (1) Description of equipment and test methods. A description of the 
general design of the experiment and any equipment used shall be 
provided. This shall include a short justification explaining any 
decisions involving professional judgment.
    (i) A detailed description of the procedures used to standardize 
observations, including the arena and scoring criteria.
    (ii) Positive control data from the laboratory performing the test 
that demonstrate the sensitivity of the procedures being used. 
Historical data may be used if all essential aspects of the experimental 
protocol are the same. Historical control data can be critical in the 
interpretation of study findings. The Agency encourages submission of 
such data to facilitate the rapid and complete review of the 
significance of effects seen.
    (2) Results. The following information shall be arranged by test 
group dose level.
    (i) In tabular form, data for each animal shall be provided showing:
    (A) Its identification number.
    (B) Its body weight and score on each sign at each observation time, 
the time and cause of death (if appropriate), total session activity 
counts, and intrasession subtotals for each day measured.

[[Page 452]]

    (ii) Summary data for each group must include:
    (A) The number of animals at the start of the test.
    (B) The number of animals showing each observation score at each 
observation time.
    (C) The mean and standard deviation for each continuous endpoint at 
each observation time.
    (D) Results of statistical analyses for each measure, where 
appropriate.
    (iii) All neuropathological observations shall be recorded and 
arranged by test groups. This data may be presented in the following 
recommended format:
    (A) Description of lesions for each animal. For each animal, data 
must be submitted showing its identification (animal number, sex, 
treatment, dose, and duration), a list of structures examined as well as 
the locations, nature, frequency, and severity of lesions. Inclusion of 
photomicrographs is strongly recommended for demonstrating typical 
examples of the type and severity of the neuropathological alterations 
observed. Any diagnoses derived from neurological signs and lesions 
including naturally occurring diseases or conditions, should be 
recorded.
    (B) Counts and incidence of neuropathological alterations by test 
group. Data should be tabulated to show:
    (1) The number of animals used in each group and the number of 
animals in which any lesion was found.
    (2) The number of animals affected by each different type of lesion, 
the locations, frequency, and average grade of each type of lesion.
    (3) Evaluation of data. The findings from the screening battery 
should be evaluated in the context of preceding and/or concurrent 
toxicity studies and any correlated functional and histopathological 
findings. The evaluation shall include the relationship between the 
doses of the test substance and the presence or absence, incidence and 
severity, of any neurotoxic effects. The evaluation shall include 
appropriate statistical analyses, for example, parametric tests for 
continuous data and nonparametric tests for the remainder. Choice of 
analyses should consider tests appropriate to the experimental design, 
including repeated measures. There may be many acceptable ways to 
analyze data.
    (g) References. For additional background information on this test 
guideline, the following references should be consulted. These 
references are available for inspection at the TSCA Nonconfidential 
Information Center, Rm. NE-B607, Environmental Protection Agency, 401 M 
St., SW., Washington, DC, 12 noon to 4 p.m., Monday through Friday, 
except legal holidays.
    (1) Bennet, H.S. et al. Science and art in the preparing tissues 
embedded in plastic for light microscopy, with special reference to 
glycol methacrylate, glass knives and simple stains. Stain Technology. 
51:71-97 (1976).
    (2) Di Sant Agnese, P.A. and De Mesy Jensen, K. Dibasic staining of 
large epoxy sections and application to surgical pathology. American 
Journal of Clinical Pathology. 81:25-29 (1984).
    (3) Edwards, P.M. and Parker, V.H. A simple, sensitive and objective 
method for early assessment of acrylamide neuropathy in rats. Toxicology 
and Applied Pharmacology. 40:589-591 (1977).
    (4) Finger, F.W. Ed. Myers, R.D. Measuring Behavioral Activity. Vol. 
2. Methods in Psychobiology (Academic, NY, 1972) pp.1-19.
    (5) Gad, S. A neuromuscular screen for use in industrial toxicology. 
Journal of Toxicology and Environmental Health. 9:691-704 (1982).
    (6) Irwin, S. Comprehensive observational assessment: Ia. A 
systematic quantitative procedure for assessing the behavioral 
physiological state of the mouse. Psychopharmacologia. 13:222-257 
(1968).
    (7) Kinnard, E.J. and Watzman, N. Techniques utilized in the 
evaluation of psychotropic drugs on animals activity. Journal of 
Pharmaceutical Sciences. 55:995-1012 (1966).
    (8) Meyer, O.A. et al. A method for the routine assessment of fore- 
and hindlimb grip strength of rats and mice. Neurobehavioral Toxicology. 
1:233-236 (1979).
    (9) Moser V.C. et al. Comparison of chlordimeform and carbaryl using 
a functional observational battery. Fundamental and Applied Toxicology. 
11:189-206 (1988).

[[Page 453]]

    (10) O'Callaghan, J.P. Quantification of glial fibrillary acidic 
protein: Comparison of slot-immunobinding assays with a novel sandwich 
ELISA. Neurotoxicology and Teratology. 13:275-281 (1991).
    (11) Pender, M.P. A simple method for high resolution light 
microscopy of nervous tissue. Journal of Neuroscience Methods. 15:213-
218 (1985).
    (12) Reiter, L.W. Use of activity measures in behavioral toxicology. 
Environmental Health Perspectives. 26:9-20 (1978).
    (13) Reiter, L.W. and MacPhail, R.C. Motor activity: A survey of 
methods with potential use in toxicity testing. Neurobehavorial 
Toxicology. 1--Supplement. 1:53-66 (1979).
    (14) Robbins, T.W. Eds. Iversen, L.L., Iverson, D.S., and Snyder, 
S.H. A critique of the methods available for the measurement of 
spontaneous motor activity. Vol 7. Handbook of Psychopharmacology 
(Plenum, NY, 1977) pp. 37-82.

[62 FR 43824, Aug. 15, 1997, as amended at 64 FR 35080, June 30, 1999]



Sec.  799.9630  TSCA developmental neurotoxicity.

    (a) Scope--(1) Applicability. This section is intended to meet the 
testing requirements under section 4 of the Toxic Substances Control Act 
(TSCA).
    (2) Source. The source material used in developing this TSCA test 
guideline is the OPPTS harmonized test guideline 870.6300 (August 1998).
    (b) Purpose. In the assessment and evaluation of the toxic 
characteristics of a chemical substance or mixture (test substance), 
determination of the potential for developmental neurotoxicity is 
important. This study is designed to develop data on the potential 
functional and morphological hazards to the nervous system which may 
arise in the offspring from exposure of the mother during pregnancy and 
lactation.
    (c) Principle of the test method. The test substance is administered 
to several groups of pregnant animals during gestation and early 
lactation, one dose level being used per group. Offspring are randomly 
selected from within litters for neurotoxicity evaluation. The 
evaluation includes observations to detect gross neurologic and 
behavioral abnormalities, determination of motor activity, response to 
auditory startle, assessment of learning, neuropathological evaluation, 
and brain weights. This protocol may be used as a separate study, as a 
followup to a standard developmental toxicity and/or adult neurotoxicity 
study, or as part of a two-generation reproduction study, with 
assessment of the offspring conducted on the second (F2) generation.
    (d) Test procedure--(1) Animal selection--(i) Species and strain. 
Testing must be performed in the rat. Because of its differences in 
timing of developmental events compared to strains that are more 
commonly tested in other developmental and reproductive toxicity 
studies, it is preferred that the Fischer 344 strain not be used. If a 
sponsor wishes to use the Fischer 344 rat or a mammalian species other 
than the rat, ample justification/reasoning for this selection must be 
provided.
    (ii) Age. Young adult (nulliparous females) animals must be used.
    (iii) Sex. Pregnant female animals must be used at each dose level.
    (iv) Number of animals. (A) The objective is for a sufficient number 
of pregnant rats to be exposed to the test substance to ensure that an 
adequate number of offspring are produced for neurotoxicity evaluation. 
At least 20 litters are recommended at each dose level.
    (B) On postnatal day 4, the size of each litter should be adjusted 
by eliminating extra pups by random selection to yield, as nearly as 
possible, four male and four females per litter. Whenever the number of 
pups of either sex prevents having four of each sex per litter, partial 
adjustment (for example, five males and three females) is permitted. 
Testing is not appropriate for litters of less than seven pups. 
Elimination of runts only is not appropriate. Individual pups should be 
identified uniquely after standardization of litters. A method that may 
be used for identification can be found under paragraph (f)(1) of this 
section.
    (v) Assignment of animals for behavioral tests, brain weights, and 
neuropathological evaluations. After standardization of litters, one 
male or

[[Page 454]]

one female from each litter (total of 10 males and 10 females per dose 
group) must be randomly assigned to one of the following tests: Motor 
activity, auditory startle, and learning and memory, in weanling and 
adult animals. On postnatal day 11, either 1 male or 1 female pup from 
each litter (total of 10 males and 10 females per dose group) must be 
sacrificed. Brain weights must be measured in all of these pups and, of 
these pups, six per sex per dose must be selected for neuropathological 
evaluation. At the termination of the study, either 1 male or 1 female 
from each litter (total of 10 males and 10 females per dose group) must 
be sacrificed and brain weights must be measured. An additional group of 
six animals per sex per dose group (one male or one female per litter) 
must be sacrificed at the termination of the study for neuropathological 
evaluation.
    (2) Control group. A concurrent control group is required. This 
group must be a sham-treated group or, if a vehicle is used in 
administering the test substance, a vehicle control group. The vehicle 
must neither be developmentally toxic nor have effects on reproduction. 
Animals in the control group must be handled in an identical manner to 
test group animals.
    (3) Dose levels and dose selection. (i) At least three dose levels 
of the test substance plus a control group (vehicle control, if a 
vehicle is used) must be used.
    (ii) If the test substance has been shown to be developmentally 
toxic either in a standard developmental toxicity study or in a pilot 
study, the highest dose level must be the maximum dose which will not 
induce in utero or neonatal death or malformations sufficient to 
preclude a meaningful evaluation of neurotoxicity.
    (iii) If a standard developmental toxicity study has not been 
conducted, the highest dose level, unless limited by the physicochemical 
nature or biological properties of the substance, must induce some overt 
maternal toxicity, but must not result in a reduction in weight gain 
exceeding 20 percent during gestation and lactation.
    (iv) The lowest dose should not produce any grossly observable 
evidence of either maternal or developmental neurotoxicity.
    (v) The intermediate doses must be equally spaced between the 
highest and lowest doses used.
    (4) Dosing period. Day 0 of gestation is the day on which a vaginal 
plug and/or sperm are observed. The dosing period must cover the period 
from day 6 of gestation through day 10 postnatally. Dosing should not 
occur on the day of parturition in those animals who have not completely 
delivered their offspring.
    (5) Administration of the test substance. The test substance or 
vehicle must be administered orally. Other routes of administration may 
be acceptable, on a case-by-case basis, with ample justification/
reasoning for this selection. The test substance or vehicle must be 
administered based on the most recent weight determination.
    (6) Observation of dams. (i) A gross examination of the dams must be 
made at least once each day before daily treatment.
    (ii) Ten dams per group must be observed outside the home cage at 
least twice during the gestational dosing period (days 6-21) and twice 
during the lactational dosing period (days 1-10) for signs of toxicity. 
The animals must be observed by trained technicians who are unaware of 
the animals' treatment, using standardized procedures to maximize 
interobserver reliability. Where possible, it is advisable that the same 
observer be used to evaluate the animals in a given study. If this is 
not possible, some demonstration of interobserver reliability is 
required.
    (iii) During the treatment and observation periods under paragraph 
(d)(6)(ii) of this section, observations must include:
    (A) Assessment of signs of autonomic function, including but not 
limited to:
    (1) Ranking of the degree of lacrimation and salivation, with a 
range of severity scores from none to severe.
    (2) Presence or absence of piloerection and exophthalmus.
    (3) Ranking or count of urination and defecation, including polyuria 
and diarrhea.

[[Page 455]]

    (4) Pupillary function such as constriction of the pupil in response 
to light or a measure of pupil size.
    (5) Degree of palpebral closure, e.g., ptosis.
    (B) Description, incidence, and severity of any convulsions, 
tremors, or abnormal movements.
    (C) Description and incidence of posture and gait abnormalities.
    (D) Description and incidence of any unusual or abnormal behaviors, 
excessive or repetitive actions (stereotypies), emaciation, dehydration, 
hypotonia or hypertonia, altered fur appearance, red or crusty deposits 
around the eyes, nose, or mouth, and any other observations that may 
facilitate interpretation of the data.
    (iv) Signs of toxicity must be recorded as they are observed, 
including the time of onset, degree, and duration.
    (v) Animals must be weighed at least weekly and on the day of 
delivery and postnatal days 11 and 21 (weaning) and such weights must be 
recorded.
    (vi) The day of delivery of litters must be recorded and considered 
as postnatal day 0.
    (7) Study conduct--(i) Observation of offspring. (A) All offspring 
must be examined cage-side at least daily for gross signs of mortality 
or morbidity.
    (B) A total of 10 male offspring and 10 female offspring per dose 
group must be examined outside the cage for signs of toxicity on days 4, 
11, 21, 35, 45, and 60. The offspring must be observed by trained 
technicians, who are unaware of the treatment being used, using 
standardized procedures to maximize interobserver reliability. Where 
possible, it is advisable that the same observer be used to evaluate the 
animals in a given study. If this is not possible, some demonstration of 
interobserver reliability is required. At a minimum, the end points 
outlined in paragraph (d)(6)(iii) of this section must be monitored as 
appropriate for the developmental stage being observed.
    (C) Any gross signs of toxicity in the offspring must be recorded as 
they are observed, including the time of onset, degree, and duration.
    (ii) Developmental landmarks. Live pups must be counted and each pup 
within a litter must be weighed individually at birth or soon 
thereafter, and on postnatal days 4, 11, 17, and 21 and at least once 
every 2 weeks thereafter. The age of vaginal opening and preputial 
separation must be determined. General procedures for these 
determinations may be found in paragraphs (f)(1) and (f)(11) of this 
section.
    (iii) Motor activity. Motor activity must be monitored specifically 
on postnatal days 13, 17, 21, and 60 (+2 days). Motor activity must be 
monitored by an automated activity recording apparatus. The device must 
be capable of detecting both increases and decreases in activity, (i.e., 
baseline activity as measured by the device must not be so low as to 
preclude detection of decreases nor so high as to preclude detection of 
increases in activity). Each device must be tested by standard 
procedures to ensure, to the extent possible, reliability of operation 
across devices and across days for any one device. In addition, 
treatment groups must be balanced across devices. Each animal must be 
tested individually. The test session must be long enough for motor 
activity to approach asymptotic levels by the last 20 percent of the 
session for nontreated control animals. All sessions must have the same 
duration. Treatment groups must be counter-balanced across test times. 
Activity counts must be collected in equal time periods of no greater 
than 10 minutes duration. Efforts must be made to ensure that variations 
in the test conditions are minimal and are not systematically related to 
treatment. Among the variables that can affect motor activity are sound 
level, size and shape of the test cage, temperature, relative humidity, 
light conditions, odors, use of home cage or novel test cage, and 
environmental distractions. Additional information on the conduct of a 
motor activity study may be obtained in Sec.  799.9620.
    (iv) Auditory startle test. An auditory startle habituation test 
should be performed on the offspring around the time of weaning and 
around day 60. Day of testing should be counterbalanced across treated 
and control groups. Details on the conduct of this testing may be 
obtained under paragraph (f)(1) of this section. In performing the 
auditory startle task, the mean response amplitude on each

[[Page 456]]

block of 10 trials (5 blocks of 10 trials per session on each day of 
testing) must be made. While use of prepulse inhibition is not a 
requirement, it is highly recommended. Details on the conduct of this 
test may be obtained in paragraph (f)(10) of this section.
    (v) Learning and memory tests. A test of associative learning and 
memory should be conducted around the time of weaning and around day 60. 
Day of testing should be counterbalanced across treated and control 
groups. The same or separate tests may be used at these two stages of 
development. Some flexibility is allowed in the choice of tests for 
learning and memory in weanling and adult rats. However, the tests must 
be designed to fulfill two criteria. First, learning must be assessed 
either as a change across several repeated learning trials or sessions, 
or, in tests involving a single trial, with reference to a condition 
that controls for nonassociative effects of the training experience. 
Second, the tests must include some measure of memory (short-term or 
long-term) in addition to original learning (acquisition). If the tests 
of learning and memory reveal an effect of the test compound, it may be 
in the best interest of the sponsor to conduct additional tests to rule 
out alternative interpretations based on alterations in sensory, 
motivational, and/or motor capacities. In addition to the above two 
criteria, it is recommended that the test of learning and memory be 
chosen on the basis of its demonstrated sensitivity to the class of 
compound under investigation, if such information is available in the 
literature. In the absence of such information, examples of tests that 
could be made to meet the above criteria include: Delayed-matching-to-
position, as described for the adult rat (see paragraph (f)(3) of this 
section) and for the infant rat (see paragraph (f)(9) of this section); 
olfactory conditioning, as described in paragraph (f)(13) of this 
section; and acquisition and retention of schedule-controlled behavior 
(see paragraphs (f)(4) and (f)(5) of this section). Additional tests for 
weanling rats are described under paragraphs (f)(20) and (f)(12) of this 
section, and for adult rats under paragraph (f)(16) of this section.
    (vi) Neuropathology. Neuropathological evaluation must be conducted 
on animals on postnatal day 11 and at the termination of the study. At 
11 days of age, one male or female pup must be removed from each litter 
such that equal numbers of male and female offspring are removed from 
all litters combined. Of these, six male and six female pups per dose 
group will be sacrificed for neuropathological analysis. The pups will 
be sacrificed by exposure to carbon dioxide and immediately thereafter 
the brains should be removed, weighed, and immersion-fixed in an 
appropriate aldehyde fixative. The remaining animals will be sacrificed 
in a similar manner and immediately thereafter their brains removed and 
weighed. At the termination of the study, one male or one female from 
each litter will be sacrificed by exposure to carbon dioxide and 
immediately thereafter the brain must be removed and weighed. In 
addition, six animals per sex per dose group (one male or female per 
litter) must be sacrificed at the termination of the study for 
neuropathological evaluation. Neuropathological analysis of animals 
sacrificed at the termination of the study must be performed in 
accordance with Sec.  799.9620. Neuropathological evaluation of animals 
sacrificed on postnatal day 11 and at termination of the study must 
include a qualitative analysis and semiquantitative analysis as well as 
simple morphometrics.
    (A) Fixation and processing of tissue samples for postnatal day 11 
animals. Immediately following removal, the brain must be weighed and 
immersion fixed in an appropriate aldehyde fixative. The brains must be 
postfixed and processed according to standardized published histological 
protocols such as those discussed in references listed under paragraphs 
(f)(6), (f)(14), (f)(17), and (f)(21) of this section. Paraffin 
embedding is acceptable but plastic embedding is preferred and 
recommended. Tissue blocks and slides must be appropriately identified 
when stored. Histological sections must be stained for hematoxylin and 
eosin, or a similar stain according to standard published protocols such 
as those discussed in references listed under paragraphs (f)(2), 
(f)(18), and (f)(23) of this section. For

[[Page 457]]

animals sacrificed at the termination of the study, methods for fixation 
and processing of tissue samples are provided in Sec.  
799.9620(e)(7)(iv)(A).
    (B) Qualitative analysis. The purposes of the qualitative 
examination are threefold--to identify regions within the nervous system 
exhibiting evidence of neuropathological alterations, to identify types 
of neuropathological alterations resulting from exposure to the test 
substance, and to determine the range of severity of the 
neuropathological alterations. Representative histological sections from 
the tissue samples should be examined microscopically by an 
appropriately trained pathologist for evidence of neuropathological 
alterations. The following stepwise procedure is recommended for the 
qualitative analysis. First, sections from the high dose group are 
compared with those of the control group. If no evidence of 
neuropathological alterations is found in animals of the high dose 
group, no further analysis is required. If evidence of neuropathological 
alterations are found in the high dose group, then animals from the 
intermediate and low dose group are examined. Subject to professional 
judgment and the kind of neuropathological alterations observed, it is 
recommended that additional methods such as Bodian's or Bielchowsky's 
silver methods and/or immunohistochemistry for glial fibrillary acid 
protein be used in conjunction with more standard stains to determine 
the lowest dose level at which neuropathological alterations are 
observed. Evaluations of postnatal day 11 pups is described in 
paragraphs (d)(7)(vi)(B)(1) and (d)(7)(vi)(B)(2) of this section. For 
animals sacrificed at the termination of the study, the regions to be 
examined and the types of alterations that must be assessed are 
identified in Sec.  799.9620(e)(7)(iv)(B).
    (1) Regions to be examined. The brains should be examined for any 
evidence of treatment-related neuropathological alterations and adequate 
samples should be taken from all major brain regions (e.g., olfactory 
bulbs, cerebral cortex, hippocampus, basal ganglia, thalamus, 
hypothalamus, midbrain (tectum, tegmentum, and cerebral peduncles), 
brainstem and cerebellum) to ensure a thorough examination.
    (2) Types of alterations. Guidance for neuropathological examination 
for indications of developmental insult to the brain can be found in 
paragraphs (f)(8) and (f)(22) of this section. In addition to more 
typical kinds of cellular alterations (e.g., neuronal vacuolation, 
degeneration, necrosis) and tissue changes (e.g., astrocytic 
proliferation, leukocytic infiltration, and cystic formation) particular 
emphasis should be paid to structural changes indicative of 
developmental insult including but not restricted to:
    (i) Gross changes in the size or shape of brain regions such as 
alterations in the size of the cerebral hemispheres or the normal 
pattern of foliation of the cerebellum.
    (ii) The death of neuronal precursors, abnormal proliferation, or 
abnormal migration, as indicated by pyknotic cells or ectopic neurons, 
or gross alterations in regions with active proliferative and migratory 
zones, alterations in transient developmental structures (e.g., the 
external germinal zone of the cerebellum, see paragraph (f)(15) of this 
section).
    (iii) Abnormal differentiation, while more apparent with special 
stains, may also be indicated by shrunken and malformed cell bodies.
    (iv) Evidence of hydrocephalus, in particular enlargement of the 
ventricles, stenosis of the cerebral aqueduct and general thinning of 
the cerebral hemispheres.
    (C) Subjective diagnosis. If any evidence of neuropathological 
alterations is found in the qualitative examination, then a subjective 
diagnosis will be performed for the purpose of evaluating dose-response 
relationships. All regions of the brain exhibiting any evidence of 
neuropathological changes must be included in this analysis. Sections of 
each region from all dose groups will be coded as to treatment and 
examined in randomized order. The frequency of each type and the 
severity of each lesion will be recorded. After all sections from all 
dose groups including all regions have been rated, the code will be 
broken and statistical analyses performed to evaluate dose-response 
relationships. For each type of dose related

[[Page 458]]

lesion observed, examples of different ranges of severity must be 
described. The examples will serve to illustrate a rating scale, such as 
1+, 2+, and 3+ for the degree of severity ranging from very slight to 
very extensive.
    (D) Simple morphometric analysis. Since the disruption of 
developmental processes is sometimes more clearly reflected in the rate 
or extent of growth of particular brain regions, some form of 
morphometric analysis must be performed on postnatal day 11 and at the 
termination of the study to assess the structural development of the 
brain. At a minimum, this would consist of a reliable estimate of the 
thickness of major layers at representative locations within the 
neocortex, hippocampus, and cerebellum. For guidance on such 
measurements see Rodier and Gramann under paragraph (f)(19) of this 
section.
    (e) Data collection, reporting, and evaluation. The following 
specific information must be reported:
    (1) Description of test system and test methods. A description of 
the general design of the experiment should be provided. This must 
include:
    (i) A detailed description of the procedures used to standardize 
observations and procedures as well as operational definitions for 
scoring observations.
    (ii) Positive control data from the laboratory performing the test 
that demonstrate the sensitivity of the procedures being used. These 
data do not have to be from studies using prenatal exposures. However, 
the laboratory must demonstrate competence in evaluation of effects in 
neonatal animals perinatally exposed to chemicals and establish test 
norms for the appropriate age group.
    (iii) Procedures for calibrating and ensuring the equivalence of 
devices and the balancing of treatment groups in testing procedures.
    (iv) A short justification explaining any decisions involving 
professional judgement.
    (2) Results. The following information must be arranged by each 
treatment and control group:
    (i) In tabular form, data for each animal must be provided showing:
    (A) Its identification number and the litter from which it came.
    (B) Its body weight and score on each developmental landmark at each 
observation time.
    (C) Total session activity counts and intrasession subtotals on each 
day measured.
    (D) Auditory startle response amplitude per session and intrasession 
amplitudes on each day measured.
    (E) Appropriate data for each repeated trial (or session) showing 
acquisition and retention scores on the tests of learning and memory on 
each day measured.
    (F) Time and cause of death (if appropriate); any neurological signs 
observed; a list of structures examined as well as the locations, 
nature, frequency, and extent of lesions; and brain weights.
    (ii) The following data should also be provided, as appropriate:
    (A) Inclusion of photomicrographs demonstrating typical examples of 
the type and extent of the neuropathological alterations observed is 
recommended.
    (B) Any diagnoses derived from neurological signs and lesions, 
including naturally occurring diseases or conditions, should also be 
recorded.
    (iii) Summary data for each treatment and control group must 
include:
    (A) The number of animals at the start of the test.
    (B) The body weight of the dams during gestation and lactation.
    (C) Litter size and mean weight at birth.
    (D) The number of animals showing each abnormal sign at each 
observation time.
    (E) The percentage of animals showing each abnormal sign at each 
observation time.
    (F) The mean and standard deviation for each continuous endpoint at 
each observation time. These will include body weight, motor activity 
counts, auditory startle responses, performance in learning and memory 
tests, regional brain weights and whole brain weights (both absolute and 
relative).
    (G) The number of animals in which any lesion was found.

[[Page 459]]

    (H) The number of animals affected by each different type of lesion, 
the location, frequency and average grade of each type of lesion for 
each animal.
    (I) The values of all morphometric measurements made for each animal 
listed by treatment group.
    (3) Evaluation of data. An evaluation of test results must be made. 
The evaluation must include the relationship between the doses of the 
test substance and the presence or absence, incidence, and extent of any 
neurotoxic effect. The evaluation must include appropriate statistical 
analyses. The choice of analyses must consider tests appropriate to the 
experimental design and needed adjustments for multiple comparisons. The 
evaluation must include the relationship, if any, between observed 
neuropathological and behavioral alterations.
    (f) References. For additional background information on this test 
guideline, the following references should be consulted. These 
references are available for inspection at the TSCA Nonconfidential 
Information Center, Rm. NE-B607, Environmental Protection Agency, 401 M 
St., SW., Washington, DC, 12 noon to 4 p.m., Monday through Friday, 
except legal holidays.
    (1) Adams, J., Buelke-Sam, J., Kimmel, C.A., Nelson, C.J., Reiter, 
L.W., Sobotka, T.J., Tilson, H.A., and Nelson, B.K. Collaborative 
behavioral teratolgy study: Protocol design and testing 
procedures.Neurobehavioral Toxicology and Teratology 7:579-586 (1985).
    (2) Bennett, H.S., Wyrick, A.D., Lee, S.W., and McNeil, J.H. Science 
and art in preparing tissues embedded in plastic for light microscopy, 
with special reference to glycol methacrylate, glass knives and simple 
stains. Stain Technology 51:71-97 (1976).
    (3) Bushnell, P.J. Effects of delay, intertrial interval, delay 
behavior and trimethyltin on spatial delayed response in rats. 
Neurotoxicology and Teratology 10:237-244 (1988).
    (4) Campbell, B.A. and Haroutunian, V. Effects of age on long-term 
memory: Retention of fixed interval responding. Journal of Gerontology 
36:338-341 (1981).
    (5) Cory-Slechta, D.A., Weiss, B., and Cox, C. Delayed behavioral 
toxicity of lead with increasing exposure concentration. Toxicology and 
Applied Pharmacology 71:342-352 (1983).
    (6) Di Sant Agnese, P. A. and De Mesy Jensen, K.L. Dibasic staining 
of large epoxy tissue sections and application to surgical pathology. 
American Journal of Clinical Pathology 81:25-29 (1984).
    (7) U.S. Environmental Protection Agency. Neurotoxicity Screening 
Battery. In: Pesticide Assessment Guidelines, Subdivision F, Addendum 
10. EPA 540/09-91-123. NTIS PB 91-154617 (1991).
    (8) Friede, R. L. Developmental Neuropathology. Springer-Verlag, New 
York. pp. 1-23, 297-313, 326-351 (1975).
    (9) Green, R.J. and Stanton, M.E. Differential ontogeny of working 
memory and reference memory in the rat. Behavioral Neuroscience 103:98-
105 (1989).
    (10) Ison, J.R. Reflex modification as an objective test for sensory 
processing following toxicant exposure. Neurobehavioral Toxicology and 
Teratology 6:437-445 (1984).
    (11) Korenbrot, C.C., Huhtaniemi, I.T., and Weiner, R.I. Preputial 
separation as an external sign of pubertal development in the male rat. 
Biology of Reproduction 17:298-303 (1977).
    (12) Krasnegor, N.A., Blass, E.M., Hofer, M.A., and Smotherman, W.P. 
(eds.) Perinatal Development: A Psychobiological Perspective. Academic 
Press, Orlando. pp.11-37, 145-167. (1987).
    (13) Kucharski, D. and Spear, N.E. Conditioning of aversion to an 
odor paired with peripheral shock in the developing rat. Developmental 
Psychobiology 17:465-479 (1984).
    (14) Luna, L. G. (editor). Manual of Histologic Staining Methods of 
the Armed Forces Institute of Pathology. (Third Edition). McGraw-Hill, 
New York. pp. 1-31 (1968).
    (15) Miale, I. L. and Sidman, R.L. An autoradiographic analysis of 
histogenesis in the mouse cerebellum. Experimental Neurology. 4:277-296 
(1961).
    (16) Miller, D.B. and Eckerman, D.A. Learning and memory measures. 
In: Neurobehavioral Toxicology, Z. Annau (ed). Johns Hopkins University 
Press, Baltimore. pp. 94-149 (1986).
    (17) Pender, M.P. A simple method for high resolution light 
microscopy of nervous tissue. Journal of Neuroscience Methods. 15:213-
218 (1985).

[[Page 460]]

    (18) Ralis, H.M., Beesley, R.A., and Ralis, Z.A. Techniques in 
Neurohistology. Butterworths, London. pp. 57-145 (1973).
    (19) Rodier, P.M. and Gramann, W.J. Morphologic effects of 
interference with cell proliferation in the early fetal period. 
Neurobehavioral Toxicology 1:129-135 (1979).
    (20) Spear, N.E. and Campbell, B.A. (eds.) Ontogeny of Learning and 
Memory. Erlbaum, New Jersey. pp. 101-133, 157-224 (1979).
    (21) Spencer, P.S., Bischoff, M.C., and Schaumburg, H.H. 
Neuropathological methods for the detection of neurotoxic disease. In: 
Experimental and Clinical Neurotoxicology. Spencer, P.S. and Schaumburg, 
H.H. (eds.). Williams and Wilkins, Baltimore. pp. 743-757 (1980).
    (22) Suzuki, K. Special vulnerabilities of the developing nervous 
system to toxic substances. In: Experimental and Clinical 
Neurotoxicology. Spencer, P.S. and Schaumburg, H.H. (eds.). Williams and 
Wilkins, Baltimore. pp. 48-61 (1980). (23) Luna, L.G. (ed.). Manual of 
Histologic Staining Methods of the Armed Forces Institute of Pathology. 
(Third Edition). McGraw-Hill, New York. pp. 32-46 (1968).

[65 FR 78811, Dec. 15, 2000]



Sec.  799.9748  TSCA metabolism and pharmacokinetics

    (a) Scope. (1) This section is intended to meet the testing 
requirements under section 4 of the Toxic Substances Control Act (TSCA). 
(1) Testing of the disposition of a test substance is designed to obtain 
adequate information on its absorption, distribution, biotransformation, 
and excretion and to aid in understanding the mechanism of toxicity. 
Basic pharmacokinetic parameters determined from these studies will also 
provide information on the potential for accumulation of the test 
substance in tissues and/or organs and the potential for induction of 
biotransformation as a result of exposure to the test substance. These 
data can be used to assess the adequacy and relevance of the 
extrapolation of animal toxicity data (particularly chronic toxicity 
and/or carcinogenicity data) to human risk assessment.
    (2) Metabolism data can also be used to assist in determining 
whether animal toxicity studies have adequately addressed any toxicity 
concerns arising from exposure to plant metabolites, and in the setting 
of tolerances, if any, for those metabolites in raw agricultural 
commodities.
    (b) Source. The source material used in developing this TSCA test 
guideline is the Office of Prevention, Pesticides and Toxic Substances 
(OPPTS) harmonized test guideline 870.7485 (August 1998, final 
guideline). This source is available at the address in paragraph (h) of 
this section.
    (c) Definitions. The following definitions apply to this section.
    Metabolism (biotransformation) is the sum of the processes by which 
a foreign chemical is subjected to chemical change by living organisms.
    LOEL is the lowest observable effects level.
    NOEL is the no observable effects level.
    Pharmacokinetics is the quantitation and determination of the time 
course and dose dependency of the absorption, distribution, 
biotransformation, and excretion of chemicals.
    (d) Good laboratory practice standards. The pharmacokinetics and 
metabolism tests outlined in this guideline must conform to the 
laboratory practices stipulated in 40 CFR Part 792--Good Laboratory 
Practice Standards.
    (e) Test Procedures. Test procedures presented below utilize a tier 
system to minimize the use of resources and to allow flexibility in the 
conduct of metabolism studies. The proposed tier system consists of a 
basic data set (Tier 1) and additional studies (Tier 2). These 
additional studies may be requested based upon the existing toxicology 
data base and/or the results of Tier 1 testing which are found to impact 
upon the risk assessment process. For Tier 1 testing, the oral route 
will typically be required; however, if the use pattern results in other 
types of exposure, other routes (dermal and/or inhalation) may be 
required for initial testing of the disposition of a chemical substance. 
The registrant should justify the route of exposure to the Agency. 
Complete descriptions of the test procedures for these other routes of 
exposure can be found in paragraph (i) of

[[Page 461]]

this section. Except in unusual circumstances, the tiered approach to 
metabolism testing should apply to all listed routes of exposure.
    (1) Pilot studies. The use of pilot studies is recommended and 
encouraged for the selection of experimental conditions for the 
pharmacokinetics and metabolism studies (mass balance, analytical 
procedures, dose-finding, excretion of CO2, etc.).
    (2) Animal selection--(i) Species. The rat must normally be used for 
testing because it has been used extensively for metabolic and 
toxicological studies. The use of other or additional species may be 
required if critical toxicology studies demonstrate evidence of 
significant toxicity in these species or if metabolism is shown to be 
more relevant to humans in the test species.
    (ii) Strain. Adult animals of the strain used or proposed to be used 
for the determination of adverse health effects associated with the test 
substance.
    (3) Material to be tested--(i) Test substance. (A) A radiolabeled 
test substance using \14\C should be used for all material balance and 
metabolite identification aspects of the study. Other radioactive and 
stable isotopes may be used, particularly if the element is responsible 
for or is a part of the toxic portion of the compound. If it can be 
demonstrated that the material balance and metabolite identification 
requirements can be met using unlabeled test substance, then 
radiolabeled compound need not be used. If possible, the radiolabel 
should be located in a core portion of the molecule which is 
metabolically stable (it is not exchangeable, is not removed 
metabolically as CO2, and does not become part of the one-
carbon pool of the organism). Labeling of multiple sites of the molecule 
may be necessary to follow the metabolic fate of the compound.
    (B) The label should follow the test compound and/or its major 
metabolites until excreted. The radiopurity of the radioactive test 
substance shall be the highest attainable for a particular test 
substance (ideally it should be greater than 95%) and reasonable effort 
should be made to identify impurities present at or above 2%. The 
purity, along with the identity of major impurities which have been 
identified, shall be reported. For other segments of the study, 
nonradioactive test substance may be used if it can be demonstrated that 
the analytical specificity and sensitivity of the method used with 
nonradioactive test substance is equal to or greater than that which 
could be obtained with the radiolabeled test substance. The radioactive 
and nonradioactive test substances shall be analyzed using an 
appropriate method to establish purity and identity. Additional guidance 
will be provided in chemical specific test rules to assist in the 
definition and specifications of test substances composed of mixtures 
and methods for determination of purity.
    (ii) Administration of test substance. Test substance should be 
dissolved or suspended homogeneously in a vehicle usually employed for 
acute administration. A rationale for the choice of vehicle should be 
provided. The customary method of administration will be by oral gavage; 
however, administration by gelatin capsule or as a dietary mixture may 
be advantageous in specific situations. Verification of the actual dose 
administered to each animal should be provided.
    (4) Tier testing. (i) The multiplicity of metabolic parameters that 
impact the outcome of toxicological evaluations preclude the use of a 
universal study design for routine toxicological evaluation of a test 
substance. The usefulness of a particular study design depends upon the 
biological activity of a compound and circumstances of exposure. For 
these reasons, a tiered system is proposed for evaluation of the 
metabolism/kinetic properties of a test substance.
    (ii) The first tier data set is a definitive study by the 
appropriate route of exposure conducted in male rats to determine the 
routes and rate of excretion and to identify excreted metabolites. First 
tier data will also provide basic information for additional testing 
(Tier 2) if such testing is considered necessary. In the majority of 
cases, Tier 1 data are expected to satisfy regulatory requirements for 
biotransformation and pharmacokinetic data on test chemicals.

[[Page 462]]

    (iii) Second tier testing describes a variety of metabolism/kinetic 
experiments which address specific questions based on the existing 
toxicology data base and/or those results of Tier 1 testing impacting 
significantly on the risk assessment process. For conduct of these 
studies, individualized protocols may be necessary. Protocols for these 
studies, if required, can be developed as a cooperative effort between 
Agency and industry scientists.
    (f) Tier 1 data requirements (minimum data set). At this initial 
level of testing, biotransformation and pharmacokinetic data from a 
single low dose group will be required. This study will determine the 
rate and routes of excretion and the type of metabolites generated.
    (1) Number and sex of animals. A minimum of four male young adult 
animals must be used for Tier 1 testing. The use of both sexes may be 
required in cases where there is evidence to support significant sex-
related differences in toxicity.
    (2) Dose selection. (i) A single dose is required for each route of 
exposure. The dose should be nontoxic, but high enough to allow for 
metabolite identification in excreta. If no other toxicity data are 
available for selection of the low dose, a dose identified as a fraction 
of the LD50 (as determined from acute toxicity studies) may 
be used. The magnitude of the dose used in Tier 1 studies should be 
justified in the final report.
    (ii) For test substances of low toxicity a maximum dose of 1,000 mg/
kg should be used; chemical-specific considerations may necessitate a 
higher maximum dose and will be addressed in specific test rules.
    (3) Measurements--(i) Excretion. (A) Data obtained from this section 
(percent recovery of administered dose from urine, feces, and expired 
air) will be used to determine the rate and extent of excretion of test 
chemical, to assist in establishing mass balance, and will be used in 
conjunction with pharmacokinetic parameters to determine the extent of 
absorption. The quantities of radioactivity eliminated in the urine, 
feces, and expired air shall be determined separately at appropriate 
time intervals.
    (B) If a pilot study has shown that no significant amount of 
radioactivity is excreted in expired air, then expired air need not be 
collected in the definitive study.
    (C) Each animal must be placed in a separate metabolic unit for 
collection of excreta (urine, feces and expired air). At the end of each 
collection period, the metabolic units must be rinsed with appropriate 
solvent to ensure maximum recovery of radiolabel. Excreta collection 
must be terminated at 7 days, or after at least 90% of the administered 
dose has been recovered, whichever occurs first. The total quantities of 
radioactivity in urine must be determined at 6, 12, and 24 hours on day 
1 of collection, and daily thereafter until study termination, unless 
pilot studies suggest alternate or additional time points for 
collection. The total quantities of radioactivity in feces should be 
determined on a daily basis beginning at 24 hours post-dose, and daily 
thereafter until study termination. The collection of CO2 and 
other volatile materials may be discontinued when less than 1% of the 
administered dose is found in the exhaled air during a 24-hour 
collection period.
    (ii) Tissue distribution. At the termination of the Tier 1 study, 
the following tissues should be collected and stored frozen: Liver, fat, 
gastrointestinal tract, kidney, spleen, whole blood, and residual 
carcass. If it is determined that a significant amount of the 
administered dose is unaccounted for in the excreta, then data on the 
percent of the total (free and bound) radioactive dose in these tissues 
as well as residual carcass will be requested. Additional tissues must 
be included if there is evidence of target organ toxicity from 
subchronic or chronic toxicity studies. For other routes of exposure, 
specific tissues may also be required, such as lungs in inhalation 
studies and skin in dermal studies. Certain techniques currently at 
various stages of development, e.g., quantitative whole-body 
autoradiography, may prove useful in determining if a test substance 
concentrates in certain organs or in determining a specific pattern of 
distribution within a given tissue. The use of such techniques is 
encouraged, but not

[[Page 463]]

required, and may be employed to limit the number of tissues collected 
to those shown to contain a measurable amount of radioactivity.
    (iii) Metabolism. Excreta must be collected for identification and 
quantitation of unchanged test substance and metabolites as described in 
paragraph (f)(3)(i) of this section. Pooling of excreta to facilitate 
metabolite identification within a given dose group is acceptable. 
Profiling of metabolites from each time period is recommended. However, 
if lack of sample and/or radioactivity precludes this, pooling of urine 
as well as pooling of feces across several time points is acceptable. 
Appropriate qualitative and quantitative methods must be used to assay 
urine, feces, and expired air from treated animals. Reasonable efforts 
should be made to identify all metabolites present at 5% or greater of 
the administered dose and to provide a metabolic scheme for the test 
chemical. Compounds which have been characterized in excreta as 
comprising 5% or greater of the administered dose should be identified. 
If identification at this level is not possible, a justification/
explanation should be provided in the final report. Identification of 
metabolites representing less than 5% of the administered dose might be 
requested if such data are needed for risk assessment of the test 
chemical. Structural confirmation should be provided whenever possible. 
Validation of the methods used in metabolite identification should be 
included.
    (g) Tier 2 data requirements. Studies at the Tier 2 level are 
designed to answer questions about the disposition of test chemicals 
based on the existing toxicology data base and/or results of Tier 1 
testing which may have a significant impact on the risk assessment for 
the test chemical. Such studies may address questions regarding 
absorption, persistence, or distribution of the test chemical, or a 
definitive alteration in the metabolic profile occurring with dose which 
may be of toxicological concern. At the Tier 2 level, only those studies 
which address a specific concern are required, and if required must be 
conducted according to mutual agreement between the registrant and the 
Agency. Flexibility will be allowed in the design of specific 
experiments as warranted by technological advances in this field.
    (1) Absorption. (i) If the extent of absorption cannot be 
established from Tier 1 studies, or where greater than 20% of the 
administered dose is present in feces, a study to determine the extent 
of absorption will be required. This can be accomplished either through 
intravenous administration of test material and measurement of 
radioactivity in excreta or after oral administration of test material 
and measurement of radioactivity in bile.
    (ii) For the intravenous study, a single dose (not to exceed the 
oral dose used in Tier 1) of test chemical using an appropriate vehicle 
should be administered in a suitable volume (e.g., 1 mL/kg) at a 
suitable site to at least three male rats (both sexes might be used if 
warranted). The disposition of the test chemical should be monitored for 
oral dosing as outlined in paragraph (f)(3)(i) of this section. 
Metabolite identification will not be required for this study.
    (iii) If a biliary excretion study is chosen the oral route of 
administration may be requested. In this study, the bile ducts of at 
least three male rats (or of both sexes, if warranted) should be 
appropriately cannulated and a single dose of the test chemical should 
be administered to these rats. Following administration of the test 
chemical, excretion of radioactivity in bile should be monitored as long 
as necessary to determine if a significant percentage of the 
administered dose is excreted via this route.
    (2) Tissue distribution time course. (i) A time course of tissue 
distribution in selected tissues may be required to aid in the 
determination of a possible mode of toxic action. This concern may arise 
from evidence of extended half-life or possible accumulation of 
radioactivity in specific tissues. The selection of tissues for this 
type of study will be based upon available evidence of target organ 
toxicity and/or carcinogenicity, and the number of time points required 
will be based upon pharmacokinetic information obtained from Tier 1 
data. Flexibility will be allowed in the selection of time points to be 
studied.

[[Page 464]]

    (ii) For this type of study, three rats per time point will be 
administered an appropriate oral dose of test chemical, and the time 
course of distribution monitored in selected tissues. Only one sex may 
be required, unless target organ toxicity is observed in sex-specific 
organs. Assessment of tissue distribution will be made using appropriate 
techniques for assessment of total amount distributed to tissue and for 
assessment of metabolite distribution.
    (3) Plasma kinetics. The purpose of this experiment is to obtain 
estimates of basic pharmacokinetic parameters (half-life, volume of 
distribution, absorption rate constant, area under the curve) for the 
test substance. Kinetic data may be required if the data can be used to 
resolve issues about bioavailability and to clarify whether clearance is 
saturated in a dose-dependent fashion. For this experiment a minimum of 
three rats per group is required. At least two doses will be required, 
usually the NOEL and LOEL from the critical toxicology study. Following 
administration of test substance, samples should be obtained from each 
animal at suitable time points appropriate sampling methodology. Total 
radioactivity present (or total amount of chemical, for nonradioactive 
materials) should be analyzed in whole blood and plasma using 
appropriate methods, and the blood/plasma ratio should be calculated.
    (4) Induction. (i) Studies addressing possible induction of 
biotransformation may be requested under one or more of the following 
conditions:
    (A) Available evidence indicates a relationship between induced 
metabolism and enhanced toxicity.
    (B) The available toxicity data indicate a nonlinear relationship 
between dose and metabolism.
    (C) The results of Tier 1 metabolite identification studies show 
identification of a potentially toxic metabolite.
    (D) Induction can plausibly be invoked as a factor in such effects 
where status may depend on the level of inducible enzymes present. 
Several in vivo and in vitro methods are available for assessment of 
enzyme induction, and the experiments which best address the issue at 
hand can be determined between Agency and industry scientists. If 
induction is demonstrated, the relationship of this phenomenon to 
toxicity observed from subchronic and/or chronic toxicity studies will 
need to be addressed.
    (ii) [Reserved]
    (iii) If toxicologically significant alterations in the metabolic 
profile of the test chemical are observed through either in vitro or in 
vivo experiments, characterization of the enzyme(s) involved (for 
example, Phase I enzymes such as isozymes of the Cytochrome P450-
dependent mono-oxygenase system, Phase II enzymes such as isozymes of 
sulfotransferase or uridine diphosphate glucuronosyl transferase, or any 
other relevant enzymes) may be requested. This information will help 
establish the relevance of the involved enzyme(s) to human risk, as it 
is known that certain isozymes are present in animal species which are 
not present in humans, and vice versa.
    (5) Physiologically-based modeling. Traditional methods of modeling 
have been used to determine kinetic parameters associated with drug and 
xenobiotic disposition, but have assumed a purely mathematical construct 
of mammalian organisms in their operation. On the other hand, more 
recent models which take into account the physiological processes of the 
animal have been used with success in defining biological determinants 
of chemical disposition as well as the relationship between tissue dose 
and tissue response. These so-called physiologically-based models, also 
allow for cross-species extrapolation which is often necessary in the 
risk-assessment process. The use of physiologically-based modeling as an 
experimental tool for addressing specific issues related to 
biotransformation and pharmacokinetics of a test substance is 
encouraged. Information as derived from physiologically-based modeling 
experiments may aid in the comparison of biotransformation and 
pharmacokinetics of a test substance between animal species and humans, 
and in the assessment of risk under specific exposure conditions. At the 
discretion of the Agency, or by mutual agreement,

[[Page 465]]

results of physiologically based pharmacokinetic (PBPK) studies with 
parent compound may be submitted in lieu of other studies, if it is 
determined that such data would provide adequate information to satisfy 
this guideline.
    (h) Reporting of study results. In addition to the reporting 
requirements specified under EPA Good Laboratory Practice Standards at 
40 CFR part 792, subpart J, the completed study (Tier 1 or Tier 2) 
should be presented in the following format:
    (1) Title/cover page. Title page and additional requirements 
(requirements for data submission, good laboratory practice, statements 
of data confidentiality claims and quality assurance) if relevant to the 
study report, should precede the content of the study formatted below. 
These requirements are to be found in 40 CFR parts 790, 792, and 799.
    (2) Table of contents. A concise listing must precede the body of 
the report, containing all essential elements of the study and the page 
and table number where the element is located in the final report of the 
study. Essential elements of the table of contents should include a 
summary, an introduction, the materials and methods section, results, 
discussion/conclusions, references, tables, figures, appendices, and key 
subsections as deemed appropriate. The table of contents should include 
the page number of each of these elements.
    (3) Body of the report. The body of the report must include 
information required under this section, organized into sections and 
paragraphs as follows:
    (i) Summary. This section of the study report must contain a summary 
and analysis of the test results and a statement of the conclusions 
drawn from the analysis. This section should highlight the nature and 
magnitude of metabolites, tissue residue, rate of clearance, 
bioaccumulation potential, sex differences, etc. The summary should be 
presented in sufficient detail to permit independent evaluation of the 
findings.
    (ii) Introduction. This section of the report should include the 
objectives of the study, guideline references, regulatory history, if 
any, and a rationale.
    (iii) Materials and methods. This section of the report must include 
detailed descriptions of all elements including:
    (A) Test substance. (1) This section should include identification 
of the test substance--chemical name, molecular structure, qualitative 
and quantitative determination of its chemical composition, and type and 
quantities of any impurities whenever possible.
    (2) This section should also include information on physical 
properties including physical state, color, gross solubility and/or 
partition coefficient, and stability.
    (3) The type or description of any vehicle, diluents, suspending 
agents, and emulsifiers or other materials used in administering the 
test substance should be stated.
    (4) If the test substance is radiolabeled, information on the 
following should be included in this subsection: The type of 
radionuclide, position of label, specific activity, and radiopurity.
    (B) Test animals. This section should include information on the 
test animals, including: Species, strain, age at study initiation, sex, 
body weight, health status, and animal husbandry.
    (C) Methods. This subsection should include details of the study 
design and methodology used. It should include a description of:
    (1) How the dosing solution was prepared and the type of solvent, if 
any, used.
    (2) Number of treatment groups and number of animals per group.
    (3) Dosage levels and volume.
    (4) Route of administration.
    (5) Frequency of dosing.
    (6) Fasting period (if used).
    (7) Total radioactivity per animal.
    (8) Animal handling.
    (9) Sample collection.
    (10) Sample handling.
    (11) Analytical methods used for separation.
    (12) Quantitation and identification of metabolites.
    (13) Other experimental measurements and procedures employed 
(including validation of test methods for metabolite analysis).
    (D) Statistical analysis. If statistical analysis is used to analyze 
the study findings, then sufficient information on

[[Page 466]]

the method of analysis and the computer program employed should be 
included so that an independent reviewer/statistician can reevaluate and 
reconstruct the analysis. Presentation of models should include a full 
description of the model to allow independent reconstruction and 
validation of the model.
    (iv) Results. All data should be summarized and tabulated with 
appropriate statistical evaluation and placed in the text of this 
section. Radioactivity counting data should be summarized and presented 
as appropriate for the study, typically as disintegrations per minute 
and microgram or milligram equivalents, although other units may be 
used. Graphic illustrations of the findings, reproduction of 
representative chromatographic and spectrometric data, and proposed 
metabolic pathways and molecular structure of metabolites should be 
included in this section. In addition the following information is to be 
included in this section if applicable:
    (A) Justification for modification of exposure conditions, if 
applicable.
    (B) Justification for selection of dose levels for pharmacokinetic 
and metabolism studies.
    (C) Description of pilot studies used in the experimental design of 
the pharmacokinetic and metabolism studies, if applicable.
    (D) Quantity and percent recovery of radioactivity in urine, feces, 
and expired air, as appropriate. For dermal studies, include recovery 
data for treated skin, skin washes, and residual radioactivity in the 
covering apparatus and metabolic unit as well as results of the dermal 
washing study.
    (E) Tissue distribution reported as percent of administered dose and 
microgram equivalents per gram of tissue.
    (F) Material balance developed from each study involving the assay 
of body tissues and excreta.
    (G) Plasma levels and pharmacokinetic parameters after 
administration by the relevant routes of exposure.
    (H) Rate and extent of absorption of the test substance after 
administration by the relevant routes of exposure.
    (I) Quantities of the test substance and metabolites (reported as 
percent of the administered dose) collected in excreta.
    (J) Individual animal data.
    (v) Discussion and conclusions. (A) In this section the author(s) 
should:
    (1) Provide a plausible explanation of the metabolic pathway for the 
test chemical.
    (2) Emphasize species and sex differences whenever possible.
    (3) Discuss the nature and magnitude of metabolites, rates of 
clearance, bioaccumulation potential, and level of tissue residues as 
appropriate.
    (B) The author(s) should be able to derive a concise conclusion that 
can be supported by the findings of the study.
    (vi) Optional sections. The authors may include additional sections 
such as appendices, bibliography, tables, etc.
    (i) Alternate routes of exposure for Tier 1 testing--(1) Dermal--(i) 
Dermal treatment. One (or more if needed) dose levels of the test 
substance must be used in the dermal portion of the study. The low dose 
level should be selected in accordance with paragraph (f)(2) of this 
section. The dermal doses must be dissolved, if necessary, in a suitable 
vehicle and applied in a volume adequate to deliver the doses. Shortly 
before testing, fur is to be clipped from the dorsal area of the trunk 
of the test animals. Shaving may be employed, but it should be carried 
out approximately 24 hour before the test. When clipping or shaving the 
fur, care should be taken to avoid abrading the skin, which could alter 
its permeability. Approximately 10% of the body surface should be 
cleared for application of the test substance. With highly toxic 
substances, the surface area covered may be less than approximately 10%, 
but as much of the area as possible is to be covered with a thin and 
uniform film. The same nominal treatment surface area must be used for 
all dermal test groups. The dosed areas are to be protected with a 
suitable covering which is secured in place. The animals must be housed 
separately.
    (ii) Dermal washing study. (A) A washing experiment must be 
conducted to assess the removal of the applied dose of the test 
substance by washing the treated skin area with a mild soap and water. A 
single dose must be applied to

[[Page 467]]

two animals in accordance with paragraph (f)(2) of this section. After 
application (2 to 5 minutes) the treated areas of the animals must be 
washed with a mild soap and water. The amounts of test substance 
recovered in the washes must be determined to assess the effectiveness 
of removal by washing.
    (B) Unless precluded by corrosiveness, the test substance must be 
applied and kept on the skin for a minimum of 6 hours. At the time of 
removal of the covering, the treated area must be washed following the 
procedure as outlined in the dermal washing study. Both the covering and 
the washes must be analyzed for residual test substance. At the 
termination of the studies, each animal must be sacrificed and the 
treated skin removed. An appropriate section of treated skin must be 
analyzed to determine residual radioactivity.
    (2) Inhalation. A single (or more if needed) concentration of test 
substance must be used in this portion of the study. The concentration 
should be selected in accordance with paragraph (f)(2) of this section. 
Inhalation treatments are to be conducted using a ``nose-cone'' or 
``head-only'' apparatus to prevent absorption by alternate routes of 
exposure. If other inhalation exposure conditions are proposed for use 
in a chemical-specific test rule, justification for the modification 
must be documented. A single exposure over a defined period must be used 
for each group--a typical exposure is 4-6 hours.

[65 FR 78815, Dec. 15, 2000]



Sec.  799.9780  TSCA immunotoxicity.

    (a) Scope. This section is intended to meet the testing requirements 
under section 4 of TSCA. This section is intended to provide information 
on suppression of the immune system which might occur as a result of 
repeated exposure to a test chemical. While some information on 
potential immunotoxic effects may be obtained from hematology, lymphoid 
organ weights and histopathology (usually done as part of routine 
toxicity testing), there are data which demonstrate that these endpoints 
alone are not sufficient to predict immunotoxicity (Luster et al., 1992, 
1993 see paragraphs (j)(8) and (j)(9) of this section). Therefore, the 
tests described in this section are intended to be used along with data 
from routine toxicity testing, to provide more accurate information on 
risk to the immune system. The tests in this section do not represent a 
comprehensive assessment of immune function.
    (b) Source. The source material used in developing this TSCA test 
guideline is the OPPTS harmonized test guideline 870.7800 (June 1996 
Public Draft). This source is available at the address in paragraph (j) 
of this section.
    (c) Definitions. The following definitions apply to this section.
    Antibodies or immunoglobulins (Ig) are part of a large family of 
glycoprotein molecules. They are produced by B cells in response to 
antigens, and bind specifically to the eliciting antigen. The different 
classes of immunoglobulins involved in immunity are IgG, IgA, IgM, IgD, 
and IgE. Antibodies are found in extracellular fluids, such as serum, 
saliva, milk, and lymph. Most antibody responses are T cell-dependent, 
that is, functional T and B lymphocytes, as well as antigen-presenting 
cells (usually macrophages), are required for the production of 
antibodies.
    Cluster of differentiation (CD) refers to molecules expressed on the 
cell surface. These molecules are useful as distinct CD molecules are 
found on different populations of cells of the immune system. Antibodies 
against these cell surface markers (e.g., CD4, CD8) are used to identify 
and quantitate different cell populations.
    Immunotoxicity refers to the ability of a test substance to suppress 
immune responses that could enhance the risk of infectious or neoplastic 
disease, or to induce inappropriate stimulation of the immune system, 
thus contributing to allergic or autoimmune disease. This section only 
addresses potential immune suppression.
    Natural Killer (NK) cells are large granular lymphocytes which 
nonspecifically lyse cells bearing tumor or viral antigens. NK cells are 
up-regulated soon after infection by certain microorganisms, and are 
thought to represent the first line of defense against viruses and 
tumors.

[[Page 468]]

    T and B cells are lymphocytes which are activated in response to 
specific antigens (foreign substances, usually proteins). B cells 
produce antigen-specific antibodies (see the definition for ``antibodies 
or immunoglobulins''), and subpopulations of T cells are frequently 
needed to provide help for the antibody response. Other types of T cell 
participate in the direct destruction of cells expressing specific 
foreign (tumor or infectious agent) antigens on the cell surface.
    (d) Principles of the test methods. (1) In order to obtain data on 
the functional responsiveness of major components of the immune system 
to a T cell dependent antigen, sheep red blood cells (SRBC), rats and/or 
mice\1\ shall be exposed to the test and control substances for at least 
28 days.\2\ The animals shall be immunized by intravenous or 
intraperitoneal injection of SRBCs approximately 4 days (depending on 
the strain of animal) prior to the end of the exposure. At the end of 
the exposure period, either the plaque forming cell (PFC) assay or an 
enzyme linked immunosorbent assay (ELISA) shall be performed to 
determine the effects of the test substance on the splenic anti-SRBC 
(IgM) response or serum anti-SRBC IgM levels, respectively.
---------------------------------------------------------------------------

    \1\ If absorption/distribution/metabolism/excretion (ADME) data are 
similar between species, then either rats or mice may be used for the 
test compound in question. If such data are lacking, both species should 
be used.
    \2\ Because there is a fairly rapid turnover of many of the cells in 
the immune system, 28 days is considered sufficient for the purposes of 
the anti-SRBC tests.
---------------------------------------------------------------------------

    (2) In the event the test substance produces significant suppression 
of the anti-SRBC response, expression of phenotypic markers for major 
lymphocyte populations (total T and total B), and T cell subpopulations 
(T helpers (CD\4\) and T cytotoxic/suppressors (CD\8\)), as assessed by 
flow cytometry, may be performed to determine the effects of the test 
substance on either splenic or peripheral-blood lymphocyte populations 
and T cell subpopulations. When this study is performed, the appropriate 
monoclonal antibodies for the species being tested should be used. If 
the test substance has no significant effect on the anti-SRBC assay, a 
functional test for NK cells may be performed to test for a chemical's 
effect on non-specific immunity.\3\ For tests performed using cells or 
sera from blood (ELISA or flow cytometry), it is not necessary to 
destroy the animals, since immunization with SRBCs at 28 days is not 
expected to markedly affect the results of other assays included in 
subchronic or longer-term studies (these tests are discussed in the 
reference under paragraph (j)(7) of this section). The necessity to 
perform either a quantitative analysis of the effects of a chemical on 
the numbers of cells in major lymphocyte populations and T Cell 
subpopulations by flow cytometry, or a splenic NK cell activity assay to 
assess the effects of the test compound on non-specific immunity shall 
be determined on a case-by-case basis, depending upon the outcome of the 
anti-SRBC assay.
---------------------------------------------------------------------------

    \3\ When these optional tests are included, the phenotypic or NK 
cell analyses may be performed at 28 days of exposure, or at a later 
timepoint if ADME data suggest that a longer exposure is more 
appropriate.
---------------------------------------------------------------------------

    (e) Limit test. If a test at one dose level of at least 1,000 mg/kg 
body weight (or 2 mg/L for inhalation route of exposure) using the 
procedures described for this study produces no observable toxic effects 
or if toxic effects would not be expected based upon data of 
structurally related compounds, then a full study using three dose 
levels might not be necessary. Expected human exposure may indicate the 
need for a higher dose level.
    (f) Test procedures--(1) Animal selection--(i) Species and strain. 
These tests are intended for use in rats and/or mice. Commonly used 
laboratory strains shall be employed.\4\ All test animals shall be free 
of pathogens, internal and external parasites. Females shall be 
nulliparous and nonpregnant. The species, strain, and source of the 
animals shall be identified.
---------------------------------------------------------------------------

    \4\ The study director shall be aware of strain differences in 
response to SRBC. For example, if the 
B6C3F1 hybrid mouse is used in the PFC 
assay, a response of 800-1,000 PFC/10\6\ spleen cells in control mice 
should be the minimally acceptable PFC response.

---------------------------------------------------------------------------

[[Page 469]]

    (ii) Age/weight. (A) Young, healthy animals shall be employed. At 
the commencement of the study, the weight variation of the animals used 
shall not exceed 20% of the mean weight for each 
sex.
    (B) Dosing shall begin when the test animals are between 6 and 8 
weeks old.
    (iii) Sex. Either sex may be used in the study; if one sex is known 
or believed to be more sensitive to the test compound, then that sex 
shall be used.
    (iv) Numbers. (A) At least eight animals shall be included in each 
dose and control group. The number of animals tested shall yield 
sufficient statistical power to detect a 20% change based upon the 
interanimal variation which may be encountered in these assays.
    (B) To avoid bias, the use of adequate randomization procedures for 
the proper allocation of animals to test and control groups is required.
    (C) Each animal shall be assigned a unique identification number. 
Dead animals, their preserved organs and tissues, and microscopic slides 
shall be identified by reference to the animal's unique number.
    (v) Husbandry. (A) Animals may be group-caged by sex, but the number 
of animals per cage shall not interfere with clear observation of each 
animal. The biological properties of the test substance or toxic effects 
(e.g., morbidity, excitability) may indicate a need for individual 
caging.
    (B) The temperature of the experimental animal rooms shall be at 22 
3 [deg]C.
    (C) The relative humidity of the experimental animal rooms shall be 
between 30 and 70%.
    (D) Where lighting is artificial, the sequence shall be 12 hrs 
light, 12 hrs dark.
    (E) Control and test animals shall be maintained on the same type of 
bedding and receive feed from the same lot. The feed shall be analyzed 
to assure adequacy of nutritional requirements of the species tested and 
for impurities that might influence the outcome of the test. Rodents 
shall be fed and watered ad libitum with food replaced at least weekly.
    (F) The study shall not be initiated until the animals have been 
allowed an adequate period of acclimatization or quarantine to 
environmental conditions. The period of acclimatization shall be at 
least 1 week in duration.
    (2) Control and test substances. (i) The test substance shall be 
dissolved or suspended in a suitable vehicle. Ideally, if a vehicle or 
diluent is needed, it shall not elicit toxic effects or substantially 
alter the chemical or toxicological properties of the test substance. It 
is recommended that an aqueous solution should be used. If solubility is 
a problem a solution in oil may be used. Other vehicles may be 
considered, but only as a last resort.
    (ii) One lot of the test substance shall be used, if possible, 
throughout the duration of the study, and the research sample shall be 
stored under conditions that maintain its purity and stability. Prior to 
the initiation of the study, there shall be a characterization of the 
test substance, including the purity of the test compound and if 
technically feasible, the name and quantities of any known contaminants 
and impurities.
    (iii) If the test or positive control substance is to be 
incorporated into feed or another vehicle, the period during which the 
test substance is stable in such a mixture shall be determined prior to 
the initiation of the study. Its homogeneity and concentration shall 
also be determined prior to the initiation of the study and periodically 
during the study. Statistically randomized samples of the mixture shall 
be analyzed to ensure that proper mixing, formulation, and storage 
procedures are being followed, and that the appropriate concentration of 
the test or control substance is contained in the mixture.
    (3) Control groups. (i) A concurrent, vehicle-treated control group 
is required.
    (ii) A separate untreated control group is required if the toxicity 
of the vehicle is unknown.
    (iii) A positive control group with a known immunosuppressant (e.g., 
cyclophosphamide) shall be included in the study. A group of at least 
eight animals shall be given the immunosuppressive chemical.
    (4) Dose levels. (i) In repeated-dose toxicity tests, it is 
desirable to have a

[[Page 470]]

dose-response relationship and a no observed immunotoxic effect level. 
Therefore, at least three dose levels and a negative control shall be 
used, unless a limit test is performed as specified under paragraph (e) 
of this section.
    (ii) The highest dose level shall not produce significant stress, 
malnutrition, or fatalities, but ideally should produce some measurable 
sign of general toxicity (e.g., a 10% loss of body weight).
    (iii) The lowest dose level ideally shall not produce any evidence 
of immunotoxicity.
    (5) Administration of the test substance. (i) The test substance, 
vehicle, or positive control substance shall be administered for at 
least 28 days for the anti-SRBC assay. The route of administration of 
the test material will usually be oral; however, this shall be 
determined by the likely route of occupational or indoor exposure. 
Therefore, under certain conditions, the dermal or inhalation route of 
exposure may be more relevant for the study. All animals shall be dosed 
by the same method during the entire experimental period.
    (ii) If the test substance is administered by gavage, the animals 
are dosed with the test substance ideally on a 7-days-per-week basis. 
However, based primarily on practical considerations, dosing by gavage 
on a 5-days-per-week basis shall be acceptable. If the test substance is 
administered in the drinking water, or mixed directly into the diet, 
then exposure shall be on a 7-days-per-week basis.
    (A) For substances of low toxicity, it is important to ensure that 
when administered in the diet, the quantities of the test substance 
involved do not interfere with normal nutrition. When the test substance 
is administered in the diet, either a constant dietary concentration in 
parts per million (ppm) or a constant dose level in terms of the 
animal's body weight shall be used; the alternative used should be 
specified.
    (B) For a substance administered by gavage, the dose shall be given 
at approximately the same time each day, and adjusted at intervals 
(weekly for mice, twice per week for rats) to maintain a constant dose 
level in terms of the animal's body weight.
    (iii) If the test substance is administered dermally, use paragraphs 
(f)(5)(iii)(A) through (f)(5)(iii)(D) of this section.
    (A) Dose levels and dose selection. (1) In this test, it is 
desirable to determine a dose-response relationship as well as a NOEL. 
Therefore, at least three dose levels plus a control and, where 
appropriate, a vehicle control (corresponding to the concentration of 
vehicle at the highest dose level) group should be used. Doses should be 
spaced appropriately to produce test groups with a range of toxic 
effects. The data should be sufficient to produce a dose-response curve.
    (2) The highest dose level should elicit signs of toxicity but not 
produce severe skin irritation or an incidence of fatality which would 
prevent a meaningful evaluation. If application of the test substance 
produces severe skin irritation, the concentration may be reduced, 
although this may result in a reduction in, or absence of, other toxic 
effects at the high dose level. If the skin has been badly damaged early 
in the study, it may be necessary to terminate the study and undertake a 
new one at lower concentrations.
    (3) The intermediate dose levels should be spaced to produce a 
gradation of toxic effects.
    (4) The lowest dose level should not produce any evidence of toxic 
effects.
    (B) Preparation of animal skin. Shortly before testing, fur should 
be clipped from not less than 10% of the body surface area for 
application of the test substance. In order to dose approximately 10% of 
the body surface, the area starting at the scapulae (shoulders) to the 
wing of the ileum (hipbone) and half-way down the flank on each side of 
the animal should be shaved. Shaving should be carried out approximately 
24 hrs before dosing. Repeated clipping or shaving is usually needed at 
approximately weekly intervals. When clipping or shaving the fur, care 
should be taken to avoid abrading the skin which could alter its 
permeability.
    (C) Preparation of test substance. (1) Liquid test substances are 
generally used undiluted, except as indicated in paragraph 
(f)(5)(iii)(A)(2) of this section.

[[Page 471]]

    (2) Solids should be pulverized when possible. The substance should 
be moistened sufficiently with water or, when necessary, a suitable 
vehicle to ensure good contact with the skin. When a vehicle is used, 
the influence of the vehicle on toxicity of, and penetration of the skin 
by, the test substance should be taken into account.
    (3) The volume of application should be kept constant, e.g. less 
than 300 
                       SUBCHAPTERS S	T [RESERVED]
[[Page 476]]



                   SUBCHAPTER U_AIR POLLUTION CONTROLS


PART 1033_CONTROL OF EMISSIONS FROM LOCOMOTIVES--Table of Contents

                  Subpart A_Overview and Applicability

Sec.
1033.1 Applicability.
1033.5 Exemptions and exclusions.
1033.10 Organization of this part.
1033.15 Other regulation parts that apply for locomotives.

          Subpart B_Emission Standards and Related Requirements

1033.101 Exhaust emission standards.
1033.102 Transition to the standards of this part.
1033.110 Emission diagnostics--general requirements.
1033.112 Emission diagnostics for SCR systems.
1033.115 Other requirements.
1033.120 Emission-related warranty requirements.
1033.125 Maintenance instructions.
1033.130 Instructions for engine remanufacturing or engine installation.
1033.135 Labeling.
1033.140 Rated power.
1033.150 Interim provisions.

                  Subpart C_Certifying Engine Families

1033.201 General requirements for obtaining a certificate of conformity.
1033.205 Applying for a certificate of conformity.
1033.210 Preliminary approval.
1033.220 Amending maintenance instructions.
1033.225 Amending applications for certification.
1033.230 Grouping locomotives into engine families.
1033.235 Emission testing required for certification.
1033.240 Demonstrating compliance with exhaust emission standards.
1033.245 Deterioration factors.
1033.250 Reporting and recordkeeping.
1033.255 EPA decisions.

 Subpart D_Manufacturer and Remanufacturer Production Line Testing and 
                             Audit Programs

1033.301 Applicability.
1033.305 General requirements.
1033.310 Sample selection for testing.
1033.315 Test procedures.
1033.320 Calculation and reporting of test results.
1033.325 Maintenance of records; submittal of information.
1033.330 Compliance criteria for production line testing.
1033.335 Remanufactured locomotives: installation audit requirements.
1033.340 Suspension and revocation of certificates of conformity.

                        Subpart E_In-use Testing

1033.401 Applicability.
1033.405 General provisions.
1033.410 In-use test procedure.
1033.415 General testing requirements.
1033.420 Maintenance, procurement and testing of in-use locomotives.
1033.425 In-use test program reporting requirements.

                        Subpart F_Test Procedures

1033.501 General provisions.
1033.505 Ambient conditions.
1033.510 Auxiliary power units.
1033.515 Discrete-mode steady-state emission tests of locomotives and 
          locomotive engines.
1033.520 Alternative ramped modal cycles.
1033.525 Smoke testing.
1033.530 Duty cycles and calculations.
1033.535 Adjusting emission levels to account for infrequently 
          regenerating aftertreatment devices.

                 Subpart G_Special Compliance Provisions

1033.601 General compliance provisions.
1033.610 Small railroad provisions.
1033.615 Voluntarily subjecting locomotives to the standards of this 
          part.
1033.620 Hardship provisions for manufacturers and remanufacturers.
1033.625 Special certification provisions for non-locomotive-specific 
          engines.
1033.630 Staged-assembly and delegated assembly exemptions.
1033.640 Provisions for repowered and refurbished locomotives.
1033.645 Non-OEM component certification program.
1033.650 Incidental use exemption for Canadian and Mexican locomotives.
1033.655 Special provisions for certain Tier 0/Tier 1 locomotives.

       Subpart H_Averaging, Banking, and Trading for Certification

1033.701 General provisions.
1033.705 Calculating emission credits.
1033.710 Averaging emission credits.
1033.715 Banking emission credits.
1033.720 Trading emission credits.

[[Page 477]]

1033.722 Transferring emission credits.
1033.725 Requirements for your application for certification.
1033.730 ABT reports.
1033.735 Required records.
1033.740 Credit restrictions.
1033.745 Compliance with the provisions of this subpart.
1033.750 Changing a locomotive's FEL at remanufacture.

             Subpart I_Requirements for Owners and Operators

1033.801 Applicability.
1033.805 Remanufacturing requirements.
1033.810 In-use testing program.
1033.815 Maintenance, operation, and repair.
1033.820 In-use locomotives.
1033.825 Refueling requirements.

          Subpart J_Definitions and Other Reference Information

1033.901 Definitions.
1033.905 Symbols, acronyms, and abbreviations.
1033.915 Confidential information.
1033.920 How to request a hearing.

    Authority: 42 U.S.C. 7401-7671q.

    Source: 73 FR 37197, June 30, 2008 unless otherwise noted.

    Effective Date Note: At 73 FR 37197, June 30, 2008, Part 1033 was 
added, effective July 7, 2008.



                  Subpart A_Overview and Applicability



Sec.  1033.1  Applicability.

    The regulations in this part 1033 apply for all new locomotives and 
all locomotives containing a new locomotive engine, except as provided 
in Sec.  1033.5.
    (a) Standards begin to apply each time a locomotive or locomotive 
engine is originally manufactured or otherwise becomes new (defined in 
Sec.  1033.901). The requirements of this part continue to apply as 
specified after locomotives cease to be new.
    (b) Standards apply to the locomotive. However, in certain cases, 
the manufacturer/remanufacturer is allowed to test a locomotive engine 
instead of a complete locomotive, such as for certification. Also, you 
are not required to complete assembly of a locomotive to obtain a 
certificate of conformity for it, provided you meet the definition of 
``manufacturer'' or ``remanufacturer'' (as applicable) in Sec.  
1033.901. For example, an engine manufacturer may obtain a certificate 
for locomotives which it does not manufacture, if the locomotives use 
its engines.
    (c) Standards apply based on the year in which the locomotive was 
originally manufactured. The date of original manufacture is generally 
the date on which assembly is completed for the first time. For example, 
all locomotives originally manufactured in calendar years 2002, 2003, 
and 2004 are subject to the Tier 1 emission standards for their entire 
service lives.
    (d) The following provisions apply when there are multiple persons 
meeting the definition of manufacturer or remanufacturer in Sec.  
1033.901:
    (1) Each person meeting the definition of manufacturer must comply 
with the requirements of this part that apply to manufacturers; and each 
person meeting the definition of remanufacturer must comply with the 
requirements of this part that apply to remanufacturers. However, if one 
person complies with a specific requirement for a given locomotive, then 
all manufacturers/remanufacturers are deemed to have complied with that 
specific requirement.
    (2) We will apply the requirements of subparts C, D, and E of this 
part to the manufacturer/remanufacturer that obtains the certificate of 
conformity for the locomotive. Other manufacturers and remanufacturers 
are required to comply with the requirements of subparts C, D, and E of 
this part only when notified by us. In our notification, we will specify 
a reasonable time period in which you need to comply with the 
requirements identified in the notice. See Sec.  1033.601 for the 
applicability of 40 CFR part 1068 to these other manufacturers and 
remanufacturers.
    (3) For example, we may require a railroad that installs certified 
kits but does not hold the certificate to perform production line 
auditing of the locomotives that it remanufactures. However, if we did, 
we would allow the railroad a reasonable amount of time to develop the 
ability to perform such auditing.

[[Page 478]]

    (e) The provisions of this part apply as specified for locomotives 
manufactured or remanufactured on or after July 7, 2008. See Sec.  
1033.102 to determine whether the standards of this part or the 
standards of 40 CFR part 92 apply for model years 2008 through 2012. For 
example, for a locomotive that was originally manufactured in 2007 and 
remanufactured on April 10, 2014, the provisions of this part begin to 
apply on April 10, 2014.



Sec.  1033.5  Exemptions and exclusions.

    (a) Subpart G of this part exempts certain locomotives from the 
standards of this part.
    (b) The definition of ``locomotive'' in Sec.  1033.901 excludes 
certain vehicles. In general, the engines used in such excluded 
equipment are subject to standards under other regulatory parts. For 
example, see 40 CFR part 1039 for requirements that apply to diesel 
engines used in equipment excluded from the definition of ``locomotive'' 
in Sec.  1033.901. The following locomotives are also excluded from the 
provisions of this part 1033:
    (1) Historic locomotives powered by steam engines. For a locomotive 
that was originally manufactured after January 1, 1973 to be excluded 
under this paragraph (b)(1), it may not use any internal combustion 
engines and must be used only for historical purposes such as at a 
museum or similar public attraction.
    (2) Locomotives powered only by an external source of electricity.
    (c) The requirements and prohibitions of this part apply only for 
locomotives that have become ``new'' (as defined in Sec.  1033.901) on 
or after July 7, 2008.
    (d) The provisions of this part do not apply for any auxiliary 
engine that only provides hotel power. In general, these engines are 
subject to the provisions of 40 CFR part 1039. However, depending on the 
engine cycle, model year and power rating, the engines may be subject to 
other regulatory parts instead.
    (e) Manufacturers and owners of locomotives that operate only on 
non-standard gauge rails may ask us to exclude such locomotives from 
this part by excluding them from the definition of ``locomotive''.



Sec.  1033.10  Organization of this part.

    The regulations in this part 1033 contain provisions that affect 
locomotive manufacturers, remanufacturers, and others. However, the 
requirements of this part are generally addressed to the locomotive 
manufacturer/remanufacturer. The term ``you'' generally means the 
manufacturer/remanufacturer, as defined in Sec.  1033.901. This part 
1033 is divided into the following subparts:
    (a) Subpart A of this part defines the applicability of part 1033 
and gives an overview of regulatory requirements.
    (b) Subpart B of this part describes the emission standards and 
other requirements that must be met to certify locomotives under this 
part. Note that Sec.  1033.150 discusses certain interim requirements 
and compliance provisions that apply only for a limited time.
    (c) Subpart C of this part describes how to apply for a certificate 
of conformity.
    (d) Subpart D of this part describes general provisions for testing 
and auditing production locomotives.
    (e) Subpart E of this part describes general provisions for testing 
in-use locomotives.
    (f) Subpart F of this part and 40 CFR part 1065 describe how to test 
locomotives and engines.
    (g) Subpart G of this part and 40 CFR part 1068 describe 
requirements, prohibitions, exemptions, and other provisions that apply 
to locomotive manufacturer/remanufacturers, owners, operators, and all 
others.
    (h) Subpart H of this part describes how you may generate and use 
emission credits to certify your locomotives.
    (i) Subpart I of this part describes provisions for locomotive 
owners and operators.
    (j) Subpart J of this part contains definitions and other reference 
information.



Sec.  1033.15  Other regulation parts that apply for locomotives.

    (a) Part 1065 of this chapter describes procedures and equipment 
specifications for testing engines. Subpart F of this part 1033 
describes how to apply

[[Page 479]]

the provisions of part 1065 of this chapter to test locomotives to 
determine whether they meet the emission standards in this part.
    (b) The requirements and prohibitions of part 1068 of this chapter 
apply to everyone, including anyone who manufactures, remanufactures, 
imports, maintains, owns, or operates any of the locomotives subject to 
this part 1033. See Sec.  1033.601 to determine how to apply the part 
1068 regulations for locomotives. Part 1068 of this chapter describes 
general provisions, including the following areas:
    (1) Prohibited acts and penalties for locomotive manufacturer/
remanufacturers and others.
    (2) Exclusions and exemptions for certain locomotives.
    (3) Importing locomotives.
    (4) Selective enforcement audits of your production.
    (5) Defect reporting and recall.
    (6) Procedures for hearings.
    (c) Other parts of this chapter apply if referenced in this part.



          Subpart B_Emission Standards and Related Requirements



Sec.  1033.101  Exhaust emission standards.

    See Sec. Sec.  1033.102 and 1033.150 to determine how the emission 
standards of this section apply before 2023.
    (a) Emission standards for line-haul locomotives. Exhaust emissions 
from your new locomotives may not exceed the applicable emission 
standards in Table 1 to this section during the useful life of the 
locomotive. (Note: Sec.  1033.901 defines locomotives to be ``new'' when 
originally manufactured and when remanufactured.) Measure emissions 
using the applicable test procedures described in subpart F of this 
part.

                      Table 1 to Sec.   1033.101.--Line-Haul Locomotive Emission Standards
----------------------------------------------------------------------------------------------------------------
                                                                             Standards (g/bhp-hr)
    Year of original manufacture         Tier of standards   ---------------------------------------------------
                                                                  NOX           PM           HC           CO
----------------------------------------------------------------------------------------------------------------
1973-1992 \a\.......................  Tier 0 \b\............          8.0         0.22         1.00          5.0
1993 \a\-2004.......................  Tier 1 \b\............          7.4         0.22         0.55          2.2
2005-2011...........................  Tier 2 \b\............          5.5     \e\ 0.10         0.30          1.5
2012-2014...........................  Tier 3 \c\............          5.5         0.10         0.30          1.5
2015 or later.......................  Tier 4 \d\............          1.3         0.03         0.14          1.5
----------------------------------------------------------------------------------------------------------------
\a\ Locomotive models that were originally manufactured in model years 1993 through 2001, but that were not
  originally equipped with a separate coolant system for intake air are subject to the Tier 0 rather than the
  Tier 1 standards.
\b\ Line-haul locomotives subject to the Tier 0 through Tier 2 emission standards must also meet switch
  standards of the same tier.
\c\ Tier 3 line-haul locomotives must also meet Tier 2 switch standards.
\d\ Manufacturers may elect to meet a combined NOX+HC standard of 1.4 g/bhp-hr instead of the otherwise
  applicable Tier 4 NOX and HC standards, as described in paragraph (j) of this section.
\e\ The PM standard for newly remanufactured Tier 2 line-haul locomotives is 0.20 g/bhp-hr until January 1,
  2013, except as specified in Sec.   1033.150(a).

    (b) Emission standards for switch locomotives. Exhaust emissions 
from your new locomotives may not exceed the applicable emission 
standards in Table 2 to this section during the useful life of the 
locomotive. (Note: Sec.  1033.901 defines locomotives to be ``new'' when 
originally manufactured and when remanufactured.) Measure emissions 
using the applicable test procedures described in subpart F of this 
part.

                        Table 2 to Sec.   1033.101.--Switch Locomotive Emission Standards
----------------------------------------------------------------------------------------------------------------
                                                                             Standards (g/bhp-hr)
    Year of original manufacture         Tier of standards   ---------------------------------------------------
                                                                  NOX           PM           HC           CO
----------------------------------------------------------------------------------------------------------------
1973-2001...........................  Tier 0................         11.8         0.26         2.10          8.0
2002-2004...........................  Tier 1 \a\............         11.0         0.26         1.20          2.5
2005-2010...........................  Tier 2 \a\............          8.1     \b\ 0.13         0.60          2.4
2011-2014...........................  Tier 3................          5.0         0.10         0.60          2.4
2015 or later.......................  Tier 4................      \c\ 1.3         0.03     \c\ 0.14         2.4
----------------------------------------------------------------------------------------------------------------
\a\ Switch locomotives subject to the Tier 1 through Tier 2 emission standards must also meet line-haul
  standards of the same tier.

[[Page 480]]

 
\b\ The PM standard for new Tier 2 switch locomotives is 0.24 g/bhp-hr until January 1, 2013, except as
  specified in Sec.   1033.150(a).
\c\ Manufacturers may elect to meet a combined NOX+HC standard of 1.3 g/bhp-hr instead of the otherwise
  applicable Tier 4 NOX and HC standards, as described in paragraph (j) of this section.

    (c) Smoke standards. The smoke opacity standards specified in Table 
3 to this section apply only for locomotives certified to one or more PM 
standards or FELs greater than 0.05 g/bhp-hr. Smoke emissions, when 
measured in accordance with the provisions of Subpart F of this part, 
shall not exceed these standards.

                 Table 3 to Sec.   1033.101.--Smoke Standards for Locomotives (Percent Opacity)
----------------------------------------------------------------------------------------------------------------
                                                                   Steady-state     30-sec peak     3-sec peak
----------------------------------------------------------------------------------------------------------------
Tier 0..........................................................              30              40              50
Tier 1..........................................................              25              40              50
Tier 2 and later................................................              20              40              50
----------------------------------------------------------------------------------------------------------------

    (d) Averaging, banking, and trading. You may generate or use 
emission credits under the averaging, banking, and trading (ABT) program 
as described in subpart H of this part to comply with the NOX 
and/or PM standards of this part. You may also use ABT to comply with 
the Tier 4 HC standards of this part as described in paragraph (j) of 
this section. Generating or using emission credits requires that you 
specify a family emission limit (FEL) for each pollutant you include in 
the ABT program for each engine family. These FELs serve as the emission 
standards for the engine family with respect to all required testing 
instead of the standards specified in paragraphs (a) and (b) of this 
section. No FEL may be higher than the previously applicable Tier of 
standards. For example, no FEL for a Tier 1 locomotive may be higher 
than the Tier 0 standard.
    (e) Notch standards. (1) Exhaust emissions from locomotives may not 
exceed the notch standards specified in paragraph (e)(2) of this 
section, except as allowed in paragraph (e)(3) of this section, when 
measured using any test procedures under any test conditions.
    (2) Except as specified in paragraph (e)(5) of this section, 
calculate the applicable notch standards for each pollutant for each 
notch from the certified notch emission rate as follows:

Notch standard = (Ei) x (1.1 + (1--ELHi/std))

Where:

Ei = The deteriorated brake-specific emission rate (for 
          pollutant i) for the notch (i.e., the brake-specific emission 
          rate calculated under subpart F of this part, adjusted by the 
          deterioration factor in the application for certification); 
          where i is NOX, HC, CO or PM.
ELHi = The deteriorated line-haul duty-cycle weighted brake-
          specific emission rate for pollutant i, as reported in the 
          application for certification, except as specified in 
          paragraph (e)(6) of this section.
std = The applicable line-haul duty-cycle standard/FEL, except as 
          specified in paragraph (e)(6) of this section.

    (3) Exhaust emissions that exceed the notch standards specified in 
paragraph (e)(2) of this section are allowed only if one of the 
following is true:
    (i) The same emission controls are applied during the test 
conditions causing the noncompliance as were applied during 
certification test conditions (and to the same degree).
    (ii) The exceedance result from a design feature that was described 
(including its effect on emissions) in the approved application for 
certification, and is:
    (A) Necessary for safety;
    (B) Addresses infrequent regeneration of an aftertreatment device; 
or
    (C) Otherwise allowed by this part.
    (4) Since you are only required to test your locomotive at the 
highest emitting dynamic brake point, the notch caps that you calculate 
for the dynamic brake point that you test also apply for other dynamic 
brake points.
    (5) No PM notch caps apply for locomotives certified to a PM 
standard or FEL of 0.05 g/bhp-hr or lower.

[[Page 481]]

    (6) For switch locomotives that are not subject to line-haul 
standards, ELH\i\ equals the deteriorated switch duty-cycle weighted 
brake-specific emission rate for pollutant i and std is the applicable 
switch cycle standard/FEL.
    (f) Fuels. The exhaust emission standards in this section apply for 
locomotives using the fuel type on which the locomotives in the engine 
family are designed to operate.
    (1) You must meet the numerical emission standards for HC in this 
section based on the following types of hydrocarbon emissions for 
locomotives powered by the following fuels:
    (i) Alcohol-fueled locomotives: THCE emissions for Tier 3 and 
earlier locomotives and NMHCE for Tier 4.
    (ii) Gaseous-fueled locomotives: NMHC emissions.
    (iii) Diesel-fueled and other locomotives: THC emissions for Tier 3 
and earlier locomotives and NMHC for Tier 4. Note that manufacturers/
remanufacturers may choose to not measure NMHC and assume that NMHC is 
equal to THC multiplied by 0.98 for diesel-fueled locomotives.
    (2) You must certify your diesel-fueled locomotives to use the 
applicable grades of diesel fuel as follows:
    (i) Certify your Tier 4 and later diesel-fueled locomotives for 
operation with only Ultra Low Sulfur Diesel (ULSD) fuel. Use ULSD as the 
test fuel for these locomotives.
    (ii) Certify your Tier 3 and earlier diesel-fueled locomotives for 
operation with only ULSD fuel if they include sulfur-sensitive 
technology and you demonstrate compliance using a ULSD test fuel.
    (iii) Certify your Tier 3 and earlier diesel-fueled locomotives for 
operation with either ULSD fuel or Low Sulfur Diesel (LSD) fuel if they 
do not include sulfur-sensitive technology or if you demonstrate 
compliance using an LSD test fuel (including commercial LSD fuel).
    (iv) For Tier 1 and earlier diesel-fueled locomotives, if you 
demonstrate compliance using a ULSD test fuel, you must adjust the 
measured PM emissions upward by 0.01 g/bhp-hr to make them equivalent to 
tests with LSD. We will not apply this adjustment for our testing.
    (g) Useful life. The emission standards and requirements in this 
subpart apply to the emissions from new locomotives for their useful 
life. The useful life is generally specified as MW-hrs and years, and 
ends when either of the values (MW-hrs or years) is exceeded or the 
locomotive is remanufactured.
    (1) The minimum useful life in terms of MW-hrs is equal to the 
product of the rated horsepower multiplied by 7.50. The minimum useful 
life in terms of years is ten years. For locomotives originally 
manufactured before January 1, 2000 and not equipped with MW-hr meters, 
the minimum useful life is equal to 750,000 miles or ten years, 
whichever is reached first. See (1033.140 for provisions related to 
rated power.
    (2) You must specify a longer useful life if the locomotive or 
locomotive engine is designed to last longer than the applicable minimum 
useful life. Recommending a time to remanufacture that is longer than 
the minimum useful life is one indicator of a longer design life.
    (3) Manufacturers/remanufacturers of locomotives with non-
locomotive-specific engines (as defined in (1033.901) may ask us (before 
certification) to allow a shorter useful life for an engine family 
containing only non-locomotive-specific engines. We may approve a 
shorter useful life, in MW-hrs of locomotive operation but not in years, 
if we determine that these locomotives will rarely operate longer than 
the shorter useful life. If engines identical to those in the engine 
family have already been produced and are in use, your demonstration 
must include documentation from such in-use engines. In other cases, 
your demonstration must include an engineering analysis of information 
equivalent to such in-use data, such as data from research engines or 
similar engine models that are already in production. Your demonstration 
must also include any overhaul interval that you recommend, any 
mechanical warranty that you offer for the engine or its components, and 
any relevant customer design specifications. Your demonstration may 
include any other relevant information.

[[Page 482]]

    (4) Remanufacturers of locomotive or locomotive engine 
configurations that have been previously certified under paragraph 
(g)(3) of this section to a useful life that is shorter than the value 
specified in paragraph (g)(1) of this section may certify to that same 
shorter useful life value without request.
    (5) In unusual circumstances, you may ask us to allow you to certify 
some locomotives in your engine family to a partial useful life. This 
allowance is limited to cases in which some or all of the locomotive(s 
power assemblies have been operated previously such that the locomotive 
will need to be remanufactured prior to the end of the otherwise 
applicable useful life. Unless we specify otherwise, define the partial 
useful life based on the total MW-hrs since the last remanufacture to be 
consistent with other locomotives in the family. For example, this may 
apply for a previously uncertified locomotive that becomes ``new'' when 
it is imported, but that was remanufactured two years earlier 
(representing 25 percent of the normal useful life period). If such a 
locomotive could be brought into compliance with the applicable 
standards without being remanufactured, you may ask to include it in 
your engine family for the remaining 75 percent of its useful life 
period.
    (h) Applicability for testing. The emission standards in this 
subpart apply to all testing, including certification testing, 
production-line testing, and in-use testing.
    (i) Alternate CO standards. Manufacturers/remanufacturers may 
certify Tier 0, Tier 1, or Tier 2 locomotives to an alternate CO 
emission standard of 10.0 g/bhp-hr instead of the otherwise applicable 
CO standard if they also certify those locomotives to alternate PM 
standards less than or equal to one-half of the otherwise applicable PM 
standard. For example, a manufacturer certifying Tier 1 locomotives to a 
0.11 g/bhp-hr PM standard may certify those locomotives to the alternate 
CO standard of 10.0 g/bhp-hr.
    (j) Alternate NOX+HC standards for Tier 4. Manufacturers/
remanufacturers may use credits accumulated through the ABT program to 
certify Tier 4 locomotives to an alternate NOX+HC emission 
standard of 1.4 g/bhp-hr (instead of the otherwise applicable 
NOX and NMHC standards). You may use NOX credits 
to show compliance with this standard by certifying your family to a 
NOX+HC FEL. Calculate the NOX credits needed as 
specified in subpart H of this part using the NOX+HC emission 
standard and FEL in the calculation instead of the otherwise applicable 
NOX standard and FEL. You may not generate credits relative 
to the alternate standard or certify to the standard without using 
credits.
    (k) Upgrading. Upgraded locomotives that were originally 
manufactured prior to January 1, 1973 are subject to the Tier 0 
standards. (See the definition of upgrade in Sec.  1033.901.)
    (l) Other optional standard provisions. Locomotives may be certified 
to a higher tier of standards than would otherwise be required. Tier 0 
switch locomotives may be certified to both the line-haul and switch 
cycle standards. In both cases, once the locomotives become subject to 
the additional standards, they remain subject to those standards for the 
remainder of their service lives.



Sec.  1033.102  Transition to the standards of this part.

    (a) Except as specified in Sec.  1033.150(a), the Tier 0 and Tier 1 
standards of Sec.  1033.101 apply for new locomotives beginning January 
1, 2010, except as specified in Sec.  1033.150(a). The Tier 0 and Tier 1 
standards of 40 CFR part 92 apply for earlier model years.
    (b) Except as specified in Sec.  1033.150(a), the Tier 2 standards 
of Sec.  1033.101 apply for new locomotives beginning January 1, 2013. 
The Tier 2 standards of 40 CFR part 92 apply for earlier model years.
    (c) The Tier 3 and Tier 4 standards of Sec.  1033.101 apply for the 
model years specified in that section.



Sec.  1033.110  Emission diagnostics--general requirements.

    The provisions of this section apply if you equip your locomotives 
with a diagnostic system that will detect significant malfunctions in 
their emission-control systems and you choose to base your emission-
related maintenance instructions on such diagnostics.

[[Page 483]]

See Sec.  1033.420 for information about how to select and maintain 
diagnostic-equipped locomotives for in-use testing. Notify the owner/
operator that the presence of this diagnostic system affects their 
maintenance obligations under Sec.  1033.815. Except as specified in 
Sec.  1033.112, this section does not apply for diagnostics that you do 
not include in your emission-related maintenance instructions. The 
provisions of this section address diagnostic systems based on 
malfunction-indicator lights (MILs). You may ask to use other indicators 
instead of MILs.
    (a) The MIL must be readily visible to the operator. When the MIL 
goes on, it must display ``Check Emission Controls'' or a similar 
message that we approve. You may use sound in addition to the light 
signal.
    (b) To ensure that owner/operators consider MIL illumination 
seriously, you may not illuminate it for malfunctions that would not 
otherwise require maintenance. This section does not limit your ability 
to display other indicator lights or messages, as long as they are 
clearly distinguishable from MILs affecting the owner/operator's 
maintenance obligations under Sec.  1033.815.
    (c) Control when the MIL can go out. If the MIL goes on to show a 
malfunction, it must remain on during all later engine operation until 
servicing corrects the malfunction. If the engine is not serviced, but 
the malfunction does not recur during the next 24 hours, the MIL may 
stay off during later engine operation.
    (d) Record and store in computer memory any diagnostic trouble codes 
showing a malfunction that should illuminate the MIL. The stored codes 
must identify the malfunctioning system or component as uniquely as 
possible. Make these codes available through the data link connector as 
described in paragraph (e) of this section. You may store codes for 
conditions that do not turn on the MIL. The system must store a separate 
code to show when the diagnostic system is disabled (from malfunction or 
tampering). Provide instructions to the owner/operator regarding how to 
interpret malfunction codes.
    (e) Make data, access codes, and devices accessible. Make all 
required data accessible to us without any access codes or devices that 
only you can supply. Ensure that anyone servicing your locomotive can 
read and understand the diagnostic trouble codes stored in the onboard 
computer with generic tools and information.
    (f) Follow standard references for formats, codes, and connections.



Sec.  1033.112  Emission diagnostics for SCR systems.

    Engines equipped with SCR systems using separate reductant tanks 
must also meet the requirements of this section in addition to the 
requirements of Sec.  1033.110. This section does not apply for SCR 
systems using the engine's fuel as the reductant.
    (a) The diagnostic system must monitor reductant quality and tank 
levels and alert operators to the need to refill the reductant tank 
before it is empty, or to replace the reductant if it does not meet your 
concentration specifications. Unless we approve other alerts, use a 
malfunction-indicator light (MIL) as specified in Sec.  1033.110 and an 
audible alarm. You do not need to separately monitor reductant quality 
if you include an exhaust NOX sensor (or other sensor) that 
allows you to determine inadequate reductant quality. However, tank 
level must be monitored in all cases.
    (b) Your onboard computer must record in nonvolatile computer memory 
all incidents of engine operation with inadequate reductant injection or 
reductant quality. It must record the total amount of operation without 
adequate reductant. It may total the operation by hours, work, or excess 
NOX emissions.



Sec.  1033.115  Other requirements.

    Locomotives that are required to meet the emission standards of this 
part must meet the requirements of this section. These requirements 
apply when the locomotive is new (for freshly manufactured or 
remanufactured locomotives) and continue to apply throughout the useful 
life.

[[Page 484]]

    (a) Crankcase emissions. Crankcase emissions may not be discharged 
directly into the ambient atmosphere from any locomotive, except as 
follows:
    (1) Locomotives may discharge crankcase emissions to the ambient 
atmosphere if the emissions are added to the exhaust emissions (either 
physically or mathematically) during all emission testing. If you take 
advantage of this exception, you must do both of the following things:
    (i) Manufacture the locomotives so that all crankcase emissions can 
be routed into the applicable sampling systems specified in 40 CFR part 
1065, consistent with good engineering judgment.
    (ii) Account for deterioration in crankcase emissions when 
determining exhaust deterioration factors.
    (2) For purposes of this paragraph (a), crankcase emissions that are 
routed to the exhaust upstream of exhaust aftertreatment during all 
operation are not considered to be discharged directly into the ambient 
atmosphere.
    (b) Adjustable parameters. Locomotives that have adjustable 
parameters must meet all the requirements of this part for any 
adjustment in the approved adjustable range. You must specify in your 
application for certification the adjustable range of each adjustable 
parameter on a new locomotive or new locomotive engine to:
    (1) Ensure that safe locomotive operating characteristics are 
available within that range, as required by section 202(a)(4) of the 
Clean Air Act (42 U.S.C. 7521(a)(4)), taking into consideration the 
production tolerances.
    (2) Limit the physical range of adjustability to the maximum extent 
practicable to the range that is necessary for proper operation of the 
locomotive or locomotive engine.
    (c) Prohibited controls. You may not design or produce your 
locomotives with emission control devices, systems, or elements of 
design that cause or contribute to an unreasonable risk to public 
health, welfare, or safety while operating. For example, this would 
apply if the locomotive emits a noxious or toxic substance it would 
otherwise not emit that contributes to such an unreasonable risk.
    (d) Evaporative and refueling controls. For locomotives fueled with 
a volatile fuel you must design and produce them to minimize evaporative 
emissions during normal operation, including periods when the engine is 
shut down. You must also design and produce them to minimize the escape 
of fuel vapors during refueling. Hoses used to refuel gaseous-fueled 
locomotives may not be designed to be bled or vented to the atmosphere 
under normal operating conditions. No valves or pressure relief vents 
may be used on gaseous-fueled locomotives except as emergency safety 
devices that do not operate at normal system operating flows and 
pressures.
    (e) Altitude requirements. All locomotives must be designed to 
include features that compensate for changes in altitude so that the 
locomotives will comply with the applicable emission standards when 
operated at any altitude less than:
    (1) 7000 feet above sea level for line-haul locomotives.
    (2) 5500 feet above sea level for switch locomotives.
    (f) Defeat devices. You may not equip your locomotives with a defeat 
device. A defeat device is an auxiliary emission control device (AECD) 
that reduces the effectiveness of emission controls under conditions 
that the locomotive may reasonably be expected to encounter during 
normal operation and use.
    (1) This does not apply to AECDs you identify in your certification 
application if any of the following is true:
    (i) The conditions of concern were substantially included in the 
applicable duty cycle test procedures described in subpart F of this 
part.
    (ii) You show your design is necessary to prevent locomotive damage 
or accidents.
    (iii) The reduced effectiveness applies only to starting the 
locomotive.
    (iv) The locomotive emissions when the AECD is functioning are at or 
below the notch caps of Sec.  1033.101.
    (g) Idle controls. All new locomotives must be equipped with 
automatic engine stop/start as described in this paragraph (g). All new 
locomotives must be designed to allow the engine(s) to be restarted at 
least six times per day without causing engine damage

[[Page 485]]

that would affect the expected interval between remanufacturing. Note 
that it is a violation of 40 CFR 1068.101(b)(1) to circumvent the 
provisions of this paragraph (g).
    (1) Except as allowed by paragraph (g)(2) of this section, the stop/
start systems must shut off the main locomotive engine(s) after 30 
minutes of idling (or less).
    (2) Stop/start systems may restart or continue idling for the 
following reasons:
    (i) To prevent engine damage such as to prevent the engine coolant 
from freezing.
    (ii) To maintain air pressure for brakes or starter system, or to 
recharge the locomotive battery.
    (iii) To perform necessary maintenance.
    (iv) To otherwise comply with federal regulations.
    (4) You may ask to use alternate stop/start systems that will 
achieve equivalent idle control.
    (5) See Sec.  1033.201 for provisions that allow you to obtain a 
separate certificate for idle controls.
    (6) It is not considered circumvention to allow a locomotive to idle 
to heat or cool the cab, provided such heating or cooling is necessary.
    (h) Power meters. Tier 1 and later locomotives must be equipped with 
MW-hr meters (or the equivalent) consistent with the specifications of 
Sec.  1033.140.



Sec.  1033.120  Emission-related warranty requirements.

    (a) General requirements. Manufacturers/remanufacturers must warrant 
to the ultimate purchaser and each subsequent purchaser that the new 
locomotive, including all parts of its emission control system, meets 
two conditions:
    (1) It is designed, built, and equipped so it conforms at the time 
of sale to the ultimate purchaser with the requirements of this part.
    (2) It is free from defects in materials and workmanship that may 
keep it from meeting these requirements.
    (b) Warranty period. Except as specified in this paragraph, the 
minimum warranty period is one-third of the useful life. Your emission-
related warranty must be valid for at least as long as the minimum 
warranty periods listed in this paragraph (b) in MW-hrs of operation and 
years, whichever comes first. You may offer an emission-related warranty 
more generous than we require. The emission-related warranty for the 
locomotive may not be shorter than any published warranty you offer 
without charge for the locomotive. Similarly, the emission-related 
warranty for any component may not be shorter than any published 
warranty you offer without charge for that component. If you provide an 
extended warranty to individual owners for any components covered in 
paragraph (c) of this section for an additional charge, your emission-
related warranty must cover those components for those owners to the 
same degree. If the locomotive does not record MW-hrs, we base the 
warranty periods in this paragraph (b) only on years. The warranty 
period begins when the locomotive is placed into service, or back into 
service after remanufacture.
    (c) Components covered. The emission-related warranty covers all 
components whose failure would increase a locomotive's emissions of any 
pollutant. This includes components listed in 40 CFR part 1068, Appendix 
I, and components from any other system you develop to control 
emissions. The emission-related warranty covers the components you sell 
even if another company produces the component. Your emission-related 
warranty does not cover components whose failure would not increase a 
locomotive's emissions of any pollutant. For remanufactured locomotives, 
your emission-related warranty does not cover used parts that are not 
replaced during the remanufacture.
    (d) Limited applicability. You may deny warranty claims under this 
section if the operator caused the problem through improper maintenance 
or use, as described in 40 CFR 1068.115.
    (e) Owners manual. Describe in the owners manual the emission-
related warranty provisions from this section that apply to the 
locomotive.

[[Page 486]]



Sec.  1033.125  Maintenance instructions.

    Give the owner of each new locomotive written instructions for 
properly maintaining and using the locomotive, including the emission-
control system. Include in the instructions a notification that owners 
and operators must comply with the requirements of subpart I of this 
part 1033. The emission-related maintenance instructions also apply to 
any service accumulation on your emission-data locomotives, as described 
in Sec.  1033.245 and in 40 CFR part 1065. If you equip your locomotives 
with a diagnostic system that will detect significant malfunctions in 
their emission-control systems, specify the extent to which your 
emission-related maintenance instructions include such diagnostics.



Sec.  1033.130  Instructions for engine remanufacturing or engine installation.

    (a) If you do not complete assembly of the new locomotive (such as 
selling a kit that allows someone else to remanufacture a locomotive 
under your certificate), give the assembler instructions for completing 
assembly consistent with the requirements of this part. Include all 
information necessary to ensure that the locomotive will be assembled in 
its certified configuration.
    (b) Make sure these instructions have the following information:
    (1) Include the heading: ``Emission-related assembly instructions''
    (2) Describe any instructions necessary to make sure the assembled 
locomotive will operate according to design specifications in your 
application for certification.
    (3) Describe how to properly label the locomotive. This will 
generally include instructions to remove and destroy the previous Engine 
Emission Control Information label.
    (4) State one of the following as applicable:
    (i) ``Failing to follow these instructions when remanufacturing a 
locomotive or locomotive engine violates federal law (40 CFR 
1068.105(b)), and may subject you to fines or other penalties as 
described in the Clean Air Act.''
    (ii) ``Failing to follow these instructions when installing this 
locomotive engine violates federal law (40 CFR 1068.105(b)), and may 
subject you to fines or other penalties as described in the Clean Air 
Act.''
    (c) You do not need installation instructions for locomotives you 
assemble.
    (d) Provide instructions in writing or in an equivalent format. For 
example, you may post instructions on a publicly available Web site for 
downloading or printing. If you do not provide the instructions in 
writing, explain in your application for certification how you will 
ensure that each assembler is informed of the assembly requirements.
    (e) Your emission-related assembly instructions may not include 
specifications for parts unrelated to emissions. For the basic 
mechanical parts listed in this paragraph (e), you may not specify a 
part manufacturer unless we determine that such a specification is 
necessary. You may include design specifications for such parts 
addressing the dimensions and material constraints as necessary. You may 
also specify a part number, as long you make it clear that alternate 
part suppliers may be used. This paragraph (e) covers the following 
parts or other parts we determine qualify as basic mechanical parts:
    (1) Intake and exhaust valves.
    (2) Intake and exhaust valve retainers.
    (3) Intake and exhaust valve springs.
    (4) Intake and exhaust valve rotators.
    (5) Oil coolers.



Sec.  1033.135  Labeling.

    As described in this section, each locomotive must have a label on 
the locomotive and a separate label on the engine. The label on the 
locomotive stays on the locomotive throughout its service life. It 
generally identifies the original certification of the locomotive, which 
is when it was originally manufactured for Tier 1 and later locomotives. 
The label on the engine is replaced each time the locomotive is 
remanufactured and identifies the most recent certification.

[[Page 487]]

    (a) Serial numbers. At the point of original manufacture, assign 
each locomotive and each locomotive engine a serial number or other 
unique identification number and permanently affix, engrave, or stamp 
the number on the locomotive and engine in a legible way.
    (b) Locomotive labels. (1) Locomotive labels meeting the 
specifications of paragraph (b)(2) of this section must be applied as 
follows:
    (i) The manufacturer must apply a locomotive label at the point of 
original manufacture.
    (ii) The remanufacturer must apply a locomotive label at the point 
of original remanufacture, unless the locomotive was labeled by the 
original manufacturer.
    (iii) Any remanufacturer certifying a locomotive to an FEL or 
standard different from the previous FEL or standard to which the 
locomotive was previously certified must apply a locomotive label.
    (2) The locomotive label must meet all of the following criteria:
    (i) The label must be permanent and legible and affixed to the 
locomotive in a position in which it will remain readily visible. Attach 
it to a locomotive chassis part necessary for normal operation and not 
normally requiring replacement during the service life of the 
locomotive. You may not attach this label to the engine or to any 
equipment that is easily detached from the locomotive. Attach the label 
so that it cannot be removed without destroying or defacing the label. 
For Tier 0 locomotives, the label may be made up of more than one piece, 
as long as all pieces are permanently attached to the locomotive.
    (ii) The label must be lettered in the English language using a 
color that contrasts with the background of the label.
    (iii) The label must include all the following information:
    (A) The label heading: ``ORIGINAL LOCOMOTIVE EMISSION CONTROL 
INFORMATION.'' Manufacturers/remanufacturers may add a subheading to 
distinguish this label from the engine label described in paragraph (c) 
of this section.
    (B) Full corporate name and trademark of the manufacturer (or 
remanufacturer).
    (C) The applicable engine family and configuration identification. 
In the case of locomotive labels applied by the manufacturer at the 
point of original manufacture, this will be the engine family and 
configuration identification of the certificate applicable to the 
freshly manufactured locomotive. In the case of locomotive labels 
applied by a remanufacturer during remanufacture, this will be the 
engine family and configuration identification of the certificate under 
which the remanufacture is being performed.
    (D) Date of original manufacture of the locomotive, as defined in 
Sec.  1033.901.
    (E) The standards/FELs to which the locomotive was certified and the 
following statement: ``THIS LOCOMOTIVE MUST COMPLY WITH THESE EMISSION 
LEVELS EACH TIME THAT IT IS REMANUFACTURED, EXCEPT AS ALLOWED BY 40 CFR 
1033.750.''
    (3) Label diesel-fueled locomotives near the fuel inlet to identify 
the allowable fuels, consistent with Sec.  1033.101. For example, Tier 4 
locomotives should be labeled ``ULTRA LOW SULFUR DIESEL FUEL ONLY'' You 
do not need to label Tier 3 and earlier locomotives certified for use 
with both LSD and ULSD.
    (c) Engine labels. (1) For engines not requiring aftertreatment 
devices, apply engine labels meeting the specifications of paragraph 
(c)(2) of this section once an engine has been assembled in its 
certified configuration. For engines that require aftertreatment 
devices, apply the label after the engine has been fully assembled, 
which may occur before installing the aftertreatment devices. These 
labels must be applied by:
    (i) The manufacturer at the point of original manufacture; and
    (ii) The remanufacturer at the point of each remanufacture 
(including the original remanufacture and subsequent remanufactures).
    (2) The engine label must meet all of the following criteria:

[[Page 488]]

    (i) The label must be durable throughout the useful life of the 
engine, be legible and affixed to the engine in a position in which it 
will be readily visible after installation of the engine in the 
locomotive. Attach it to an engine part necessary for normal operation 
and not normally requiring replacement during the useful life of the 
locomotive. You may not attach this label to any equipment that is 
easily detached from the engine. Attach the label so it cannot be 
removed without destroying or defacing the label. The label may be made 
up of more than one piece, as long as all pieces are permanently 
attached to the same engine part.
    (ii) The label must be lettered in the English language using a 
color that contrasts with the background of the label.
    (iii) The label must include all the following information:
    (A) The label heading: ``ENGINE EMISSION CONTROL INFORMATION.'' 
Manufacturers/remanufacturers may add a subheading to distinguish this 
label from the locomotive label described in paragraph (b) of this 
section.
    (B) Full corporate name and trademark of the manufacturer/
remanufacturer.
    (C) Engine family and configuration identification as specified in 
the certificate under which the locomotive is being manufactured or 
remanufactured.
    (D) A prominent unconditional statement of compliance with U.S. 
Environmental Protection Agency regulations which apply to locomotives, 
as applicable:
    (1) ``This locomotive conforms to U.S. EPA regulations applicable to 
Tier 0+ switch locomotives.''
    (2) ``This locomotive conforms to U.S. EPA regulations applicable to 
Tier 0+ line-haul locomotives.''
    (3) ``This locomotive conforms to U.S. EPA regulations applicable to 
Tier 1+ locomotives.''
    (4) ``This locomotive conforms to U.S. EPA regulations applicable to 
Tier 2+ locomotives.''
    (5) ``This locomotive conforms to U.S. EPA regulations applicable to 
Tier 3 switch locomotives.''
    (6) ``This locomotive conforms to U.S. EPA regulations applicable to 
Tier 3 line-haul locomotives.''
    (7) ``This locomotive conforms to U.S. EPA regulations applicable to 
Tier 4 switch locomotives.''
    (8) ``This locomotive conforms to U.S. EPA regulations applicable to 
Tier 4 line-haul locomotives.''
    (E) The useful life of the locomotive.
    (F) The standards/FELS to which the locomotive was certified.
    (iv) You may include other critical operating instructions such as 
specifications for adjustments or reductant use for SCR systems.
    (d) You may add information to the emission control information 
label as follows:
    (1) You may identify other emission standards that the engine/
locomotive meets or does not meet (such as international standards). You 
may include this information by adding it to the statement we specify or 
by including a separate statement.
    (2) You may add other information to ensure that the locomotive will 
be properly maintained and used.
    (3) You may add appropriate features to prevent counterfeit labels. 
For example, you may include the engine's unique identification number 
on the label.
    (e) You may ask us to approve modified labeling requirements in this 
part 1033 if you show that it is necessary or appropriate. We will 
approve your request if your alternate label is consistent with the 
requirements of this part.



Sec.  1033.140  Rated power.

    This section describes how to determine the rated power of a 
locomotive for the purposes of this part.
    (a) A locomotive configuration's rated power is the maximum brake 
power point on the nominal power curve for the locomotive configuration, 
as defined in this section. See Sec.  1033.901 for the definition of 
brake power. Round the power value to the nearest whole horsepower. 
Generally, this will be the brake power of the engine in notch 8.
    (b) The nominal power curve of a locomotive configuration is its 
maximum available brake power at each

[[Page 489]]

possible operator demand setpoint or ``notch''. See 40 CFR 1065.1001 for 
the definition of operator demand. The maximum available power at each 
operator demand setpoint is based on your design and production 
specifications for that locomotive. The nominal power curve does not 
include any operator demand setpoints that are not achievable during in-
use operation. For example, for a locomotive with only eight discrete 
operator demand setpoints, or notches, the nominal power curve would be 
a series of eight power points versus notch, rather than a continuous 
curve.
    (c) The nominal power curve must be within the range of the actual 
power curves of production locomotives considering normal production 
variability. If after production begins it is determined that your 
nominal power curve does not represent production locomotives, we may 
require you to amend your application for certification under Sec.  
1033.225.
    (d) For the purpose of determining useful life, you may need to use 
a rated power based on power other than brake power according to the 
provisions of this paragraph (d). The useful life must be based on the 
power measured by the locomotive's megawatt-hour meter. For example, if 
your megawatt-hour meter reads and records the electrical work output of 
the alternator/generator rather than the brake power of the engine, and 
the power output of the alternator/generator at notch 8 is 4000 
horsepower, calculate your useful life as 30,000MW-hrs (7.5 x 4000).



Sec.  1033.150  Interim provisions.

    The provisions of this section apply instead of other provisions of 
this part for a limited time. This section describes when these 
provisions apply.
    (a) Early availability of Tier 0, Tier 1, or Tier 2 systems. Except 
as specified in paragraph (a)(2) of this section, for model years 2008 
and 2009, you may remanufacture locomotives to meet the applicable 
standards in 40 CFR part 92 only if no remanufacture system has been 
certified to meet the standards of this part and is available at a 
reasonable cost at least 90 days prior to the completion of the 
remanufacture as specified in paragraph (a)(3) of this section. This 
same provision continues to apply after 2009, but only for Tier 2 
locomotives. Note that remanufacturers may certify remanufacturing 
systems that will not be available at a reasonable cost; however such 
certification does not trigger the requirements of this paragraph (a).
    (1) For the purpose of this paragraph (a), ``available at a 
reasonable cost'' means available for use where all of the following are 
true:
    (i) The total incremental cost to the owner and operators of the 
locomotive due to meeting the new standards (including initial hardware, 
increased fuel consumption, and increased maintenance costs) during the 
useful life of the locomotive is less than $250,000, adjusted as 
specified in paragraph (a)(4)(i) of this section.
    (ii) The initial incremental hardware costs are reasonably related 
to the technology included in the remanufacturing system and are less 
than $125,000, adjusted as specified in paragraph (a)(4)(i) of this 
section.
    (iii) The remanufactured locomotive will have reliability throughout 
its useful life that is similar to the reliability the locomotive would 
have had if it had been remanufactured without the certified 
remanufacture system.
    (iv) The remanufacturer must demonstrate at the time of 
certification that the system meets the requirements of this paragraph 
(a)(1).
    (v) The system does not generate or use emission credits.
    (2) The number of locomotives that each railroad must remanufacture 
under this paragraph (a) is capped as follows:
    (i) For the period October 3, 2008 to December 31, 2008, the maximum 
number of locomotives that a railroad must remanufacture under this 
paragraph (a) is 50 percent of the total number of the railroad's 
locomotives that are remanufactured during this period under this part 
or 40 CFR part 92. Include in the calculation both locomotives you own 
and locomotives you lease.
    (ii) For the period January 1, 2009 to December 31, 2009, the 
maximum number of locomotives that a railroad must remanufacture under 
this paragraph (a) is 70 percent of the total number of the

[[Page 490]]

railroad's locomotives that are remanufactured during this period under 
this part or 40 CFR part 92. Include in the calculation both locomotives 
you own and locomotives you lease.
    (3) Remanufacturers applying for certificates under this paragraph 
(a) are responsible to notify owner/operators (and other customers as 
applicable) that they have requested such certificates. The notification 
should occur at the same time that the remanufacturer submits its 
application, and should include a description of the remanufacturing 
system, price, expected incremental operating costs, and draft copies of 
your installation and maintenance instructions. The system is considered 
to be available for a customer 120 days after this notification, or 90 
days after the certificate is issued, whichever is later. Where we issue 
a certificate of conformity under this part based on carryover data from 
an engine family that we previously considered available for the 
configuration, the system is considered to be available when we issue 
the certificate.
    (4) Estimate costs as described in this paragraph (a)(4).
    (i) The cost limits described in paragraph (a)(1) of this section 
are specified in terms of 2007 dollars. Adjust these values for future 
years according to the following equation:

Actual Limit = (2007 Limit) x[ (0.6000)x(Commodity Index) + 
(0.4000)x(Earnings Index) ]

Where:

2007 Limit = The value specified in paragraph (a)(1) of this section 
          ($250,000 or $125,000).
Commodity Index = The U.S. Bureau of Labor Statistics Producer Price 
          Index for Industrial Commodities Less Fuel (Series 
          WPU03T15M05) for the month prior to the date you submit your 
          application divided by 173.1.
Earnings Index = The U.S. Bureau of Labor Statistics Estimated Average 
          Hourly Earnings of Production Workers for Durable 
          Manufacturing (Series CES3100000008) for the month prior to 
          the date you submit your application divided by 18.26.

    (ii) Calculate all costs in current dollars (for the month prior to 
the date you submit your application). Calculate fuel costs based on a 
fuel price adjusted by the Association of American Railroads' monthly 
railroad fuel price index (P), which is available at https://
www.aar.org/PubCommon/Documents/AboutTheIndustry/Index--
MonthlyFuelPrices.pdf. (Use the value for the column in which P equals 
539.8 for November 2007.) Calculate a new fuel price using the following 
equation:

Fuel Price = ($2.76 per gallon) x(P/539.8)

    (b) Idle controls. A locomotive equipped with an automatic engine 
stop/start system that was originally installed before January 1, 2008 
and that conforms to the requirements of Sec.  1033.115(g) is deemed to 
be covered by a certificate of conformity with respect to the 
requirements of Sec.  1033.115(g). Note that the provisions of subpart C 
of this part also allow you to apply for a conventional certificate of 
conformity for such systems.
    (c) Locomotive labels for transition to new standards. This 
paragraph (c) applies when you remanufacture a locomotive that was 
previously certified under 40 CFR part 92. You must remove the old 
locomotive label and replace it with the locomotive label specified in 
Sec.  1033.135.
    (d) Small manufacturer/remanufacturer provisions. The production-
line testing requirements and in-use testing requirements of this part 
do not apply until January 1, 2013 for manufacturers/remanufacturers 
that qualify as small manufacturers under Sec.  1033.901.
    (e) Producing switch locomotives using certified nonroad engines. 
You may use the provisions of this paragraph (e) to produce any number 
of freshly manufactured or refurbished switch locomotives in model years 
2008 through 2017. Locomotives produced under this paragraph (e) are 
exempt from the standards and requirements of this part and 40 CFR part 
92 subject to the following provisions:
    (1) All of the engines on the switch locomotive must be covered by a 
certificate of conformity issued under 40 CFR part 89 or 1039 for model 
year 2008 or later. Engines over 750 hp certified to the Tier 4 
standards for non-generator set engines are not eligible for this 
allowance after 2014.
    (2) You must reasonably project that more of the engines will be 
sold and used for non-locomotive use than for use in locomotives.

[[Page 491]]

    (3) You may not generate or use locomotive credits under this part 
for these locomotives.
    (4) Include the following statement on a permanent locomotive label: 
``THIS LOCOMOTIVE WAS CERTIFIED UNDER 40 CFR 1033.150(e). THE ENGINES 
USED IN THIS LOCOMOTIVE ARE SUBJECT TO REQUIREMENTS OF 40 CFR PARTS 1039 
(or 89) AND 1068.''
    (5) The rebuilding requirements of 40 CFR part 1068 apply when 
remanufacturing engines used in these locomotives.
    (f) In-use compliance limits. For purposes of determining compliance 
other than for certification or production-line testing, calculate the 
applicable in-use compliance limits by adjusting the applicable 
standards/FELs. The PM adjustment applies only for model year 2017 and 
earlier locomotives and does not apply for locomotives with a PM FEL 
higher than 0.03 g/bhp-hr. The NOX adjustment applies only 
for model year 2017 and earlier locomotives and does not apply for 
locomotives with a NOX FEL higher than 2.0 g/bhp-hr. Add the 
applicable adjustments in Tables 1 or 2 of this section (which follow) 
to the otherwise applicable standards (or FELs) and notch caps. You must 
specify during certification which add-ons, if any, will apply for your 
locomotives.

 Table 1 to Sec.   1033.150.--In-Use Adjustments for Tier 4 Locomotives
------------------------------------------------------------------------
                                         In-use adjustments (g/bhp-hr)
                                     -----------------------------------
                                       For model year    For model year
Fraction of useful life already used  2017 and earlier  2017 and earlier
                                         Tier 4 NOX         Tier 4 PM
                                          standards         standards
------------------------------------------------------------------------
0 < MW-hrs <= 50% of UL.............               0.7              0.01
50 < MW-hrs  75% of UL...               1.0              0.01
MW-hrs  75% of UL........               1.3              0.01
------------------------------------------------------------------------


   Table 2 to Sec.   1033.150.--Optional In-Use Adjustments for Tier 4
                               Locomotives
------------------------------------------------------------------------
                                         In-use adjustments (g/bhp-hr)
                                     -----------------------------------
                                       For model year    For model year
Fraction of useful life already used  2017 and earlier  2017 and earlier
                                         Tier 4 NOX         Tier 4 PM
                                          standards         standards
------------------------------------------------------------------------
0 < MW-hrs <= 50% of UL.............               0.2              0.03
50 < MW-hrs <= 75% of UL............               0.3              0.03
MW-hrs  75% of UL........               0.4              0.03
------------------------------------------------------------------------

    (g) Optional interim Tier 4 compliance provisions for NOX 
emissions. For model years 2015 through 2022, manufacturers may choose 
to certify some or all of their Tier 4 line-haul engine families 
according to the optional compliance provisions of this paragraph (g). 
The following provisions apply to all locomotives in those families:
    (1) The provisions of this paragraph (g) apply instead of the 
deterioration factor requirements of Sec. Sec.  1033.240 and 1033.245 
for NOX emissions. You must certify that the locomotives in 
the engine family will conform to the requirements of this paragraph (g) 
for their full useful lives.
    (2) The applicable NOX emission standard for locomotives 
certified under this paragraph (g) is:
    (i) 1.3 g/bhp-hr for locomotives that have accumulated less than 50 
hours of operation.
    (ii) 1.3 plus 0.6 g/bhp-hr for locomotives that have accumulated 50 
hours or more of operation.
    (3) The engine family may not generate NOX emission 
credits.
    (4) The design certification provisions of Sec.  1033.240(c) do not 
apply for these locomotives for the next remanufacture.
    (5) Manufacturers must comply with the production-line testing 
program in subpart D of this part for these engine

[[Page 492]]

families or the following optional program:
    (i) You are not required to test locomotives in the family under 
subpart D of this part if you comply with the requirements of this 
paragraph (g)(5).
    (ii) Test the locomotives as specified in subpart E of this part, 
with the following exceptions:
    (A) The minimum test sample size is one percent of the number of 
locomotives in the family or five, whichever is less.
    (B) The locomotives must be tested after they have accumulated 50 
hours or more of operation but before they have reached 50 percent of 
their useful life.
    (iii) The standards in this part for pollutants other than 
NOX apply as specified for testing conducted under this 
optional program.
    (6) The engine family may use NOX emission credits to 
comply with this paragraph (g). However, a 1.5 g/bhp-hr NOX 
FEL cap applies for engine families certified under this paragraph (g). 
The applicable standard for locomotives that have accumulated 50 hours 
or more of operation is the FEL plus 0.6 g/bhp-hr.
    (7) The in-use NOX add-ons specified in paragraph (f) of 
this section do not apply for these locomotives.
    (8) All other provisions of this part apply to such locomotives, 
except as specified otherwise in this paragraph (g).
    (h) Test procedures. You are generally required to use the test 
procedures specified in subpart F of this part (including the applicable 
test procedures in 40 CFR part 1065). As specified in this paragraph 
(h), you may use a combination of the test procedures specified in this 
part and the test procedures specified in 40 CFR part 92 prior to 
January 1, 2015. After this date, you must use only the test procedures 
specified in this part.
    (1) Prior to January 1, 2015, you may ask to use some or all of the 
procedures specified in 40 CFR part 92 for locomotives certified under 
this part 1033.
    (2) If you ask to rely on a combination of procedures under this 
paragraph (h), we will approve your request only if you show us that it 
does not affect your ability to demonstrate compliance with the 
applicable emission standards. Generally this requires that the combined 
procedures would result in emission measurements at least as high as 
those that would be measured using the procedures specified in this 
part. Alternatively, you may demonstrate that the combined effects of 
the different procedures is small relative to your compliance margin 
(the degree to which your emissions are below the applicable standards).
    (i) Certification testing. Prior to model year 2014, you may use the 
simplified steady-state engine test procedure specified in this 
paragraph (i) for certification testing. The normal certification 
procedures and engine testing procedures apply, except as specified in 
this paragraph (i).
    (1) Use good engineering judgment to operate the engine consistent 
with its expected operation in the locomotive, to the extent practical. 
You are not required to exactly replicate the transient behavior of the 
engine.
    (2) You may delay sampling during notch transition for up to 20 
seconds after you begin the notch change.
    (3) We may require you provide additional information in your 
application for certification to support the expectation that production 
locomotives will meet all applicable emission standards when tested as 
locomotives.
    (4) You may not use this simplified procedure for production-line or 
in-use testing.
    (j) Administrative requirements. For model years 2008 and 2009, you 
may use a combination of the administrative procedures specified in this 
part and the test procedures specified in 40 CFR part 92. For example, 
this would allow you to use the certification procedures of 40 CFR part 
92 to apply for certificates under this part 1033.
    (k) Test fuels. Testing performed during calendar years 2008 and 
2009 may be performed using test fuels that meet the specifications of 
40 CFR 92.113. If you do, adjust PM emissions downward by 0.04 g/bhp-hr 
to account for the difference in sulfur content of the fuel.
    (1) Refurbished switch locomotives. In 2008 and 2009 remanufactured 
Tier 0 switch locomotives that are deemed to

[[Page 493]]

be refurbished may be certified as remanufactured switch locomotives 
under 40 CFR part 92.



                  Subpart C_Certifying Engine Families



Sec.  1033.201  General requirements for obtaining a certificate of conformity.

    Certification is the process by which you demonstrate to us that 
your freshly manufactured or remanufactured locomotives will meet the 
applicable emission standards throughout their useful lives (explaining 
to us how you plan to manufacture or remanufacture locomotives, and 
providing test data showing that such locomotives will comply with all 
applicable emission standards). Anyone meeting the definition of 
manufacturer in Sec.  1033.901 may apply for a certificate of conformity 
for freshly manufactured locomotives. Anyone meeting the definition of 
remanufacturer in Sec.  1033.901 may apply for a certificate of 
conformity for remanufactured locomotives.
    (a) You must send us a separate application for a certificate of 
conformity for each engine family. A certificate of conformity is valid 
starting with the indicated effective date, but it is not valid for any 
production after December 31 of the model year for which it is issued. 
No certificate will be issued after December 31 of the model year.
    (b) The application must contain all the information required by 
this part and must not include false or incomplete statements or 
information (see Sec.  1033.255).
    (c) We may ask you to include less information than we specify in 
this subpart, as long as you maintain all the information required by 
Sec.  1033.250.
    (d) You must use good engineering judgment for all decisions related 
to your application (see 40 CFR 1068.5).
    (e) An authorized representative of your company must approve and 
sign the application.
    (f) See Sec.  1033.255 for provisions describing how we will process 
your application.
    (g) We may require you to deliver your test locomotives to a 
facility we designate for our testing (see Sec.  1033.235(c)).
    (h) By applying for a certificate of conformity, you are accepting 
responsibility for the in-use emission performance of all properly 
maintained and used locomotives covered by your certificate. This 
responsibility applies without regard to whether you physically 
manufacture or remanufacture the entire locomotive. If you do not 
physically manufacture or remanufacture the entire locomotive, you must 
take reasonable steps (including those specified by this part) to ensure 
that the locomotives produced under your certificate conform to the 
specifications of your application for certification. Note that this 
paragraph does not limit any liability under this part or the Clean Air 
Act for entities that do not obtain certificates. This paragraph also 
does not prohibit you from making contractual arrangements with 
noncertifiers related to recovering damages for noncompliance.
    (i) The provisions of this subpart describe how to obtain a 
certificate that covers all standards and requirements. Manufacturer/
remanufacturers may ask to obtain a certificate of conformity that does 
not cover the idle control requirements of Sec.  1033.115 or one that 
only covers the idle control requirements of Sec.  1033.115. 
Remanufacturers obtaining such partial certificates must include a 
statement in their installation instructions that two certificates and 
labels are required for a locomotive to be in a fully certified 
configuration. We may modify the certification requirements for 
certificates that will only cover idle control systems.



Sec.  1033.205  Applying for a certificate of conformity.

    (a) Send the Designated Compliance Officer a complete application 
for each engine family for which you are requesting a certificate of 
conformity.
    (b) The application must be approved and signed by the authorized 
representative of your company.
    (c) You must update and correct your application to accurately 
reflect your production, as described in Sec.  1033.225.
    (d) Include the following information in your application:

[[Page 494]]

    (1) A description of the basic engine design including, but not 
limited to, the engine family specifications listed in Sec.  1033.230. 
For freshly manufactured locomotives, a description of the basic 
locomotive design. For remanufactured locomotives, a description of the 
basic locomotive designs to which the remanufacture system will be 
applied. Include in your description, a list of distinguishable 
configurations to be included in the engine family. Note whether you are 
requesting a certificate that will or will not cover idle controls.
    (2) An explanation of how the emission control system operates, 
including detailed descriptions of:
    (i) All emission control system components.
    (ii) Injection or ignition timing for each notch (i.e., degrees 
before or after top-dead-center), and any functional dependence of such 
timing on other operational parameters (e.g., engine coolant 
temperature).
    (iii) Each auxiliary emission control device (AECD).
    (iv) All fuel system components to be installed on any production or 
test locomotives.
    (v) Diagnostics.
    (3) A description of the test locomotive.
    (4) A description of the test equipment and fuel used. Identify any 
special or alternate test procedures you used.
    (5) A description of the operating cycle and the period of operation 
necessary to accumulate service hours on the test locomotive and 
stabilize emission levels. You may also include a Green Engine Factor 
that would adjust emissions from zero-hour engines to be equivalent to 
stabilized engines.
    (6) A description of all adjustable operating parameters (including, 
but not limited to, injection timing and fuel rate), including the 
following:
    (i) The nominal or recommended setting and the associated production 
tolerances.
    (ii) The intended adjustable range, and the physically adjustable 
range.
    (iii) The limits or stops used to limit adjustable ranges.
    (iv) Production tolerances of the limits or stops used to establish 
each physically adjustable range.
    (v) Information relating to why the physical limits or stops used to 
establish the physically adjustable range of each parameter, or any 
other means used to inhibit adjustment, are the most effective means 
possible of preventing adjustment of parameters to settings outside your 
specified adjustable ranges on in-use engines.
    (7) Projected U.S. production information for each configuration. If 
you are projecting substantially different sales of a configuration than 
you had previously, we may require you to explain why you are projecting 
the change.
    (8) All test data you obtained for each test engine or locomotive. 
As described in Sec.  1033.235, we may allow you to demonstrate 
compliance based on results from previous emission tests, development 
tests, or other testing information. Include data for NOX, 
PM, HC, CO, and CO2.
    (9) The intended deterioration factors for the engine family, in 
accordance with Sec.  1033.245. If the deterioration factors for the 
engine family were developed using procedures that we have not 
previously approved, you should request preliminary approval under Sec.  
1033.210.
    (10) The intended useful life period for the engine family, in 
accordance with Sec.  1033.101(g). If the useful life for the engine 
family was determined using procedures that we have not previously 
approved, you should request preliminary approval under Sec.  1033.210.
    (11) Copies of your proposed emission control label(s), maintenance 
instructions, and installation instructions (where applicable).
    (12) An unconditional statement declaring that all locomotives 
included in the engine family comply with all requirements of this part 
and the Clean Air Act.
    (e) If we request it, you must supply such additional information as 
may be required to evaluate the application.
    (f) Provide the information to read, record, and interpret all the 
information broadcast by a locomotive's onboard computers and electronic 
control units. State that, upon request, you

[[Page 495]]

will give us any hardware, software, or tools we would need to do this. 
You may reference any appropriate publicly released standards that 
define conventions for these messages and parameters. Format your 
information consistent with publicly released standards.
    (g) Include the information required by other subparts of this part. 
For example, include the information required by Sec.  1033.725 if you 
participate in the ABT program.
    (h) Include other applicable information, such as information 
specified in this part or part 1068 of this chapter related to requests 
for exemptions.
    (i) 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.
    (j) For imported locomotives, we may require you to describe your 
expected importation process.



Sec.  1033.210  Preliminary approval.

    (a) If you send us information before you finish the application, we 
will review it and make any appropriate determinations for questions 
related to engine family definitions, auxiliary emission-control 
devices, deterioration factors, testing for service accumulation, 
maintenance, and useful lives.
    (b) Decisions made under this section are considered to be 
preliminary approval, subject to final review and approval. We will 
generally not reverse a decision where we have given you preliminary 
approval, unless we find new information supporting a different 
decision.
    (c) If you request preliminary approval related to the upcoming 
model year or the model year after that, we will make best-efforts to 
make the appropriate determinations as soon as practicable. We will 
generally not provide preliminary approval related to a future model 
year more than three years ahead of time.
    (d) You must obtain preliminary approval for your plan to develop 
deterioration factors prior to the start of any service accumulation to 
be used to develop the factors.



Sec.  1033.220  Amending maintenance instructions.

    You may amend your emission-related maintenance instructions after 
you submit your application for certification, as long as the amended 
instructions remain consistent with the provisions of Sec.  1033.125. 
You must send the Designated Compliance Officer a request to amend your 
application for certification for an engine family if you want to change 
the emission-related maintenance instructions in a way that could affect 
emissions. In your request, describe the proposed changes to the 
maintenance instructions. We will approve your request if we determine 
that the amended instructions are consistent with maintenance you 
performed on emission-data engines such that your durability 
demonstration would remain valid. If owners/operators follow the 
original maintenance instructions rather than the newly specified 
maintenance, this does not allow you to disqualify those locomotives 
from in-use testing or deny a warranty claim.
    (a) If you are decreasing, replacing, or eliminating any of the 
specified maintenance, you may distribute the new maintenance 
instructions to your customers 30 days after we receive your request, 
unless we disapprove your request. This would generally include 
replacing one maintenance step with another. We may approve a shorter 
time or waive this requirement.
    (b) If your requested change would not decrease the specified 
maintenance, you may distribute the new maintenance instructions anytime 
after you send your request. For example, this paragraph (b) would cover 
adding instructions to increase the frequency of filter changes for 
locomotives in severe-duty applications.
    (c) You do not need to request approval if you are making only minor 
corrections (such as correcting typographical mistakes), clarifying your 
maintenance instructions, or changing instructions for maintenance 
unrelated to emission control. We may ask you to send us copies of 
maintenance instructions revised under this paragraph (c).

[[Page 496]]



Sec.  1033.225  Amending applications for certification.

    Before we issue you a certificate of conformity, you may amend your 
application to include new or modified locomotive configurations, 
subject to the provisions of this section. After we have issued your 
certificate of conformity, you may send us an amended application 
requesting that we include new or modified locomotive configurations 
within the scope of the certificate, subject to the provisions of this 
section. You must also amend your application if any changes occur with 
respect to any information included in your application. For example, 
you must amend your application if you determine that your actual 
production variation for an adjustable parameter exceeds the tolerances 
specified in your application.
    (a) You must amend your application before you take either of the 
following actions:
    (1) Add a locomotive configuration to an engine family. In this 
case, the locomotive added must be consistent with other locomotives in 
the engine family with respect to the criteria listed in Sec.  1033.230. 
For example, you must amend your application if you want to produce 12-
cylinder versions of the 16-cylinder locomotives you described in your 
application.
    (2) Change a locomotive already included in an engine family in a 
way that may affect emissions, or change any of the components you 
described in your application for certification. This includes 
production and design changes that may affect emissions any time during 
the locomotive's lifetime. For example, you must amend your application 
if you want to change a part supplier if the part was described in your 
original application and is different in any material respect than the 
part you described.
    (3) Modify an FEL for an engine family as described in paragraph (f) 
of this section.
    (b) To amend your application for certification, send the Designated 
Compliance Officer the following information:
    (1) Describe in detail the addition or change in the locomotive 
model or configuration you intend to make.
    (2) Include engineering evaluations or data showing that the amended 
engine family complies with all applicable requirements. You may do this 
by showing that the original emission-data locomotive is still 
appropriate with respect to showing compliance of the amended family 
with all applicable requirements.
    (3) If the original emission-data locomotive for the engine family 
is not appropriate to show compliance for the new or modified 
locomotive, include new test data showing that the new or modified 
locomotive meets the requirements of this part.
    (c) We may ask for more test data or engineering evaluations. You 
must give us these within 30 days after we request them.
    (d) For engine families already covered by a certificate of 
conformity, we will determine whether the existing certificate of 
conformity covers your new or modified locomotive. You may ask for a 
hearing if we deny your request (see Sec.  1033.920).
    (e) For engine families already covered by a certificate of 
conformity, you may start producing the new or modified locomotive 
anytime after you send us your amended application, before we make a 
decision under paragraph (d) of this section. However, if we determine 
that the affected locomotives do not meet applicable requirements, we 
will notify you to cease production of the locomotives and may require 
you to recall the locomotives at no expense to the owner. Choosing to 
produce locomotives under this paragraph (e) is deemed to be consent to 
recall all locomotives that we determine do not meet applicable emission 
standards or other requirements and to remedy the nonconformity at no 
expense to the owner. If you do not provide information required under 
paragraph (c) of this section within 30 days, you must stop producing 
the new or modified locomotives.
    (f) You may ask us to approve a change to your FEL in certain cases 
after the start of production. The changed FEL may not apply to 
locomotives you have already introduced into U.S. commerce, except as 
described in this paragraph (f). If we approve a changed FEL after the 
start of

[[Page 497]]

production, you must include the new FEL on the emission control 
information label for all locomotives produced after the change. You may 
ask us to approve a change to your FEL in the following cases:
    (1) You may ask to raise your FEL for your engine family at any 
time. In your request, you must show that you will still be able to meet 
the emission standards as specified in subparts B and H of this part. If 
you amend your application by submitting new test data to include a 
newly added or modified locomotive, as described in paragraph (b)(3) of 
this section, use the appropriate FELs with corresponding production 
volumes to calculate your production-weighted average FEL for the model 
year, as described in subpart H of this part. If you amend your 
application without submitting new test data, you must use the higher 
FEL for the entire family to calculate your production-weighted average 
FEL under subpart H of this part.
    (2) You may ask to lower the FEL for your emission family only if 
you have test data from production locomotives showing that emissions 
are below the proposed lower FEL. The lower FEL applies only to engines 
or fuel-system components you produce after we approve the new FEL. Use 
the appropriate FELs with corresponding production volumes to calculate 
your production-weighted average FEL for the model year, as described in 
subpart H of this part.



Sec.  1033.230  Grouping locomotives into engine families.

    (a) Divide your product line into engine families of locomotives 
that are expected to have similar emission characteristics throughout 
the useful life. Your engine family is limited to a single model year. 
Freshly manufactured locomotives may not be included in the same engine 
family as remanufactured locomotives, except as allowed by paragraph (f) 
of this section. Paragraphs (b) and (c) of this section specify default 
criteria for dividing locomotives into engine families. Paragraphs (d) 
and (e) of this section allow you deviate from these defaults in certain 
circumstances.
    (b) This paragraph (b) applies for all locomotives other than Tier 0 
locomotives. Group locomotives in the same engine family if they are the 
same in all the following aspects:
    (1) The combustion cycle (e.g., diesel cycle).
    (2) The type of engine cooling employed and procedure(s) employed to 
maintain engine temperature within desired limits (thermostat, on-off 
radiator fan(s), radiator shutters, etc.).
    (3) The nominal bore and stroke dimensions.
    (4) The approximate intake and exhaust event timing and duration 
(valve or port).
    (5) The location of the intake and exhaust valves (or ports).
    (6) The size of the intake and exhaust valves (or ports).
    (7) The overall injection or ignition timing characteristics (i.e., 
the deviation of the timing curves from the optimal fuel economy timing 
curve must be similar in degree).
    (8) The combustion chamber configuration and the surface-to-volume 
ratio of the combustion chamber when the piston is at top dead center 
position, using nominal combustion chamber dimensions.
    (9) The location of the piston rings on the piston.
    (10) The method of air aspiration (turbocharged, supercharged, 
naturally aspirated, Roots blown).
    (11) The general performance characteristics of the turbocharger or 
supercharger (e.g., approximate boost pressure, approximate response 
time, approximate size relative to engine displacement).
    (12) The type of air inlet cooler (air-to-air, air-to-liquid, 
approximate degree to which inlet air is cooled).
    (13) The intake manifold induction port size and configuration.
    (14) The type of fuel and fuel system configuration.
    (15) The configuration of the fuel injectors and approximate 
injection pressure.
    (16) The type of fuel injection system controls (i.e., mechanical or 
electronic).
    (17) The type of smoke control system.

[[Page 498]]

    (18) The exhaust manifold port size and configuration.
    (19) The type of exhaust aftertreatment system (oxidation catalyst, 
particulate trap), and characteristics of the aftertreatment system 
(catalyst loading, converter size vs. engine size).
    (c) Group Tier 0 locomotives in the same engine family if they are 
the same in all the following aspects:
    (1) The combustion cycle (e.g., diesel cycle).
    (2) The type of engine cooling employed and procedure(s) employed to 
maintain engine temperature within desired limits (thermostat, on-off 
radiator fan(s), radiator shutters, etc.).
    (3) The approximate bore and stroke dimensions.
    (4) The approximate location of the intake and exhaust valves (or 
ports).
    (5) The combustion chamber general configuration and the approximate 
surface-to-volume ratio of the combustion chamber when the piston is at 
top dead center position, using nominal combustion chamber dimensions.
    (6) The method of air aspiration (turbocharged, supercharged, 
naturally aspirated, Roots blown).
    (7) The type of air inlet cooler (air-to-air, air-to-liquid, 
approximate degree to which inlet air is cooled).
    (8) The type of fuel and general fuel system configuration.
    (9) The general configuration of the fuel injectors and approximate 
injection pressure.
    (10) The type of fuel injection system control (electronic or 
mechanical).
    (d) You may subdivide a group of locomotives that is identical under 
paragraph (b) or (c) of this section into different engine families if 
you show the expected emission characteristics are different during the 
useful life. This allowance also covers locomotives for which only 
calculated emission rates differ, such as locomotives with and without 
energy-saving design features. For the purposes of determining whether 
an engine family is a small engine family in Sec.  1033.405(a)(2), we 
will consider the number of locomotives that could have been classed 
together under paragraph (b) or (c) of this section, instead of the 
number of locomotives that are included in a subdivision allowed by this 
paragraph (d).
    (e) In unusual circumstances, you may group locomotives that are not 
identical with respect to the things listed in paragraph (b) or (c) of 
this section in the same engine family if you show that their emission 
characteristics during the useful life will be similar.
    (f) During the first six calendar years after a new tier of 
standards become applicable, remanufactured engines/locomotives may be 
included in the same engine family as freshly manufactured locomotives, 
provided the same engines and emission controls are used for locomotive 
models included in the engine family.



Sec.  1033.235  Emission testing required for certification.

    This section describes the emission testing you must perform to show 
compliance with the emission standards in Sec.  1033.101.
    (a) Select an emission-data locomotive (or engine) from each engine 
family for testing. It may be a low mileage locomotive, or a development 
engine (that is equivalent in design to the engines of the locomotives 
being certified), or another low hour engine. Use good engineering 
judgment to select the locomotive configuration that is most likely to 
exceed (or have emissions nearest to) an applicable emission standard or 
FEL. In making this selection, consider all factors expected to affect 
emission control performance and compliance with the standards, 
including emission levels of all exhaust constituents, especially 
NOX and PM.
    (b) Test your emission-data locomotives using the procedures and 
equipment specified in subpart F of this part.
    (c) We may measure emissions from any of your test locomotives or 
other locomotives from the engine family.
    (1) We may decide to do the testing at your plant or any other 
facility. If we do this, you must deliver the test locomotive to a test 
facility we designate. If we do the testing at your plant, you must 
schedule it as soon as possible and make available the instruments, 
personnel, and equipment we need.

[[Page 499]]

    (2) If we measure emissions from one of your test locomotives, the 
results of that testing become the official emission results for the 
locomotive. Unless we later invalidate these data, we may decide not to 
consider your data in determining if your engine family meets applicable 
requirements.
    (3) Before we test one of your locomotives, we may set its 
adjustable parameters to any point within the adjustable ranges (see 
Sec.  1033.115(b)).
    (4) Before we test one of your locomotives, we may calibrate it 
within normal production tolerances for anything we do not consider an 
adjustable parameter.
    (d) You may ask to use emission data from a previous model year 
instead of doing new tests if all the following are true:
    (1) The engine family from the previous model year differs from the 
current engine family only with respect to model year, or other factors 
not related to emissions. You may include additional configurations 
subject to the provisions of Sec.  1033.225.
    (2) The emission-data locomotive from the previous model year 
remains the appropriate emission-data locomotive under paragraph (b) of 
this section.
    (3) The data show that the emission-data locomotive would meet all 
the requirements that apply to the engine family covered by the 
application for certification.
    (e) You may ask to use emission data from a different engine family 
you have already certified instead of testing a locomotive in the second 
engine family if all the following are true:
    (1) The same engine is used in both engine families.
    (2) You demonstrate to us that the differences in the two families 
are sufficiently small that the locomotives in the untested family will 
meet the same applicable notch standards calculated from the test data.
    (f) We may require you to test a second locomotive of the same or 
different configuration in addition to the locomotive tested under 
paragraph (b) of this section.
    (g) If you use an alternate test procedure under 40 CFR 1065.10 and 
later testing shows that such testing does not produce results that are 
equivalent to the procedures specified in subpart F of this part, we may 
reject data you generated using the alternate procedure.
    (h) The requirement to measure smoke emissions is waived for 
certification and production line testing, except where there is reason 
to believe your locomotives do not meet the applicable smoke standards.



Sec.  1033.240  Demonstrating compliance with exhaust emission standards.

    (a) For purposes of certification, your engine family is considered 
in compliance with the applicable numerical emission standards in Sec.  
1033.101 if all emission-data locomotives representing that family have 
test results showing deteriorated emission levels at or below these 
standards.
    (1) If you include your locomotive in the ABT program in subpart H 
of this part, your FELs are considered to be the applicable emission 
standards with which you must comply.
    (2) If you do not include your remanufactured locomotive in the ABT 
program in subpart H of this part, but it was previously included in the 
ABT program in subpart H of this part, the previous FELs are considered 
to be the applicable emission standards with which you must comply.
    (b) Your engine family is deemed not to comply if any emission-data 
locomotive representing that family has test results showing a 
deteriorated emission level above an applicable FEL or emission standard 
from Sec.  1033.101 for any pollutant. Use the following steps to 
determine the deteriorated emission level for the test locomotive:
    (1) Collect emission data using measurements with enough significant 
figures to calculate the cycle-weighted emission rate to at least one 
more decimal place than the applicable standard. Apply any applicable 
humidity corrections before weighting emissions.
    (2) Apply the regeneration factors if applicable. At this point the 
emission rate is generally considered to be an official emission result.
    (3) Apply the deterioration factor to the official emission result, 
as described in Sec.  1033.245, then round the adjusted figure to the 
same number of

[[Page 500]]

decimal places as the emission standard. This adjusted value is the 
deteriorated emission level. Compare these emission levels from the 
emission-data locomotive with the applicable emission standards. In the 
case of NOX+NMHC standards, apply the deterioration factor to 
each pollutant and then add the results before rounding.
    (4) The highest deteriorated emission levels for each pollutant are 
considered to be the certified emission levels.
    (c) An owner/operator remanufacturing its locomotives to be 
identical to their previously certified configuration may certify by 
design without new emission test data. To do this, submit the 
application for certification described in Sec.  1033.205, but instead 
of including test data, include a description of how you will ensure 
that your locomotives will be identical in all material respects to 
their previously certified condition. You may use reconditioned parts 
consistent with good engineering judgment. You have all of the 
liabilities and responsibilities of the certificate holder for 
locomotives you certify under this paragraph.



Sec.  1033.245  Deterioration factors.

    Establish deterioration factors for each pollutant to determine, as 
described in Sec.  1033.240, whether your locomotives will meet emission 
standards for each pollutant throughout the useful life. Determine 
deterioration factors as described in this section, either with an 
engineering analysis, with pre-existing test data, or with new emission 
measurements. The deterioration factors are intended to reflect the 
deterioration expected to result during the useful life of a locomotive 
maintained as specified in Sec.  1033.125. If you perform durability 
testing, the maintenance that you may perform on your emission-data 
locomotive is limited to the maintenance described in Sec.  1033.125.
    (a) Your deterioration factors must take into account any available 
data from in-use testing with similar locomotives, consistent with good 
engineering judgment. For example, it would not be consistent with good 
engineering judgment to use deterioration factors that predict emission 
increases over the useful life of a locomotive or locomotive engine that 
are significantly less than the emission increases over the useful life 
observed from in-use testing of similar locomotives.
    (b) Deterioration factors may be additive or multiplicative.
    (1) Additive deterioration factor for exhaust emissions. Except as 
specified in paragraph (b)(2) of this section, use an additive 
deterioration factor for exhaust emissions. An additive deterioration 
factor for a pollutant is the difference between exhaust emissions at 
the end of the useful life and exhaust emissions at the low-hour test 
point. In these cases, adjust the official emission results for each 
tested locomotive at the selected test point by adding the factor to the 
measured emissions. The deteriorated emission level is intended to 
represent the highest emission level during the useful life. Thus, if 
the factor is less than zero, use zero. Additive deterioration factors 
must be specified to one more decimal place than the applicable 
standard.
    (2) Multiplicative deterioration factor for exhaust emissions. Use a 
multiplicative deterioration factor if good engineering judgment calls 
for the deterioration factor for a pollutant to be the ratio of exhaust 
emissions at the end of the useful life to exhaust emissions at the low-
hour test point. For example, if you use aftertreatment technology that 
controls emissions of a pollutant proportionally to engine-out 
emissions, it is often appropriate to use a multiplicative deterioration 
factor. Adjust the official emission results for each tested locomotive 
at the selected test point by multiplying the measured emissions by the 
deterioration factor. The deteriorated emission level is intended to 
represent the highest emission level during the useful life. Thus, if 
the factor is less than one, use one. A multiplicative deterioration 
factor may not be appropriate in cases where testing variability is 
significantly greater than locomotive-to-locomotive variability. 
Multiplicative deterioration factors must be specified to one more 
significant figure than the applicable standard.
    (c) Deterioration factors for smoke are always additive.
    (d) If your locomotive vents crankcase emissions to the exhaust or 
to the

[[Page 501]]

atmosphere, you must account for crankcase emission deterioration, using 
good engineering judgment. You may use separate deterioration factors 
for crankcase emissions of each pollutant (either multiplicative or 
additive) or include the effects in combined deterioration factors that 
include exhaust and crankcase emissions together for each pollutant.
    (e) Include the following information in your application for 
certification:
    (1) If you determine your deterioration factors based on test data 
from a different engine family, explain why this is appropriate and 
include all the emission measurements on which you base the 
deterioration factor.
    (2) If you determine your deterioration factors based on engineering 
analysis, explain why this is appropriate and include a statement that 
all data, analyses, evaluations, and other information you used are 
available for our review upon request.
    (3) If you do testing to determine deterioration factors, describe 
the form and extent of service accumulation, including a rationale for 
selecting the service-accumulation period and the method you use to 
accumulate hours.



Sec.  1033.250  Reporting and recordkeeping.

    (a) Within 45 days after the end of the model year, send the 
Designated Compliance Officer a report describing the following 
information about locomotives you produced during the model year:
    (1) Report the total number of locomotives you produced in each 
engine family by locomotive model and engine model.
    (2) If you produced exempted locomotives, report the number of 
exempted locomotives you produced for each locomotive model and identify 
the buyer or shipping destination for each exempted locomotive. You do 
not need to report under this paragraph (a)(2) locomotives that were 
temporarily exempted, exported locomotives, locomotives exempted as 
manufacturer/remanufacturer-owned locomotives, or locomotives exempted 
as test locomotives.
    (b) Organize and maintain the following records:
    (1) A copy of all applications and any summary information you send 
us.
    (2) Any of the information we specify in Sec.  1033.205 that you 
were not required to include in your application.
    (3) A detailed history of each emission-data locomotive. For each 
locomotive, describe all of the following:
    (i) The emission-data locomotive's construction, including its 
origin and buildup, steps you took to ensure that it represents 
production locomotives, any components you built specially for it, and 
all the components you include in your application for certification.
    (ii) How you accumulated locomotive operating hours (service 
accumulation), including the dates and the number of hours accumulated.
    (iii) All maintenance, including modifications, parts changes, and 
other service, and the dates and reasons for the maintenance.
    (iv) All your emission tests, including documentation on routine and 
standard tests, as specified in part 40 CFR part 1065, and the date and 
purpose of each test.
    (v) All tests to diagnose locomotive or emission control 
performance, giving the date and time of each and the reasons for the 
test.
    (vi) Any other significant events.
    (4) If you test a development engine for certification, you may omit 
information otherwise required by paragraph (b)(3) of this section that 
is unrelated to emissions and emission-related components.
    (5) Production figures for each engine family divided by assembly 
plant.
    (6) Keep a list of locomotive identification numbers for all the 
locomotives you produce under each certificate of conformity.
    (c) Keep data from routine emission tests (such as test cell 
temperatures and relative humidity readings) for one year after we issue 
the associated certificate of conformity. Keep all other information 
specified in paragraph (a) of this section for eight years after we 
issue your certificate.
    (d) Store these records in any format and on any media, as long as 
you can promptly send us organized, written records in English if we ask 
for them. You must keep these records readily

[[Page 502]]

available. We may review them at any time.
    (e) Send us copies of any locomotive maintenance instructions or 
explanations if we ask for them.



Sec.  1033.255  EPA decisions.

    (a) If we determine your application is complete and shows that the 
engine family meets all the requirements of this part and the Clean Air 
Act, we will issue a certificate of conformity for your engine family 
for that model year. We may make the approval subject to additional 
conditions.
    (b) We may deny your application for certification if we determine 
that your engine family fails to comply with emission standards or other 
requirements of this part or the Clean Air Act. Our decision may be 
based on a review of all information available to us. If we deny your 
application, we will explain why in writing.
    (c) In addition, we may deny your application or suspend or revoke 
your certificate if you do any of the following:
    (1) Refuse to comply with any testing or reporting requirements.
    (2) Submit false or incomplete information (paragraph (e) of this 
section applies if this is fraudulent).
    (3) Render inaccurate any test data.
    (4) Deny us from completing authorized activities. This includes a 
failure to provide reasonable assistance.
    (5) Produce locomotives for importation into the United States at a 
location where local law prohibits us from carrying out authorized 
activities.
    (6) Fail to supply requested information or amend your application 
to include all locomotives being produced.
    (7) Take any action that otherwise circumvents the intent of the 
Clean Air Act or this part.
    (d) We may void your certificate if you do not keep the records we 
require or do not give us information when we ask for it.
    (e) We may void your certificate if we find that you intentionally 
submitted false or incomplete information.
    (f) If we deny your application or suspend, revoke, or void your 
certificate, you may ask for a hearing (see Sec.  1033.920).



 Subpart D_Manufacturer and Remanufacturer Production Line Testing and 
                             Audit Programs



Sec.  1033.301  Applicability.

    The requirements of this part apply to manufacturers/remanufacturers 
of locomotives certified under this part, with the following exceptions:
    (a) The requirements of Sec. Sec.  1033.310 1033.315, 1033.320, and 
1033.330 apply only to manufacturers of freshly manufactured locomotives 
or locomotive engines (including those used for repowering). We may also 
apply these requirements to remanufacturers of any locomotives for which 
there is reason to believe production problems exist that could affect 
emission performance. When we make a determination that production 
problems may exist that could affect emission performance, we will 
notify the remanufacturer(s). The requirements of Sec. Sec.  1033.310, 
1033.315, 1033.320, and 1033.330 will apply as specified in the notice.
    (b) The requirements of Sec.  1033.335 apply only to 
remanufacturers.
    (c) As specified in Sec.  1033.1(d), we may apply the requirements 
of this subpart to manufacturers/remanufacturers that do not certify the 
locomotives. However, unless we specify otherwise, the requirements of 
this subpart apply to manufacturers/remanufacturers that hold the 
certificates for the locomotives.



Sec.  1033.305  General requirements.

    (a) Manufacturers (and remanufacturers, where applicable) are 
required to test production line locomotives using the test procedures 
specified in Sec.  1033.315. While this subpart refers to locomotive 
testing, you may ask to test locomotive engines instead of testing 
locomotives.
    (b) Remanufacturers are required to conduct audits according to the 
requirements of Sec.  1033.335 to ensure that remanufactured locomotives 
comply with the requirements of this part.
    (c) If you certify an engine family with carryover emission data, as 
described in Sec.  1033.235, and these equivalent engine families 
consistently pass the production-line testing requirements over the 
preceding two-year period, you may ask for a reduced testing

[[Page 503]]

rate for further production-line testing for that family. If we reduce 
your testing rate, we may limit our approval to any number of model 
years. In determining whether to approve your request, we may consider 
the number of locomotives that have failed emission tests.
    (d) You may ask to use an alternate program or measurement method 
for testing production-line engines. In your request, you must show us 
that the alternate program gives equal assurance that your engines meet 
the requirements of this part. We may waive some or all of this 
subpart's requirements if we approve your alternate program.



Sec.  1033.310  Sample selection for testing.

    (a) At the start of each model year, begin randomly selecting 
locomotives from each engine family for production line testing at a 
rate of one percent. Make the selection of the test locomotive after it 
has been assembled. Perform the testing throughout the entire model year 
to the extent possible, unless we specify a different schedule for your 
tests. For example, we may require you to disproportionately select 
locomotives from the early part of a model year for a new locomotive 
model that has not been subject to PLT previously.
    (1) The required sample size for an engine family (provided that no 
locomotive tested fails to meet applicable emission standards) is the 
lesser of five tests per model year or one percent of projected annual 
production, with a minimum sample size for an engine family of one test 
per model year. See paragraph (d) of this section to determine the 
required number of test locomotives if any locomotives fail to comply 
with any standards.
    (2) You may elect to test additional locomotives. All additional 
locomotives must be tested in accordance with the applicable test 
procedures of this part.
    (b) You must assemble the test locomotives using the same production 
process that will be used for locomotives to be introduced into 
commerce. You may ask us to allow special assembly procedures for 
catalyst-equipped locomotives.
    (c) Unless we approve it, you may not use any quality control, 
testing, or assembly procedures that you do not use during the 
production and assembly of all other locomotives of that family. This 
applies for any test locomotive or any portion of a locomotive, 
including engines, parts, and subassemblies.
    (d) If one or more locomotives fail a production line test, then you 
must test two additional locomotives from the next fifteen produced in 
that engine family for each locomotive that fails. These two additional 
locomotives do not count towards your minimum number of locomotives. For 
example, if you are required to test a minimum of four locomotives under 
paragraph (a) of this section and the second locomotive fails to comply 
with one or more standards, then you must test two additional 
locomotives from the next fifteen produced in that engine family. If 
both of those locomotives pass all standards, you are required to test 
two additional locomotives to complete the original minimum number of 
four. If they both pass, you are done with testing for that family for 
the year since you tested six locomotives (the four originally required 
plus the two additional locomotives).



Sec.  1033.315  Test procedures.

    (a) Test procedures. Use the test procedures described in subpart F 
of this part, except as specified in this section.
    (1) You may ask to use other test procedures. We will approve your 
request if we determine that it is not possible to perform satisfactory 
testing using the specified procedures. We may also approve alternate 
test procedures under Sec.  1033.305(d).
    (2) If you used test procedures other than those in subpart F of 
this part during certification for the engine family (other than 
alternate test procedures necessary for testing a development engine or 
a low hour engine instead of a low mileage locomotive), use the same 
test procedures for production line testing that you used in 
certification.
    (b) Modifying a test locomotive. Once an engine is selected for 
testing, you may adjust, repair, maintain, or modify it or check its 
emissions only if one of the following is true:

[[Page 504]]

    (1) You document the need for doing so in your procedures for 
assembling and inspecting all your production engines and make the 
action routine for all the engines in the engine family.
    (2) This subpart otherwise specifically allows your action.
    (3) We approve your action in advance.
    (c) Adjustable parameters. (1) Confirm that adjustable parameters 
are set to values or positions that are within the range recommended to 
the ultimate purchaser.
    (2) We may require to be adjusted any adjustable parameter to any 
setting within the specified adjustable range of that parameter prior to 
the performance of any test.
    (d) Stabilizing emissions. You may stabilize emissions from the 
locomotives to be tested through service accumulation by running the 
engine through a typical duty cycle. Emissions are considered stabilized 
after 300 hours of operation. You may accumulate fewer hours, consistent 
with good engineering judgment. You may establish a Green Engine Factor 
for each regulated pollutant for each engine family, instead of (or in 
combination with) accumulating actual operation, to be used in 
calculating emissions test results. You must obtain our approval prior 
to using a Green Engine Factor. For catalyst-equipped locomotives, you 
may operate the locomotive for up to 1000 hours (in revenue or other 
service) prior to testing.
    (e) Adjustment after shipment. If a locomotive is shipped to a 
facility other than the production facility for production line testing, 
and an adjustment or repair is necessary because of such shipment, you 
may perform the necessary adjustment or repair only after the initial 
test of the locomotive, unless we determine that the test would be 
impossible to perform or would permanently damage the locomotive.
    (f) Malfunctions. If a locomotive cannot complete the service 
accumulation or an emission test because of a malfunction, you may 
request that we authorize either the repair of that locomotive or its 
deletion from the test sequence.
    (g) Retesting. If you determine that any production line emission 
test of a locomotive is invalid, you must retest it in accordance with 
the requirements of this subpart. Report emission results from all tests 
to us, including test results you determined are invalid. You must also 
include a detailed explanation of the reasons for invalidating any test 
in the quarterly report required in Sec.  1033.320(e). In the event a 
retest is performed, you may ask us within ten days of the end of the 
production quarter for permission to substitute the after-repair test 
results for the original test results. We will respond to the request 
within ten working days of our receipt of the request.



Sec.  1033.320  Calculation and reporting of test results.

    (a) Calculate initial test results using the applicable test 
procedure specified in Sec.  1033.315(a). Include applicable non-
deterioration adjustments such as a Green Engine Factor or regeneration 
adjustment factor. Round the results to one more decimal place than the 
applicable emission standard.
    (b) If you conduct multiple tests on any locomotives, calculate 
final test results by summing the initial test results derived in 
paragraph (a) of this section for each test locomotive, dividing by the 
number of tests conducted on the locomotive, and rounding to one more 
decimal place than the applicable emission standard. For catalyst-
equipped locomotives, you may ask us to allow you to exclude an initial 
failed test if all of the following are true:
    (1) The catalyst was in a green condition when tested initially.
    (2) The locomotive met all emission standards when retested after 
degreening the catalyst.
    (3) No additional emission-related maintenance or repair was 
performed between the initial failed test and the subsequent passing 
test.
    (c) Calculate the final test results for each test locomotive by 
applying the appropriate deterioration factors, derived in the 
certification process for the engine family, to the final test results, 
and rounding to one more decimal place than the applicable emission 
standard.
    (d) If, subsequent to an initial failure of a production line test, 
the average of

[[Page 505]]

the test results for the failed locomotive and the two additional 
locomotives tested, is greater than any applicable emission standard or 
FEL, the engine family is deemed to be in non-compliance with applicable 
emission standards, and you must notify us within ten working days of 
such noncompliance.
    (e) Within 45 calendar days of the end of each quarter, you must 
send to the Designated Compliance Officer a report with the following 
information:
    (1) The location and description of the emission test facilities 
which you used to conduct your testing.
    (2) Total production and sample size for each engine family tested.
    (3) The applicable standards against which each engine family was 
tested.
    (4) For each test conducted, include all of the following:
    (i) A description of the test locomotive, including:
    (A) Configuration and engine family identification.
    (B) Year, make, and build date.
    (C) Engine identification number.
    (D) Number of megawatt-hours (or miles if applicable) of service 
accumulated on locomotive prior to testing.
    (E) Description of Green Engine Factor; how it is determined and how 
it is applied.
    (ii) Location(s) where service accumulation was conducted and 
description of accumulation procedure and schedule, if applicable. If 
the locomotive was introduced into service between assembly and testing, 
you are only required to summarize the service accumulation, rather than 
identifying specific locations.
    (iii) Test number, date, test procedure used, initial test results 
before and after rounding, and final test results for all production 
line emission tests conducted, whether valid or invalid, and the reason 
for invalidation of any test results, if applicable.
    (iv) A complete description of any adjustment, modification, repair, 
preparation, maintenance, and testing which was performed on the test 
locomotive, has not been reported pursuant to any other paragraph of 
this subpart, and will not be performed on other production locomotives.
    (v) Any other information we may ask you to add to your written 
report so we can determine whether your new engines conform with the 
requirements of this part.
    (6) For each failed locomotive as defined in Sec.  1033.330(a), a 
description of the remedy and test results for all retests as required 
by Sec.  1033.340(g).
    (7) The following signed statement and endorsement by an authorized 
representative of your company:
    We submit this report under sections 208 and 213 of the Clean Air 
Act. Our production-line testing conformed completely with the 
requirements of 40 CFR part 1033. We have not changed production 
processes or quality-control procedures for the test locomotives in a 
way that might affect emission controls. All the information in this 
report is true and accurate to the best of my knowledge. I know of the 
penalties for violating the Clean Air Act and the regulations. 
(Authorized Company Representative)



Sec.  1033.325  Maintenance of records; submittal of information.

    (a) You must establish, maintain, and retain the following 
adequately organized and indexed test records:
    (1) A description of all equipment used to test locomotives. The 
equipment requirements in subpart F of this part apply to tests 
performed under this subpart. Maintain these records for each test cell 
that can be used to perform emission testing under this subpart.
    (2) Individual test records for each production line test or audit 
including:
    (i) The date, time, and location of each test or audit.
    (ii) The method by which the Green Engine Factor was calculated or 
the number of hours of service accumulated on the test locomotive when 
the test began and ended.
    (iii) The names of all supervisory personnel involved in the conduct 
of the production line test or audit;
    (iv) A record and description of any adjustment, repair, preparation 
or modification performed on test locomotives, giving the date, 
associated time, justification, name(s) of the authorizing personnel, 
and names of all

[[Page 506]]

supervisory personnel responsible for the conduct of the action.
    (v) If applicable, the date the locomotive was shipped from the 
assembly plant, associated storage facility or port facility, and the 
date the locomotive was received at the testing facility.
    (vi) A complete record of all emission tests or audits performed 
under this subpart (except tests performed directly by us), including 
all individual worksheets and/or other documentation relating to each 
test, or exact copies thereof, according to the record requirements 
specified in subpart F of this part and 40 CFR part 1065.
    (vii) A brief description of any significant events during testing 
not otherwise described under this paragraph (a)(2), commencing with the 
test locomotive selection process and including such extraordinary 
events as engine damage during shipment.
    (b) Keep all records required to be maintained under this subpart 
for a period of eight years after completion of all testing. Store these 
records in any format and on any media, as long as you can promptly 
provide to us organized, written records in English if we ask for them 
and all the information is retained.
    (c) Send us the following information with regard to locomotive 
production if we ask for it:
    (1) Projected production for each configuration within each engine 
family for which certification has been requested and/or approved.
    (2) Number of locomotives, by configuration and assembly plant, 
scheduled for production.
    (d) Nothing in this section limits our authority to require you to 
establish, maintain, keep or submit to us information not specified by 
this section.
    (e) Send all reports, submissions, notifications, and requests for 
approval made under this subpart to the Designated Compliance Officer 
using an approved format.
    (f) You must keep a copy of all reports submitted under this 
subpart.



Sec.  1033.330  Compliance criteria for production line testing.

    There are two types of potential failures: failure of an individual 
locomotive to comply with the standards, and a failure of an engine 
family to comply with the standards.
    (a) A failed locomotive is one whose final test results pursuant to 
Sec.  1033.320(c), for one or more of the applicable pollutants, exceed 
an applicable emission standard or FEL.
    (b) An engine family is deemed to be in noncompliance, for purposes 
of this subpart, if at any time throughout the model year, the average 
of an initial failed locomotive and the two additional locomotives 
tested, is greater than any applicable emission standard or FEL.



Sec.  1033.335  Remanufactured locomotives: installation audit requirements.

    The section specifies the requirements for certifying 
remanufacturers to audit the remanufacture of locomotives covered by 
their certificates of conformity for proper components, component 
settings and component installations on randomly chosen locomotives in 
an engine family.
    (a) You must ensure that all emission related components are 
properly installed on the locomotive and are set to the proper 
specification as indicated in your instructions. You may submit audits 
performed by the owners/operators of the locomotives, provided the 
audits are performed in accordance with the provisions of this section. 
We may require that you obtain affidavits for audits performed by 
owners/operators.
    (b) Audit at least five percent of your annual production per model 
year per installer or ten per engine family per installer, whichever is 
less. You must perform more audits if there are any failures. Randomly 
select the locomotives to be audited after the remanufacture is 
complete. We may allow you to select locomotives prior to the completion 
of the remanufacture, if the preselection would not have the potential 
to affect the manner in which the locomotive was remanufactured (e.g., 
where the installer is not aware of the selection prior to the 
completion of the remanufacture). Unless we specify otherwise, you are 
not required to audit installers that remanufacture fewer than 10 
locomotives per

[[Page 507]]

year under your certificates (combined for all of your engine families).
    (c) The audit should be completed as soon as is practical after the 
remanufacture is complete. In no case may the remanufactured locomotive 
accumulate more than 45,000 miles prior to an audit.
    (d) A locomotive fails if any emission related components are found 
to be improperly installed, improperly adjusted or incorrectly used.
    (e) If a remanufactured locomotive fails an audit, then you must 
audit two additional locomotives from the next ten remanufactured in 
that engine family by that installer.
    (f) An engine family is determined to have failed an audit, if at 
any time during the model year, you determine that the three locomotives 
audited are found to have had any improperly installed, improperly 
adjusted or incorrectly used components. You must notify us within 2 
working days of a determination of an engine family audit failure.
    (g) Within 45 calendar days of the end of each quarter, each 
remanufacturer must send the Designated Compliance Officer a report 
which includes the following information:
    (1) The location and description of your audit facilities which were 
utilized to conduct auditing reported pursuant to this section;
    (2) Total production and sample size for each engine family;
    (3) The applicable standards and/or FELs against which each engine 
family was audited;
    (4) For each audit conducted:
    (i) A description of the audited locomotive, including:
    (A) Configuration and engine family identification;
    (B) Year, make, build date, and remanufacture date; and
    (C) Locomotive and engine identification numbers;
    (ii) Any other information we request relevant to the determination 
whether the new locomotives being remanufactured do in fact conform with 
the regulations with respect to which the certificate of conformity was 
issued;
    (5) For each failed locomotive as defined in paragraph (d) of this 
section, a description of the remedy as required by Sec.  1033.340(g);
    (6) The following signed statement and endorsement by your 
authorized representative:
    We submit this report under sections 208 and 213 of the Clean Air 
Act. Our production-line auditing conformed completely with the 
requirements of 40 CFR part 1033. We have not changed production 
processes or quality-control procedures for the audited locomotives in a 
way that might affect emission controls. All the information in this 
report is true and accurate to the best of my knowledge. I know of the 
penalties for violating the Clean Air Act and the regulations. 
(Authorized Company Representative)



Sec.  1033.340  Suspension and revocation of certificates of conformity.

    (a) A certificate can be suspended for an individual locomotive as 
follows:
    (1) The certificate of conformity is automatically suspended for any 
locomotive that fails a production line test pursuant to Sec.  
1033.330(a), effective from the time the testing of that locomotive is 
completed.
    (2) The certificate of conformity is automatically suspended for any 
locomotive that fails an audit pursuant to Sec.  1033.335(d), effective 
from the time that auditing of that locomotive is completed.
    (b) A certificate can be suspended for an engine family as follows:
    (1) We may suspend the certificate of conformity for an engine 
family that is in noncompliance pursuant to Sec.  1033.330(b), thirty 
days after the engine family is deemed to be in noncompliance.
    (2) We may suspend the certificate of conformity for an engine 
family that is determined to have failed an audit pursuant to Sec.  
1033.335(f). This suspension will not occur before thirty days after the 
engine family is deemed to be in noncompliance.
    (c) If we suspend your certificate of conformity for an engine 
family, the suspension may apply to all facilities producing engines 
from an engine family, even if you find noncompliant engines only at one 
facility.

[[Page 508]]

    (d) We may revoke a certificate of conformity for any engine family 
in whole or in part if:
    (1) You fail to comply with any of the requirements of this subpart.
    (2) You submit false or incomplete information in any report or 
information provided to us under this subpart.
    (3) You render inaccurate any test data submitted under this 
subpart.
    (4) An EPA enforcement officer is denied the opportunity to conduct 
activities authorized in this subpart.
    (5) An EPA enforcement officer is unable to conduct authorized 
activities for any reason.
    (e) We will notify you in writing of any suspension or revocation of 
a certificate of conformity in whole or in part; a suspension or 
revocation is effective upon receipt of such notification or thirty days 
from the time a locomotive or engine family is deemed to be in 
noncompliance under Sec. Sec.  1033.320(d), 1033.330(a), 1033.330(b), or 
1033.335(f) is made, whichever is earlier, except that the certificate 
is immediately suspended with respect to any failed locomotives as 
provided for in paragraph (a) of this section.
    (f) We may revoke a certificate of conformity for an engine family 
when the certificate has been suspended under paragraph (b) or (c) of 
this section if the remedy is one requiring a design change or changes 
to the locomotive, engine and/or emission control system as described in 
the application for certification of the affected engine family.
    (g) Once a certificate has been suspended for a failed locomotive, 
as provided for in paragraph (a) of this section, you must take all the 
following actions before the certificate is reinstated for that failed 
locomotive:
    (1) Remedy the nonconformity.
    (2) Demonstrate that the locomotive conforms to applicable standards 
or family emission limits by retesting, or reauditing if applicable, the 
locomotive in accordance with this part.
    (3) Submit a written report to us after successful completion of 
testing (or auditing, if applicable) on the failed locomotive, which 
contains a description of the remedy and testing (or auditing) results 
for each locomotive in addition to other information that may be 
required by this part.
    (h) Once a certificate for a failed engine family has been suspended 
pursuant to paragraph (b) or (c) of this section, you must take the 
following actions before we will consider reinstating the certificate:
    (1) Submit a written report to us identifying the reason for the 
noncompliance of the locomotives, describing the remedy, including a 
description of any quality control measures you will use to prevent 
future occurrences of the problem, and stating the date on which the 
remedies will be implemented.
    (2) Demonstrate that the engine family for which the certificate of 
conformity has been suspended does in fact comply with the regulations 
of this part by testing (or auditing) locomotives selected from normal 
production runs of that engine family. Such testing (or auditing) must 
comply with the provisions of this subpart. If you elect to continue 
testing (or auditing) individual locomotives after suspension of a 
certificate, the certificate is reinstated for any locomotive actually 
determined to be in conformance with the applicable standards or family 
emission limits through testing (or auditing) in accordance with the 
applicable test procedures, provided that we have not revoked the 
certificate under paragraph (f) of this section.
    (i) If the certificate has been revoked for an engine family, you 
must take the following actions before we will issue a certificate that 
would allow you to continue introduction into commerce of a modified 
version of that family:
    (1) If we determine that the change(s) in locomotive design may have 
an effect on emission deterioration, we will notify you within five 
working days after receipt of the report in paragraph (h) of this 
section, whether subsequent testing/auditing under this subpart will be 
sufficient to evaluate the change(s) or whether additional testing (or 
auditing) will be required.
    (2) After implementing the change or changes intended to remedy the 
nonconformity, you must demonstrate that the modified engine family does 
in fact conform with the regulations of

[[Page 509]]

this part by testing locomotives (or auditing for remanufactured 
locomotives) selected from normal production runs of that engine family. 
When both of these requirements are met, we will reissue the certificate 
or issue a new certificate. If this subsequent testing (or auditing) 
reveals failing data the revocation remains in effect.
    (j) At any time subsequent to an initial suspension of a certificate 
of conformity for a test or audit locomotive pursuant to paragraph (a) 
of this section, but not later than 30 days (or such other period as may 
we allow) after the notification our decision to suspend or revoke a 
certificate of conformity in whole or in part pursuant to this section, 
you may request a hearing as to whether the tests or audits have been 
properly conducted or any sampling methods have been properly applied. 
(See Sec.  1033.920.)
    (k) Any suspension of a certificate of conformity under paragraphs 
(a) through (d) of this section will be made only after you have been 
offered an opportunity for a hearing conducted in accordance with Sec.  
1033.920. It will not apply to locomotives no longer in your possession.
    (l) If we suspend, revoke, or void a certificate of conformity, and 
you believe that our decision was based on erroneous information, you 
may ask us to reconsider our decision before requesting a hearing. If 
you demonstrate to our satisfaction that our decision was based on 
erroneous information, we will reinstate the certificate.
    (m) We may conditionally reinstate the certificate for that family 
so that you do not have to store non-test locomotives while conducting 
subsequent testing or auditing of the noncomplying family subject to the 
following condition: you must commit to recall all locomotives of that 
family produced from the time the certificate is conditionally 
reinstated if the family fails subsequent testing, or auditing if 
applicable, and must commit to remedy any nonconformity at no expense to 
the owner.



                        Subpart E_In-use Testing



Sec.  1033.401  Applicability.

    The requirements of this subpart are applicable to certificate 
holders for locomotives subject to the provisions of this part. These 
requirements may also be applied to other manufacturers/remanufacturers 
as specified in Sec.  1033.1(d).



Sec.  1033.405  General provisions.

    (a) Each year, we will identify engine families and configurations 
within families that you must test according to the requirements of this 
section.
    (1) We may require you to test one engine family each year for which 
you have received a certificate of conformity. If you are a manufacturer 
that holds certificates of conformity for both freshly manufactured and 
remanufactured locomotive engine families, we may require you to test 
one freshly manufactured engine family and one remanufactured engine 
family. We may require you to test additional engine families if we have 
reason to believe that locomotives in such families do not comply with 
emission standards in use.
    (2) For engine families of less than 10 locomotives per year, no in-
use testing will be required, unless we have reason to believe that 
those engine families are not complying with the applicable emission 
standards in use.
    (b) Test a sample of in-use locomotives from an engine family, as 
specified in Sec.  1033.415. We will use these data, and any other data 
available to us, to determine the compliance status of classes of 
locomotives, including for purposes of recall under 40 CFR part 1068, 
and whether remedial action is appropriate.



Sec.  1033.410  In-use test procedure.

    (a) You must test the complete locomotives; you may not test engines 
that are not installed in locomotives at the time of testing.
    (b) Test the locomotive according to the test procedures outlined in 
subpart F of this part, except as provided in this section.

[[Page 510]]

    (c) Use the same test procedures for in-use testing as were used for 
certification, except for cases in which certification testing was not 
conducted with a locomotive, but with a development engine or other 
engine. In such cases, we will specify deviations from the certification 
test procedures as appropriate. We may allow or require other alternate 
procedures, with advance approval.
    (d) Set all adjustable locomotive or engine parameters to values or 
positions that are within the range specified in the certificate of 
conformity. We may require you to set these parameters to specific 
values.
    (e) We may waive a portion of the applicable test procedure that is 
not necessary to determine in-use compliance.



Sec.  1033.415  General testing requirements.

    (a) Number of locomotives to be tested. Determine the number of 
locomotives to be tested by the following method:
    (1) Test a minimum of 2 locomotives per engine family, except as 
provided in paragraph (a)(2) of this section. You must test additional 
locomotives if any locomotives fail to meet any standard. Test 2 more 
locomotives for each failing locomotive, but stop testing if the total 
number of locomotives tested equals 10.
    (2) If an engine family has been certified using carryover emission 
data from a family that has been previously tested under paragraph 
(a)(1) of this section (and we have not ordered or begun to negotiate 
remedial action of that family), you need to test only one locomotive 
per engine family. If that locomotive fails to meet applicable standards 
for any pollutant, testing for that engine family must be conducted as 
outlined under paragraph (a)(1) of this section.
    (3) You may ask us to allow you to test more locomotives than the 
minimum number described above or you may concede failure before testing 
10 locomotives.
    (b) Compliance criteria. We will consider failure rates, average 
emission levels and the existence of any defects among other factors in 
determining whether to pursue remedial action. We may order a recall 
pursuant to 40 CFR part 1068 before testing reaches the tenth 
locomotive.
    (c) Collection of in-use locomotives. Procure in-use locomotives 
that have been operated for 50 to 75 percent of the locomotive's useful 
life for testing under this subpart. Complete testing required by this 
section for any engine family before useful life of the locomotives in 
the engine family passes. (Note: Sec.  1033.820 specifies that railroads 
must make reasonable efforts to enable you to perform this testing.)



Sec.  1033.420  Maintenance, procurement and testing of in-use locomotives.

    (a) A test locomotive must have a maintenance history that is 
representative of actual in-use conditions, and identical or equivalent 
to your recommended emission-related maintenance requirements.
    (1) When procuring locomotives for in-use testing, ask the end users 
about the accumulated usage, maintenance, operating conditions, and 
storage of the test locomotives.
    (2) Your selection of test locomotives is subject to our approval. 
Maintain the information you used to procure locomotives for in-use 
testing in the same manner as is required in Sec.  1033.250.
    (b) You may perform minimal set-to-spec maintenance on a test 
locomotive before conducting in-use testing. Maintenance may include 
only that which is listed in the owner's instructions for locomotives 
with the amount of service and age of the acquired test locomotive. 
Maintain documentation of all maintenance and adjustments.
    (c) If the locomotive selected for testing is equipped with emission 
diagnostics meeting the requirements in Sec.  1033.110 and the MIL is 
illuminated, you may read the code and repair the malfunction according 
to your emission-related maintenance instructions, but only to the 
degree that an owner/operator would be required to repair the 
malfunction under Sec.  1033.815.
    (d) Results of at least one valid set of emission tests using the 
test procedure described in subpart F of this part is required for each 
in-use locomotive.
    (e) If in-use testing results show that an in-use locomotive fails 
to comply with any applicable emission standards, you must determine the 
reason

[[Page 511]]

for noncompliance and report your findings in the quarterly in-use test 
result report described in Sec.  1033.425.



Sec.  1033.425  In-use test program reporting requirements.

    (a) Within 90 days of completion of testing, send us all emission 
test results generated from the in-use testing program. Report all of 
the following information for each locomotive tested:
    (1) Engine family, and configuration.
    (2) Locomotive and engine models.
    (3) Locomotive and engine serial numbers.
    (4) Date of manufacture or remanufacture, as applicable.
    (5) Megawatt-hours of use (or miles, as applicable).
    (6) Date and time of each test attempt.
    (7) Results of all emission testing.
    (8) Results (if any) of each voided or failed test attempt.
    (9) Summary of all maintenance and/or adjustments performed.
    (10) Summary of all modifications and/or repairs.
    (11) Determinations of noncompliance.
    (12) The following signed statement and endorsement by an authorized 
representative of your company.
    We submit this report under sections 208 and 213 of the Clean Air 
Act. Our in-use testing conformed completely with the requirements of 40 
CFR part 1033. All the information in this report is true and accurate 
to the best of my knowledge. I know of the penalties for violating the 
Clean Air Act and the regulations. (Authorized Company Representative)
    (b) Report to us within 90 days of completion of testing the 
following information for each engine family tested:
    (1) The serial numbers of all locomotive that were excluded from the 
test sample because they did not meet the maintenance requirements of 
Sec.  1033.420.
    (2) The owner of each locomotive identified in paragraph (b)(1) of 
this section (or other entity responsible for the maintenance of the 
locomotive).
    (3) The specific reasons why the locomotives were excluded from the 
test sample.
    (c) Submit the information outlined in paragraphs (a) and (b) of 
this section electronically using an approved format. We may exempt you 
from this requirement upon written request with supporting 
justification.
    (d) Send all testing reports and requests for approvals to the 
Designated Compliance Officer.



                        Subpart F_Test Procedures



Sec.  1033.501  General provisions.

    (a) Except as specified in this subpart, use the equipment and 
procedures for compression-ignition engines in 40 CFR part 1065 to 
determine whether your locomotives meet the duty-cycle emission 
standards in Sec.  1033.101. Use the applicable duty cycles specified in 
this subpart. Measure emissions of all the pollutants we regulate in 
Sec.  1033.101 plus CO2. The general test procedure is the 
procedure specified in 40 CFR part 1065 for steady-state discrete-mode 
cycles. However, if you use the optional ramped modal cycle in Sec.  
1033.520, follow the procedures for ramped modal testing in 40 CFR part 
1065. The following exceptions from the 1065 procedures apply:
    (1) You must average power and emissions over the sampling periods 
specified in this subpart for both discrete-mode testing and ramped 
modal testing.
    (2) The test cycle is considered to be steady-state with respect to 
operator demand rather than engine speed and load.
    (3) The provisions related to engine mapping and duty cycle 
generation (40 CFR 1065.510 and 1065.512) are not applicable to testing 
of complete locomotives or locomotive engines because locomotive 
operation and locomotive duty cycles are based on operator demand via 
locomotive notch settings rather than engine speeds and loads. The cycle 
validation criteria (40 CFR 1065.514) are not applicable to testing of 
complete locomotives but do apply for dynamometer testing of engines.
    (b) You may use special or alternate procedures to the extent we 
allow as them under 40 CFR 1065.10. In some cases, we allow you to use 
procedures that are less precise or less accurate than the specified 
procedures if they do

[[Page 512]]

not affect your ability to show that your locomotives 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 locomotives meet all 
applicable emission standards.
    (c) This part allows (with certain limits) testing of either a 
complete locomotive or a separate uninstalled engine. When testing a 
locomotive, you must test the complete locomotive in its in-use 
configuration, except that you may disconnect the power output and fuel 
input for the purpose of testing. To calculate power from measured 
alternator/generator output, use an alternator/generator efficiency 
curve that varies with speed/load, consistent with good engineering 
judgment.
    (d) Unless smoke standards do not apply for your locomotives or the 
testing requirement is waived, measure smoke emissions using the 
procedures in Sec.  1033.525.
    (e) Use the applicable fuel listed in 40 CFR part 1065, subpart H, 
to perform valid tests.
    (1) For diesel-fueled locomotives, use the appropriate diesel fuel 
specified in 40 CFR part 1065, subpart H, for emission testing. The 
applicable diesel test fuel is either the ultra low-sulfur diesel or 
low-sulfur diesel fuel, as specified in Sec.  1033.101. Identify the 
test fuel in your application for certification and ensure that the fuel 
inlet label is consistent with your selection of the test fuel (see 
Sec. Sec.  1033.101 and 1033.135).
    (2) You may ask to use as a test fuel commercially available diesel 
fuel similar but not identical to the applicable fuel specified in 40 
CFR part 1065, subpart H; we will approve your request if you show us 
that it does not affect your ability to demonstrate compliance with the 
applicable emission standards. If your locomotive uses sulfur-sensitive 
technology, you may not use an in-use fuel that has a lower sulfur 
content than the range specified for the otherwise applicable test fuel 
in 40 CFR part 1065. If your locomotive does not use sulfur-sensitive 
technology, we may allow you to use an in-use fuel that has a lower 
sulfur content than the range specified for the otherwise applicable 
test fuel in 40 CFR part 1065, but may require that you correct PM 
emissions to account for the sulfur differences.
    (3) For service accumulation, use the test fuel or any commercially 
available fuel that is representative of the fuel that in-use 
locomotives will use.
    (f) See Sec.  1033.505 for information about allowable ambient 
testing conditions for testing.
    (g) This subpart is addressed to you as a manufacturer/
remanufacturer, but it applies equally to anyone who does testing for 
you, and to us when we perform testing to determine if your locomotives 
meet emission standards.
    (h) We may also perform other testing as allowed by the Clean Air 
Act.
    (i) For passenger locomotives that can generate hotel power from the 
main propulsion engine, the locomotive must comply with the emission 
standards when in either hotel or non-hotel setting.



Sec.  1033.505  Ambient conditions.

    This section specifies the allowable ambient conditions (including 
temperature and pressure) under which testing may be performed to 
determine compliance with the emission standards of (1068.101. 
Manufacturers/remanufacturers may ask to perform testing at conditions 
other than those allowed by this section. We will allow such testing 
provided it does not affect your ability to demonstrate compliance with 
the applicable standards. See Sec. Sec.  1033.101 and 1033.115 for more 
information about the requirements that apply at other conditions.
    (a) Temperature. Testing may be performed with ambient temperatures 
from 15.5 [deg]C (60 [deg]F) to 40.5 [deg]C (105 [deg]F). Do not correct 
emissions for temperature effects within this range. If we allow you to 
perform testing at lower ambient temperatures, you must correct 
NOX emissions for temperature effects, consistent with good 
engineering judgment. For example, if the intake air temperature (at the 
manifold) is lower at the test temperature than at 15.5 [deg]C, you 
generally will need to adjust your measured NOX emissions to 
account for the effect of the lower intake air temperature. However, if 
you

[[Page 513]]

maintain a constant manifold air temperature, you will generally not 
need to correct emissions.
    (b) Altitude/pressure. Testing may be performed with ambient 
pressures from 88.000 kPa (26.0 in Hg) to 103.325 kPa (30.5 in Hg). This 
is intended to correspond to altitudes up to 4000 feet above sea level. 
Do not correct emissions for pressure effects within this range.
    (c) Humidity. Testing may be performed with any ambient humidity 
level. Correct NOX emissions as specified in 40 CFR 1065.670. 
Do not correct any other emissions for humidity effects.
    (d) Wind. If you test outdoors, use good engineering judgment to 
ensure that excessive wind does not affect your emission measurements. 
Winds are excessive if they disturb the size, shape, or location of the 
exhaust plume in the region where exhaust samples are drawn or where the 
smoke plume is measured, or otherwise cause any dilution of the exhaust. 
Tests may be conducted if wind shielding is placed adjacent to the 
exhaust plume to prevent bending, dispersion, or any other distortion of 
the exhaust plume as it passes through the optical unit or through the 
sample probe.



Sec.  1033.510  Auxiliary power units.

    If your locomotive is equipped with an auxiliary power unit (APU) 
that operates during an idle shutdown mode, you must account for the 
APU's emissions rates as specified in this section, unless the APU is 
part of an AESS system that was certified separate from the rest of the 
locomotive. This section does not apply for auxiliary engines that only 
provide hotel power.
    (a) Adjust the locomotive main engine's idle emission rate (g/hr) as 
specified in Sec.  1033.530. Add the APU emission rate (g/hr) that you 
determine under paragraph (b) of this section. Use the locomotive main 
engine's idle power as specified in Sec.  1033.530.
    (b) Determine the representative emission rate for the APU using one 
of the following methods.
    (1) Installed APU tested separately. If you separately measure 
emission rates (g/hr) for each pollutant from the APU installed in the 
locomotive, you may use the measured emissions rates (g/hr) as the 
locomotive's idle emissions rates when the locomotive is shutdown and 
the APU is operating. For all testing other than in-use testing, apply 
appropriate deterioration factors to the measured emission rates. You 
may ask to carryover APU emission data for a previous test, or use data 
for the same APU installed on locomotives in another engine family.
    (2) Uninstalled APU tested separately. If you separately measure 
emission rates (g/hr) over an appropriate duty-cycle for each pollutant 
from the APU when it is not installed in the locomotive, you may use the 
measured emissions rates (g/hr) as the locomotive's idle emissions rates 
when the locomotive is shutdown and the APU is operating. For the 
purpose of this paragraph (b)(2), an appropriate duty-cycle is one that 
approximates the APU engine's cycle-weighted power when operating in the 
locomotive. Apply appropriate deterioration factors to the measured 
emission rates. You may ask to carryover APU emission data for a 
previous test, or use data for the same APU installed on locomotives in 
another engine family.
    (3) APU engine certification data. If the engine used for the APU 
has been certified to EPA emission standards you may calculate the APU's 
emissions based upon existing EPA-certification information about the 
APU's engine. In this case, calculate the APU's emissions as follows:
    (i) For each pollutant determine the brake-specific standard/FEL to 
which the APU engine was originally EPA-certified.
    (ii) Determine the APU engine's cycle-weighted power when operating 
in the locomotive.
    (iii) Multiply each of the APU's applicable brake-specific 
standards/FELs by the APU engine's cycle-weighted power. The results are 
the APU's emissions rates (in g/hr).
    (iv) Use these emissions rates as the locomotive's idle emissions 
rates when the locomotive is shutdown and the APU is running. Do not 
apply a deterioration factor to these values.
    (4) Other. You may ask us to approve an alternative means to account 
for APU emissions.

[[Page 514]]



Sec.  1033.515  Discrete-mode steady-state emission tests of locomotives and locomotive engines.

    This section describes how to test locomotives at each notch setting 
so that emissions can be weighted according to either the line-haul duty 
cycle or the switch duty cycle. The locomotive test cycle consists of a 
warm-up followed by a sequence of nominally steady-state discrete test 
modes, as described in Table 1 to this section. The test modes are 
steady-state with respect to operator demand, which is the notch setting 
for the locomotive. Engine speeds and loads are not necessarily steady-
state.
    (a) Follow the provisions of 40 CFR part 1065, subpart F for general 
pre-test procedures (including engine and sampling system pre-
conditioning which is included as engine warm-up). You may operate the 
engine in any way you choose to warm it up prior to beginning the sample 
preconditioning specified in 40 CFR part 1065.
    (b) Begin the test by operating the locomotive over the pre-test 
portion of the cycle specified in Table 1 to this section. For 
locomotives not equipped with catalysts, you may begin the test as soon 
as the engine reaches its lowest idle setting. For catalyst-equipped 
locomotives, you may begin the test in normal idle mode if the engine 
does not reach its lowest idle setting within 15 minutes. If you do 
start in normal idle, run the low idle mode after normal idle, then 
resume the specified mode sequence (without repeating the normal idle 
mode).
    (c) Measure emissions during the rest of the test cycle.
    (1) Each test mode begins when the operator demand to the locomotive 
or engine is set to the applicable notch setting.
    (2) Start measuring gaseous emissions, power, and fuel consumption 
at the start of the test mode A and continue until the completion of 
test mode 8. You may zero and span analyzers between modes (or take 
other actions consistent with good engineering judgment).
    (i) The sample period over which emissions for the mode are averaged 
generally begins when the operator demand is changed to start the test 
mode and ends within 5 seconds of the minimum sampling time for the test 
mode is reached. However, you need to shift the sampling period to 
account for sample system residence times. Follow the provisions of 40 
CFR 1065.308 and 1065.309 to time align emission and work measurements.
    (ii) The sample period is 300 seconds for all test modes except mode 
10. The sample period for test mode 8 is 600 seconds.
    (3) If gaseous emissions are sampled using a batch-sampling method, 
begin proportional sampling at the beginning of each sampling period and 
terminate sampling once the minimum time in each test mode is reached, 
 5 seconds.
    (4) If applicable, begin the smoke test at the start of the test 
mode A. Continue collecting smoke data until the completion of test mode 
8. Refer to Sec.  1033.101 to determine applicability of smoke testing 
and Sec.  1033.525 for details on how to conduct a smoke test.
    (5) Begin proportional sampling of PM emissions at the beginning of 
each sampling period and terminate sampling once the minimum time in 
each test mode is reached,  5 seconds, unless good 
engineering judgment requires you sample for a longer period to allow 
for collection of a sufficiently large PM sample.
    (6) Proceed through each test mode in the order specified in Table 1 
to this section until the locomotive test cycle is completed.
    (7) At the end of each numbered test mode, you may continue to 
operate sampling and dilution systems to allow corrections for the 
sampling system's response time.
    (8) Following the completion of Mode 8, conduct the post sampling 
procedures in Sec.  1065.530. Note that cycle validation criteria do not 
apply to testing of complete locomotives.

[[Page 515]]



                               Table 1 to Sec.   1033.515.--Locomotive Test Cycle
----------------------------------------------------------------------------------------------------------------
                                                               Time in mode        Sample averaging  period for
             Test mode                  Notch setting          (minutes) \1\              emissions \1\
----------------------------------------------------------------------------------------------------------------
Pre-test idle.....................  Lowest idle setting..  10 to 15 \3\........  Not applicable
A.................................  Low idle \2\.........  5 to 10.............  300  5
                                                                                  seconds
B.................................  Normal idle..........  5 to 10.............  300  5
                                                                                  seconds
C.................................  Dynamic brake \2\....  5 to 10.............  300  5
                                                                                  seconds
1.................................  Notch 1..............  5 to 10.............  300  5
                                                                                  seconds
2.................................  Notch 2..............  5 to 10.............  300  5
                                                                                  seconds
3.................................  Notch 3..............  5 to 10.............  300  5
                                                                                  seconds
4.................................  Notch 4..............  5 to 10.............  300  5
                                                                                  seconds
5.................................  Notch 5..............  5 to 10.............  300  5
                                                                                  seconds
6.................................  Notch 6..............  5 to 10.............  300  5
                                                                                  seconds
7.................................  Notch 7..............  5 to 10.............  300  5
                                                                                  seconds
8.................................  Notch 8..............  10 to 15............  600  5
                                                                                  seconds
----------------------------------------------------------------------------------------------------------------
\1\ The time in each notch and sample averaging period may be extended as needed to allow for collection of a
  sufficiently large PM sample.
\2\ Omit if not so equipped.
\3\ See paragraph (b) of this section for alternate pre-test provisions.

    (f) There are two approaches for sampling PM emissions during 
discrete-mode steady-state testing as described in this paragraph (f).
    (1) Engines certified to a PM standard/FEL at or above 0.05 g/bhp-
hr. Use a separate PM filter sample for each test mode of the locomotive 
test cycle according to the procedures specified in paragraph (a) 
through (e) of this section. You may ask to use a shorter sampling 
period if the total mass expected to be collected would cause 
unacceptably high pressure drop across the filter before reaching the 
end of the required sampling time. We will not allow sampling times less 
than 60 seconds. When we conduct locomotive emission tests, we will 
adhere to the time limits for each of the numbered modes in Table 1 to 
Sec.  1033.515.
    (2) Engines certified to a PM standard/FEL below 0.05 g/bhp-hr. (i) 
You may use separate PM filter samples for each test mode as described 
in paragraph (f)(1) of this section; however, we recommend that you do 
not. The low rate of sample filter loading will result in very long 
sampling times and the large number of filter samples may induce 
uncertainty stack-up that will lead to unacceptable PM measurement 
accuracy. Instead, we recommend that you measure PM emissions as 
specified in paragraph (f)(2)(ii) of this section.
    (ii) You may use a single PM filter for sampling PM over all of the 
test modes of the locomotive test cycle as specified in this paragraph 
(f)(2). Vary the sample time to be proportional to the applicable line-
haul or switch weighting factors specified in Sec.  1033.530 for each 
mode. The minimum sampling time for each mode is 400 seconds multiplied 
by the weighting factor. For example, for a mode with a weighting factor 
of 0.030, the minimum sampling time is 12.0 seconds. PM sampling in each 
mode must be proportional to engine exhaust flow as specified in 40 CFR 
part 1065. Begin proportional sampling of PM emissions at the beginning 
of each test mode as is specified in paragraph (c) of this section. End 
the sampling period for each test mode so that sampling times are 
proportional to the weighting factors for the applicable duty cycles. If 
necessary, you may extend the time limit for each of the test modes 
beyond the sampling times in Table 1 to Sec.  1033.515 to increase the 
sampled mass of PM emissions or to account for proper weighting of the 
PM emission sample over the entire cycle, using good engineering 
judgment.
    (g) This paragraph (g) describes how to test locomotive engines when 
not installed in a locomotive. Note that the test procedures for 
dynamometer engine testing of locomotive engines are intended to produce 
emission measurements that are essentially identical to emission 
measurements produced during testing of complete locomotives using the 
same engine configuration. The following requirements apply for all 
engine tests:
    (1) Specify a second-by-second set of engine speed and load points 
that are representative of in-use locomotive operation for each of the 
set-points of the

[[Page 516]]

locomotive test cycle described in Table 1 to Sec.  1033.515, including 
transitions from one notch to the next. This is your reference cycle for 
validating your cycle. You may ignore points between the end of the 
sampling period for one mode and the point at which you change the notch 
setting to begin the next mode.
    (2) Keep the temperature of the air entering the engine after any 
charge air cooling to within 5 [deg]C of the typical intake manifold air 
temperature when the engine is operated in the locomotive under similar 
ambient conditions.
    (3) Proceed with testing as specified for testing complete 
locomotives as specified in paragraphs (a) through (f) of this section.



Sec.  1033.520  Alternative ramped modal cycles.

    (a) Locomotive testing over a ramped modal cycle is intended to 
improve measurement accuracy at low emission levels by allowing the use 
of batch sampling of PM and gaseous emissions over multiple locomotive 
notch settings. Ramped modal cycles combine multiple test modes of a 
discrete-mode steady-state into a single sample period. Time in notch is 
varied to be proportional to weighting factors. The ramped modal cycle 
for line-haul locomotives is shown in Table 1 to this section. The 
ramped modal cycle for switch locomotives is shown in Table 2 to this 
section. Both ramped modal cycles consist of a warm-up followed by three 
test phases that are each weighted in a manner that maintains the duty 
cycle weighting of the line-haul and switch locomotive duty cycles in 
Sec.  1033.530. You may use ramped modal cycle testing for any 
locomotives certified under this part.
    (b) Ramped modal testing requires continuous gaseous analyzers and 
three separate PM filters (one for each phase). You may collect a single 
batch sample for each test phase, but you must also measure gaseous 
emissions continuously to allow calculation of notch caps as required 
under Sec.  1033.101.
    (c) You may operate the engine in any way you choose to warm it up. 
Then follow the provisions of 40 CFR part 1065, subpart F for general 
pre-test procedures (including engine and sampling system pre-
conditioning).
    (d) Begin the test by operating the locomotive over the pre-test 
portion of the cycle. For locomotives not equipped with catalysts, you 
may begin the test as soon as the engine reaches its lowest idle 
setting. For catalyst-equipped locomotives, you may begin the test in 
normal idle mode if the engine does not reach its lowest idle setting 
within 15 minutes. If you do start in normal idle, run the low idle mode 
after normal idle, then resume the specified mode sequence (without 
repeating the normal idle mode).
    (e) Start the test according to 40 CFR 1065.530.
    (1) Each test phase begins when operator demand is set to the first 
operator demand setting of each test phase of the ramped modal cycle. 
Each test phase ends when the time in mode is reached for the last mode 
in the test phase.
    (2) For PM emissions (and other batch sampling), the sample period 
over which emissions for the phase are averaged generally begins within 
10 seconds after the operator demand is changed to start the test phase 
and ends within 5 seconds of the sampling time for the test mode is 
reached. (see Table 1 to this section). You may ask to delay the start 
of the sample period to account for sample system residence times longer 
than 10 seconds.
    (3) Use good engineering judgment when transitioning between phases.
    (i) You should come as close as possible to simultaneously:
    (A) Ending batch sampling of the previous phase.
    (B) Starting batch sampling of the next phase.
    (C) Changing the operator demand to the notch setting for the first 
mode in the next phase.
    (ii) Avoid the following:
    (A) Overlapping batch sampling of the two phases.
    (B) An unnecessarily long delay before starting the next phase.
    (iii) For example, the following sequence would generally be 
appropriate:
    (A) End batch sampling for phase 2 after 240 seconds in notch 7.
    (B) Switch the operator demand to notch 8 one second later.

[[Page 517]]

    (C) Begin batch sampling for phase 3 one second after switching to 
notch 8.
    (4) If applicable, begin the smoke test at the start of the first 
test phase of the applicable ramped modal cycle. Continue collecting 
smoke data until the completion of final test phase. Refer to Sec.  
1033.101 to determine applicability of the smoke standards and Sec.  
1033.525 for details on how to conduct a smoke test.
    (5) Proceed through each test phase of the applicable ramped modal 
cycle in the order specified until the test is completed.
    (6) If you must void a test phase you may repeat the phase. To do 
so, begin with a warm engine operating at the notch setting for the last 
mode in the previous phase. You do not need to repeat later phases if 
they were valid. (Note: you must report test results for all voided 
tests and test phases.)
    (7) Following the completion of the third test phase of the 
applicable ramped modal cycle, conduct the post sampling procedures 
specified in 40 CFR 1065.530.

                      Table 1 to Sec.   1033.520.--Line-Haul Locomotive Ramped Modal Cycle
----------------------------------------------------------------------------------------------------------------
                                    Weighting                        Time in mode
         RMC test phase               factor          RMC mode        (seconds)             Notch setting
----------------------------------------------------------------------------------------------------------------
Pre-test idle..................  NA.............  NA.............  600 to 900.....  Lowest idle setting.\1\
Phase 1........................  A..............  600............  Low Idle.\2\...
(Idle test)....................  0.380..........  B..............  600............  Normal Idle.
----------------------------------------------------------------------------------------------------------------
                                                Phase Transition
----------------------------------------------------------------------------------------------------------------
                                 C..............  1000...........  Dynamic
                                                                    Brake.\3\.
                                 1..............  520............  Notch 1........
                                 2..............  520............  Notch 2........
                                 3..............  416............  Notch 3........
                                 4..............  352............  Notch 4........
Phase 2........................  0.389..........  5..............  304............  Notch 5.
----------------------------------------------------------------------------------------------------------------
                                                Phase Transition
----------------------------------------------------------------------------------------------------------------
                                 6..............  144............  Notch 6........
                                 7..............  111............  Notch 7........
Phase 3........................  0.231..........  8..............  600............  Notch 8.
----------------------------------------------------------------------------------------------------------------
\1\ See paragraph (d) of this section for alternate pre-test provisions.
\2\ Operate at normal idle for modes A and B if not equipped with multiple idle settings.
\3\ Operate at normal idle if not equipped with a dynamic brake.


                        Table 2 to Sec.   1033.520.--Switch Locomotive Ramped Modal Cycle
----------------------------------------------------------------------------------------------------------------
                                    Weighting                        Time in mode
         RMC test phase               factor          RMC mode        (seconds)             Notch setting
----------------------------------------------------------------------------------------------------------------
Pre-test idle..................  NA.............  NA.............  600 to 900.....  Lowest idle setting.\1\
Phase 1........................  A..............  600............  Low Idle.\2\...
(Idle test)....................  0.598..........  B..............  600............  Normal Idle.
----------------------------------------------------------------------------------------------------------------
                                                Phase Transition
----------------------------------------------------------------------------------------------------------------
                                 1..............  868............  Notch 1........
                                 2..............  861............  Notch 2........
                                 3..............  406............  Notch 3........
                                 4..............  252............  Notch 4........
Phase 2........................  0.377..........  5..............  252............  Notch 5.
----------------------------------------------------------------------------------------------------------------
                                                Phase Transition
----------------------------------------------------------------------------------------------------------------
                                 6..............  1080...........  Notch 6........
                                 7..............  144............  Notch 7........
Phase 3........................  0.025..........  8..............  576............  Notch 8.
----------------------------------------------------------------------------------------------------------------
\1\ See paragraph (d) of this section for alternate pre-test provisions.
\2\ Operate at normal idle for modes A and B if not equipped with multiple idle settings.


[[Page 518]]

    (f) Calculate your cycle-weighted brake-specific emission rates as 
follows:
    (1) For each test phase j:
    (i) Calculate emission rates (Eij) for each pollutant i 
as the total mass emissions divided by the total time in the phase.
    (ii) Calculate average power (Pj) as the total work 
divided by the total time in the phase.
    (2) For each pollutant, calculate your cycle-weighted brake-specific 
emission rate using the following equation, where wj is the 
weighting factor for phase j:
[GRAPHIC] [TIFF OMITTED] TR06MY08.010



Sec.  1033.525  Smoke testing.

    This section describes the equipment and procedures for testing for 
smoke emissions when is required.
    (a) This section specifies how to measure smoke emissions using a 
full-flow, open path light extinction smokemeter. A light extinction 
meter consists of a built-in light beam that traverses the exhaust smoke 
plume that issues from exhaust the duct. The light beam must be at right 
angles to the axis of the plume. Align the light beam to go through the 
plume along the hydraulic diameter (defined in 1065.1001) of the exhaust 
stack. Where it is difficult to align the beam to have a path length 
equal to the hydraulic diameter (such as a long narrow rectangular 
duct), you may align the beam to have a different path length and 
correct it to be equivalent to a path length equal to the hydraulic 
diameter. The light extinction meter must meet the requirements of 
paragraph (b) of this section and the following requirements:
    (1) Use an incandescent light source with a color temperature range 
of 2800K to 3250K, or a light source with a spectral peak between 550 
and 570 nanometers.
    (2) Collimate the light beam to a nominal diameter of 3 centimeters 
and an angle of divergence within a 6 degree included angle.
    (3) Use a photocell or photodiode light detector. If the light 
source is an incandescent lamp, use a detector that has a spectral 
response similar to the photopic curve of the human eye (a maximum 
response in the range of 550 to 570 nanometers, to less than four 
percent of that maximum response below 430 nanometers and above 680 
nanometers).
    (4) Attach a collimating tube to the detector with apertures equal 
to the beam diameter to restrict the viewing angle of the detector to 
within a 16 degree included angle.
    (5) Amplify the detector signal corresponding to the amount of 
light.
    (6) You may use an air curtain across the light source and detector 
window assemblies to minimize deposition of smoke particles on those 
surfaces, provided that it does not measurably affect the opacity of the 
plume.
    (7) Minimize distance from the optical centerline to the exhaust 
outlet; in no case may it be more than 3.0 meters. The maximum allowable 
distance of unducted space upstream of the optical centerline is 0.5 
meters. Center the full flow of the exhaust stream between the source 
and detector apertures (or windows and lenses) and on the axis of the 
light beam.
    (8) You may use light extinction meters employing substantially 
identical measurement principles and producing substantially equivalent 
results, but which employ other electronic and optical techniques.
    (b) All smokemeters must meet the following specifications:
    (1) A full-scale deflection response time of 0.5 second or less.
    (2) You may attenuate signal responses with frequencies higher than 
10 Hz with a separate low-pass electronic filter with the following 
performance characteristics:
    (i) Three decibel point: 10 Hz.
    (ii) Insertion loss: 0.0  0.5 dB.
    (iii) Selectivity: 12 dB down at 40 Hz minimum.
    (iv) Attenuation: 27 dB down at 40 Hz minimum.
    (c) Perform the smoke test by continuously recording smokemeter 
response over the entire locomotive test cycle in percent opacity to 
within one percent resolution and also simultaneously record operator 
demand set point (e.g., notch position). Compare

[[Page 519]]

the recorded opacities to the smoke standards applicable to your 
locomotive.
    (d) You may use a partial flow sampling smokemeter if you correct 
for the path length of your exhaust plume. If you use a partial flow 
sampling meter, follow the instrument manufacturer's installation, 
calibration, operation, and maintenance procedures.



Sec.  1033.530  Duty cycles and calculations.

    This section describes how to apply the duty cycle to measured 
emission rates to calculate cycle-weighted average emission rates.
    (a) Standard duty cycles and calculations. Tables 1 and 2 of this 
section show the duty cycle to use to calculate cycle-weighted average 
emission rates for locomotives equipped with two idle settings, eight 
propulsion notches, and at least one dynamic brake notch and tested 
using the Locomotive Test Cycle. Use the appropriate weighting factors 
for your locomotive application and calculate cycle-weighted average 
emissions as specified in 40 CFR part 1065, subpart G.

      Table 1 to Sec.   1033.530.--Standard Duty Cycle Weighting Factors for Calculating Emission Rates for
                                     Locomotives With Multiple Idle Settings
----------------------------------------------------------------------------------------------------------------
                                                                                         Line-haul
                                                                            Line-haul    weighting      Switch
               Notch setting                           Test mode            weighting     factors     weighting
                                                                             factors    (no dynamic    factors
                                                                                           brake)
----------------------------------------------------------------------------------------------------------------
Low Idle...................................  A...........................        0.190        0.190        0.299
Normal Idle................................  B...........................        0.190        0.315        0.299
Dynamic Brake..............................  C...........................        0.125        (\1\)        0.000
Notch 1....................................  1...........................        0.065        0.065        0.124
Notch 2....................................  2...........................        0.065        0.065        0.123
Notch 3....................................  3...........................        0.052        0.052        0.058
Notch 4....................................  4...........................        0.044        0.044        0.036
Notch 5....................................  5...........................        0.038        0.038        0.036
Notch 6....................................  6...........................        0.039        0.039        0.015
Notch 7....................................  7...........................        0.030        0.030        0.002
Notch 8....................................  8...........................        0.162        0.162        0.008
----------------------------------------------------------------------------------------------------------------
\1\ Not applicable.


      Table 2 to Sec.   1033.530.--Standard Duty Cycle Weighting Factors for Calculating Emission Rates for
                                     Locomotives With a Single Idle Setting
----------------------------------------------------------------------------------------------------------------
                                                                                         Line-haul
               Notch setting                           Test mode            Line-haul   (no dynamic     Switch
                                                                                           brake)
----------------------------------------------------------------------------------------------------------------
Normal Idle................................  A...........................        0.380        0.505        0.598
Dynamic Brake..............................  C...........................        0.125        (\1\)        0.000
Notch 1....................................  1...........................        0.065        0.065        0.124
Notch 2....................................  2...........................        0.065        0.065        0.123
Notch 3....................................  3...........................        0.052        0.052        0.058
Notch 4....................................  4...........................        0.044        0.044        0.036
Notch 5....................................  5...........................        0.038        0.038        0.036
Notch 6....................................  6...........................        0.039        0.039        0.015
Notch 7....................................  7...........................        0.030        0.030        0.002
Notch 8....................................  8...........................        0.162        0.162        0.008
----------------------------------------------------------------------------------------------------------------
\1\ Not applicable.

    (b) Idle and dynamic brake notches. The test procedures generally 
require you to measure emissions at two idle settings and one dynamic 
brake, as follows:
    (1) If your locomotive is equipped with two idle settings and one or 
more dynamic brake settings, measure emissions at both idle settings and 
the worst case dynamic brake setting, and weight the emissions as 
specified in the applicable table of this section. Where it is not 
obvious which dynamic brake setting represents worst case, do one of the 
following:
    (i) You may measure emissions and power at each dynamic brake point 
and average them together.

[[Page 520]]

    (ii) You may measure emissions and power at the dynamic brake point 
with the lowest power.
    (2) If your locomotive is equipped with two idle settings and is not 
equipped with dynamic brake, use a normal idle weighting factor of 0.315 
for the line-haul cycle. If your locomotive is equipped with only one 
idle setting and no dynamic brake, use an idle weighting factor of 0.505 
for the line-haul cycle.
    (c) Nonstandard notches or no notches. If your locomotive is 
equipped with more or less than 8 propulsion notches, recommend an 
alternate test cycle based on the in-use locomotive configuration. 
Unless you have data demonstrating that your locomotive will be operated 
differently from conventional locomotives, recommend weighting factors 
that are consistent with the power weightings of the specified duty 
cycle. For example, the average load factor for your recommended cycle 
(cycle-weighted power divided by rated power) should be equivalent to 
those of conventional locomotives. We may also allow the use of the 
standard power levels shown in Table 3 to this section for nonstandard 
locomotive testing subject to our prior approval. This paragraph (c) 
does not allow engines to be tested without consideration of the actual 
notches that will be used.

 Table 3 to Sec.   1033.530.--Standard Notch Power Levels Expressed as a
                        Percentage of Rated Power
------------------------------------------------------------------------
                                                                Percent
------------------------------------------------------------------------
Normal Idle..................................................       0.00
Dynamic Brake................................................       0.00
Notch 1......................................................       4.50
Notch 2......................................................      11.50
Notch 3......................................................      23.50
Notch 4......................................................      35.00
Notch 5......................................................      48.50
Notch 6......................................................      64.00
Notch 7......................................................      85.00
Notch 8......................................................     100.00
------------------------------------------------------------------------

    (d) Optional Ramped Modal Cycle Testing. Tables 1 and 2 of Sec.  
1033.520 show the weighting factors to use to calculate cycle-weighted 
average emission rates for the applicable locomotive ramped modal cycle. 
Use the weighting factors for the ramped modal cycle for your locomotive 
application and calculate cycle-weighted average emissions as specified 
in 40 CFR part 1065, subpart G.
    (e) Automated Start-Stop. For locomotive equipped with features that 
shut the engine off after prolonged periods of idle, multiply the 
measured idle mass emission rate over the idle portion of the applicable 
test cycles by a factor equal to one minus the estimated fraction 
reduction in idling time that will result in use from the shutdown 
feature. Do not apply this factor to the weighted idle power. 
Application of this adjustment is subject to our approval. This 
paragraph (e) does not apply if the locomotive is (or will be) covered 
by a separate certificates for idle control.
    (f) Multi-engine locomotives. This paragraph (f) applies for 
locomotives using multiple engines where all engines are identical in 
all material respects. In cases where we allow engine dynamometer 
testing, you may test a single engine consistent with good engineering 
judgment, as long as you test it at the operating points at which the 
engines will operate when installed in the locomotive (excluding 
stopping and starting). Weigh the results to reflect the power demand/
power-sharing of the in-use configuration for each notch setting.
    (g) Representative test cycles for freshly manufactured locomotives. 
As specified in this paragraph (g), manufacturers may be required to use 
an alternate test cycle for freshly manufactured Tier 3 and later 
locomotives.
    (1) If you determine that you are adding design features that will 
make the expected average in-use duty cycle for any of your freshly 
manufactured locomotive engine families significantly different from the 
otherwise applicable test cycle (including weighting factors), you must 
notify us and recommend an alternate test cycle that represents the 
expected average in-use duty cycle. You should also obtain preliminary 
approval before you begin collecting data to support an alternate test 
cycle. We will specify whether to use the default duty cycle, your 
recommended cycle, or a different cycle, depending on which cycle we 
believe best represents expected in-use operation.

[[Page 521]]

    (2) The provisions of this paragraph (g) apply differently for 
different types of locomotives, as follows:
    (i) For Tier 4 and later line-haul locomotives, use the cycle 
required by (g)(1) of this section to show compliance with the line-haul 
cycle standards.
    (ii) For Tier 3 and later switch locomotives, use the cycle required 
by (g)(1) of this section to show compliance with the switch cycle 
standards.
    (iii) For Tier 3 line-haul locomotives, if we specify an alternate 
cycle, use it to show compliance with the line-haul cycle standards. If 
you include the locomotives in the ABT program of subpart H of this 
part, calculate line-haul cycle credits (positive or negative) using the 
alternate cycle and the line-haul cycle standards. Your locomotive is 
deemed to also generate an equal amount of switch cycle credits.
    (3) For all locomotives certified using an alternate cycle, include 
a description of the cycle in the owners manual such that the locomotive 
can be remanufactured using the same cycle.
    (4) For example, if your freshly manufactured line-haul locomotives 
are equipped with load control features that modify how the locomotive 
will operate when it is in a consist, and such features will cause the 
locomotives to operate differently from the otherwise applicable line-
haul cycle, we may require you to certify using an alternate cycle.
    (5) See paragraph (h) of this section for cycle-changing design 
features that also result in energy savings.
    (h) Calculation adjustments for energy-saving design features. The 
provisions of this paragraph (h) apply for locomotives equipped with 
energy-saving locomotive design features. They do not apply for features 
that only improve the engine's brake-specific fuel consumption.
    (1) Manufacturers/remanufacturers choosing to adjust emissions under 
this paragraph (h) must do all of the following for certification:
    (i) Describe the energy-saving features in your application for 
certification.
    (ii) Describe in your installation instruction and/or maintenance 
instructions all steps necessary to utilize the energy-saving features.
    (2) If your design feature will also affect the locomotive's duty 
cycle, you must comply with the requirements of paragraph (g) of this 
section.
    (3) Calculate energy the savings as described in this paragraph 
(h)(3).
    (i) Estimate the expected mean in-use fuel consumption rate (on a 
BTU per ton-mile basis) with and without the energy saving design 
feature, consistent with the specifications of paragraph (h)(4) of this 
section. The energy savings is the ratio of fuel consumed from a 
locomotive operating with the new feature to fuel consumed from a 
locomotive operating without the feature under identical conditions. 
Include an estimate of the 80 percent confidence interval for your 
estimate of the mean, and other statistical parameters we specify.
    (ii) Your estimate must be based on in-use operating data, 
consistent with good engineering judgment. Where we have previously 
certified your design feature under this paragraph (h), we may require 
you to update your analysis based on all new data that are available. 
You must obtain preliminary approval before you begin collecting 
operational data for this purpose.
    (iii) We may allow you to consider the effects of your design 
feature separately for different route types, regions, or railroads. We 
may require that you certify these different locomotives in different 
engine families and may restrict their use to the specified 
applications.
    (iv) Design your test plan so that the operation of the locomotives 
with and without is as similar as possible in all material aspects 
(other than the design feature being evaluated). Correct all data for 
any relevant differences, consistent with good engineering judgment.
    (v) Do not include any brake-specific energy savings in your 
calculated values. If it is not possible to exclude such effects from 
your data gathering, you must correct for these effects, consistent with 
good engineering judgment.
    (4) Calculate adjustment factors as described in this paragraph 
(h)(4). If the energy savings will apply broadly,

[[Page 522]]

calculate and apply the adjustment on a cycle-weighted basis. Otherwise, 
calculate and apply the adjustment separately for each notch. To apply 
the adjustment, multiply the emissions (either cycle-weighted or notch-
specific, as applicable) by the adjustment. Use the lower bound of the 
80 percent confidence interval of the estimate of the mean as your 
estimated energy savings rate. We may cap your energy savings rate for 
this paragraph (h)(4) at 80 percent of the estimate of the mean. 
Calculate the emission adjustment factors as:

AF = 1.000--(energy savings rate)



Sec.  1033.535  Adjusting emission levels to account for infrequently regenerating aftertreatment devices.

    This section describes how to adjust emission results from 
locomotives using aftertreatment technology with infrequent regeneration 
events that occur during testing. See paragraph (e) of this section for 
how to adjust ramped modal testing. See paragraph (f) of this section 
for how to adjust discrete-mode testing. For this section, 
``regeneration'' means an intended event during which emission levels 
change while the system restores aftertreatment performance. For 
example, hydrocarbon emissions may increase temporarily while oxidizing 
accumulated particulate matter in a trap. Also for this section, 
``infrequent'' refers to regeneration events that are expected to occur 
on average less than once per sample period.
    (a) Developing adjustment factors. Develop an upward adjustment 
factor and a downward adjustment factor for each pollutant based on 
measured emission data and observed regeneration frequency. Adjustment 
factors should generally apply to an entire engine family, but you may 
develop separate adjustment factors for different configurations within 
an engine family. If you use adjustment factors for certification, you 
must identify the frequency factor, F, from paragraph (b) of this 
section in your application for certification and use the adjustment 
factors in all testing for that engine family. You may use carryover or 
carry-across data to establish adjustment factors for an engine family, 
as described in Sec.  1033.235, consistent with good engineering 
judgment. All adjustment factors for regeneration are additive. 
Determine adjustment factors separately for different test segments as 
described in paragraphs (e) and (f) of this section. You may use either 
of the following different approaches for locomotives that use 
aftertreatment with infrequent regeneration events:
    (1) You may disregard this section if you determine that 
regeneration does not significantly affect emission levels for an engine 
family (or configuration) or if it is not practical to identify when 
regeneration occurs. If you do not use adjustment factors under this 
section, your locomotives must meet emission standards for all testing, 
without regard to regeneration.
    (2) You may ask us to approve an alternate methodology to account 
for regeneration events. We will generally limit approval to cases in 
which your locomotives use aftertreatment technology with extremely 
infrequent regeneration and you are unable to apply the provisions of 
this section.
    (b) Calculating average emission factors. Calculate the average 
emission factor (EFA) based on the following equation:

EFA = (F)(EFH) + (1-F)(EFL)

Where:

F = the frequency of the regeneration event during normal in-use 
          operation, expressed in terms of the fraction of equivalent 
          tests during which the regeneration occurs. You may determine 
          F from in-use operating data or running replicate tests. For 
          example, if you observe that the regeneration occurs 125 times 
          during 1000 MW-hrs of operation, and your locomotive typically 
          accumulates 1 MW-hr per test, F would be (125) / (1000) x (1) 
          = 0.125.
EFH = measured emissions from a test segment in which the regeneration 
          occurs.
EFL = measured emissions from a test segment in which the regeneration 
          does not occur.

    (c) Applying adjustment factors. Apply adjustment factors based on 
whether regeneration occurs during the test run. You must be able to 
identify regeneration in a way that is readily apparent during all 
testing.
    (1) If regeneration does not occur during a test segment, add an 
upward adjustment factor to the measured

[[Page 523]]

emission rate. Determine the upward adjustment factor (UAF) using the 
following equation:

UAF = EFA-EFL

    (2) If regeneration occurs or starts to occur during a test segment, 
subtract a downward adjustment factor from the measured emission rate. 
Determine the downward adjustment factor (DAF) using the following 
equation:

DAF = EFH-EFA

    (d) Sample calculation. If EFL is 0.10 g/bhp-hr, EFH is 0.50 g/ bhp-
hr, and F is 0.10 (the regeneration occurs once for each ten tests), 
then:

EFA = (0.10)(0.50 g/ bhp-hr) + (1.00-0.10)(0.10 g/ bhp-hr) = 0.14 g/ 
bhp-hr.
UAF = 0.14 g/ bhp-hr-0.10 g/ bhp-hr = 0.04 g/ bhp-hr.
DAF = 0.50 g/ bhp-hr-0.14 g/ bhp-hr = 0.36 g/ bhp-hr

    (e) Ramped modal testing. Develop separate adjustment factors for 
each test phase. If a regeneration has started but has not been 
completed when you reach the end of a test phase, use good engineering 
judgment to reduce your downward adjustments to be proportional to the 
emission impact that occurred in the test phases.
    (f) Discrete-mode testing. Develop separate adjustment factors for 
each test mode. If a regeneration has started but has not been completed 
when you reach the end of the sampling time for a test mode extend the 
sampling period for that mode until the regeneration is completed.



                 Subpart G_Special Compliance Provisions



Sec.  1033.601  General compliance provisions.

    Locomotive manufacturer/remanufacturers, as well as owners and 
operators of locomotives subject to the requirements of this part, and 
all other persons, must observe the provisions of this part, the 
requirements and prohibitions in 40 CFR part 1068, and the provisions of 
the Clean Air Act. The provisions of 40 CFR part 1068 apply for 
locomotives as specified in that part, except as otherwise specified in 
this section.
    (a) Meaning of manufacturer. When used in 40 CFR part 1068, the term 
``manufacturer'' means manufacturer and/or remanufacturer.
    (b) Engine rebuilding. The provisions of 40 CFR 1068.120 do not 
apply when remanufacturing locomotives under a certificate of conformity 
issued under this part.
    (c) Exemptions. (1) The exemption provisions of 40 CFR 1068.240 
(i.e., exemptions for replacement engines) do not apply for domestic or 
imported locomotives. (Note: You may introduce into commerce freshly 
manufactured replacement engines under this part, provided the 
locomotives into which they are installed are covered by a certificate 
of conformity.
    (2) The exemption provisions of 40 CFR 1068.250 and 1068.255 (i.e., 
exemptions for hardship relief) do not apply for domestic or imported 
locomotives. See Sec.  1033.620 for provisions related to hardship 
relief.
    (3) The exemption provisions of 40 CFR 1068.260 (i.e., exemptions 
for delegated assembly) do not apply for domestic or imported 
locomotives, except as specified in Sec.  1033.630.
    (4) The provisions for importing engines and equipment under the 
identical configuration exemption of 40 CFR 1068.315(i) do not apply for 
locomotives.
    (5) The provisions for importing engines and equipment under the 
ancient engine exemption of 40 CFR 1068.315(j) do not apply for 
locomotives.
    (d) SEAs, defect reporting, and recall. The provisions of 40 CFR 
part 1068, subpart E (i.e., SEA provisions) do not apply for 
locomotives. Except as noted in this paragraph (d), the provisions of 40 
CFR part 1068, subpart F, apply to certificate holders for locomotives 
as specified for manufacturers in that part.
    (1) When there are multiple persons meeting the definition of 
manufacturer or remanufacturer, each person meeting the definition of 
manufacturer or remanufacturer must comply with the requirements of 40 
CFR part 1068, subpart F, as needed so that the certificate holder can 
fulfill its obligations under those subparts.
    (2) The defect investigation requirements of 40 CFR 1068.501(a)(5), 
(b)(1)

[[Page 524]]

and (b)(2) do not apply for locomotives. Instead, use good engineering 
judgment to investigate emission-related defects consistent with normal 
locomotive industry practice for investigating defects. You are not 
required to track parts shipments as indicators of possible defects.
    (e) Introduction into commerce. The placement of a new locomotive or 
new locomotive engine back into service following remanufacturing is a 
violation of 40 CFR 1068.101(a)(1), unless it has a valid certificate of 
conformity for its model year and the required label.



Sec.  1033.610  Small railroad provisions.

    In general, the provisions of this part apply for all locomotives, 
including those owned by Class II and Class III railroads. This section 
describes how these provisions apply for railroads meeting the 
definition of ``small railroad'' in Sec.  1033.901. (Note: The term 
``small railroad'' excludes all Class II railroads and some Class III 
railroads, such as those owned by large parent companies.)
    (a) Locomotives become subject to the provisions of this part when 
they become ``new'' as defined in Sec.  1033.901. Under that definition, 
a locomotive is ``new'' when first assembled, and generally becomes 
``new'' again when remanufactured. As an exception to this general 
concept, locomotives that are owned and operated by railroads meeting 
the definition of ``small railroad'' in Sec.  1033.901 do not become 
``new'' when remanufactured, unless they were previously certified to 
EPA emission standards. Certificate holders may require written 
confirmation from the owner/operator that the locomotive qualifies as a 
locomotive that is owned and operated by a small railroad. Such written 
confirmation to a certificate holder is deemed to also be a submission 
to EPA and is thus subject to the reporting requirements of 40 CFR 
1068.101.
    (b) The provisions of subpart I of this part apply to all owners and 
operators of locomotives subject to this part 1033. However, the 
regulations of that subpart specify some provisions that apply only for 
Class I freight railroads, and others that apply differently to Class I 
freight railroads and other railroads.
    (c) We may exempt new locomotives that are owned or operated by 
small railroads from the prohibition against remanufacturing a 
locomotive without a certificate of conformity as specified in this 
paragraph (c). This exemption is only available in cases where no 
certified remanufacturing system is available for the locomotive. For 
example, it is possible that no remanufacturer will certify a system for 
very old locomotive models that comprise a tiny fraction of the fleet 
and that are remanufactured infrequently. We will grant the exemption in 
all cases in which no remanufacturing system has been certified for the 
applicable engine family and model year. We may also grant an exemption 
where we determine that a certified system is unavailable. We may 
consider the issue of excessive costs in determining the availability of 
certified systems. If we grant this exemption for a previously certified 
locomotive, you are required to return the locomotive to its previously 
certified configuration. Send your request for such exemptions to the 
Designated Compliance Officer.
    (d) Non-Class I railroads that do not meet the definition of ``small 
railroad'' in Sec.  1033.901 may ask that their remanufactured 
locomotives be excluded from the definition of ``new'' in Sec.  1033.901 
in cases where no certified remanufacturing system is available for the 
locomotive. We will grant the exemption in all cases in which no 
remanufacturing system has been certified for the applicable engine 
family and model year. If we grant this exemption for a previously 
certified locomotive, you are required to return the locomotive to its 
previously certified configuration. Send your request for such 
exemptions to the Designated Compliance Officer.



Sec.  1033.615  Voluntarily subjecting locomotives to the standards of this part.

    The provisions of this section specify the cases in which an owner 
or manufacturer of a locomotive or similar piece of equipment can 
subject it to the standards and requirements of this

[[Page 525]]

part. Once the locomotive or equipment becomes subject to the locomotive 
standards and requirements of this part, it remains subject to the 
standards and requirements of this part for the remainder of its service 
life.
    (a) Equipment excluded from the definition of ``locomotive''. (1) 
Manufacturers/remanufacturers of equipment that is excluded from the 
definition of ``locomotive'' because of its total power, but would 
otherwise meet the definition of locomotive may ask to have it 
considered to be a locomotive. To do this, submit an application for 
certification as specified in subpart C of this part, explaining why it 
should be considered to be a locomotive. If we approve your request, it 
will be deemed to be a locomotive for the remainder of its service life.
    (2) In unusual circumstances, we may deem other equipment to be 
locomotives (at the request of the owner or manufacturer/remanufacturer) 
where such equipment does not conform completely to the definition of 
locomotive, but is functionally equivalent to a locomotive.
    (b) Locomotives excluded from the definition of ``new''. Owners of 
remanufactured locomotives excluded from the definition of ``new'' in 
Sec.  1033.901 under paragraph (2) of that definition may choose to 
upgrade their locomotives to subject their locomotives to the standards 
and requirements of this part by complying with the specifications of a 
certified remanufacturing system, including the labeling specifications 
of Sec.  1033.135.



Sec.  1033.620  Hardship provisions for manufacturers and remanufacturers.

    (a) If you qualify for the economic hardship provisions specified in 
40 CFR 1068.245, we may approve a period of delayed compliance for up to 
one model year total.
    (b) The provisions of this paragraph (b) are intended to address 
problems that could occur near the date on which more stringent emission 
standards become effective, such as the transition from the Tier 2 
standards to the Tier 3 standards for line-haul locomotives on January 
1, 2012.
    (1) In appropriate extreme and unusual circumstances that are 
clearly outside the control of the manufacturer and could not have been 
avoided by the exercise of prudence, diligence, and due care, we may 
permit you, for a brief period, to introduce into commerce locomotives 
which do not comply with the applicable emission standards if all of the 
following conditions apply:
    (i) You cannot reasonably manufacture the locomotives in such a 
manner that they would be able to comply with the applicable standards.
    (ii) The manufacture of the locomotives was substantially completed 
prior to the applicability date of the standards from which you seek the 
relief. For example, you may not request relief for a locomotive that 
has been ordered, but for which you will not begin the assembly process 
prior to the applicability date of the standards. On the other hand, we 
would generally consider completion of the underframe weldment to be a 
substantial part of the manufacturing process.
    (iii) Manufacture of the locomotives was previously scheduled to be 
completed at such a point in time that locomotives would have been 
included in the previous model year, such that they would have been 
subject to less stringent standards, and that such schedule was feasible 
under normal conditions.
    (iv) You demonstrate that the locomotives comply with the less 
stringent standards that applied to the previous model year's production 
described in paragraph (b)(1)(iii) of this section, as prescribed by 
subpart C of this part (i.e., that the locomotives are identical to 
locomotives certified in the previous model year).
    (v) You exercised prudent planning, were not able to avoid the 
violation, and have taken all reasonable steps to minimize the extent of 
the nonconformity.
    (vi) We approve your request before you introduce the locomotives 
into commerce.
    (2) You must notify us as soon as you become aware of the extreme or 
unusual circumstances.
    (3)(i) Include locomotives for which we grant relief under this 
section in

[[Page 526]]

the engine family for which they were originally intended to be 
included.
    (ii) Where the locomotives are to be included in an engine family 
that was certified to an FEL above the applicable standard, you must 
reserve credits to cover the locomotives covered by this allowance and 
include the required information for these locomotives in the end-of-
year report required by subpart H of this part.
    (c) In granting relief under this section, we may also set other 
conditions as appropriate, such as requiring payment of fees to negate 
an economic gain that such relief would otherwise provide.



Sec.  1033.625  Special certification provisions for non-locomotive-specific engines.

    You may certify freshly manufactured or remanufactured locomotives 
using non-locomotive-specific engines (as defined in (1033.901) using 
the normal certification procedures of this part. Locomotives certified 
in that way are generally treated the same as other locomotives, except 
where specified otherwise. The provisions of this section provide for 
design certification to the locomotive standards in this part for 
locomotives using engines included in engine families certified under 40 
CFR part 1039 (or part 89) in limited circumstances.
    (a) Remanufactured or freshly manufactured switch locomotives 
powered by non-locomotive-specific engines may be certified by design 
without the test data required by 1033.235 if all of the following are 
true:
    (1) Before being installed in the locomotive, the engines were 
covered by a certificate of conformity issued under 40 CFR Part 1039 (or 
part 89) that is effective for the calendar year in which the 
manufacture or remanufacture occurs. You may use engines certified 
during the previous year if it is subject to the same standards. You may 
not make any modifications to the engines unless we approve them.
    (2) The engines were certified to standards that are numerically 
lower than the applicable locomotive standards of this part.
    (3) More engines are reasonably projected to be sold and used under 
the certificate for non-locomotive use than for use in locomotives.
    (4) The number of such locomotives certified under this section does 
not exceed 30 in any three-year period. We may waive this sales limit 
for locomotive models that have previously demonstrated compliance with 
the locomotive standards of Sec.  1033.101 in-use.
    (5) We approved the application as specified in paragraph (d) of 
this section.
    (b) To certify your locomotives by design under this section, submit 
your application as specified in Sec.  1033.205, except include the 
following instead of the locomotive test data otherwise required:
    (1) A description of the engines to be used, including the name of 
the engine manufacturer and engine family identifier for the engines.
    (2) A brief engineering analysis describing how the engine's 
emission controls will function when installed in the locomotive 
throughout the locomotive's useful life.
    (3) The emission data submitted under 40 CFR part 1039 (or part 89).
    (c) Locomotives certified under this section are subject to all of 
the same requirements of this part unless specified otherwise in this 
section. The engines used in such locomotives are not considered to be 
included in the otherwise applicable engines family of 40 CFR part 1039 
(or part 89).
    (d) We will approve or deny the application as specified in subpart 
C of this part. For example, we will deny your application for 
certification by design under this section in any case where we have 
evidence that your locomotives will not conform to the requirements of 
this part throughout their useful lives.



Sec.  1033.630  Staged-assembly and delegated assembly exemptions.

    (a) Staged assembly. You may ask us to provide a temporary exemption 
to allow you to complete production of your engines and locomotives at 
different facilities, as long as you maintain control of the engines 
until they are in their certified configuration. We may require you to 
take specific steps to ensure that such locomotives are in their 
certified configuration before

[[Page 527]]

reaching the ultimate purchaser. You may request an exemption under this 
paragraph (a) in your application for certification, or in a separate 
submission. If you include your request in your application, your 
exemption is approved when we grant your certificate. Note that no 
exemption is needed to ship an engine that has been assembled in its 
certified configuration, is properly labeled, and will not require an 
aftertreatment device to be attached when installed in the locomotive.
    (b) Delegated assembly. This paragraph (b) applies where the engine 
manufacturer/remanufacturer does not complete assembly of the 
locomotives and the engine is shipped after being manufactured or 
remanufactured (partially or completely). The provisions of this 
paragraph (b) apply differently depending on who holds the certificate 
of conformity and the state of the engine when it is shipped. You may 
request an exemption under this paragraph (b) in your application for 
certification, or in a separate submission. If you include your request 
in your application, your exemption is approved when we grant your 
certificate. A manufacturer/remanufacturer may request an exemption 
under 40 CFR 1068.260 instead of under this section.
    (1) In cases where an engine has been assembled in its certified 
configuration, properly labeled, and will not require an aftertreatment 
device to be attached when installed in the locomotive, no exemption is 
needed to ship the engine. You do not need an exemption to ship engines 
without specific components if they are not emission-related components 
identified in Appendix I of 40 CFR part 1068.
    (2) In cases where an engine has been properly labeled by the 
certificate holder and assembled in its certified configuration except 
that it does not yet have a required aftertreatment device, an exemption 
is required to ship the engine. You may ask for this exemption if you do 
all of the following:
    (i) You note on the Engine Emission Control Information label that 
the locomotive must include the aftertreatment device to be covered by 
the certificate.
    (ii) You make clear in your emission-related installation 
instructions that installation of the aftertreatment device is required 
for the locomotive to be covered by the certificate.
    (3) In cases where an engine will be shipped to the certificate 
holder in an uncertified configuration, an exemption is required to ship 
the engine. You may ask for this exemption under 40 CFR 1068.262.
    (c) Other exemptions. In unusual circumstances, you may ask us to 
provide an exemption for an assembly process that is not covered by the 
provisions of paragraphs (a) and (b) of this section. We will make the 
exemption conditional based on you complying with requirements that we 
determine are necessary to ensure that the locomotives are assembled in 
their certified configuration before being placed (back) into service.



Sec.  1033.640  Provisions for repowered and refurbished locomotives.

    (a) The provisions of this section apply for locomotives that are 
produced from an existing locomotive so that the new locomotive contains 
both previously used parts and parts that have never been used before.
    (1) Repowered locomotives are used locomotives in which a freshly 
manufactured propulsion engine is installed. As described in this 
section, a repowered locomotive is deemed to be either remanufactured or 
freshly manufactured, depending on the total amount of unused parts on 
the locomotive. It may also be deemed to be a refurbished locomotive.
    (2) Refurbished locomotives are locomotives that contain more unused 
parts than previously used parts. As described in this section, a 
locomotive containing more unused parts than previously used parts may 
be deemed to be either remanufactured or freshly manufactured, depending 
on the total amount of unused parts on the locomotive. Note that Sec.  
1033.101 defines refurbishment of a pre-1973 locomotive to be an upgrade 
of the locomotive.
    (b) A single existing locomotive cannot be divided into parts and 
combined with new parts to create more than one remanufactured 
locomotive. However, any number of locomotives can be divided into parts 
and combined with

[[Page 528]]

new parts to create more than one remanufactured locomotive, provide the 
number of locomotives created (remanufactured and freshly manufactured) 
does not exceed the number of locomotives that were disassembled.
    (c) You may determine the relative amount of previously used parts 
consistent with the specifications of the Federal Railroad 
Administration. Otherwise, determine the relative amount of previously 
used parts as follows:
    (1) Identify the parts in the fully assembled locomotive that have 
been previously used and those that have never been used before.
    (2) Weight the unused parts and previously used parts by the dollar 
value of the parts. For example, a single part valued at $1200 would 
count the same as six parts valued at $200 each. Group parts by system 
where possible (such as counting the engine as one part) if either all 
the parts in that system are used or all the parts in that system are 
unused. Calculate the used part values using dollar values from the same 
year as the new parts.
    (3) Sum the values of the unused parts. Also sum the values of the 
previously used parts. The relative fraction of used parts is the total 
value of previously used parts divided by the combined value of the 
unused parts and previously used parts.
    (c) If the weighted fraction of the locomotive that is comprised of 
previously used parts is greater than or equal to 25 percent, then the 
locomotive is considered to be a remanufactured locomotive and retains 
its original date of manufacture. Note, however, that if the weighted 
fraction of the locomotive that is comprised of previously used parts is 
less than 50 percent, then the locomotive is also considered to be a 
refurbished locomotive.
    (d) If the weighted fraction of the locomotive that is comprised of 
previously used parts is less than 25 percent, then the locomotive is 
deemed to be a freshly manufactured locomotive and the date of original 
manufacture is the most recent date on which the locomotive was 
assembled using less than 25 percent previously used parts. For example:
    (1) If you produce a new locomotive that includes a used frame, but 
all other parts are unused, then the locomotive would likely be 
considered to be a freshly manufactured locomotive because the value of 
the frame would likely be less than 25 percent of the total value of the 
locomotive. Its date of original manufacture would be the date on which 
you complete its assembly.
    (2) If you produce a new locomotive by replacing the engine in a 
1990 locomotive with a freshly manufactured engine, but all other parts 
are used, then the locomotive would likely be considered to be a 
remanufactured locomotive and its date of original manufacture is the 
date on which assembly was completed in 1990. (Note: such a locomotive 
would also be considered to be a repowered locomotive.)
    (e) Locomotives containing used parts that are deemed to be freshly 
manufactured locomotives are subject to the same provisions as all other 
freshly manufactured locomotives. Other refurbished locomotives are 
subject to the same provisions as other remanufactured locomotives, with 
the following exceptions:
    (1) Switch locomotives. (i) Prior to January 1, 2015, remanufactured 
Tier 0 switch locomotives that are deemed to be refurbished are subject 
to the Tier 0 line-haul cycle and switch cycle standards. Note that this 
differs from the requirements applicable to other Tier 0 switch 
locomotives, which are not subject to the Tier 0 line-haul cycle 
standards.
    (ii) Beginning January 1, 2015, remanufactured Tier 3 and earlier 
switch locomotives that are deemed to be refurbished are subject to the 
Tier 3 switch standards.
    (2) Line-haul locomotives. Remanufactured line-haul locomotives that 
are deemed to be refurbished are subject to the same standards as 
freshly manufactured line-haul locomotives, except that line-haul 
locomotives with rated power less than 3000 hp that are refurbished 
before January 1, 2015 are subject to the same standards as refurbished 
switch locomotives under paragraph (e)(1)(i) of this section. However, 
line-haul locomotives less than 3000 hp

[[Page 529]]

may not generate emission credits relative to the standards specified in 
paragraph (e)(1)(i) of this section.
    (3) Labels for switch and line-haul locomotives. Remanufacturers 
that refurbish a locomotive must add a secondary locomotive label that 
includes the following:
    (i) The label heading: ``REFURBISHED LOCOMOTIVE EMISSION CONTROL 
INFORMATION.''
    (ii) The statement identifying when the locomotive was refurbished 
and what standards it is subject to, as follows: ``THIS LOCOMOTIVE WAS 
REFURBISHED IN [year of refurbishment] AND MUST COMPLY WITH THE TIER 
[applicable standard level] EACH TIME THAT IT IS REMANUFACTURED, EXCEPT 
AS ALLOWED BY 40 CFR 1033.750.''.



Sec.  1033.645  Non-OEM component certification program.

    This section describes a voluntary program that allows you to get 
EPA approval of components you manufacture for use during 
remanufacturing.
    (a) Applicability. This section applies only for components replaced 
during remanufacturing. It does not apply for other components that are 
replaced during a locomotive's useful life.
    (1) The following components are eligible for approval under this 
section:
    (i) Cylinder liners.
    (ii) Pistons.
    (iii) Piston rings.
    (iv) Heads.
    (v) Fuel injectors.
    (vi) Turbochargers.
    (vii) Aftercoolers and intercoolers.
    (2) Catalysts and electronic controls are not eligible for approval 
under this section.
    (3) We may determine that other types of components can be certified 
under this section, consistent with good engineering judgment.
    (b) Approval. To obtain approval, submit your request to the 
Designated Compliance Officer.
    (1) Include all of the following in your request:
    (i) A description of the component(s) for which you are requesting 
approval.
    (ii) A list of all engine/locomotive models and engine families for 
which your component would be used. You may exclude models that are not 
subject to our standards or will otherwise not be remanufactured under a 
certificate of conformity.
    (iii) A copy of the maintenance instructions for engines using your 
component. You may reference the other certificate holder's maintenance 
instructions in your instructions. For example, your instructions may 
specify to follow the other certificate holder's instructions in 
general, but list one or more exceptions to address the specific 
maintenance needs of your component.
    (iv) An engineering analysis (including test data in some cases) 
demonstrating to us that your component will not cause emissions to 
increase. The analysis must address both low-hour and end-of-useful life 
emissions. The amount of information required for this analysis is less 
than is required to obtain a certificate of conformity under subpart C 
of this part and will vary depending on the type of component being 
certified.
    (v) The following statement signed by an authorized representative 
of your company: We submit this request under 40 CFR 1033.645. All the 
information in this report is true and accurate to the best of my 
knowledge. I know of the penalties for violating the Clean Air Act and 
the regulations. (Authorized Company Representative)
    (2) If we determine that there is reasonable technical basis to 
believe that your component is sufficiently equivalent that it will not 
increase emissions, we will approve your request and you will be a 
certificate holder for your components with respect to actual emissions 
performance for all locomotives that use those components (in accordance 
with this section).
    (c) Liability. Being a certificate holder under this section means 
that if in-use testing indicates that a certified locomotive using one 
or more of your approved components does not comply with an applicable 
emission standard, we will presume that you and other certificate 
holders are liable for the noncompliance. However, we will not hold you 
liable in cases where you convince us that your components did not cause 
the noncompliance. Conversely, we will not hold other certificate 
holders liable for noncompliance caused

[[Page 530]]

solely by your components. You are also subject to the warranty and 
defect reporting requirements of this part for your certified 
components. Other requirements of this part apply as specified in Sec.  
1033.1.
    (d) In-use testing. Locomotives containing your components must be 
tested according to the provisions of this paragraph (d).
    (1) Except as specified in paragraph (d)(5) of this section, you 
must test at least one locomotive if 250 locomotives use your component 
under this section. You must test one additional locomotive for the next 
additional 500 locomotives that use your component under this section. 
After that, we may require you to test one additional locomotive for 
each additional 1000 locomotives that use your component under this 
section. These numbers apply across model years. For example, if your 
component is used in 125 remanufactures per year under this section, you 
must test one of the first 250 locomotives, one of the next 500 
locomotives, and up to one every eight years after that. Do not count 
locomotives that use your components but are not covered by this 
section.
    (2) Except for the first locomotive you test for a specific 
component under this section, locomotives tested under this paragraph 
(d) must be past the half-way point of the useful life in terms of MW-
hrs. For the first locomotive you test, select a locomotive that has 
operated between 25 and 50 percent of its useful life.
    (3) Unless we approve a different schedule, you must complete 
testing and report the results to us within 180 days of the earliest 
point at which you could complete the testing based on the hours of 
operation accumulated by the locomotives. For example, if 250 or more 
locomotives use your part under this section, and the first of these to 
reach 25 percent of its useful life does so on March 1st of a given 
year, you must complete testing of one of the first 250 locomotives and 
report to us by August 28th of that year.
    (4) Unless we approve different test procedures, you must test the 
locomotive according to the procedures specified in subpart F of this 
part.
    (5) If any locomotives fail to meet all standards, we may require 
you to test one additional locomotive for each locomotive that fails. 
You may choose to accept that your part is causing an emission problem 
rather than continuing testing. You may also test additional locomotives 
at any time. We will consider failure rates, average emission levels and 
the existence of any defects among other factors in determining whether 
to pursue remedial action. We may order a recall pursuant to 40 CFR part 
1068 before you complete testing additional locomotives.
    (6) You may ask us to allow you to rely on testing performed by 
others instead of requiring you to perform testing. For example, if a 
railroad tests a locomotive with your component as part of its testing 
under Sec.  1033.810, you may ask to submit those test data as 
fulfillment of your test obligations under this paragraph (d). If a 
given test locomotive uses different components certified under this 
section that were manufactured by different manufacturers (such as rings 
from one manufacturer and cylinder liners from another manufacturer), a 
single test of it may be counted towards both manufacturers' test 
obligations. In unusual circumstances, you may also ask us to grant you 
hardship relief from the testing requirements of this paragraph (d). In 
determining whether to grant you relief, we will consider all relevant 
factors including the extent of the financial hardship to your company 
and whether the test data are available from other sources, such as 
testing performed by a railroad.
    (e) Components certified under this section may be used when 
remanufacturing Category 2 engines under 40 CFR part 1042.



Sec.  1033.650  Incidental use exemption for Canadian and Mexican locomotives.

    You may ask us to exempt from the requirements and prohibitions of 
this part locomotives that are operated primarily outside of the United 
States and that enter the United States temporarily from Canada or 
Mexico. We will approve this exemption only where we determine that the 
locomotive's operation within the United States will

[[Page 531]]

not be extensive and will be incidental to its primary operation. For 
example, we would generally exempt locomotives that will not operate 
more than 25 miles from the border and will operate in the United States 
less than 5 percent of their operating time. For existing operations, 
you must request this exemption before January 1, 2011. In your request, 
identify the locomotives for which you are requesting an exemption, and 
describe their projected use in the United States. We may grant the 
exemption broadly or limit the exemption to specific locomotives and/or 
specific geographic areas. However, we will typically approve exemptions 
for specific rail facilities rather than specific locomotives. In 
unusual circumstances, such as cases in which new rail facilities are 
created, we may approve requests submitted after January 1, 2011.



Sec.  1033.655  Special provisions for certain Tier 0/Tier 1 locomotives.

    (a) The provisions of this section apply only for the following 
locomotives (and locomotives in the same engine families as these 
locomotives):
    (1) Locomotives listed in Table 1 of this section originally 
manufactured 1986-1994 by General Electric Company that have never been 
equipped with separate loop aftercooling. The section also applies for 
the equivalent passenger locomotives.

                       Table 1 to Sec.   1033.655
------------------------------------------------------------------------
 
------------------------------------------------------------------------
8-40C.....................................  P32ACDM
8-40B.....................................  P42DC
8-32B.....................................  8-40BPH
8-40CW....................................  P40DC
8-40BW....................................  8-32BWH
8-40CM....................................  C39-8
8-41CW....................................  B39-8E
8-44CW                                      ............................
------------------------------------------------------------------------

    (2) SD70MAC and SD70IAC locomotives originally manufactured 1996-
2000 by EMD.
    (b) Any certifying remanufacturer may request relief for the 
locomotives covered by this section.
    (c) You may ask us to allow these locomotives to exceed otherwise 
applicable line-haul cycle NOX standard for high ambient 
temperatures and/or altitude because of limitations of the cooling 
system. However, the NOX emissions may exceed the otherwise 
applicable standard only to the extent necessary. Relief is limited to 
the following conditions:
    (1) For General Electric locomotives, you may ask for relief for 
ambient temperatures above 23 [deg]C and/or barometric pressure below 
97.5 kPa (28.8 in. Hg). NOX emissions may not exceed 9.5 g/
bhp-hr over the line-haul cycle for any temperatures up to 105 [deg]F 
and any altitude up to 7000 feet above sea level.
    (2) For EMD locomotives, you may ask for relief for ambient 
temperatures above 30 [deg]C and/or barometric pressure below 97.5 kPa 
(28.8 in. Hg). NOX emissions may not exceed 8.0 g/bhp-hr over 
the line-haul cycle for any temperatures up to 105 [deg]F and any 
altitude up to 7000 feet above sea level.
    (d) All other standards and requirements in this part apply as 
specified.
    (e) To request this relief, submit to the Designated Compliance 
Officer along with your application for certification an engineering 
analysis showing how your emission controls operate for the following 
conditions:
    (1) Temperatures 23-40 [deg]C at any altitude up to 7000 feet above 
sea level.
    (2) Altitudes 1000-7000 feet above sea level for any temperature 
from 15-40 [deg]C.



       Subpart H_Averaging, Banking, and Trading for Certification



Sec.  1033.701  General provisions.

    (a) You may average, bank, and trade (ABT) emission credits for 
purposes of certification as described in this subpart to show 
compliance with the standards of this part. Participation in this 
program is voluntary.
    (b) Section 1033.740 restricts the use of emission credits to 
certain averaging sets.
    (c) The definitions of Subpart J of this part apply to this subpart. 
The following definitions also apply:
    (1) Actual emission credits means emission credits you have 
generated that we have verified by reviewing your final report.
    (2) Applicable emission standard means an emission standard that is 
specified in subpart B of this part. Note that for

[[Page 532]]

other subparts, ``applicable emission standard'' is defined to also 
include FELs.
    (3) Averaging set means a set of locomotives in which emission 
credits may be exchanged only with other locomotives in the same 
averaging set.
    (4) Broker means any entity that facilitates a trade of emission 
credits between a buyer and seller.
    (5) Buyer means the entity that receives emission credits as a 
result of a trade.
    (6) Reserved emission credits means emission credits you have 
generated that we have not yet verified by reviewing your final report.
    (7) Seller means the entity that provides emission credits during a 
trade.
    (8) Trade means to exchange emission credits, either as a buyer or 
seller.
    (9) Transfer means to convey control of credits generated for an 
individual locomotive to the purchaser, owner, or operator of the 
locomotive at the time of manufacture or remanufacture; or to convey 
control of previously generated credits from the purchaser, owner, or 
operator of an individual locomotive to the manufacturer/remanufacturer 
at the time of manufacture/remanufacture.
    (d) You may not use emission credits generated under this subpart to 
offset any emissions that exceed an FEL or standard. This applies for 
all testing, including certification testing, in-use testing, selective 
enforcement audits, and other production-line testing. However, if 
emissions from a locomotive exceed an FEL or standard (for example, 
during a selective enforcement audit), you may use emission credits to 
recertify the engine family with a higher FEL that applies only to 
future production.
    (e) Engine families that use emission credits for one or more 
pollutants may not generate positive emission credits for another 
pollutant.
    (f) Emission credits may be used in the model year they are 
generated or in future model years. Emission credits may not be used for 
past model years.
    (g) You may increase or decrease an FEL during the model year by 
amending your application for certification under Sec.  1033.225. The 
new FEL may apply only to locomotives you have not already introduced 
into commerce. Each locomotive's emission control information label must 
include the applicable FELs. You must conduct production line testing to 
verify that the emission levels are achieved.
    (h) Credits may be generated by any certifying manufacturer/
remanufacturer and may be held by any of the following entities:
    (1) Locomotive or engine manufacturers.
    (2) Locomotive or engine remanufacturers.
    (3) Locomotive owners.
    (4) Locomotive operators.
    (5) Other entities after notification to EPA.
    (i) All locomotives that are certified to an FEL that is different 
from the emission standard that would otherwise apply to the locomotives 
are required to comply with that FEL for the remainder of their service 
lives, except as allowed by Sec.  1033.750.
    (1) Manufacturers must notify the purchaser of any locomotive that 
is certified to an FEL that is different from the emission standard that 
would otherwise apply that the locomotive is required to comply with 
that FEL for the remainder of its service life.
    (2) Remanufacturers must notify the owner of any locomotive or 
locomotive engine that is certified to an FEL that is different from the 
emission standard that would otherwise apply that the locomotive (or the 
locomotive in which the engine is used) is required to comply with that 
FEL for the remainder of its service life.
    (j) The FEL to which the locomotive is certified must be included on 
the locomotive label required in Sec.  1033.135. This label must include 
the notification specified in paragraph (i) of this section.



Sec.  1033.705  Calculating emission credits.

    The provisions of this section apply separately for calculating 
emission credits for NOX or PM.
    (a) Calculate positive emission credits for an engine family that 
has an FEL below the otherwise applicable emission standard. Calculate 
negative emission credits for an engine family that has an FEL above the 
otherwise

[[Page 533]]

applicable emission standard. Do not round until the end of year report.
    (b) For each participating engine family, calculate positive or 
negative emission credits relative to the otherwise applicable emission 
standard. For the end of year report, round calculated emission credits 
to the nearest one hundredth of a megagram (0.01 Mg). Round your end of 
year emission credit balance to the nearest megagram (Mg). Use 
consistent units throughout the calculation. When useful life is 
expressed in terms of megawatt-hrs, calculate credits for each engine 
family from the following equation:

Emission credits = (Std-FEL) x (1.341) x (UL) x (Production) x 
(Fp) x (10-3 kW-Mg/MW-g).

Where:

Std = the applicable NOX or PM emission standard in g/bhp-hr 
          (except that Std = previous FEL in g/bhp-hr for locomotives 
          that were certified under this part to an FEL other than the 
          standard during the previous useful life).
FEL = the family emission limit for the engine family in g/bhp-hr.
UL = the sales-weighted average useful life in megawatt-hours (or the 
          subset of the engine family for which credits are being 
          calculated), as specified in the application for 
          certification.
Production = the number of locomotives participating in the averaging, 
          banking, and trading program within the given engine family 
          during the calendar year (or the number of locomotives in the 
          subset of the engine family for which credits are being 
          calculated). Quarterly production projections are used for 
          initial certification. Actual applicable production/sales 
          volumes are used for end-of-year compliance determination.
Fp = the proration factor as determined in paragraph (d) of 
          this section.

    (c) When useful life is expressed in terms of miles, calculate the 
useful life in terms of megawatt-hours (UL) by dividing the useful life 
in miles by 100,000, and multiplying by the sales-weighted average rated 
power of the engine family. For example, if your useful life is 800,000 
miles for a family with an average rated power of 3,500 hp, then your 
equivalent MW-hr useful life would be 28,000 MW-hrs. Credits are 
calculated using this UL value in the equations of paragraph (b) of this 
section.
    (d) The proration factor is an estimate of the fraction of a 
locomotive's service life that remains as a function of age. The 
proration factor is 1.00 for freshly manufactured locomotives.
    (1) The locomotive's age is the length of time in years from the 
date of original manufacture to the date at which the remanufacture (for 
which credits are being calculated) is completed, rounded to the next 
higher year.
    (2) The proration factors for line-haul locomotives ages 1 through 
20 are specified in Table 1 to this section. For line-haul locomotives 
more than 20 years old, use the proration factor for 20 year old 
locomotives. The proration factors for switch locomotives ages 1 through 
40 are specified in Table 2 to this section. For switch locomotives more 
than 40 years old, use the proration factor for 40 year old locomotives.
    (3) For repower engines, the proration factor is based on the age of 
the locomotive chassis, not the age of the engine, except for 
remanufactured locomotives that qualify as refurbished. The minimum 
proration factor for remanufactured locomotives that meet the definition 
of refurbished but not freshly manufactured is 0.60. (Note: The 
proration factor is 1.00 for all locomotives that meet the definition of 
freshly manufactured.)

Table 1 to Sec.   1033.705.--Proration Factors for Line-Haul Locomotives
------------------------------------------------------------------------
                                                             Proration
                 Locomotive age (years)                     factor (Fp)
------------------------------------------------------------------------
1.......................................................            0.96
2.......................................................            0.92
3.......................................................            0.88
4.......................................................            0.84
5.......................................................            0.81
6.......................................................            0.77
7.......................................................            0.73
8.......................................................            0.69
9.......................................................            0.65
10......................................................            0.61
11......................................................            0.57
12......................................................            0.54
13......................................................            0.50
14......................................................            0.47
15......................................................            0.43
16......................................................            0.40
17......................................................            0.36
18......................................................            0.33
19......................................................            0.30
20......................................................            0.27
------------------------------------------------------------------------


[[Page 534]]


  Table 2 to Sec.   1033.705.--Proration Factors for Switch Locomotives
------------------------------------------------------------------------
                                                             Proration
                 Locomotive age (years)                     factor (Fp)
------------------------------------------------------------------------
1.......................................................            0.98
2.......................................................            0.96
3.......................................................            0.94
4.......................................................            0.92
5.......................................................            0.90
6.......................................................            0.88
7.......................................................            0.86
8.......................................................            0.84
9.......................................................            0.82
10......................................................            0.80
11......................................................            0.78
12......................................................            0.76
13......................................................            0.74
14......................................................            0.72
15......................................................            0.70
16......................................................            0.68
17......................................................            0.66
18......................................................            0.64
19......................................................            0.62
20......................................................            0.60
21......................................................            0.58
22......................................................            0.56
23......................................................            0.54
24......................................................            0.52
25......................................................            0.50
26......................................................            0.48
27......................................................            0.46
28......................................................            0.44
29......................................................            0.42
30......................................................            0.40
31......................................................            0.38
32......................................................            0.36
33......................................................            0.34
34......................................................            0.32
35......................................................            0.30
36......................................................            0.28
37......................................................            0.26
38......................................................            0.24
39......................................................            0.22
40......................................................            0.20
------------------------------------------------------------------------

    (e) In your application for certification, base your showing of 
compliance on projected production volumes for locomotives that will be 
placed into service in the United States. As described in Sec.  
1033.730, compliance with the requirements of this subpart is determined 
at the end of the model year based on actual production volumes for 
locomotives that will be placed into service in the United States. Do 
not include any of the following locomotives to calculate emission 
credits:
    (1) Locomotives permanently exempted under subpart G of this part or 
under 40 CFR part 1068.
    (2) Exported locomotives. You may ask to include locomotives sold to 
Mexican or Canadian railroads if they will likely operate within the 
United States and you include all such locomotives (both credit using 
and credit generating locomotives).
    (3) Locomotives not subject to the requirements of this part, such 
as those excluded under Sec.  1033.5.
    (4) Any other locomotives, where we indicate elsewhere in this part 
1033 that they are not to be included in the calculations of this 
subpart.



Sec.  1033.710  Averaging emission credits.

    (a) Averaging is the exchange of emission credits among your engine 
families. You may average emission credits only as allowed by Sec.  
1033.740.
    (b) You may certify one or more engine families to an FEL above the 
applicable emission standard, subject to the FEL caps and other 
provisions in subpart B of this part, if you show in your application 
for certification that your projected balance of all emission-credit 
transactions in that model year is greater than or equal to zero.
    (c) If you certify an engine family to an FEL that exceeds the 
otherwise applicable emission standard, you must obtain enough emission 
credits to offset the engine family's deficit by the due date for the 
final report required in Sec.  1033.730. The emission credits used to 
address the deficit may come from your other engine families that 
generate emission credits in the same model year, from emission credits 
you have banked, or from emission credits you obtain through trading or 
by transfer.



Sec.  1033.715  Banking emission credits.

    (a) Banking is the retention of emission credits by the 
manufacturer/remanufacturer generating the emission credits (or owner/
operator, in the case of transferred credits) for use in averaging, 
trading, or transferring in future model years. You may use banked 
emission credits only as allowed by Sec.  1033.740.
    (b) You may use banked emission credits from the previous model year 
for averaging, trading, or transferring before we verify them, but we 
may revoke these emission credits if we are unable to verify them after 
reviewing your reports or auditing your records.
    (c) Reserved credits become actual emission credits only when we 
verify them after reviewing your final report.

[[Page 535]]



Sec.  1033.720  Trading emission credits.

    (a) Trading is the exchange of emission credits between certificate 
holders. You may use traded emission credits for averaging, banking, or 
further trading transactions. Traded emission credits may be used only 
as allowed by Sec.  1033.740.
    (b) You may trade actual emission credits as described in this 
subpart. You may also trade reserved emission credits, but we may revoke 
these emission credits based on our review of your records or reports or 
those of the company with which you traded emission credits.
    (c) If a negative emission credit balance results from a 
transaction, both the buyer and seller are liable, except in cases we 
deem to involve fraud. See Sec.  1033.255(e) for cases involving fraud. 
We may void the certificates of all engine families participating in a 
trade that results in a manufacturer/remanufacturer having a negative 
balance of emission credits. See Sec.  1033.745.



Sec.  1033.722  Transferring emission credits.

    (a) Credit transfer is the conveying of control over credits, 
either:
    (1) From a certifying manufacturer/remanufacturer to an owner/
operator.
    (2) From an owner/operator to a certifying manufacturer/
remanufacturer.
    (b) Transferred credits can be:
    (1) Used by a certifying manufacturer/remanufacturer in averaging.
    (2) Transferred again within the model year.
    (3) Reserved for later banking. Transferred credits may not be 
traded unless they have been previously banked.
    (c) Owners/operators participating in credit transfers must submit 
the reports specified in Sec.  1033.730.



Sec.  1033.725  Requirements for your application for certification.

    (a) You must declare in your application for certification your 
intent to use the provisions of this subpart for each engine family that 
will be certified using the ABT program. You must also declare the FELs 
you select for the engine family for each pollutant for which you are 
using the ABT program. Your FELs must comply with the specifications of 
subpart B of this part, including the FEL caps. FELs must be expressed 
to the same number of decimal places as the applicable emission 
standards.
    (b) Include the following in your application for certification:
    (1) A statement that, to the best of your belief, you will not have 
a negative balance of emission credits for any averaging set when all 
emission credits are calculated at the end of the year.
    (2) Detailed calculations of projected emission credits (positive or 
negative) based on projected production volumes.



Sec.  1033.730  ABT reports.

    (a) If any of your engine families are certified using the ABT 
provisions of this subpart, you must send an end-of-year report within 
90 days after the end of the model year and a final report within 270 
days after the end of the model year. We may waive the requirement to 
send the end-of year report, as long as you send the final report on 
time.
    (b) Your end-of-year and final reports must include the following 
information for each engine family participating in the ABT program:
    (1) Engine family designation.
    (2) The emission standards that would otherwise apply to the engine 
family.
    (3) The FEL for each pollutant. If you changed an FEL during the 
model year, identify each FEL you used and calculate the positive or 
negative emission credits under each FEL. Also, describe how the 
applicable FEL can be identified for each locomotive you produced. For 
example, you might keep a list of locomotive identification numbers that 
correspond with certain FEL values.
    (4) The projected and actual production volumes for the model year 
that will be placed into service in the United States as described in 
Sec.  1033.705. If you changed an FEL during the model year, identify 
the actual production volume associated with each FEL.
    (5) Rated power for each locomotive configuration, and the sales-
weighted average locomotive power for the engine family.
    (6) Useful life.
    (7) Calculated positive or negative emission credits for the whole 
engine

[[Page 536]]

family. Identify any emission credits that you traded or transferred, as 
described in paragraph (d)(1) or (e) of this section.
    (c) Your end-of-year and final reports must include the following 
additional information:
    (1) Show that your net balance of emission credits from all your 
engine families in each averaging set in the applicable model year is 
not negative.
    (2) State whether you will retain any emission credits for banking.
    (3) State that the report's contents are accurate.
    (d) If you trade emission credits, you must send us a report within 
90 days after the transaction, as follows:
    (1) As the seller, you must include the following information in 
your report:
    (i) The corporate names of the buyer and any brokers.
    (ii) A copy of any contracts related to the trade.
    (iii) The engine families that generated emission credits for the 
trade, including the number of emission credits from each family.
    (2) As the buyer, you must include the following information in your 
report:
    (i) The corporate names of the seller and any brokers.
    (ii) A copy of any contracts related to the trade.
    (iii) How you intend to use the emission credits, including the 
number of emission credits you intend to apply to each engine family (if 
known).
    (e) If you transfer emission credits, you must send us a report 
within 90 days after the first transfer to an owner/operator, as 
follows:
    (1) Include the following information:
    (i) The corporate names of the owner/operator receiving the credits.
    (ii) A copy of any contracts related to the trade.
    (iii) The serial numbers and engine families for the locomotive that 
generated the transferred emission credits and the number of emission 
credits from each family.
    (2) The requirements of this paragraph (e) apply separately for each 
owner/operator.
    (3) We may require you to submit additional 90-day reports under 
this paragraph (e).
    (f) Send your reports electronically to the Designated Compliance 
Officer using an approved information format. If you want to use a 
different format, send us a written request with justification for a 
waiver.
    (g) Correct errors in your end-of-year report or final report as 
follows:
    (1) You may correct any errors in your end-of-year report when you 
prepare the final report, as long as you send us the final report by the 
time it is due.
    (2) If you or we determine within 270 days after the end of the 
model year that errors mistakenly decreased your balance of emission 
credits, you may correct the errors and recalculate the balance of 
emission credits. You may not make these corrections for errors that are 
determined more than 270 days after the end of the model year. If you 
report a negative balance of emission credits, we may disallow 
corrections under this paragraph (g)(2).
    (3) If you or we determine anytime that errors mistakenly increased 
your balance of emission credits, you must correct the errors and 
recalculate the balance of emission credits.
    (h) We may modify these requirements for owners/operators required 
to submit reports because of their involvement in credit transferring.



Sec.  1033.735  Required records.

    (a) You must organize and maintain your records as described in this 
section. We may review your records at any time.
    (b) Keep the records required by this section for eight years after 
the due date for the end-of-year report. You may not use emission 
credits on any engines if you do not keep all the records required under 
this section. You must therefore keep these records to continue to bank 
valid credits. Store these records in any format and on any media, as 
long as you can promptly send us organized, written records in English 
if we ask for them. You must keep these records readily available. We 
may review them at any time.
    (c) Keep a copy of the reports we require in Sec.  1033.730.

[[Page 537]]

    (d) Keep the following additional records for each locomotive you 
produce that generates or uses emission credits under the ABT program:
    (1) Engine family designation.
    (2) Locomotive identification number. You may identify these numbers 
as a range.
    (3) FEL. If you change the FEL after the start of production, 
identify the date that you started using the new FEL and give the engine 
identification number for the first engine covered by the new FEL.
    (4) Rated power and useful life.
    (5) Purchaser and destination for freshly manufactured locomotives; 
or owner for remanufactured locomotives.
    (e) We may require you to keep additional records or to send us 
relevant information not required by this section, as allowed under the 
Clean Air Act.



Sec.  1033.740  Credit restrictions.

    Use of emission credits generated under this part 1033 or 40 CFR 
part 92 is restricted depending on the standards against which they were 
generated.
    (a) Credits from 40 CFR part 92. NOX and PM credits 
generated under 40 CFR part 92 may be used under this part in the same 
manner as NOX and PM credits generated under this part.
    (b) General cycle restriction. Locomotives subject to both switch 
cycle standards and line-haul cycle standards (such as Tier 2 
locomotives) may generate both switch and line-haul credits. Except as 
specified in paragraph (c) of this section, such credits may only be 
used to show compliance with standards for the same cycle for which they 
were generated. For example, a Tier 2 locomotive that is certified to a 
switch cycle NOX FEL below the applicable switch cycle 
standard and a line-haul cycle NOX FEL below the applicable 
line-haul cycle standard may generate switch cycle NOX 
credits for use in complying with switch cycle NOX standards 
and a line-haul cycle NOX credits for use in complying with 
line-haul cycle NOX standards.
    (c) Single cycle locomotives. As specified in Sec.  1033.101, Tier 0 
switch locomotives, Tier 3 and later switch locomotives, and Tier 4 and 
later line-haul locomotives are not subject to both switch cycle and 
line-haul cycle standards.
    (1) When using credits generated by locomotives covered by paragraph 
(b) of this section for single cycle locomotives covered by this 
paragraph (c), you must use both switch and line-haul credits as 
described in this paragraph (c)(1).
    (i) For locomotives subject only to switch cycle standards, 
calculate the negative switch credits for the credit using locomotive as 
specified in Sec.  1033.705. Such locomotives also generate an equal 
number of negative line-haul cycle credits (in Mg).
    (ii) For locomotives subject only to line-haul cycle standards, 
calculate the negative line-haul credits for the credit using locomotive 
as specified in Sec.  1033.705. Such locomotives also generate an equal 
number of negative switch cycle credits (in Mg).
    (2) Credits generated by Tier 0, Tier 3, or Tier 4 switch 
locomotives may be used to show compliance with any switch cycle or 
line-haul cycle standards.
    (3) Credits generated by any line-haul locomotives may not be used 
by Tier 3 or later switch locomotives.
    (d) Tier 4 credit use. The number of Tier 4 locomotives that can be 
certified using credits in any year may not exceed 50 percent of the 
total number of Tier 4 locomotives you produce in that year for U.S. 
sales.
    (e) Other restrictions. Other sections of this part may specify 
additional restrictions for using emission credits under certain special 
provisions.



Sec.  1033.745  Compliance with the provisions of this subpart.

    The provisions of this section apply to certificate holders.
    (a) For each engine family participating in the ABT program, the 
certificate of conformity is conditional upon full compliance with the 
provisions of this subpart during and after the model year. You are 
responsible to establish to our satisfaction that you fully comply with 
applicable requirements. We may void the certificate of conformity for 
an engine family if you fail to comply with any provisions of this 
subpart.
    (b) You may certify your engine family to an FEL above an applicable

[[Page 538]]

emission standard based on a projection that you will have enough 
emission credits to offset the deficit for the engine family. However, 
we may void the certificate of conformity if you cannot show in your 
final report that you have enough actual emission credits to offset a 
deficit for any pollutant in an engine family.
    (c) We may void the certificate of conformity for an engine family 
if you fail to keep records, send reports, or give us information we 
request.
    (d) You may ask for a hearing if we void your certificate under this 
section (see Sec.  1033.920).



Sec.  1033.750  Changing a locomotive's FEL at remanufacture.

    Locomotives are generally required to be certified to the previously 
applicable emission standard or FEL when remanufactured. This section 
describes provisions that allow a remanufactured locomotive to be 
certified to a different FEL (higher or lower).
    (a) A remanufacturer may choose to certify a remanufacturing system 
to change the FEL of a locomotive from a previously applicable FEL or 
standard. Any locomotives remanufactured using that system are required 
to comply with the revised FEL for the remainder of their service lives, 
unless it is changed again under this section during a later 
remanufacture. Remanufacturers changing an FEL must notify the owner of 
the locomotive that it is required to comply with that FEL for the 
remainder of its service life.
    (b) Calculate the credits needed or generated as specified in Sec.  
1033.705, except as specified in this paragraph. If the locomotive was 
previously certified to an FEL for the pollutant, use the previously 
applicable FEL as the standard.



             Subpart I_Requirements for Owners and Operators



Sec.  1033.801  Applicability.

    The requirements of this subpart are applicable to railroads and all 
other owners and operators of locomotives subject to the provisions of 
this part, except as otherwise specified. The prohibitions related to 
maintenance in Sec.  1033.815 also applies to anyone performing 
maintenance on a locomotive subject to the provisions of this part.



Sec.  1033.805  Remanufacturing requirements.

    (a) See the definition of ``remanufacture'' in Sec.  1033.901 to 
determine if you are remanufacturing your locomotive or engine. (Note: 
Replacing power assemblies one at a time may qualify as remanufacturing, 
depending on the interval between replacement.)
    (b) See the definition of ``new'' in Sec.  1033.901 to determine if 
remanufacturing your locomotive makes it subject to the requirements of 
this part. If the locomotive is considered to be new, it is subject to 
the certification requirements of this part, unless it is exempt under 
subpart G of this part. The standards to which your locomotive is 
subject will depend on factors such as the following:
    (1) Its date of original manufacture.
    (2) The FEL to which it was previously certified, which is listed on 
the ``Locomotive Emission Control Information'' label.
    (3) Its power rating (whether it is above or below 2300 hp).
    (4) The calendar year in which it is being remanufactured.
    (c) You may comply with the certification requirements of this part 
for your remanufactured locomotive by either obtaining your own 
certificate of conformity as specified in subpart C of this part or by 
having a certifying remanufacturer include your locomotive under its 
certificate of conformity. In either case, your remanufactured 
locomotive must be covered by a certificate before it is reintroduced 
into service.
    (d) If you do not obtain your own certificate of conformity from 
EPA, contact a certifying remanufacturer to have your locomotive 
included under its certificate of conformity. Confirm with the 
certificate holder that your locomotive's model, date of original 
manufacture, previous FEL, and power rating allow it to be covered by 
the certificate. You must do all of the following:
    (1) Comply with the certificate holder's emission-related 
installation instructions, which should include the following:

[[Page 539]]

    (i) A description of how to assemble and adjust the locomotive so 
that it will operate according to design specifications in the 
certificate. See paragraph (e) of this section for requirements related 
to the parts you must use.
    (ii) Instructions to remove the Engine Emission Control Information 
label and replace it with the certificate holder's new label. Note: In 
most cases, you must not remove the Locomotive Emission Control 
Information label.
    (2) Provide to the certificate holder the information it identifies 
as necessary to comply with the requirements of this part. For example, 
the certificate holder may require you to provide the information 
specified by Sec.  1033.735.
    (e) For parts unrelated to emissions and emission-related parts not 
addressed by the certificate holder in the emission-related installation 
instructions, you may use parts from any source. For emission-related 
parts listed by the certificate holder in the emission-related 
installation instructions, you must either use the specified parts or 
parts certified under Sec.  1033.645 for remanufacturing. If you believe 
that the certificate holder has included as emission-related parts, 
parts that are actually unrelated to emissions, you may ask us to 
exclude such parts from the emission-related installation instructions. 
Note: This paragraph (e) does not apply with respect to parts for 
maintenance other than remanufacturing; see Sec.  1033.815 for 
provisions related to general maintenance.
    (f) Failure to comply with this section is a violation of 40 CFR 
1068.101(a)(1).



Sec.  1033.810  In-use testing program.

    (a) Applicability. This section applies to all Class I freight 
railroads. It does not apply to other owner/operators.
    (b) Testing requirements. Annually test a sample of locomotives in 
your fleet. For purposes of this section, your fleet includes both the 
locomotives that you own and the locomotives that you are leasing. Use 
the test procedures in subpart F of this part, unless we approve 
different procedures.
    (1) Except for the cases described in paragraph (b)(2) of this 
section, test at least 0.075 percent of the average number of 
locomotives in your fleet during the previous calendar year (i.e., 
determine the number to be tested by multiplying the number of 
locomotives in the fleet by 0.00075 and rounding up to the next whole 
number).
    (2) We may allow you to test a smaller number of locomotives if we 
determine that the number of tests otherwise required by this section is 
not necessary.
    (c) Test locomotive selection. Unless we specify a different option, 
select test locomotives as specified in paragraph (c)(1) of this section 
(Option 1). In no case may you exclude locomotives because of visible 
smoke, a history of durability problems, or other evidence of 
malmaintenance. You may test more locomotives than is required by this 
section.
    (1) Option 1. To the extent possible, select locomotives from each 
manufacturer and remanufacturer, and from each tier level (e.g., Tier 0, 
Tier 1 and Tier 2) in proportion to their numbers in the your fleet. 
Exclude locomotives tested during the previous year. If possible, select 
locomotives that have been operated for at least 100 percent of their 
useful lives. Where there are multiple locomotives meeting the 
requirements of this paragraph (c)(1), randomly select the locomotives 
to be tested from among those locomotives. If the number of certified 
locomotives that have been operated for at least 100 percent of their 
useful lives is not large enough to fulfill the testing requirement, 
test locomotives still within their useful lives as follows:
    (i) Test locomotives in your fleet that are nearest to the end of 
their useful lives. You may identify such locomotives as a range of 
values representing the fraction of the useful life already used up for 
the locomotives.
    (ii) For example, you may determine that 20 percent of your fleet 
has been operated for at least 75 percent of their useful lives. In such 
a case, select locomotives for testing that have been operated for at 
least 75 percent of their useful lives.
    (2) Option 2. If you hold a certificate for some of your 
locomotives, you may ask us to allow you to select up to two locomotives 
as specified in subpart E of

[[Page 540]]

this part, and count those locomotives toward both your testing 
obligations of that subpart and this section.
    (3) Option 3. You may ask us to allow you to test locomotives that 
use parts covered under Sec.  1033.645. If we do, it does not change the 
number of locomotives that you must test.
    (4) Option 4. We may require that you test specific locomotives, 
including locomotives that do not meet the criteria specified in any of 
the options in this section. If we do, we will specify which locomotives 
to test by January 1 of the calendar year for which testing is required.
    (d) Reporting requirements. Report all testing done in compliance 
with the provisions of this section to us within 45 calendar days after 
the end of each calendar year. At a minimum, include the following:
    (1) Your full corporate name and address.
    (2) For each locomotive tested, all the following:
    (i) Corporate name of the manufacturer and last remanufacturer(s) of 
the locomotive (including both certificate holder and installer, where 
different), and the corporate name of the manufacturer or last 
remanufacturer(s) of the engine if different than that of the 
manufacturer/remanufacturer(s) of the locomotive.
    (ii) Year (and month if known) of original manufacture of the 
locomotive and the engine, and the manufacturer's model designation of 
the locomotive and manufacturer's model designation of the engine, and 
the locomotive identification number.
    (iii) Year (and month if known) that the engine last underwent 
remanufacture, the engine remanufacturer's designation that reflects (or 
most closely reflects) the engine after the last remanufacture, and the 
engine family identification.
    (iv) The number of MW-hrs and miles (where available) the locomotive 
has been operated since its last remanufacture.
    (v) The emission test results for all measured pollutants.
    (e) You do not have to submit a report for any year in which you 
performed no emission testing under this section.
    (f) You may ask us to allow you to submit equivalent emission data 
collected for other purposes instead of some or all of the test data 
required by this section. If we allow it in advance, you may report 
emission data collected using other testing or sampling procedures 
instead of some or all of the data specified by this section.
    (g) Submit all reports to the Designated Compliance Officer.
    (h) Failure to comply fully with this section is a violation of 40 
CFR 1068.101(a)(2).



Sec.  1033.815  Maintenance, operation, and repair.

    All persons who own, operate, or maintain locomotives are subject to 
this section, except where we specify that a requirement applies to the 
owner.
    (a) Unless we allow otherwise, all owners of locomotives subject to 
the provisions of this part must ensure that all emission-related 
maintenance is performed on the locomotives, as specified in the 
maintenance instructions provided by the certifying manufacturer/
remanufacturer in compliance with Sec.  1033.125 (or maintenance that is 
equivalent to the maintenance specified by the certifying manufacturer/
remanufacturer in terms of maintaining emissions performance).
    (b) Perform unscheduled maintenance in a timely manner. This 
includes malfunctions identified through the locomotive's emission 
control diagnostics system and malfunctions discovered in components of 
the diagnostics system itself. For most repairs, this paragraph (b) 
requires that the maintenance be performed no later than the 
locomotive's next periodic (92-day) inspection. See paragraph (e) of 
this section, for reductant replenishment requirements in a locomotive 
equipped with an SCR system.
    (c) Use good engineering judgment when performing maintenance of 
locomotives subject to the provisions of this part. You must perform all 
maintenance and repair such that you have a reasonable technical basis 
for believing the locomotive will continue (after the maintenance or 
repair) to meet the applicable emission standards and FELs to which it 
was certified.

[[Page 541]]

    (d) The owner of the locomotive must keep records of all maintenance 
and repairs that could reasonably affect the emission performance of any 
locomotive subject to the provisions of this part. Keep these records 
for eight years.
    (e) For locomotives equipped with emission controls requiring the 
use of specific fuels, lubricants, or other fluids, proper maintenance 
includes complying with the manufacturer/remanufacturer's specifications 
for such fluids when operating the locomotives. This requirement applies 
without regard to whether misfueling permanently disables the emission 
controls. The following additional provisions apply for locomotives 
equipped with SCR systems requiring the use of urea or other reductants:
    (1) You must plan appropriately to ensure that reductant will be 
available to the locomotive during operation.
    (2) If the SCR diagnostic indicates (or you otherwise determine) 
that either reductant supply or reductant quality in the locomotive is 
inadequate, you must replace the reductant as soon as practical.
    (3) If you operate a locomotive without the appropriate urea or 
other reductant, you must report such operation to us within 30 days. 
Note that such operation violates the requirement of this paragraph (e); 
however, we may consider mitigating factors (such as how long the 
locomotive was operated without the appropriate urea or other reductant) 
in determining whether to assess penalties for such violations.
    (f) Failure to fully comply with this section is a violation of 40 
CFR 1068.101(b).



Sec.  1033.820  In-use locomotives.

    (a) We may require you to supply in-use locomotives to us for 
testing. We will specify a reasonable time and place at which you must 
supply the locomotives and a reasonable period during which we will keep 
them for testing. We will make reasonable allowances for you to schedule 
the supply of locomotives to minimize disruption of your operations. The 
number of locomotives that you must supply is limited as follows:
    (1) We will not require a Class I railroad to supply more than five 
locomotives per railroad per calendar year.
    (2) We will not require a non-Class I railroad (or other entity 
subject to the provisions of this subpart) to supply more than two 
locomotives per railroad per calendar year. We will request locomotives 
under this paragraph (a)(2) only for purposes that cannot be 
accomplished using locomotives supplied under paragraph (a)(1) of this 
section.
    (b) You must make reasonable efforts to supply manufacturers/
remanufacturers with the test locomotives needed to fulfill the in-use 
testing requirements in subpart E of this part.
    (c) Failure to fully comply with this section is a violation of 40 
CFR 1068.101(a)(2).



Sec.  1033.825  Refueling requirements.

    (a) If your locomotive operates using a volatile fuel, your 
refueling equipment must be designed and used to minimize the escape of 
fuel vapors. This means you may not use refueling equipment in a way 
that renders any refueling emission controls inoperative or reduces 
their effectiveness.
    (b) If your locomotive operates using a gaseous fuel, the hoses used 
to refuel it may not be designed to be bled or vented to the atmosphere 
under normal operating conditions.
    (c) Failing to fully comply with the requirements of this section is 
a violation of 40 CFR 1068.101(b).



          Subpart J_Definitions and Other Reference Information



Sec.  1033.901  Definitions.

    The following definitions apply to this part. The definitions apply 
to all subparts unless we note otherwise. All undefined terms have the 
meaning the Clean Air Act gives to them. The definitions follow:
    Adjustable parameter means any device, system, or element of design 
that someone can adjust (including those which are difficult to access) 
and that, if adjusted, may affect emissions or locomotive performance 
during emission testing or normal in-use operation. This includes, but 
is not limited to, parameters related to injection timing

[[Page 542]]

and fueling rate. You may ask us to exclude a parameter if you show us 
that it will not be adjusted in a way that affects emissions during in-
use operation.
    Aftertreatment means relating to a catalytic converter, particulate 
filter, or any other system, component, or technology mounted downstream 
of the exhaust valve (or exhaust port) whose design function is to 
reduce emissions in the locomotive exhaust before it is exhausted to the 
environment. Exhaust-gas recirculation (EGR) is not aftertreatment.
    Alcohol fuel means a fuel consisting primarily (more than 50 percent 
by weight) of one or more alcohols: e.g., methyl alcohol, ethyl alcohol.
    Alternator/generator efficiency means the ratio of the electrical 
power output from the alternator/generator to the mechanical power input 
to the alternator/generator at the operating point. Note that the 
alternator/generator efficiency may be different at different operating 
points. For example, the Institute of Electrical and Electronic 
Engineers Standard 115 (``Test Procedures for Synchronous Machines'') is 
an appropriate test procedure for determining alternator/generator 
efficiency. Other methods may also be used consistent with good 
engineering judgment.
    Applicable emission standard or applicable standard means a standard 
to which a locomotive is subject; or, where a locomotive has been or is 
being certified to another standard or FEL, the FEL or other standard to 
which the locomotive has been or is being certified is the applicable 
standard. This definition does not apply to Subpart H of this part.
    Auxiliary emission control device means any element of design that 
senses temperature, locomotive speed, engine RPM, transmission gear, or 
any other parameter for the purpose of activating, modulating, delaying, 
or deactivating the operation of any part of the emission-control 
system.
    Auxiliary engine means a nonroad engine that provides hotel power or 
power during idle, but does not provide power to propel the locomotive.
    Averaging means the exchange of emission credits among engine 
families within a given manufacturer's, or remanufacturer's product 
line.
    Banking means the retention of emission credits by a credit holder 
for use in future calendar year averaging or trading as permitted by the 
regulations in this part.
    Brake power means the sum of the alternator/generator input power 
and the mechanical accessory power, excluding any power required to 
circulate engine coolant, circulate engine lubricant, supply fuel to the 
engine, or operate aftertreatment devices.
    Calibration means the set of specifications, including tolerances, 
specific to a particular design, version, or application of a component, 
or components, or assembly capable of functionally describing its 
operation over its working range.
    Carryover means the process of obtaining a certificate for one model 
year using the same test data from the preceding model year, as 
described in Sec.  1033.235(d). This generally requires that the 
locomotives in the engine family do not differ in any aspect related to 
emissions.
    Certification means the process of obtaining a certificate of 
conformity for an engine family that complies with the emission 
standards and requirements in this part, or relating to that process.
    Certified emission level means the highest deteriorated emission 
level in an engine family for a given pollutant from a given test cycle.
    Class I freight railroad means a Class I railroad that primarily 
transports freight rather than passengers.
    Class I railroad means a railroad that has been classified as a 
Class I railroad by the Surface Transportation Board.
    Class II railroad means a railroad that has been classified as a 
Class II railroad by the Surface Transportation Board.
    Class III railroad means a railroad that has been classified as a 
Class III railroad by the Surface Transportation Board.
    Clean Air Act means the Clean Air Act, as amended, 42 U.S.C. 7401-
7671q.
    Configuration means a unique combination of locomotive hardware and 
calibration within an engine family.

[[Page 543]]

Locomotives within a single configuration differ only with respect to 
normal production variability (or factors unrelated to engine 
performance or emissions).
    Crankcase emissions means airborne substances emitted to the 
atmosphere from any part of the locomotive crankcase's ventilation or 
lubrication systems. The crankcase is the housing for the crankshaft and 
other related internal parts.
    Days means calendar days, unless otherwise specified. For example, 
where we specify working days, we mean calendar days excluding weekends 
and U.S. national holidays.
    Design certify or certify by design means to certify a locomotive 
based on inherent design characteristics rather than your test data, 
such as allowed under Sec.  1033.625. All other requirements of this 
part apply for such locomotives.
    Designated Compliance Officer means the Manager, Heavy Duty and 
Nonroad Engine Group (6403-J), U.S. Environmental Protection Agency, 
1200 Pennsylvania Ave., NW., Washington, DC 20460.
    Deteriorated emission level means the emission level that results 
from applying the appropriate deterioration factor to the official 
emission result of the emission-data locomotive.
    Deterioration factor means the relationship between emissions at the 
end of useful life and emissions at the low-hour test point, expressed 
in one of the following ways:
    (1) For multiplicative deterioration factors, the ratio of emissions 
at the end of useful life to emissions at the low-hour test point.
    (2) For additive deterioration factors, the difference between 
emissions at the end of useful life and emissions at the low-hour test 
point.
    Discrete-mode means relating to the discrete-mode type of steady-
state test described in Sec.  1033.515.
    Emission control system means any device, system, or element of 
design that controls or reduces the regulated emissions from a 
locomotive.
    Emission credits represent the amount of emission reduction or 
exceedance, by a locomotive engine family, below or above the emission 
standard, respectively. Emission reductions below the standard are 
considered as ``positive credits,'' while emission exceedances above the 
standard are considered as ``negative credits.'' In addition, 
``projected credits'' refer to emission credits based on the projected 
applicable production/sales volume of the engine family. ``Reserved 
credits'' are emission credits generated within a calendar year waiting 
to be reported to EPA at the end of the calendar year. ``Actual 
credits'' refer to emission credits based on actual applicable 
production/sales volume as contained in the end-of-year reports 
submitted to EPA.
    Emission-data locomotive means a locomotive or engine that is tested 
for certification. This includes locomotives tested to establish 
deterioration factors.
    Emission-related maintenance means maintenance that substantially 
affects emissions or is likely to substantially affect emission 
deterioration.
    Engine family has the meaning given in Sec.  1033.230.
    Engine used in a locomotive means an engine incorporated into a 
locomotive or intended for incorporation into a locomotive (whether or 
not it is used for propelling the locomotive).
    Engineering analysis means a summary of scientific and/or 
engineering principles and facts that support a conclusion made by a 
manufacturer/remanufacturer, with respect to compliance with the 
provisions of this part.
    EPA Enforcement Officer means any officer or employee of the 
Environmental Protection Agency so designated in writing by the 
Administrator or his/her designee.
    Exempted means relating to a locomotive that is not required to meet 
otherwise applicable standards. Exempted locomotives must conform to 
regulatory conditions specified for an exemption in this part 1033 or in 
40 CFR part 1068. Exempted locomotives are deemed to be ``subject to'' 
the standards of this part, even though they are not required to comply 
with the otherwise applicable requirements. Locomotives exempted with 
respect to a certain tier of standards may be required to comply with an 
earlier tier of

[[Page 544]]

standards as a condition of the exemption; for example, locomotives 
exempted with respect to Tier 3 standards may be required to comply with 
Tier 2 standards.
    Excluded means relating to a locomotive that either has been 
determined not to be a locomotive (as defined in this section) or 
otherwise excluded under section Sec.  1033.5. Excluded locomotives are 
not subject to the standards of this part.
    Exhaust emissions means substances (i.e., gases and particles) 
emitted to the atmosphere from any opening downstream from the exhaust 
port or exhaust valve of a locomotive engine.
    Exhaust-gas recirculation means a technology that reduces emissions 
by routing exhaust gases that had been exhausted from the combustion 
chamber(s) back into the locomotive to be mixed with incoming air before 
or during combustion. The use of valve timing to increase the amount of 
residual exhaust gas in the combustion chamber(s) that is mixed with 
incoming air before or during combustion is not considered exhaust-gas 
recirculation for the purposes of this part.
    Freshly manufactured locomotive means a new locomotive that contains 
fewer than 25 percent previously used parts (weighted by the dollar 
value of the parts) as described in Sec.  1033.640.
    Freshly manufactured engine means a new engine that has not been 
remanufactured. An engine becomes freshly manufactured when it is 
originally manufactured.
    Family emission limit (FEL) means an emission level declared by the 
manufacturer/remanufacturer to serve in place of an otherwise applicable 
emission standard under the ABT program in subpart H of this part. The 
family emission limit must be expressed to the same number of decimal 
places as the emission standard it replaces. The family emission limit 
serves as the emission standard for the engine family with respect to 
all required testing.
    Fuel system means all components involved in transporting, metering, 
and mixing the fuel from the fuel tank to the combustion chamber(s), 
including the fuel tank, fuel tank cap, fuel pump, fuel filters, fuel 
lines, carburetor or fuel-injection components, and all fuel-system 
vents.
    Fuel type means a general category of fuels such as diesel fuel or 
natural gas. There can be multiple grades within a single fuel type, 
such as high-sulfur or low-sulfur diesel fuel.
    Gaseous fuel means a fuel which is a gas at standard temperature and 
pressure. This includes both natural gas and liquefied petroleum gas.
    Good engineering judgment means judgments made consistent with 
generally accepted scientific and engineering principles and all 
available relevant information. See 40 CFR 1068.5 for the administrative 
process we use to evaluate good engineering judgment.
    Green Engine Factor means a factor that is applied to emission 
measurements from a locomotive or locomotive engine that has had little 
or no service accumulation. The Green Engine Factor adjusts emission 
measurements to be equivalent to emission measurements from a locomotive 
or locomotive engine that has had approximately 300 hours of use.
    High-altitude means relating to an altitude greater than 4000 feet 
(1220 meters) and less than 7000 feet (2135 meters), or equivalent 
observed barometric test conditions (approximately 79 to 88 kPa).
    High-sulfur diesel fuel means one of the following:
    (1) For in-use fuels, high-sulfur diesel fuel means a diesel fuel 
with a maximum sulfur concentration greater than 500 parts per million.
    (2) For testing, high-sulfur diesel fuel has the meaning given in 40 
CFR part 1065.
    Hotel power means the power provided by an engine on a locomotive to 
operate equipment on passenger cars of a train; e.g., heating and air 
conditioning, lights, etc.
    Hydrocarbon (HC) means the hydrocarbon group (THC, NMHC, or THCE) on 
which the emission standards are based for each fuel type as described 
in Sec.  1033.101.
    Identification number means a unique specification (for example, a 
model number/serial number combination) that allows someone to 
distinguish a

[[Page 545]]

particular locomotive from other similar locomotives.
    Idle speed means the speed, expressed as the number of revolutions 
of the crankshaft per unit of time (e.g., rpm), at which the engine is 
set to operate when not under load for purposes of propelling the 
locomotive. There are typically one or two idle speeds on a locomotive 
as follows:
    (1) Normal idle speed means the idle speed for the idle throttle-
notch position for locomotives that have one throttle-notch position, or 
the highest idle speed for locomotives that have two idle throttle-notch 
positions.
    (2) Low idle speed means the lowest idle speed for locomotives that 
have two idle throttle-notch positions.
    Inspect and qualify means to determine that a previously used 
component or system meets all applicable criteria listed for the 
component or system in a certificate of conformity for remanufacturing 
(such as to determine that the component or system is functionally 
equivalent to one that has not been used previously).
    Installer means an individual or entity that assembles 
remanufactured locomotives or locomotive engines.
    Line-haul locomotive means a locomotive that does not meet the 
definition of switch locomotive. Note that this includes both freight 
and passenger locomotives.
    Liquefied petroleum gas means the commercial product marketed as 
propane or liquefied petroleum gas.
    Locomotive means a self-propelled piece of on-track equipment 
designed for moving or propelling cars that are designed to carry 
freight, passengers or other equipment, but which itself is not designed 
or intended to carry freight, passengers (other than those operating the 
locomotive) or other equipment. The following other equipment are not 
locomotives (see 40 CFR parts 86, 89, and 1039 for this diesel-powered 
equipment):
    (1) Equipment designed for operation both on highways and rails is 
not a locomotive.
    (2) Specialized railroad equipment for maintenance, construction, 
post-accident recovery of equipment, and repairs; and other similar 
equipment, are not locomotives.
    (3) Vehicles propelled by engines with total rated power of less 
than 750 kW (1006 hp) are not locomotives, unless the owner (which may 
be a manufacturer) chooses to have the equipment certified to meet the 
requirements of this part (under Sec.  1033.615). Where equipment is 
certified as a locomotive pursuant to this paragraph (3), it is subject 
to the requirements of this part for the remainder of its service life. 
For locomotives propelled by two or more engines, the total rated power 
is the sum of the rated power of each engine.
    Locomotive engine means an engine that propels a locomotive.
    Low-hour means relating to a locomotive with stabilized emissions 
and represents the undeteriorated emission level. This would generally 
involve less than 300 hours of operation.
    Low mileage locomotive means a locomotive during the interval 
between the time that normal assembly operations and adjustments are 
completed and the time that either 10,000 miles of locomotive operation 
or 300 additional operating hours have been accumulated (including 
emission testing if performed). Note that we may deem locomotives with 
additional operation to be low mileage locomotives, consistent with good 
engineering judgment.
    Low-sulfur diesel fuel means one of the following:
    (1) For in-use fuels, low-sulfur diesel fuel means a diesel fuel 
market as low-sulfur diesel fuel having a maximum sulfur concentration 
of 500 parts per million.
    (2) For testing, low-sulfur diesel fuel has the meaning given in 40 
CFR part 1065.
    Malfunction means a condition in which the operation of a component 
in a locomotive or locomotive engine occurs in a manner other than that 
specified by the certifying manufacturer/remanufacturer (e.g., as 
specified in the application for certification); or the operation of the 
locomotive or locomotive engine in that condition.
    Manufacture means the physical and engineering process of designing, 
constructing, and assembling a locomotive or locomotive engine.
    Manufacturer has the meaning given in section 216(1) of the Clean 
Air Act

[[Page 546]]

with respect to freshly manufactured locomotives or engines. In general, 
this term includes any person who manufactures a locomotive or engine 
for sale in the United States or otherwise introduces a new locomotive 
or engine into commerce in the United States. This includes importers 
who import locomotives or engines for resale.
    Manufacturer/remanufacturer means the manufacturer of a freshly 
manufactured locomotive or engine or the remanufacturer of a 
remanufactured locomotive or engine, as applicable.
    Model year means a calendar year in which a locomotive is 
manufactured or remanufactured.
    New, when relating to a locomotive or locomotive engine, has the 
meaning given in paragraph (1) of this definition, except as specified 
in paragraph (2) of this definition:
    (1) A locomotive or engine is new if its equitable or legal title 
has never been transferred to an ultimate purchaser. Where the equitable 
or legal title to a locomotive or engine is not transferred prior to its 
being placed into service, the locomotive or engine ceases to be new 
when it is placed into service. A locomotive or engine also becomes new 
if it is remanufactured or refurbished (as defined in this section). A 
remanufactured locomotive or engine ceases to be new when placed back 
into service. With respect to imported locomotives or locomotive 
engines, the term ``new locomotive'' or ``new locomotive engine'' also 
means a locomotive or locomotive engine that is not covered by a 
certificate of conformity under this part or 40 CFR part 92 at the time 
of importation, and that was manufactured or remanufactured after the 
effective date of the emission standards in 40 CFR part 92 which would 
have been applicable to such locomotive or engine had it been 
manufactured or remanufactured for importation into the United States. 
Note that replacing an engine in one locomotive with an unremanufactured 
used engine from a different locomotive does not make a locomotive new.
    (2) The provisions of paragraph (1) of this definition do not apply 
for the following cases:
    (i) Locomotives and engines that were originally manufactured before 
January 1, 1973 are not considered to become new when remanufactured 
unless they have been upgraded (as defined in this section). The 
provisions of paragraph (1) of this definition apply for locomotives 
that have been upgraded.
    (ii) Locomotives that are owned and operated by a small railroad and 
that have never been remanufactured into a certified configuration are 
not considered to become new when remanufactured. The provisions of 
paragraph (1) of this definition apply for locomotives that have 
previously been remanufactured into a certified configuration.
    (iii) Locomotives originally certified under (1033.150(e) do not 
become new when remanufactured, except as specified in Sec.  1033.615.
    (iv) Locomotives that operate only on non-standard gauge rails do 
not become new when remanufactured if no certified remanufacturing 
system is available for them.
    Nonconforming means relating to a locomotive that is not covered by 
a certificate of conformity prior to importation or being offered for 
importation (or for which such coverage has not been adequately 
demonstrated to EPA); or a locomotive which was originally covered by a 
certificate of conformity, but which is not in a certified 
configuration, or otherwise does not comply with the conditions of that 
certificate of conformity. (Note: Domestic locomotives and locomotive 
engines not covered by a certificate of conformity prior to their 
introduction into U.S. commerce are considered to be noncomplying 
locomotives and locomotive engines.)
    Non-locomotive-specific engine means an engine that is sold for and 
used in non-locomotive applications much more than for locomotive 
applications.
    Nonmethane hydrocarbon has the meaning given in 40 CFR 1065.1001. 
This generally means the difference between the emitted mass of total 
hydrocarbons and the emitted mass of methane.
    Nonroad means relating to nonroad engines as defined in 40 CFR 
1068.30.
    Official emission result means the measured emission rate for an 
emission-data locomotive on a given duty

[[Page 547]]

cycle before the application of any deterioration factor, but after the 
application of regeneration adjustment factors, Green Engine Factors, 
and/or humidity correction factors.
    Opacity means the fraction of a beam of light, expressed in percent, 
which fails to penetrate a plume of smoke, as measured by the procedure 
specified in Sec.  1033.525.
    Original manufacture means the event of freshly manufacturing a 
locomotive or locomotive engine. The date of original manufacture is the 
date of final assembly, except as provided in Sec.  1033.640. Where a 
locomotive is manufactured under Sec.  1033.620(b), the date of original 
manufacture is the date on which the final assembly of locomotive was 
originally scheduled.
    Original remanufacture means the first remanufacturing of a 
locomotive at which the locomotive is subject to the emission standards 
of this part.
    Owner/operator means the owner and/or operator of a locomotive.
    Owners manual means a written or electronic collection of 
instructions provided to ultimate purchasers to describe the basic 
operation of the locomotive.
    Oxides of nitrogen has the meaning given in 40 CFR part 1065.
    Particulate trap means a filtering device that is designed to 
physically trap all particulate matter above a certain size.
    Passenger locomotive means a locomotive designed and constructed for 
the primary purpose of propelling passenger trains, and providing power 
to the passenger cars of the train for such functions as heating, 
lighting and air conditioning.
    Petroleum fuel means gasoline or diesel fuel or another liquid fuel 
primarily derived from crude oil.
    Placed into service means put into initial use for its intended 
purpose after becoming new.
    Power assembly means the components of an engine in which combustion 
of fuel occurs, and consists of the cylinder, piston and piston rings, 
valves and ports for admission of charge air and discharge of exhaust 
gases, fuel injection components and controls, cylinder head and 
associated components.
    Primary fuel means the type of fuel (e.g., diesel fuel) that is 
consumed in the greatest quantity (mass basis) when the locomotive is 
operated in use.
    Produce means to manufacture or remanufacture. Where a certificate 
holder does not actually assemble the locomotives or locomotive engines 
that it manufactures or remanufactures, produce means to allow other 
entities to assemble locomotives under the certificate holder's 
certificate.
    Railroad means a commercial entity that operates locomotives to 
transport passengers or freight.
    Ramped-modal means relating to the ramped-modal type of testing in 
subpart F of this part.
    Rated power has the meaning given in Sec.  1033.140.
    Refurbish has the meaning given in Sec.  1033.640.
    Remanufacture means one of the following:
    (1)(i) To replace, or inspect and qualify, each and every power 
assembly of a locomotive or locomotive engine, whether during a single 
maintenance event or cumulatively within a five-year period.
    (ii) To upgrade a locomotive or locomotive engine.
    (iii) To convert a locomotive or locomotive engine to enable it to 
operate using a fuel other than it was originally manufactured to use.
    (iv) To install a remanufactured engine or a freshly manufactured 
engine into a previously used locomotive.
    (v) To repair a locomotive engine that does not contain power 
assemblies to a condition that is equivalent to or better than its 
original condition with respect to reliability and fuel consumption.
    (2) Remanufacture also means the act of remanufacturing.
    Remanufacture system or remanufacturing system means all components 
(or specifications for components) and instructions necessary to 
remanufacture a locomotive or locomotive engine in accordance with 
applicable requirements of this part or 40 CFR part 92.
    Remanufactured locomotive means either a locomotive powered by a 
remanufactured locomotive engine, a repowered locomotive, or a 
refurbished locomotive.

[[Page 548]]

    Remanufactured locomotive engine means a locomotive engine that has 
been remanufactured.
    Remanufacturer has the meaning given to ``manufacturer'' in section 
216(1) of the Clean Air Act with respect to remanufactured locomotives. 
(See Sec. Sec.  1033.1 and 1033.601 for applicability of this term.) 
This term includes:
    (1) Any person that is engaged in the manufacture or assembly of 
remanufactured locomotives or locomotive engines, such as persons who:
    (i) Design or produce the emission-related parts used in 
remanufacturing.
    (ii) Install parts in an existing locomotive or locomotive engine to 
remanufacture it.
    (iii) Own or operate the locomotive or locomotive engine and provide 
specifications as to how an engine is to be remanufactured (i.e., 
specifying who will perform the work, when the work is to be performed, 
what parts are to be used, or how to calibrate the adjustable parameters 
of the engine).
    (2) Any person who imports remanufactured locomotives or 
remanufactured locomotive engines.
    Repower means replacement of the engine in a previously used 
locomotive with a freshly manufactured locomotive engine. See Sec.  
1033.640.
    Repowered locomotive means a locomotive that has been repowered with 
a freshly manufactured engine.
    Revoke has the meaning given in 40 CFR 1068.30. In general this 
means to terminate the certificate or an exemption for an engine family.
    Round means to round numbers as specified in 40 CFR 1065.1001.
    Service life means the total life of a locomotive. Service life 
begins when the locomotive is originally manufactured and continues 
until the locomotive is permanently removed from service.
    Small manufacturer/remanufacturer means a manufacturer/
remanufacturer with 1,000 or fewer employees. For purposes of this part, 
the number of employees includes all employees of the manufacturer/
remanufacturer's parent company, if applicable.
    Small railroad means a railroad meeting the criterion of paragraph 
(1) of this definition, but not either of the criteria of paragraphs (2) 
and (3) of this definition.
    (1) To be considered a small railroad, a railroad must qualify as a 
small business under the Small Business Administration's regulations in 
13 CFR part 121.
    (2) Class I and Class II railroads (and their subsidiaries) are not 
small railroads.
    (3) Intercity passenger and commuter railroads are excluded from 
this definition of small railroad. Note that this paragraph (3) does not 
exclude tourist railroads.
    Specified adjustable range means the range of allowable settings for 
an adjustable component specified by a certificate of conformity.
    Specified by a certificate of conformity or specified in a 
certificate of conformity means stated or otherwise specified in a 
certificate of conformity or an approved application for certification.
    Sulfur-sensitive technology means an emission-control technology 
that would experience a significant drop in emission control performance 
or emission-system durability when a locomotive is operated on low-
sulfur fuel with a sulfur concentration of 300 to 500 ppm as compared to 
when it is operated on ultra low-sulfur fuel (i.e., fuel with a sulfur 
concentration less than 15 ppm). Exhaust-gas recirculation is not a 
sulfur-sensitive technology.
    Suspend has the meaning given in 40 CFR 1068.30. In general this 
means to temporarily discontinue the certificate or an exemption for an 
engine family.
    Switch locomotive means a locomotive that is powered by an engine 
with a maximum rated power (or a combination of engines having a total 
rated power) of 2300 hp or less. Include auxiliary engines in your 
calculation of total power if the engines are permanently installed on 
the locomotive and can be operated while the main propulsion engine is 
operating. Do not count the power of auxiliary engines that operate only 
to reduce idling time of the propulsion engine.
    Test locomotive means a locomotive or engine in a test sample.
    Test sample means the collection of locomotives or engines selected 
from the population of an engine family for emission testing. This may 
include

[[Page 549]]

testing for certification, production-line testing, or in-use testing.
    Tier 0 or Tier 0+ means relating to the Tier 0 emission standards, 
as shown in Sec.  1033.101.
    Tier 1 or Tier 1+ means relating to the Tier 1 emission standards, 
as shown in Sec.  1033.101.
    Tier 2 or Tier 2+ means relating to the Tier 2 emission standards, 
as shown in Sec.  1033.101.
    Tier 3 means relating to the Tier 3 emission standards, as shown in 
Sec.  1033.101.
    Tier 4 means relating to the Tier 4 emission standards, as shown in 
Sec.  1033.101.
    Total hydrocarbon has the meaning given in 40 CFR 1065.1001. This 
generally means the combined mass of organic compounds measured by the 
specified procedure for measuring total hydrocarbon, expressed as a 
hydrocarbon with an atomic hydrogen-to-carbon ratio of 1.85:1.
    Total hydrocarbon equivalent has the meaning given in 40 CFR 
1065.1001. This generally means the sum of the carbon mass contributions 
of non-oxygenated hydrocarbons, alcohols and aldehydes, or other organic 
compounds that are measured separately as contained in a gas sample, 
expressed as exhaust hydrocarbon from petroleum-fueled locomotives. The 
hydrogen-to-carbon ratio of the equivalent hydrocarbon is 1.85:1.
    Ultimate purchaser means the first person who in good faith 
purchases a new locomotive for purposes other than resale.
    Ultra low-sulfur diesel fuel means one of the following:
    (1) For in-use fuels, ultra low-sulfur diesel fuel means a diesel 
fuel marketed as ultra low-sulfur diesel fuel having a maximum sulfur 
concentration of 15 parts per million.
    (2) For testing, ultra low-sulfur diesel fuel has the meaning given 
in 40 CFR part 1065.
    Upcoming model year means for an engine family the model year after 
the one currently in production.
    Upgrade means one of the following types of remanufacturing.
    (1) Repowering a locomotive that was originally manufactured prior 
to January 1, 1973.
    (2) Refurbishing a locomotive that was originally manufactured prior 
to January 1, 1973 in a manner that is not freshly manufacturing.
    (3) Modifying a locomotive that was originally manufactured prior to 
January 1, 1973 (or a locomotive that was originally manufactured on or 
after January 1, 1973, and that is not subject to the emission standards 
of this part), such that it is intended to comply with the Tier 0 
standards. See Sec.  1033.615.
    Useful life means the period during which the locomotive engine is 
designed to properly function in terms of reliability and fuel 
consumption, without being remanufactured, specified as work output or 
miles. It is the period during which a new locomotive is required to 
comply with all applicable emission standards. See Sec.  1033.101(g).
    Void has the meaning given in 40 CFR 1068.30. In general this means 
to invalidate a certificate or an exemption both retroactively and 
prospectively.
    Volatile fuel means a volatile liquid fuel or any fuel that is a gas 
at atmospheric pressure. Gasoline, natural gas, and LPG are volatile 
fuels.
    Volatile liquid fuel means any liquid fuel other than diesel or 
biodiesel that is a liquid at atmospheric pressure and has a Reid Vapor 
Pressure higher than 2.0 pounds per square inch.
    We (us, our) means the Administrator of the Environmental Protection 
Agency and any authorized representatives.



Sec.  1033.905  Symbols, acronyms, and abbreviations.

    The following symbols, acronyms, and abbreviations apply to this 
part:

AECD auxiliary emission control device.
AESS automatic engine stop/start
CFR Code of Federal Regulations.
CO carbon monoxide.
CO2 carbon dioxide.
EPA Environmental Protection Agency.
FEL Family Emission Limit.
g/bhp-hr grams per brake horsepower-hour.
HC hydrocarbon.
hp horsepower.
LPG liquefied petroleum gas.
LSD low sulfur diesel.
MW megawatt.
NIST National Institute of Standards and Technology.
NMHC nonmethane hydrocarbons.
NOX oxides of nitrogen.
PM particulate matter.
rpm revolutions per minute.

[[Page 550]]

SAE Society of Automotive Engineers.
SCR selective catalytic reduction.
SEA Selective Enforcement Audit.
THC total hydrocarbon.
THCE total hydrocarbon equivalent.
UL useful life.
ULSD ultra low sulfur diesel.
U.S.C. United States Code.



Sec.  1033.915  Confidential information.

    (a) Clearly show what you consider confidential by marking, 
circling, bracketing, stamping, or some other method.
    (b) We will store your confidential information as described in 40 
CFR part 2. Also, we will disclose it only as specified in 40 CFR part 
2. This applies both to any information you send us and to any 
information we collect from inspections, audits, or other site visits.
    (c) If you send us a second copy without the confidential 
information, we will assume it contains nothing confidential whenever we 
need to release information from it.
    (d) If you send us information without claiming it is confidential, 
we may make it available to the public without further notice to you, as 
described in 40 CFR 2.204.



Sec.  1033.920  How to request a hearing.

    (a) You may request a hearing under certain circumstances, as 
described elsewhere in this part. To do this, you must file a written 
request, including a description of your objection and any supporting 
data, within 30 days after we make a decision.
    (b) For a hearing you request under the provisions of this part, we 
will approve your request if we find that your request raises a 
substantial factual issue.
    (c) If we agree to hold a hearing, we will use the procedures 
specified in 40 CFR part 1068, subpart G.



PART 1039_CONTROL OF EMISSIONS FROM NEW AND IN-USE NONROAD COMPRESSION-IGNITION ENGINES--Table of Contents

                  Subpart A_Overview and Applicability

Sec.
1039.1 Does this part apply for my engines?
1039.2 Who is responsible for compliance?
1039.5 Which engines are excluded from this part's requirements?
1039.10 How is this part organized?
1039.15 Do any other regulation parts apply to me?
1039.20 What requirements from this part apply to excluded stationary 
          engines?

          Subpart B_Emission Standards and Related Requirements

1039.101 What exhaust emission standards must my engines meet after the 
          2014 model year?
1039.102 What exhaust emission standards and phase-in allowances apply 
          for my engines in model year 2014 and earlier?
1039.104 Are there interim provisions that apply only for a limited 
          time?
1039.105 What smoke standards must my engines meet?
1039.107 What evaporative emission standards and requirements apply?
1039.110 [Reserved]
1039.115 What other requirements apply?
1039.120 What emission-related warranty requirements apply to me?
1039.125 What maintenance instructions must I give to buyers?
1039.130 What installation instructions must I give to equipment 
          manufacturers?
1039.135 How must I label and identify the engines I produce?
1039.140 What is my engine's maximum engine power?

                  Subpart C_Certifying Engine Families

1039.201 What are the general requirements for obtaining a certificate 
          of conformity?
1039.205 What must I include in my application?
1039.210 May I get preliminary approval before I complete my 
          application?
1039.220 How do I amend the maintenance instructions in my application?
1039.225 How do I amend my application for certification to include new 
          or modified engines or to change an FEL?
1039.230 How do I select engine families?
1039.235 What emission testing must I perform for my application for a 
          certificate of conformity?
1039.240 How do I demonstrate that my engine family complies with 
          exhaust emission standards?
1039.245 How do I determine deterioration factors from exhaust 
          durability testing?
1039.250 What records must I keep and what reports must I send to EPA?
1039.255 What decisions may EPA make regarding my certificate of 
          conformity?

Subpart D [Reserved]

                        Subpart E_In-use Testing

1039.401 General provisions.

[[Page 551]]

                        Subpart F_Test Procedures

1039.501 How do I run a valid emission test?
1039.505 How do I test engines using steady-state duty cycles, including 
          ramped-modal testing?
1039.510 Which duty cycles do I use for transient testing?
1039.515 What are the test procedures related to not-to-exceed 
          standards?
1039.520 What testing must I perform to establish deterioration factors?
1039.525 How do I adjust emission levels to account for infrequently 
          regenerating aftertreatment devices?

                 Subpart G_Special Compliance Provisions

1039.601 What compliance provisions apply to these engines?
1039.605 What provisions apply to engines certified under the motor-
          vehicle program?
1039.610 What provisions apply to vehicles certified under the motor-
          vehicle program?
1039.615 What special provisions apply to engines using noncommercial 
          fuels?
1039.620 What are the provisions for exempting engines used solely for 
          competition?
1039.625 What requirements apply under the program for equipment-
          manufacturer flexibility?
1039.626 What special provisions apply to equipment imported under the 
          equipment-manufacturer flexibility program?
1039.627 What are the incentives for equipment manufacturers to use 
          cleaner engines?
1039.630 What are the economic hardship provisions for equipment 
          manufacturers?
1039.635 What are the hardship provisions for engine manufacturers?
1039.640 What special provisions apply to branded engines?
1039.645 What special provisions apply to engines used for 
          transportation refrigeration units?
1039.650 [Reserved]
1039.655 What special provisions apply to engines sold in Guam, American 
          Samoa, or the Commonwealth of the Northern Mariana Islands?
1039.660 What special provisions apply to Independent Commercial 
          Importers?

       Subpart H_Averaging, Banking, and Trading for Certification

1039.701 General provisions.
1039.705 How do I generate and calculate emission credits?
1039.710 How do I average emission credits?
1039.715 How do I bank emission credits?
1039.720 How do I trade emission credits?
1039.725 What must I include in my application for certification?
1039.730 What ABT reports must I send to EPA?
1039.735 What records must I keep?
1039.740 What restrictions apply for using emission credits?
1039.745 What can happen if I do not comply with the provisions of this 
          subpart?

          Subpart I_Definitions and Other Reference Information

1039.801 What definitions apply to this part?
1039.805 What symbols, acronyms, and abbreviations does this part use?
1039.810 What materials does this part reference?
1039.815 What provisions apply to confidential information?
1039.820 How do I request a hearing?
1039.825 What reporting and recordkeeping requirements apply under this 
          part?

Appendix I to Part 1039 [Reserved]
Appendix II to Part 1039--Steady-state Duty Cycles for Constant-Speed 
          Engines
Appendix III to Part 1039--Steady-state Duty Cycles for Variable-Speed 
          Engines with Maximum Power below 19 kW
Appendix IV to Part 1039--Steady-state Duty Cycles for Variable-Speed 
          Engines with Maximum Power at or above 19 kW
Appendix V to Part 1039 [Reserved]
Appendix VI to Part 1039--Nonroad Compression-ignition Composite 
          Transient Cycle

    Authority: 42 U.S.C. 7401-7671q.

    Source: 69 FR 39213, June 29, 2004, unless otherwise noted.



                  Subpart A_Overview and Applicability



Sec.  1039.1  Does this part apply for my engines?

    (a) The regulations in this part 1039 apply for all new, 
compression-ignition nonroad engines (defined in Sec.  1039.801), except 
as provided in Sec.  1039.5.
    (b) This part 1039 applies as follows:
    (1) This part 1039 applies for all engines subject to the emission 
standards specified in subpart B of this part starting with the model 
years noted in the following table:

     Table 1 of Sec.   1039.1--Part 1039 Applicability by Model Year
------------------------------------------------------------------------
                       Power category                         Model year
------------------------------------------------------------------------
kW < 19....................................................     \1\ 2008
 19 <= kW < 56.............................................     \2\ 2008
56 <= kW < 130.............................................         2012

[[Page 552]]

 
130 <= kW <= 560...........................................         2011
kW  560.........................................        2011
------------------------------------------------------------------------
\1\ As described in Sec.   1039.102, some engines below 19 kW may not be
  subject to the emission standards in this part until the 2010 model
  year.
\2\ As described in Sec.   1039.102, some engines in the 19-56 kW power
  category may not be subject to the emission standards in this part
  until the 2012 model year.

    (2) If you use the provisions of Sec.  1039.104(a) to certify an 
engine to the emission standards of this part before the model years 
shown in Table 1 of this section, all the requirements of this part 
apply for those engines.
    (3) See 40 CFR part 89 for requirements that apply to engines not 
yet subject to the requirements of this part 1039.
    (4) This part 1039 applies for other compression-ignition engines as 
follows:
    (i) The provisions of paragraph (c) of this section and Sec.  
1039.801 apply for stationary engines beginning January 1, 2006.
    (ii) The provisions of Sec.  1039.620 and Sec.  1039.801 apply for 
engines used solely for competition beginning January 1, 2006.
    (c) The definition of nonroad engine in 40 CFR 1068.30 excludes 
certain engines used in stationary applications. These engines may be 
required by subpart IIII of 40 CFR part 60 to comply with some of the 
provisions of this part 1039; otherwise, these engines are only required 
to comply with the requirements in Sec.  1039.20. In addition, the 
prohibitions in 40 CFR 1068.101 restrict the use of stationary engines 
for nonstationary purposes unless they are certified under this part 
1039, or under the provisions of 40 CFR part 89 or 40 CFR part 94, to 
the same standards that would apply to nonroad engines for the same 
model year.
    (d) In certain cases, the regulations in this part 1039 apply to 
engines at or above 250 kW that would otherwise be covered by 40 CFR 
part 1048. See 40 CFR 1048.620 for provisions related to this allowance.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40462, July 13, 2005; 
71 FR 39184, July 11, 2006]



Sec.  1039.2  Who is responsible for compliance?

    The regulations in this part 1039 contain provisions that affect 
both engine manufacturers and others. However, the requirements of this 
part are generally addressed to the engine manufacturer. The term 
``you'' generally means the engine manufacturer, as defined in Sec.  
1039.801, especially for issues related to certification.

[72 FR 53129, Sept. 18, 2007]



Sec.  1039.5  Which engines are excluded from this part's requirements?

    This part does not apply to the following nonroad engines:
    (a) Locomotive engines. (1) The following locomotive engines are not 
subject to the provisions of this part 1039:
    (i) Engines in locomotives subject to the standards of 40 CFR part 
92.
    (ii) Engines in locomotives that are exempt from the standards of 40 
CFR part 92 pursuant to the provisions of 40 CFR part 92 (except for the 
provisions of 40 CFR 92.907). For example, an engine that is exempt 
under 40 CFR 92.906 because it is in a manufacturer-owned locomotive is 
not subject to the provisions of this part 1039.
    (2) The following locomotive engines are subject to the provisions 
of this part 1039:
    (i) Engines in locomotives exempt from 40 CFR part 92 pursuant to 
the provisions of 40 CFR 92.907.
    (ii) Locomotive engines excluded from the definition of locomotive 
in 40 CFR 92.2.
    (b) Marine engines. (1) The following marine engines are not subject 
to the provisions of this part 1039:
    (i) Engines subject to the standards of 40 CFR part 94.
    (ii) Engines not subject to the standards of 40 CFR part 94 only 
because they were produced before the standards of 40 CFR part 94 
started to apply.
    (iii) Engines that are exempt from the standards of 40 CFR part 94 
pursuant to the provisions of 40 CFR part 94 (except for the provisions 
of 40 CFR 94.907 or 94.912). For example, an engine that is exempt under 
40 CFR 94.906 because it is a manufacturer-owned engine is not subject 
to the provisions of this part 1039.

[[Page 553]]

    (iv) Engines with rated power below 37 kW.
    (v) Engines on foreign vessels.
    (2) Marine engines are subject to the provisions of this part 1039 
if they are exempt from 40 CFR part 94 based on the engine-dressing 
provisions of 40 CFR 94.907 or the common-family provisions of 40 CFR 
94.912.
    (c) Mining engines. Engines used in underground mining or in 
underground mining equipment and regulated by the Mining Safety and 
Health Administration in 30 CFR parts 7, 31, 32, 36, 56, 57, 70, and 75 
are not subject to the provisions of this part 1039.
    (d) Hobby engines. Engines with per-cylinder displacement below 50 
cubic centimeters are not subject to the provisions of this part 1039.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40462, July 13, 2005]



Sec.  1039.10  How is this part organized?

    This part 1039 is divided into the following subparts:
    (a) Subpart A of this part defines the applicability of part 1039 
and gives an overview of regulatory requirements.
    (b) Subpart B of this part describes the emission standards and 
other requirements that must be met to certify engines under this part. 
Note that Sec.  1039.102 and Sec.  1039.104 discuss certain interim 
requirements and compliance provisions that apply only for a limited 
time.
    (c) Subpart C of this part describes how to apply for a certificate 
of conformity.
    (d) [Reserved]
    (e) Subpart E of this part describes general provisions for testing 
in-use engines.
    (f) Subpart F of this part describes how to test your engines 
(including references to other parts of the Code of Federal 
Regulations).
    (g) Subpart G of this part and 40 CFR part 1068 describe 
requirements, prohibitions, and other provisions that apply to engine 
manufacturers, equipment manufacturers, owners, operators, rebuilders, 
and all others.
    (h) Subpart H of this part describes how you may generate and use 
emission credits to certify your engines.
    (i) Subpart I of this part contains definitions and other reference 
information.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40462, July 13, 2005; 
72 FR 53129, Sept. 18, 2007]



Sec.  1039.15  Do any other regulation parts apply to me?

    (a) Part 1065 of this chapter describes procedures and equipment 
specifications for testing engines. Subpart F of this part 1039 
describes how to apply the provisions of part 1065 of this chapter to 
determine whether engines meet the emission standards in this part.
    (b) The requirements and prohibitions of part 1068 of this chapter 
apply to everyone, including anyone who manufactures, imports, installs, 
owns, operates, or rebuilds any of the engines subject to this part 
1039, or equipment containing these engines. Part 1068 of this chapter 
describes general provisions, including these seven areas:
    (1) Prohibited acts and penalties for engine manufacturers, 
equipment manufacturers, and others.
    (2) Rebuilding and other aftermarket changes.
    (3) Exclusions and exemptions for certain engines.
    (4) Importing engines.
    (5) Selective enforcement audits of your production.
    (6) Defect reporting and recall.
    (7) Procedures for hearings.
    (c) Other parts of this chapter apply if referenced in this part.



Sec.  1039.20  What requirements from this part apply to excluded stationary engines?

    The provisions of this section apply for engines built on or after 
January 1, 2006.
    (a) You must add a permanent label or tag to each new engine you 
produce or import that is excluded under Sec.  1039.1(c) as a stationary 
engine and is not required by 40 CFR part 60, subpart IIII, to meet the 
requirements of this part 1039, or the requirements of parts 89 or 94, 
that are equivalent to the requirements applicable to nonroad or marine 
engines for the same model year. To meet labeling requirements, you must 
do the following things:

[[Page 554]]

    (1) Attach the label or tag in one piece so no one can remove it 
without destroying or defacing it.
    (2) Secure it to a part of the engine needed for normal operation 
and not normally requiring replacement.
    (3) Make sure it is durable and readable for the engine's entire 
life.
    (4) Write it in English.
    (5) Follow the requirements in Sec.  1039.135(g) regarding duplicate 
labels if the engine label is obscured in the final installation.
    (b) Engine labels or tags required under this section must have the 
following information:
    (1) Include the heading ``EMISSION CONTROL INFORMATION.''
    (2) Include your full corporate name and trademark. You may instead 
include the fill corporate name and trademark of another company you 
choose to designate.
    (3) State the engine displacement (in liters) and maximum engine 
power (or in the case of fire pumps, NFPA nameplate engine power).
    (4) State: ``THIS ENGINE IS EXEMPTED FROM THE REQUIREMENTS OF 40 CFR 
PARTS 89 AND 1039 AS A ``STATIONARY ENGINE.'' INSTALLING OR USING THIS 
ENGINE IN ANY OTHER APPLICATION MAY BE A VIOLATION OF FEDERAL LAW 
SUBJECT TO CIVIL PENALTY.''
    (c) Stationary engines required by 40 CFR part 60, subpart IIII, to 
meet the requirements of this part 1039, or parts 89 or 94, must meet 
the labeling requirements of 40 CFR 60.4210.

[69 FR 39213, June 29, 2004, as amended at 71 FR 39185, July 11, 2006]



          Subpart B_Emission Standards and Related Requirements



Sec.  1039.101  What exhaust emission standards must my engines meet after the 2014 model year?

    The exhaust emission standards of this section apply after the 2014 
model year. Certain of these standards also apply for model year 2014 
and earlier. This section presents the full set of emission standards 
that apply after all the transition and phase-in provisions of Sec.  
1039.102 and Sec.  1039.104 expire. See Sec.  1039.102 and 40 CFR 89.112 
for exhaust emission standards that apply to 2014 and earlier model 
years. Section 1039.105 specifies smoke standards.
    (a) Emission standards for transient testing. Transient exhaust 
emissions from your engines may not exceed the applicable emission 
standards in Table 1 of this section. Measure emissions using the 
applicable transient test procedures described in subpart F of this 
part. The following engines are not subject to the transient standards 
in this paragraph (a):
    (1) Engines above 560 kW.
    (2) Constant-speed engines.
    (b) Emission standards for steady-state testing. Steady-state 
exhaust emissions from your engines may not exceed the applicable 
emission standards in Table 1 of this section. Measure emissions using 
the applicable steady-state test procedures described in subpart F of 
this part.

      Table 1 of Sec.   1039.101--Tier 4 Exhaust Emission Standards After the 2014 Model Year, g/kW-hr \1\
----------------------------------------------------------------------------------------------------------------
     Maximum engine power        Application         PM           NOX          NMHC       NOX+NMHC        CO
----------------------------------------------------------------------------------------------------------------
kW < 19......................  All............     \2\ 0.40  ............  ...........          7.5      \3\ 6.6
19 <= kW < 56................  All............         0.03  ............  ...........          4.7      \4\ 5.0
56 <= kW < 130...............  All............         0.02          0.40         0.19  ...........          5.0
130 <= kW <= 560.............  All............         0.02          0.40         0.19  ...........          3.5
                               Generator sets.         0.03          0.67         0.19  ...........          3.5
kW  560...........  All except              0.04          3.5          0.19  ...........          3.5
                                generator sets.
----------------------------------------------------------------------------------------------------------------
\1\ Note that some of these standards also apply for 2014 and earlier model years. This table presents the full
  set of emission standards that apply after all the transition and phase-in provisions of Sec.   1039.102
  expire.
\2\ See paragraph (c) of this section for provisions related to an optional PM standard for certain engines
  below 8 kW.
\3\ The CO standard is 8.0 g/kW-hr for engines below 8 kW.
\4\ The CO standard is 5.5 g/kW-hr for engines below 37 kW.


[[Page 555]]

    (c) Optional PM standard for engines below 8 kW. You may certify 
hand-startable, air-cooled, direct injection engines below 8 kW to an 
optional Tier 4 PM standard of 0.60 g/kW-hr. The term hand-startable 
generally refers to engines that are started using a hand crank or pull 
cord. This PM standard applies to both steady-state and transient 
testing, as described in paragraphs (a) and (b) of this section. Engines 
certified under this paragraph (c) may not be used to generate PM or 
NOX+NMHC emission credits under the provisions of subpart H 
of this part. These engines may use PM or NOX+NMHC emission 
credits, subject to the FEL caps in paragraph (d)(1) of this section.
    (d) Averaging, banking, and trading. You may generate or use 
emission credits under the averaging, banking, and trading (ABT) 
program, as described in subpart H of this part. This requires that you 
specify a family emission limit (FEL) for each pollutant you include in 
the ABT program for each engine family. These FELs serve as the emission 
standards for the engine family with respect to all required testing 
instead of the standards specified in paragraphs (a) and (b) of this 
section. The FELs determine the not-to-exceed standards for your engine 
family, as specified in paragraph (e) of this section.
    (1) Primary FEL caps. The FEL may not be higher than the limits in 
Table 2 of this section, except as allowed by paragraph (d)(2) of this 
section or by Sec.  1039.102:

                 Table 2 of Sec.   1039.101--Tier 4 FEL Caps After the 2014 Model Year, g/kW-hr
----------------------------------------------------------------------------------------------------------------
           Maximum engine power                      Application                PM          NOX        NOX+NMHC
----------------------------------------------------------------------------------------------------------------
kW < 19...................................  All..........................         0.80  ...........      \1\ 9.5
19 <= kW < 56.............................  All..........................         0.05  ...........          7.5
56 <= kW < 130............................  All..........................         0.04         0.80  ...........
130 <= kW <= 560..........................  All..........................         0.04         0.80  ...........
kW  560........................  Generator sets...............         0.05         1.07  ...........
                                            All except generator sets....         0.07          6.2  ...........
----------------------------------------------------------------------------------------------------------------
\1\ For engines below 8 kW, the FEL cap is 10.5 g/kW-hr for NOX+NMHC emissions.

    (2) Alternate FEL caps. For a given power category, you may use the 
alternate FEL caps shown in Table 3 of this section instead of the FEL 
caps identified in paragraph (d)(1) of this section for up to 5 percent 
of your U.S.-directed production volume in a given model year.

         Table 3 of Sec.   1039.101--Alternate FEL Caps, g/kW-hr
------------------------------------------------------------------------
                                     Starting
       Maximum engine power         model year  PM FEL  cap  NOX FEL cap
                                       \1\
------------------------------------------------------------------------
19 <= kW < 56....................     \2\ 2016         0.30  ...........
56 <= kW < 130...................         2016     \3\ 0.30      \3\ 3.8
130 <= kW <= 560.................         2015         0.20          3.8
kW  560...............         2019         0.10      \4\ 3.5
------------------------------------------------------------------------
\1\ See Sec.   1039.104(g) for alternate FEL caps that apply in earlier
  model years.
\2\ For manufacturers certifying engines under Option 1 of
  Table 3 of Sec.   1039.102, these alternate FEL caps apply starting
  with the 2017 model year.
\3\ For engines below 75 kW, the FEL caps are 0.40 g/kW-hr for PM
  emissions and 4.4 g/kW-hr for NOX emissions.
\4\ For engines above 560 kW, the provision for alternate NOX FEL caps
  is limited to generator-set engines. For example, if you produce 1,000
  generator-set engines above 560 kW in a given model year, up to 50 of
  them may be certified to the alternate NOX FEL caps.

    (e) Not-to-exceed standards. Exhaust emissions from your engines may 
not exceed the applicable not-to-exceed (NTE) standards in this 
paragraph (e).
    (1) Measure emissions using the procedures described in subpart F of 
this part.
    (2) Except as noted in paragraph (e)(7) of this section, the NTE 
standard, rounded to the same number of decimal places as the applicable 
standard in Table 1 of this section, is determined from the following 
equation:


[[Page 556]]


NTE standard for each pollutant = (STD) x (M)

Where:

STD = The standard specified for that pollutant in Table 1 of this 
section (or paragraph (c) of this section) if you certify without using 
ABT for that pollutant; or the FEL for that pollutant if you certify 
using ABT.
M = The NTE multiplier for that pollutant, as defined in paragraph 
(e)(3) of this section.

    (3) The NTE multiplier for each pollutant is 1.25, except in the 
following cases:

------------------------------------------------------------------------
            If . . .                   Or . . .           Then . . .
------------------------------------------------------------------------
(i) The engine family is         The engine family    The multiplier for
 certified to a NOX standard      is certified to a    NOX, NMHC, and
 less than 2.50 g/kW-hr without   NOX FEL less than    NOX+NMHC is 1.50.
 using ABT.                       2.50 g/kW-hr or a
                                  NOX+NMHC FEL less
                                  than 2.70 g/kW-hr.
(ii) The engine family is        The engine family    The multiplier for
 certified to a PM standard       is certified to a    PM is 1.50.
 less than 0.07 g/kW-hr without   PM FEL less than
 using ABT.                       0.07 g/kW-hr.
------------------------------------------------------------------------

    (4) There are two sets of specifications of ambient operating 
regions that will apply for all NTE testing of engines in an engine 
family. You must choose one set for each engine family and must identify 
your choice of ambient operating regions in each application for 
certification for an engine family. You may choose separately for each 
engine family. Choose one of the following ambient operating regions:
    (i) All altitudes less than or equal to 5,500 feet above sea level 
during all ambient temperature and humidity conditions.
    (ii) All altitudes less than or equal to 5,500 feet above sea level, 
for temperatures less than or equal to the temperature determined by the 
following equation at the specified altitude:

T = -0.00254 x A + 100

Where:

T = ambient air temperature in degrees Fahrenheit.
A = altitude in feet above sea level (A is negative for altitudes below 
sea level).

    (5) Temperature and humidity ranges for which correction factors are 
allowed are specified in 40 CFR 86.1370-2007(e).
    (i) If you choose the ambient operating region specified in 
paragraph (e)(4)(i) of this section, the temperature and humidity ranges 
for which correction factors are allowed are defined in 40 CFR 86.1370-
2007(e)(1).
    (ii) If you choose the ambient operating region specified in 
paragraph (e)(4)(ii) of this section, the temperature and humidity 
ranges for which correction factors are allowed are defined in 40 CFR 
86.1370-2007(e)(2).
    (6) For engines equipped with exhaust-gas recirculation, the NTE 
standards of this section do not apply during the cold operating 
conditions specified in 40 CFR 86.1370-2007(f).
    (7) For engines certified to a PM FEL less than or equal to 0.01 g/
kW-hr, the PM NTE standard is 0.02 g/kW-hr.
    (f) Fuel types. The exhaust emission standards in this section apply 
for engines using the fuel type on which the engines in the engine 
family are designed to operate, except for engines certified under Sec.  
1039.615. For engines certified under Sec.  1039.615, the standards of 
this section apply to emissions measured using the specified test fuel. 
You must meet the numerical emission standards for NMHC in this section 
based on the following types of hydrocarbon emissions for engines 
powered by the following fuels:
    (1) Alcohol-fueled engines: THCE emissions.
    (2) Other engines: NMHC emissions.
    (g) Useful life. Your engines must meet the exhaust emission 
standards in paragraphs (a) through (e) of this section over their full 
useful life.
    (1) The useful life values are shown in the following table, except 
as allowed by paragraph (g)(2) of this section:

[[Page 557]]



                                 Table 4 of Sec.   1039.101--Useful Life Values
----------------------------------------------------------------------------------------------------------------
                                        And its maximum power    And its rated speed is  Then its useful life is
 If your engine is certified as . . .          is . . .                  . . .                    . . .
----------------------------------------------------------------------------------------------------------------
(i) Variable speed or constant speed.  kW <19.................  Any Speed..............  3,000 hours or five
                                                                                          years, whichever comes
                                                                                          first.
(ii) Constant speed..................  19 <= kW <37...........  3,000 rpm or higher....  3,000 hours or five
                                                                                          years, whichever comes
                                                                                          first.
(iii) Constant speed.................  19 <= kW <37...........  Less than 3,000 rpm....  5,000 hours or seven
                                                                                          years, whichever comes
                                                                                          first.
(iv) Variable........................  19 <= kW <37...........  Any Speed..............  5,000 hours or seven
                                                                                          years, whichever comes
                                                                                          first.
(v) Variable speed or constant speed.  kW =37......  Any speed..............  8,000 hours or ten
                                                                                          years, whichever comes
                                                                                          first.
----------------------------------------------------------------------------------------------------------------

    (2) You may request in your application for certification that we 
approve a shorter useful life for an engine family. We may approve a 
shorter useful life, in hours of engine operation but not in years, if 
we determine that these engines will rarely operate longer than the 
shorter useful life. If engines identical to those in the engine family 
have already been produced and are in use, your demonstration must 
include documentation from such in-use engines. In other cases, your 
demonstration must include an engineering analysis of information 
equivalent to such in-use data, such as data from research engines or 
similar engine models that are already in production. Your demonstration 
must also include any overhaul interval that you recommend, any 
mechanical warranty that you offer for the engine or its components, and 
any relevant customer design specifications. Your demonstration may 
include any other relevant information. The useful life value may not be 
shorter than any of the following:
    (i) 1,000 hours of operation.
    (ii) Your recommended overhaul interval.
    (iii) Your mechanical warranty for the engine.
    (h) Applicability for testing. The emission standards in this 
subpart apply to all testing, including certification, selective 
enforcement audits, and in-use testing. For selective enforcement 
audits, we will require you to perform duty-cycle testing as specified 
in Sec. Sec.  1039.505 and 1039.510. The NTE standards of this section 
apply for those tests. We will not direct you to do additional testing 
under a selective enforcement audit to show that your engines meet the 
NTE standards.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40462, July 13, 2005]



Sec.  1039.102  What exhaust emission standards and phase-in allowances apply for my engines in model year 2014 and earlier?

    The exhaust emission standards of this section apply for 2014 and 
earlier model years. See Sec.  1039.101 for exhaust emission standards 
that apply to later model years. See 40 CFR 89.112 for exhaust emission 
standards that apply to model years before the standards of this part 
1039 take effect.
    (a) Emission standards for transient testing. Transient exhaust 
emissions from your engines may not exceed the applicable emission 
standards in Tables 1 through 6 of this section. Measure emissions using 
the applicable transient test procedures described in subpart F of this 
part. See paragraph (c) of this section for a description of provisions 
related to the phase-in and phase-out standards shown in Tables 4 
through 6 of this section. The emission standards for transient testing 
are limited for certain engines, as follows:
    (1) The transient standards in this section do not apply for the 
following engines:
    (i) Engines below 37 kW for model years before 2013.
    (ii) Engines certified under Option 1 of Table 3 of this 
section. These are the small-volume manufacturer engines certified to 
the Option 1 standards for model years 2008 through 2015 under 
Sec.  1039.104(c), and other engines certified to the Option 1 
standards for model years 2008 through 2012.

[[Page 558]]

    (iii) Engines certified to an alternate FEL during the first four 
years of the Tier 4 standards for the applicable power category, as 
allowed in Sec.  1039.104(g). However, you may certify these engines to 
the transient standards in this section to avoid using temporary 
compliance adjustment factors, as described in Sec.  1039.104(g)(2). 
Note that in some cases this four-year period extends into the time 
covered by the standards in Sec.  1039.101.
    (iv) Constant-speed engines.
    (v) Engines above 560 kW.
    (2) The transient standards in this section for gaseous pollutants 
do not apply to phase-out engines that you certify to the same numerical 
standards (and FELs if the engines are certified using ABT) for gaseous 
pollutants as you certified under the Tier 3 requirements of 40 CFR part 
89. However, except as specified by paragraph (a)(1) of this section, 
the transient PM emission standards apply to these engines.
    (b) Emission standards for steady-state testing. Steady-state 
exhaust emissions from your engines may not exceed the applicable 
emission standards in Tables 1 through 7 of this section. Measure 
emissions using the applicable steady-state test procedures described in 
subpart F of this part. See paragraph (c) of this section for a 
description of provisions related to the phase-in and phase-out 
standards shown in Tables 4 through 6 of this section.

                Table 1 of Sec.   1039.102--Tier 4 Exhaust Emission Standards (g/kW-hr): kW < 19
----------------------------------------------------------------------------------------------------------------
                    Maximum engine power                      Model years       PM       NOX + NMHC       CO
----------------------------------------------------------------------------------------------------------------
kW < 8......................................................    2008-2014     \1\ 0.40          7.5          8.0
8 <= kW < 19................................................    2008-2014         0.40          7.5         6.6
----------------------------------------------------------------------------------------------------------------
\1\ For engines that qualify for the special provisions in Sec.   1039.101(c), you may delay certifying to the
  standards in this part 1039 until 2010. In 2009 and earlier model years, these engines must instead meet the
  applicable Tier 2 standards and other requirements from 40 CFR part 89. Starting in 2010, these engines must
  meet a PM standard of 0.60 g/kW-hr, as described in Sec.   1039.101(c). Engines certified to the 0.60 g/kWhr
  PM standard may not generate ABT credits.


Table 2 of Sec.   1039.102--Interim Tier 4 Exhaust Emission Standards (g/
                          kW-hr): 19 <= kW < 37
------------------------------------------------------------------------
           Model years                  PM       NOX + NMHC       CO
------------------------------------------------------------------------
2008-2012........................         0.30          7.5          5.5
2013-2014........................         0.03          4.7          5.5
------------------------------------------------------------------------


         Table 3 of Sec.   1039.102--Interim Tier 4 Exhaust Emission Standards (g/kW-hr): 37 <= kW < 56
----------------------------------------------------------------------------------------------------------------
                         Option \1\                           Model years       PM       NOX + NMHC       CO
----------------------------------------------------------------------------------------------------------------
1..................................................    2008-2012         0.30          4.7          5.0
2..................................................         2012         0.03          4.7          5.0
All.........................................................    2013-2014         0.03          4.7         5.0
----------------------------------------------------------------------------------------------------------------
\1\You may certify engines to the Option 1 or Option 2 standards starting in the listed model
  year. Under Option 1, all engines at or above 37 kW and below 56 kW produced before the 2013 model
  year must meet the applicable Option 1 standards in this table. These engines are considered to be
  ``Option 1 engines.'' Under Option 2, all these engines produced before the 2012 model year
  must meet the applicable standards under 40 CFR part 89. Engines certified to the Option 2 standards
  in model year 2012 are considered to be ``Option 2 engines.''


         Table 4 of Sec.   1039.102--Interim Tier 4 Exhaust Emission Standards (g/kW-hr): 56 <= kW < 75
----------------------------------------------------------------------------------------------------------------
       Model years \1\          Phase-in option       PM          NOX          NMHC      NOX + NMHC       CO
----------------------------------------------------------------------------------------------------------------
                               Phase-in........         0.02         0.40         0.19  ...........          5.0
2012-2013....................  Phase-out.......         0.02  ...........  ...........          4.7          5.0
2014.........................  All engines.....         0.02         0.40         0.19  ...........         5.0
----------------------------------------------------------------------------------------------------------------
\1\ See paragraph (d)(2) of this section for provisions that allow for a different phase-in schedule than that
  specified in paragraph (c)(1) of this section.


[[Page 559]]


         Table 5 of Sec.   1039.102--Interim Tier 4 Exhaust Emission Standards (g/kW-hr): 75 <= kW < 130
----------------------------------------------------------------------------------------------------------------
       Model years \1\          Phase-in option       PM          NOX          NMHC      NOX + NMHC       CO
----------------------------------------------------------------------------------------------------------------
                               Phase-in........         0.02         0.40         0.19  ...........          5.0
2012-2013....................  Phase-out.......         0.02  ...........  ...........          4.0          5.0
2014.........................  All engines.....         0.02         0.40         0.19  ...........         5.0
----------------------------------------------------------------------------------------------------------------
\1\ See paragraph (d)(2) of this section for provisions that allow for a different phase-in schedule than that
  specified in paragraph (c)(1) of this section.


        Table 6 of Sec.   1039.102--Interim Tier 4 Exhaust Emission Standards (g/kW-hr): 130 <= kW < 560
----------------------------------------------------------------------------------------------------------------
       Model years \1\          Phase-in option       PM          NOX          NMHC      NOX + NMHC       CO
----------------------------------------------------------------------------------------------------------------
                               Phase-in........         0.02         0.40         0.19  ...........          3.5
2011-2013....................  Phase-out.......         0.02  ...........  ...........          4.0          3.5
2014.........................  All engines.....         0.02         0.40         0.19  ...........          3.5
----------------------------------------------------------------------------------------------------------------


                           Table 7 of Sec.   1039.102--Interim Tier 4 Exhaust Emission Standards (g/kW-hr): kW  560
--------------------------------------------------------------------------------------------------------------------------------------------------------
               Model years                     Maximum engine power              Application               PM          NOX          NMHC          CO
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                           560 < kW <= 900.............  All........................         0.10          3.5         0.40          3.5
                                                                         Generator sets.............         0.10         0.67         0.40          3.5
2011-2014................................  kW  900..........  All except generator sets..         0.10          3.5         0.40          3.5
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (c) Phase-in requirements. The following phase-in provisions apply 
for engines in 56-560 kW power categories meeting the interim Tier 4 
standards in paragraphs (a) and (b) of this section:
    (1) For each model year before 2014 noted in Tables 4 through 6 of 
this section, you must certify engine families representing at least 50 
percent of your U.S.-directed production volume for each power category 
to the applicable phase-in standards, except as allowed by paragraph 
(c)(3), (d)(2), or (e) of this section. Any engines not certified to the 
phase-in standards must be certified to the corresponding phase-out 
standards.
    (2) Engines certified to the phase-out standards in Tables 4 through 
6 of this section must comply with all other requirements that apply to 
Tier 4 engines, except as otherwise specified in this section.
    (3) At the time of certification, show how you intend to meet the 
phase-in requirements of this paragraph (c) based on projected U.S.-
directed production volumes. If your actual U.S.-directed production 
volume fails to meet the phase-in requirements for a given model year, 
you must make up the shortfall (in terms of number of engines) by the 
end of the model year representing the final year of the phase-in 
period. For example, if you plan in good faith to produce 50 percent of 
a projected 10,000 engines in the 56-130 kW power category (i.e., 5,000 
engines) in 2012 in compliance with the Tier 4 phase-in standards for 
NOX and NMHC in Table 4 of this section, but produce 4,500 
such engines of an actual 10,000 engines, you must produce 500 engines 
in model year 2013 (i.e., the final year of the phase-in for this power 
category) that meet the Tier 4 phase-in standards above and beyond the 
production otherwise needed to meet the 50-percent phase-in requirement 
for model year 2013. If any shortfall exceeds the applicable limit of 
paragraph (c)(3)(i) or (ii) of this section, that number of phase-out 
engines will be considered not covered by a certificate of conformity 
and in violation of Sec.  1068.101(a)(1). The shortfall allowed by this 
paragraph (c)(3) may not exceed a certain number of engines, as follows:
    (i) For engine families certified according to the alternate phase-
in schedule described in paragraph (d)(2) of this section, for model 
years prior to

[[Page 560]]

the final year of the phase-in, 5 percent of your actual U.S.-directed 
production volume for that power category in that model year.
    (ii) For all other engine families, for model years prior to the 
final year of the phase-in, 25 percent of your actual U.S.-directed 
production volume for that power category in that model year.
    (iii) No shortfall is allowed in the final year of the phase-in.
    (4) Engines you introduce into commerce beyond the limits described 
in paragraphs (c)(3) of this section will be considered not covered by a 
certificate of conformity and in violation of Sec.  1068.101(a)(1).
    (5) For the purposes of this part, the term ``phase-in'' means 
relating to a standard that is identified in this section as a phase-in 
standard and the term ``phase-out'' means relating to a standard that is 
identified in this section as a phase-out standard. For example, a 200-
kW engine from the 2012 model year that is certified to the 4.0 g/kW-hr 
NOX+NMHC standard in Table 6 of Sec.  1039.102 is a phase-out 
engine.
    (d) Banked credits and alternate phase-in for 56-130 kW engines. For 
engines in the 56-130 kW power category, you may use only one of the 
following additional provisions:
    (1) For model years 2012 through 2014, you may use banked 
NOX+NMHC credits from any Tier 2 engine at or above 37 kW 
certified under 40 CFR part 89 to meet the NOX phase-in 
standards or the NOX+NMHC phase-out standards under 
paragraphs (b) and (c) of this section, subject to the additional ABT 
provisions in Sec.  1039.740.
    (2) Instead of meeting the phase-in requirements of paragraph (c)(1) 
of this section, you may certify engine families representing at least 
25 percent of your U.S.-directed production volume for each model year 
from 2012 through 2014 to the applicable phase-in standards in Tables 4 
and 5 of this section, except as allowed by paragraph (c)(3) or (e) of 
this section. Any engines not certified to the phase-in standards must 
be certified to the corresponding phase-out standards. Engines certified 
under this paragraph (d)(2) may generate NOX emission credits 
only for averaging within the same power category during the same model 
year. For engines certified under this paragraph (d)(2), the 2014 model 
year may not extend beyond December 30, 2014.
    (e) Alternate NOX standards. For engines in 56-560 kW 
power categories during the phase-in of Tier 4 standards, you may 
certify engine families to the alternate NOX standards in 
this paragraph (e) instead of the phase-in and phase-out NOX 
and NOX+NMHC standards described in Tables 4 through 6 of 
this section. Engines certified under this section must be certified to 
an NMHC standard of 0.19 g/kW-hr. Do not include engine families 
certified under this paragraph (e) in determining whether you comply 
with the percentage phase-in requirements of paragraphs (c) and (d)(2) 
of this section. Except for the provisions for alternate FEL caps in 
Sec.  1039.104(g), the NOX standards and FEL caps under this 
paragraph (e) are as follows:
    (1) For engines in the 56-130 kW power category, apply the following 
alternate NOX standards and FEL caps:
    (i) If you use the provisions of paragraph (d)(1) of this section, 
your alternate NOX standard for any engine family in the 56-
130 kW power category is 2.3 g/kW-hr for model years 2012 and 2013. 
Engines certified to this standard may not exceed a NOX FEL 
cap of 3.0 g/kW-hr.
    (ii) If you use the provisions of paragraph (d)(2) of this section, 
your alternate NOX standard for any engine family in the 56-
130 kW power category is 3.4 g/kW-hr for model years 2012 through 2014. 
Engines below 75 kW certified to this standard may not exceed a 
NOX FEL cap of 4.4 g/kW-hr; engines at or above 75 kW 
certified to this standard may not exceed a NOX FEL cap of 
3.8 g/kW-hr.
    (iii) If you do not use the provisions of paragraph (d) of this 
section, you may apply the alternate NOX standard and the 
appropriate FEL cap from either paragraph (e)(1)(i) or (ii) of this 
section.
    (2) For engines in the 130-560 kW power category, the alternate 
NOX standard is 2.0 g/kW-hr for model years 2011 through 
2013. Engines certified to this standard may not exceed a NOX 
FEL cap of 2.7 g/kW-hr.

[[Page 561]]

    (f) Split families. For generating or using credits for engines in 
56-560 kW power categories during the phase-in of Tier 4 standards, you 
may split an engine family into two subfamilies (for example, one that 
uses credits and one that generates credits for the same pollutant).
    (1) Identify any split engine families in your application for 
certification. Your engines must comply with all the standards and 
requirements applicable to Tier 4 engines, except as noted in this 
paragraph (f). You may calculate emission credits relative to different 
emission standards (i.e., phase-in and phase-out standards) for 
different sets of engines within the engine family, but the engine 
family must be certified to a single set of standards and FELs. To 
calculate NOX+NMHC emission credits, add the NOX 
FEL to the NMHC phase-in standard for comparison with the applicable 
NOX+NMHC phase-out standard. Any engine family certified 
under this paragraph (f) must meet the applicable phase-in standard for 
NMHC. You may assign the number and configurations of engines within the 
respective subfamilies any time before the due date for the final report 
required in Sec.  1039.730. Apply the same label to each engine in the 
family, including the NOX FEL to which it is certified.
    (2) For example, a 10,000-unit engine family in the 75-130 kW power 
category may be certified to meet the standards for PM, NMHC, and CO 
that apply to phase-in engines, with a 0.8 g/kW-hr FEL for 
NOX. When compared to the phase-out NOX+NMHC 
standard, this engine family would generate positive NOX+NMHC 
emission credits. When compared to the phase-in NOX standard, 
this engine family would generate negative NOX emission 
credits. You could create a subfamily with 2,500 engines (one-quarter of 
the 10,000 engines) and identify them as phase-in engines. You would 
count these 2,500, with their negative NOX credits, in 
determining compliance with the 50-percent phase-in requirement in 
paragraph (c)(1) of this section. You would calculate negative credits 
relative to the 0.40 g/kW-hr NOX standard for these 2,500 
engines. You would identify the other 7,500 engines in the family as 
phase-out engines and calculate positive credits relative to the 4.0 g/
kW-hr NOX+NMHC standard.
    (g) Other provisions. The provisions of Sec.  1039.101(d) through 
(h) apply with respect to the standards of this section, with the 
following exceptions and special provisions:
    (1) NTE standards. Use the provisions of Sec.  1039.101(e)(3) to 
calculate and apply the NTE standards, but base these calculated values 
on the applicable standards in this section or the applicable FEL, 
instead of the standards in Table 1 of Sec.  1039.101. All other 
provisions of Sec.  1039.101(e) apply under this paragraph (g)(1). The 
NTE standards do not apply for certain engines and certain pollutants, 
as follows:
    (i) All engines below 37 kW for model years before 2013.
    (ii) All engines certified under Option 1 of Table 3 of 
this section. These are small-volume manufacturer engines certified to 
the Option 1 standards for model years 2008 through 2015 under 
Sec.  1039.104(c), and other engines certified to the Option 1 
standards for model years 2008 through 2012.
    (iii) All engines less than or equal to 560 kW that are certified to 
an FEL under the alternate FEL program during the first four years of 
the Tier 4 standards for the applicable power category, as described in 
Sec.  1039.104(g). However, if you apply to meet transient emission 
standards for these engines under Sec.  1039.102(a)(1)(iii), you must 
also meet the NTE standards in this paragraph (g)(1).
    (iv) Gaseous pollutants for phase-out engines that you certify to 
the same numerical standards and FELs for gaseous pollutants to which 
you certified under the Tier 3 requirements of 40 CFR part 89. However, 
the NTE standards for PM apply to these engines.
    (2) Interim FEL caps. As described in Sec.  1039.101(d), you may 
participate in the ABT program in subpart H of this part by certifying 
engines to FELs for PM, NOX, or NOX+NMHC instead 
of the standards in Tables 1 through 7 of this section for the model 
years shown. The FEL caps listed in the following table apply instead of 
the FEL caps in Sec.  1039.101(d)(1), except as allowed by Sec.  
1039.104(g):

[[Page 562]]



                          Table 8 of Sec.   1039.102.--Interim Tier 4 FEL Caps, g/kW-hr
----------------------------------------------------------------------------------------------------------------
                                                             Model years
       Maximum  engine power           Phase-in  option          \1\            PM          NOX        NOX+NMHC
----------------------------------------------------------------------------------------------------------------
kW < 19...........................  .....................       2008-2014         0.80  ...........      \2\ 9.5
19 <= kW < 37.....................  .....................       2008-2012         0.60  ...........          9.5
37 <= kW < 56.....................  .....................   \3\ 2008-2012         0.40  ...........          7.5
56 <= kW < 130....................  phase-in.............       2012-2013         0.04         0.80  ...........
56 <= kW < 130....................  phase-out............       2012-2013         0.04  ...........      \4\ 6.6
130 <= kW <= 560..................  phase-in.............       2011-2013         0.04         0.80  ...........
130 <= kW <= 560..................  phase-out............       2011-2013         0.04  ...........      \5\ 6.4
kW  560................  .....................       2011-2014         0.20          6.2  ...........
----------------------------------------------------------------------------------------------------------------
\1\ For model years before 2015 where this table does not specify FEL caps, apply the FEL caps shown in Sec.
  1039.101.
\2\ For engines below 8 kW, the FEL cap is 10.5 g/kW-hr for NOX+NMHC emissions.
\3\ For manufacturers certifying engines to the standards of this part 1039 in 2012 under Option 2 of
  Table 3 of Sec.   1039.102, the FEL caps for 37-56 kW engines in the 19-56 kW category of Table 2 of Sec.
  1039.101 apply for model year 2012 and later; see 40 CFR part 89 for provisions that apply to earlier model
  years.
\4\ For engines below 75 kW, the FEL cap is 7.5 g/kW-hr for NOX+NMHC emissions.
\5\ For engines below 225 kW, the FEL cap is 6.6 g/kW-hr for NOX+NMHC emissions.

    (3) Crankcase emissions. The crankcase emission requirements of 
Sec.  1039.115(a) do not apply to engines using charge-air compression 
that are certified to an FEL under the alternate FEL program in Sec.  
1039.104(g) during the first four years of the Tier 4 standards for the 
applicable power category.
    (4) Special provisions for 37-56 kW engines. For engines at or above 
37 kW and below 56 kW from model years 2008 through 2012, you must take 
the following additional steps:
    (i) State the applicable PM standard on the emission control 
information label.
    (ii) Add information to the emission-related installation 
instructions to clarify the equipment manufacturer's obligations under 
Sec.  1039.104(f).

[69 FR 39213, June 29, 2004, as amended at 72 FR 53130, Sept. 18, 2007]



Sec.  1039.104  Are there interim provisions that apply only for a limited time?

    The provisions in this section apply instead of other provisions in 
this part. This section describes when these interim provisions apply.
    (a) Incentives for early introduction. This paragraph (a) allows you 
to reduce the number of engines subject to the applicable standards in 
Sec.  1039.101 or Sec.  1039.102, when some of your engines are 
certified to the specified levels earlier than otherwise required. The 
engines that are certified early are considered offset-generating 
engines. The provisions of this paragraph (a), which describe the 
requirements applicable to offset-generating engines, apply beginning in 
model year 2007. These offset generating engines may generate additional 
allowances for equipment manufacturers under the incentive program 
described in Sec.  1039.627; you may instead use these offsets under 
paragraph (a)(2) of this section in some cases.
    (1) For early-compliant engines to generate offsets for use either 
under this paragraph (a) or under Sec.  1039.627, you must meet the 
following general provisions:
    (i) You may not generate offsets from engines below 19 kW.
    (ii) You must begin actual production of engines covered by the 
corresponding certificate by the following dates:
    (A) For engines at or above 19 kW and below 37 kW: September 1, 
2012.
    (B) For engines at or above 37 kW and below 56 kW: September 1, 2012 
if you choose Option 1 in Table 3 of Sec.  1039.102, or 
September 1, 2011 if you do not choose Option 1 in Table 3 of 
Sec.  1039.102.
    (C) For engines in the 56-130 kW power category: September 1, 2011.
    (D) For engines in the 130-560 kW power category: September 1, 2010.
    (E) For engines above 560 kW: September 1, 2014.
    (iii) Engines you produce after December 31 of the year shown in 
paragraph (a)(1)(ii) of this section may not generate offsets.
    (iv) You may not use ABT credits to certify offset-generating 
engines.
    (v) Offset-generating engines must be certified to the Tier 4 
standards and requirements under this part 1039.
    (2) If equipment manufacturers decline offsets for your offset-
generating

[[Page 563]]

engines under Sec.  1039.627, you may not generate ABT credits with 
these engines, but you may reduce the number of engines that are 
required to meet the standards in Sec.  1039.101 or 1039.102 as follows:

----------------------------------------------------------------------------------------------------------------
                                                                      You may reduce the
                                                        That are       number of engines
                                   With maximum     certified to the   in the same power
        For every . . .          engine power . .      applicable      category that are   In later model years
                                        .           standards in . .   required to meet          by . . .
                                                           .               the . . .
 
----------------------------------------------------------------------------------------------------------------
(i) 2 engines.................  19 <= kW < 37....  Table 2 of Sec.    PM standard in      3 engines.
                                                    1039.102 \1\.      Table 2 of Sec.
                                                                       1039.102
                                                                       applicable to
                                                                       model year 2013
                                                                       or 2014 engines
                                                                       or the PM
                                                                       standard in Table
                                                                       1 of Sec.
                                                                       1039.101.
(ii) 2 engines................  56 <= kW <= 560..  Table 4, 5, or 6   Phase-out           3 engines.
                                                    of Sec.            standards in
                                                    1039.102 for       Tables 4 through
                                                    Phase-out          6 of Sec.
                                                    engines.           1039.102.
(iii) 2 engines...............  kW =    Table 1 of Sec.    Standards in        3 engines.\2\
                                 19.                1039.101.          Tables 2 through
                                                                       7 of Sec.
                                                                       1039.102 or
                                                                       standards in
                                                                       Table 1 of Sec.
                                                                       1039.101.
(iv) 1 engine.................  kW =    Table 1 of Sec.    Standards in        2 engines.\2\
                                 19.                1039.101 + 0.20    Tables 2 through
                                                    g/kW-hr NOX        7 of Sec.
                                                    standard.          1039.102 or
                                                                       standards in
                                                                       Table 1 of Sec.
                                                                       1039.101.
----------------------------------------------------------------------------------------------------------------
\1\ The engine must be certified to the PM standard applicable to model year 2013 engines, and to the NOX+NMHC
  and CO standards applicable to model year 2012 engines.
\2\ For engines above 560 kW, offsets from generator-set engines may be used only for generator-set engines.
  Offsets from engines for other applications may be used only for other applications besides generator sets.

    (3) Example: If you produce 100 engines in the 56-130 kW power 
category in model year 2008 that are certified to the 56-130 kW 
standards listed in Sec.  1039.101, and you produced 10,000 engines in 
this power category in model year 2015, then only 9,850 of these model 
year 2015 engines would need to comply with the standards listed in 
Sec.  1039.101. The 100 offset-generating engines in model year 2008 
could not use or generate ABT credits.
    (4) Offset-using engines (that is, those not required to certify to 
the standards of Sec.  1039.101 or Sec.  1039.102 under paragraph (a)(2) 
of this section) are subject to the following provisions:
    (i) If the offset is being used under paragraph (a)(2)(i) of this 
section for an engine that would otherwise be certified to the model 
year 2013 or 2014 standards in Table 2 of Sec.  1039.102 or the 
standards in Table 1 of Sec.  1039.101, this engine must be certified to 
the standards and requirements of this part 1039, except that the only 
PM standard that applies is the steady-state PM standard that applies 
for model year 2012. Such an engine may not generate ABT credits.
    (ii) If the offset is being used under paragraph (a)(2)(ii) of this 
section for an engine that would otherwise be certified to the phase-out 
standards in Tables 4 through 6 of Sec.  1039.102, this engine must be 
certified to the standards and requirements of this part 1039, except 
that the PM standard is the Tier 3 PM standard that applies for this 
engine's maximum power. Such an engine will be treated as a phase-out 
engine for purposes of determining compliance with percentage phase-in 
requirements. Such an engine may not generate ABT credits.
    (iii) All other offset-using engines must meet the standards and 
other provisions that apply in model year 2011 for engines in the 19-130 
kW power categories, in model year 2010 for engines in the 130-560 kW 
power category, or in model year 2014 for engines above 560 kW. Show 
that engines meet these emission standards by meeting all the 
requirements of Sec.  1068.265. You must meet the labeling requirements 
in Sec.  1039.135, but add the following statement instead of the 
compliance statement in Sec.  1039.135(c)(12): ``THIS ENGINE MEETS U.S. 
EPA EMISSION STANDARDS UNDER 40 CFR 1039.104(a).'' For power categories 
with a percentage phase-in, these engines should be treated as phase-in 
engines for purposes of determining compliance with phase-in 
requirements.
    (5) If an equipment manufacturer claims offsets from your engine for 
use under Sec.  1039.627, the engine generating the offset must comply 
with the requirements of paragraph (a)(1) of this section. You may not 
generate offsets

[[Page 564]]

for use under paragraphs (a)(2) and (5) of this section for these 
engines. You may generate ABT credits from these engines as follows:
    (i) To generate emission credits for NOX, 
NOX+NMHC, and PM, the engine must be certified to FELs at or 
below the standards in paragraph (a)(2) of this section.
    (ii) Calculate credits according to Sec.  1039.705 but use as the 
applicable standard the numerical value of the standard to which the 
engine would have otherwise been subject if it had not been certified 
under this paragraph (a).
    (iii) For the production volume, use the number of engines certified 
under this paragraph (a) for which you do not claim offsets under 
paragraph (a)(2) of this section.
    (6) You may include engines used to generate offsets under this 
paragraph (a) and engines used to generate offsets under Sec.  1039.627 
in the same engine family, subject to the provisions of Sec.  1039.230. 
The engine must be certified to FELs, as specified in paragraph 
(a)(5)(i) of this section. The FELs must be below the standard levels 
specified in paragraph (a)(2) of this section and those specified in 
Sec.  1039.627. In the reports required in Sec.  1039.730, include the 
following information for each model year:
    (i) The total number of engines that generate offsets under this 
paragraph (a).
    (ii) The number of engines used to generate offsets under paragraph 
(a)(2) of this section.
    (iii) The names of equipment manufacturers that intend to use your 
offsets under Sec.  1039.627 and the number of offsets involved for each 
equipment manufacturer.
    (b) In-use compliance limits. For purposes of determining compliance 
after title or custody has transferred to the ultimate purchaser, 
calculate the applicable in-use compliance limits by adjusting the 
applicable standards or FELs. This applies only for engines at or above 
19 kW. The NOX adjustment applies only for engines with a 
NOX FEL no higher than 2.1 g/kW-hr The PM adjustment applies 
only for engines with a PM FEL no higher than the PM standard in Sec.  
1039.101 for the appropriate power category. Add the following 
adjustments to the otherwise applicable standards or FELs (steady-state, 
transient, and NTE) for NOX and PM:

----------------------------------------------------------------------------------------------------------------
                                                                                                      The PM
                                         If your engine's maximum    The NOX adjustment in g/kW-   adjustment in
         In model years . . .                 power is . . .                 hr is . . .          g/kW-hr is . .
                                                                                                         .
----------------------------------------------------------------------------------------------------------------
2013-2014............................  19 <= kW < 56..............  not allowed.................            0.01
2012-2016............................  56 <= kW < 130.............  0.16 for operating hours <=             0.01
                                                                     2000.
                                                                    0.25 for operating hours
                                                                     2001 to 3400.
                                                                    0.34 for operating hours  3400.
2011-2015............................  130 <= kW < 560............  0.16 for operating hours <=             0.01
                                                                     2000.
                                                                    0.25 for operating hours
                                                                     2001 to 3400.
                                                                    0.34 for operating hours  3400.
2011-2016............................  kW  560.........  0.16 for operating hours <=             0.01
                                                                     2000.
                                                                    0.25 for operating hours
                                                                     2001 to 3400.
                                                                    0.34 for operating hours  3400.
----------------------------------------------------------------------------------------------------------------

    (c) Provisions for small-volume manufacturers. Special provisions 
apply if you are a small-volume engine manufacturer subject to the 
requirements of this part. You must notify us in writing before January 
1, 2008 if you intend to use these provisions.
    (1) You may delay complying with certain otherwise applicable Tier 4 
emission standards and requirements as described in the following table:

----------------------------------------------------------------------------------------------------------------
                                                                        Until model   Before that model year the
 If your engine's maximum power is . . .   You may delay meeting . . .   year . . .  engine must comply with . .
                                                                                                  .
----------------------------------------------------------------------------------------------------------------
kW < 19..................................  The standards and                   2011  The standards and
                                            requirements of this part.                requirements in 40 CFR
                                                                                      part 89.

[[Page 565]]

 
19 <= kW < 37............................  The Tier 4 standards and            2016  The Tier 4 standards and
                                            requirements of this part                 requirements that apply
                                            that would otherwise be                   for model year 2008.
                                            applicable in model year
                                            2013.
37 <= kW < 56............................     See paragraph (c)(2) of this section for special provisions that
                                                          apply for engines in this power category.
56 <= kW < 130...........................  The standards and                   2015  The standards and
                                            requirements of this part.                requirements in 40 CFR
                                                                                      part 89.
----------------------------------------------------------------------------------------------------------------

    (2) To use the provisions of this paragraph (c) for engines at or 
above 37 kW and below 56 kW, choose one of the following:
    (i) If you comply with the 0.30 g/kW-hr PM standard in Sec.  
1039.102 in all model years from 2008 through 2012 without using PM 
credits, you may continue meeting that standard through 2015.
    (ii) If you do not choose to comply with paragraph (c)(2)(i) of this 
section, you may continue to comply with the standards and requirements 
in 40 CFR part 89 for model years through 2012, but you must begin 
complying in 2013 with Tier 4 standards and requirements specified in 
Table 3 of Sec.  1039.102 for model years 2013 and later.
    (3) After the delays indicated in paragraph (c)(1) and (2) of this 
section, you must comply with the same Tier 4 standards and requirements 
as all other manufacturers.
    (4) For engines not in the 19-56 kW power category, if you delay 
compliance with any standards under this paragraph (c), you must do all 
the following things for the model years when you are delaying 
compliance with the otherwise applicable standards:
    (i) Produce engines that meet all the emission standards and other 
requirements under 40 CFR part 89 applicable for that model year, except 
as noted in this paragraph (c).
    (ii) Meet the labeling requirements in 40 CFR 89.110, but use the 
following compliance statement instead of the compliance statement in 40 
CFR 89.110(b)(10): ``THIS ENGINE COMPLIES WITH U.S. EPA REGULATIONS FOR 
[CURRENT MODEL YEAR] NONROAD COMPRESSION-IGNITION ENGINES UNDER 40 CFR 
1039.104(c).''.
    (iii) Notify the equipment manufacturer that the engines you produce 
under this section are excluded from the production volumes associated 
with the equipment-manufacturer allowance program in Sec.  1039.625.
    (5) For engines in the 19-56 kW power category, if you delay 
compliance with any standards under this paragraph (c), you must do all 
the following things for the model years when you are delaying 
compliance with the otherwise applicable standards:
    (i) Produce engines in those model years that meet all the emission 
standards and other requirements that applied for your model year 2008 
engines in the same power category.
    (ii) Meet the labeling requirements in Sec.  1039.135, but use the 
following compliance statement instead of the compliance statement in 
Sec.  1039.135: ``THIS ENGINE COMPLIES WITH U.S. EPA REGULATIONS FOR 
[CURRENT MODEL YEAR] NONROAD COMPRESSION-IGNITION ENGINES UNDER 40 CFR 
1039.104(c).''.
    (iii) Notify the equipment manufacturer that the engines you produce 
under this section are excluded from the production volumes associated 
with the equipment-manufacturer allowance program in Sec.  1039.625.
    (6) The provisions of this paragraph (c) may not be used to 
circumvent the requirements of this part.
    (d) Deficiencies for NTE standards. You may ask us to accept as 
compliant an engine that does not fully meet specific requirements under 
the applicable NTE standards. Such deficiencies are intended to allow 
for minor deviations from the NTE standards under limited conditions. We 
expect your engines to have functioning emission-control hardware that 
allows you to comply with the NTE standards.
    (1) Request our approval for specific deficiencies in your 
application for certification, or before you submit your application. We 
will not approve deficiencies retroactively to cover engines

[[Page 566]]

already certified. In your request, identify the scope of each 
deficiency and describe any auxiliary emission-control devices you will 
use to control emissions to the lowest practical level, considering the 
deficiency you are requesting.
    (2) We will approve a deficiency only if compliance would be 
infeasible or unreasonable considering such factors as the technical 
feasibility of the given hardware and the applicable lead time and 
production cycles--including schedules related to phase-in or phase-out 
of engines. We may consider other relevant factors.
    (3) Our approval applies only for a single model year and may be 
limited to specific engine configurations. We may approve your request 
for the same deficiency in the following model year if correcting the 
deficiency would require unreasonable hardware or software modifications 
and we determine that you have demonstrated an acceptable level of 
effort toward complying.
    (4) You may ask for any number of deficiencies in the first three 
model years during which NTE standards apply for your engines. For the 
next four model years, we may approve up to three deficiencies per 
engine family. Deficiencies of the same type that apply similarly to 
different power ratings within a family count as one deficiency per 
family. We may condition approval of any such additional deficiencies 
during these four years on any additional conditions we determine to be 
appropriate. We will not approve deficiencies after the seven-year 
period specified in this paragraph (d)(4).
    (e) Diesel test fuels and corresponding labeling requirements. For 
diesel-fueled engines in 2011 and later model years, the diesel test 
fuel is ultra low-sulfur diesel fuel specified in 40 CFR part 1065. For 
diesel-fueled engines in 2010 and earlier model years, use test fuels 
and meet labeling requirements as follows:
    (1) Use the following test fuels in 2010 and earlier model years:
    (i) Unless otherwise specified, the diesel test fuel is low-sulfur 
diesel fuel specified in 40 CFR part 1065.
    (ii) In model years 2007 through 2010, you may use ultra low-sulfur 
diesel fuel as the test fuel for any engine family that employs sulfur-
sensitive technology if you can demonstrate that in-use engines in the 
family will use diesel fuel with a sulfur concentration no greater than 
15 ppm.
    (iii) You may use ultra low-sulfur diesel fuel as the test fuel for 
engine families in any power category below 56 kW, as long as none of 
the engines in your engine family employ sulfur-sensitive technologies, 
you ensure that ultimate purchasers of equipment using these engines are 
informed that ultra low-sulfur diesel fuel is recommended, and you 
recommend to equipment manufacturers that a label be applied at the fuel 
inlet recommending 15 ppm fuel.
    (iv) For the engines described in Sec.  1039.101(c) that are 
certified to the 0.60 g/kW-hr PM standard in Table 1 of Sec.  1039.102 
in the 2010 model year, you may test with the ultra low-sulfur fuel 
specified in 40 CFR part 1065.
    (2) Meet the labeling requirements of this paragraph (e)(2) (or 
other labeling requirements we approve) to identify the applicable test 
fuels specified in paragraph (e)(1) of this section. Provide 
instructions to equipment manufacturers to ensure that they are aware of 
these labeling requirements.
    (i) For engines certified under the provisions of paragraph 
(e)(1)(i) of this section, include the following statement on the 
emission control information label and the fuel-inlet label specified in 
Sec.  1039.135: ``LOW SULFUR FUEL OR ULTRA LOW SULFUR FUEL ONLY''.
    (ii) For engines certified under the provisions of paragraph 
(e)(1)(ii) of this section, include the following statement on the 
emission control information label and the fuel-inlet label specified in 
Sec.  1039.135: ``ULTRA LOW SULFUR FUEL ONLY''.
    (iii) For engines certified under the provisions of paragraph 
(e)(1)(iii) of this section, include the following statement on the 
emission control information label specified in Sec.  1039.135: ``ULTRA 
LOW SULFUR FUEL RECOMMENDED''.
    (3) For model years 2010 and earlier, we will use the test fuel that 
you use under paragraph (e)(1) of this section, subject to the 
conditions of paragraph (e)(1) of this section.

[[Page 567]]

    (f) Requirements for equipment manufacturers. If you produce 
equipment with engines certified to Tier 3 standards under Option 
2 of Table 3 of Sec.  1039.102 during model years from 2008 
through 2011, then a minimum number of pieces of equipment you produce 
using 2012 model year engines must have engines certified to the Option 
2 standards, as follows:
    (1) For equipment you produce with 2012 model year engines at or 
above 37 kW and below 56 kW, determine the minimum number of these 
engines that must be certified to the Option 2 standards in 
Table 3 of Sec.  1039.102 as follows:
    (i) If all the equipment you produce using 2008 through 2011 model 
year engines use engines certified to Tier 3 standards under Option 
2 of Table 3 of Sec.  1039.102, then all the 2012 model year 
engines you install must be certified to the Option 2 standards 
of Table 3 of Sec.  1039.102.
    (ii) If you produce equipment using 2008 through 2011 model year 
engines with some engines certified to Option 1 standards of 
Table 3 of Sec.  1039.102 and some engines certified to Tier 3 standards 
under Option 2 standards of Table 3 of Sec.  1039.102, 
calculate the minimum number of 2012 model year engines you must install 
that are certified to the Option 2 standards of Table 3 of 
Sec.  1039.102 from the following equation:

Minimum number = [(T-O1-F)/(T-F)-0.05] x P

Where:

T = The total number of 2008-2010 model year engines at or above 37 kW 
and below 56 kW that you use in equipment you produce.
O1 = The number of engines from the 2008-2010 model years 
certified under Option 1 of Table 3 of Sec.  1039.102 that you 
use in equipment you produce.
F = The number of 2008-2010 model year engines at or above 37 kW and 
below 56 kW that you use in equipment you produce under the flexibility 
provisions of Sec.  1039.625.
P = The total number of 2012 model year engines at or above 37 kW and 
below 56 kW that you use in equipment you produce.

    (2) As needed for the calculation required by this paragraph (f), 
keep records of all equipment you produce using 2008-2012 model year 
engines at or above 37 kW and below 56 kW. If you fail to keep these 
records, you may not use any 2012 model year engines certified to Option 
1 standards in your equipment.
    (3) If you fail to comply with the provisions of this paragraph (f), 
then using 2012 model year engines certified under Option 1 of 
Table 3 of Sec.  1039.102 (or certified to less stringent standards) in 
such equipment violates the prohibitions in Sec.  1068.101(a)(1).
    (g) Alternate FEL caps. You may certify a limited number of engines 
from your U.S.-directed production volume to the FEL caps in Table 1 of 
this section instead of the otherwise applicable FEL caps in Sec.  
1039.101(d)(1), Sec.  1039.102(e), or Sec.  1039.102(g)(2), subject to 
the following provisions:
    (1) The provisions of this paragraph (g) apply during the model 
years shown in Table 1 of this section. During this period, the number 
of engines certified to the FEL caps in Table 1 of this section must not 
exceed 20 percent in any single model year in each power category. The 
sum of percentages over the four-year period must not exceed a total of 
40 percent in each power category. If you certify an engine under an 
alternate FEL cap in this paragraph (g) for any pollutant, count it 
toward the allowed percentage of engines certified to the alternate FEL 
caps.
    (2) If your engine is not certified to transient emission standards 
under the provisions of Sec.  1039.102(a)(1)(iii), you must adjust your 
FEL upward by a temporary compliance adjustment factor (TCAF) before 
calculating your negative emission credits under Sec.  1039.705, as 
follows:
    (i) The temporary compliance adjustment factor for NOX is 
1.1.
    (ii) The temporary compliance adjustment factor for PM is 1.5.
    (iii) The adjusted FEL (FELadj) for calculating emission 
credits is determined from the steady-state FEL (FELss) using 
the following equation:

FELadj = (FELss) x (TCAF)

    (iv) The unadjusted FEL (FELss) applies for all purposes 
other than credit calculation.
    (3) These alternate FEL caps may not be used for phase-in engines.
    (4) Do not apply TCAFs to gaseous emissions for phase-out engines 
that

[[Page 568]]

you certify to the same numerical standards (and FELs if the engines are 
certified using ABT) for gaseous pollutants as you certified under the 
Tier 3 requirements of 40 CFR part 89.

                                 Table 1 of Sec.   1039.104.--Alternate FEL Caps
----------------------------------------------------------------------------------------------------------------
                                                                    Model years                     Model years
                                                  PM FEL cap, g/      for the     NOX FEL cap, g/     for the
              Maximum engine power                     kW-hr       alternate PM        kW-hr       alternate NOX
                                                                      FEL cap                         FEL cap
----------------------------------------------------------------------------------------------------------------
19 <= kW < 56...................................            0.30   \1\ 2012-2015  ..............  ..............
56 <= kW < 130 \2\..............................            0.30       2012-2015             3.8   \3\ 2012-2015
130 <= kW <= 560................................            0.20       2011-2014             3.8   \4\ 2011-2014
kW  560 \5\..........................            0.10       2015-2018             3.5       2015-2018
----------------------------------------------------------------------------------------------------------------
\1\ For manufacturers certifying engines under Option 1 of Table 3 of Sec.   1039.102, these alternate
  FEL caps apply to all 19-56 kW engines for model years from 2013 through 2016 instead of in the years
  indicated in this table. For manufacturers certifying engines under Option 2 of Table 3 of Sec.
  1039.102, these alternate FEL caps do not apply to 19-37 kW engines except in model years 2013 to 2015.
\2\ For engines below 75 kW, the FEL caps are 0.40 g/kW-hr for PM emissions and 4.4 g/kW-hr for NOX emissions.
\3\ For manufacturers certifying engines in this power category using a percentage phase-in/phase-out approach
  instead of the alternate NOX standards of Sec.   1039.102(e)(1), the alternate NOX FEL cap in the table
  applies only in the 2014-2015 model years if certifying under Sec.   1039.102(d)(1), and only in the 2015
  model year if certifying under (1039.102(d)(2).
\4\ For manufacturers certifying engines in this power category using the percentage phase-in/phase-out approach
  instead of the alternate NOX standard of Sec.   1039.102(e)(2), the alternate NOX FEL cap in the table applies
  only for the 2014 model year.
\5\ For engines above 560 kW, the provision for alternate NOX FEL caps is limited to generator-set engines. For
  example, if you produce 1,000 generator-set engines above 560 kW in 2015, up to 200 of them may be certified
  to the alternate NOX FEL caps.


[69 FR 39213, June 29, 2004, as amended at 70 FR 40462, July 13, 2005; 
72 FR 53130, Sept. 18, 2007]



Sec.  1039.105  What smoke standards must my engines meet?

    (a) The smoke standards in this section apply to all engines subject 
to emission standards under this part, except for the following engines:
    (1) Single-cylinder engines.
    (2) Constant-speed engines.
    (3) Engines certified to a PM emission standard or FEL of 0.07 g/kW-
hr or lower.
    (b) Measure smoke as specified in Sec.  1039.501(c). Smoke from your 
engines may not exceed the following standards:
    (1) 20 percent during the acceleration mode.
    (2) 15 percent during the lugging mode.
    (3) 50 percent during the peaks in either the acceleration or 
lugging modes.



Sec.  1039.107  What evaporative emission standards and requirements apply?

    There are no evaporative emission standards for diesel-fueled 
engines, or engines using other nonvolatile or nonliquid fuels (for 
example, natural gas). If your engine uses a volatile liquid fuel, such 
as methanol, you must meet the evaporative emission requirements of 40 
CFR part 1048 that apply to spark-ignition engines, as follows:
    (a) Follow the steps in 40 CFR 1048.245 to show that you meet the 
requirements of 40 CFR 1048.105.
    (b) Do the following things in your application for certification:
    (1) Describe how your engines control evaporative emissions.
    (2) Present test data to show that equipment using your engines 
meets the evaporative emission standards we specify in this section if 
you do not use design-based certification under 40 CFR 1048.245. Show 
these figures before and after applying deterioration factors, where 
applicable.



Sec.  1039.110  [Reserved]



Sec.  1039.115  What other requirements apply?

    Engines that are required to meet the emission standards of this 
part must meet the following requirements, except as noted elsewhere in 
this part:
    (a) Crankcase emissions. Crankcase emissions may not be discharged 
directly into the ambient atmosphere from any engine throughout its 
useful life, except as follows:
    (1) Engines may discharge crankcase emissions to the ambient 
atmosphere if the emissions are added to the exhaust emissions (either 
physically or mathematically) during all emission testing.
    (2) If you take advantage of this exception, you must do the 
following things:

[[Page 569]]

    (i) Manufacture the engines so that all crankcase emissions can be 
routed into the applicable sampling systems specified in 40 CFR part 
1065.
    (ii) Account for deterioration in crankcase emissions when 
determining exhaust deterioration factors.
    (3) For purposes of this paragraph (a), crankcase emissions that are 
routed to the exhaust upstream of exhaust aftertreatment during all 
operation are not considered to be discharged directly into the ambient 
atmosphere.
    (b)-(d) [Reserved]
    (e) Adjustable parameters. Engines that have adjustable parameters 
must meet all the requirements of this part for any adjustment in the 
physically adjustable range. An operating parameter is not considered 
adjustable if you permanently seal it or if it is not normally 
accessible using ordinary tools. We may require that you set adjustable 
parameters to any specification within the adjustable range during any 
testing, including certification testing, selective enforcement 
auditing, or in-use testing.
    (f) Prohibited controls. You may not design your engines with 
emission-control devices, systems, or elements of design that cause or 
contribute to an unreasonable risk to public health, welfare, or safety 
while operating. For example, this would apply if the engine emits a 
noxious or toxic substance it would otherwise not emit that contributes 
to such an unreasonable risk.
    (g) Defeat devices. You may not equip your engines with a defeat 
device. A defeat device is an auxiliary emission-control device that 
reduces the effectiveness of emission controls under conditions that the 
engine may reasonably be expected to encounter during normal operation 
and use. This does not apply to auxiliary-emission control devices you 
identify in your certification application if any of the following is 
true:
    (1) The conditions of concern were substantially included in the 
applicable test procedures described in subpart F of this part.
    (2) You show your design is necessary to prevent engine (or 
equipment) damage or accidents.
    (3) The reduced effectiveness applies only to starting the engine.

[69 FR 39213, June 29, 2004, as amended at 72 FR 53130, Sept. 18, 2007]



Sec.  1039.120  What emission-related warranty requirements apply to me?

    (a) General requirements. You must warrant to the ultimate purchaser 
and each subsequent purchaser that the new nonroad engine, including all 
parts of its emission-control system, meets two conditions:
    (1) It is designed, built, and equipped so it conforms at the time 
of sale to the ultimate purchaser with the requirements of this part.
    (2) It is free from defects in materials and workmanship that may 
keep it from meeting these requirements.
    (b) Warranty period. Your emission-related warranty must be valid 
for at least as long as the minimum warranty periods listed in this 
paragraph (b) in hours of operation and years, whichever comes first. 
You may offer an emission-related warranty more generous than we 
require. The emission-related warranty for the engine may not be shorter 
than any published warranty you offer without charge for the engine. 
Similarly, the emission-related warranty for any component may not be 
shorter than any published warranty you offer without charge for that 
component. If an engine has no hour meter, we base the warranty periods 
in this paragraph (b) only on the engine's age (in years). The warranty 
period begins when the engine is placed into service. The minimum 
warranty periods are shown in the following table:

----------------------------------------------------------------------------------------------------------------
                                        And its maximum power    And its rated speed is     Then its warranty
 If your engine is certified as . . .          is . . .                  . . .               period is . . .
----------------------------------------------------------------------------------------------------------------
Variable speed or constant speed.....  kW < 19................  Any speed..............  1,500 hours or two
                                                                                          years, whichever comes
                                                                                          first.
Constant speed.......................  19 <= kW < 37..........  3,000 rpm or higher....  1,500 hours or two
                                                                                          years, whichever comes
                                                                                          first.
Constant speed.......................  19 <= kW < 37..........  Less than 3,000 rpm....  3,000 hours or five
                                                                                          years, whichever comes
                                                                                          first.
Variable speed.......................  19 <= kW < 37..........  Any speed..............  3,000 hours or five
                                                                                          years, whichever comes
                                                                                          first.

[[Page 570]]

 
Variable speed or constant speed.....  kW = 37.....  Any speed..............  3,000 hours or five
                                                                                          years, whichever comes
                                                                                          first.
----------------------------------------------------------------------------------------------------------------

    (c) Components covered. The emission-related warranty covers all 
components whose failure would increase an engine's emissions of any 
pollutant. This includes components listed in 40 CFR part 1068, Appendix 
I, and components from any other system you develop to control 
emissions. The emission-related warranty covers these components even if 
another company produces the component. Your emission-related warranty 
does not cover components whose failure would not increase an engine's 
emissions of any pollutant.
    (d) Limited applicability. You may deny warranty claims under this 
section if the operator caused the problem through improper maintenance 
or use, as described in 40 CFR 1068.115.
    (e) Owners manual. Describe in the owners manual the emission-
related warranty provisions from this section that apply to the engine.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005]



Sec.  1039.125  What maintenance instructions must I give to buyers?

    Give the ultimate purchaser of each new nonroad engine written 
instructions for properly maintaining and using the engine, including 
the emission-control system. The maintenance instructions also apply to 
service accumulation on your emission-data engines, as described in 
Sec.  1039.245 and in 40 CFR part 1065.
    (a) Critical emission-related maintenance. Critical emission-related 
maintenance includes any adjustment, cleaning, repair, or replacement of 
critical emission-related components. This may also include additional 
emission-related maintenance that you determine is critical if we 
approve it in advance. You may schedule critical emission-related 
maintenance on these components if you meet the following conditions:
    (1) You demonstrate that the maintenance is reasonably likely to be 
done at the recommended intervals on in-use engines. We will accept 
scheduled maintenance as reasonably likely to occur if you satisfy any 
of the following conditions:
    (i) You present data showing that, if a lack of maintenance 
increases emissions, it also unacceptably degrades the engine's 
performance.
    (ii) You present survey data showing that at least 80 percent of 
engines in the field get the maintenance you specify at the recommended 
intervals.
    (iii) You provide the maintenance free of charge and clearly say so 
in maintenance instructions for the customer.
    (iv) You otherwise show us that the maintenance is reasonably likely 
to be done at the recommended intervals.
    (2) For engines below 130 kW, you may not schedule critical 
emission-related maintenance more frequently than the following minimum 
intervals, except as specified in paragraphs (a)(4), (b), and (c) of 
this section:
    (i) For EGR-related filters and coolers, PCV valves, and fuel 
injector tips (cleaning only), the minimum interval is 1,500 hours.
    (ii) For the following components, including associated sensors and 
actuators, the minimum interval is 3000 hours: fuel injectors, 
turbochargers, catalytic converters, electronic control units, 
particulate traps, trap oxidizers, components related to particulate 
traps and trap oxidizers, EGR systems (including related components, but 
excluding filters and coolers), and other add-on components. For 
particulate traps, trap oxidizers, and components related to either of 
these, maintenance is limited to cleaning and repair only.
    (3) For engines at or above 130 kW, you may not schedule critical 
emission-related maintenance more frequently than the following minimum 
intervals, except as specified in paragraphs (a)(4), (b), and (c) of 
this section:
    (i) For EGR-related filters and coolers, PCV valves, and fuel 
injector tips

[[Page 571]]

(cleaning only), the minimum interval is 1,500 hours.
    (ii) For the following components, including associated sensors and 
actuators, the minimum interval is 4500 hours: fuel injectors, 
turbochargers, catalytic converters, electronic control units, 
particulate traps, trap oxidizers, components related to particulate 
traps and trap oxidizers, EGR systems (including related components, but 
excluding filters and coolers), and other add-on components. For 
particulate traps, trap oxidizers, and components related to either of 
these, maintenance is limited to cleaning and repair only.
    (4) If your engine family has an alternate useful life under Sec.  
1039.101(g) that is shorter than the period specified in paragraph 
(a)(2) or (a)(3) of this section, you may not schedule critical 
emission-related maintenance more frequently than the alternate useful 
life, except as specified in paragraph (c) of this section.
    (b) Recommended additional maintenance. You may recommend any 
additional amount of maintenance on the components listed in paragraph 
(a) of this section, as long as you state clearly that these maintenance 
steps are not necessary to keep the emission-related warranty valid. If 
operators do the maintenance specified in paragraph (a) of this section, 
but not the recommended additional maintenance, this does not allow you 
to disqualify those engines from in-use testing or deny a warranty 
claim. Do not take these maintenance steps during service accumulation 
on your emission-data engines.
    (c) Special maintenance. You may specify more frequent maintenance 
to address problems related to special situations, such as atypical 
engine operation. You must clearly state that this additional 
maintenance is associated with the special situation you are addressing.
    (d) Noncritical emission-related maintenance. You may schedule any 
amount of emission-related inspection or maintenance that is not covered 
by paragraph (a) of this section, as long as you state in the owners 
manual that these steps are not necessary to keep the emission-related 
warranty valid. If operators fail to do this maintenance, this does not 
allow you to disqualify those engines from in-use testing or deny a 
warranty claim. Do not take these inspection or maintenance steps during 
service accumulation on your emission-data engines.
    (e) Maintenance that is not emission-related. For maintenance 
unrelated to emission controls, you may schedule any amount of 
inspection or maintenance. You may also take these inspection or 
maintenance steps during service accumulation on your emission-data 
engines, as long as they are reasonable and technologically necessary. 
This might include adding engine oil, changing air, fuel, or oil 
filters, servicing engine-cooling systems, and adjusting idle speed, 
governor, engine bolt torque, valve lash, or injector lash. You may 
perform this nonemission-related maintenance on emission-data engines at 
the least frequent intervals that you recommend to the ultimate 
purchaser (but not the intervals recommended for severe service).
    (f) Source of parts and repairs. State clearly on the first page of 
your written maintenance instructions that a repair shop or person of 
the owner's choosing may maintain, replace, or repair emission-control 
devices and systems. Your instructions may not require components or 
service identified by brand, trade, or corporate name. Also, do not 
directly or indirectly condition your warranty on a requirement that the 
engine be serviced by your franchised dealers or any other service 
establishments with which you have a commercial relationship. You may 
disregard the requirements in this paragraph (f) if you do one of two 
things:
    (1) Provide a component or service without charge under the purchase 
agreement.
    (2) Get us to waive this prohibition in the public's interest by 
convincing us the engine will work properly only with the identified 
component or service.
    (g) Payment for scheduled maintenance. Owners are responsible for 
properly maintaining their engines. This generally includes paying for 
scheduled maintenance. However, manufacturers must pay for scheduled 
maintenance during the useful life if it meets all the following 
criteria:

[[Page 572]]

    (1) Each affected component was not in general use on similar 
engines before the applicable dates shown in paragraph (6) of the 
definition of new nonroad engine in Sec.  1039.801.
    (2) The primary function of each affected component is to reduce 
emissions.
    (3) The cost of the scheduled maintenance is more than 2 percent of 
the price of the engine.
    (4) Failure to perform the maintenance would not cause clear 
problems that would significantly degrade the engine's performance.
    (h) Owners manual. Explain the owner's responsibility for proper 
maintenance in the owners manual.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005; 
72 FR 53130, Sept. 18, 2007]



Sec.  1039.130  What installation instructions must I give to equipment manufacturers?

    (a) If you sell an engine for someone else to install in a piece of 
nonroad equipment, give the engine installer instructions for installing 
it consistent with the requirements of this part. Include all 
information necessary to ensure that an engine will be installed in its 
certified configuration.
    (b) Make sure these instructions have the following information:
    (1) Include the heading: ``Emission-related installation 
instructions''.
    (2) State: ``Failing to follow these instructions when installing a 
certified engine in a piece of nonroad equipment violates federal law 
(40 CFR 1068.105(b)), subject to fines or other penalties as described 
in the Clean Air Act.''.
    (3) Describe the instructions needed to properly install the exhaust 
system and any other components. Include instructions consistent with 
the requirements of Sec.  1039.205(u).
    (4) [Reserved]
    (5) Describe any limits on the range of applications needed to 
ensure that the engine operates consistently with your application for 
certification. For example, if your engines are certified only for 
constant-speed operation, tell equipment manufacturers not to install 
the engines in variable-speed applications.
    (6) Describe any other instructions to make sure the installed 
engine will operate according to design specifications in your 
application for certification. This may include, for example, 
instructions for installing aftertreatment devices when installing the 
engines.
    (7) State: ``If you install the engine in a way that makes the 
engine's emission control information label hard to read during normal 
engine maintenance, you must place a duplicate label on the equipment, 
as described in 40 CFR 1068.105.''.
    (8) Describe equipment-labeling requirements consistent with Sec.  
1039.135. State whether you are providing the label for the fuel inlet 
or the equipment manufacturer must provide the label.
    (c) You do not need installation instructions for engines you 
install in your own equipment.
    (d) Provide instructions in writing or in an equivalent format. For 
example, you may post instructions on a publicly available website for 
downloading or printing. If you do not provide the instructions in 
writing, explain in your application for certification how you will 
ensure that each installer is informed of the installation requirements.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005]



Sec.  1039.135  How must I label and identify the engines I produce?

    (a) Assign each engine a unique identification number and 
permanently affix, engrave, or stamp it on the engine in a legible way.
    (b) At the time of manufacture, affix a permanent and legible label 
identifying each engine. The label must be--
    (1) Attached in one piece so it is not removable without being 
destroyed or defaced. However, you may use two-piece labels for engines 
below 19 kW if there is not enough space on the engine to apply a one-
piece label.
    (2) Secured to a part of the engine needed for normal operation and 
not normally requiring replacement.
    (3) Durable and readable for the engine's entire life.
    (4) Written in English.
    (c) The label must--

[[Page 573]]

    (1) Include the heading ``EMISSION CONTROL INFORMATION''.
    (2) Include your full corporate name and trademark. You may identify 
another company and use its trademark instead of yours if you comply 
with the provisions of Sec.  1039.640.
    (3) Include EPA's standardized designation for the engine family 
(and subfamily, where applicable).
    (4) State the power category or subcategory from Sec.  1039.101 or 
Sec.  1039.102 that determines the applicable emission standards for the 
engine family.
    (5) State the engine's displacement (in liters); however, you may 
omit this from the label if all the engines in the engine family have 
the same per-cylinder displacement and total displacement.
    (6) State the date of manufacture [MONTH and YEAR]. You may omit 
this from the label if you keep a record of the engine-manufacture dates 
and provide it to us upon request.
    (7) State the FELs to which the engines are certified if 
certification depends on the ABT provisions of subpart H of this part.
    (8) Identify the emission-control system. Use terms and 
abbreviations consistent with SAE J1930 (incorporated by reference in 
Sec.  1039.810). You may omit this information from the label if there 
is not enough room for it and you put it in the owners manual instead.
    (9) For diesel-fueled engines, unless otherwise specified in Sec.  
1039.104(e)(2), state: ``ULTRA LOW SULFUR FUEL ONLY'.
    (10) Identify any additional requirements for fuel and lubricants 
that do not involve fuel-sulfur levels. You may omit this information 
from the label if there is not enough room for it and you put it in the 
owners manual instead.
    (11) State the useful life for your engine family if we approve a 
shortened useful life under Sec.  1039.101(g)(2).
    (12) State: ``THIS ENGINE COMPLIES WITH U.S. EPA REGULATIONS FOR 
[MODEL YEAR] NONROAD DIESEL ENGINES.''.
    (13) For engines above 560 kW, include the following things:
    (i) For engines certified to the emission standards for generator-
set engines, add the phrase ``FOR GENERATOR SETS AND OTHER 
APPLICATIONS''.
    (ii) For all other engines, add the phrase ``NOT FOR USE IN A 
GENERATOR SET''.
    (14) If your engines are certified only for constant-speed 
operation, state ``USE IN CONSTANT-SPEED APPLICATIONS ONLY''.
    (d) You may add information to the emission control information 
label to identify other emission standards that the engine meets or does 
not meet (such as European standards). You may also add other 
information to ensure that the engine will be properly maintained and 
used.
    (e) Except as specified in Sec.  1039.104(e)(2), create a separate 
label with the statement: ``ULTRA LOW SULFUR FUEL ONLY''. Permanently 
attach this label to the equipment near the fuel inlet or, if you do not 
manufacture the equipment, take one of the following steps to ensure 
that the equipment will be properly labeled:
    (1) Provide the label to the equipment manufacturer and include the 
appropriate information in the emission-related installation 
instructions.
    (2) Confirm that the equipment manufacturers install their own 
complying labels.
    (f) You may ask us to approve modified labeling requirements in this 
part 1039 if you show that it is necessary or appropriate. We will 
approve your request if your alternate label is consistent with the 
requirements of this part.
    (g) If you obscure the engine label while installing the engine in 
the equipment such that the label cannot be read during normal 
maintenance, you must place a duplicate label on the equipment. If 
others install your engine in their equipment in a way that obscures the 
engine label, we require them to add a duplicate label on the equipment 
(see 40 CFR 1068.105); in that case, give them the number of duplicate 
labels they request and keep the following records for at least five 
years:
    (1) Written documentation of the request from the equipment 
manufacturer.

[[Page 574]]

    (2) The number of duplicate labels you send for each engine family 
and the date you sent them.

[69 FR 39213, June 29, 2004, as amended at 72 FR 53130, Sept. 18, 2007]



Sec.  1039.140  What is my engine's maximum engine power?

    (a) An engine configuration's maximum engine power is the maximum 
brake power point on the nominal power curve for the engine 
configuration, as defined in this section. Round the power value to the 
nearest whole kilowatt.
    (b) The nominal power curve of an engine configuration is the 
relationship between maximum available engine brake power and engine 
speed for an engine, using the mapping procedures of 40 CFR part 1065, 
based on the manufacturer's design and production specifications for the 
engine. This information may also be expressed by a torque curve that 
relates maximum available engine torque with engine speed.
    (c) The nominal power curve must be within the range of the actual 
power curves of production engines considering normal production 
variability. If after production begins it is determined that your 
nominal power curve does not represent production engines, we may 
require you to amend your application for certification under Sec.  
1039.225.
    (d) Throughout this part, references to a specific power value or a 
range of power values for an engine are based on maximum engine power. 
For example, the group of engines with maximum engine power above 560 kW 
may be referred to as engines above 560 kW.



                  Subpart C_Certifying Engine Families



Sec.  1039.201  What are the general requirements for obtaining a certificate of conformity?

    (a) You must send us a separate application for a certificate of 
conformity for each engine family. A certificate of conformity is valid 
from the indicated effective date until December 31 of the model year 
for which it is issued.
    (b) The application must contain all the information required by 
this part and must not include false or incomplete statements or 
information (see Sec.  1039.255).
    (c) We may ask you to include less information than we specify in 
this subpart, as long as you maintain all the information required by 
Sec.  1039.250.
    (d) You must use good engineering judgment for all decisions related 
to your application (see 40 CFR 1068.5).
    (e) An authorized representative of your company must approve and 
sign the application.
    (f) See Sec.  1039.255 for provisions describing how we will process 
your application.
    (g) We may require you to deliver your test engines to a facility we 
designate for our testing (see Sec.  1039.235(c)).



Sec.  1039.205  What must I include in my application?

    This section specifies the information that must be in your 
application, unless we ask you to include less information under Sec.  
1039.201(c). We may require you to provide additional information to 
evaluate your application.
    (a) Describe the engine family's specifications and other basic 
parameters of the engine's design and emission controls. List the fuel 
type on which your engines are designed to operate (for example, ultra 
low-sulfur diesel fuel). List each distinguishable engine configuration 
in the engine family. For each engine configuration, list the maximum 
engine power and the range of values for maximum engine power resulting 
from production tolerances, as described in Sec.  1039.140.
    (b) Explain how the emission-control system operates. Describe in 
detail all system components for controlling exhaust 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.

[[Page 575]]

    (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 equipment-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 equipment:
    (i) Identify the engine and/or equipment 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/or 
equipment 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) [Reserved]
    (d) Describe the engines you selected for testing and the reasons 
for selecting them.
    (e) Describe the test equipment and procedures that you used, 
including any special or alternate test procedures you used (see Sec.  
1039.501).
    (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 maintenance instructions you will give to the 
ultimate purchaser of each new nonroad engine (see Sec.  1039.125).
    (j) Include the emission-related installation instructions you will 
provide if someone else installs your engines in a piece of nonroad 
equipment (see Sec.  1039.130).
    (k) Describe your emission control information label (see Sec.  
1039.135).
    (l) Identify the emission standards or FELs to which you are 
certifying engines in the engine family. Identify the ambient operating 
regions that will apply for NTE testing under Sec.  1039.101(e)(4).
    (m) Identify the engine family's deterioration factors and describe 
how you developed them (see Sec.  1039.245). Present

[[Page 576]]

any emission test data you used for this.
    (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 for hydrocarbons (such as NMHC or THCE, as 
applicable), NOX, PM, and CO on an emission-data engine to 
show your engines meet the applicable duty-cycle emission standards we 
specify in Sec.  1039.101. Show emission figures before and after 
applying adjustment factors for regeneration and deterioration factors 
for each engine. Include emission results for each mode if you do 
discrete-mode testing under Sec.  1039.505. Present emission data to 
show that you meet any applicable smoke standards we specify in Sec.  
1039.105. If we specify more than one grade of any fuel type (for 
example, high-sulfur and low-sulfur diesel fuel), you need to submit 
test data only for one grade, unless the regulations of this part 
specify otherwise for your engine. Note that Sec.  1039.235 allows you 
to submit an application in certain cases without new emission data.
    (p) State that all the engines in the engine family comply with the 
not-to-exceed emission standards we specify in subpart B of this part 
for all normal operation and use when tested as specified in Sec.  
1039.515. Describe any relevant testing, engineering analysis, or other 
information in sufficient detail to support your statement.
    (q) For engines above 560 kW, include information showing how your 
emission controls will function during normal in-use transient 
operation. For example, this might include the following:
    (1) Emission data from transient testing of engines using 
measurement systems designed for measuring in-use emissions.
    (2) Comparison of the engine design for controlling transient 
emissions with that from engines for which you have emission data over 
the transient duty cycle for certification.
    (3) Detailed descriptions of control algorithms and other design 
parameters for controlling transient emissions.
    (r) Report all test results, including those from invalid tests or 
from any other tests, whether or not they were conducted according to 
the test procedures of subpart F of this part. If you measure 
CO2, report those emission levels. We may ask you to send 
other information to confirm that your tests were valid under the 
requirements of this part and 40 CFR part 1065.
    (s) Describe all adjustable operating parameters (see Sec.  
1039.115(e)), including production tolerances. Include the following in 
your description of each parameter:
    (1) The nominal or recommended setting.
    (2) The intended physically adjustable range.
    (3) The limits or stops used to establish adjustable ranges.
    (4) Information showing why 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 
physically adjustable ranges.
    (t) Provide the information to read, record, and interpret all the 
information broadcast by an engine's onboard computers and electronic 
control units. State that, upon request, you will give us any hardware, 
software, or tools we would need to do this. If you broadcast a 
surrogate parameter for torque values, you must provide us what we need 
to convert these into torque units. You may reference any appropriate 
publicly released standards that define conventions for these messages 
and parameters. Format your information consistent with publicly 
released standards.
    (u) Confirm that your emission-related installation instructions 
specify how to ensure that sampling of exhaust emissions will be 
possible after engines are installed in equipment and placed in service. 
If this cannot be done by simply adding a 20-centimeter extension to the 
exhaust pipe, show how to sample exhaust emissions in a way that 
prevents diluting the exhaust sample with ambient air.
    (v) State whether your certification is intended to include engines 
used in stationary applications. State whether

[[Page 577]]

your certification is limited for certain engines. If this is the case, 
describe how you will prevent use of these engines in applications for 
which they are not certified. This applies for engines such as the 
following:
    (1) Constant-speed engines.
    (2) Engines used for transportation refrigeration units that you 
certify under the provisions of Sec.  1039.645.
    (3) Hand-startable engines certified under the provisions of Sec.  
1039.101(c).
    (4) Engines above 560 KW that are not certified to emission 
standards for generator-set engines.
    (w) 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.
    (x) Include good-faith estimates of 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.
    (y) Include the information required by other subparts of this part. 
For example, include the information required by Sec.  1039.725 if you 
participate in the ABT program.
    (z) Include other applicable information, such as information 
specified in this part or 40 CFR part 1068 related to requests for 
exemptions.
    (aa) 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.

[69 FR 39213, June 29, 2004, as amended at 71 FR 39185, July 11, 2006; 
72 FR 53131, Sept. 18, 2007]



Sec.  1039.210  May I get preliminary approval before I complete my application?

    If you send us information before you finish the application, we 
will review it and make any appropriate determinations, especially for 
questions related to engine family definitions, auxiliary emission-
control devices, deterioration factors, testing for service 
accumulation, maintenance, and NTE deficiencies and carve-outs. 
Decisions made under this section are considered to be preliminary 
approval, subject to final review and approval. We will generally not 
reverse a decision where we have given you preliminary approval, unless 
we find new information supporting a different decision. If you request 
preliminary approval related to the upcoming model year or the model 
year after that, we will make best-efforts to make the appropriate 
determinations as soon as practicable. We will generally not provide 
preliminary approval related to a future model year more than two years 
ahead of time.

[72 FR 53131, Sept. 18, 2007]



Sec.  1039.220  How do I amend the maintenance instructions in my application?

    You may amend your emission-related maintenance instructions after 
you submit your application for certification, as long as the amended 
instructions remain consistent with the provisions of Sec.  1039.125. 
You must send the Designated Compliance Officer a request to amend your 
application for certification for an engine family if you want to change 
the emission-related maintenance instructions in a way that could affect 
emissions. In your request, describe the proposed changes to the 
maintenance instructions. We will disapprove your request if we 
determine that the amended instructions are inconsistent with 
maintenance you performed on emission-data engines.
    (a) If you are decreasing the specified maintenance, you may 
distribute the new maintenance instructions to your customers 30 days 
after we receive your request, unless we disapprove your request. We may 
approve a shorter time or waive this requirement.
    (b) If your requested change would not decrease the specified 
maintenance, you may distribute the new maintenance instructions anytime 
after you send your request. For example, this paragraph (b) would cover 
adding instructions to increase the frequency of a maintenance step for 
engines in severe-duty applications.
    (c) You need not request approval if you are making only minor 
corrections

[[Page 578]]

(such as correcting typographical mistakes), clarifying your maintenance 
instructions, or changing instructions for maintenance unrelated to 
emission control.



Sec.  1039.225  How do I amend my application for certification to include new or modified engines or to change an FEL?

    Before we issue you a certificate of conformity, you may amend your 
application to include new or modified engine configurations, subject to 
the provisions of this section. After we have issued your certificate of 
conformity, you may send us an amended application requesting that we 
include new or modified engine configurations within the scope of the 
certificate, subject to the provisions of this section. You must amend 
your application if any changes occur with respect to any information 
included in your application.
    (a) You must amend your application before you take any of the 
following actions:
    (1) Add an engine configuration to an engine family. In this case, 
the engine configuration added must be consistent with other engine 
configurations in the engine family with respect to the criteria listed 
in Sec.  1039.230.
    (2) Change an engine configuration already included in an engine 
family in a way that may affect emissions, or change any of the 
components you described in your application for certification. This 
includes production and design changes that may affect emissions any 
time during the engine's lifetime.
    (3) Modify an FEL for an engine family as described in paragraph (f) 
of this section.
    (b) To amend your application for certification, send the Designated 
Compliance Officer the following information:
    (1) Describe in detail the addition or change in the engine model or 
configuration you intend to make.
    (2) Include engineering evaluations or data showing that the amended 
engine family complies with all applicable requirements. You may do this 
by showing that the original emission-data engine is still appropriate 
with respect to showing compliance of the amended family with all 
applicable requirements.
    (3) If the original emission-data engine for the engine family is 
not appropriate to show compliance for the new or modified engine 
configuration, include new test data showing that the new or modified 
engine configuration meets the requirements of this part.
    (c) We may ask for more test data or engineering evaluations. You 
must give us these within 30 days after we request them.
    (d) For engine families already covered by a certificate of 
conformity, we will determine whether the existing certificate of 
conformity covers your newly added or modified engine. You may ask for a 
hearing if we deny your request (see Sec.  1039.820).
    (e) For engine families already covered by a certificate of 
conformity, you may start producing the new or modified engine 
configuration anytime after you send us your amended application and 
before we make a decision under paragraph (d) of this section. However, 
if we determine that the affected engines do not meet applicable 
requirements, we will notify you to cease production of the engines and 
may require you to recall the engines at no expense to the owner. 
Choosing to produce engines under this paragraph (e) is deemed to be 
consent to recall all engines that we determine do not meet applicable 
emission standards or other requirements and to remedy the nonconformity 
at no expense to the owner. If you do not provide information required 
under paragraph (c) of this section within 30 days, you must stop 
producing the new or modified engines.
    (f) You may ask to change your FEL in the following cases:
    (1) You may ask to raise your FEL after the start of production. You 
may not apply the higher FEL to engines you have already introduced into 
commerce. Use the appropriate FELs with corresponding sales volumes to 
calculate your average emission level, as described in subpart H of this 
part. In your request, you must demonstrate that you will still be able 
to comply with the applicable average emission standards as specified in 
subparts B and H of this part.

[[Page 579]]

    (2) You may ask to lower the FEL for your engine family after the 
start of production only when you have test data from production engines 
indicating that your engines comply with the lower FEL. You may create a 
separate subfamily with the lower FEL. Otherwise, you must use the 
higher FEL for the family to calculate your average emission level under 
subpart H of this part.
    (3) If you change the FEL during production, you must include the 
new FEL on the emission control information label for all engines 
produced after the change.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005; 
72 FR 53131, Sept. 18, 2007]



Sec.  1039.230  How do I select engine families?

    (a) For purposes of certification, divide your product line into 
families of engines that are expected to have similar emission 
characteristics throughout the useful life as described in this section. 
Your engine family is limited to a single model year.
    (b) Group engines in the same engine family if they are the same in 
all the following aspects:
    (1) The combustion cycle and fuel.
    (2) The cooling system (water-cooled vs. air-cooled).
    (3) Method of air aspiration.
    (4) Method of exhaust aftertreatment (for example, catalytic 
converter or particulate trap).
    (5) Combustion chamber design.
    (6) Bore and stroke.
    (7) Number of cylinders (for engines with aftertreatment devices 
only).
    (8) Cylinder arrangement (for engines with aftertreatment devices 
only).
    (9) Method of control for engine operation other than governing 
(i.e., mechanical or electronic).
    (10) Power category.
    (11) Numerical level of the emission standards that apply to the 
engine.
    (c) You may subdivide a group of engines that is identical under 
paragraph (b) of this section into different engine families if you show 
the expected emission characteristics are different during the useful 
life.
    (d) You may group engines that are not identical with respect to the 
things listed in paragraph (b) of this section in the same engine family 
if you show that their emission characteristics during the useful life 
will be similar.
    (e) If you combine engines from different power categories into a 
single engine family under paragraph (d) of this section, you must 
certify the engine family to the more stringent set of standards from 
the two power categories in that model year.

[69 FR 39213, June 29, 2004, as amended at 72 FR 53131, Sept. 18, 2007]



Sec.  1039.235  What emission testing must I perform for my application for a certificate of conformity?

    This section describes the emission testing you must perform to show 
compliance with the emission standards in Sec.  1039.101(a) and (b) or 
Sec.  1039.102(a) and (b). See Sec.  1039.205(p) regarding emission 
testing related to the NTE standards. See Sec.  1039.240, Sec.  
1039.245, and 40 CFR part 1065, subpart E, regarding service 
accumulation before emission testing.
    (a) Test your emission-data engines using the procedures and 
equipment specified in subpart F of this part.
    (b) Select an emission-data engine from each engine family for 
testing. Select the engine configuration with the highest volume of fuel 
injected per cylinder per combustion cycle at the point of maximum 
torque--unless good engineering judgment indicates that a different 
engine configuration is more likely to exceed (or have emissions nearer 
to) an applicable emission standard or FEL. If two or more engines have 
the same fueling rate at maximum torque, select the one with the highest 
fueling rate at rated speed. In making this selection, consider all 
factors expected to affect emission-control performance and compliance 
with the standards, including emission levels of all exhaust 
constituents, especially NOX and PM.
    (c) We may measure emissions from any of your test engines or other 
engines from the engine family, as follows:
    (1) We may decide to do the testing at your plant or any other 
facility. If we do this, you must deliver the test engine to a test 
facility we designate. The test engine you provide must include 
appropriate manifolds,

[[Page 580]]

aftertreatment devices, electronic control units, and other emission-
related components not normally attached directly to the engine block. 
If we do the testing at your plant, you must schedule it as soon as 
possible and make available the instruments, personnel, and equipment we 
need.
    (2) If we measure emissions on one of your test engines, the results 
of that testing become the official emission results for the engine. 
Unless we later invalidate these data, we may decide not to consider 
your data in determining if your engine family meets applicable 
requirements.
    (3) Before we test one of your engines, we may set its adjustable 
parameters to any point within the physically adjustable ranges (see 
Sec.  1039.115(e)).
    (4) Before we test one of your engines, we may calibrate it within 
normal production tolerances for anything we do not consider an 
adjustable parameter.
    (d) You may ask to use emission data from a previous model year 
instead of doing new tests, but only if all the following are true:
    (1) The engine family from the previous model year differs from the 
current engine family only with respect to model year or other 
characteristics unrelated to emissions.
    (2) The emission-data engine from the previous model year remains 
the appropriate emission-data engine under paragraph (b) of this 
section.
    (3) The data show that the emission-data engine would meet all the 
requirements that apply to the engine family covered by the application 
for certification.
    (e) We may require you to test a second engine of the same or 
different configuration in addition to the engine tested under paragraph 
(b) of this section.
    (f) If you use an alternate test procedure under 40 CFR 1065.10 and 
later testing shows that such testing does not produce results that are 
equivalent to the procedures specified in subpart F of this part, we may 
reject data you generated using the alternate procedure.

[69 FR 39213, June 29, 2004, as amended at 72 FR 53131, Sept. 18, 2007]



Sec.  1039.240  How do I demonstrate that my engine family complies with exhaust emission standards?

    (a) For purposes of certification, your engine family is considered 
in compliance with the applicable numerical emission standards in Sec.  
1039.101(a) and (b), Sec.  1039.102(a) and (b), Sec.  1039.104, and 
Sec.  1039.105 if all emission-data engines representing that family 
have test results showing deteriorated emission levels at or below these 
standards. (Note: if you participate in the ABT program in subpart H of 
this part, your FELs are considered to be the applicable emission 
standards with which you must comply.)
    (b) Your engine family is deemed not to comply if any emission-data 
engine representing that family has test results showing a deteriorated 
emission level above an applicable FEL or emission standard from Sec.  
1039.101, Sec.  1039.102, Sec.  1039.104, or Sec.  1039.105 for any 
pollutant.
    (c) To compare emission levels from the emission-data engine with 
the applicable emission standards, apply deterioration factors to the 
measured emission levels for each pollutant. Section 1039.245 specifies 
how to test your engine to develop deterioration factors that represent 
the deterioration expected in emissions over your engines' full useful 
life. Your deterioration factors must take into account any available 
data from in-use testing with similar engines. Small-volume engine 
manufacturers may use assigned deterioration factors that we establish. 
Apply deterioration factors as follows:
    (1) Additive deterioration factor for exhaust emissions. Except as 
specified in paragraph (c)(2) of this section, use an additive 
deterioration factor for exhaust emissions. An additive deterioration 
factor for a pollutant is the difference between exhaust emissions at 
the end of the useful life and exhaust emissions at the low-hour test 
point. In these cases, adjust the official emission results for each 
tested engine at the selected test point by adding the factor to the 
measured emissions. If the factor is less than zero, use zero. Additive 
deterioration factors must be specified to one more decimal place than 
the applicable standard.

[[Page 581]]

    (2) Multiplicative deterioration factor for exhaust emissions. Use a 
multiplicative deterioration factor if good engineering judgment calls 
for the deterioration factor for a pollutant to be the ratio of exhaust 
emissions at the end of the useful life to exhaust emissions at the low-
hour test point. For example, if you use aftertreatment technology that 
controls emissions of a pollutant proportionally to engine-out 
emissions, it is often appropriate to use a multiplicative deterioration 
factor. Adjust the official emission results for each tested engine at 
the selected test point by multiplying the measured emissions by the 
deterioration factor. If the factor is less than one, use one. A 
multiplicative deterioration factor may not be appropriate in cases 
where testing variability is significantly greater than engine-to-engine 
variability. Multiplicative deterioration factors must be specified to 
one more significant figure than the applicable standard.
    (3) Deterioration factor for smoke. Deterioration factors for smoke 
are always additive, as described in paragraph (c)(1) of this section.
    (4) Deterioration factor for crankcase emissions. If your engine 
vents crankcase emissions to the exhaust or to the atmosphere, you must 
account for crankcase emission deterioration, using good engineering 
judgment. You may use separate deterioration factors for crankcase 
emissions of each pollutant (either multiplicative or additive) or 
include the effects in combined deterioration factors that include 
exhaust and crankcase emissions together for each pollutant.
    (d) Collect emission data using measurements to one more decimal 
place than the applicable standard. Apply the deterioration factor to 
the official emission result, as described in paragraph (c) of this 
section, then round the adjusted figure to the same number of decimal 
places as the emission standard. Compare the rounded emission levels to 
the emission standard for each emission-data engine. In the case of 
NOX+NMHC standards, apply the deterioration factor to each 
pollutant and then add the results before rounding.
    (e) For engines subject to NMHC standards, you may base compliance 
on total hydrocarbon (THC) emissions. Indicate in your application for 
certification if you are using this option. If you do, measure THC 
emissions and calculate NMHC emissions as 98 percent of THC emissions, 
as shown in the following equation:

NMHC = (0.98) x (THC).

[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005]



Sec.  1039.245  How do I determine deterioration factors from exhaust durability testing?

    Establish deterioration factors to determine whether your engines 
will meet emission standards for each pollutant throughout the useful 
life, as described in Sec. Sec.  1039.101 and 1039.240. This section 
describes how to determine deterioration factors, either with an 
engineering analysis, with pre-existing test data, or with new emission 
measurements.
    (a) You may ask us to approve deterioration factors for an engine 
family with established technology based on engineering analysis instead 
of testing. Engines certified to a NOX+NMHC standard or FEL 
greater than the Tier 3 NOX+NMHC standard described in 40 CFR 
89.112 are considered to rely on established technology for gaseous 
emission control, except that this does not include any engines that use 
exhaust-gas recirculation or aftertreatment. In most cases, technologies 
used to meet the Tier 1 and Tier 2 emission standards would be 
considered to be established technology.
    (b) You may ask us to approve deterioration factors for an engine 
family based on emission measurements from similar highway or nonroad 
engines if you have already given us these data for certifying the other 
engines in the same or earlier model years. Use good engineering 
judgment to decide whether the two engines are similar. We will approve 
your request if you show us that the emission measurements from other 
engines reasonably represent in-use deterioration for the engine family 
for which you have not yet determined deterioration factors.
    (c) If you are unable to determine deterioration factors for an 
engine family under paragraph (a) or (b) of this section, select 
engines, subsystems, or

[[Page 582]]

components for testing. Determine deterioration factors based on service 
accumulation and related testing to represent the deterioration expected 
from in-use engines over the full useful life. You must measure 
emissions from the emission-data engine at least three times with evenly 
spaced intervals of service accumulation. You may use extrapolation to 
determine deterioration factors once you have established a trend of 
changing emissions with age for each pollutant. You may use an engine 
installed in nonroad equipment to accumulate service hours instead of 
running the engine only in the laboratory. You may perform maintenance 
on emission-data engines as described in Sec.  1039.125 and 40 CFR part 
1065, subpart E. Use good engineering judgment for all aspects of the 
effort to establish deterioration factors under this paragraph (c).
    (d) Include the following information in your application for 
certification:
    (1) If you use test data from a different engine family, explain why 
this is appropriate and include all the emission measurements on which 
you base the deterioration factor.
    (2) If you determine your deterioration factors based on engineering 
analysis, explain why this is appropriate and include a statement that 
all data, analyses, evaluations, and other information you used are 
available for our review upon request.
    (3) If you do testing to determine deterioration factors, describe 
the form and extent of service accumulation, including a rationale for 
selecting the service-accumulation period and the method you use to 
accumulate hours.

[69 FR 39213, June 29, 2004, as amended at 72 FR 53131, Sept. 18, 2007]



Sec.  1039.250  What records must I keep and what reports must I send to EPA?

    (a) Within 30 days after the end of the model year, send the 
Designated Compliance Officer a report describing the following 
information about engines you produced during the model year:
    (1) Report the total number of engines you produced in each engine 
family by maximum engine power, total displacement, and the type of fuel 
system.
    (2) If you produced exempted engines under the provisions of Sec.  
1039.625, report the number of exempted engines you produced for each 
engine model and identify the buyer or shipping destination for each 
exempted engine.
    (b) Organize and maintain the following records:
    (1) A copy of all applications and any summary information you send 
us.
    (2) Any of the information we specify in Sec.  1039.205 that you 
were not required to include in your application.
    (3) A detailed history of each emission-data engine. For each 
engine, describe all of the following:
    (i) The emission-data engine's construction, including its origin 
and buildup, steps you took to ensure that it represents production 
engines, any components you built specially for it, and all the 
components you include in your application for certification.
    (ii) How you accumulated engine operating hours (service 
accumulation), including the dates and the number of hours accumulated.
    (iii) All maintenance, including modifications, parts changes, and 
other service, and the dates and reasons for the maintenance.
    (iv) All your emission tests, including documentation on routine and 
standard tests, as specified in part 40 CFR part 1065, and the date and 
purpose of each test.
    (v) All tests to diagnose engine or emission-control performance, 
giving the date and time of each and the reasons for the test.
    (vi) Any other significant events.
    (4) Production figures for each engine family divided by assembly 
plant.
    (5) Keep a list of engine identification numbers for all the engines 
you produce under each certificate of conformity.
    (c) Keep data from routine emission tests (such as test cell 
temperatures and relative humidity readings) for one year after we issue 
the associated certificate of conformity. Keep all other information 
specified in paragraph (a) of this section for eight years after we 
issue your certificate.
    (d) Store these records in any format and on any media, as long as 
you can promptly send us organized, written records in English if we ask 
for them.

[[Page 583]]

You must keep these records readily available. We may review them at any 
time.
    (e) Send us copies of any engine maintenance instructions or 
explanations if we ask for them.



Sec.  1039.255  What decisions may EPA make regarding my certificate of conformity?

    (a) If we determine your application is complete and shows that the 
engine family meets all the requirements of this part and the Act, we 
will issue a certificate of conformity for your engine family for that 
model year. We may make the approval subject to additional conditions.
    (b) We may deny your application for certification if we determine 
that your engine family fails to comply with emission standards or other 
requirements of this part or the Act. Our decision may be based on a 
review of all information available to us. If we deny your application, 
we will explain why in writing.
    (c) In addition, we may deny your application or suspend or revoke 
your certificate if you do any of the following:
    (1) Refuse to comply with any testing or reporting requirements.
    (2) Submit false or incomplete information (paragraph (e) of this 
section applies if this is fraudulent).
    (3) Render inaccurate any test data.
    (4) Deny us from completing authorized activities despite our 
presenting a warrant or court order (see 40 CFR 1068.20). This includes 
a failure to provide reasonable assistance.
    (5) Produce engines for importation into the United States at a 
location where local law prohibits us from carrying out authorized 
activities.
    (6) Fail to supply requested information or amend your application 
to include all engines being produced.
    (7) Take any action that otherwise circumvents the intent of the Act 
or this part.
    (d) We may void your certificate if you do not keep the records we 
require or do not give us information as required under this part or the 
Act.
    (e) We may void your certificate if we find that you intentionally 
submitted false or incomplete information.
    (f) If we deny your application or suspend, revoke, or void your 
certificate, you may ask for a hearing (see Sec.  1039.820).

[69 FR 39213, June 29, 2004, as amended at 72 FR 53132, Sept. 18, 2007]

Subpart D [Reserved]



                        Subpart E_In-Use Testing



Sec.  1039.401  General provisions.

    We may perform in-use testing of any engine subject to the standards 
of this part. However, we will limit recall testing to the first 75 
percent of each engine's useful life as specified in Sec.  1039.101(g).



                        Subpart F_Test Procedures



Sec.  1039.501  How do I run a valid emission test?

    (a) Use the equipment and procedures for compression-ignition 
engines in 40 CFR part 1065 to determine whether engines meet the duty-
cycle emission standards in subpart B of this part. Measure the 
emissions of all the regulated pollutants as specified in 40 CFR part 
1065. Use the applicable duty cycles specified in Sec. Sec.  1039.505 
and 1039.510.
    (b) Section 1039.515 describes the supplemental procedures for 
evaluating whether engines meet the not-to-exceed emission standards in 
subpart B of this part.
    (c) Measure smoke using the procedures in 40 CFR part 86, subpart I, 
for evaluating whether engines meet the smoke standards in Sec.  
1039.105, except that you may test two-cylinder engines with an exhaust 
muffler like those installed on in-use engines.
    (d) Use the fuels specified in Sec.  1039.104(e) and 40 CFR part 
1065 to perform valid tests.
    (1) For service accumulation, use the test fuel or any commercially 
available fuel that is representative of the fuel that in-use engines 
will use.
    (2) For diesel-fueled engines, use the appropriate diesel fuel 
specified in 40 CFR part 1065 for emission testing. Unless we specify 
otherwise, the appropriate diesel test fuel is the ultra low-sulfur 
diesel fuel. If we allow you to

[[Page 584]]

use a test fuel with higher sulfur levels, identify the test fuel in 
your application for certification and ensure that the emission control 
information label is consistent with your selection of the test fuel 
(see Sec.  1039.135(c)(9)). For example, do not test with ultra low-
sulfur diesel fuel if you intend to label your engines to allow use of 
diesel fuel with sulfur concentrations up to 500 ppm.
    (e) You may use special or alternate procedures to the extent we 
allow them under 40 CFR 1065.10.
    (f) This subpart is addressed to you as a manufacturer, but it 
applies equally to anyone who does testing for you, and to us when we 
perform testing to determine if your engines meet emission standards.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005; 
72 FR 53132, Sept. 18, 2007]



Sec.  1039.505  How do I test engines using steady-state duty cycles, including ramped-modal testing?

    This section describes how to test engines under steady-state 
conditions. In some cases, we allow you to choose the appropriate 
steady-state duty cycle for an engine. In these cases, you must use the 
duty cycle you select in your application for certification for all 
testing you perform for that engine family. If we test your engines to 
confirm that they meet emission standards, we will use the duty cycles 
you select for your own testing. We may also perform other testing as 
allowed by the Clean Air Act.
    (a) You may perform steady-state testing with either discrete-mode 
or ramped-modal cycles, as follows:
    (1) For discrete-mode testing, sample emissions separately for each 
mode, then calculate an average emission level for the whole cycle using 
the weighting factors specified for each mode. Calculate cycle 
statistics for each mode and compare with the specified values in 40 CFR 
part 1065 to confirm that the test is valid. Operate the engine and 
sampling system as follows:
    (i) Engines with NOX aftertreatment. For engines that depend on 
aftertreatment to meet the NOX emission standard, operate the 
engine for 5-6 minutes, then sample emissions for 1-3 minutes in each 
mode. You may extend the sampling time to improve measurement accuracy 
of PM emissions, using good engineering judgment. If you have a longer 
sampling time for PM emissions, calculate and validate cycle statistics 
separately for the gaseous and PM sampling periods.
    (ii) Engines without NOX aftertreatment. For other 
engines, operate the engine for at least 5 minutes, then sample 
emissions for at least 1 minute in each mode.
    (2) For ramped-modal testing, start sampling at the beginning of the 
first mode and continue sampling until the end of the last mode. 
Calculate emissions and cycle statistics the same as for transient 
testing.
    (b) Measure emissions by testing the engine on a dynamometer with 
one of the following duty cycles to determine whether it meets the 
steady-state emission standards in Sec.  1039.101(b):
    (1) Use the 5-mode duty cycle or the corresponding ramped-modal 
cycle described in Appendix II of this part for constant-speed engines. 
Note that these cycles do not apply to all engines used in constant-
speed applications, as described in Sec.  1039.801.
    (2) Use the 6-mode duty cycle or the corresponding ramped-modal 
cycle described in Appendix III of this part for variable-speed engines 
below 19 kW. You may instead use the 8-mode duty cycle or the 
corresponding ramped-modal cycle described in Appendix IV of this part 
if some engines from your engine family will be used in applications 
that do not involve governing to maintain engine operation around rated 
speed.
    (3) Use the 8-mode duty cycle or the corresponding ramped-modal 
cycle described in Appendix IV of this part for variable-speed engines 
at or above 19 kW.
    (c) During idle mode, operate the engine with the following 
parameters:
    (1) Hold the speed within your specifications.
    (2) Set the engine to operate at its minimum fueling rate.
    (3) Keep engine torque under 5 percent of maximum test torque.
    (d) For full-load operating modes, operate the engine at its maximum 
fueling rate. However, for constant-speed engines whose design prevents 
full-load

[[Page 585]]

operation for extended periods, you may ask for approval under 40 CFR 
1065.10(c) to replace full-load operation with the maximum load for 
which the engine is designed to operate for extended periods.
    (e) See 40 CFR part 1065 for detailed specifications of tolerances 
and calculations.
    (f) For those cases where transient testing is not necessary, 
perform the steady-state test according to this section after an 
appropriate warm-up period, consistent with 40 CFR part 1065, subpart F.

    Effective Date Note: At 73 FR 37241, June 30, 2008, Sec.  1039.505 
was amended by revising paragraphs (a)(1) introductory text, (c), and 
(d) and adding paragraph (g), effective July 7, 2008. For the 
convenience of the user, the added and revised text is set forth as 
follows:



Sec.  1039.505  How do I test engines using steady-state duty cycles, 
          including ramped-modal testing?

                                * * * * *

    (a) * * *
    (1) For discrete-mode testing, sample emissions separately for each 
mode, then calculate an average emission level for the whole cycle using 
the weighting factors specified for each mode. Calculate cycle 
statistics and compare with the established criteria as specified in 40 
CFR 1065.514 to confirm that the test is valid. Operate the engine and 
sampling system as follows:

                                * * * * *

    (c) During idle mode, operate the engine at its warm idle speed as 
described in 40 CFR part 1065.
    (d) For constant-speed engines whose design prevents full-load 
operation for extended periods, you may ask for approval under 40 CFR 
1065.10(c) to replace full-load operation with the maximum load for 
which the engine is designed to operate for extended periods.

                                * * * * *

    (g) To allow non-motoring dynamometers on cycles with idle, you may 
omit additional points from the duty-cycle regression as follows:
    (1) For variable-speed engines with low-speed governors, you may 
omit speed, torque, and power points from the duty-cycle regression 
statistics if the following are met:
    (i) The engine operator demand is at its minimum.
    (ii) The dynamometer demand is at its minimum.
    (iii) It is an idle point fnref = 0 % (idle) and 
Tref = 0 % (idle).
    (iv) Tref < T <= 5 % [middot] Tmax mapped.
    (2) For variable-speed engines without low-speed governors, you may 
omit torque and power points from the duty-cycle regression statistics 
if the following are met:
    (i) The dynamometer demand is at its minimum.
    (ii) It is an idle point fnref = 0 % (idle) and 
Tref = 0 % (idle).
    (iii) fnref - (2 % [middot] fntest) < 
fn < fnref + (2 % [middot] fntest).
    (iv) Tref < T <= 5 % [middot] Tmax mapped.



Sec.  1039.510  Which duty cycles do I use for transient testing?

    (a) Measure emissions by testing the engine on a dynamometer with 
one of the following transient duty cycles to determine whether it meets 
the transient emission standards in Sec.  1039.101(a):
    (1) For variable-speed engines, use the transient duty cycle 
described in Appendix VI of this part.
    (2) [Reserved]
    (b) The transient test sequence consists of an initial run through 
the transient duty cycle from a cold start, 20 minutes with no engine 
operation, then a final run through the same transient duty cycle. Start 
sampling emissions immediately after you start the engine. Calculate the 
official transient emission result from the following equation:

Official transient emission result = 0.05 x cold-start emission rate + 
0.95 x hot-start emission rate.


[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005]



Sec.  1039.515  What are the test procedures related to not-to-exceed standards?

    (a) General provisions. The provisions in 40 CFR 86.1370-2007 apply 
for determining whether an engine meets the not-to-exceed emission 
standards in Sec.  1039.101(e). Interpret references to vehicles and 
vehicle operation to mean equipment and equipment operation.
    (b) Special PM zone. For engines certified to a PM standard or FEL 
above 0.07 g/kW-hr, a modified NTE control area applies for PM emissions 
only. The speeds and loads to be excluded are determined based on speeds 
B and C,

[[Page 586]]

determined according to the provisions of 40 CFR 86.1360-2007(c). One of 
the following provisions applies:
    (1) If the C speed is below 2400 rpm, exclude the speed and load 
points to the right of or below the line formed by connecting the 
following two points on a plot of speed-vs.-power:
    (i) 30% of maximum power at the B speed; however, use the power 
value corresponding to the engine operation at 30% of maximum torque at 
the B speed if this is greater than 30% of maximum power at the B speed.
    (ii) 70% of maximum power at 100% speed.
    (2) If the C speed is at or above 2400 rpm, exclude the speed and 
load points to the right of the line formed by connecting the two points 
in paragraphs (b)(2)(i) and (ii) of this section (the 30% and 50% 
torque/power points) and below the line formed by connecting the two 
points in paragraphs (b)(2)(ii) and (iii) of this section (the 50% and 
70% torque/power points). The 30%, 50%, and 70% torque/power points are 
defined as follows:
    (i) 30% of maximum power at the B speed; however, use the power 
value corresponding to the engine operation at 30% of maximum torque at 
the B speed if this is greater than 30% of maximum power at the B speed.
    (ii) 50% of maximum power at 2400 rpm.
    (iii) 70% of maximum power at 100% speed.



Sec.  1039.520  What testing must I perform to establish deterioration factors?

    Sections 1039.240 and 1039.245 describe the method for testing that 
must be performed to establish deterioration factors for an engine 
family.



Sec.  1039.525  How do I adjust emission levels to account for infrequently regenerating aftertreatment devices?

    This section describes how to adjust emission results from engines 
using aftertreatment technology with infrequent regeneration events. For 
this section, ``regeneration'' means an intended event during which 
emission levels change while the system restores aftertreatment 
performance. For example, exhaust gas temperatures may increase 
temporarily to remove sulfur from adsorbers or to oxidize accumulated 
particulate matter in a trap. For this section, ``infrequent'' refers to 
regeneration events that are expected to occur on average less than once 
over the applicable transient duty cycle or ramped-modal cycle, or on 
average less than once per typical mode in a discrete-mode test.
    (a) Developing adjustment factors. Develop an upward adjustment 
factor and a downward adjustment factor for each pollutant based on 
measured emission data and observed regeneration frequency. Adjustment 
factors should generally apply to an entire engine family, but you may 
develop separate adjustment factors for different engine configurations 
within an engine family. If you use adjustment factors for 
certification, you must identify the frequency factor, F, from paragraph 
(b) of this section in your application for certification and use the 
adjustment factors in all testing for that engine family. You may use 
carryover or carry-across data to establish adjustment factors for an 
engine family, as described in Sec.  1039.235(d), consistent with good 
engineering judgment. All adjustment factors for regeneration are 
additive. Determine adjustment factors separately for different test 
segments. For example, determine separate adjustment factors for hot-
start and cold-start test segments and for different modes of a 
discrete-mode steady-state test. You may use either of the following 
different approaches for engines that use aftertreatment with infrequent 
regeneration events:
    (1) You may disregard this section if regeneration does not 
significantly affect emission levels for an engine family (or 
configuration) or if it is not practical to identify when regeneration 
occurs. If you do not use adjustment factors under this section, your 
engines must meet emission standards for all testing, without regard to 
regeneration.
    (2) If your engines use aftertreatment technology with extremely 
infrequent regeneration and you are unable to apply the provisions of 
this section, you may ask us to approve an alternate methodology to 
account for regeneration events.

[[Page 587]]

    (b) Calculating average adjustment factors. Calculate the average 
adjustment factor (EFA) based on the following equation:

EFA = (F)(EFH) + (1-F)(EFL)

Where:

F = the frequency of the regeneration event in terms of the fraction of 
tests during which the regeneration occurs.
EFH = measured emissions from a test segment in which the 
regeneration occurs.
EFL = measured emissions from a test segment in which the 
regeneration does not occur.

    (c) Applying adjustment factors. Apply adjustment factors based on 
whether regeneration occurs during the test run. You must be able to 
identify regeneration in a way that is readily apparent during all 
testing.
    (1) If regeneration does not occur during a test segment, add an 
upward adjustment factor to the measured emission rate. Determine the 
upward adjustment factor (UAF) using the following equation:

UAF = EFA - EFL

    (2) If regeneration occurs or starts to occur during a test segment, 
subtract a downward adjustment factor from the measured emission rate. 
Determine the downward adjustment factor (DAF) using the following 
equation:

DAF = EFH - EFA

    (d) Sample calculation. If EFL is 0.10 g/kW-hr, 
EFH is 0.50 g/kW-hr, and F is 0.1 (the regeneration occurs 
once for each ten tests), then:

EFA = (0.1)(0.5 g/kW-hr) + (1.0 - 0.1)(0.1 g/kW-hr) = 0.14 g/
    kW-hr.
UAF = 0.14 g/kW-hr - 0.10 g/kW-hr = 0.04 g/kW-hr.
DAF = 0.50 g/kW-hr - 0.14 g/kW-hr = 0.36 g/kW-hr.



                 Subpart G_Special Compliance Provisions



Sec.  1039.601  What compliance provisions apply to these engines?

    Engine and equipment manufacturers, as well as owners, operators, 
and rebuilders of engines subject to the requirements of this part, and 
all other persons, must observe the provisions of this part, the 
requirements and prohibitions in 40 CFR part 1068, and the provisions of 
the Act.



Sec.  1039.605  What provisions apply to engines certified under the motor-vehicle program?

    (a) General provisions. If you are an engine manufacturer, this 
section allows you to introduce new nonroad engines into commerce if 
they are already certified to the requirements that apply to 
compression-ignition engines under 40 CFR parts 85 and 86 for the 
appropriate model year. If you comply with all the provisions of this 
section, we consider the certificate issued under 40 CFR part 86 for 
each engine to also be a valid certificate of conformity under this part 
1039 for its model year, without a separate application for 
certification under the requirements of this part 1039. See Sec.  
1039.610 for similar provisions that apply to engines certified to 
chassis-based standards for motor vehicles.
    (b) Equipment-manufacturer provisions. If you are not an engine 
manufacturer, you may produce nonroad equipment using motor-vehicle 
engines under this section as long as you meet all the requirements and 
conditions specified in paragraph (d) of this section. You must also add 
the fuel-inlet label we specify in Sec.  1039.135(e). If you modify the 
motor-vehicle engine in any of the ways described in paragraph (d)(2) of 
this section, we will consider you a manufacturer of a new nonroad 
engine. Such engine modifications prevent you from using the provisions 
of this section.
    (c) Liability. Engines for which you meet the requirements of this 
section are exempt from all the requirements and prohibitions of this 
part, except for those specified in this section. Engines exempted under 
this section must meet all the applicable requirements from 40 CFR parts 
85 and 86. This applies to engine manufacturers, equipment manufacturers 
who use these engines, and all other persons as if these engines were 
used in a motor vehicle. The prohibited acts of 40 CFR 1068.101(a)(1) 
apply to these new engines and equipment; however, we consider the 
certificate issued under 40 CFR part 86 for each engine to also be a 
valid certificate of conformity under this part 1039

[[Page 588]]

for its model year. If we make a determination that these engines do not 
conform to the regulations during their useful life, we may require you 
to recall them under 40 CFR part 86 or 40 CFR 1068.505.
    (d) Specific requirements. If you are an engine manufacturer or 
equipment manufacturer and meet all the following criteria and 
requirements regarding your new nonroad engine, the engine is eligible 
for an exemption under this section:
    (1) Your engine must be covered by a valid certificate of conformity 
issued under 40 CFR part 86.
    (2) You must not make any changes to the certified engine that could 
reasonably be expected to increase its exhaust emissions for any 
pollutant, or its evaporative emissions if it is subject to evaporative-
emission standards. For example, if you make any of the following 
changes to one of these engines, you do not qualify for this exemption:
    (i) Change any fuel system parameters from the certified 
configuration.
    (ii) Change, remove, or fail to properly install any other 
component, element of design, or calibration specified in the engine 
manufacturer's application for certification. This includes 
aftertreatment devices and all related components.
    (iii) Modify or design the engine cooling system so that 
temperatures or heat rejection rates are outside the original engine 
manufacturer's specified ranges.
    (3) You must show that fewer than 50 percent of the engine model's 
total sales for the model year, from all companies, are used in nonroad 
applications, as follows:
    (i) If you are the original manufacturer of the engine, base this 
showing on your sales information.
    (ii) In all other cases, you must get the original manufacturer of 
the engine to confirm this based on its sales information.
    (4) You must ensure that the engine has the label we require under 
40 CFR part 86.
    (5) You must add a permanent supplemental label to the engine in a 
position where it will remain clearly visible after installation in the 
equipment. In the supplemental label, do the following:
    (i) Include the heading: ``NONROAD ENGINE EMISSION CONTROL 
INFORMATION''.
    (ii) Include your full corporate name and trademark. You may instead 
include the full corporate name and trademark of another company you 
choose to designate.
    (iii) State: ``THIS ENGINE WAS ADAPTED FOR NONROAD USE WITHOUT 
AFFECTING ITS EMISSION CONTROLS. THE EMISSION-CONTROL SYSTEM DEPENDS ON 
THE USE OF FUEL MEETING SPECIFICATIONS THAT APPLY FOR MOTOR-VEHICLE 
APPLICATIONS. OPERATING THE ENGINE ON OTHER FUELS MAY BE A VIOLATION OF 
FEDERAL LAW.''.
    (iv) State the date you finished modifying the engine (month and 
year), if applicable.
    (6) The original and supplemental labels must be readily visible 
after the engine is installed in the equipment or, if the equipment 
obscures the engine's emission control information label, the equipment 
manufacturer must attach duplicate labels, as described in 40 CFR 
1068.105.
    (7) You must make sure that nonroad equipment produced under this 
section will have the fueling label we specify in Sec.  
1039.135(c)(9)(i).
    (8) Send the Designated Compliance Officer a signed letter by the 
end of each calendar year (or less often if we tell you) with all the 
following information:
    (i) Identify your full corporate name, address, and telephone 
number.
    (ii) List the engine or equipment models you expect to produce under 
this exemption in the coming year and describe your basis for meeting 
the sales restrictions of paragraph (d)(3) of this section.
    (iii) State: ``We produce each listed [engine or equipment] model 
for nonroad application without making any changes that could increase 
its certified emission levels, as described in 40 CFR 1039.605.''.
    (e) Failure to comply. If your engines do not meet the criteria 
listed in paragraph (d) of this section, they will be subject to the 
standards, requirements, and prohibitions of this part 1039 and

[[Page 589]]

the certificate issued under 40 CFR part 86 will not be deemed to also 
be a certificate issued under this part 1039. Introducing these engines 
into commerce without a valid exemption or certificate of conformity 
under this part violates the prohibitions in 40 CFR 1068.101(a)(1).
    (f) Data submission. We may require you to send us emission test 
data on any applicable nonroad duty cycles.
    (g) Participation in averaging, banking and trading. Engines adapted 
for nonroad use under this section may not generate or use emission 
credits under this part 1039. These engines may generate credits under 
the ABT provisions in 40 CFR part 86. These engines must use emission 
credits under 40 CFR part 86 if they are certified to an FEL that 
exceeds an applicable standard under 40 CFR part 86.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005; 
72 FR 53132, Sept. 18, 2007]



Sec.  1039.610  What provisions apply to vehicles certified under the motor-vehicle program?

    (a) General provisions. If you are a motor-vehicle manufacturer, 
this section allows you to introduce new nonroad engines or equipment 
into commerce if the vehicle is already certified to the requirements 
that apply under 40 CFR parts 85 and 86 for the appropriate model year. 
If you comply with all of the provisions of this section, we consider 
the certificate issued under 40 CFR part 86 for each motor vehicle to 
also be a valid certificate of conformity for the engine under this part 
1039 for its model year, without a separate application for 
certification under the requirements of this part 1039. See Sec.  
1039.605 for similar provisions that apply to motor-vehicle engines 
produced for nonroad equipment.
    (b) Equipment-manufacturer provisions. If you are not a motor-
vehicle manufacturer, you may produce nonroad equipment from motor 
vehicles under this section as long as you meet all the requirements and 
conditions specified in paragraph (d) of this section. You must also add 
the fuel-inlet label we specify in Sec.  1039.135(e). If you modify the 
motor vehicle or its engine in any of the ways described in paragraph 
(d)(2) of this section, we will consider you a manufacturer of a new 
nonroad engine. Such modifications prevent you from using the provisions 
of this section.
    (c) Liability. Engines, vehicles, and equipment for which you meet 
the requirements of this section are exempt from all the requirements 
and prohibitions of this part, except for those specified in this 
section. Engines exempted under this section must meet all the 
applicable requirements from 40 CFR parts 85 and 86. This applies to 
engine manufacturers, equipment manufacturers, and all other persons as 
if the nonroad equipment were motor vehicles. The prohibited acts of 40 
CFR 1068.101(a)(1) apply to these new pieces of equipment; however, we 
consider the certificate issued under 40 CFR part 86 for each motor 
vehicle to also be a valid certificate of conformity for the engine 
under this part 1039 for its model year. If we make a determination that 
these engines, vehicles, or equipment do not conform to the regulations 
during their useful life, we may require you to recall them under 40 CFR 
part 86 or 40 CFR 1068.505.
    (d) Specific requirements. If you are a motor-vehicle manufacturer 
and meet all the following criteria and requirements regarding your new 
nonroad equipment and its engine, the engine is eligible for an 
exemption under this section:
    (1) Your equipment must be covered by a valid certificate of 
conformity as a motor vehicle issued under 40 CFR part 86.
    (2) You must not make any changes to the certified vehicle that we 
could reasonably expect to increase its exhaust emissions for any 
pollutant, or its evaporative emissions if it is subject to evaporative-
emission standards. For example, if you make any of the following 
changes, you do not qualify for this exemption:
    (i) Change any fuel system parameters from the certified 
configuration.
    (ii) Change, remove, or fail to properly install any other 
component, element of design, or calibration specified in the vehicle 
manufacturer's application for certification. This includes 
aftertreatment devices and all related components.

[[Page 590]]

    (iii) Modify or design the engine cooling system so that 
temperatures or heat rejection rates are outside the original vehicle 
manufacturer's specified ranges.
    (iv) Add more than 500 pounds to the curb weight of the originally 
certified motor vehicle.
    (3) You must show that fewer than 50 percent of the total sales as a 
motor vehicle or a piece of nonroad equipment, from all companies, are 
used in nonroad applications, as follows:
    (i) If you are the original manufacturer of the vehicle, base this 
showing on your sales information.
    (ii) In all other cases, you must get the original manufacturer of 
the vehicle to confirm this based on their sales information.
    (4) The equipment must have the vehicle emission control information 
and fuel labels we require under 40 CFR 86.007-35.
    (5) You must add a permanent supplemental label to the equipment in 
a position where it will remain clearly visible. In the supplemental 
label, do the following:
    (i) Include the heading: ``NONROAD ENGINE EMISSION CONTROL 
INFORMATION''.
    (ii) Include your full corporate name and trademark. You may instead 
include the full corporate name and trademark of another company you 
choose to designate.
    (iii) State: ``THIS VEHICLE WAS ADAPTED FOR NONROAD USE WITHOUT 
AFFECTING ITS EMISSION CONTROLS. THE EMISSION-CONTROL SYSTEM DEPENDS ON 
THE USE OF FUEL MEETING SPECIFICATIONS THAT APPLY FOR MOTOR-VEHICLE 
APPLICATIONS. OPERATING THE ENGINE ON OTHER FUELS MAY BE A VIOLATION OF 
FEDERAL LAW.''.
    (iv) State the date you finished modifying the vehicle (month and 
year), if applicable.
    (6) The original and supplemental labels must be readily visible in 
the fully assembled equipment.
    (7) Send the Designated Compliance Officer a signed letter by the 
end of each calendar year (or less often if we tell you) with all the 
following information:
    (i) Identify your full corporate name, address, and telephone 
number.
    (ii) List the equipment models you expect to produce under this 
exemption in the coming year and describe your basis for meeting the 
sales restrictions of paragraph (d)(3) of this section.
    (iii) State: ``We produced each listed engine or equipment model for 
nonroad application without making any changes that could increase its 
certified emission levels, as described in 40 CFR 1039.610.''
    (e) Failure to comply. If your engines, vehicles, or equipment do 
not meet the criteria listed in paragraph (d) of this section, the 
engines will be subject to the standards, requirements, and prohibitions 
of this part 1039, and the certificate issued under 40 CFR part 86 will 
not be deemed to also be a certificate issued under this part 1039. 
Introducing these engines into commerce without a valid exemption or 
certificate of conformity under this part violates the prohibitions in 
40 CFR 1068.101(a)(1).
    (f) Data submission. We may require you to send us emission test 
data on any applicable nonroad duty cycles.
    (g) Participation in averaging, banking and trading. Vehicles 
adapted for nonroad use under this section may not generate or use 
emission credits under this part 1039. These vehicles may generate 
credits under the ABT provisions in 40 CFR part 86. These vehicles must 
be included in the calculation of the applicable fleet average in 40 CFR 
part 86.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005; 
72 FR 53132, Sept. 18, 2007]



Sec.  1039.615  What special provisions apply to engines using noncommercial fuels?

    In Sec.  1039.115(e), we generally require that engines meet 
emission standards for any adjustment within the full range of any 
adjustable parameters. For engines that use noncommercial fuels 
significantly different than the specified test fuel of the same type, 
you may ask to use the parameter-adjustment provisions of this section 
instead of those in Sec.  1039.115(e). Engines certified under this 
section must be in a separate engine family.

[[Page 591]]

    (a) If we approve your request, the following provisions apply:
    (1) You must certify the engine using the test fuel specified in 
Sec.  1039.501.
    (2) You may produce the engine without limits or stops that keep the 
engine adjusted within the certified range.
    (3) You must specify in-use adjustments different than the 
adjustable settings appropriate for the specified test fuel, consistent 
with the provisions of paragraph (b)(1) of this section.
    (b) To produce engines under this section, you must do the 
following:
    (1) Specify in-use adjustments needed so the engine's level of 
emission control for each regulated pollutant is equivalent to that from 
the certified configuration.
    (2) Add the following information to the emission control 
information label specified in Sec.  1039.135:
    (i) Include instructions describing how to adjust the engine to 
operate in a way that maintains the effectiveness of the emission-
control system.
    (ii) State: ``THIS ENGINE IS CERTIFIED TO OPERATE IN APPLICATIONS 
USING NONCOMMERCIAL FUEL. MALADJUSTMENT OF THE ENGINE IS A VIOLATION OF 
FEDERAL LAW SUBJECT TO CIVIL PENALTY.''.
    (3) Keep records to document the destinations and quantities of 
engines produced under this section.



Sec.  1039.620  What are the provisions for exempting engines used solely for competition?

    The provisions of this section apply for new engines built on or 
after January 1, 2006.
    (a) Equipment manufacturers may use uncertified engines if the 
vehicles or equipment in which they are installed will be used solely 
for competition.
    (b) The definition of nonroad engine in 40 CFR 1068.30 excludes 
engines used solely for competition. These engines are not required to 
comply with this part 1039 or 40 CFR part 89, but 40 CFR 1068.101 
prohibits the use of competition engines for noncompetition purposes.
    (c) We consider a vehicle or piece of equipment to be one that will 
be used solely for competition if it has features that are not easily 
removed that would make its use other than in competition unsafe, 
impractical, or highly unlikely.
    (d) As an engine manufacturer, your engine is exempt without our 
prior approval if you have a written request for an exempted engine from 
the equipment manufacturer showing the basis for believing that the 
equipment will be used solely for competition. You must permanently 
label engines exempted under this section to clearly indicate that they 
are to be used solely for competition. Failure to properly label an 
engine will void the exemption.
    (e) We may discontinue an exemption under this section if we find 
that engines are not used solely for competition.



Sec.  1039.625  What requirements apply under the program for equipment-manufacturer flexibility?

    The provisions of this section allow equipment manufacturers to 
produce equipment with engines that are subject to less stringent 
emission standards after the Tier 4 emission standards begin to apply. 
To be eligible to use these provisions, you must follow all the 
instructions in this section. See 40 CFR 89.102(d) and (e) for 
provisions that apply to equipment produced while Tier 1, Tier 2, or 
Tier 3 standards apply. See Sec.  1039.626 for requirements that apply 
specifically to companies that manufacture equipment outside the United 
States and to companies that import such equipment without manufacturing 
it. Engines and equipment you produce under this section are exempt from 
the prohibitions in 40 CFR 1068.101(a)(1), subject to the provisions of 
this section.
    (a) General. If you are an equipment manufacturer, you may introduce 
into commerce in the United States limited numbers of nonroad equipment 
with engines exempted under this section. You may use the exemptions in 
this section only if you have primary responsibility for designing and 
manufacturing equipment and your manufacturing procedures include 
installing some engines in this equipment. Consider all U.S.-directed 
equipment sales

[[Page 592]]

in showing that you meet the requirements of this section, including 
those from any parent or subsidiary companies and those from any other 
companies you license to produce equipment for you. If you produce a 
type of equipment that has more than one engine, count each engine 
separately. These provisions are available over the following periods:
    (1) These provisions are available for the years shown in the 
following table, except as provided in paragraph (a)(2) of this section:

     Table 1 of Sec.   1039.625--General Availability of Allowances
------------------------------------------------------------------------
                    Power category                       Calendar years
------------------------------------------------------------------------
kW < 19...............................................         2008-2014
19 <= kW < 56.........................................         2008-2014
56 <= kW < 130........................................         2012-2018
130 <= kW <= 560......................................         2011-2017
kW  560....................................         2011-2017
------------------------------------------------------------------------

    (2) If you do not use any allowances in a power category before the 
earliest dates shown in the following table, you may delay the start of 
the seven-year period for using allowances under this section as 
follows:

     Table 2 of Sec.   1039.625--Availability of Delayed Allowances
------------------------------------------------------------------------
                    Power category                       Calendar years
------------------------------------------------------------------------
kW < 19...............................................  ................
19 <= kW < 56.........................................         2012-2018
56 <= kW < 130........................................         2014-2020
130 <= kW <= 560......................................         2014-2020
kW  560....................................         2015-2021
------------------------------------------------------------------------

    (b) Allowances. You may choose one of the following options for each 
power category to produce equipment with exempted engines under this 
section, except as allowed under Sec.  1039.627:
    (1) Percent-of-production allowances. You may produce a certain 
number of units with exempted engines calculated using a percentage of 
your total sales within a power category relative to your total U.S.-
directed production volume. The sum of these percentages within a power 
category during the seven-year period specified in paragraph (a) of this 
section may not exceed 80 percent, except as allowed under paragraph 
(b)(2) or (m) of this section.
    (2) Small-volume allowances. You may determine an alternate 
allowance for a specific number of exempted engines under this section 
using one of the following approaches for your U.S.-directed production 
volumes:
    (i) You may produce up to 700 units with exempted engines within a 
power category during the seven-year period specified in paragraph (a) 
of this section, with no more than 200 units in any single year within a 
power category, except as provided in paragraph (m) of this section. 
Engines within a power category that are exempted under this section 
must be from a single engine family within a given year.
    (ii) For engines below 130 kW, you may produce up to 525 units with 
exempted engines within a power category during the seven-year period 
specified in paragraph (a) of this section, with no more than 150 units 
in any single year within a power category, except as provided in 
paragraph (m) of this section. For engines at or above 130 kW, you may 
produce up to 350 units with exempted engines within a power category 
during the seven-year period, with no more than 100 units in any single 
year within a power category. Exemptions under this paragraph (b)(2)(ii) 
may apply to engines from multiple engine families in a given year.
    (c) Percentage calculation. Calculate for each calendar year the 
percentage of equipment with exempted engines from your total U.S.-
directed production within a power category if you need to show that you 
meet the percent-of-production allowances in paragraph (b)(1) of this 
section.
    (d) Inclusion of engines not subject to Tier 4 standards. The 
following provisions apply to engines that are not subject to Tier 4 
standards:
    (1) If you use the provisions of Sec.  1068.105(a) to use up your 
inventories of engines not certified to new emission standards, do not 
include these units in your count of equipment with exempted engines 
under paragraph (b) of this section. However, you may include these 
units in your count of total equipment you produce for the given year 
for the percentage calculation in paragraph (b)(1) of this section.
    (2) If you install engines that are exempted from the Tier 4 
standards for any reason, other than for equipment-

[[Page 593]]

manufacturer allowances under this section, do not include these units 
in your count of exempted engines under paragraph (b) of this section. 
However, you may include these units in your count of total equipment 
you produce for the given year for the percentage calculation in 
paragraph (b)(1) of this section. For example, if we grant a hardship 
exemption for the engine manufacturer, you may count these as compliant 
engines under this section. This paragraph (d)(2) applies only if the 
engine has a permanent label describing why it is exempted from the Tier 
4 standards.
    (3) Do not include equipment using model year 2008 or 2009 engines 
certified under the provisions of Sec.  1039.101(c) in your count of 
equipment using exempted engines. However, you may include these units 
in your count of total equipment you produce for the given year for the 
percentage calculation in paragraph (b)(1) of this section.
    (4) You may start using the allowances under this section for 
engines that are not yet subject to Tier 4 standards, as long as the 
seven-year period for using allowances under the Tier 2 or Tier 3 
program has expired (see 40 CFR 89.102(d)). Table 3 of this section 
shows the years for which this applies. To use these early allowances, 
you must use engines that meet the emission standards described in 
paragraph (e) of this section. You must also count these units or 
calculate these percentages as described in paragraph (c) of this 
section and apply them toward the total number or percentage of 
equipment with exempted engines we allow for the Tier 4 standards as 
described in paragraph (b) of this section. The maximum number of 
cumulative early allowances under this paragraph (d)(4) is 10 percent 
under the percent-of-production allowance or 100 units under the small-
volume allowance. For example, if you produce 5 percent of your 
equipment with engines between 130 and 560 kW that use allowances under 
this paragraph (d)(4) in 2009, you may use up to an additional 5 percent 
of your allowances in 2010. If you use allowances for 5 percent of your 
equipment in both 2009 and 2010, your 80 percent allowance for 2011-2017 
in the 130-560 kW power category decreases to 70 percent. Manufacturers 
using allowances under this paragraph (d)(4) must comply with the 
notification and reporting requirements specified in paragraph (g) of 
this section.

         Table 3 of Sec.   1039.625--Years for Early Allowances
------------------------------------------------------------------------
                 Maximum engine power                    Calendar years
------------------------------------------------------------------------
kW < 19...............................................              2007
19 <= kW < 37.........................................         2006-2011
37 <= kW < 56.........................................              2011
56 <= kW < 75.........................................              2011
75 <= kW < 130........................................         2010-2011
130 <= kW < 225.......................................              2010
225 <= kW < 450.......................................         2008-2010
450 <= kW <= 560......................................         2009-2010
KW  560....................................  ................
------------------------------------------------------------------------

    (e) Standards. If you produce equipment with exempted engines under 
this section, the engines must meet emission standards at least as 
stringent as the following:
    (1) If you are using the provisions of paragraph (d)(4) of this 
section, engines must meet the applicable Tier 1 emission standards 
described in Sec.  89.112.
    (2) If you are using the provisions of paragraph (a)(2) of this 
section, engines must be certified under this part 1039 as follows:

------------------------------------------------------------------------
                                                          Must meet all
                                                          standards and
                                                          requirements
     Engines in the following power category . . .       that applied in
                                                          the following
                                                        model year . . .
------------------------------------------------------------------------
(i) 19 <= kW < 56.....................................              2008
(ii) 56 <= kW < 130...................................              2012
(iii) 130 <= kW <= 560................................              2011
(iv) kW  560...............................              2011
------------------------------------------------------------------------

    (3) In all other cases, engines at or above 56 kW and at or below 
560 kW must meet the appropriate Tier 3 standards described in Sec.  
89.112. Engines below 56 kW and engines above 560 kW must meet the 
appropriate Tier 2 standards described in Sec.  89.112.
    (f) Equipment labeling. You must add a permanent label, written 
legibly in English, to the engine or another readily visible part of 
each piece of equipment you produce with exempted engines under this 
section. This label, which supplements the engine manufacturer's 
emission control information label, must include at least the following 
items:
    (1) The label heading ``EMISSION CONTROL INFORMATION''.

[[Page 594]]

    (2) Your corporate name and trademark.
    (3) The calendar year in which the equipment is manufactured.
    (4) The name, e-mail address, and phone number of a person to 
contact for further information.
    (5) The following statement:

THIS EQUIPMENT [or identify the type of equipment] HAS AN ENGINE THAT 
MEETS U.S. EPA EMISSION STANDARDS UNDER 40 CFR 1039.625.

    (g) Notification and reporting. You must notify us of your intent to 
use the provisions of this section and send us an annual report to 
verify that you are not exceeding the allowances, as follows:
    (1) Before January 1 of the first year you intend to use the 
provisions of this section, send the Designated Compliance Officer and 
the Designated Enforcement Officer a written notice of your intent, 
including:
    (i) Your company's name and address, and your parent company's name 
and address, if applicable.
    (ii) Whom to contact for more information.
    (iii) The calendar years in which you expect to use the exemption 
provisions of this section.
    (iv) The name and address of the company that produces the engines 
you will be using for the equipment exempted under this section.
    (v) Your best estimate of the number of units in each power category 
you will produce under this section and whether you intend to comply 
under paragraph (b)(1) or (b)(2) of this section.
    (vi) The number of units in each power category you have sold in 
previous calendar years under 40 CFR 89.102(d).
    (2) For each year that you use the provisions of this section, send 
the Designated Compliance Officer and the Designated Enforcement Officer 
a written report by March 31 of the following year. Include in your 
report the total number of engines you sold in the preceding year for 
each power category, based on actual U.S.-directed production 
information. Also identify the percentages of U.S.-directed production 
that correspond to the number of units in each power category and the 
cumulative numbers and percentages of units for all the units you have 
sold under this section for each power category. You may omit the 
percentage figures if you include in the report a statement that you 
will not be using the percent-of-production allowances in paragraph 
(b)(1) of this section.
    (h) Recordkeeping. Keep the following records of all equipment with 
exempted engines you produce under this section for at least five full 
years after the final year in which allowances are available for each 
power category:
    (1) The model number, serial number, and the date of manufacture for 
each engine and piece of equipment.
    (2) The maximum power of each engine.
    (3) The total number or percentage of equipment with exempted 
engines, as described in paragraph (b) of this section and all 
documentation supporting your calculation.
    (4) The notifications and reports we require under paragraph (g) of 
this section.
    (i) Enforcement. Producing more exempted engines or equipment than 
we allow under this section or installing engines that do not meet the 
emission standards of paragraph (e) of this section violates the 
prohibitions in 40 CFR 1068.101(a)(1). You must give us the records we 
require under this section if we ask for them (see 40 CFR 
1068.101(a)(2)).
    (j) Provisions for engine manufacturers. As an engine manufacturer, 
you may produce exempted engines as needed under this section. You do 
not have to request this exemption for your engines, but you must have 
written assurance from equipment manufacturers that they need a certain 
number of exempted engines under this section. Send us an annual report 
of the engines you produce under this section, as described in Sec.  
1039.250(a). For engines produced under the provisions of paragraph 
(a)(2) of this section, you must certify the engines under this part 
1039. For all other exempt engines, the engines must meet the emission 
standards in paragraph (e) of this section and you must meet all the 
requirements of 40 CFR 1068.265. If you show

[[Page 595]]

under 40 CFR 1068.265(c) that the engines are identical in all material 
respects to engines that you have previously certified to one or more 
FELs above the standards specified in paragraph (e) of this section, you 
must supply sufficient credits for these engines. Calculate these 
credits under subpart H of this part using the previously certified FELs 
and the alternate standards. You must meet the labeling requirements in 
40 CFR 89.110, but add the following statement instead of the compliance 
statement in 40 CFR 89.110(b)(10):

    THIS ENGINE MEETS U.S. EPA EMISSION STANDARDS UNDER 40 CFR 1039.625. 
SELLING OR INSTALLING THIS ENGINE FOR ANY PURPOSE OTHER THAN FOR THE 
EQUIPMENT FLEXIBILITY PROVISIONS OF 40 CFR 1039.625 MAY BE A VIOLATION 
OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.

    (k) Other exemptions. See 40 CFR 1068.255 for exemptions based on 
hardship for equipment manufacturers and secondary engine manufacturers.
    (l) [Reserved]
    (m) Additional exemptions for technical or engineering hardship. You 
may request additional engine allowances under paragraph (b)(1) of this 
section for 19-560 kW power categories or, if you are a small equipment 
manufacturer, under paragraph (b)(2) of this section for engines at or 
above 19 and below 37 kW. However, you may use these extra allowances 
only for those equipment models for which you, or an affiliated company, 
do not also produce the engine. After considering the circumstances, we 
may permit you to introduce into commerce equipment with such engines 
that do not comply with Tier 4 emission standards, as follows:
    (1) We may approve additional exemptions if extreme and unusual 
circumstances that are clearly outside your control and that could not 
have been avoided with reasonable discretion have resulted in technical 
or engineering problems that prevent you from meeting the requirements 
of this part. You must show that you exercised prudent planning and have 
taken all reasonable steps to minimize the scope of your request for 
additional allowances.
    (2) To apply for exemptions under this paragraph (m), send the 
Designated Compliance Officer and the Designated Enforcement Officer a 
written request as soon as possible before you are in violation. In your 
request, include the following information:
    (i) Describe your process for designing equipment.
    (ii) Describe how you normally work cooperatively or concurrently 
with your engine supplier to design products.
    (iii) Describe the engineering or technical problems causing you to 
request the exemption and explain why you have not been able to solve 
them. Describe the extreme and unusual circumstances that led to these 
problems and explain how they were unavoidable.
    (iv) Describe any information or products you received from your 
engine supplier related to equipment design--such as written 
specifications, performance data, or prototype engines--and when you 
received it.
    (v) Compare the design processes of the equipment model for which 
you need additional exemptions and that for other models for which you 
do not need additional exemptions. Explain the technical differences 
that justify your request.
    (vi) Describe your efforts to find and use other compliant engines, 
or otherwise explain why none is available.
    (vii) Describe the steps you have taken to minimize the scope of 
your request.
    (viii) Include other relevant information. You must give us other 
relevant information if we ask for it.
    (ix) Estimate the increased percent of production you need for each 
equipment model covered by your request, as described in paragraph 
(m)(3) of this section. Estimate the increased number of allowances you 
need for each equipment model covered by your request, as described in 
paragraph (m)(4) of this section.
    (3) We may approve your request to increase the allowances under 
paragraph (b)(1) of this section, subject to the following limitations:
    (i) The additional allowances will not exceed 70 percent for each 
power category.

[[Page 596]]

    (ii) You must use up the allowances under paragraph (b)(1) of this 
section before using any additional allowance under this paragraph (m).
    (iii) Any allowances we approve under this paragraph (m)(3) expire 
24 months after the provisions of this section start for a given power 
category, as described in paragraph (a) of this section. You may use 
these allowances only for the specific equipment models covered by your 
request.
    (4) We may approve your request to increase the allowances for the 
19-56 kW power category under paragraph (b)(2) of this section, subject 
to the following limitations:
    (i) You are eligible for additional allowances under this paragraph 
(m)(4) only if you are a small equipment manufacturer and you do not use 
the provisions of paragraph (m)(3) of this section to obtain additional 
allowances for the 19-56 kW power category.
    (ii) You must use up all the available allowances for the 19-56 kW 
power category under paragraph (b)(2) of this section in a given year 
before using any additional allowances under this paragraph (m)(4).
    (iii) Base your request only on equipment you produce with engines 
at or above 19 kW and below 37 kW. You may use any additional allowances 
only for equipment you produce with engines at or above 19 kW and below 
37 kW.
    (iv) The total allowances under either paragraph (b)(2)(i) or (ii) 
of this section for the 19-56 kW power category will not exceed 1,100 
units.
    (v) Any allowances we approve under this paragraph (m)(4) expire 36 
months after the provisions of this section start for this power 
category, as described in paragraph (a) of this section. These 
additional allowances are not subject to the annual limits specified in 
paragraph (b)(2) of this section. You may use these allowances only for 
the specific equipment models covered by your request.
    (5) For purposes of this paragraph (m), small equipment manufacturer 
means a small-business equipment manufacturer that had annual U.S.-
directed production volume of equipment using nonroad diesel engines 
between 19 and 56 kW of no more than 3,000 units in 2002 and all earlier 
calendar years, and has 750 or fewer employees (500 or fewer employees 
for nonroad equipment manufacturers that produce no construction 
equipment or industrial trucks). For manufacturers owned by a parent 
company, the production limit applies to the production of the parent 
company and all its subsidiaries and the employee limit applies to the 
total number of employees of the parent company and all its 
subsidiaries.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40464, July 13, 2005; 
72 FR 53133, Sept. 18, 2007]



Sec.  1039.626  What special provisions apply to equipment imported under the equipment-manufacturer flexibility program?

    This section describes requirements that apply to equipment 
manufacturers using the provisions of Sec.  1039.625 for equipment 
produced outside the United States. Note that Sec.  1039.625 limits 
these provisions to equipment manufacturers that install some engines 
and have primary responsibility for designing and manufacturing 
equipment. Companies that import equipment into the United States 
without meeting these criteria are not eligible for these allowances. 
Such importers may import equipment with exempted engines only as 
described in paragraph (b) of this section.
    (a) As a foreign equipment manufacturer, you or someone else may 
import equipment with exempted engines under this section if you comply 
with the provisions in Sec.  1039.625 and commit to the following:
    (1) Give any EPA inspector or auditor complete and immediate access 
to inspect and audit, as follows:
    (i) Inspections and audits may be announced or unannounced.
    (ii) Inspections and audits may be by EPA employees or EPA 
contractors.
    (iii) You must provide access to any location where--
    (A) Any nonroad engine, equipment, or vehicle is produced or stored.
    (B) Documents related to manufacturer operations are kept.
    (C) Equipment, engines, or vehicles are tested or stored for 
testing.
    (iv) You must provide any documents requested by an EPA inspector or 
auditor that are related to matters covered by the inspections or audit.

[[Page 597]]

    (v) EPA inspections and audits may include review and copying of any 
documents related to demonstrating compliance with the exemptions in 
Sec.  1039.625.
    (vi) EPA inspections and audits may include inspection and 
evaluation of complete or incomplete equipment, engines, or vehicles, 
and interviewing employees.
    (vii) You must make any of your employees available for interview by 
the EPA inspector or auditor, on request, within a reasonable time 
period.
    (viii) You must provide English language translations of any 
documents to an EPA inspector or auditor, on request, within 10 working 
days.
    (ix) You must provide English-language interpreters to accompany EPA 
inspectors and auditors, on request.
    (2) Name an agent for service of process located in the District of 
Columbia. 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.
    (3) The forum for any civil or criminal enforcement action related 
to the provisions of this section for violations of the Clean Air Act or 
regulations promulgated thereunder shall be governed by the Clean Air 
Act.
    (4) The substantive and procedural laws of the United States shall 
apply to any civil or criminal enforcement action against you or any of 
your officers or employees related to the provisions of this section.
    (5) Provide the notification required by Sec.  1039.625(g). Include 
in the notice of intent in Sec.  1039.625(g)(1) a commitment to comply 
with the requirements and obligations of Sec.  1039.625 and this 
section. This commitment must be signed by the owner or president.
    (6) You, your agents, officers, and employees must not seek to 
detain or to impose civil or criminal remedies against EPA inspectors or 
auditors, whether EPA employees or EPA contractors, for actions 
performed within the scope of EPA employment related to the provisions 
of this section.
    (7) By submitting notification of your intent to use the provisions 
of Sec.  1039.625, producing and exporting for resale to the United 
States nonroad equipment under this section, or taking other actions to 
comply with the requirements of this part, you, your agents, officers, 
and employees, without exception, become subject to the full operation 
of the administrative and judicial enforcement powers and provisions of 
the United States as described in 28 U.S.C. 1605(a)(2), without 
limitation based on sovereign immunity, for conduct that violates the 
requirements applicable to you under this part 1039--including such 
conduct that violates 18 U.S.C. 1001, 42 U.S.C. 7413(c)(2), or other 
applicable provisions of the Clean Air Act'with respect to actions 
instituted against you and your agents, officers, and employees in any 
court or other tribunal in the United States.
    (8) Any report or other document you submit to us must be in the 
English language, or include a complete translation in English.
    (9) You must post a bond to cover any potential enforcement actions 
under the Clean Air Act before you or anyone else imports your equipment 
under this section, as follows:
    (i) The value of the bond is based on the per-engine bond values 
shown in Table 1 of this section and on the highest number of engines in 
each power category you produce in any single calendar year under the 
provisions of Sec.  1039.625. For example, if you have projected U.S.-
directed production volumes of 100 exempt engines in the 19-56 kW power 
category and 300 exempt engines in the 56-130 kW power category in 2013, 
the appropriate bond amount is $180,000. If your estimated or actual 
engine imports increase beyond the level appropriate for your current 
bond payment, you must post additional bond to reflect the increased 
sales within 90 days after you change your estimate or determine the 
actual sales. You may not decrease your bond.
    (ii) You may meet the bond requirements of this section with any of 
the following methods:
    (A) Get a bond from a third-party surety that is cited in the U.S. 
Department of Treasury Circular 570, ``Companies Holding Certificates of 
Authority as Acceptable Sureties on Federal Bonds and as Acceptable 
Reinsuring Companies.'' Maintain this bond for

[[Page 598]]

five years after the applicable allowance period expires, or five years 
after you use up all the available allowances under Sec.  1039.625, 
whichever comes first.
    (B) Get the Designated Enforcement Officer to approve a waiver from 
the bonding requirement, as long as you can show that you have assets of 
an appropriate liquidity and value readily available in the United 
States.
    (iii) If you forfeit some or all of your bond in an enforcement 
action, you must post any appropriate bond for continuing importation 
within 90 days after you forfeit the bond amount.

           Table 1 of Sec.   1039.626--Per-Engine Bond Values
------------------------------------------------------------------------
                                                          The per-engine
  For engines with maximum engine power falling in the     bond value is
                 following ranges . . .                        . . .
------------------------------------------------------------------------
kW < 19.................................................            $150
19 <= kW < 56...........................................             300
56 <= kW < 130..........................................             500
130 <= kW < 225.........................................           1,000
225 <= kW < 450.........................................           3,000
kW = 450.....................................           8,000
------------------------------------------------------------------------

    (iv) You will forfeit the proceeds of the bond posted under this 
paragraph (a)(9) if you need to satisfy any United States administrative 
final order or judicial judgment against you arising from your conduct 
in violation of this part 1039, including such conduct that violates 18 
U.S.C. 1001, 42 U.S.C. 7413(c)(2), or other applicable provisions of the 
Clean Air Act.
    (b) The provisions of this paragraph (b) apply to importers that do 
not install engines into equipment and do not have primary 
responsibility for designing and manufacturing equipment. Such importers 
may import equipment with engines exempted under Sec.  1039.625 only if 
each engine is exempted under an allowance provided to an equipment 
manufacturer meeting the requirements of Sec.  1039.625 and this 
section. You must notify us of your intent to use the provisions of this 
section and send us an annual report, as follows:
    (1) Before January 1 of the first year you intend to use the 
provisions of this section, send the Designated Compliance Officer and 
the Designated Enforcement Officer a written notice of your intent, 
including:
    (i) Your company's name and address, and your parent company's name 
and address, if applicable.
    (ii) The name and address of the companies that produce the 
equipment and engines you will be importing under this section.
    (iii) Your best estimate of the number of units in each power 
category you will import under this section in the upcoming calendar 
year, broken down by equipment manufacturer and power category.
    (iv) The number of units in each power category you have imported in 
previous calendar years under 40 CFR 89.102(d).
    (2) For each year that you use the provisions of this section, send 
the Designated Compliance Officer and the Designated Enforcement Officer 
a written report by March 31 of the following year. Include in your 
report the total number of engines you imported under this section in 
the preceding calendar year, broken down by engine manufacturer and by 
equipment manufacturer.



Sec.  1039.627  What are the incentives for equipment manufacturers to use cleaner engines?

    This section allows equipment manufacturers to generate additional 
allowances under the provisions of Sec.  1039.625 by producing equipment 
using engines at or above 19 kW certified to specified levels earlier 
than otherwise required.
    (a) For early-compliant engines to generate offsets for use under 
this section, the following general provisions apply:
    (1) The engine manufacturer must comply with the provisions of Sec.  
1039.104(a)(1) for the offset-generating engines.
    (2) Engines you install in your equipment after December 31 of the 
years specified in Sec.  1039.104(a)(1) do not generate allowances under 
this section, even if the engine manufacturer generated offsets for that 
engine under Sec.  1039.104(a).
    (3) Offset-generating engines must be certified to the following 
standards under this part 1039:

[[Page 599]]



----------------------------------------------------------------------------------------------------------------
                                                                            You may reduce
                                                                            the number of
                                                          Certified early   engines in the
  If the engine's maximum       And you install . . .       to the . . .      same power       In later model
       power is . . .                                                       category that      years by . . .
                                                                           are required to
                                                                            meet the . . .
----------------------------------------------------------------------------------------------------------------
(i) kW = 19.....  One engine.................  Emissions        Standards in     One engine.
                                                           standards in     Tables 2
                                                           Sec.             through 7 of
                                                           1039.101.        Sec.
                                                                            1039.102 or in
                                                                            Sec.
                                                                            1039.101.
(ii) 56 <= kW < 130........  Two engines................  NOX standards    Standards in     One engine.
                                                           in Sec.          Tables 2
                                                           1039.102         through 7 of
                                                           (d)(1), and      Sec.
                                                           NMHC standard    1039.102 or in
                                                           of 0.19 g/kW-    Sec.
                                                           hr, a PM         1039.101.
                                                           standard of
                                                           0.02 g/kW-hr,
                                                           and a CO
                                                           standard of
                                                           5.0 g/kW-hr.
(iii) 130 <= kW < 560......  Two engines................  NOX standards    Standards in     One engine.
                                                           in Sec.          Tables 2
                                                           1039.102         through 7 of
                                                           (d)(2), an       Sec.
                                                           NMHC standard    1039.102 or in
                                                           of 0.19 g/kW-    Sec.
                                                           hr, a PM         1039.101.
                                                           standard of
                                                           0.02 g/kW-hr,
                                                           and a CO
                                                           standard of
                                                           3.5 g/kW-hr.
----------------------------------------------------------------------------------------------------------------

    (b) Using engine offsets. (1) You may use engine offsets generated 
under paragraph (a) of this section to generate additional allowances 
under Sec.  1039.625, as follows:
    (i) For each engine offset, you may increase the number of available 
allowances under Sec.  1039.625(b) for that power category by one engine 
for the years indicated.
    (ii) For engines in 56-560 kW power categories, you may transfer 
engine offsets across power categories within this power range. 
Calculate the number of additional allowances by scaling the number of 
generated engine offsets according to the ratio of engine power for 
offset and allowance engines. Make this calculation for all your offset 
engines for which you will transfer offsets under this paragraph 
(b)(1)(ii), then round the result to determine the total number of 
available power-weighted allowances. For example, if you generate engine 
offsets for 75 500-kW engines, you may generate up to 37,500 kW-engines 
of power-weighted allowances. You may apply this to 375 100-kW engines 
or any other combination that totals 37,500 kW-engines.
    (2) You may decline to use the offsets. If you decline, the engine 
manufacturer may use the provisions of Sec.  1039.104(a)(1).
    (c) Limitation on offsets for engines above 560 kW. For engines 
above 560 kW, you must track how many engines you install in generator 
sets and how many you install in other applications under the provisions 
of this section. Offsets from generator-set engines may be used only for 
generator-set engines. Offsets from engines for other applications may 
be used only for other applications besides generator sets.
    (d) Reporting. When you submit your first annual report under Sec.  
1039.625(g), include the following additional information related to the 
engines you use to generate offsets under this section:
    (1) The name of each engine family involved.
    (2) The number of engines from each power category.
    (3) The maximum engine power of each engine.
    (4) For engines above 560 kW, whether you use engines certified to 
the standards for generator-set engines.
    (e) In-use fuel. If the engine manufacturer certifies using ultra 
low-sulfur diesel fuel, you must take steps to ensure that the in-use 
engines in the family will use diesel fuel with a sulfur concentration 
no greater than 15 ppm.

[[Page 600]]

For example, selling equipment only into applications where the operator 
commits to a central-fueling facility with ultra low-sulfur diesel fuel 
throughout its lifetime would meet this requirement.



Sec.  1039.630  What are the economic hardship provisions for equipment manufacturers?

    If you qualify for the economic hardship provisions specified in 40 
CFR 1068.255, we may approve your hardship application subject to the 
following additional conditions:
    (a) You must show that you have used up the allowances to produce 
equipment with exempted engines under Sec.  1039.625.
    (b) You may produce equipment under this section for up to 12 months 
total (or 24 months total for small-volume manufacturers).



Sec.  1039.635  What are the hardship provisions for engine manufacturers?

    If you qualify for the hardship provisions specified in 40 CFR 
1068.245, we may approve a period of delayed compliance for up to one 
model year total (or two model years total for small-volume 
manufacturers). If you qualify for the hardship provisions specified in 
40 CFR 1068.250 for small-volume manufacturers, we may approve a period 
of delayed compliance for up to two model years total.



Sec.  1039.640  What special provisions apply to branded engines?

    The following provisions apply if you identify the name and 
trademark of another company instead of your own on your emission 
control information label, as provided by Sec.  1039.135(c)(2):
    (a) You must have a contractual agreement with the other company 
that obligates that company to take the following steps:
    (1) Meet the emission warranty requirements that apply under Sec.  
1039.120. This may involve a separate agreement involving reimbursement 
of warranty-related expenses.
    (2) Report all warranty-related information to the certificate 
holder.
    (b) In your application for certification, identify the company 
whose trademark you will use and describe the arrangements you have made 
to meet your requirements under this section.
    (c) You remain responsible for meeting all the requirements of this 
chapter, including warranty and defect-reporting provisions.



Sec.  1039.645  What special provisions apply to engines used for transportation refrigeration units?

    Manufacturers may choose to use the provisions of this section for 
engines used in transportation refrigeration units (TRUs). The operating 
restrictions and characteristics in paragraph (f) of this section define 
engines that are not used in TRUs. All provisions of this part apply for 
TRU engines, except as specified in this section.
    (a) You may certify engines under this section with the following 
special provisions:
    (1) The engines are not subject to the transient emission standards 
of subpart B of this part.
    (2) The steady-state emission standards in subpart B of this part 
apply for emissions measured over the steady-state test cycle described 
in paragraph (b) of this section instead of the otherwise applicable 
duty cycle described in Sec.  1039.505.
    (b) Measure steady-state emissions using the procedures specified in 
Sec.  1039.505, except for the duty cycles, as follows:
    (1) The following duty cycle applies for discrete-mode testing:

     Table 1 of Sec.   1039.645--Discrete-Mode Cycle for TRU Engines
------------------------------------------------------------------------
                                                  Observed    Weighting
      Mode number          Engine speed \1\      torque \2\    factors
------------------------------------------------------------------------
1.....................  Maximum test speed....           75         0.25
2.....................  Maximum test speed....           50         0.25
3.....................  Intermediate test                75         0.25
                         speed.
4.....................  Intermediate test                50        0.25
                         speed.
------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the given
  engine speed.


[[Page 601]]

    (2) The following duty cycle applies for ramped-modal testing:

                         Table 2 of Sec.   1039.645--Ramped-Modal Cycle for TRU Engines
----------------------------------------------------------------------------------------------------------------
                                       Time in mode
              RMC  mode                  (seconds)        Engine speed \1\          Torque  (percent) \2,3\
----------------------------------------------------------------------------------------------------------------
1a Steady-state.....................             290  Intermediate Speed.....  75.
1b Transition.......................              20  Intermediate Speed.....  Linear Transition.
2a Steady-state.....................             280  Intermediate Speed.....  50.
2b Transition.......................              20  Linear Transition......  Linear Transition.
3a Steady-state.....................             280  Maximum Test Speed.....  75.
3b Transition.......................              20  Maximum Test Speed.....  Linear Transition.
4 Steady-state......................             290  Maximum Test Speed.....  50
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the commanded engine speed.
\3\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
  a linear progression from the torque setting of the current mode to the torque setting of the next mode, and
  simultaneously command a similar linear progression for engine speed if there is a change in speed setting.

    (c) Engines certified under this section must be certified in a 
separate engine family that contains only TRU engines.
    (d) You must do the following for each engine certified under this 
section:
    (1) State on the emission control information label: ``THIS ENGINE 
IS CERTIFIED TO OPERATE ONLY IN TRANSPORTATION REFRIGERATION UNITS. 
INSTALLING OR USING THIS ENGINE IN ANY OTHER APPLICATION MAY BE A 
VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.''.
    (2) State in the emission-related installation instructions all 
steps necessary to ensure that the engine will operate only in the modes 
covered by the test cycle described in this section.
    (3) Keep records to document the destinations and quantities of 
engines produced under this section.
    (e) All engines certified under this section must comply with NTE 
standards, as described in Sec.  1039.101 or Sec.  1039.102 for the 
applicable model year, except that the NTE standards are not limited 
with respect to operating speeds and loads. In your application for 
certification, certify that all the engines in the engine family comply 
with the not-to-exceed emission standards for all normal operation and 
use. The deficiency provisions of Sec.  1039.104(d) do not apply to 
these engines. This paragraph (e) applies whether or not the engine 
would otherwise be subject to NTE standards.
    (f) An engine is not considered to be used in a TRU if any of the 
following is true:
    (1) The engine is installed in any equipment other than 
refrigeration units for railcars, truck trailers, or other freight 
vehicles.
    (2) The engine operates in any mode not covered by the test cycle 
described in this section, except as follows:
    (i) The engine may operate briefly at idle. Note, however, that TRU 
engines must meet NTE emission standards under any type of operation, 
including idle, as described in paragraph (e) of this section.
    (ii) The engine may have a minimal amount of transitional operation 
between two allowable modes. As an example, a thirty-second transition 
period would clearly not be considered minimal.
    (iii) The engine as installed may experience up to a 2-percent 
decrease in load at a given setpoint over any 10-minute period, and up 
to a 15-percent decrease in load at a given setpoint over any 60-minute 
period.
    (3) The engine is sold in a configuration that allows the engine to 
operate in any mode not covered by the test cycle described in this 
section. For example, this section does not apply to an engine sold 
without a governor limiting operation only to those modes covered by the 
test cycle described in this section.
    (4) The engine is subject to Tier 3 or earlier standards, or phase-
out Tier 4 standards.

[[Page 602]]


    Effective Date Note: At 73 FR 37241, June 30,2008, Sec.  1039.645 
was amended by revising paragraph (b)(1), effective July 7, 2008. For 
the convenience of the user, the revised text is set forth as follows:



Sec.  1039.645  What special provisions apply to engines used for 
          transportation refrigeration units?

                                * * * * *

    (b) * * *
    (1) The following duty cycle applies for discrete-mode testing:

                        Table 1 of Sec.   1039.645.--Discrete-Mode Cycle for TRU Engines
----------------------------------------------------------------------------------------------------------------
                                                                                      Torque         Weighting
                Mode number                            Engine speed \1\            (percent) \2\      factors
----------------------------------------------------------------------------------------------------------------
1..........................................  Maximum test speed.................              75            0.25
2..........................................  Maximum test speed.................              50            0.25
3..........................................  Intermediate test speed............              75            0.25
4..........................................  Intermediate test speed............              50            0.25
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the given engine speed.

                                * * * * *



Sec.  1039.650  [Reserved]



Sec.  1039.655  What special provisions apply to engines sold in Guam, American Samoa, or the Commonwealth of the Northern Mariana Islands?

    (a) The prohibitions in Sec.  1068.101(a)(1) do not apply to an 
engine if the following conditions are met:
    (1) The engine is intended for use and will be used in Guam, 
American Samoa, or the Commonwealth of the Northern Mariana Islands.
    (2) The engine meets the latest applicable emission standards in 40 
CFR 89.112.
    (3) You meet all the requirements of 40 CFR 1068.265.
    (b) If you introduce an engine into commerce in the United States 
under this section, you must meet the labeling requirements in 40 CFR 
89.110, but add the following statement instead of the compliance 
statement in 40 CFR 89.110(b)(10):

THIS ENGINE DOES NOT COMPLY WITH U.S. EPA TIER 4 EMISSION REQUIREMENTS. 
IMPORTING THIS ENGINE INTO THE UNITED STATES OR ANY TERRITORY OF THE 
UNITED STATES EXCEPT GUAM, AMERICAN SAMOA, OR THE COMMONWEALTH OF THE 
NORTHERN MARIANA ISLANDS MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO 
CIVIL PENALTY.

    (c) Introducing into commerce an engine exempted under this section 
in any state or territory of the United States other than Guam, American 
Samoa, or the Commonwealth of the Northern Mariana Islands, throughout 
its lifetime, violates the prohibitions in 40 CFR 1068.101(a)(1), unless 
it is exempt under a different provision.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40464, July 13, 2005]



Sec.  1039.660  What special provisions apply to Independent Commercial Importers?

    Under Sec.  1039.801, certain engines are considered to be new 
engines when they are imported into the United States, even if they have 
previously been used outside the country. Independent Commercial 
Importers may use the provisions of 40 CFR part 89, subpart G, and 40 
CFR 89.906(b) to receive a certificate of conformity for engines meeting 
all the requirements of this part 1039.



       Subpart H_Averaging, Banking, and Trading for Certification



Sec.  1039.701  General provisions.

    (a) You may average, bank, and trade (ABT) emission credits for 
purposes of certification as described in this subpart to show 
compliance with the standards of this part. Participation in this 
program is voluntary.
    (b) Section 1039.740 restricts the use of emission credits to 
certain averaging sets.

[[Page 603]]

    (c) The definitions of Subpart I of this part apply to this subpart. 
The following definitions also apply:
    (1) Actual emission credits means emission credits you have 
generated that we have verified by reviewing your final report.
    (2) Averaging set means a set of engines in which emission credits 
may be exchanged only with other engines in the same averaging set.
    (3) Broker means any entity that facilitates a trade of emission 
credits between a buyer and seller.
    (4) Buyer means the entity that receives emission credits as a 
result of a trade.
    (5) Reserved emission credits means emission credits you have 
generated that we have not yet verified by reviewing your final report.
    (6) Seller means the entity that provides emission credits during a 
trade.
    (7) Standard means the emission standard that applies under subpart 
B of this part for engines not participating in the ABT program of this 
subpart.
    (8) Trade means to exchange emission credits, either as a buyer or 
seller.
    (d) You may not use emission credits generated under this subpart to 
offset any emissions that exceed an FEL or standard. This applies for 
all testing, including certification testing, in-use testing, selective 
enforcement audits, and other production-line testing. However, if 
emissions from an engine exceed an FEL or standard (for example, during 
a selective enforcement audit), you may use emission credits to 
recertify the engine family with a higher FEL that applies only to 
future production.
    (e) Engine families that use emission credits for one or more 
pollutants may not generate positive emission credits for another 
pollutant.
    (f) Emission credits may be used in the model year they are 
generated or in future model years. Emission credits may not be used for 
past model years.
    (g) You may increase or decrease an FEL during the model year by 
amending your application for certification under Sec.  1039.225. The 
new FEL may apply only to engines you have not already introduced into 
commerce. Each engine's emission control information label must include 
the applicable FELs.



Sec.  1039.705  How do I generate and calculate emission credits?

    The provisions of this section apply separately for calculating 
emission credits for NOX, NOX+NMHC, or PM.
    (a) [Reserved]
    (b) For each participating family, calculate positive or negative 
emission credits relative to the otherwise applicable emission standard. 
Calculate positive emission credits for a family that has an FEL below 
the standard. Calculate negative emission credits for a family that has 
an FEL above the standard. Sum your positive and negative credits for 
the model year before rounding. Round calculated emission credits to the 
nearest kilogram (kg), using consistent units throughout the following 
equation:

Emission credits (kg) = (Std - FEL) x (Volume) x (AvgPR) x (UL) x 
    (10-3)

Where:

Std = the emission standard, in grams per kilowatt-hour, that applies 
under subpart B of this part for engines not participating in the ABT 
program of this subpart (the ``otherwise applicable standard'').
FEL = the family emission limit for the engine family, in grams per 
kilowatt-hour.
Volume = the number of engines eligible to participate in the averaging, 
banking, and trading program within the given engine family during the 
model year, as described in paragraph (c) of this section.
AvgPR = the average maximum engine power of all the engine 
configurations within an engine family, calculated on a sales-weighted 
basis, in kilowatts.
UL = the useful life for the given engine family, in hours.

    (c) In your application for certification, base your showing of 
compliance on projected production volumes for engines whose point of 
first retail sale is in the United States. As described in Sec.  
1039.730, compliance with the requirements of this subpart is determined 
at the end of the model year based on actual production volumes for 
engines whose point of first retail sale is in the United States. Do not 
include any of the following engines to calculate emission credits:
    (1) Engines exempted under subpart G of this part or under 40 CFR 
part 1068.

[[Page 604]]

    (2) Exported engines.
    (3) Engines not subject to the requirements of this part, such as 
those excluded under Sec.  1039.5.
    (4) Engines in families that include only stationary engines, except 
for engines in families certified to standards that are identical to 
standards applicable under this part 1039 to nonroad engines of the same 
type for the same model year.
    (5) Any other engines, where we indicate elsewhere in this part 1039 
that they are not to be included in the calculations of this subpart.

[69 FR 39213, June 29, 2004, as amended at 71 FR 39185, July 11, 2006; 
72 FR 53133, Sept. 18, 2007]



Sec.  1039.710  How do I average emission credits?

    (a) Averaging is the exchange of emission credits among your engine 
families. You may average emission credits only within the same 
averaging set.
    (b) You may certify one or more engine families to an FEL above the 
applicable standard, subject to the FEL caps and other provisions in 
subpart B of this part, if you show in your application for 
certification that your projected balance of all emission-credit 
transactions in that model year is greater than or equal to zero.
    (c) If you certify an engine family to an FEL that exceeds the 
otherwise applicable standard, you must obtain enough emission credits 
to offset the engine family's deficit by the due date for the final 
report required in Sec.  1039.730. The emission credits used to address 
the deficit may come from your other engine families that generate 
emission credits in the same model year, from emission credits you have 
banked, or from emission credits you obtain through trading.



Sec.  1039.715  How do I bank emission credits?

    (a) Banking is the retention of emission credits by the manufacturer 
generating the emission credits for use in averaging or trading in 
future model years. You may use banked emission credits only within the 
averaging set in which they were generated.
    (b) In your application for certification, designate any emission 
credits you intend to bank. These emission credits will be considered 
reserved credits. During the model year and before the due date for the 
final report, you may redesignate these emission credits for averaging 
or trading.
    (c) You may use banked emission credits from the previous model year 
for averaging or trading before we verify them, but we may revoke these 
emission credits if we are unable to verify them after reviewing your 
reports or auditing your records.
    (d) Reserved credits become actual emission credits only when we 
verify them in reviewing your final report.



Sec.  1039.720  How do I trade emission credits?

    (a) Trading is the exchange of emission credits between 
manufacturers. You may use traded emission credits for averaging, 
banking, or further trading transactions. Traded emission credits may be 
used only within the averaging set in which they were generated.
    (b) You may trade actual emission credits as described in this 
subpart. You may also trade reserved emission credits, but we may revoke 
these emission credits based on our review of your records or reports or 
those of the company with which you traded emission credits.
    (c) If a negative emission credit balance results from a 
transaction, both the buyer and seller are liable, except in cases we 
deem to involve fraud. See Sec.  1039.255(e) for cases involving fraud. 
We may void the certificates of all engine families participating in a 
trade that results in a manufacturer having a negative balance of 
emission credits. See Sec.  1039.745.



Sec.  1039.725  What must I include in my application for certification?

    (a) You must declare in your application for certification your 
intent to use the provisions of this subpart for each engine family that 
will be certified using the ABT program. You must also declare the FELs 
you select for the engine family for each pollutant for which you are 
using the ABT program.

[[Page 605]]

Your FELs must comply with the specifications of subpart B of this part, 
including the FEL caps. FELs must be expressed to the same number of 
decimal places as the applicable standards.
    (b) Include the following in your application for certification:
    (1) A statement that, to the best of your belief, you will not have 
a negative balance of emission credits for any averaging set when all 
emission credits are calculated at the end of the year.
    (2) Detailed calculations of projected emission credits (positive or 
negative) based on projected production volumes. If your engine family 
will generate positive emission credits, state specifically where the 
emission credits will be applied (for example, to which engine family 
they will be applied in averaging, whether they will be traded, or 
whether they will be reserved for banking). If you have projected 
negative emission credits for an engine family, state the source of 
positive emission credits to offset the negative emission credits. 
Describe whether the emission credits are actual or reserved and whether 
they will come from averaging, banking, trading, or a combination of 
these. Identify from which of your engine families or from which 
manufacturer the emission credits will come.



Sec.  1039.730  What ABT reports must I send to EPA?

    (a) If any of your engine families are certified using the ABT 
provisions of this subpart, you must send an end-of-year report within 
90 days after the end of the model year and a final report within 270 
days after the end of the model year. We may waive the requirement to 
send the end-of year report, as long as you send the final report on 
time.
    (b) Your end-of-year and final reports must include the following 
information for each engine family participating in the ABT program:
    (1) Engine-family designation.
    (2) The emission standards that would otherwise apply to the engine 
family.
    (3) The FEL for each pollutant. If you changed an FEL during the 
model year, identify each FEL you used and calculate the positive or 
negative emission credits under each FEL. Also, describe how the 
applicable FEL can be identified for each engine you produced. For 
example, you might keep a list of engine identification numbers that 
correspond with certain FEL values.
    (4) The projected and actual production volumes for the model year 
with a point of retail sale in the United States. If you changed an FEL 
during the model year, identify the actual production volume associated 
with each FEL.
    (5) Maximum engine power for each engine configuration, and the 
sales-weighted average engine power for the engine family.
    (6) Useful life.
    (7) Calculated positive or negative emission credits for the whole 
engine family. Identify any emission credits that you traded, as 
described in paragraph (d)(1) of this section.
    (c) Your end-of-year and final reports must include the following 
additional information:
    (1) Show that your net balance of emission credits from all your 
participating engine families in each averaging set in the applicable 
model year is not negative.
    (2) State whether you will reserve any emission credits for banking.
    (3) State that the report's contents are accurate.
    (d) If you trade emission credits, you must send us a report within 
90 days after the transaction, as follows:
    (1) As the seller, you must include the following information in 
your report:
    (i) The corporate names of the buyer and any brokers.
    (ii) A copy of any contracts related to the trade.
    (iii) The engine families that generated emission credits for the 
trade, including the number of emission credits from each family.
    (2) As the buyer, you must include the following information in your 
report:
    (i) The corporate names of the seller and any brokers.
    (ii) A copy of any contracts related to the trade.

[[Page 606]]

    (iii) How you intend to use the emission credits, including the 
number of emission credits you intend to apply to each engine family (if 
known).
    (e) Send your reports electronically to the Designated Compliance 
Officer using an approved information format. If you want to use a 
different format, send us a written request with justification for a 
waiver.
    (f) Correct errors in your end-of-year report or final report as 
follows:
    (1) You may correct any errors in your end-of-year report when you 
prepare the final report, as long as you send us the final report by the 
time it is due.
    (2) If you or we determine within 270 days after the end of the 
model year that errors mistakenly decrease your balance of emission 
credits, you may correct the errors and recalculate the balance of 
emission credits. You may not make these corrections for errors that are 
determined more than 270 days after the end of the model year. If you 
report a negative balance of emission credits, we may disallow 
corrections under this paragraph (f)(2).
    (3) If you or we determine anytime that errors mistakenly increase 
your balance of emission credits, you must correct the errors and 
recalculate the balance of emission credits.

[69 FR 39213, June 29, 2004, as amended at 72 FR 53133, Sept. 18, 2007]



Sec.  1039.735  What records must I keep?

    (a) You must organize and maintain your records as described in this 
section. We may review your records at any time.
    (b) Keep the records required by this section for eight years after 
the due date for the end-of-year report. You may not use emission 
credits on any engines if you do not keep all the records required under 
this section. You must therefore keep these records to continue to bank 
valid credits. Store these records in any format and on any media, as 
long as you can promptly send us organized, written records in English 
if we ask for them. You must keep these records readily available. We 
may review them at any time.
    (c) Keep a copy of the reports we require in Sec.  1039.725 and 
Sec.  1039.730.
    (d) Keep the following additional records for each engine you 
produce that generates or uses emission credits under the ABT program:
    (1) Engine family designation.
    (2) Engine identification number.
    (3) FEL and useful life.
    (4) Maximum engine power.
    (5) Build date and assembly plant.
    (6) Purchaser and destination.
    (e) We may require you to keep additional records or to send us 
relevant information not required by this section.

[69 FR 39213, June 29, 2004, as amended at 72 FR 53133, Sept. 18, 2007]



Sec.  1039.740  What restrictions apply for using emission credits?

    The following restrictions apply for using emission credits:
    (a) Averaging sets. Emission credits may be exchanged only within an 
averaging set. For Tier 4 engines, there are two averaging sets--one for 
engines at or below 560 kW and another for engines above 560 kW.
    (b) Emission credits from earlier tiers of standards. (1) For 
purposes of ABT under this subpart, you may not use emission credits 
generated from engines subject to emission standards under 40 CFR part 
89, except as specified in Sec.  1039.102(d)(1) or the following table:

------------------------------------------------------------------------
                                     And it was        Then you may use
  If the maximum power of the     certified to the       those banked
credit-generating engine is . .       following        credits for the
               .                 standards under 40    following Tier 4
                                  CFR part 89 . . .     engines . . .
------------------------------------------------------------------------
(i) kW < 19....................  Tier 2............  kW < 19
(ii) 19 <= kW < 37.............  Tier 2............  kW = 19
(iii) 37 <= kW <= 560..........  Tier 3............  kW = 19
(iv) kW  560........  Tier 2............  kW = 19
------------------------------------------------------------------------

    (2) Emission credits generated from marine engines certified under 
the provisions of 40 CFR part 89 may not be used under this part.
    (3) See 40 CFR part 89 for other restrictions that may apply for 
using emission credits generated under that part.
    (4) If the maximum power of an engine generating credits under the 
Tier 2 standards in 40 CFR part 89 is at or above 37 kW and below 75 kW, 
you may use those credits for certifying engines under the Option 
1 standards in Sec.  1039.102.

[[Page 607]]

    (c) NOX and NOX+NMHC emission credits. You may use NOX 
emission credits without adjustment to show compliance with 
NOX+NMHC standards. You may use NOX+NMHC emission 
credits to show compliance with NOX standards, but you must 
adjust the NOX+NMHC emission credits downward by twenty 
percent when you use them, as shown in the following equation:

NOX emission credits = (0.8) x (NOX+NMHC emission 
    credits).

    (d) Other restrictions. Other sections of this part specify 
additional restrictions for using emission credits under certain special 
provisions.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40464, July 13, 2005]



Sec.  1039.745  What can happen if I do not comply with the provisions of this subpart?

    (a) For each engine family participating in the ABT program, the 
certificate of conformity is conditional upon full compliance with the 
provisions of this subpart during and after the model year. You are 
responsible to establish to our satisfaction that you fully comply with 
applicable requirements. We may void the certificate of conformity for 
an engine family if you fail to comply with any provisions of this 
subpart.
    (b) You may certify your engine family to an FEL above an applicable 
standard based on a projection that you will have enough emission 
credits to offset the deficit for the engine family. However, we may 
void the certificate of conformity if you cannot show in your final 
report that you have enough actual emission credits to offset a deficit 
for any pollutant in an engine family.
    (c) We may void the certificate of conformity for an engine family 
if you fail to keep records, send reports, or give us information we 
request.
    (d) You may ask for a hearing if we void your certificate under this 
section (see Sec.  1039.820).



          Subpart I_Definitions and Other Reference Information



Sec.  1039.801  What definitions apply to this part?

    The following definitions apply to this part. The definitions apply 
to all subparts unless we note otherwise. All undefined terms have the 
meaning the Act gives to them. The definitions follow:
    Act means the Clean Air Act, as amended, 42 U.S.C. 7401-7671q.
    Adjustable parameter means any device, system, or element of design 
that someone can adjust (including those which are difficult to access) 
and that, if adjusted, may affect emissions or engine performance during 
emission testing or normal in-use operation. This includes, but is not 
limited to, parameters related to injection timing and fueling rate. You 
may ask us to exclude a parameter that is difficult to access if it 
cannot be adjusted to affect emissions without significantly degrading 
engine performance, or if you otherwise show us that it will not be 
adjusted in a way that affects emissions during in-use operation.
    Aftertreatment means relating to a catalytic converter, particulate 
filter, or any other system, component, or technology mounted downstream 
of the exhaust valve (or exhaust port) whose design function is to 
decrease emissions in the engine exhaust before it is exhausted to the 
environment. Exhaust-gas recirculation (EGR) and turbochargers are not 
aftertreatment.
    Aircraft means any vehicle capable of sustained air travel above 
treetop heights.
    Amphibious vehicle means a vehicle with wheels or tracks that is 
designed primarily for operation on land and secondarily for operation 
in water.
    Auxiliary emission-control device means any element of design that 
senses temperature, motive speed, engine RPM, transmission gear, or any 
other parameter for the purpose of activating, modulating, delaying, or 
deactivating the operation of any part of the emission-control system.
    Brake power means the usable power output of the engine, not 
including power required to fuel, lubricate, or heat the engine, 
circulate coolant to

[[Page 608]]

the engine, or to operate aftertreatment devices.
    Calibration means the set of specifications and tolerances specific 
to a particular design, version, or application of a component or 
assembly capable of functionally describing its operation over its 
working range.
    Certification means relating to the process of obtaining a 
certificate of conformity for an engine family that complies with the 
emission standards and requirements in this part.
    Certified emission level means the highest deteriorated emission 
level in an engine family for a given pollutant from either transient or 
steady-state testing.
    Compression-ignition means relating to a type of reciprocating, 
internal-combustion engine that is not a spark-ignition engine.
    Constant-speed engine means an engine whose certification is limited 
to constant-speed operation. Engines whose constant-speed governor 
function is removed or disabled are no longer constant-speed engines.
    Constant-speed operation has the meaning given in 40 CFR 1065.1001.
    Crankcase emissions means airborne substances emitted to the 
atmosphere from any part of the engine crankcase's ventilation or 
lubrication systems. The crankcase is the housing for the crankshaft and 
other related internal parts.
    Critical emission-related component means any of the following 
components:
    (1) Electronic control units, aftertreatment devices, fuel-metering 
components, EGR-system components, crankcase-ventilation valves, all 
components related to charge-air compression and cooling, and all 
sensors and actuators associated with any of these components.
    (2) Any other component whose primary purpose is to reduce 
emissions.
    Designated Compliance Officer means the Manager, Heavy-Duty and 
Nonroad Engine Group (6403-J), U.S. Environmental Protection Agency, 
1200 Pennsylvania Ave., NW., Washington, DC 20460.
    Designated Enforcement Officer means the Director, Air Enforcement 
Division (2242A), U.S. Environmental Protection Agency, 1200 
Pennsylvania Ave., NW.,Washington, DC 20460.
    Deteriorated emission level means the emission level that results 
from applying the appropriate deterioration factor to the official 
emission result of the emission-data engine.
    Deterioration factor means the relationship between emissions at the 
end of useful life and emissions at the low-hour test point, expressed 
in one of the following ways:
    (1) For multiplicative deterioration factors, the ratio of emissions 
at the end of useful life to emissions at the low-hour test point.
    (2) For additive deterioration factors, the difference between 
emissions at the end of useful life and emissions at the low-hour test 
point.
    Discrete-mode means relating to the discrete-mode type of steady-
state test described in Sec.  1039.505.
    Emission-control system means any device, system, or element of 
design that controls or reduces the emissions of regulated pollutants 
from an engine.
    Emission-data engine means an engine that is tested for 
certification. This includes engines tested to establish deterioration 
factors.
    Emission-related maintenance means maintenance that substantially 
affects emissions or is likely to substantially affect emission 
deterioration.
    Engine configuration means a unique combination of engine hardware 
and calibration within an engine family. Engines within a single engine 
configuration differ only with respect to normal production variability.
    Engine family has the meaning given in Sec.  1039.230.
    Engine manufacturer means the manufacturer of the engine. See the 
definition of ``manufacturer'' in this section.
    Engine used in a locomotive means either an engine placed in the 
locomotive to move other equipment, freight, or passenger traffic; or an 
engine mounted on the locomotive to provide auxiliary power.
    Equipment manufacturer means a manufacturer of nonroad equipment. 
All nonroad equipment manufacturing entities under the control of the 
same person are considered to be a single nonroad equipment 
manufacturer.

[[Page 609]]

(Note: In Sec.  1039.626, the term ``equipment manufacturer'' has a 
narrower meaning, which applies only to that section.)
    Excluded means relating to an engine that either:
    (1) Has been determined not to be a nonroad engine, as specified in 
40 CFR 1068.30; or
    (2) Is a nonroad engine that, according to Sec.  1039.5, is not 
subject to this part 1039.
    Exempted has the meaning we give in 40 CFR 1068.30.
    Exhaust-gas recirculation means a technology that reduces emissions 
by routing exhaust gases that had been exhausted from the combustion 
chamber(s) back into the engine to be mixed with incoming air before or 
during combustion. The use of valve timing to increase the amount of 
residual exhaust gas in the combustion chamber(s) that is mixed with 
incoming air before or during combustion is not considered exhaust-gas 
recirculation for the purposes of this part.
    Family emission limit (FEL) means an emission level declared by the 
manufacturer to serve in place of an otherwise applicable emission 
standard under the ABT program in subpart H of this part. The family 
emission limit must be expressed to the same number of decimal places as 
the emission standard it replaces. The family emission limit serves as 
the emission standard for the engine family with respect to all required 
testing.
    Fuel system means all components involved in transporting, metering, 
and mixing the fuel from the fuel tank to the combustion chamber(s), 
including the fuel tank, fuel tank cap, fuel pump, fuel filters, fuel 
lines, carburetor or fuel-injection components, and all fuel-system 
vents.
    Fuel type means a general category of fuels such as diesel fuel or 
natural gas. There can be multiple grades within a single fuel type, 
such as high-sulfur or low-sulfur diesel fuel.
    Generator-set engine means an engine used primarily to operate an 
electrical generator or alternator to produce electric power for other 
applications.
    Good engineering judgment has the meaning we give in 40 CFR 1068.30. 
See 40 CFR 1068.5 for the administrative process we use to evaluate good 
engineering judgment.
    High-sulfur diesel fuel means one of the following:
    (1) For in-use fuels, high-sulfur diesel fuel means a diesel fuel 
with a maximum sulfur concentration greater than 500 parts per million.
    (2) For testing, high-sulfur diesel fuel has the meaning we give in 
40 CFR part 1065.
    Hydrocarbon (HC) means the hydrocarbon group on which the emission 
standards are based for each fuel type. For alcohol-fueled engines, HC 
means total hydrocarbon equivalent (THCE). For all other engines, HC 
means nonmethane hydrocarbon (NMHC).
    Identification number means a unique specification (for example, a 
model number/serial number combination) that allows someone to 
distinguish a particular engine from other similar engines.
    Intermediate test speed has the meaning given in 40 CFR 1065.1001.
    Low-hour means relating to an engine with stabilized emissions and 
represents the undeteriorated emission level. This would generally 
involve less than 300 hours of operation.
    Low-sulfur diesel fuel means one of the following:
    (1) For in-use fuels, low-sulfur diesel fuel means a diesel fuel 
with a maximum sulfur concentration of 500 parts per million.
    (2) For testing, low-sulfur diesel fuel has the meaning we give in 
40 CFR part 1065.
    Manufacture means the physical and engineering process of designing, 
constructing, and assembling a nonroad engine or a piece of nonroad 
equipment.
    Manufacturer has the meaning given in section 216(1) of the Act. In 
general, this term includes any person who manufactures an engine, 
vehicle, or piece of equipment for sale in the United States or 
otherwise introduces a new nonroad engine into commerce in the United 
States. This includes importers who import engines, equipment, or 
vehicles for resale. (Note: In Sec.  1039.626, the term ``equipment 
manufacturer'' has a narrower meaning, which applies only to that 
section.)

[[Page 610]]

    Marine engine means a nonroad engine that is installed or intended 
to be installed on a marine vessel. This includes a portable auxiliary 
marine engine only if its fueling, cooling, or exhaust system is an 
integral part of the vessel. There are two kinds of marine engines:
    (1) Propulsion marine engine means a marine engine that moves a 
vessel through the water or directs the vessel's movement.
    (2) Auxiliary marine engine means a marine engine not used for 
propulsion.
    Marine vessel has the meaning given in 1 U.S.C. 3, except that it 
does not include amphibious vehicles. The definition in 1 U.S.C. 3 very 
broadly includes every craft capable of being used as a means of 
transportation on water.
    Maximum engine power has the meaning given in Sec.  1039.140. Note 
that Sec.  1039.230 generally disallows grouping engines from different 
power categories in the same engine family.
    Maximum test speed has the meaning we give in 40 CFR 1065.1001.
    Maximum test torque has the meaning we give in 40 CFR 1065.1001.
    Model year means one of the following things:
    (1) For freshly manufactured equipment and engines (see definition 
of ``new nonroad engine,'' paragraph (1)), model year means one of the 
following:
    (i) Calendar year.
    (ii) Your annual new model production period if it is different than 
the calendar year. This must include January 1 of the calendar year for 
which the model year is named. It may not begin before January 2 of the 
previous calendar year and it must end by December 31 of the named 
calendar year.
    (2) For an engine that is converted to a nonroad engine after being 
placed into service as a motor-vehicle engine or a stationary engine, 
model year means the calendar year in which the engine was originally 
produced (see definition of ``new nonroad engine,'' paragraph (2)).
    (3) For a nonroad engine excluded under Sec.  1039.5 that is later 
converted to operate in an application that is not excluded, model year 
means the calendar year in which the engine was originally produced (see 
definition of ``new nonroad engine,'' paragraph (3)).
    (4) For engines that are not freshly manufactured but are installed 
in new nonroad equipment, model year means the calendar year in which 
the engine is installed in the new nonroad equipment (see definition of 
``new nonroad engine,'' paragraph (4)).
    (5) For imported engines:
    (i) For imported engines described in paragraph (5)(i) of the 
definition of ``new nonroad engine,'' model year has the meaning given 
in paragraphs (1) through (4) of this definition.
    (ii) For imported engines described in paragraph (5)(ii) of the 
definition of ``new nonroad engine,'' model year has the meaning given 
in 40 CFR 89.602 for independent commercial importers.
    Motor vehicle has the meaning we give in 40 CFR 85.1703(a).
    New nonroad engine means any of the following things:
    (1) A freshly manufactured nonroad engine for which the ultimate 
purchaser has never received the equitable or legal title. This kind of 
engine might commonly be thought of as ``brand new.'' In the case of 
this paragraph (1), the engine is new from the time it is produced until 
the ultimate purchaser receives the title or the product is placed into 
service, whichever comes first.
    (2) An engine originally manufactured as a motor-vehicle engine or a 
stationary engine that is later intended to be used in a piece of 
nonroad equipment. In this case, the engine is no longer a motor-vehicle 
or stationary engine and becomes a ``new nonroad engine''. The engine is 
no longer new when it is placed into nonroad service.
    (3) A nonroad engine that has been previously placed into service in 
an application we exclude under Sec.  1039.5, where that engine is 
installed in a piece of equipment that is covered by this part 1039. The 
engine is no longer new when it is placed into nonroad service covered 
by this part 1039. For example, this would apply to a marine diesel 
engine that is no longer used in a marine vessel.
    (4) An engine not covered by paragraphs (1) through (3) of this 
definition that is intended to be installed in new nonroad equipment. 
The engine is no

[[Page 611]]

longer new when the ultimate purchaser receives a title for the 
equipment or the product is placed into service, whichever comes first. 
This generally includes installation of used engines in new equipment.
    (5) An imported nonroad engine, subject to the following provisions:
    (i) An imported nonroad engine covered by a certificate of 
conformity issued under this part that meets the criteria of one or more 
of paragraphs (1) through (4) of this definition, where the original 
engine manufacturer holds the certificate, is new as defined by those 
applicable paragraphs.
    (ii) An imported nonroad engine covered by a certificate of 
conformity issued under this part, where someone other than the original 
engine manufacturer holds the certificate (such as when the engine is 
modified after its initial assembly), becomes new when it is imported. 
It is no longer new when the ultimate purchaser receives a title for the 
engine or it is placed into service, whichever comes first.
    (iii) An imported nonroad engine that is not covered by a 
certificate of conformity issued under this part at the time of 
importation is new, but only if it was produced on or after the dates 
shown in the following table. This addresses uncertified engines and 
equipment initially placed into service that someone seeks to import 
into the United States. Importation of this kind of new nonroad engine 
(or equipment containing such an engine) is generally prohibited by 40 
CFR part 1068.

     Applicability of Emission Standards for Nonroad Diesel Engines
------------------------------------------------------------------------
                                            Initial date of emission
         Maximum engine power                       standards
------------------------------------------------------------------------
kW < 19...............................  January 1, 2000.
19 <= kW < 37.........................  January 1, 1999.
37 <= kW < 75.........................  January 1, 1998.
75 <= kW < 130........................  January 1, 1997.
130 <= kW <= 560......................  January 1, 1996.
kW  560....................  January 1, 2000.
------------------------------------------------------------------------

    New nonroad equipment means either of the following things:
    (1) A nonroad piece of equipment for which the ultimate purchaser 
has never received the equitable or legal title. The product is no 
longer new when the ultimate purchaser receives this title or the 
product is placed into service, whichever comes first.
    (2) An imported nonroad piece of equipment with an engine not 
covered by a certificate of conformity issued under this part at the 
time of importation and manufactured after the requirements of this part 
start to apply (see Sec.  1039.1).
    Noncommercial fuel means a combustible product that is not marketed 
as a commercial fuel, but is used as a fuel for nonroad engines. For 
example, this includes methane that is produced and released from 
landfills or oil wells, or similar unprocessed fuels that are not 
intended to meet any otherwise applicable fuel specifications. See Sec.  
1039.615 for provisions related to engines designed to burn 
noncommercial fuels.
    Noncompliant engine means an engine that was originally covered by a 
certificate of conformity, but is not in the certified configuration or 
otherwise does not comply with the conditions of the certificate.
    Nonconforming engine means an engine not covered by a certificate of 
conformity that would otherwise be subject to emission standards.
    Nonmethane hydrocarbons (NMHC) means the sum of all hydrocarbon 
species except methane. Refer to 40 CFR 1065.660 for NMHC determination.
    Nonroad means relating to nonroad engines or equipment that includes 
nonroad engines.
    Nonroad engine has the meaning we give in 40 CFR 1068.30. In general 
this means all internal-combustion engines except motor vehicle engines, 
stationary engines, engines used solely for competition, or engines used 
in aircraft. This part does not apply to all nonroad engines (see Sec.  
1039.5).
    Nonroad equipment means a piece of equipment that is powered by one 
or more nonroad engines.
    Official emission result means the measured emission rate for an 
emission-data engine on a given duty cycle before the application of any 
deterioration factor, but after the applicability of regeneration 
adjustment factors.
    Opacity means the fraction of a beam of light, expressed in percent, 
which fails to penetrate a plume of smoke, as measured by the procedure 
specified in Sec.  1039.501.

[[Page 612]]

    Owners manual means a document or collection of documents prepared 
by the engine manufacturer for the owner or operator to describe 
appropriate engine maintenance, applicable warranties, and any other 
information related to operating or keeping the engine. The owners 
manual is typically provided to the ultimate purchaser at the time of 
sale.
    Oxides of nitrogen has the meaning given in 40 CFR 1065.1001.
    Particulate trap means a filtering device that is designed to 
physically trap all particulate matter above a certain size.
    Piece of equipment means any vehicle, vessel, or other type of 
equipment using engines to which this part applies.
    Placed into service means put into initial use for its intended 
purpose.
    Point of first retail sale means the location at which the initial 
retail sale occurs. This generally means an equipment dealership, but 
may also include an engine seller or distributor in cases where loose 
engines are sold to the general public for uses such as replacement 
engines.
    Power category means a specific range of maximum engine power that 
defines the applicability of standards. For example, references to the 
56-130 kW power category and 56 <= kW < 130 include all engines with 
maximum engine power at or above 56 kW but below 130 kW. Also references 
to 56-560 kW power categories or 56 <= kW <= 560 include all engines 
with maximum engine power at or above 56 kW but at or below 560 kW, even 
though these engines span multiple power categories. Note that in some 
cases, FEL caps are based on a subset of a power category. The power 
categories are defined as follows:
    (1) Engines with maximum power below 19 kW.
    (2) Engines with maximum power at or above 19 kW but below 56 kW.
    (3) Engines with maximum power at or above 56 kW but below 130 kW.
    (4) Engines with maximum power at or above 130 kW but at or below 
560 kW.
    (5) Engines with maximum power above 560 kW.
    Ramped-modal means relating to the ramped-modal type of steady-state 
test described in Sec.  1039.505.
    Rated speed means the maximum full-load governed speed for governed 
engines and the speed of maximum power for ungoverned engines.
    Revoke has the meaning we give in 40 CFR 1068.30.
    Round has the meaning given in 40 CFR 1065.1001.
    Scheduled maintenance means adjusting, repairing, removing, 
disassembling, cleaning, or replacing components or systems periodically 
to keep a part or system from failing, malfunctioning, or wearing 
prematurely. It also may mean actions you expect are necessary to 
correct an overt indication of failure or malfunction for which periodic 
maintenance is not appropriate.
    Small-volume engine manufacturer means a small business engine 
manufacturer that had engine families certified to meet the requirements 
of 40 CFR part 89 before 2003 (40 CFR part 89, revised as of July 1, 
2002), had annual U.S.-directed production of no more than 2,500 units 
in 2002 and all earlier calendar years, and has 1000 or fewer employees. 
For manufacturers owned by a parent company, the production limit 
applies to the production of the parent company and all its subsidiaries 
and the employee limit applies to the total number of employees of the 
parent company and all its subsidiaries.
    Spark-ignition 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.
    Steady-state has the meaning given in 40 CFR 1065.1001.
    Sulfur-sensitive technology means an emission-control technology 
that experiences a significant drop in emission-control performance or 
emission-system durability when an engine is operated on low-sulfur fuel 
(i.e., fuel with a sulfur concentration of 300 to 500 ppm) as compared 
to when it is operated on ultra low-sulfur fuel (i.e., fuel with a

[[Page 613]]

sulfur concentration less than 15 ppm). Exhaust-gas recirculation is not 
a sulfur-sensitive technology.
    Suspend has the meaning we give in 40 CFR 1068.30.
    Test engine means an engine in a test sample.
    Test sample means the collection of engines selected from the 
population of an engine family for emission testing. This may include 
testing for certification, production-line testing, or in-use testing.
    Tier 1 means relating to the Tier 1 emission standards, as shown in 
40 CFR 89.112.
    Tier 2 means relating to the Tier 2 emission standards, as shown in 
40 CFR 89.112.
    Tier 3 means relating to the Tier 3 emission standards, as shown in 
40 CFR 89.112.
    Tier 4 means relating to the Tier 4 emission standards, as shown in 
Sec.  1039.101 and Sec.  1039.102. This includes the emission standards 
that are shown in Sec.  1039.101 and Sec.  1039.102 that are unchanged 
from Tier 2 or Tier 3 emission standards.
    Total hydrocarbon means the combined mass of organic compounds 
measured by the specified procedure for measuring total hydrocarbon, 
expressed as a hydrocarbon with a hydrogen-to-carbon mass ratio of 
1.85:1.
    Total hydrocarbon equivalent means the sum of the carbon mass 
contributions of non-oxygenated hydrocarbons, alcohols and aldehydes, or 
other organic compounds that are measured separately as contained in a 
gas sample, expressed as exhaust hydrocarbon from petroleum-fueled 
engines. The hydrogen-to-carbon ratio of the equivalent hydrocarbon is 
1.85:1.
    Ultimate purchaser means, with respect to any new nonroad equipment 
or new nonroad engine, the first person who in good faith purchases such 
new nonroad equipment or new nonroad engine for purposes other than 
resale.
    Ultra low-sulfur diesel fuel means one of the following:
    (1) For in-use fuels, ultra low-sulfur diesel fuel means a diesel 
fuel with a maximum sulfur concentration of 15 parts per million.
    (2) For testing, ultra low-sulfur diesel fuel has the meaning we 
give in 40 CFR part 1065.
    United States has the meaning we give in 40 CFR 1068.30.
    Upcoming model year means for an engine family the model year after 
the one currently in production.
    U.S.-directed production volume means the number of engine 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 means the period during which the engine is designed to 
properly function in terms of reliability and fuel consumption, without 
being remanufactured, specified as a number of hours of operation or 
calendar years, whichever comes first. It is the period during which a 
new nonroad engine is required to comply with all applicable emission 
standards. See Sec.  1039.101(g).
    Variable-speed engine means an engine that is not a constant-speed 
engine.
    Void has the meaning we give in 40 CFR 1068.30.
    Volatile liquid fuel means any fuel other than diesel or biodiesel 
that is a liquid at atmospheric pressure and has a Reid Vapor Pressure 
higher than 2.0 pounds per square inch.
    We (us, our) means the Administrator of the Environmental Protection 
Agency and any authorized representatives.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40464, July 13, 2005; 
72 FR 53133, Sept. 18, 2007]



Sec.  1039.805  What symbols, acronyms, and abbreviations does this part use?

    The following symbols, acronyms, and abbreviations apply to this 
part:

CFR Code of Federal Regulations.
CO carbon monoxide.
CO2 carbon dioxide.
EPA Environmental Protection Agency.
FEL Family Emission Limit.
g/kW-hr grams per kilowatt-hour.
HC hydrocarbon.
kW kilowatts.
NIST National Institute of Standards and Technology.
NMHC nonmethane hydrocarbons.
NOX oxides of nitrogen (NO and NO2).
NTE not-to-exceed
PM particulate matter.

[[Page 614]]

rpm revolutions per minute.
SAE Society of Automotive Engineers.
SEA Selective enforcement audit.
THC total hydrocarbon.
THCE total hydrocarbon equivalent.
TRU transportation refrigeration unit.
U.S.C. United States Code.



Sec.  1039.810  What materials does this part reference?

    Documents listed in this section have been incorporated by reference 
into this part. The Director of the Federal Register approved the 
incorporation by reference as prescribed in 5 U.S.C. 552(a) and 1 CFR 
part 51. Anyone may inspect copies at the U.S. EPA, Air and Radiation 
Docket and Information Center, 1301 Constitution Ave., NW., Room B102, 
EPA West Building, Washington, DC 20460 or at the National Archives and 
Records Administration (NARA). For information on the availability of 
this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html.
    (a) SAE material. Table 1 of this section lists material from the 
Society of Automotive Engineering that we have incorporated by 
reference. The first column lists the number and name of the material. 
The second column lists the sections of this part where we reference it. 
Anyone may purchase copies of these materials from the Society of 
Automotive Engineers, 400 Commonwealth Drive, Warrendale, PA 15096 or 
http://www.sae.org. Table 1 follows:

               Table 1 of Sec.   1039.810.--SAE Materials
------------------------------------------------------------------------
                                                              Part 1039
                  Document number and name                    reference
------------------------------------------------------------------------
SAE J1930, Electrical/Electronic Systems Diagnostic Terms,      1039.135
 Definitions, Abbreviations, and Acronyms, revised May 1998
------------------------------------------------------------------------

    (b) [Reserved]

[69 FR 39213, June 29, 2004, as amended at 72 FR 53133, Sept. 18, 2007]



Sec.  1039.815  What provisions apply to confidential information?

    (a) Clearly show what you consider confidential by marking, 
circling, bracketing, stamping, or some other method.
    (b) We will store your confidential information as described in 40 
CFR part 2. Also, we will disclose it only as specified in 40 CFR part 
2. This applies both to any information you send us and to any 
information we collect from inspections, audits, or other site visits.
    (c) If you send us a second copy without the confidential 
information, we will assume it contains nothing confidential whenever we 
need to release information from it.
    (d) If you send us information without claiming it is confidential, 
we may make it available to the public without further notice to you, as 
described in 40 CFR 2.204.



Sec.  1039.820  How do I request a hearing?

    (a) You may request a hearing under certain circumstances, as 
described elsewhere in this part. To do this, you must file a written 
request, including a description of your objection and any supporting 
data, within 30 days after we make a decision.
    (b) For a hearing you request under the provisions of this part, we 
will approve your request if we find that your request raises a 
substantial factual issue.
    (c) If we agree to hold a hearing, we will use the procedures 
specified in 40 CFR part 1068, subpart G.



Sec.  1039.825  What reporting and recordkeeping requirements apply under this part?

    Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), the 
Office of Management and Budget approves the reporting and recordkeeping 
specified in the applicable regulations. The following items illustrate 
the kind of reporting and recordkeeping we require for engines and 
equipment regulated under this part:
    (a) We specify the following requirements related to engine 
certification in this part 1039:
    (1) In Sec.  1039.20 we require engine manufacturers to label 
stationary engines that do not meet the standards in this part.
    (2) In Sec.  1039.135 we require engine manufacturers to keep 
certain records related to duplicate labels sent to equipment 
manufacturers.
    (3) [Reserved]

[[Page 615]]

    (4) In subpart C of this part we identify a wide range of 
information required to certify engines.
    (5) [Reserved]
    (6) [Reserved]
    (7) In subpart G of this part we identify several reporting and 
recordkeeping items for making demonstrations and getting approval 
related to various special compliance provisions. For example, equipment 
manufacturers must submit reports and keep records related to the 
flexibility provisions in Sec.  1039.625.
    (8) In Sec.  1039.725, 1039.730, and 1039.735 we specify certain 
records related to averaging, banking, and trading.
    (b) We specify the following requirements related to testing in 40 
CFR part 1065:
    (1) In 40 CFR 1065.2 we give an overview of principles for reporting 
information.
    (2) In 40 CFR 1065.10 and 1065.12 we specify information needs for 
establishing various changes to published test procedures.
    (3) In 40 CFR 1065.25 we establish basic guidelines for storing test 
information.
    (4) In 40 CFR 1065.695 we identify data that may be appropriate for 
collecting during testing of in-use engines using portable analyzers.
    (c) We specify the following requirements related to the general 
compliance provisions in 40 CFR part 1068:
    (1) In 40 CFR 1068.5 we establish a process for evaluating good 
engineering judgment related to testing and certification.
    (2) In 40 CFR 1068.25 we describe general provisions related to 
sending and keeping information.
    (3) In 40 CFR 1068.27 we require manufacturers to make engines 
available for our testing or inspection if we make such a request.
    (4) In 40 CFR 1068.105 we require equipment manufacturers to keep 
certain records related to duplicate labels from engine manufacturers.
    (5) In 40 CFR 1068.120 we specify recordkeeping related to 
rebuilding engines.
    (6) In 40 CFR part 1068, subpart C, we identify several reporting 
and recordkeeping items for making demonstrations and getting approval 
related to various exemptions.
    (7) In 40 CFR part 1068, subpart D, we identify several reporting 
and recordkeeping items for making demonstrations and getting approval 
related to importing engines.
    (8) In 40 CFR 1068.450 and 1068.455 we specify certain records 
related to testing production-line engines in a selective enforcement 
audit.
    (9) In 40 CFR 1068.501 we specify certain records related to 
investigating and reporting emission-related defects.
    (10) In 40 CFR 1068.525 and 1068.530 we specify certain records 
related to recalling nonconforming engines.

[72 FR 53134, Sept. 18, 2007]



                 Sec. Appendix I to Part 1039 [Reserved]

 Appendix II to Part 1039--Steady-State Duty Cycles for Constant-Speed 
                                 Engines

    (a) The following duty cycle applies for discrete-mode testing of 
constant-speed engines:

------------------------------------------------------------------------
                                              Torque         Weighting
    D2 mode  number     Engine speed \1\   (percent) \2\      factors
------------------------------------------------------------------------
1.....................  Maximum test                 100            0.05
                         speed.
2.....................  Maximum test                  75            0.25
                         speed.
3.....................  Maximum test                  50            0.30
                         speed.
4.....................  Maximum test                  25            0.30
                         speed.
5.....................  Maximum test                  10           0.10
                         speed.
------------------------------------------------------------------------
\1\ Maximum test speed is defined in 40 CFR part 1065.
\2\ Except as noted in Sec.   1039.505, the percent torque is relative
  to maximum test torque.

    (b) The following duty cycle applies for ramped-modal testing of 
constant-speed engines:

----------------------------------------------------------------------------------------------------------------
                                        Time in
              RMC mode                    mode           Engine speed              Torque  (percent) \1,2\
                                       (seconds)
----------------------------------------------------------------------------------------------------------------
1a Steady-state.....................           53  Engine Governed........  100.

[[Page 616]]

 
1b Transition.......................           20  Engine Governed........  Linear transition.
2a Steady-state.....................          101  Engine Governed........  10.
2b Transition.......................           20  Engine Governed........  Linear transition.
3a Steady-state.....................          277  Engine Governed........  75.
3b Transition.......................           20  Engine Governed........  Linear transition.
4a Steady-state.....................          339  Engine Governed........  25.
4b Transition.......................           20  Engine Governed........  Linear transition.
5 Steady-state......................          350  Engine Governed........  50.
----------------------------------------------------------------------------------------------------------------
\1\ The percent torque is relative to maximum test torque.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
  a linear progression from the torque setting of the current mode to the torque setting of the next mode.


    Effective Date Note: At 73 FR 37241, June 30, 2008, appendix II to 
part 1039 was revised, effective July 7, 2008. For the convenience of 
the user, the revised text is set forth as follows:



         Sec. Appendix II to Part 1039--Steady-State Duty Cycles

    (a) The following duty cycles apply for constant-speed engines:
    (1) The following duty cycle applies for discrete-mode testing:

----------------------------------------------------------------------------------------------------------------
                                                                                      Torque         Weighting
               D2 mode number                            Engine speed              (percent) \1\      factors
----------------------------------------------------------------------------------------------------------------
1..........................................  Engine governed....................             100            0.05
2..........................................  Engine governed....................              75            0.25
3..........................................  Engine governed....................              50            0.30
4..........................................  Engine governed....................              25            0.30
5..........................................  Engine governed....................              10            0.10
----------------------------------------------------------------------------------------------------------------
\1\ The percent torque is relative to maximum test torque.

    (2) The following duty cycle applies for ramped-modal testing:

----------------------------------------------------------------------------------------------------------------
                                      Time in mode
              RMC mode                  (seconds)            Engine speed             Torque  (percent) 1, 2
----------------------------------------------------------------------------------------------------------------
1a Steady-state....................              53  Engine governed............  100.
1b Transition......................              20  Engine governed............  Linear transition.
2a Steady-state....................             101  Engine governed............  10.
2b Transition......................              20  Engine governed............  Linear transition.
3a Steady-state....................             277  Engine governed............  75.
3b Transition......................              20  Engine governed............  Linear transition.
4a Steady-state....................             339  Engine governed............  25.
4b Transition......................              20  Engine governed............  Linear transition.
5 Steady-state.....................             350  Engine governed............  50.
----------------------------------------------------------------------------------------------------------------
\1\ The percent torque is relative to maximum test torque.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
  a linear progression from the torque setting of the current mode to the torque setting of the next mode.

    (b) The following duty cycles apply for variable-speed engines with 
maximum engine power below 19 kW:
    (1) The following duty cycle applies for discrete-mode testing:

----------------------------------------------------------------------------------------------------------------
                                                                                      Torque         Weighting
               G2 mode number                          Engine speed \1\            (percent) \2\      factors
----------------------------------------------------------------------------------------------------------------
1..........................................  Maximum test speed.................             100            0.09
2..........................................  Maximum test speed.................              75            0.20
3..........................................  Maximum test speed.................              50            0.29
4..........................................  Maximum test speed.................              25            0.30
5..........................................  Maximum test speed.................              10            0.07
6..........................................  Warm idle..........................               0            0.05
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the commanded test speed.

    (2) The following duty cycle applies for ramped-modal testing:

----------------------------------------------------------------------------------------------------------------
                                      Time in mode
              RMC mode                  (seconds)         Engine speed 1, 3           Torque  (percent) 2, 3
----------------------------------------------------------------------------------------------------------------
1a Steady-state....................              41  Warm idle..................  0.
1b Transition......................              20  Linear transition..........  Linear transition.

[[Page 617]]

 
2a Steady-state....................             135  Maximum test speed.........  100.
2b Transition......................              20  Maximum test speed.........  Linear transition.
3a Steady-state....................             112  Maximum test speed.........  10.
3b Transition......................              20  Maximum test speed.........  Linear transition.
4a Steady-state....................             337  Maximum test speed.........  75.
4b Transition......................              20  Maximum test speed.........  Linear transition.
5a Steady-state....................             518  Maximum test speed.........  25.
5b Transition......................              20  Maximum test speed.........  Linear transition.
6a Steady-state....................             494  Maximum test speed.........  50.
6b Transition......................              20  Linear transition..........  Linear transition.
7 Steady-state.....................              43  Warm idle..................  0.
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the commanded engine speed.
\3\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
  a linear progression from the torque setting of the current mode to the torque setting of the next mode, and
  simultaneously command a similar linear progression for engine speed if there is a change in speed setting.

    (c) The following duty cycles apply for variable-speed engines with 
maximum engine power at or above 19 kW:
    (1) The following duty cycle applies for discrete-mode testing:

----------------------------------------------------------------------------------------------------------------
                                                                                      Torque         Weighting
               C1 mode number                          Engine speed \1\            (percent) \2\      factors
----------------------------------------------------------------------------------------------------------------
1..........................................  Maximum test speed.................             100            0.15
2..........................................  Maximum test speed.................              75            0.15
3..........................................  Maximum test speed.................              50            0.15
4..........................................  Maximum test speed.................              10            0.10
5..........................................  Intermediate test speed............             100            0.10
6..........................................  Intermediate test speed............              75            0.10
7..........................................  Intermediate test speed............              50            0.10
8..........................................  Warm idle..........................               0            0.15
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the commanded test speed.

    (2) The following duty cycle applies for ramped-modal testing:

----------------------------------------------------------------------------------------------------------------
                                      Time in mode
              RMC mode                  (seconds)         Engine speed 1, 3           Torque  (percent) 2, 3
----------------------------------------------------------------------------------------------------------------
1a Steady-state....................             126  Warm Idle..................  0.
1b Transition......................              20  Linear Transition..........  Linear Transition.
2a Steady-state....................             159  Intermediate Speed.........  100.
2b Transition......................              20  Intermediate Speed.........  Linear Transition.
3a Steady-state....................             160  Intermediate Speed.........  50.
3b Transition......................              20  Intermediate Speed.........  Linear Transition.
4a Steady-state....................             162  Intermediate Speed.........  75.
4b Transition......................              20  Linear Transition..........  Linear Transition.
5a Steady-state....................             246  Maximum Test Speed.........  100.
5b Transition......................              20  Maximum Test Speed.........  Linear Transition.
6a Steady-state....................             164  Maximum Test Speed.........  10.
6b Transition......................              20  Maximum Test Speed.........  Linear Transition.
7a Steady-state....................             248  Maximum Test Speed.........  75.
7b Transition......................              20  Maximum Test Speed.........  Linear Transition.
8a Steady-state....................             247  Maximum Test Speed.........  50.
8b Transition......................              20  Linear Transition..........  Linear Transition.
9 Steady-state.....................             128  Warm Idle..................  0.
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the commanded engine speed.
\3\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
  a linear progression from the torque setting of the current mode to the torque setting of the next mode, and
  simultaneously command a similar linear progression for engine speed if there is a change in speed setting.



 Sec. Appendix III to Part 1039--Steady-State Duty Cycles for Variable-
              Speed Engines With Maximum Power Below 19 kW

    (a) The following duty cycle applies for discrete-mode testing of 
variable-speed engines with maximum power below 19 kW:

------------------------------------------------------------------------
                                             Observed
    G2 mode  number     Engine speed \1\      torque         Weighting
                                           (percent) \2\      factors
------------------------------------------------------------------------
1.....................  Maximum test                 100            0.09
                         speed.

[[Page 618]]

 
2.....................  Maximum test                  75            0.20
                         speed.
3.....................  Maximum test                  50            0.29
                         speed.
4.....................  Maximum test                  25            0.30
                         speed.
5.....................  Maximum test                  10            0.07
                         speed.
6.....................  Idle............               0            0.05
------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the
  commanded test speed.

    (b) The following duty cycle applies for ramped-modal testing of 
variable-speed engines with maximum power below 19 kW:

----------------------------------------------------------------------------------------------------------------
                                        Time in
              RMC  mode                   mode        Engine speed \1,3\           Torque  (percent) \2,3\
                                       (seconds)
----------------------------------------------------------------------------------------------------------------
1a Steady-state.....................           41  Warm Idle..............  0.
1b Transition.......................           20  Linear transition......  Linear transition.
2a Steady-state.....................          135  Maximum Test Speed.....  100.
2b Transition.......................           20  Maximum Test Speed.....  Linear transition.
3a Steady-state.....................          112  Maximum Test Speed.....  10.
3b Transition.......................           20  Maximum Test Speed.....  Linear transition.
4a Steady-state.....................          337  Maximum Test Speed.....  75.
4b Transition.......................           20  Maximum Test Speed.....  Linear transition.
5a Steady-state.....................          518  Maximum Test Speed.....  25.
5b Transition.......................           20  Maximum Test Speed.....  Linear transition.
6a Steady-state.....................          494  Maximum Test Speed.....  50.
6b Transition.......................           20  Linear transition......  Linear transition.
7 Steady-state......................           43  Warm Idle..............  0.
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the commanded engine speed.
\3\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
  a linear progression from the torque setting of the current mode to the torque setting of the next mode, and
  simultaneously command a similar linear progression for engine speed if there is a change in speed setting.


    Effective Date Note: At 73 FR 37243, June 30, 2008, Appendix III to 
Part 1039 was removed, effective July 7, 2008.



  Sec. Appendix IV to Part 1039--Steady-State Duty Cycles for Variable-
           Speed Engines With Maximum Power at or Above 19 kW]

    (a) The following duty cycle applies for discrete-mode testing of 
variable-speed engines with maximum power at or above 19 kW:

------------------------------------------------------------------------
                                             Observed
    C1 mode  number     Engine speed \1\      torque         Weighting
                                           (percent) \2\      factors
------------------------------------------------------------------------
1.....................  Maximum test                 100            0.15
                         speed.
2.....................  Maximum test                  75            0.15
                         speed.
3.....................  Maximum test                  50            0.15
                         speed.
4.....................  Maximum test                  10            0.10
                         speed.
5.....................  Intermediate                 100            0.10
                         test speed.
6.....................  Intermediate                  75            0.10
                         test speed.
7.....................  Intermediate                  50            0.10
                         test speed.
8.....................  Idle............               0            0.15
------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the
  commanded test speed.

    (b) The following duty cycle applies for ramped-modal testing of 
variable-speed engines with maximum power at or above 19 kW:

----------------------------------------------------------------------------------------------------------------
                                        Time in
              RMC Mode                    mode       Engine  speed \1,3\           Torque  (percent) \2,3\
                                       (seconds)
----------------------------------------------------------------------------------------------------------------
1a Steady-state.....................          126  Warm Idle..............  0.
1b Transition.......................           20  Linear Transition \2\..  Linear Transition.
2a Steady-state.....................          159  Intermediate Speed.....  100.
2b Transition.......................           20  Intermediate Speed.....  Linear Transition.
3a Steady-state.....................          160  Intermediate Speed.....  50.
3b Transition.......................           20  Intermediate Speed.....  Linear Transition.
4a Steady-state.....................          162  Intermediate Speed.....  75.

[[Page 619]]

 
4b Transition.......................           20  Linear Transition......  Linear Transition.
5a Steady-state.....................          246  Maximum Test Speed.....  100.
5b Transition.......................           20  Maximum Test Speed.....  Linear Transition.
6a Steady-state.....................          164  Maximum Test Speed.....  10.
6b Transition.......................           20  Maximum Test Speed.....  Linear Transition.
7a Steady-state.....................          248  Maximum Test Speed.....  75.
7b Transition.......................           20  Maximum Test Speed.....  Linear Transition.
8a Steady-state.....................          247  Maximum Test Speed.....  50.
8b Transition.......................           20  Linear Transition......  Linear Transition.
9 Steady-state......................          128  Warm Idle..............  0.
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the commanded engine speed.
\3\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
  a linear progression from the torque setting of the current mode to the torque setting of the next mode, and
  simultaneously command a similar linear progression for engine speed if there is a change in speed setting.


    Effective Date Note: At 73 FR 37243, June 30, 2008, Appendix IV to 
Part 1039 was removed, effective July 7, 2008.



                 Sec. Appendix V to Part 1039 [Reserved]



 Sec. Appendix VI to Part 1039--Nonroad Compression-ignition Composite 
                             Transient Cycle

------------------------------------------------------------------------
                                                Normalized   Normalized
                   Time(s)                        speed        torque
                                                (percent)   (percent)\1\
------------------------------------------------------------------------
1............................................            0             0
2............................................            0             0
3............................................            0             0
4............................................            0             0
5............................................            0             0
6............................................            0             0
7............................................            0             0
8............................................            0             0
9............................................            0             0
10...........................................            0             0
11...........................................            0             0
12...........................................            0             0
13...........................................            0             0
14...........................................            0             0
15...........................................            0             0
16...........................................            0             0
17...........................................            0             0
18...........................................            0             0
19...........................................            0             0
20...........................................            0             0
21...........................................            0             0
22...........................................            0             0
23...........................................            0             0
24...........................................            1             3
25...........................................            1             3
26...........................................            1             3
27...........................................            1             3
28...........................................            1             3
29...........................................            1             3
30...........................................            1             6
31...........................................            1             6
32...........................................            2             1
33...........................................            4            13
34...........................................            7            18
35...........................................            9            21
36...........................................           17            20
37...........................................           33            42
38...........................................           57            46
39...........................................           44            33
40...........................................           31             0
41...........................................           22            27
42...........................................           33            43
43...........................................           80            49
44...........................................          105            47
45...........................................           98            70
46...........................................          104            36
47...........................................          104            65
48...........................................           96            71
49...........................................          101            62
50...........................................          102            51
51...........................................          102            50
52...........................................          102            46
53...........................................          102            41
54...........................................          102            31
55...........................................           89             2
56...........................................           82             0
57...........................................           47             1
58...........................................           23             1
59...........................................            1             3
60...........................................            1             8
61...........................................            1             3
62...........................................            1             5
63...........................................            1             6
64...........................................            1             4
65...........................................            1             4
66...........................................            0             6
67...........................................            1             4
68...........................................            9            21
69...........................................           25            56
70...........................................           64            26
71...........................................           60            31
72...........................................           63            20
73...........................................           62            24
74...........................................           64             8
75...........................................           58            44
76...........................................           65            10
77...........................................           65            12
78...........................................           68            23
79...........................................           69            30
80...........................................           71            30
81...........................................           74            15
82...........................................           71            23
83...........................................           73            20
84...........................................           73            21
85...........................................           73            19
86...........................................           70            33
87...........................................           70            34
88...........................................           65            47
89...........................................           66            47
90...........................................           64            53
91...........................................           65            45

[[Page 620]]

 
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93...........................................           67            49
94...........................................           69            39
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97...........................................           71            29
98...........................................           75            29
99...........................................           72            23
100..........................................           74            22
101..........................................           75            24
102..........................................           73            30
103..........................................           74            24
104..........................................           77             6
105..........................................           76            12
106..........................................           74            39
107..........................................           72            30
108..........................................           75            22
109..........................................           78            64
110..........................................          102            34
111..........................................          103            28
112..........................................          103            28
113..........................................          103            19
114..........................................          103            32
115..........................................          104            25
116..........................................          103            38
117..........................................          103            39
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124..........................................          103            44
125..........................................          103            37
126..........................................          103            27
127..........................................          104            13
128..........................................          104            30
129..........................................          104            19
130..........................................          103            28
131..........................................          104            40
132..........................................          104            32
133..........................................          101            63
134..........................................          102            54
135..........................................          102            52
136..........................................          102            51
137..........................................          103            40
138..........................................          104            34
139..........................................          102            36
140..........................................          104            44
141..........................................          103            44
142..........................................          104            33
143..........................................          102            27
144..........................................          103            26
145..........................................           79            53
146..........................................           51            37
147..........................................           24            23
148..........................................           13            33
149..........................................           19            55
150..........................................           45            30
151..........................................           34             7
152..........................................           14             4
153..........................................            8            16
154..........................................           15             6
155..........................................           39            47
156..........................................           39             4
157..........................................           35            26
158..........................................           27            38
159..........................................           43            40
160..........................................           14            23
161..........................................           10            10
162..........................................           15            33
163..........................................           35            72
164..........................................           60            39
165..........................................           55            31
166..........................................           47            30
167..........................................           16             7
168..........................................            0             6
169..........................................            0             8
170..........................................            0             8
171..........................................            0             2
172..........................................            2            17
173..........................................           10            28
174..........................................           28            31
175..........................................           33            30
176..........................................           36             0
177..........................................           19            10
178..........................................            1            18
179..........................................            0            16
180..........................................            1             3
181..........................................            1             4
182..........................................            1             5
183..........................................            1             6
184..........................................            1             5
185..........................................            1             3
186..........................................            1             4
187..........................................            1             4
188..........................................            1             6
189..........................................            8            18
190..........................................           20            51
191..........................................           49            19
192..........................................           41            13
193..........................................           31            16
194..........................................           28            21
195..........................................           21            17
196..........................................           31            21
197..........................................           21             8
198..........................................            0            14
199..........................................            0            12
200..........................................            3             8
201..........................................            3            22
202..........................................           12            20
203..........................................           14            20
204..........................................           16            17
205..........................................           20            18
206..........................................           27            34
207..........................................           32            33
208..........................................           41            31
209..........................................           43            31
210..........................................           37            33
211..........................................           26            18
212..........................................           18            29
213..........................................           14            51
214..........................................           13            11
215..........................................           12             9
216..........................................           15            33
217..........................................           20            25
218..........................................           25            17
219..........................................           31            29
220..........................................           36            66
221..........................................           66            40
222..........................................           50            13
223..........................................           16            24
224..........................................           26            50
225..........................................           64            23
226..........................................           81            20
227..........................................           83            11
228..........................................           79            23
229..........................................           76            31
230..........................................           68            24
231..........................................           59            33
232..........................................           59             3
233..........................................           25             7
234..........................................           21            10
235..........................................           20            19

[[Page 621]]

 
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243..........................................           16            28
244..........................................           28            25
245..........................................           52            53
246..........................................           50             8
247..........................................           26            40
248..........................................           48            29
249..........................................           54            39
250..........................................           60            42
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252..........................................           54            51
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272..........................................           66             0
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288..........................................           71            60
289..........................................           92            65
290..........................................           82            63
291..........................................           61            47
292..........................................           52            37
293..........................................           24             0
294..........................................           20             7
295..........................................           39            48
296..........................................           39            54
297..........................................           63            58
298..........................................           53            31
299..........................................           51            24
300..........................................           48            40
301..........................................           39             0
302..........................................           35            18
303..........................................           36            16
304..........................................           29            17
305..........................................           28            21
306..........................................           31            15
307..........................................           31            10
308..........................................           43            19
309..........................................           49            63
310..........................................           78            61
311..........................................           78            46
312..........................................           66            65
313..........................................           78            97
314..........................................           84            63
315..........................................           57            26
316..........................................           36            22
317..........................................           20            34
318..........................................           19             8
319..........................................            9            10
320..........................................            5             5
321..........................................            7            11
322..........................................           15            15
323..........................................           12             9
324..........................................           13            27
325..........................................           15            28
326..........................................           16            28
327..........................................           16            31
328..........................................           15            20
329..........................................           17             0
330..........................................           20            34
331..........................................           21            25
332..........................................           20             0
333..........................................           23            25
334..........................................           30            58
335..........................................           63            96
336..........................................           83            60
337..........................................           61             0
338..........................................           26             0
339..........................................           29            44
340..........................................           68            97
341..........................................           80            97
342..........................................           88            97
343..........................................           99            88
344..........................................          102            86
345..........................................          100            82
346..........................................           74            79
347..........................................           57            79
348..........................................           76            97
349..........................................           84            97
350..........................................           86            97
351..........................................           81            98
352..........................................           83            83
353..........................................           65            96
354..........................................           93            72
355..........................................           63            60
356..........................................           72            49
357..........................................           56            27
358..........................................           29             0
359..........................................           18            13
360..........................................           25            11
361..........................................           28            24
362..........................................           34            53
363..........................................           65            83
364..........................................           80            44
365..........................................           77            46
366..........................................           76            50
367..........................................           45            52
368..........................................           61            98
369..........................................           61            69
370..........................................           63            49
371..........................................           32             0
372..........................................           10             8
373..........................................           17             7
374..........................................           16            13
375..........................................           11             6
376..........................................            9             5
377..........................................            9            12
378..........................................           12            46
379..........................................           15            30

[[Page 622]]

 
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387..........................................           63            39
388..........................................           32            34
389..........................................           46            55
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392..........................................           27             0
393..........................................           14             5
394..........................................           14            14
395..........................................           24            54
396..........................................           60            90
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398..........................................           70            48
399..........................................           77            93
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402..........................................           69            98
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406..........................................           56            61
407..........................................           42             0
408..........................................           36            32
409..........................................           34            43
410..........................................           68            83
411..........................................          102            48
412..........................................           62             0
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414..........................................           71            86
415..........................................           91            52
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461..........................................           79            71
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464..........................................           40            48
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[[Page 623]]

 
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[[Page 624]]

 
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732..........................................          103            30
733..........................................          103            44
734..........................................          102            40
735..........................................          103            43
736..........................................          103            41
737..........................................          102            46
738..........................................          103            39
739..........................................          102            41
740..........................................          103            41
741..........................................          102            38
742..........................................          103            39
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784..........................................           67            21
785..........................................          105            59
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796..........................................           48             6
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798..........................................           52             6
799..........................................           51             5
800..........................................           51             6
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802..........................................           52             5
803..........................................           52             5
804..........................................           57            44
805..........................................           98            90
806..........................................          105            94
807..........................................          105           100
808..........................................          105            98
809..........................................          105            95
810..........................................          105            96
811..........................................          105            92

[[Page 625]]

 
812..........................................          104            97
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814..........................................           94            74
815..........................................           87            62
816..........................................           81            50
817..........................................           81            46
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819..........................................           80            32
820..........................................           81            28
821..........................................           80            26
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830..........................................           81            21
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832..........................................           80            24
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838..........................................           81            22
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840..........................................           81            21
841..........................................           81            31
842..........................................           81            27
843..........................................           80            26
844..........................................           80            26
845..........................................           81            25
846..........................................           80            21
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849..........................................           83            15
850..........................................           83            12
851..........................................           83             9
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854..........................................           83             6
855..........................................           83             6
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859..........................................           76             5
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861..........................................           51             7
862..........................................           51            20
863..........................................           78            52
864..........................................           80            38
865..........................................           81            33
866..........................................           83            29
867..........................................           83            22
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878..........................................           59             4
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884..........................................           50             5
885..........................................           50             5
886..........................................           50             5
887..........................................           50             5
888..........................................           51             5
889..........................................           51             5
890..........................................           51             5
891..........................................           63            50
892..........................................           81            34
893..........................................           81            25
894..........................................           81            29
895..........................................           81            23
896..........................................           80            24
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902..........................................           81            17
903..........................................           81            17
904..........................................           81            17
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907..........................................           80            28
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909..........................................           81            24
910..........................................           81            19
911..........................................           81            21
912..........................................           81            20
913..........................................           83            26
914..........................................           80            63
915..........................................           80            59
916..........................................           83           100
917..........................................           81            73
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919..........................................           80            76
920..........................................           81            61
921..........................................           80            50
922..........................................           81            37
923..........................................           82            49
924..........................................           83            37
925..........................................           83            25
926..........................................           83            17
927..........................................           83            13
928..........................................           83            10
929..........................................           83             8
930..........................................           83             7
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935..........................................           71             5
936..........................................           49            24
937..........................................           69            64
938..........................................           81            50
939..........................................           81            43
940..........................................           81            42
941..........................................           81            31
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943..........................................           81            35
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945..........................................           81            27
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947..........................................           81            31
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950..........................................           81            37
951..........................................           81            43
952..........................................           81            34
953..........................................           81            31
954..........................................           81            26
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[[Page 626]]

 
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962..........................................           80            28
963..........................................           81            34
964..........................................           83            72
965..........................................           81            49
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967..........................................           80            55
968..........................................           81            48
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970..........................................           81            39
971..........................................           81            38
972..........................................           80            41
973..........................................           81            30
974..........................................           81            23
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976..........................................           81            25
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979..........................................           81            90
980..........................................           81            75
981..........................................           80            60
982..........................................           81            48
983..........................................           81            41
984..........................................           81            30
985..........................................           80            24
986..........................................           81            20
987..........................................           81            21
988..........................................           81            29
989..........................................           81            29
990..........................................           81            27
991..........................................           81            23
992..........................................           81            25
993..........................................           81            26
994..........................................           81            22
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996..........................................           81            17
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1005.........................................           81            28
1006.........................................           81            24
1007.........................................           81            19
1008.........................................           81            16
1009.........................................           80            16
1010.........................................           83            23
1011.........................................           83            17
1012.........................................           83            13
1013.........................................           83            27
1014.........................................           81            58
1015.........................................           81            60
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1017.........................................           80            41
1018.........................................           80            36
1019.........................................           81            26
1020.........................................           86            18
1021.........................................           82            35
1022.........................................           79            53
1023.........................................           82            30
1024.........................................           83            29
1025.........................................           83            32
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1027.........................................           76            60
1028.........................................           79            51
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1030.........................................           82            34
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1039.........................................           76            70
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[[Page 627]]

 
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1210.........................................           54            50
1211.........................................           41            37
1212.........................................           27            25
1213.........................................           14            12
1214.........................................            0             0
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1237.........................................            0             0
1238.........................................            0             0
------------------------------------------------------------------------
\1\ The percent torque is relative to maximum torque at the commanded
  engine speed.


[69 FR 39213, June 29, 2004, as amended at 70 FR 40465, July 13, 2005]

[[Page 628]]



PART 1042_CONTROL OF EMISSIONS FROM NEW AND IN-USE MARINE COMPRESSION-IGNITION ENGINES AND VESSELS--Table of Contents

                  Subpart A_Overview and Applicability

Sec.
1042.1 Applicability.
1042.2 Who is responsible for compliance?
1042.5 Exclusions.
1042.10 Organization of this part.
1042.15 Do any other regulation parts apply to me?

          Subpart B_Emission Standards and Related Requirements

1042.101 Exhaust emission standards.
1042.107 Evaporative emission standards.
1042.110 Recording reductant use and other diagnostic functions.
1042.115 Other requirements.
1042.120 Emission-related warranty requirements.
1042.125 Maintenance instructions for Category 1 and Category 2 engines.
1042.130 Installation instructions for vessel manufacturers.
1042.135 Labeling.
1042.140 Maximum engine power, displacement, and power density.
1042.145 Interim provisions.

                  Subpart C_Certifying Engine Families

1042.201 General requirements for obtaining a certificate of conformity.
1042.205 Application requirements.
1042.210 Preliminary approval.
1042.220 Amending maintenance instructions.
1042.225 Amending applications for certification.
1042.230 Engine families.
1042.235 Emission testing required for a certificate of conformity.
1042.240 Demonstrating compliance with exhaust emission standards.
1042.245 Deterioration factors.
1042.250 Recordkeeping and reporting.
1042.255 EPA decisions.

                Subpart D_Testing Production-Line Engines

1042.301 General provisions.
1042.305 Preparing and testing production-line engines.
1042.310 Engine selection.
1042.315 Determining compliance.
1042.320 What happens if one of my production-line engines fails to meet 
          emission standards?
1042.325 What happens if an engine family fails the production-line 
          testing requirements?
1042.330 Selling engines from an engine family with a suspended 
          certificate of conformity.
1042.335 Reinstating suspended certificates.
1042.340 When may EPA revoke my certificate under this subpart and how 
          may I sell these engines again?
1042.345 Reporting.
1042.350 Recordkeeping.

                        Subpart E_In-Use Testing

1042.401 General Provisions.

                        Subpart F_Test Procedures

1042.501 How do I run a valid emission test?
1042.505 Testing engines using discrete-mode or ramped-modal duty 
          cycles.
1042.515 Test procedures related to not-to-exceed standards.
1042.520 What testing must I perform to establish deterioration factors?
1042.525 How do I adjust emission levels to account for infrequently 
          regenerating aftertreatment devices?

                 Subpart G_Special Compliance Provisions

1042.601. General compliance provisions for marine engines and vessels.
1042.605 Dressing engines already certified to other standards for 
          nonroad or heavy-duty highway engines for marine use.
1042.610 Certifying auxiliary marine engines to land-based standards.
1042.615 Replacement engine exemption.
1042.620 Engines used solely for competition.
1042.625 Special provisions for engines used in emergency applications.
1042.630 Personal-use exemption.
1042.635 National security exemption.
1042.640 Special provisions for branded engines.
1042.650 Migratory vessels.
1042.660 Requirements for vessel manufacturers, owners, and operators.

       Subpart H_Averaging, Banking, and Trading for Certification

1042.701 General provisions.
1042.705 Generating and calculating emission credits.
1042.710 Averaging emission credits.
1042.715 Banking emission credits.
1042.720 Trading emission credits.
1042.725 Information required for the application for certification.
1042.730 ABT reports.
1042.735 Recordkeeping.
1042.745 Noncompliance.

     Subpart I_Special Provisions for Remanufactured Marine Engines

1042.801 General provisions.

[[Page 629]]

1042.810 Requirements for owner/operators and installers during 
          remanufacture.
1042.815 Demonstrating availability.
1042.820 Emission standards and required emission reductions for 
          remanufactured engines.
1042.825 Baseline determination.
1042.830 Labeling.
1042.835 Certification of remanufactured engines.
1042.836 Marine certification of locomotive remanufacturing systems.
1042.840 Application requirements for remanufactured engines.
1042.845 Remanufactured engine families.
1042.850 Exemptions and hardship relief.

          Subpart J_Definitions and Other Reference Information

1042.901 Definitions.
1042.905 Symbols, acronyms, and abbreviations.
1042.910 Reference materials.
1042.915 Confidential information.
1042.920 Hearings.
1042.925 Reporting and recordkeeping requirements.
Appendix I to Part 1042--Summary of Previous Emission Standards
Appendix II to Part 1042--Steady-state Duty Cycles
Appendix III to Part 1042--Not-to-Exceed Zones

    Authority: 42 U.S.C. 7401-7671q.

    Source: 73 FR 37243, June 30, 2008, unless otherwise noted.

    Effective Date Note: At 73 FR 37243, June 30, 2008, Part 1042 was 
added, effective July 7, 2008.



                  Subpart A_Overview and Applicability



Sec.  1042.1  Applicability.

    Except as provided in Sec.  1042.5, the regulations in this part 
1042 apply for all new compression-ignition marine engines with per-
cylinder displacement below 30.0 liters per cylinder and vessels 
containing such engines. See Sec.  1042.901 for the definitions of 
engines and vessels considered to be new. This part 1042 applies as 
follows:
    (a) This part 1042 applies for freshly manufactured marine engines 
starting with the model years noted in the following tables:

[[Page 630]]

[GRAPHIC] [TIFF OMITTED] TR06MY08.011

    (b) The requirements of subpart I of this part apply to 
remanufactured engines beginning July 7, 2008.
    (c) See 40 CFR part 94 for requirements that apply to engines with 
maximum engine power at or above 37 kW not yet subject to the 
requirements of this part 1042. See 40 CFR part 89 for requirements that 
apply to engines with maximum engine power below 37 kW not yet subject 
to the requirements of this part 1042.
    (d) The provisions of Sec. Sec.  1042.620 and 1042.901 apply for new 
engines used solely for competition beginning January 1, 2009.
    (e) Marine engines powered by natural gas with maximum engine power 
at or above 250 kW are deemed to be compression-ignition engines. These 
engines are therefore subject to all the requirements of this part even 
if they do not meet the definition of ``compression-ignition'' in Sec.  
1042.901.

[[Page 631]]



Sec.  1042.2  Who is responsible for compliance?

    The regulations in this part 1042 contain provisions that affect 
both engine manufacturers and others. However, the requirements of this 
part, other than those of subpart I of this part, are generally 
addressed to the engine manufacturer for freshly manufactured marine 
engines or other certificate holders. The term ``you'' generally means 
the engine manufacturer, as defined in Sec.  1042.901, especially for 
issues related to certification (including production-line testing, 
reporting, etc.).



Sec.  1042.5  Exclusions.

    This part does not apply to the following marine engines:
    (a) Foreign vessels. The requirements and prohibitions of this part 
do not apply to engines installed on foreign vessels, as defined in 
Sec.  1042.901.
    (b) Hobby engines. Engines with per-cylinder displacement below 50 
cubic centimeters are not subject to the provisions of this part 1042.



Sec.  1042.10  Organization of this part.

    This part 1042 is divided into the following subparts:
    (a) Subpart A of this part defines the applicability of this part 
1042 and gives an overview of regulatory requirements.
    (b) Subpart B of this part describes the emission standards and 
other requirements that must be met to certify engines under this part. 
Note that Sec.  1042.145 discusses certain interim requirements and 
compliance provisions that apply only for a limited time.
    (c) Subpart C of this part describes how to apply for a certificate 
of conformity.
    (d) Subpart D of this part describes general provisions for testing 
production-line engines.
    (e) Subpart E of this part describes general provisions for testing 
in-use engines.
    (f) Subpart F of this part and 40 CFR 1065 describe how to test your 
engines.
    (g) Subpart G of this part and 40 CFR part 1068 describe 
requirements, prohibitions, and other provisions that apply to engine 
manufacturers, vessel manufacturers, owners, operators, rebuilders, and 
all others.
    (h) Subpart H of this part describes how you may generate and use 
emission credits to certify your engines.
    (i) Subpart I of this part describes how these regulations apply for 
remanufactured engines.
    (j) Subpart J of this part contains definitions and other reference 
information.



Sec.  1042.15  Do any other regulation parts apply to me?

    (a) The evaporative emission requirements of part 1060 of this 
chapter apply to vessels that include installed engines fueled with a 
volatile liquid fuel as specified in Sec.  1042.107. (Note: Conventional 
diesel fuel is not considered to be a volatile liquid fuel.)
    (b) Part 1065 of this chapter describes procedures and equipment 
specifications for testing engines. Subpart F of this part 1042 
describes how to apply the provisions of part 1065 of this chapter to 
determine whether engines meet the emission standards in this part.
    (c) The requirements and prohibitions of part 1068 of this chapter 
apply to everyone, including anyone who manufactures, imports, installs, 
owns, operates, or rebuilds any of the engines subject to this part 
1042, or vessels containing these engines. Part 1068 of this chapter 
describes general provisions, including these seven areas:
    (1) Prohibited acts and penalties for engine manufacturers, vessel 
manufacturers, and others.
    (2) Rebuilding and other aftermarket changes.
    (3) Exclusions and exemptions for certain engines.
    (4) Importing engines.
    (5) Selective enforcement audits of your production.
    (6) Defect reporting and recall.
    (7) Procedures for hearings.
    (d) Other parts of this chapter apply if referenced in this part.



          Subpart B_Emission Standards and Related Requirements



Sec.  1042.101  Exhaust emission standards.

    (a) Duty-cycle standards. Exhaust emissions from your engines may 
not exceed emission standards, as follows:

[[Page 632]]

    (1) Measure emissions using the test procedures described in subpart 
F of this part.
    (2) The following CO emission standards in this paragraph (a)(2) 
apply starting with the applicable model year identified in Sec.  
1042.1:
    (i) 8.0 g/kW-hr for engines below 8 kW.
    (ii) 6.6 g/kW-hr for engines at or above 8 kW and below 19 kW.
    (iii) 5.5 g/kW-hr for engines at or above 19 kW and below 37 kW.
    (iv) 5.0 g/kW-hr for engines at or above 37 kW.
    (3) Except as described in paragraphs (a)(4) and (5) of this 
section, the Tier 3 standards for PM and NOX+HC emissions are 
described in the following tables:
[GRAPHIC] [TIFF OMITTED] TR06MY08.012


              Table 2 to Sec.   1042.101.--Tier 3 Standards for Category 2 Engines Below 3700 kW a
----------------------------------------------------------------------------------------------------------------
                                                                                                  NOX+HC  (g/kW-
         Displacement (L/cyl)             Maximum engine power      Model year     PM  (g/kW-hr)        hr)
----------------------------------------------------------------------------------------------------------------
7.0 <= disp. < 15.0...................  kW < 2000...............           2013+            0.14             6.2
                                        2000 <= kW < 3700.......           2013+            0.14           b 7.8
15.0 <= disp. < 20.0 c................  kW < 2000...............           2014+            0.34             7.0
20.0 <= disp. < 25.0 c................  kW < 2000...............           2014+            0.27             9.8
25.0 <= disp. < 30.0 c................  kW < 2000...............           2014+            0.27            11.0
----------------------------------------------------------------------------------------------------------------
a No Tier 3 standards apply for Category 2 engines at or above 3700 kW. See Sec.   1042.1(c) and paragraph
  (a)(7) of this section for the standards that apply for these engines.
b For engines subject to the 7.8 g/kW-hr NOX+HC standard, FELs may not be higher than the Tier 1 NOX standard
  specified in Appendix I of this part.

[[Page 633]]

 
c No Tier 3 standards apply for Category 2 engines with per-cylinder displacement above 15.0 liters if maximum
  engine power is at or above 2000 kW. See Sec.   1042.1(c) and paragraph (a)(7) of this section for the
  standards that apply for these engines.

    (4) For Tier 3 engines at or above 19 kW and below 75 kW with 
displacement below 0.9 L/cyl, you may alternatively certify some or all 
of your engine families to a PM emission standard of 0.20 g/kW-hr and a 
NOX+HC emission standard of 5.8 g/kW-hr for 2014 and later 
model years.
    (5) Starting with the 2014 model year, recreational marine engines 
at or above 3700 kW (with any displacement) must be certified under this 
part 1042 to the Tier 3 standards specified in this section for 3.5 to 
7.0 L/cyl recreational marine engines.
    (6) Interim Tier 4 PM standards apply for 2014 and 2015 model year 
engines between 2000 and 3700 kW as specified in this paragraph (a)(6). 
These engines are considered to be Tier 4 engines.
    (i) For Category 1 engines, the Tier 3 PM standards from Table 1 to 
this section continue to apply. PM FELs for these engines may not be 
higher than the applicable Tier 2 PM standards specified in Appendix I 
of this part.
    (ii) For Category 2 engines with per-cylinder displacement below 
15.0 liters, the Tier 3 PM standards from Table 2 to this section 
continue to apply. PM FELs for these engines may not be higher than 0.27 
g/kW-hr.
    (iii) For Category 2 engines with per-cylinder displacement at or 
above 15.0 liters, the PM standard is 0.34 g/kW-hr for engines at or 
above 2000 kW and below 3300 kW, and 0.27 g/kW-hr for engines at or 
above 3300 kW and below 3700 kW. PM FELs for these engines may not be 
higher than 0.50 g/kW-hr.
    (7) Except as described in paragraph (a)(8) of this section, the 
Tier 4 standards for PM, NOX, and HC emissions are described 
in the following table:

   Table 3 to Sec.   1042.101.--Tier 4 Standards for Category 2 and Commercial Category 1 Engines Above 600 kW
----------------------------------------------------------------------------------------------------------------
                                                                            PM  (g/kW-  NOX  (g/kW-   HC  (g/kW-
        Maximum engine power           Displacement  (L/cyl)   Model year      hr)          hr)          hr)
----------------------------------------------------------------------------------------------------------------
600 <= kW < 1400....................  all...................        2017+         0.04          1.8         0.19
1400 <= kW < 2000...................  all...................        2016+         0.04          1.8         0.19
2000 <= kW < 3700 a.................  all...................        2014+         0.04          1.8         0.19
kW = 3700................  disp. <15.0...........    2014-2015         0.12          1.8         0.19
                                      15.0 <= disp.< 30.0...    2014-2015         0.25          1.8         0.19
                                      all...................        2016+         0.06          1.8         0.19
----------------------------------------------------------------------------------------------------------------
a See paragraph (a)(6) of this section for interim PM standards that apply for model years 2014 and 2015 for
  engines between 2000 and 3700 kW. The Tier 4 NOX FEL cap for engines at or above 2000 kW and below 3700 kW is
  7.0 g/kW-hr. Starting in the 2016 model year, the Tier 4 PM FEL cap for engines at or above 2000 kW and below
  3700 kW is 0.34 g/kW-hr.

    (8) The following optional provisions apply for complying with the 
Tier 3 and Tier 4 standards specified in paragraphs (a)(3) and (6) of 
this section:
    (i) You may use NOX credits accumulated through the ABT 
program to certify Tier 4 engines to a NOX+HC emission 
standard of 1.9 g/kW-hr instead of the NOX and HC standards 
that would otherwise apply by certifying your family to a 
NOX+HC FEL. Calculate the NOX credits needed as 
specified in subpart H of this part using the NOX+HC emission 
standard and FEL in the calculation instead of the otherwise applicable 
NOX standard and FEL. You may not generate credits relative 
to the alternate standard or certify to the standard without using 
credits.
    (ii) For engines below 1000 kW, you may delay complying with the 
Tier 4 standards in the 2017 model year for up to nine months, but you 
must comply no later than October 1, 2017.
    (iii) For engines at or above 3700 kW, you may delay complying with 
the Tier 4 standards in the 2016 model year for up to twelve months, but 
you must comply no later than December 31, 2016.
    (iv) For Category 2 engines at or above 1400 kW, you may 
alternatively comply with the Tier 3 and Tier 4 standards specified in 
Table 4 of this section instead of the NOX, HC, 
NOX+HC, and PM standards specified in paragraphs (a)(3) and 
(6) of this section.

[[Page 634]]

The CO standards specified in paragraph (a)(2) of this section apply 
without regard to whether you choose this option. If you choose this 
option, you must do so for all engines at or above 1400 kW in the same 
displacement category (that is, 7-15, 15-20, 20-25, or 25-30 liters per 
cylinder) in model years 2012 through 2015.

  Table 4 to Sec.   1042.101.--Optional Tier 3 and Tier 4 Standards for Category 2 Engines at or Above 1400 kW
----------------------------------------------------------------------------------------------------------------
                                                                            PM  (g/kW-  NOX  (g/kW-   HC  (g/kW-
                Tier                   Maximum engine power    Model year      hr)          hr)          hr)
----------------------------------------------------------------------------------------------------------------
Tier 3..............................  kW = 1400..    2012-2014         0.14         7.8 NOX+HC
Tier 4..............................  1400 <= kW < 3700.....         2015         0.04          1.8         0.19
                                      kW = 3700..         2015         0.06          1.8         0.19
----------------------------------------------------------------------------------------------------------------

    (b) Averaging, banking, and trading. You may generate or use 
emission credits under the averaging, banking, and trading (ABT) program 
as described in subpart H of this part for demonstrating compliance with 
NOX, NOX+HC, and PM emission standards for 
Category 1 and Category 2 engines. You may also use NOX or 
NOX+HC emission credits to comply with the alternate 
NOX+HC standard in paragraph (a)(8)(i) of this section. 
Generating or using emission credits requires that you specify a family 
emission limit (FEL) for each pollutant you include in the ABT program 
for each engine family. These FELs serve as the emission standards for 
the engine family with respect to all required testing instead of the 
standards specified in paragraph (a) of this section. The FELs determine 
the not-to-exceed standards for your engine family, as specified in 
paragraph (c) of this section. Unless otherwise specified, the following 
FEL caps apply:
    (1) FELs for Tier 3 engines may not be higher than the applicable 
Tier 2 standards specified in Appendix I of this part.
    (2) FELs for Tier 4 engines may not be higher than the applicable 
Tier 3 standards specified in paragraph (a)(3) of this section.
    (c) Not-to-exceed standards. Except as noted in Sec.  1042.145(e), 
exhaust emissions from all engines subject to the requirements of this 
part may not exceed the not-to-exceed (NTE) standards as follows:
    (1) Use the following equation to determine the NTE standards:
    (i) NTE standard for each pollutant = STD x M.

Where:

STD = The standard specified for that pollutant in this section if you 
certify without using ABT for that pollutant; or the FEL for that 
pollutant if you certify using ABT.
M = The NTE multiplier for that pollutant.

    (ii) Round each NTE standard to the same number of decimal places as 
the emission standard.
    (2) Determine the applicable NTE zone and subzones as described in 
Sec.  1042.515. Determine NTE multipliers for specific zones and 
subzones and pollutants as follows:
    (i) For commercial marine engines certified using the duty cycle 
specified in Sec.  1042.505(b)(1), except for variable-speed propulsion 
marine engines used with controllable-pitch propellers or with 
electrically coupled propellers, apply the following NTE multipliers:
    (A) Subzone 1: 1.2 for Tier 3 NOX+HC standards.
    (B) Subzone 1: 1.5 for Tier 4 standards and Tier 3 PM and CO 
standards.
    (C) Subzone 2: 1.5 for NOX+HC standards.
    (D) Subzone 2: 1.9 for PM and CO standards.
    (ii) For recreational marine engines certified using the duty cycle 
specified in Sec.  1042.505(b)(2), except for variable-speed marine 
engines used with controllable-pitch propellers or with electrically 
coupled propellers, apply the following NTE multipliers:
    (A) Subzone 1: 1.2 for Tier 3 NOX+HC standards.
    (B) Subzone 1: 1.5 for Tier 4 standards and Tier 3 PM and CO 
standards.
    (C) Subzones 2 and 3: 1.5 for NOX+HC standards.
    (D) Subzones 2 and 3: 1.9 for PM and CO standards.

[[Page 635]]

    (iii) For variable-speed marine engines used with controllable-pitch 
propellers or with electrically coupled propellers that are certified 
using the duty cycle specified in Sec.  1042.505(b)(1), (2), or (3), 
apply the following NTE multipliers:
    (A) Subzone 1: 1.2 for Tier 3 NOX+HC standards.
    (B) Subzone 1: 1.5 for Tier 4 standards and Tier 3 PM and CO 
standards.
    (C) Subzone 2: 1.5 for NOX+HC standards.
    (D) Subzone 2: 1.9 for PM and CO standards. However, there is no NTE 
standard in Subzone 2b for PM emissions if the engine family's 
applicable standard for PM is at or above 0.07 g/kW-hr.
    (iv) For constant-speed engines certified using a duty cycle 
specified in Sec.  1042.505(b)(3) or (4), apply the following NTE 
multipliers:
    (A) Subzone 1: 1.2 for Tier 3 NOX+HC standards.
    (B) Subzone 1: 1.5 for Tier 4 standards and Tier 3 PM and CO 
standards.
    (C) Subzone 2: 1.5 for NOX+HC standards.
    (D) Subzone 2: 1.9 for PM and CO standards. However, there is no NTE 
standard for PM emissions if the engine family's applicable standard for 
PM is at or above 0.07 g/kW-hr.
    (v) For variable-speed auxiliary marine engines certified using the 
duty cycle specified in Sec.  1042.505(b)(5)(ii) or (iii):
    (A) Subzone 1: 1.2 for Tier 3 NOX+HC standards.
    (B) Subzone 1: 1.5 for Tier 4 standards and Tier 3 PM and CO 
standards.
    (C) Subzone 2: 1.2 for Tier 3 NOX+HC standards.
    (D) Subzone 2: 1.5 for Tier 4 standards and Tier 3 PM and CO 
standards. However, there is no NTE standard for PM emissions if the 
engine family's applicable standard for PM is at or above 0.07 g/kW-hr.
    (3) The NTE standards apply to your engines whenever they operate 
within the NTE zone for an NTE sampling period of at least thirty 
seconds, during which only a single operator demand set point may be 
selected. Engine operation during a change in operator demand is 
excluded from any NTE sampling period. There is no maximum NTE sampling 
period.
    (4) Collect emission data for determining compliance with the NTE 
standards using the procedures described in subpart F of this part.
    (5) You may ask us to accept as compliant an engine that does not 
fully meet specific requirements under the applicable NTE standards 
where such deficiencies are necessary for safety.
    (d) Fuel types. The exhaust emission standards in this section apply 
for engines using the fuel type on which the engines in the engine 
family are designed to operate.
    (1) You must meet the numerical emission standards for hydrocarbons 
in this section based on the following types of hydrocarbon emissions 
for engines powered by the following fuels:
    (i) Alcohol-fueled engines must comply with Tier 3 HC standards 
based on THCE emissions and with Tier 4 standards based on NMHCE 
emissions.
    (ii) Natural gas-fueled engines must comply with HC standards based 
on NMHC emissions.
    (iii) Diesel-fueled and other engines must comply with Tier 3 HC 
standards based on THC emissions and with Tier 4 standards based on NMHC 
emissions.
    (2) Tier 3 and later engines must comply with the exhaust emission 
standards when tested using test fuels containing 15 ppm or less sulfur 
(ultra low-sulfur diesel fuel). Manufacturers may use low-sulfur diesel 
fuel (without request) to certify an engine otherwise requiring an ultra 
low-sulfur test fuel; however, emissions may not be corrected to account 
for the effects of using higher sulfur fuel.
    (3) Engines designed to operate using residual fuel must comply with 
the standards and requirements of this part when operated using residual 
fuel in addition to complying with the requirements of this part when 
operated using diesel fuel.
    (e) Useful life. Your engines must meet the exhaust emission 
standards of this section over their full useful life, expressed as a 
period in years or hours of engine operation, whichever comes first.
    (1) The minimum useful life values are as follows, except as 
specified by paragraph (e)(2) or (3) of this section:

[[Page 636]]

    (i) 10 years or 1,000 hours of operation for recreational Category 1 
engines
    (ii) 5 years or 3,000 hours of operation for commercial engines 
below 19 kW.
    (iii) 7 years or 5,000 hours of operation for commercial engines at 
or above 19 kW and below 37kW.
    (iv) 10 years or 10,000 hours of operation for commercial Category 1 
engines at or above 37 kW.
    (v) 10 years or 20,000 hours of operation for Category 2 engines.
    (2) Specify a longer useful life in hours for an engine family under 
either of two conditions:
    (i) If you design, advertise, or market your engine to operate 
longer than the minimum useful life (your recommended hours until 
rebuild indicates a longer design life).
    (ii) If your basic mechanical warranty is longer than the minimum 
useful life.
    (3) You may request in your application for certification that we 
approve a shorter useful life for an engine family. We may approve a 
shorter useful life, in hours of engine operation but not in years, if 
we determine that these engines will rarely operate longer than the 
shorter useful life. If engines identical to those in the engine family 
have already been produced and are in use, your demonstration must 
include documentation from such in-use engines. In other cases, your 
demonstration must include an engineering analysis of information 
equivalent to such in-use data, such as data from research engines or 
similar engine models that are already in production. Your demonstration 
must also include any overhaul interval that you recommend, any 
mechanical warranty that you offer for the engine or its components, and 
any relevant customer design specifications. Your demonstration may 
include any other relevant information. The useful life value may not be 
shorter than any of the following:
    (i) 1,000 hours of operation.
    (ii) Your recommended overhaul interval.
    (iii) Your mechanical warranty for the engine.
    (f) Applicability for testing. The duty-cycle emission standards in 
this subpart apply to all testing performed according to the procedures 
in Sec.  1042.505, including certification, production-line, and in-use 
testing. The not-to-exceed standards apply for all testing performed 
according to the procedures of subpart F of this part.



Sec.  1042.107  Evaporative emission standards.

    You must design and produce engines fueled with a volatile liquid 
fuel to minimize evaporative emissions during normal operation, 
including periods when the engine is shut down. You must also design and 
produce them to minimize the escape of fuel vapors during refueling. 
Hoses used to refuel gaseous-fueled engines may not be designed to be 
bled or vented to the atmosphere under normal operating conditions. No 
valves or pressure-relief vents may be used on gaseous-fueled engines 
except as emergency safety devices that do not operate at normal system 
operating flows and pressures.



Sec.  1042.110  Recording reductant use and other diagnostic functions.

    (a) Engines equipped with SCR systems using a reductant other than 
the engine's fuel must meet the following requirements:
    (1) The diagnostic system must monitor reductant quality and tank 
levels and alert operators to the need to refill the reductant tank 
before it is empty, or to replace the reductant if it does not meet your 
concentration specifications. Unless we approve other alerts, use a 
malfunction-indicator light (MIL) and an audible alarm. You do not need 
to separately monitor reductant quality if you include an exhaust 
NOX sensor (or other sensor) that allows you to determine 
inadequate reductant quality. However, tank level must be monitored in 
all cases.
    (2) The onboard computer log must record in nonvolatile computer 
memory all incidents of engine operation with inadequate reductant 
injection or reductant quality.
    (b) If you determine your emission controls have failure modes that 
may reasonably be expected to affect safety, equip the engines with 
diagnostic features that will alert the operator to such failures. Use 
good engineering judgment to alert the operator before the failure 
occurs.

[[Page 637]]

    (c) You may equip your engine with other diagnostic features. If you 
do, they must be designed to allow us to read and interpret the codes. 
Note that Sec. Sec.  1042.115 and 1042.205 require that you provide us 
any information needed to read, record, and interpret all the 
information broadcast by an engine's onboard computers and electronic 
control units.



Sec.  1042.115  Other requirements.

    Engines that are required to comply with the emission standards of 
this part must meet the following requirements:
    (a) Crankcase emissions. Crankcase emissions may not be discharged 
directly into the ambient atmosphere from any engine throughout its 
useful life, except as follows:
    (1) Engines may discharge crankcase emissions to the ambient 
atmosphere if the emissions are added to the exhaust emissions (either 
physically or mathematically) during all emission testing. If you take 
advantage of this exception, you must do both of the following things:
    (i) Manufacture the engines so that all crankcase emissions can be 
routed into the applicable sampling systems specified in 40 CFR part 
1065.
    (ii) Account for deterioration in crankcase emissions when 
determining exhaust deterioration factors.
    (2) For purposes of this paragraph (a), crankcase emissions that are 
routed to the exhaust upstream of exhaust aftertreatment during all 
operation are not considered to be discharged directly into the ambient 
atmosphere.
    (b) Torque broadcasting. Electronically controlled engines must 
broadcast their speed and output shaft torque (in newton-meters). 
Engines may alternatively broadcast a surrogate value for determining 
torque. Engines must broadcast engine parameters such that they can be 
read with a remote device, or broadcast them directly to their 
controller area networks. This information is necessary for testing 
engines in the field (see Sec.  1042.515).
    (c) EPA access to broadcast information. If we request it, you must 
provide us any hardware or tools we would need to readily read, 
interpret, and record all information broadcast by an engine's on-board 
computers and electronic control modules. If you broadcast a surrogate 
parameter for torque values, you must provide us what we need to convert 
these into torque units. We will not ask for hardware or tools if they 
are readily available commercially.
    (d) Adjustable parameters. An operating parameter is not considered 
adjustable if you permanently seal it or if it is not normally 
accessible using ordinary tools. The following provisions apply for 
adjustable parameters:
    (1) Category 1 engines that have adjustable parameters must meet all 
the requirements of this part for any adjustment in the physically 
adjustable range. We may require that you set adjustable parameters to 
any specification within the adjustable range during any testing, 
including certification testing, selective enforcement auditing, or in-
use testing.
    (2) Category 2 engines that have adjustable parameters must meet all 
the requirements of this part for any adjustment in the specified 
adjustable range. You must specify in your application for certification 
the adjustable range of each adjustable parameter on a new engine to--
    (i) Ensure that safe engine operating characteristics are available 
within that range, as required by section 202(a)(4) of the Clean Air Act 
(42 U.S.C. 7521(a)(4)), taking into consideration the production 
tolerances.
    (ii) Limit the physical range of adjustability to the maximum extent 
practicable to the range that is necessary for proper operation of the 
engine.
    (e) Prohibited controls. You may not design your engines with 
emission-control devices, systems, or elements of design that cause or 
contribute to an unreasonable risk to public health, welfare, or safety 
while operating. For example, this would apply if the engine emits a 
noxious or toxic substance it would otherwise not emit, that contributes 
to such an unreasonable risk.
    (f) Defeat devices. You may not equip your engines with a defeat 
device. A defeat device is an auxiliary emission control device that 
reduces the effectiveness of emission controls under

[[Page 638]]

conditions that the engine may reasonably be expected to encounter 
during normal operation and use. This does not apply to auxiliary 
emission control devices you identify in your certification application 
if any of the following is true:
    (1) The conditions of concern were substantially included in the 
applicable duty-cycle test procedures described in subpart F of this 
part (the portion during which emissions are measured). See paragraph 
(f)(4) of this section for other conditions.
    (2) You show your design is necessary to prevent engine (or vessel) 
damage or accidents.
    (3) The reduced effectiveness applies only to starting the engine.



Sec.  1042.120  Emission-related warranty requirements.

    (a) General requirements. You must warrant to the ultimate purchaser 
and each subsequent purchaser that the new engine, including all parts 
of its emission control system, meets two conditions:
    (1) It is designed, built, and equipped so it conforms at the time 
of sale to the ultimate purchaser with the requirements of this part.
    (2) It is free from defects in materials and workmanship that may 
keep it from meeting these requirements.
    (b) Warranty period. Your emission-related warranty must be valid 
for at least as long as the minimum warranty periods listed in this 
paragraph (b) in hours of operation and years, whichever comes first. 
You may offer an emission-related warranty more generous than we 
require. The emission-related warranty for the engine may not be shorter 
than any published warranty you offer without charge for the engine. 
Similarly, the emission-related warranty for any component may not be 
shorter than any published warranty you offer without charge for that 
component. If an engine has no hour meter, we base the warranty periods 
in this paragraph (b) only on the engine's age (in years).
    The warranty period begins when the engine is placed into service. 
The following minimum warranty periods apply:
    (1) For Category 1 and Category 2 engines, your emission-related 
warranty must be valid for at least 50 percent of the engine's useful 
life in hours of operation or a number of years equal to at least 50 
percent of the useful life in years, whichever comes first.
    (2) [Reserved]
    (c) Components covered. The emission-related warranty covers all 
components whose failure would increase an engine's emissions of any 
pollutant, including those listed in 40 CFR part 1068, Appendix I, and 
those from any other system you develop to control emissions. The 
emission-related warranty for freshly manufactured marine engines covers 
these components even if another company produces the component. Your 
emission-related warranty does not cover components whose failure would 
not increase an engine's emissions of any pollutant. For remanufactured 
engines, your emission-related warranty does not cover used parts that 
are not replaced during the remanufacture.
    (d) Limited applicability. You may deny warranty claims under this 
section if the operator caused the problem through improper maintenance 
or use, as described in 40 CFR 1068.115.
    (e) Owners manual. Describe in the owners manual the emission-
related warranty provisions from this section that apply to the engine.



Sec.  1042.125  Maintenance instructions for Category 1 and Category 2 engines.

    Give the ultimate purchaser of each new engine written instructions 
for properly maintaining and using the engine, including the emission 
control system, as described in this section. The maintenance 
instructions also apply to service accumulation on your emission-data 
engines as described in Sec.  1042.245 and in 40 CFR part 1065. This 
section applies only to Category 1 and Category 2 engines.
    (a) Critical emission-related maintenance. Critical emission-related 
maintenance includes any adjustment, cleaning, repair, or replacement of 
critical emission-related components. This may also include additional 
emission-related maintenance that you determine is critical if we 
approve it in

[[Page 639]]

advance. You may schedule critical emission-related maintenance on these 
components if you meet the following conditions:
    (1) You demonstrate that the maintenance is reasonably likely to be 
done at the recommended intervals on in-use engines. We will accept 
scheduled maintenance as reasonably likely to occur if you satisfy any 
of the following conditions:
    (i) You present data showing that any lack of maintenance that 
increases emissions also unacceptably degrades the engine's performance.
    (ii) You present survey data showing that at least 80 percent of 
engines in the field get the maintenance you specify at the recommended 
intervals.
    (iii) You provide the maintenance free of charge and clearly say so 
in maintenance instructions for the customer.
    (iv) You otherwise show us that the maintenance is reasonably likely 
to be done at the recommended intervals.
    (2) For engines below 130 kW, you may not schedule critical 
emission-related maintenance more frequently than the following minimum 
intervals, except as specified in paragraphs (a)(4), (b), and (c) of 
this section:
    (i) For EGR-related filters and coolers, PCV valves, and fuel 
injector tips (cleaning only), the minimum interval is 1,500 hours.
    (ii) For the following components, including associated sensors and 
actuators, the minimum interval is 3,000 hours: Fuel injectors, 
turbochargers, catalytic converters, electronic control units, 
particulate traps, trap oxidizers, components related to particulate 
traps and trap oxidizers, EGR systems (including related components, but 
excluding filters and coolers), and other add-on components. For 
particulate traps, trap oxidizers, and components related to either of 
these, maintenance is limited to cleaning and repair only.
    (3) For Category 1 and Category 2 engines at or above 130 kW, you 
may not schedule critical emission-related maintenance more frequently 
than the following minimum intervals, except as specified in paragraphs 
(a)(4), (b), and (c) of this section:
    (i) For EGR-related filters and coolers, PCV valves, and fuel 
injector tips (cleaning only), the minimum interval is 1,500 hours.
    (ii) For the following components, including associated sensors and 
actuators, the minimum interval is 4500 hours: Fuel injectors, 
turbochargers, catalytic converters, electronic control units, 
particulate traps, trap oxidizers, components related to particulate 
traps and trap oxidizers, EGR systems (including related components, but 
excluding filters and coolers), and other add-on components. For 
particulate traps, trap oxidizers, and components related to either of 
these, maintenance is limited to cleaning and repair only.
    (4) We may approve shorter maintenance intervals than those listed 
in paragraph (a)(3) of this section where technologically necessary.
    (5) If your engine family has an alternate useful life under Sec.  
1042.101(e) that is shorter than the period specified in paragraph 
(a)(2) or (a)(3) of this section, you may not schedule critical 
emission-related maintenance more frequently than the alternate useful 
life, except as specified in paragraph (c) of this section.
    (b) Recommended additional maintenance. You may recommend any 
additional amount of maintenance on the components listed in paragraph 
(a) of this section, as long as you state clearly that these maintenance 
steps are not necessary to keep the emission-related warranty valid. If 
operators do the maintenance specified in paragraph (a) of this section, 
but not the recommended additional maintenance, this does not allow you 
to disqualify those engines from in-use testing or deny a warranty 
claim. Do not take these maintenance steps during service accumulation 
on your emission-data engines.
    (c) Special maintenance. You may specify more frequent maintenance 
to address problems related to special situations, such as atypical 
engine operation. You must clearly state that this additional 
maintenance is associated with the special situation you are addressing.
    (d) Noncritical emission-related maintenance. Subject to the 
provisions of this paragraph (d), you may schedule any amount of 
emission-related inspection or maintenance that is not covered by

[[Page 640]]

paragraph (a) of this section (that is, maintenance that is neither 
explicitly identified as critical emission-related maintenance, nor that 
we approve as critical emission-related maintenance). Noncritical 
emission-related maintenance generally includes maintenance on the 
components we specify in 40 CFR part 1068, Appendix I. You must state in 
the owners manual that these steps are not necessary to keep the 
emission-related warranty valid. If operators fail to do this 
maintenance, this does not allow you to disqualify those engines from 
in-use testing or deny a warranty claim. Do not take these inspection or 
maintenance steps during service accumulation on your emission-data 
engines.
    (e) Maintenance that is not emission-related. For maintenance 
unrelated to emission controls, you may schedule any amount of 
inspection or maintenance. You may also take these inspection or 
maintenance steps during service accumulation on your emission-data 
engines, as long as they are reasonable and technologically necessary. 
This might include adding engine oil, changing air, fuel, or oil 
filters, servicing engine-cooling systems, and adjusting idle speed, 
governor, engine bolt torque, valve lash, or injector lash. You may 
perform this nonemission-related maintenance on emission-data engines at 
the least frequent intervals that you recommend to the ultimate 
purchaser (but not intervals recommended for severe service).
    (f) Source of parts and repairs. State clearly on the first page of 
your written maintenance instructions that a repair shop or person of 
the owner's choosing may maintain, replace, or repair emission control 
devices and systems. Your instructions may not require components or 
service identified by brand, trade, or corporate name. Also, do not 
directly or indirectly condition your warranty on a requirement that the 
engine be serviced by your franchised dealers or any other service 
establishments with which you have a commercial relationship. You may 
disregard the requirements in this paragraph (f) if you do one of two 
things:
    (1) Provide a component or service without charge under the purchase 
agreement.
    (2) Get us to waive this prohibition in the public's interest by 
convincing us the engine will work properly only with the identified 
component or service.
    (g) Payment for scheduled maintenance. Owners are responsible for 
properly maintaining their engines. This generally includes paying for 
scheduled maintenance. However, manufacturers must pay for scheduled 
maintenance during the useful life if it meets all the following 
criteria:
    (1) Each affected component was not in general use on similar 
engines before the applicable dates shown in paragraph (6) of the 
definition of ``new marine engine'' in Sec.  1042.901.
    (2) The primary function of each affected component is to reduce 
emissions.
    (3) The cost of the scheduled maintenance is more than 2 percent of 
the price of the engine.
    (4) Failure to perform the maintenance would not cause clear 
problems that would significantly degrade the engine's performance.
    (h) Owners manual. Explain the owner's responsibility for proper 
maintenance in the owners manual.



Sec.  1042.130  Installation instructions for vessel manufacturers.

    (a) If you sell an engine for someone else to install in a vessel, 
give the engine installer instructions for installing it consistent with 
the requirements of this part. Include all information necessary to 
ensure that an engine will be installed in its certified configuration.
    (b) Make sure these instructions have the following information:
    (1) Include the heading: ``Emission-related installation 
instructions''.
    (2) State: ``Failing to follow these instructions when installing a 
certified engine in a vessel violates federal law (40 CFR 1068.105(b)), 
subject to fines or other penalties as described in the Clean Air 
Act.''.
    (3) Describe the instructions needed to properly install the exhaust 
system and any other components. Include instructions consistent with 
the requirements of Sec.  1042.205(u).

[[Page 641]]

    (4) Describe any necessary steps for installing the diagnostic 
system described in Sec.  1042.110.
    (5) Describe any limits on the range of applications needed to 
ensure that the engine operates consistently with your application for 
certification. For example, if your engines are certified only for 
constant-speed operation, tell vessel manufacturers not to install the 
engines in variable-speed applications or modify the governor.
    (6) Describe any other instructions to make sure the installed 
engine will operate according to design specifications in your 
application for certification. This may include, for example, 
instructions for installing aftertreatment devices when installing the 
engines.
    (7) State: ``If you install the engine in a way that makes the 
engine's emission control information label hard to read during normal 
engine maintenance, you must place a duplicate label on the vessel, as 
described in 40 CFR 1068.105.''.
    (8) Describe any vessel labeling requirements specified in Sec.  
1042.135.
    (c) You do not need installation instructions for engines you 
install in your own vessels.
    (d) Provide instructions in writing or in an equivalent format. For 
example, you may post instructions on a publicly available Web site for 
downloading or printing. If you do not provide the instructions in 
writing, explain in your application for certification how you will 
ensure that each installer is informed of the installation requirements.



Sec.  1042.135  Labeling.

    (a) Assign each engine a unique identification number and 
permanently affix, engrave, or stamp it on the engine in a legible way.
    (b) At the time of manufacture, affix a permanent and legible label 
identifying each engine. The label must be--
    (1) Attached in one piece so it is not removable without being 
destroyed or defaced.
    (2) Secured to a part of the engine needed for normal operation and 
not normally requiring replacement.
    (3) Durable and readable for the engine's entire life.
    (4) Written in English.
    (c) The label must--
    (1) Include the heading ``EMISSION CONTROL INFORMATION''.
    (2) Include your full corporate name and trademark. You may identify 
another company and use its trademark instead of yours if you comply 
with the provisions of Sec.  1042.640.
    (3) Include EPA's standardized designation for the engine family 
(and subfamily, where applicable).
    (4) Identify all the emission standards that apply to the engine (or 
FELs, if applicable). If you do not declare an FEL under subpart H of 
this part, you may alternatively state the engine's category, 
displacement (in liters or L/cyl), maximum engine power (in kW), and 
power density (in kW/L) as needed to determine the emission standards 
for the engine family. You may specify displacement, maximum engine 
power, or power density as a range consistent with the ranges listed in 
Sec.  1042.101. See Sec.  1042.140 for descriptions of how to specify 
per-cylinder displacement, maximum engine power, and power density.
    (5) State the date of manufacture [DAY (optional), MONTH, and YEAR]. 
However, you may omit this from the label if you stamp or engrave it on 
the engine, in which case you must also describe in your application for 
certification where you will identify the date on the engine.
    (6) Identify the application(s) for which the engine family is 
certified (such as constant-speed auxiliary, variable-speed propulsion 
engines used with fixed-pitch propellers, etc.). If the engine is 
certified as a recreational engine, state: ``INSTALLING THIS 
RECREATIONAL ENGINE IN A COMMERCIAL VESSEL OR USING THE VESSEL FOR 
COMMERCIAL PURPOSES MAY VIOLATE FEDERAL LAW SUBJECT TO CIVIL PENALTY (40 
CFR 1042.601).''.
    (7) For engines requiring ULSD, state: ``ULTRA LOW SULFUR DIESEL 
FUEL ONLY''.
    (8) State the useful life for your engine family if the applicable 
useful life is based on the provisions of Sec.  1042.101(e)(2) or (3).
    (9) Identify the emission control system. Use terms and 
abbreviations consistent with SAE J1930 (incorporated

[[Page 642]]

by reference in Sec.  1042.910). You may omit this information from the 
label if there is not enough room for it and you put it in the owners 
manual instead.
    (10) State: ``THIS MARINE ENGINE COMPLIES WITH U.S. EPA REGULATIONS 
FOR [MODEL YEAR].''.
    (11) For an engine that can be modified to operate on residual fuel, 
but has not been certified to meet the standards on such a fuel, include 
the statement: ``THIS ENGINE IS CERTIFIED FOR OPERATION ONLY WITH DIESEL 
FUEL. MODIFYING THE ENGINE TO OPERATE ON RESIDUAL OR INTERMEDIATE FUEL 
MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTIES.''.
    (d) You may add information to the emission control information 
label as follows:
    (1) You may identify other emission standards that the engine meets 
or does not meet (such as international standards). You may include this 
information by adding it to the statement we specify or by including a 
separate statement.
    (2) You may add other information to ensure that the engine will be 
properly maintained and used.
    (3) You may add appropriate features to prevent counterfeit labels. 
For example, you may include the engine's unique identification number 
on the label.
    (e) For engines requiring ULSD, create a separate label with the 
statement: ``ULTRA LOW SULFUR DIESEL FUEL ONLY''. Permanently attach 
this label to the vessel near the fuel inlet or, if you do not 
manufacture the vessel, take one of the following steps to ensure that 
the vessel will be properly labeled:
    (1) Provide the label to each vessel manufacturer and include in the 
emission-related installation instructions the requirement to place this 
label near the fuel inlet.
    (2) Confirm that the vessel manufacturers install their own 
complying labels.
    (f) You may ask us to approve modified labeling requirements in this 
part 1042 if you show that it is necessary or appropriate. We will 
approve your request if your alternate label is consistent with the 
intent of the labeling requirements of this part.
    (g) If you obscure the engine label while installing the engine in 
the vessel such that the label will be hard to read during normal 
maintenance, you must place a duplicate label on the vessel. If others 
install your engine in their vessels in a way that obscures the engine 
label, we require them to add a duplicate label on the vessel (see 40 
CFR 1068.105); in that case, give them the number of duplicate labels 
they request and keep the following records for at least five years:
    (1) Written documentation of the request from the vessel 
manufacturer.
    (2) The number of duplicate labels you send for each family and the 
date you sent them.



Sec.  1042.140  Maximum engine power, displacement, and power density.

    This section describes how to determine the maximum engine power, 
displacement, and power density of an engine for the purposes of this 
part. Note that maximum engine power may differ from the definition of 
``maximum test power'' in Sec.  1042.901.
    (a) An engine configuration's maximum engine power is the maximum 
brake power point on the nominal power curve for the engine 
configuration, as defined in this section. Round the power value to the 
nearest whole kilowatt.
    (b) The nominal power curve of an engine configuration is the 
relationship between maximum available engine brake power and engine 
speed for an engine, using the mapping procedures of 40 CFR part 1065, 
based on the manufacturer's design and production specifications for the 
engine. This information may also be expressed by a torque curve that 
relates maximum available engine torque with engine speed.
    (c) An engine configuration's per-cylinder displacement is the 
intended swept volume of each cylinder. The swept volume of the engine 
is the product of the internal cross-section area of the cylinders, the 
stroke length, and the number of cylinders. Calculate the engine's 
intended swept volume from the design specifications for the cylinders 
using enough significant figures

[[Page 643]]

to allow determination of the displacement to the nearest 0.02 liters. 
Determine the final value by truncating digits to establish the per-
cylinder displacement to the nearest 0.1 liters. For example, for an 
engine with circular cylinders having an internal diameter of 13.0 cm 
and a 15.5 cm stroke length, the rounded displacement would be: (13.0/2) 
\2\ x ([pi]) x (15.5) / 1000 = 2.0 liters.
    (d) The nominal power curve and intended swept volume must be within 
the range of the actual power curves and swept volumes of production 
engines considering normal production variability. If after production 
begins, it is determined that either your nominal power curve or your 
intended swept volume does not represent production engines, we may 
require you to amend your application for certification under Sec.  
1042.225.
    (e) Throughout this part, references to a specific power value for 
an engine are based on maximum engine power. For example, the group of 
engines with maximum engine power above 600 kW may be referred to as 
engines above 600 kW.
    (f) Calculate an engine family's power density in kW/L by dividing 
the unrounded maximum engine power by the engine's unrounded per-
cylinder displacement, then dividing by the number of cylinders. Round 
the calculated value to the nearest whole number.



Sec.  1042.145  Interim provisions.

    (a) General. The provisions in this section apply instead of other 
provisions in this part for Category 1 and Category 2 engines. This 
section describes when these interim provisions expire.
    (b) Delayed standards. Post-manufacturer marinizers that are small-
volume engine manufacturers may delay compliance with the Tier 3 
standards for engines below 600 kW as follows:
    (1) You may delay compliance with the Tier 3 standards for one model 
year, as long as the engines meet all the requirements that apply to 
Tier 2 engines.
    (2) You may delay compliance with the NTE standards for Tier 3 
engines for three model years in addition to the one-year delay 
specified in paragraph (b)(1) of this section, as long as the engines 
meet all other Tier 3 requirements for the appropriate model year.
    (c) Part 1065 test procedures. You must generally use the test 
procedures specified in subpart F of this part, including the applicable 
test procedures in 40 CFR part 1065. As specified in this paragraph (c), 
you may use a combination of the test procedures specified in this part 
and the test procedures specified for Tier 2 engines before January 1, 
2015. After this date, you must use test procedures only as specified in 
subpart F of this part.
    (1) You may determine maximum test speed for engines below 37 kW as 
specified in 40 CFR part 89 without request through the 2009 model year.
    (2) Before January 1, 2015, you may ask to use some or all of the 
procedures specified in 40 CFR part 94 (or 40 CFR part 89 for engines 
below 37 kW) for engines certified under this part 1042. If you ask to 
rely on a combination of procedures under this paragraph (c)(2), we will 
approve your request only if you show us that it does not affect your 
ability to demonstrate compliance with the applicable emission 
standards. This generally requires that the combined procedures would 
result in emission measurements at least as high as those that would be 
measured using the procedures specified in this part. Alternatively, you 
may demonstrate that the combined effects of the different procedures is 
small relative to your compliance margin (the degree to which your 
emissions are below the applicable standards).
    (d) [Reserved]
    (e) Delayed compliance with NTE standards. Engines below 56 kW may 
delay complying with the NTE standards specified in Sec.  1042.101(c) 
until the 2013 model year. Engines at or above 56 kW and below 75 kW may 
delay complying with the NTE standards specified in Sec.  1042.101(c) 
until the 2012 model year.
    (f) In-use compliance limits. The provisions of this paragraph (f) 
apply for the first three model years of the Tier 4 standards. For 
purposes of determining compliance based on testing other than 
certification or production-line testing, calculate the applicable in-
use

[[Page 644]]

compliance limits by adjusting the applicable standards/FELs. The PM 
adjustment does not apply for engines with a PM standard or FEL above 
0.04 g/kW-hr. The NOX adjustment does not apply for engines 
with a NOX FEL above 2.7 g/kW-hr. Add the applicable 
adjustments in one of the following tables to the otherwise applicable 
standards and NTE limits. You must specify during certification which 
add-ons, if any, will apply for your engines.

   Table 1 to Sec.   1042.145.--In-use Adjustments for the First Three
                   Model Years of the Tier 4 Standards
------------------------------------------------------------------------
                                         In-use adjustments (g/kW-hr)
                                     -----------------------------------
Fraction of useful life already used   For Tier 4 NOX    For Tier 4  PM
                                          standards         standards
------------------------------------------------------------------------
0 < hours <= 50% of useful life.....               0.9              0.02
50 < hours <= 75% of useful life....               1.3              0.02
hours  75% of useful life               1.7              0.02
------------------------------------------------------------------------


 Table 2 to Sec.   1042.145.--Optional In-use Adjustments for the First
                Three Model Years of the Tier 4 Standards
------------------------------------------------------------------------
                                         In-use adjustments (g/kW-hr)
                                     -----------------------------------
                                       For model year    For model year
Fraction of useful life already used  2017 and earlier  2017 and earlier
                                         Tier 4 NOX         Tier 4 PM
                                          standards         standards
------------------------------------------------------------------------
0 < hours <= 50% of useful life.....               0.3              0.05
50 < hours <= 75% of useful life....               0.4              0.05
hours  75% of useful life               0.5              0.05
------------------------------------------------------------------------

    (g) Deficiencies for NTE standards. You may ask us to accept as 
compliant an engine that does not fully meet specific requirements under 
the applicable NTE standards. Such deficiencies are intended to allow 
for minor deviations from the NTE standards under limited conditions. We 
expect your engines to have functioning emission control hardware that 
allows you to comply with the NTE standards.
    (1) Request our approval for specific deficiencies in your 
application for certification, or before you submit your application. We 
will not approve deficiencies retroactively to cover engines already 
certified. In your request, identify the scope of each deficiency and 
describe any auxiliary emission control devices you will use to control 
emissions to the lowest practical level, considering the deficiency you 
are requesting.
    (2) We will approve a deficiency only if compliance would be 
infeasible or unreasonable considering such factors as the technical 
feasibility of the given hardware and the applicable lead time and 
production cycles. We may consider other relevant factors.
    (3) Our approval applies only for a single model year and may be 
limited to specific engine configurations. We may approve your request 
for the same deficiency in the following model year if correcting the 
deficiency would require unreasonable hardware or software modifications 
and we determine that you have demonstrated an acceptable level of 
effort toward complying.
    (4) You may ask for any number of deficiencies in the first three 
model years during which NTE standards apply for your engines. For the 
next four model years, we may approve up to three deficiencies per 
engine family. Deficiencies of the same type that apply similarly to 
different power ratings within a family count as one deficiency per 
family. We may condition approval of any such additional deficiencies 
during these four years on any additional conditions we determine to be 
appropriate. We will not approve deficiencies after the seven-year 
period specified in this paragraph (g)(4), unless they are related to 
safety.

[[Page 645]]



                  Subpart C_Certifying Engine Families



Sec.  1042.201  General requirements for obtaining a certificate of conformity.

    (a) You must send us a separate application for a certificate of 
conformity for each engine family. A certificate of conformity is valid 
starting with the indicated effective date, but it is not valid for any 
production after December 31 of the model year for which it is issued. 
No certificate will be issued after December 31 of the model year.
    (b) The application must contain all the information required by 
this part and must not include false or incomplete statements or 
information (see Sec.  1042.255).
    (c) We may ask you to include less information than we specify in 
this subpart, as long as you maintain all the information required by 
Sec.  1042.250.
    (d) You must use good engineering judgment for all decisions related 
to your application (see 40 CFR 1068.5).
    (e) An authorized representative of your company must approve and 
sign the application.
    (f) See Sec.  1042.255 for provisions describing how we will process 
your application.
    (g) We may require you to deliver your test engines to a facility we 
designate for our testing (see Sec.  1042.235(c)).
    (h) For engines that become new as a result of substantial 
modifications or for engines installed on imported vessels that become 
subject to the requirements of this part, we may specify alternate 
certification provisions consistent with the intent of this part. See 
the definition of ``new marine engine'' in Sec.  1042.901.



Sec.  1042.205  Application requirements.

    This section specifies the information that must be in your 
application, unless we ask you to include less information under Sec.  
1042.201(c). We may require you to provide additional information to 
evaluate your application.
    (a) Describe the engine family's specifications and other basic 
parameters of the engine's design and emission controls. List the fuel 
type on which your engines are designed to operate (for example, ultra 
low-sulfur diesel fuel). List each distinguishable engine configuration 
in the engine family. For each engine configuration, list the maximum 
engine power and the range of values for maximum engine power resulting 
from production tolerances, as described in Sec.  1042.140.
    (b) Explain how the emission control system operates. Describe in 
detail all system components for controlling exhaust 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 vessel-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

[[Page 646]]

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 vessels:
    (i) Identify the engine and/or vessel 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/or 
vessels 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) If your engines are equipped with an engine diagnostic system, 
explain how it works, describing especially the engine conditions (with 
the corresponding diagnostic trouble codes) that cause the malfunction-
indicator light to go on.
    (d) Describe the engines you selected for testing and the reasons 
for selecting them.
    (e) Describe the test equipment and procedures that you used, 
including the duty cycle(s) and the corresponding engine applications. 
Also describe any special or alternate test procedures you used.
    (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 maintenance and warranty instructions you will give 
to the ultimate purchaser of each new engine (see Sec. Sec.  1042.120 
and 1042.125). Describe your plan for meeting warranty obligations under 
Sec. Sec.  1042.120.
    (j) Include the emission-related installation instructions you will 
provide if someone else installs your engines in a vessel (see Sec.  
1042.130).
    (k) Describe your emission control information label (see Sec.  
1042.135).
    (l) Identify the emission standards and/or FELs to which you are 
certifying engines in the engine family.
    (m) Identify the engine family's deterioration factors and describe 
how you developed them (see Sec.  1042.245). Present any emission test 
data you used for this.
    (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 for HC, NOX, PM, and CO on an 
emission-data engine to show your engines meet emission standards as 
specified in Sec.  1042.101. Show emission figures before and after 
applying adjustment factors for regeneration and deterioration factors 
for each pollutant and for each engine. If we specify more than one 
grade of any fuel type (for example, high-sulfur and low-sulfur diesel 
fuel), you need to submit test data only for one grade, unless the 
regulations of this part specify otherwise for your engine.
    Include emission results for each mode if you do discrete-mode 
testing under Sec.  1042.505. Note that Sec. Sec.  1042.235 and 1042.245 
allows you to submit an application in certain cases without new 
emission data.
    (p) For Category 1 and Category 2 engines, state that all the 
engines in the

[[Page 647]]

engine family comply with the applicable not-to-exceed emission 
standards in Sec.  1042.101 for all normal operation and use when tested 
as specified in Sec.  1042.515. Describe any relevant testing, 
engineering analysis, or other information in sufficient detail to 
support your statement.
    (q) [Reserved]
    (r) Report all test results, including those from invalid tests, 
whether or not they were conducted according to the test procedures of 
subpart F of this part. If you measure CO2, report those 
emission levels (in g/kW-hr). We may ask you to send other information 
to confirm that your tests were valid under the requirements of this 
part and 40 CFR part 1065.
    (s) Describe all adjustable operating parameters (see Sec.  
1042.115(d)), including production tolerances. Include the following in 
your description of each parameter:
    (1) The nominal or recommended setting.
    (2) The intended physically adjustable range.
    (3) The limits or stops used to establish adjustable ranges.
    (4) For Category 1 engines, information showing why 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 physically adjustable ranges.
    (5) For Category 2 engines, propose a range of adjustment for each 
adjustable parameter, as described in Sec.  1042.115(d). Include 
information showing why the limits, stops, or other means of inhibiting 
adjustment are effective in preventing adjustment of parameters on in-
use engines to settings outside your proposed adjustable ranges.
    (t) Provide the information to read, record, and interpret all the 
information broadcast by an engine's onboard computers and electronic 
control units. State that, upon request, you will give us any hardware, 
software, or tools we would need to do this. If you broadcast a 
surrogate parameter for torque values, you must provide us what we need 
to convert these into torque units. You may reference any appropriate 
publicly released standards that define conventions for these messages 
and parameters. Format your information consistent with publicly 
released standards.
    (u) Confirm that your emission-related installation instructions 
specify how to ensure that sampling of exhaust emissions will be 
possible after engines are installed in vessels and placed in service. 
Show how to sample exhaust emissions in a way that prevents diluting the 
exhaust sample with ambient air.
    (v) State whether your certification is limited for certain engines. 
If this is the case, describe how you will prevent use of these engines 
in applications for which they are not certified. This applies for 
engines such as the following:
    (1) Constant-speed engines.
    (2) Engines used with controllable-pitch propellers.
    (3) Recreational engines.
    (w) 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.
    (x) Include good-faith estimates of 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.
    (y) Include the information required by other subparts of this part. 
For example, include the information required by Sec.  1042.725 if you 
participate in the ABT program.
    (z) Include other applicable information, such as information 
specified in this part or 40 CFR part 1068 related to requests for 
exemptions.
    (aa) 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.
    (bb) The following provisions apply for imported engines:
    (1) Describe your normal practice for importing engines. For 
example, this may include identifying the names and addresses of any 
agents you have authorized to import your engines. Engines imported by 
nonauthorized

[[Page 648]]

agents are not covered by your certificate.
    (2) For engines below 560 kW, identify 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.



Sec.  1042.210  Preliminary approval.

    If you send us information before you finish the application, we 
will review it and make any appropriate determinations, especially for 
questions related to engine family definitions, auxiliary emission 
control devices, deterioration factors, useful life, testing for service 
accumulation, maintenance, and compliance with not-to-exceed standards. 
See Sec.  1042.245 for specific provisions that apply for deterioration 
factors. Decisions made under this section are considered to be 
preliminary approval, subject to final review and approval. We will 
generally not reverse a decision where we have given you preliminary 
approval, unless we find new information supporting a different 
decision. If you request preliminary approval related to the upcoming 
model year or the model year after that, we will make best-efforts to 
make the appropriate determinations as soon as practicable. We will 
generally not provide preliminary approval related to a future model 
year more than two years ahead of time.



Sec.  1042.220  Amending maintenance instructions.

    You may amend your emission-related maintenance instructions after 
you submit your application for certification, as long as the amended 
instructions remain consistent with the provisions of Sec.  1042.125. 
You must send the Designated Compliance Officer a written request to 
amend your application for certification for an engine family if you 
want to change the emission-related maintenance instructions in a way 
that could affect emissions. In your request, describe the proposed 
changes to the maintenance instructions. We will approve your request if 
we determine that the amended instructions are consistent with 
maintenance you performed on emission-data engines such that your 
durability demonstration would remain valid. If operators follow the 
original maintenance instructions rather than the newly specified 
maintenance, this does not allow you to disqualify those engines from 
in-use testing or deny a warranty claim.
    (a) If you are decreasing, replacing, or eliminating or any 
specified maintenance, you may distribute the new maintenance 
instructions to your customers 30 days after we receive your request, 
unless we disapprove your request. We may approve a shorter time or 
waive this requirement.
    (b) If your requested change would not decrease the specified 
maintenance, you may distribute the new maintenance instructions anytime 
after you send your request. For example, this paragraph (b) would cover 
adding instructions to increase the frequency of a maintenance step for 
engines in severe-duty applications.
    (c) You do not need to request approval if you are making only minor 
corrections (such as correcting typographical mistakes), clarifying your 
maintenance instructions, or changing instructions for maintenance 
unrelated to emission control.



Sec.  1042.225  Amending applications for certification.

    Before we issue you a certificate of conformity, you may amend your 
application to include new or modified engine configurations, subject to 
the provisions of this section. After we have issued your certificate of 
conformity, you may send us an amended application requesting that we 
include new or modified engine configurations within the scope of the 
certificate, subject to the provisions of this section. You must amend 
your application if any changes occur with respect to any information 
included in your application.
    (a) You must amend your application before you take any of the 
following actions:
    (1) Add an engine configuration to an engine family. In this case, 
the engine configuration added must be consistent with other engine 
configurations in the engine family with respect to the criteria listed 
in Sec.  1042.230.

[[Page 649]]

    (2) Change an engine configuration already included in an engine 
family in a way that may affect emissions, or change any of the 
components you described in your application for certification. This 
includes production and design changes that may affect emissions any 
time during the engine's lifetime.
    (3) Modify an FEL for an engine family as described in paragraph (f) 
of this section.
    (b) To amend your application for certification as specified in 
paragraph (a) of this section, send the Designated Compliance Officer 
the following information:
    (1) Describe in detail the addition or change in the engine model or 
configuration you intend to make.
    (2) Include engineering evaluations or data showing that the amended 
engine family complies with all applicable requirements. You may do this 
by showing that the original emission-data engine is still appropriate 
with respect to showing compliance of the amended family with all 
applicable requirements.
    (3) If the original emission-data engine for the engine family is 
not appropriate to show compliance for the new or modified engine 
configuration, include new test data showing that the new or modified 
engine configuration meets the requirements of this part.
    (c) We may ask for more test data or engineering evaluations. You 
must give us these within 30 days after we request them.
    (d) For engine families already covered by a certificate of 
conformity, we will determine whether the existing certificate of 
conformity covers your newly added or modified engine. You may ask for a 
hearing if we deny your request (see Sec.  1042.920).
    (e) For engine families already covered by a certificate of 
conformity, you may start producing the new or modified engine 
configuration anytime after you send us your amended application and 
before we make a decision under paragraph (d) of this section. However, 
if we determine that the affected engines do not meet applicable 
requirements, we will notify you to cease production of the engines and 
may require you to recall the engines at no expense to the owner. 
Choosing to produce engines under this paragraph (e) is deemed to be 
consent to recall all engines that we determine do not meet applicable 
emission standards or other requirements and to remedy the nonconformity 
at no expense to the owner. If you do not provide information required 
under paragraph (c) of this section within 30 days, you must stop 
producing the new or modified engines.
    (f) You may ask us to approve a change to your FEL in certain cases 
after the start of production. The changed FEL may not apply to engines 
you have already introduced into U.S. commerce, except as described in 
this paragraph (f). If we approve a changed FEL after the start of 
production, you must include the new FEL on the emission control 
information label for all engines produced after the change. You may ask 
us to approve a change to your FEL in the following cases:
    (1) You may ask to raise your FEL for your emission family at any 
time. In your request, you must show that you will still be able to meet 
the emission standards as specified in subparts B and H of this part. If 
you amend your application by submitting new test data to include a 
newly added or modified engine or fuel-system component, as described in 
paragraph (b)(3) of this section, use the appropriate FELs with 
corresponding production volumes to calculate your production-weighted 
average FEL for the model year, as described in subpart H of this part. 
If you amend your application without submitting new test data, you must 
use the higher FEL for the entire family to calculate your production-
weighted average FEL under subpart H of this part.
    (2) You may ask to lower the FEL for your emission family only if 
you have test data from production engines showing that emissions are 
below the proposed lower FEL. The lower FEL applies only to engines you 
produce after we approve the new FEL. Use the appropriate FELs with 
corresponding production volumes to calculate your production-weighted 
average FEL for the model year, as described in subpart H of this part.

[[Page 650]]



Sec.  1042.230  Engine families.

    (a) For purposes of certification, divide your product line into 
families of engines that are expected to have similar emission 
characteristics throughout the useful life as described in this section. 
You may not group Category 1 and Category 2 engines in the same family. 
Your engine family is limited to a single model year.
    (b) For Category 1 engines, group engines in the same engine family 
if they are the same in all the following aspects:
    (1) The combustion cycle and the fuel with which the engine is 
intended or designed to be operated.
    (2) The cooling system (for example, raw-water vs. separate-circuit 
cooling).
    (3) Method of air aspiration.
    (4) Method of exhaust aftertreatment (for example, catalytic 
converter or particulate trap).
    (5) Combustion chamber design.
    (6) Nominal bore and stroke.
    (7) Number of cylinders (for engines with aftertreatment devices 
only).
    (8) Cylinder arrangement (for engines with aftertreatment devices 
only).
    (9) Method of control for engine operation other than governing 
(i.e., mechanical or electronic).
    (10) Application (commercial or recreational).
    (11) Numerical level of the emission standards that apply to the 
engine, except as allowed under paragraphs (f) and (g) of this section.
    (c) For Category 2 engines, group engines in the same engine family 
if they are the same in all the following aspects:
    (1) The combustion cycle (e.g., diesel cycle).
    (2) The fuel with which the engine is intended or designed to be 
operated and the fuel system configuration.
    (3) The cooling system (for example, air-cooled or water-cooled), 
and procedure(s) employed to maintain engine temperature within desired 
limits (thermostat, on-off radiator fans, radiator shutters, etc.).
    (4) The method of air aspiration (turbocharged, supercharged, 
naturally aspirated, Roots blown).
    (5) The turbocharger or supercharger general performance 
characteristics (e.g., approximate boost pressure, approximate response 
time, approximate size relative to engine displacement).
    (6) The type of air inlet cooler (air-to-air, air-to-liquid, 
approximate degree to which inlet air is cooled).
    (7) The type of exhaust aftertreatment system (oxidation catalyst, 
particulate trap), and characteristics of the aftertreatment system 
(catalyst loading, converter size vs. engine size).
    (8) The combustion chamber configuration and the surface-to-volume 
ratio of the combustion chamber when the piston is at top dead center 
position, using nominal combustion chamber dimensions.
    (9) Nominal bore and stroke dimensions.
    (10) The location of the piston rings on the piston.
    (11) The intake manifold induction port size and configuration.
    (12) The exhaust manifold port size and configuration.
    (13) The location of the intake and exhaust valves (or ports).
    (14) The size of the intake and exhaust valves (or ports).
    (15) The approximate intake and exhaust event timing and duration 
(valve or port).
    (16) The configuration of the fuel injectors and approximate 
injection pressure.
    (17) The type of fuel injection system controls (i.e., mechanical or 
electronic).
    (18) The overall injection timing characteristics, or as appropriate 
ignition timing characteristics (i.e., the deviation of the timing 
curves from the optimal fuel economy timing curve must be similar in 
degree).
    (19) The type of smoke control system.
    (d) [Reserved]
    (e) You may subdivide a group of engines that is identical under 
paragraph (b) or (c) of this section into different engine families if 
you show the expected emission characteristics are different during the 
useful life. However, for the purpose of applying small-volume family 
provisions of this part, we will consider the otherwise applicable 
engine family criteria of this section.
    (f) You may group engines that are not identical with respect to the 
things

[[Page 651]]

listed in paragraph (b) or (c) of this section in the same engine 
family, as follows:
    (1) In unusual circumstances, you may group such engines in the same 
engine family if you show that their emission characteristics during the 
useful life will be similar.
    (2) If you are a small-volume engine manufacturer, you may group any 
Category 1 engines into a single engine family or you may group any 
Category 2 engines into a single engine family. This also applies if you 
are a post-manufacture marinizer modifying a base engine that has a 
valid certificate of conformity for any kind of nonroad or heavy-duty 
highway engine under this chapter.
    (3) The provisions of this paragraph (f) do not exempt any engines 
from meeting the standards and requirements in subpart B of this part.
    (g) If you combine engines that are subject to different emission 
standards into a single engine family under paragraph (f) of this 
section, you must certify the engine family to the more stringent set of 
standards for that model year.



Sec.  1042.235  Emission testing required for a certificate of conformity.

    This section describes the emission testing you must perform to show 
compliance with the emission standards in Sec.  1042.101(a). See Sec.  
1042.205(p) regarding emission testing related to the NTE standards. See 
Sec. Sec.  1042.240 and 1042.245 and 40 CFR part 1065, subpart E, 
regarding service accumulation before emission testing.
    (a) Select an emission-data engine from each engine family for 
testing. For engines at or above 560 kW, you may use a development 
engine that is equivalent in design to the engine being certified. Using 
good engineering judgment, select the engine configuration most likely 
to exceed an applicable emission standard over the useful life, 
considering all exhaust emission constituents and the range of 
installation options available to vessel manufacturers.
    (b) Test your emission-data engines using the procedures and 
equipment specified in subpart F of this part.
    (c) We may measure emissions from any of your test engines or other 
engines from the engine family, as follows:
    (1) We may decide to do the testing at your plant or any other 
facility. If we do this, you must deliver the test engine to a test 
facility we designate. The test engine you provide must include 
appropriate manifolds, aftertreatment devices, electronic control units, 
and other emission-related components not normally attached directly to 
the engine block. If we do the testing at your plant, you must schedule 
it as soon as possible and make available the instruments, personnel, 
and equipment we need.
    (2) If we measure emissions from one of your test engines, the 
results of that testing become the official emission results for the 
engine. Unless we later invalidate these data, we may decide not to 
consider your data in determining if your engine family meets applicable 
requirements.
    (3) Before we test one of your engines, we may set its adjustable 
parameters to any point within the specified adjustable ranges (see 
Sec.  1042.115(d)).
    (4) Before we test one of your engines, we may calibrate it within 
normal production tolerances for anything we do not consider an 
adjustable parameter.
    (d) You may ask to use emission data from a previous model year 
instead of doing new tests, but only if all the following are true:
    (1) The engine family from the previous model year differs from the 
current engine family only with respect to model year or other 
characteristics unrelated to emissions. You may also ask to add a 
configuration subject to Sec.  1042.225.
    (2) The emission-data engine from the previous model year remains 
the appropriate emission-data engine under paragraph (b) of this 
section.
    (3) The data show that the emission-data engine would meet all the 
requirements that apply to the engine family covered by the application 
for certification. For engines originally tested under the provisions of 
40 CFR part 94, you may consider those test procedures to be equivalent 
to the procedures we specify in subpart F of this part.

[[Page 652]]

    (e) We may require you to test a second engine of the same or 
different configuration in addition to the engine tested under paragraph 
(b) of this section.
    (f) If you use an alternate test procedure under 40 CFR 1065.10 and 
later testing shows that such testing does not produce results that are 
equivalent to the procedures specified in subpart F of this part, we may 
reject data you generated using the alternate procedure.



Sec.  1042.240  Demonstrating compliance with exhaust emission standards.

    (a) For purposes of certification, your engine family is considered 
in compliance with the emission standards in Sec.  1042.101(a) if all 
emission-data engines representing that family have test results showing 
deteriorated emission levels at or below these standards. Note that your 
FELs are considered to be the applicable emission standards with which 
you must comply if you participate in the ABT program in subpart H of 
this part.
    (b) Your engine family is deemed not to comply if any emission-data 
engine representing that family has test results showing a deteriorated 
emission level above an applicable emission standard for any pollutant.
    (c) To compare emission levels from the emission-data engine with 
the applicable emission standards for Category 1 and Category 2 engines, 
apply deterioration factors to the measured emission levels for each 
pollutant. Section 1042.245 specifies how to test your engine to develop 
deterioration factors that represent the deterioration expected in 
emissions over your engines' full useful life. Your deterioration 
factors must take into account any available data from in-use testing 
with similar engines. Small-volume engine manufacturers and post-
manufacture marinizers may use assigned deterioration factors that we 
establish. Apply deterioration factors as follows:
    (1) Additive deterioration factor for exhaust emissions. Except as 
specified in paragraph (c)(2) of this section, use an additive 
deterioration factor for exhaust emissions. An additive deterioration 
factor is the difference between exhaust emissions at the end of the 
useful life and exhaust emissions at the low-hour test point. In these 
cases, adjust the official emission results for each tested engine at 
the selected test point by adding the factor to the measured emissions. 
If the deterioration factor is less than zero, use zero. Additive 
deterioration factors must be specified to one more decimal place than 
the applicable standard.
    (2) Multiplicative deterioration factor for exhaust emissions. Use a 
multiplicative deterioration factor if good engineering judgment calls 
for the deterioration factor for a pollutant to be the ratio of exhaust 
emissions at the end of the useful life to exhaust emissions at the low-
hour test point. For example, if you use aftertreatment technology that 
controls emissions of a pollutant proportionally to engine-out 
emissions, it is often appropriate to use a multiplicative deterioration 
factor. Adjust the official emission results for each tested engine at 
the selected test point by multiplying the measured emissions by the 
deterioration factor. If the deterioration factor is less than one, use 
one. A multiplicative deterioration factor may not be appropriate in 
cases where testing variability is significantly greater than engine-to-
engine variability. Multiplicative deterioration factors must be 
specified to one more significant figure than the applicable standard.
    (3) Deterioration factor for crankcase emissions. If your engine 
vents crankcase emissions to the exhaust or to the atmosphere, you must 
account for crankcase emission deterioration, using good engineering 
judgment. You may use separate deterioration factors for crankcase 
emissions of each pollutant (either multiplicative or additive) or 
include the effects in combined deterioration factors that include 
exhaust and crankcase emissions together for each pollutant.
    (d) Collect emission data using measurements to one more decimal 
place than the applicable standard. Apply the deterioration factor to 
the official emission result, as described in paragraph (c) of this 
section, then round the adjusted figure to the same number of decimal 
places as the emission standard. Compare the rounded emission levels to 
the emission standard for

[[Page 653]]

each emission-data engine. In the case of NOX+HC standards, 
apply the deterioration factor to each pollutant and then add the 
results before rounding.



Sec.  1042.245  Deterioration factors.

    For Category 1 and Category 2 engines, establish deterioration 
factors, as described in Sec.  1042.240, to determine whether your 
engines will meet emission standards for each pollutant throughout the 
useful life. This section describes how to determine deterioration 
factors, either with an engineering analysis, with pre-existing test 
data, or with new emission measurements.
    (a) You may ask us to approve deterioration factors for an engine 
family with established technology based on engineering analysis instead 
of testing. Engines certified to a NOX+HC standard or FEL 
greater than the Tier 3 NOX+HC standard are considered to 
rely on established technology for gaseous emission control, except that 
this does not include any engines that use exhaust-gas recirculation or 
aftertreatment. In most cases, technologies used to meet the Tier 1 and 
Tier 2 emission standards would be considered to be established 
technology. We must approve your plan to establish a deterioration 
factor under this paragraph (a) before you submit your application for 
certification.
    (b) You may ask us to approve deterioration factors for an engine 
family based on emission measurements from similar highway, stationary, 
or nonroad engines (including locomotive engines or other marine 
engines) if you have already given us these data for certifying the 
other engines in the same or earlier model years. Use good engineering 
judgment to decide whether the two engines are similar. We must approve 
your plan to establish a deterioration factor under this paragraph (b) 
before you submit your application for certification. We will approve 
your request if you show us that the emission measurements from other 
engines reasonably represent in-use deterioration for the engine family 
for which you have not yet determined deterioration factors.
    (c) If you are unable to determine deterioration factors for an 
engine family under paragraph (a) or (b) of this section, first get us 
to approve a plan for determining deterioration factors based on service 
accumulation and related testing. We will respond to your proposed plan 
within 45 days of receiving your request. Your plan must involve 
measuring emissions from an emission-data engine at least three times, 
which are evenly spaced over the service-accumulation period unless we 
specify otherwise, such that the resulting measurements and calculations 
will represent the deterioration expected from in-use engines over the 
full useful life. You may use extrapolation to determine deterioration 
factors once you have established a trend of changing emissions with age 
for each pollutant. You may use an engine installed in a vessel to 
accumulate service hours instead of running the engine only in the 
laboratory. You may perform maintenance on emission-data engines as 
described in Sec.  1042.125 and 40 CFR part 1065, subpart E.
    (d) Include the following information in your application for 
certification:
    (1) If you determine your deterioration factors based on test data 
from a different engine family, explain why this is appropriate and 
include all the emission measurements on which you base the 
deterioration factor.
    (2) If you determine your deterioration factors based on engineering 
analysis, explain why this is appropriate and include a statement that 
all data, analyses, evaluations, and other information you used are 
available for our review upon request.
    (3) If you do testing to determine deterioration factors, describe 
the form and extent of service accumulation, including a rationale for 
selecting the service-accumulation period and the method you use to 
accumulate hours.



Sec.  1042.250  Recordkeeping and reporting.

    (a) If you produce engines under any provisions of this part that 
are related to production volumes, send the Designated Compliance 
Officer a report within 30 days after the end of the model year 
describing the total number of engines you produced in each engine 
family. For example, if you use special provisions intended for small-
volume engine manufacturers, report your

[[Page 654]]

U.S.-directed production volumes to show that you do not exceed the 
applicable limits.
    (b) Organize and maintain the following records:
    (1) A copy of all applications and any summary information you send 
us.
    (2) Any of the information we specify in Sec.  1042.205 that you 
were not required to include in your application.
    (3) A detailed history of each emission-data engine. For each 
engine, describe all of the following:
    (i) The emission-data engine's construction, including its origin 
and buildup, steps you took to ensure that it represents production 
engines, any components you built specially for it, and all the 
components you include in your application for certification.
    (ii) How you accumulated engine operating hours (service 
accumulation), including the dates and the number of hours accumulated.
    (iii) All maintenance, including modifications, parts changes, and 
other service, and the dates and reasons for the maintenance.
    (iv) All your emission tests (valid and invalid), including 
documentation on routine and standard tests, as specified in part 40 CFR 
part 1065, and the date and purpose of each test.
    (v) All tests to diagnose engine or emission control performance, 
giving the date and time of each and the reasons for the test.
    (vi) Any other significant events.
    (4) Production figures for each engine family divided by assembly 
plant.
    (5) Keep a list of engine identification numbers for all the engines 
you produce under each certificate of conformity.
    (c) Keep data from routine emission tests (such as test cell 
temperatures and relative humidity readings) for one year after we issue 
the associated certificate of conformity. Keep all other information 
specified in paragraph (a) of this section for eight years after we 
issue your certificate.
    (d) Store these records in any format and on any media, as long as 
you can promptly send us organized, written records in English if we ask 
for them. You must keep these records readily available. We may review 
them at any time.
    (e) Send us copies of any engine maintenance instructions or 
explanations if we ask for them.



Sec.  1042.255  EPA decisions.

    (a) If we determine your application is complete and shows that the 
engine family meets all the requirements of this part and the Clean Air 
Act, we will issue a certificate of conformity for your engine family 
for that model year. We may make the approval subject to additional 
conditions.
    (b) We may deny your application for certification if we determine 
that your engine family fails to comply with emission standards or other 
requirements of this part or the Clean Air Act. Our decision may be 
based on a review of all information available to us. If we deny your 
application, we will explain why in writing.
    (c) In addition, we may deny your application or suspend or revoke 
your certificate if you do any of the following:
    (1) Refuse to comply with any testing or reporting requirements.
    (2) Submit false or incomplete information (paragraph (e) of this 
section applies if this is fraudulent).
    (3) Render inaccurate any test data.
    (4) Deny us from completing authorized activities (see 40 CFR 
1068.20). This includes a failure to provide reasonable assistance.
    (5) Produce engines for importation into the United States at a 
location where local law prohibits us from carrying out authorized 
activities.
    (6) Fail to supply requested information or amend your application 
to include all engines being produced.
    (7) Take any action that otherwise circumvents the intent of the 
Clean Air Act or this part.
    (d) We may void your certificate if you do not keep the records we 
require or do not give us information as required under this part or the 
Clean Air Act.
    (e) We may void your certificate if we find that you intentionally 
submitted false or incomplete information.
    (f) If we deny your application or suspend, revoke, or void your 
certificate, you may ask for a hearing (see Sec.  1042.920).

[[Page 655]]



                Subpart D_Testing Production-line Engines



Sec.  1042.301  General provisions.

    (a) If you produce engines that are subject to the requirements of 
this part, you must test them as described in this subpart, except as 
follows:
    (1) Small-volume engine manufacturers may omit testing under this 
subpart.
    (2) We may exempt Category 1 engine families with a projected U.S.-
directed production volume below 100 engines from routine testing under 
this subpart. Request this exemption in your application for 
certification and include your basis for projecting a production volume 
below 100 units. You must promptly notify us if your actual production 
exceeds 100 units during the model year. If you exceed the production 
limit or if there is evidence of a nonconformity, we may require you to 
test production-line engines under this subpart, or under 40 CFR part 
1068, subpart D, even if we have approved an exemption under this 
paragraph (a)(2).
    (3) [Reserved]
    (b) We may suspend or revoke your certificate of conformity for 
certain engine families if your production-line engines do not meet the 
requirements of this part or you do not fulfill your obligations under 
this subpart (see Sec. Sec.  1042.325 and 1042.340).
    (c) Other requirements apply to engines that you produce. Other 
regulatory provisions authorize us to suspend, revoke, or void your 
certificate of conformity, or order recalls for engine families without 
regard to whether they have passed these production-line testing 
requirements. The requirements of this subpart do not affect our ability 
to do selective enforcement audits, as described in 40 CFR part 1068. 
Individual engines in families that pass these production-line testing 
requirements must also conform to all applicable regulations of this 
part and 40 CFR part 1068.
    (d) You may use alternate programs or measurement methods for 
testing production-line engines in the following circumstances:
    (1) [Reserved]
    (2) You may test your engines using the CumSum procedures specified 
in 40 CFR part 1045 or 1051 instead of the procedures specified in this 
subpart, except that the threshold for establishing quarterly or annual 
test periods is based on U.S.-directed production volumes of 800 instead 
of 1600. This alternate program does not require prior approval.
    (3) You may ask to use another alternate program or measurement 
method for testing production-line engines. In your request, you must 
show us that the alternate program gives equal assurance that your 
engines meet the requirements of this part. We may waive some or all of 
this subpart's requirements if we approve your alternate program.
    (e) If you certify an engine family with carryover emission data, as 
described in Sec.  1042.235(d), and these equivalent engine families 
consistently pass the production-line testing requirements over the 
preceding two-year period, you may ask for a reduced testing rate for 
further production-line testing for that family. The minimum testing 
rate is one engine per engine family. If we reduce your testing rate, we 
may limit our approval to any number of model years. In determining 
whether to approve your request, we may consider the number of engines 
that have failed the emission tests.
    (f) We may ask you to make a reasonable number of production-line 
engines available for a reasonable time so we can test or inspect them 
for compliance with the requirements of this part. See 40 CFR 1068.27.



Sec.  1042.305  Preparing and testing production-line engines.

    This section describes how to prepare and test production-line 
engines. You must assemble the test engine in a way that represents the 
assembly procedures for other engines in the engine family. You must ask 
us to approve any deviations from your normal assembly procedures for 
other production engines in the engine family.
    (a) Test procedures. Test your production-line engines using the 
applicable testing procedures in subpart F of this part to show you meet 
the duty-cycle emission standards in subpart B of this part. The not-to-
exceed standards apply for this testing, but you need not

[[Page 656]]

do additional testing to show that production-line engines meet the not-
to-exceed standards.
    (b) Modifying a test engine. Once an engine is selected for testing 
(see Sec.  1042.310), you may adjust, repair, prepare, or modify it or 
check its emissions only if one of the following is true:
    (1) You document the need for doing so in your procedures for 
assembling and inspecting all your production engines and make the 
action routine for all the engines in the engine family.
    (2) This subpart otherwise specifically allows your action.
    (3) We approve your action in advance.
    (c) Engine malfunction. If an engine malfunction prevents further 
emission testing, ask us to approve your decision to either repair the 
engine or delete it from the test sequence.
    (d) Setting adjustable parameters. Before any test, we may require 
you to adjust any adjustable parameter on a Category 1 engine to any 
setting within its physically adjustable range. We may adjust or require 
you to adjust any adjustable parameter on a Category 2 engine to any 
setting within its specified adjustable range.
    (1) We may require you to adjust idle speed outside the physically 
adjustable range as needed, but only until the engine has stabilized 
emission levels (see paragraph (e) of this section). We may ask you for 
information needed to establish an alternate minimum idle speed.
    (2) We may specify adjustments within the physically adjustable 
range or the specified adjustable range by considering their effect on 
emission levels, as well as how likely it is someone will make such an 
adjustment with in-use engines.
    (e) Stabilizing emission levels. You may stabilize emission levels 
(or establish a Green Engine Factor for Category 2 engines) before you 
test production-line engines, as follows:
    (1) You may stabilize emission levels by operating the engine in a 
way that represents the way production engines will be used, using good 
engineering judgment, for no more than the greater of two periods:
    (i) 300 hours.
    (ii) The number of hours you operated your emission-data engine for 
certifying the engine family (see 40 CFR part 1065, subpart E, or the 
applicable regulations governing how you should prepare your test 
engine).
    (2) For Category 2 engines, you may ask us to approve a Green Engine 
Factor for each regulated pollutant for each engine family. Use the 
Green Engine Factor to adjust measured emission levels to establish a 
stabilized low-hour emission level.
    (f) Damage during shipment. If shipping an engine to a remote 
facility for production-line testing makes necessary an adjustment or 
repair, you must wait until after the initial emission test to do this 
work. We may waive this requirement if the test would be impossible or 
unsafe, or if it would permanently damage the engine. Report to us in 
your written report under Sec.  1042.345 all adjustments or repairs you 
make on test engines before each test.
    (g) Retesting after invalid tests. You may retest an engine if you 
determine an emission test is invalid under subpart F of this part. 
Explain in your written report reasons for invalidating any test and the 
emission results from all tests. If you retest an engine, you may ask us 
to substitute results of the new tests for the original ones. You must 
ask us within ten days of testing. We will generally answer within ten 
days after we receive your information.



Sec.  1042.310  Engine selection.

    (a) Determine minimum sample sizes as follows:
    (1) For Category 1 engines, the minimum sample size is one engine or 
one percent of the projected U.S.-directed production volume for all 
your Category 1 engine families, whichever is greater.
    (2) For Category 2 engines, the minimum sample size is one engine or 
one percent of the projected U.S.-directed production volume for all 
your Category 2 engine families, whichever is greater.
    (b) Randomly select one engine from each engine family early in the 
model year. For further testing to reach the minimum sample size, 
randomly select

[[Page 657]]

a proportional sample from each engine family, with testing distributed 
evenly over the course of the model year, unless we specify a different 
schedule for your tests. For example, we may require you to 
disproportionately select engines from the early part of a model year 
for a new engine model that has not previously been subject to 
production-line testing.
    (c) For each engine that fails to meet emission standards, test two 
engines from the same engine family from the next fifteen engines 
produced or within seven days, whichever is later. If an engine fails to 
meet emission standards for any pollutant, count it as a failing engine 
under this paragraph (c).
    (d) Continue testing until one of the following things happens:
    (1) You test the number of engines specified in paragraphs (a) and 
(c) of this section.
    (2) The engine family does not comply according to Sec.  1042.315 or 
you choose to declare that the engine family does not comply with the 
requirements of this subpart.
    (3) You test 30 engines from the engine family.
    (e) You may elect to test more randomly chosen engines than we 
require under this section.



Sec.  1042.315  Determining compliance.

    This section describes the pass-fail criteria for the production-
line testing requirements. We apply these criteria on an engine-family 
basis. See Sec.  1042.320 for the requirements that apply to individual 
engines that fail a production-line test.
    (a) Calculate your test results as follows:
    (1) Initial and final test results. Calculate the test results for 
each engine. If you do several tests on an engine, calculate the initial 
test results, then add them together and divide by the number of tests 
for the final test results on that engine. Include the Green Engine 
Factor to determine low-hour emission results, if applicable.
    (2) Final deteriorated test results. Apply the deterioration factor 
for the engine family to the final test results (see Sec.  1042.240(c)).
    (3) Round deteriorated test results. Round the results to one more 
decimal place than the applicable emission standard.
    (b) If a production-line engine fails to meet emission standards and 
you test two additional engines as described in Sec.  1042.310, 
calculate the average emission level for each pollutant for the three 
engines. If the calculated average emission level for any pollutant 
exceeds the applicable emission standard, the engine family fails the 
production-line testing requirements of this subpart. Tell us within ten 
working days if this happens. You may request to amend the application 
for certification to raise the FEL of the engine family as described in 
Sec.  1042.225(f).



Sec.  1042.320  What happens if one of my production-line engines fails to meet emission standards?

    (a) If you have a production-line engine with final deteriorated 
test results exceeding one or more emission standards (see Sec.  
1042.315(a)), the certificate of conformity is automatically suspended 
for that failing engine. You must take the following actions before your 
certificate of conformity can cover that engine:
    (1) Correct the problem and retest the engine to show it complies 
with all emission standards.
    (2) Include in your written report a description of the test results 
and the remedy for each engine (see Sec.  1042.345).
    (b) You may request to amend the application for certification to 
raise the FEL of the entire engine family at this point (see Sec.  
1042.225).
    (c) For catalyst-equipped engines, you may ask us to allow you to 
exclude an initial failed test if all of the following are true:
    (1) The catalyst was in a green condition when tested initially.
    (2) The engine met all emission standards when retested after 
degreening the catalyst.
    (3) No additional emission-related maintenance or repair was 
performed between the initial failed test and the subsequent passing 
test.



Sec.  1042.325  What happens if an engine family fails the production-line testing requirements?

    (a) We may suspend your certificate of conformity for an engine 
family if it

[[Page 658]]

fails under Sec.  1042.315. The suspension may apply to all facilities 
producing engines from an engine family, even if you find noncompliant 
engines only at one facility.
    (b) We will tell you in writing if we suspend your certificate in 
whole or in part. We will not suspend a certificate until at least 15 
days after the engine family fails. The suspension is effective when you 
receive our notice.
    (c) Up to 15 days after we suspend the certificate for an engine 
family, you may ask for a hearing (see Sec.  1042.920). If we agree 
before a hearing occurs that we used erroneous information in deciding 
to suspend the certificate, we will reinstate the certificate.
    (d) Section 1042.335 specifies steps you must take to remedy the 
cause of the engine family's production-line failure. All the engines 
you have produced since the end of the last test period are presumed 
noncompliant and should be addressed in your proposed remedy. We may 
require you to apply the remedy to engines produced earlier if we 
determine that the cause of the failure is likely to have affected the 
earlier engines.
    (e) You may request to amend the application for certification to 
raise the FEL of the entire engine family as described in Sec.  
1051.225(f). We will approve your request if it is clear that you used 
good engineering judgment in establishing the original FEL.



Sec.  1042.330  Selling engines from an engine family with a suspended certificate of conformity.

    You may sell engines that you produce after we suspend the engine 
family's certificate of conformity under Sec.  1042.315 only if one of 
the following occurs:
    (a) You test each engine you produce and show it complies with 
emission standards that apply.
    (b) We conditionally reinstate the certificate for the engine 
family. We may do so if you agree to recall all the affected engines and 
remedy any noncompliance at no expense to the owner if later testing 
shows that the engine family still does not comply.



Sec.  1042.335  Reinstating suspended certificates.

    (a) Send us a written report asking us to reinstate your suspended 
certificate. In your report, identify the reason for noncompliance, 
propose a remedy for the engine family, and commit to a date for 
carrying it out. In your proposed remedy include any quality control 
measures you propose to keep the problem from happening again.
    (b) Give us data from production-line testing that shows the 
remedied engine family complies with all the emission standards that 
apply.



Sec.  1042.340  When may EPA revoke my certificate under this subpart and how may I sell these engines again?

    (a) We may revoke your certificate for an engine family in the 
following cases:
    (1) You do not meet the reporting requirements.
    (2) Your engine family fails to comply with the requirements of this 
subpart and your proposed remedy to address a suspended certificate 
under Sec.  1042.325 is inadequate to solve the problem or requires you 
to change the engine's design or emission control system.
    (b) To sell engines from an engine family with a revoked certificate 
of conformity, you must modify the engine family and then show it 
complies with the requirements of this part.
    (1) If we determine your proposed design change may not control 
emissions for the engine's full useful life, we will tell you within 
five working days after receiving your report. In this case we will 
decide whether production-line testing will be enough for us to evaluate 
the change or whether you need to do more testing.
    (2) Unless we require more testing, you may show compliance by 
testing production-line engines as described in this subpart.
    (3) We will issue a new or updated certificate of conformity when 
you have met these requirements.



Sec.  1042.345  Reporting.

    (a) Within 45 days of the end of each quarter in which production-
line testing occurs, send us a report with the following information:

[[Page 659]]

    (1) Describe any facility used to test production-line engines and 
state its location.
    (2) State the total U.S.-directed production volume and number of 
tests for each engine family.
    (3) Describe how you randomly selected engines.
    (4) Describe each test engine, including the engine family's 
identification and the engine's model year, build date, model number, 
identification number, and number of hours of operation before testing. 
Also describe how you developed and applied the Green Engine Factor, if 
applicable.
    (5) Identify how you accumulated hours of operation on the engines 
and describe the procedure and schedule you used.
    (6) Provide the test number; the date, time and duration of testing; 
test procedure; initial test results before and after rounding; final 
test results; and final deteriorated test results for all tests. Provide 
the emission results for all measured pollutants. Include information 
for both valid and invalid tests and the reason for any invalidation.
    (7) Describe completely and justify any nonroutine adjustment, 
modification, repair, preparation, maintenance, or test for the test 
engine if you did not report it separately under this subpart. Include 
the results of any emission measurements, regardless of the procedure or 
type of engine.
    (8) Report on each failed engine as described in Sec.  1042.320.
    (9) Identify when the model year ends for each engine family.
    (b) We may ask you to add information to your written report so we 
can determine whether your new engines conform with the requirements of 
this subpart.
    (c) An authorized representative of your company must sign the 
following statement:
    We submit this report under sections 208 and 213 of the Clean Air 
Act. Our production-line testing conformed completely with the 
requirements of 40 CFR part 1042. We have not changed production 
processes or quality-control procedures for test engines in a way that 
might affect emission controls. All the information in this report is 
true and accurate to the best of my knowledge. I know of the penalties 
for violating the Clean Air Act and the regulations. (Authorized Company 
Representative)
    (d) Send electronic reports of production-line testing to the 
Designated Compliance Officer using an approved information format. If 
you want to use a different format, send us a written request with 
justification for a waiver.
    (e) We will send copies of your reports to anyone from the public 
who asks for them. See Sec.  1042.915 for information on how we treat 
information you consider confidential.



Sec.  1042.350  Recordkeeping.

    (a) Organize and maintain your records as described in this section. 
We may review your records at any time.
    (b) Keep records of your production-line testing for eight years 
after you complete all the testing required for an engine family in a 
model year. You may use any appropriate storage formats or media.
    (c) Keep a copy of the written reports described in Sec.  1042.345.
    (d) Keep the following additional records:
    (1) A description of all test equipment for each test cell that you 
can use to test production-line engines.
    (2) The names of supervisors involved in each test.
    (3) The name of anyone who authorizes adjusting, repairing, 
preparing, or modifying a test engine and the names of all supervisors 
who oversee this work.
    (4) If you shipped the engine for testing, the date you shipped it, 
the associated storage or port facility, and the date the engine arrived 
at the testing facility.
    (5) Any records related to your production-line tests that are not 
in the written report.
    (6) A brief description of any significant events during testing not 
otherwise described in the written report or in this section.
    (7) Any information specified in Sec.  1042.345 that you do not 
include in your written reports.
    (e) If we ask, you must give us projected or actual production 
figures for an engine family. We may ask you to

[[Page 660]]

divide your production figures by maximum engine power, displacement, 
fuel type, or assembly plant (if you produce engines at more than one 
plant).
    (f) Keep a list of engine identification numbers for all the engines 
you produce under each certificate of conformity. Give us this list 
within 30 days if we ask for it.
    (g) We may ask you to keep or send other information necessary to 
implement this subpart.



                        Subpart E_In-use Testing



Sec.  1042.401  General Provisions.

    We may perform in-use testing of any engine subject to the standards 
of this part.



                        Subpart F_Test Procedures



Sec.  1042.501  How do I run a valid emission test?

    (a) Use the equipment and procedures for compression-ignition 
engines in 40 CFR part 1065 to determine whether Category 1 and Category 
2 engines meet the duty-cycle emission standards in Sec.  1042.101(a). 
Measure the emissions of all regulated pollutants as specified in 40 CFR 
part 1065. Use the applicable duty cycles specified in Sec.  1042.505.
    (b) Section 1042.515 describes the supplemental test procedures for 
evaluating whether engines meet the not-to-exceed emission standards in 
Sec.  1042.101(c).
    (c) Use the fuels and lubricants specified in 40 CFR part 1065, 
subpart H, for all the testing we require in this part, except as 
specified in Sec.  1042.515.
    (1) For service accumulation, use the test fuel or any commercially 
available fuel that is representative of the fuel that in-use engines 
will use.
    (2) For diesel-fueled engines, use the appropriate diesel fuel 
specified in 40 CFR part 1065, subpart H, for emission testing. Unless 
we specify otherwise, the appropriate diesel test fuel is the ultra low-
sulfur diesel fuel. If we allow you to use a test fuel with higher 
sulfur levels, identify the test fuel in your application for 
certification and ensure that the emission control information label is 
consistent with your selection of the test fuel (see Sec.  
1042.135(c)(11)). For Category 2 engines, you may ask to use 
commercially available diesel fuel similar but not necessarily identical 
to the applicable fuel specified in 40 CFR part 1065, subpart H; we will 
approve your request if you show us that it does not affect your ability 
to demonstrate compliance with the applicable emission standards.
    (3) For Category 1 and Category 2 engines that are expected to use a 
type of fuel (or mixed fuel) other than diesel fuel (such as natural 
gas, methanol, or residual fuel), use a commercially available fuel of 
that type for emission testing. If an engine is designed to operate on 
different fuels, we may (at our discretion) require testing on each 
fuel. Propose test fuel specifications that take into account the engine 
design and the properties of commercially available fuels. Describe 
these test fuel specifications in the application for certification.
    (4) [Reserved]
    (d) You may use special or alternate procedures to the extent we 
allow them under 40 CFR 1065.10.
    (e) This subpart is addressed to you as a manufacturer, but it 
applies equally to anyone who does testing for you, and to us when we 
perform testing to determine if your engines meet emission standards.
    (f) Duty-cycle testing is limited to ambient temperatures of 20 to 
30 [deg]C. Atmospheric pressure must be between 91.000 and 103.325 kPa, 
and must be within 5 percent of the value recorded 
at the time of the last engine map. Testing may be performed with any 
ambient humidity level. Correct duty-cycle NOX emissions for 
humidity as specified in 40 CFR part 1065.



Sec.  1042.505  Testing engines using discrete-mode or ramped-modal duty cycles.

    This section describes how to test engines under steady-state 
conditions. In some cases, we allow you to choose the appropriate 
steady-state duty cycle for an engine. In these cases, you must use the 
duty cycle you select in your application for certification for all 
testing you perform for that engine family. If we test your engines to 
confirm that they meet emission standards, we will use the duty cycles 
you select for your

[[Page 661]]

own testing. We may also perform other testing as allowed by the Clean 
Air Act.
    (a) You may perform steady-state testing with either discrete-mode 
or ramped-modal cycles, as follows:
    (1) For discrete-mode testing, sample emissions separately for each 
mode, then calculate an average emission level for the whole cycle using 
the weighting factors specified for each mode. Calculate cycle 
statistics and compare with the established criteria as specified in 40 
CFR 1065.514 to confirm that the test is valid. Operate the engine and 
sampling system as follows:
    (i) Engines with NOX aftertreatment. For engines that 
depend on aftertreatment to meet the NOX emission standard, 
operate the engine for 5-6 minutes, then sample emissions for 1-3 
minutes in each mode. You may extend the sampling time to improve 
measurement accuracy of PM emissions, using good engineering judgment. 
If you have a longer sampling time for PM emissions, calculate and 
validate cycle statistics separately for the gaseous and PM sampling 
periods.
    (ii) Engines without NOX aftertreatment. For other 
engines, operate the engine for at least 5 minutes, then sample 
emissions for at least 1 minute in each mode.
    (2) For ramped-modal testing, start sampling at the beginning of the 
first mode and continue sampling until the end of the last mode. 
Calculate emissions and cycle statistics the same as for transient 
testing as specified in 40 CFR part 1065, subpart G.
    (b) Measure emissions by testing the engine on a dynamometer with 
one of the following duty cycles (as specified) to determine whether it 
meets the emission standards in Sec.  1042.101(a):
    (1) General cycle. Use the 4-mode duty cycle or the corresponding 
ramped-modal cycle described in paragraph (a) of Appendix II of this 
part for commercial propulsion marine engines that are used with (or 
intended to be used with) fixed-pitch propellers, propeller-law 
auxiliary engines, and any other engines for which the other duty cycles 
of this section do not apply. Use this duty cycle also for commercial 
variable-speed propulsion marine engines that are used with (or intended 
to be used with) controllable-pitch propellers or with electrically 
coupled propellers, unless these engines are not intended for sustained 
operation (e.g., for at least 30 minutes) at all four modes when 
installed in the vessel.
    (2) Recreational marine engines. Except as specified in paragraph 
(b)(3) of this section, use the 5-mode duty cycle or the corresponding 
ramped-modal cycle described in paragraph (b) of Appendix II of this 
part for recreational marine engines with maximum engine power at or 
above 37 kW.
    (3) Controllable-pitch and electrically coupled propellers. Use the 
4-mode duty cycle or the corresponding ramped-modal cycle described in 
paragraph (c) of Appendix II of this part for constant-speed propulsion 
marine engines that are used with (or intended to be used with) 
controllable-pitch propellers or with electrically coupled propellers. 
Use this duty cycle also for variable-speed propulsion marine engines 
that are used with (or intended to be used with) controllable-pitch 
propellers or with electrically coupled propellers if the duty cycles in 
paragraph (b)(1) and (b)(2) of this section do not apply.
    (4) Constant-speed auxiliary engines. Use the 5-mode duty cycle or 
the corresponding ramped-modal cycle described in 40 CFR part 1039, 
Appendix II, paragraph (a) for constant-speed auxiliary engines.
    (5) Variable-speed auxiliary engines. (i) Use the duty cycle 
specified in paragraph (b)(1) of this section for propeller-law 
auxiliary engines.
    (ii) Use the 6-mode duty cycle or the corresponding ramped-modal 
cycle described in 40 CFR part 1039, Appendix II, paragraph (b) for 
variable-speed auxiliary engines with maximum engine power below 19 kW 
that are not propeller-law engines.
    (iii) Use the 8-mode duty cycle or the corresponding ramped-modal 
cycle described in 40 CFR part 1039, Appendix III, paragraph (c) for 
variable-speed auxiliary engines with maximum engine power at or above 
19 kW that are not propeller-law engines.
    (c) During idle mode, operate the engine at its warm idle speed as 
described in 40 CFR part 1065.
    (d) For constant-speed engines whose design prevents full-load 
operation for

[[Page 662]]

extended periods, you may ask for approval under 40 CFR 1065.10(c) to 
replace full-load operation with the maximum load for which the engine 
is designed to operate for extended periods.
    (e) See 40 CFR part 1065 for detailed specifications of tolerances 
and calculations.



Sec.  1042.515  Test procedures related to not-to-exceed standards.

    (a) This section describes the procedures to determine whether your 
engines meet the not-to-exceed emission standards in Sec.  1042.101(c). 
These procedures may include any normal engine operation and ambient 
conditions that the engines may experience in use. Paragraphs (c) 
through (e) of this section define the limits of what we will consider 
normal engine operation and ambient conditions.
    (b) Measure emissions with one of the following procedures:
    (1) Remove the selected engines for testing in a laboratory. You may 
use an engine dynamometer to simulate normal operation, as described in 
this section. Use the equipment and procedures specified in 40 CFR part 
1065 to conduct laboratory testing.
    (2) Test the selected engines while they remain installed in a 
vessel. Use the equipment and procedures specified in 40 CFR part 1065 
subpart J, to conduct field testing. Use fuel meeting the specifications 
of 40 CFR part 1065, subpart H, or a fuel typical of what you would 
expect the engine to use in service.
    (c) Engine testing may occur under the following ranges of ambient 
conditions without correcting measured emission levels:
    (1) Atmospheric pressure must be between 96.000 and 103.325 kPa, 
except that manufacturers may test at lower atmospheric pressures if 
their test facility is located at an altitude that makes it impractical 
to stay within this range. This pressure range is intended to allow 
testing under most weather conditions at all altitudes up to 1,100 feet 
above sea level.
    (2) Ambient air temperature must be between 13 and 35 [deg]C (or 
between 13 [deg]C and 30 [deg]C for engines not drawing intake air 
directly from a space that could be heated by the engine).
    (3) Ambient water temperature must be between 5 and 27 [deg]C.
    (4) Ambient humidity must be between 7.1 and 10.7 grams of moisture 
per kilogram of dry air.
    (d) Engine testing may occur at any conditions expected during 
normal operation but that are outside the conditions described in 
paragraph (b) of this section, as long as measured values are corrected 
to be equivalent to the nearest end of the specified range, using good 
engineering judgment. Correct NOX emissions for humidity as 
specified in 40 CFR part 1065, subpart G.
    (e) The sampling period may not begin until the engine has reached 
stable operating temperatures. For example, this would include only 
engine operation after starting and after the engine thermostat starts 
modulating the engine's coolant temperature. The sampling period may not 
include engine starting.
    (f) Apply the NTE standards specified in Sec.  1042.101(c) to an 
engine family based on the zones and subzones corresponding to specific 
duty cycles and engine types as defined in Appendix III of this part. 
For an engine family certified to multiple duty cycles, the broadest 
applicable NTE zone applies for that family at the time of 
certification. Whenever an engine family is certified to multiple duty 
cycles and a specific engine from that family is tested for NTE 
compliance in use, determine the applicable NTE zone for that engine 
according to its in-use application. An engine family's NTE zone may be 
modified as follows:
    (1) You may ask us to approve a narrower NTE zone for an engine 
family at the time of certification, based on information such as how 
that engine family is expected to normally operate in use. For example, 
if an engine family is always coupled to a pump or jet drive, the engine 
might be able to operate only within a narrow range of engine speed and 
power.
    (2) You may ask us to approve a Limited Testing Region (LTR). An LTR 
is a region of engine operation, within the applicable NTE zone, where 
you have demonstrated that your engine family operates for no more than 
5.0 percent of its normal in-use operation, on a time-weighted basis. 
You must

[[Page 663]]

specify an LTR using boundaries based on engine speed and power (or 
torque), where the LTR boundaries must coincide with some portion of the 
boundary defining the overall NTE zone. Any emission data collected 
within an LTR for a time duration that exceeds 5.0 percent of the 
duration of its respective NTE sampling period (as defined in paragraph 
(c)(3) of this section) will be excluded when determining compliance 
with the applicable NTE standards. Any emission data collected within an 
LTR for a time duration of 5.0 percent or less of the duration of the 
respective NTE sampling period will be included when determining 
compliance with the NTE standards.
    (3) You must notify us if you design your engines for normal in-use 
operation outside the applicable NTE zone. If we learn that normal in-
use operation for your engines includes other speeds and loads, we may 
specify a broader NTE zone, as long as the modified zone is limited to 
normal in-use operation for speeds greater than 70 percent of maximum 
test speed and loads greater than 30 percent of maximum power at maximum 
test speed (or 30 percent of maximum test torque for constant-speed 
engines).
    (4) You may exclude emission data based on ambient or engine 
parameter limit values as follows:
    (i) NOX catalytic aftertreatment minimum temperature. For an engine 
equipped with a catalytic NOX aftertreatment system, exclude 
NOX emission data that is collected when the exhaust 
temperature is less than 250 [deg]C, as measured within 30 cm downstream 
of the last NOX aftertreatment device. Where there are 
parallel paths, measure the temperature 30 cm downstream of the last 
NOX aftertreatment device in the path with the greatest 
exhaust flow.
    (ii) Oxidizing aftertreatment minimum temperature. For an engine 
equipped with an oxidizing catalytic aftertreatment system, exclude HC, 
CO, and PM emission data that is collected when the exhaust temperature 
is less than 250 [deg]C, as measured within 30 cm downstream of the last 
oxidizing aftertreatment device. Where there are parallel paths, measure 
the temperature 30 cm downstream of the last oxidizing aftertreatment 
device in the path with the greatest exhaust flow.
    (iii) Other parameters. You may request our approval for other 
minimum or maximum ambient or engine parameter limit values at the time 
of certification.
    (g) For engines equipped with emission controls that include 
discrete regeneration events, if a regeneration event occurs during the 
NTE test, the averaging period must be at least as long as the time 
between the events multiplied by the number of full regeneration events 
within the sampling period. This requirement applies only for engines 
that send an electronic signal indicating the start of the regeneration 
event.



Sec.  1042.520  What testing must I perform to establish deterioration factors?

    Sections 1042.240 and 1042.245 describe the required methods for 
testing to establish deterioration factors for an engine family.



Sec.  1042.525  How do I adjust emission levels to account for infrequently regenerating aftertreatment devices?

    This section describes how to adjust emission results from engines 
using aftertreatment technology with infrequent regeneration events. See 
paragraph (e) of this section for how to adjust ramped-modal testing. 
See paragraph (f) of this section for how to adjust discrete-mode 
testing. For this section, ``regeneration'' means an intended event 
during which emission levels change while the system restores 
aftertreatment performance. For example, exhaust gas temperatures may 
increase temporarily to remove sulfur from adsorbers or to oxidize 
accumulated particulate matter in a trap. For this section, 
``infrequent'' refers to regeneration events that are expected to occur 
on average less than once over the applicable transient duty cycle or 
ramped-modal cycle, or on average less than once per typical mode in a 
discrete-mode test.
    (a) Developing adjustment factors. Develop an upward adjustment 
factor and a downward adjustment factor for each pollutant based on 
measured emission

[[Page 664]]

data and observed regeneration frequency. Adjustment factors should 
generally apply to an entire engine family, but you may develop separate 
adjustment factors for different engine configurations within an engine 
family. If you use adjustment factors for certification, you must 
identify the frequency factor, F, from paragraph (b) of this section in 
your application for certification and use the adjustment factors in all 
testing for that engine family. You may use carryover or carry-across 
data to establish adjustment factors for an engine family, as described 
in Sec.  1042.235(d), consistent with good engineering judgment. All 
adjustment factors for regeneration are additive. Determine adjustment 
factors separately for different test segments. For example, determine 
separate adjustment factors for different modes of a discrete-mode 
steady-state test. You may use either of the following different 
approaches for engines that use aftertreatment with infrequent 
regeneration events:
    (1) You may disregard this section if regeneration does not 
significantly affect emission levels for an engine family (or 
configuration) or if it is not practical to identify when regeneration 
occurs. If you do not use adjustment factors under this section, your 
engines must meet emission standards for all testing, without regard to 
regeneration.
    (2) If your engines use aftertreatment technology with extremely 
infrequent regeneration and you are unable to apply the provisions of 
this section, you may ask us to approve an alternate methodology to 
account for regeneration events.
    (b) Calculating average adjustment factors. Calculate the average 
adjustment factor (EFA) based on the following equation:

EFA = (F)(EFH) + (1-F)(EFL)

Where:
F = the frequency of the regeneration event during normal in-use 
          operation, expressed in terms of the fraction of equivalent 
          tests during which the regeneration occurs. You may determine 
          F from in-use operating data or running replicate tests. For 
          example, if you observe that the regeneration occurs 125 times 
          during 1000 MW-hrs of operation, and your engine typically 
          accumulates 1 MW-hr per test, F would be (125) / (1000) / (1) 
          = 0.125.
EFH = Measured emissions from a test segment in which the 
          regeneration occurs.
EFL = Measured emissions from a test segment in which the 
          regeneration does not occur.

    (c) Applying adjustment factors. Apply adjustment factors based on 
whether regeneration occurs during the test run. You must be able to 
identify regeneration in a way that is readily apparent during all 
testing.
    (1) If regeneration does not occur during a test segment, add an 
upward adjustment factor to the measured emission rate. Determine the 
upward adjustment factor (UAF) using the following equation:

UAF = EFA-EFL

    (2) If regeneration occurs or starts to occur during a test segment, 
subtract a downward adjustment factor from the measured emission rate. 
Determine the downward adjustment factor (DAF) using the following 
equation:

DAF = EFH-EFA

    (d) Sample calculation. If EFL is 0.10 g/kW-hr, 
EFH is 0.50 g/kW-hr, and F is 0.1 (the regeneration occurs 
once for each ten tests), then:

EFA = (0.1)(0.5 g/kW-hr) + (1.0-0.1)(0.1 g/kW-hr) = 0.14 g/
kW-hr.
UAF = 0.14 g/kW-hr-0.10 g/kW-hr = 0.04 g/kW-hr.
DAF = 0.50 g/kW-hr-0.14 g/kW-hr = 0.36 g/kW-hr.

    (e) Ramped-modal testing. Develop a single sets of adjustment 
factors for the entire test. If a regeneration has started but has not 
been completed when you reach the end of a test, use good engineering 
judgment to reduce your downward adjustments to be proportional to the 
emission impact that occurred in the test.
    (f) Discrete-mode testing. Develop separate adjustment factors for 
each test mode. If a regeneration has started but has not been completed 
when you reach the end of the sampling time for a test mode extend the 
sampling period for that mode until the regeneration is completed.

[[Page 665]]



                 Subpart G_Special Compliance Provisions



Sec.  1042.601  General compliance provisions for marine engines and vessels.

    Engine and vessel manufacturers, as well as owners, operators, and 
rebuilders of engines and vessels subject to the requirements of this 
part, and all other persons, must observe the provisions of this part, 
the requirements and prohibitions in 40 CFR part 1068, and the 
provisions of the Clean Air Act. The provisions of 40 CFR part 1068 
apply for compression-ignition marine engines as specified in that part, 
subject to the following provisions:
    (a) The following prohibitions apply with respect to recreational 
marine engines and recreational vessels:
    (1) Installing a recreational marine engine in a vessel that is not 
a recreational vessel is a violation of 40 CFR 1068.101(a)(1).
    (2) For a vessel with an engine that is certified and labeled as a 
recreational marine engine, using it in a manner inconsistent with its 
intended use as a recreational vessel violates 40 CFR 1068.101(a)(1), 
except as allowed by this chapter.
    (b) Subpart I of this part describes how the prohibitions of 40 CFR 
1068.101(a)(1) apply for remanufactured engines. The provisions of 40 
CFR 1068.105 do not allow the installation of a new remanufactured 
engine in a vessel that is defined as a ``new vessel'' unless the 
remanufactured engine is subject to the same standards as the standards 
applicable to freshly manufactured engines of the required model year.
    (c) The provisions of 40 CFR 1068.120 apply when rebuilding marine 
engines, except as specified in subpart I of this part. The following 
additional requirements also apply when rebuilding marine engines 
equipped with exhaust aftertreatment:
    (1) Follow all instructions from the engine manufacturer and 
aftertreatment manufacturer for checking, repairing, and replacing 
aftertreatment components. For example, you must replace the catalyst if 
the catalyst assembly is stamped with a build date more than ten years 
ago and the manufacturer's instructions state that catalysts over ten 
years old must be replaced when the engine is rebuilt.
    (2) Measure pressure drop across the catalyst assembly to ensure 
that it is neither higher nor lower than the manufacturer's 
specifications and repair or replace exhaust-system components as needed 
to bring the pressure drop within the manufacturer's specifications.
    (3) For engines equipped with exhaust sensors, verify that sensor 
outputs are within the manufacturer's recommended range and repair or 
replace any malfunctioning components (sensors, catalysts, or other 
components).
    (d) The provisions of Sec.  1042.635 for the national security 
exemption apply instead of 40 CFR 1068.225.
    (e) For replacement engines, apply the provisions of 40 CFR 1068.240 
as described in Sec.  1042.615.
    (f) For the purpose of meeting the defect-reporting requirements in 
40 CFR 1068.501, if you manufacture other nonroad engines that are 
substantially similar to your marine engines, you may consider defects 
using combined marine and non-marine families.
    (g) For a marine engine labeled as requiring the use of ultra low-
sulfur diesel fuel, is a violation of 40 CFR 1068.101(b)(1) to operate 
it with higher-sulfur fuel. It is also a violation of 40 CFR 
1068.101(b)(1) if an engine installer or vessel manufacturer fails to 
follow the engine manufacturer's emission-related installation 
instructions when installing a certified engine in a marine vessel.



Sec.  1042.605  Dressing engines already certified to other standards for nonroad or heavy-duty highway engines for marine use.

    (a) General provisions. If you are an engine manufacturer (including 
someone who marinizes a land-based engine), this section allows you to 
introduce new marine engines into U.S. commerce if they are already 
certified to the requirements that apply to compression-ignition engines 
under 40 CFR parts 85 and 86 or 40 CFR part 89, 92, 1033, or 1039 for 
the appropriate model year. If you comply with all the provisions of 
this section, we consider the certificate issued under 40 CFR part 86,

[[Page 666]]

89, 92, 1033, or 1039 for each engine to also be a valid certificate of 
conformity under this part 1042 for its model year, without a separate 
application for certification under the requirements of this part 1042.
    (b) Vessel-manufacturer provisions. If you are not an engine 
manufacturer, you may install an engine certified for the appropriate 
model year under 40 CFR part 86, 89, 92, 1033, or 1039 in a marine 
vessel as long as you do not make any of the changes described in 
paragraph (d)(3) of this section and you meet the requirements of 
paragraph (e) of this section. If you modify the non-marine engine in 
any of the ways described in paragraph (d)(3) of this section, we will 
consider you a manufacturer of a new marine engine. Such engine 
modifications prevent you from using the provisions of this section.
    (c) Liability. Engines for which you meet the requirements of this 
section are exempt from all the requirements and prohibitions of this 
part, except for those specified in this section. Engines exempted under 
this section must meet all the applicable requirements from 40 CFR parts 
85 and 86 or 40 CFR part 89, 92, 1033, or 1039. This paragraph (c) 
applies to engine manufacturers, vessel manufacturers that use such an 
engine, and all other persons as if the engine were used in its 
originally intended application. The prohibited acts of 40 CFR 
1068.101(a)(1) apply to these new engines and vessels; however, we 
consider the certificate issued under 40 CFR part 86, 89, 92, 1033, or 
1039 for each engine to also be a valid certificate of conformity under 
this part 1042 for its model year. If we make a determination that these 
engines do not conform to the regulations during their useful life, we 
may require you to recall them under 40 CFR part 85, 89, 92, or 1068.
    (d) Specific criteria and requirements. If you are an engine 
manufacturer and meet all the following criteria and requirements 
regarding your new marine engine, the engine is eligible for an 
exemption under this section:
    (1) You must produce it by marinizing an engine covered by a valid 
certificate of conformity from one of the following programs:
    (i) Heavy-duty highway engines (40 CFR part 86).
    (ii) Land-based compression-ignition nonroad engines (40 CFR part 89 
or 1039).
    (iii) Locomotives (40 CFR part 92 or 1033). To be eligible for 
dressing under this section, the engine must be from a locomotive 
certified to standards that are at least as stringent as either the 
standards applicable to new marine engines or freshly manufactured 
locomotives in the model year that the engine is being dressed.
    (2) The engine must have the label required under 40 CFR part 86, 
89, 92, 1033, or 1039.
    (3) You must not make any changes to the certified engine that could 
reasonably be expected to increase its emissions. For example, if you 
make any of the following changes to one of these engines, you do not 
qualify for the engine dressing exemption:
    (i) Change any fuel system parameters from the certified 
configuration, or change, remove, or fail to properly install any other 
component, element of design, or calibration specified in the engine 
manufacturer's application for certification. This includes 
aftertreatment devices and all related components.
    (ii) Replacing an original turbocharger, except that small-volume 
engine manufacturers may replace an original turbocharger on a 
recreational engine with one that matches the performance of the 
original turbocharger.
    (iii) Modify or design the marine engine cooling or aftercooling 
system so that temperatures or heat rejection rates are outside the 
original engine manufacturer's specified ranges.
    (4) You must show that fewer than 10 percent of the engine family's 
total sales in the United States are used in marine applications. This 
includes engines used in any application, without regard to which 
company manufactures the vessel or equipment. Show this as follows:
    (i) If you are the original manufacturer of the engine, base this 
showing on your sales information.
    (ii) In all other cases, you must confirm this based on your best 
estimate of the original manufacturer's sales information.
    (e) Labeling and documentation. If you are an engine manufacturer or 
vessel

[[Page 667]]

manufacturer using this exemption, you must do all of the following:
    (1) Make sure the original engine label will remain clearly visible 
after installation in the vessel.
    (2) Add a permanent supplemental label to the engine in a position 
where it will remain clearly visible after installation in the vessel. 
In your engine label, do the following:
    (i) Include the heading: ``Marine Engine Emission Control 
Information''.
    (ii) Include your full corporate name and trademark.
    (iii) State: ``This engine was marinized without affecting its 
emission controls.''.
    (iv) State the date you finished marinizing the engine (month and 
year).
    (3) Send the Designated Compliance Officer a signed letter by the 
end of each calendar year (or less often if we tell you) with all the 
following information:
    (i) Identify your full corporate name, address, and telephone 
number.
    (ii) List the engine models for which you expect to use this 
exemption in the coming year and describe your basis for meeting the 
sales restrictions of paragraph (d)(4) of this section.
    (iii) State: ``We prepare each listed engine model for marine 
application without making any changes that could increase its certified 
emission levels, as described in 40 CFR 1042.605.''.
    (f) Failure to comply. If your engines do not meet the criteria 
listed in paragraph (d) of this section, they will be subject to the 
standards, requirements, and prohibitions of this part 1042 and the 
certificate issued under 40 CFR part(s) 86, 89, 92, 1033, or 1039 will 
not be deemed to also be a certificate issued under this part 1042. 
Introducing these engines into U.S. commerce as marine engines without a 
valid exemption or certificate of conformity under this part violates 
the prohibitions in 40 CFR 1068.101(a)(1).
    (g) Data submission. (1) If you are both the original manufacturer 
and marinizer of an exempted engine, you must send us emission test data 
on the appropriate marine duty cycles. You can include the data in your 
application for certification or in the letter described in paragraph 
(e)(3) of this section.
    (2) If you are the original manufacturer of an exempted engine that 
is marinized by a post-manufacture marinizer, you may be required to 
send us emission test data on the appropriate marine duty cycles. If 
such data are requested you will be allowed a reasonable amount of time 
to collect the data.
    (h) Participation in averaging, banking and trading. Engines adapted 
for marine use under this section may not generate or use emission 
credits under this part 1042. These engines may generate credits under 
the ABT provisions in 40 CFR part(s) 86, 89, 92, 1033, or 1039, as 
applicable. These engines must use emission credits under 40 CFR part(s) 
86, 89, 92, 1033, or 1039 as applicable if they are certified to an FEL 
that exceeds an emission standard.
    (i) Operator requirements. The requirements specified for vessel 
manufacturers, owners, and operators in this subpart (including 
requirements in 40 CFR part 1068) apply to these engines whether they 
are certified under this part 1042 or another part as allowed by this 
section.



Sec.  1042.610  Certifying auxiliary marine engines to land-based standards.

    This section applies to auxiliary marine engines that are identical 
to certified land-based engines. See Sec.  1042.605 for provisions that 
apply to propulsion marine engines or auxiliary marine engines that are 
modified for marine applications.
    (a) General provisions. If you are an engine manufacturer, this 
section allows you to introduce new marine engines into U.S. commerce if 
they are already certified to the requirements that apply to 
compression-ignition engines under 40 CFR part 89 or 1039 for the 
appropriate model year. If you comply with all the provisions of this 
section, we consider the certificate issued under 40 CFR part 89 or 1039 
for each engine to also be a valid certificate of conformity under this 
part 1042 for its model year, without a separate application for 
certification under the requirements of this part 1042.
    (b) Vessel-manufacturer provisions. If you are not an engine 
manufacturer,

[[Page 668]]

you may install an engine certified for land-based applications in a 
marine vessel as long as you meet all the qualifying criteria and 
requirements specified in paragraphs (d) and (e) of this section. If you 
modify the non-marine engine, we will consider you a manufacturer of a 
new marine engine. Such engine modifications prevent you from using the 
provisions of this section.
    (c) Liability. Engines for which you meet the requirements of this 
section are exempt from all the requirements and prohibitions of this 
part, except for those specified in this section. Engines exempted under 
this section must meet all the applicable requirements from 40 CFR part 
89 or 1039. This paragraph (c) applies to engine manufacturers, vessel 
manufacturers that use such an engine, and all other persons as if the 
engine were used in its originally intended application. The prohibited 
acts of 40 CFR 1068.101(a)(1) apply to these new engines and vessels; 
however, we consider the certificate issued under 40 CFR part 89 or 1039 
for each engine to also be a valid certificate of conformity under this 
part 1042 for its model year. If we make a determination that these 
engines do not conform to the regulations during their useful life, we 
may require you to recall them under 40 CFR part 89 or 1068.
    (d) Qualifying criteria. If you are an engine manufacturer and meet 
all the following criteria and requirements regarding your new marine 
engine, the engine is eligible for an exemption under this section:
    (1) The marine engine must be identical in all material respects to 
a land-based engine covered by a valid certificate of conformity for the 
appropriate model year showing that it meets emission standards for 
engines of that power rating under 40 CFR part 89 or 1039.
    (2) The engines may not be used as propulsion marine engines.
    (3) You must show that the number of auxiliary marine engines from 
the engine family must be smaller than the number of land-based engines 
from the engine family sold in the United States, as follows:
    (i) If you are the original manufacturer of the engine, base this 
showing on your sales information.
    (ii) In all other cases, you must get the original manufacturer of 
the engine to confirm this based on its sales information.
    (e) Specific requirements. If you are an engine manufacturer or 
vessel manufacturer using this exemption, you must do all of the 
following:
    (1) Make sure the original engine label will remain clearly visible 
after installation in the vessel. This label or a supplemental label 
must identify that the original certification is valid for auxiliary 
marine applications.
    (2) Send a signed letter to the Designated Compliance Officer by the 
end of each calendar year (or less often if we tell you) with all the 
following information:
    (i) Identify your full corporate name, address, and telephone 
number.
    (ii) List the engine models you expect to produce under this 
exemption in the coming year and describe your basis for meeting the 
sales restrictions of paragraph (d)(3) of this section.
    (iii) State: ``We produce each listed engine model for marine 
application without making any changes that could increase its certified 
emission levels, as described in 40 CFR 1042.610.''.
    (3) If you are the certificate holder, you must describe in your 
application for certification how you plan to produce engines for both 
land-based and auxiliary marine applications, including projected sales 
of auxiliary marine engines to the extent this can be determined. If the 
projected marine sales are substantial, we may ask for the year-end 
report of production volumes to include actual auxiliary marine engine 
sales.
    (f) Failure to comply. If your engines do not meet the criteria 
listed in paragraph (d) of this section, they will be subject to the 
standards, requirements, and prohibitions of this part 1042 and the 
certificate issued under 40 CFR part 89 or 1039 will not be deemed to 
also be a certificate issued under this part 1042. Introducing these 
engines into U.S. commerce as marine engines without a valid exemption 
or certificate of conformity under this part 1042

[[Page 669]]

violates the prohibitions in 40 CFR 1068.101(a)(1).
    (g) Participation in averaging, banking and trading. Engines using 
this exemption may not generate or use emission credits under this part 
1042. These engines may generate credits under the ABT provisions in 40 
CFR part 89 or 1039, as applicable. These engines must use emission 
credits under 40 CFR part 89 or 1039 as applicable if they are certified 
to an FEL that exceeds an emission standard.
    (h) Operator requirements. The requirements specified for vessel 
manufacturers, owners, and operators in this subpart (including 
requirements in 40 CFR part 1068) apply to these engines whether they 
are certified under this part 1042 or another part as allowed by this 
section.



Sec.  1042.615  Replacement engine exemption.

    For replacement engines, apply the provisions of 40 CFR 1068.240 as 
described in this section.
    (a) This paragraph (a) applies instead of the provisions of 40 CFR 
1068.240(b)(3). The prohibitions in 40 CFR 1068.101(a)(1) do not apply 
for a new replacement engine meeting Tier 3 standards if the engine 
being replaced is a Tier 3 or earlier engine (this applies where new 
engines would otherwise be subject to Tier 4 or later standards). For 
other cases, the prohibitions in 40 CFR 1068.101(a)(1) do not apply to a 
new replacement engine if all the following conditions are met:
    (1) You use good engineering judgment to determine that no engine 
certified to the current requirements of this part is produced by any 
manufacturer with the appropriate physical or performance 
characteristics to repower the vessel.
    (2) You make a record of your determination for each replacement 
engine with the following information and keep these records for eight 
years:
    (i) If you determine that no engine certified to the current 
requirements of this part is available with the appropriate performance 
characteristics, explain why certified engines produced by you and other 
manufacturers cannot be used as a replacement because they are not 
similar to the engine being replaced in terms of power or speed.
    (ii) You may determine that all engines certified to the current 
requirements of this part that have appropriate performance 
characteristics are not available because they do not have the 
appropriate physical characteristics. If this is the case, explain why 
these certified engines produced by you and other manufacturers cannot 
be used as a replacement because their weight or dimensions are 
substantially different than those of the engine being replaced, or 
because they will not fit within the vessel's engine compartment or 
engine room.
    (iii) In evaluating appropriate physical or performance 
characteristics, you may account for compatibility with vessel 
components you would not otherwise replace when installing a new engine, 
including transmissions or reduction gears, drive shafts or propeller 
shafts, propellers, cooling systems, operator controls, or electrical 
systems for generators or indirect-drive configurations. If you make 
your determination on this basis, you must identify the vessel 
components that are incompatible with engines certified to current 
standards and explain how they are incompatible and why it would be 
unreasonable to replace them.
    (iv) In evaluating appropriate physical or performance 
characteristics, you may account for compatibility in a set of two or 
more propulsion engines on a vessel where only one of the engines needs 
replacement, but only if each engine not needing replacement has 
operated for less than 75 percent of its applicable useful life in hours 
or years (see Sec.  1042.101). If any engine not otherwise needing 
replacement exceeds this 75 percent threshold, your determination must 
consider replacement of all the propulsion engines.
    (v) In addition to the determination specified in paragraph (a)(1) 
of this section, you must make a separate determination for your own 
product line addressing every tier of emission standards that is more 
stringent than the emission standards for the engine being replaced. For 
example, if the engine being replaced was built before the Tier 1 
standards started to apply and

[[Page 670]]

engines of that size are currently subject to Tier 3 standards, you must 
consider whether any Tier 1 or Tier 2 engines that you produce have the 
appropriate physical and performance characteristics for replacing the 
old engine; if you can produce a Tier 2 engine with the appropriate 
physical and performance characteristics, you must use it as the 
replacement engine.
    (3) You must notify us within 30 days after you ship each 
replacement engine under this section. Your notification must include 
all the following things and be signed by an authorized representative 
of your company:
    (i) A copy of your records describing how you made the determination 
described in paragraph (a)(2) of this section for this particular 
engine.
    (ii) The total number of replacement engines you have shipped in the 
applicable calendar year, from all your marine engine models.
    (iii) The following statement:
    I certify that the statements and information in the enclosed 
document are true, accurate, and complete to the best of my knowledge. I 
am aware that there are significant civil and criminal penalties for 
submitting false statements and information, or omitting required 
statements and information.
    (4) We may reduce the reporting and recordkeeping requirements in 
this section.
    (b) Modifying a vessel to significantly increase its value within 
six months after installing a replacement engine produced under this 
section is a violation of 40 CFR 1068.101(a)(1).
    (c) We may void an exemption for an engine if we determine that any 
of the conditions described in paragraph (a) of this section are not 
met.



Sec.  1042.620  Engines used solely for competition.

    The provisions of this section apply for new engines and vessels 
built on or after January 1, 2009.
    (a) We may grant you an exemption from the standards and 
requirements of this part for a new engine on the grounds that it is to 
be used solely for competition. The requirements of this part, other 
than those in this section, do not apply to engines that we exempt for 
use solely for competition. The prohibitions in Sec.  1068.101(a)(1) do 
not apply to engines exempted under this section.
    (b) We will exempt engines that we determine will be used solely for 
competition. The basis of our determination is described in paragraphs 
(c) and (d) of this section. Exemptions granted under this section are 
good for only one model year and you must request renewal for each 
subsequent model year. We will not approve your renewal request if we 
determine the engine will not be used solely for competition.
    (c) Engines meeting all the following criteria are considered to be 
used solely for competition:
    (1) Neither the engine nor any vessels containing the engine may be 
displayed for sale in any public dealership or otherwise offered for 
sale to the general public.
    (2) Sale of the vessel in which the engine is installed must be 
limited to professional racing teams, professional racers, or other 
qualified racers. Keep records documenting this, such as a letter 
requesting an exempted engine.
    (3) The engine and the vessel in which it is installed must have 
performance characteristics that are substantially superior to 
noncompetitive models.
    (4) The engines are intended for use only as specified in paragraph 
(e) of this section.
    (d) You may ask us to approve an exemption for engines not meeting 
the applicable criteria listed in paragraph (c) of this section as long 
as you have clear and convincing evidence that the engines will be used 
solely for competition.
    (e) Engines will not be considered to be used solely for competition 
if they are ever used for any recreational or other noncompetitive 
purpose. This means that their use must be limited to competition events 
sanctioned by the U.S. Coast Guard or another public organization with 
authorizing permits for participating competitors. Operation for such 
engines may include only racing events or trials to qualify for racing 
events. Authorized attempts to set speed records (and the associated 
official trials) are also considered racing events. Any use of exempt 
engines in recreational events, such as poker

[[Page 671]]

runs and lobsterboat races, is a violation of 40 CFR 1068.101(b)(4).
    (f) You must permanently label engines exempted under this section 
to clearly indicate that they are to be used only for competition. 
Failure to properly label an engine will void the exemption for that 
engine.
    (g) If we request it, you must provide us any information we need to 
determine whether the engines or vessels are used solely for 
competition. This would include documentation regarding the number of 
engines and the ultimate purchaser of each engine. Keep these records 
for five years.



Sec.  1042.625  Special provisions for engines used in emergency applications.

    (a) Except as specified in paragraph (d) of this section, the 
prohibitions in Sec.  1068.101(a)(1) do not apply to a new engine that 
is subject to Tier 4 standards if the following conditions are met:
    (1) The engine is intended for installation in one of the following 
vessels or applications:
    (i) A lifeboat approved by the U.S. Coast Guard under approval 
series 160.135 (see for example 46 CFR 199.201(a)(1)), as long as such a 
vessel is not also used as a launch or tender.
    (ii) A rescue boat approved by the U.S. Coast Guard under approval 
series 160.156 (see for example 46 CFR 199.202(a)).
    (iii) Generator sets or other auxiliary equipment that qualify as 
final emergency power sources under 46 CFR part 112.
    (2) The engine meets the Tier 3 emission standards specified in 
Sec.  1042.101 as specified in 40 CFR 1068.265.
    (3) The engine is used only for its intended purpose, as specified 
on the emission control information label.
    (b) Except as specified in paragraph (d) of this section, the 
prohibitions in Sec.  1068.101(a)(1) do not apply to a new engine that 
is subject to Tier 3 standards according to the following provisions:
    (1) The engine must be intended for installation in a lifeboat or a 
rescue boat as specified in paragraph (a)(1)(i) or (ii) of this section.
    (2) This exemption is available from the initial effective date for 
the Tier 3 standards until the engine model (or one of comparable size, 
weight, and performance) has been certified as complying with the Tier 3 
standards and Coast Guard requirements.
    (3) The engine must meet the Tier 2 emission standards specified in 
Appendix I of this part as specified in 40 CFR 1068.265.
    (c) If you introduce an engine into U.S. commerce under this 
section, you must meet the labeling requirements in Sec.  1042.135, but 
add one of the following statements instead of the compliance statement 
in Sec.  1042.135(c)(10):
    (1) For lifeboats and rescue boats, add the following statement:
    THIS ENGINE DOES NOT COMPLY WITH CURRENT U.S. EPA EMISSION STANDARDS 
UNDER 40 CFR 1042.625 AND IS FOR USE SOLELY IN LIFEBOATS OR RESCUE BOATS 
(COAST GUARD APPROVAL SERIES 160.135 OR 160.156). INSTALLATION OR USE OF 
THIS ENGINE IN ANY OTHER APPLICATION MAY BE A VIOLATION OF FEDERAL LAW 
SUBJECT TO CIVIL PENALTY.
    (2) For engines serving as final emergency power sources, add the 
following statement:
    THIS ENGINE DOES NOT COMPLY WITH CURRENT U.S. EPA EMISSION STANDARDS 
UNDER 40 CFR 1042.625 AND IS FOR USE SOLELY IN EMERGENCY EQUIPMENT 
REGULATED BY 46 CFR 112. INSTALLATION OR USE OF THIS ENGINE IN ANY OTHER 
APPLICATION MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.
    (d) Introducing into commerce a vessel containing an engine exempted 
under this section violates the prohibitions in 40 CFR 1068.101(a)(1) 
where the vessel is not covered by paragraph (a) or (b) of this section, 
unless it is exempt under a different provision. Similarly, using such 
an engine or vessel as something other than a lifeboat, rescue boat, or 
emergency engine as specified in paragraph (a)(1) of this section 
violates the prohibitions in 40 CFR 1068.101(a)(1), unless it is exempt 
under a different provision.



Sec.  1042.630  Personal-use exemption.

    This section applies to individuals who manufacture vessels for 
personal use. If you and your vessel meet all the

[[Page 672]]

conditions of this section, the vessel and its engine are considered to 
be exempt from the standards and requirements of this part that apply to 
new engines and new vessels. The prohibitions in Sec.  1068.101(a)(1) do 
not apply to engines exempted under this section. For example, you may 
install an engine that was not certified as a marine engine.
    (a) The vessel may not be manufactured from a previously certified 
vessel, nor may it be manufactured from a partially complete vessel that 
is equivalent to a certified vessel. The vessel must be manufactured 
primarily from unassembled components, but may incorporate some 
preassembled components. For example, fully preassembled steering 
assemblies may be used. You may also power the vessel with an engine 
that was previously used in a highway or land-based nonroad application.
    (b) The vessel may not be sold within five years after the date of 
final assembly.
    (c) No individual may manufacture more than one vessel in any ten-
year period under this exemption.
    (d) You may not use the vessel in any revenue-generating service or 
for any other commercial purpose, except that you may use a vessel 
exempt under this section for commercial fishing that you personally do.
    (e) This exemption may not be used to circumvent the requirements of 
this part or the requirements of the Clean Air Act. For example, this 
exemption would not cover a case in which a person sells an almost 
completely assembled vessel to another person, who would then complete 
the assembly. This would be considered equivalent to the sale of the 
complete new vessel. This section also does not allow engine 
manufacturers to produce new engines that are exempt from emission 
standards and it does not provide an exemption from the prohibition 
against tampering with certified engines.
    (f) The vessel must be a vessel that is not classed or subject to 
Coast Guard inspections or surveys.



Sec.  1042.635  National security exemption.

    The standards and requirements of this part and prohibitions in 
Sec.  1068.101(a)(1) do not apply to engines exempted under this 
section.
    (a) You are eligible for the exemption for national security only if 
you are a manufacturer.
    (b) Your engine is exempt without a request if it will be used or 
owned by an agency of the federal government responsible for national 
defense, where the vessel has armor, permanently attached weaponry, 
specialized electronic warfare systems, unique stealth performance 
requirements, and/or unique combat maneuverability requirements.
    (c) You may request a national security exemption for engines not 
meeting the conditions of paragraph (b) of this section, as long as your 
request is endorsed by an agency of the federal government responsible 
for national defense. In your request, explain why you need the 
exemption.
    (d) Add a legible label, written in English, to all engines exempted 
under this section. The label must be permanently secured to a readily 
visible part of the engine needed for normal operation and not normally 
requiring replacement, such as the engine block. This label must include 
at least the following items:
    (1) The label heading ``EMISSION CONTROL INFORMATION''.
    (2) Your corporate name and trademark.
    (3) Engine displacement, family identification, and model year of 
the engine (as applicable), or whom to contact for further information.
    (4) The statement ``THIS ENGINE HAS AN EXEMPTION FOR NATIONAL 
SECURITY UNDER 40 CFR 1042.635.''.



Sec.  1042.640  Special provisions for branded engines.

    The following provisions apply if you identify the name and 
trademark of another company instead of your own on your emission 
control information label, as provided by Sec.  1042.135(c)(2):
    (a) You must have a contractual agreement with the other company 
that obligates that company to take the following steps:

[[Page 673]]

    (1) Meet the emission warranty requirements that apply under Sec.  
1042.120. This may involve a separate agreement involving reimbursement 
of warranty-related expenses.
    (2) Report all warranty-related information to the certificate 
holder.
    (b) In your application for certification, identify the company 
whose trademark you will use.
    (c) You remain responsible for meeting all the requirements of this 
chapter, including warranty and defect-reporting provisions.



Sec.  1042.650  Migratory vessels.

    The provisions of this section address concerns for vessel owners 
related to extended use of vessels with Tier 4 engines outside the 
United States where ultra low-sulfur diesel fuel is not available.
    (a) Temporary exemption. A vessel owner may ask us for a temporary 
exemption from the tampering prohibition in 40 CFR 1068.101(b)(1) for a 
vessel if it will operate only in areas outside the United States where 
ULSD is not available. In your request, describe where the vessel will 
operate, how long it will operate there, why ULSD will be unavailable, 
and how you will modify the engine, including its emission controls. If 
we approve your request, you may modify the engine, but only as needed 
to disable or remove the emission controls needed for meeting the Tier 4 
standards. You must return the engine to its original certified 
configuration before the vessel returns to the United States to avoid 
violating the tampering prohibition in 40 CFR 1068.101(b)(1). We may set 
additional conditions to prevent circumvention of the provisions of this 
part.
    (b) SOLAS exemption. We may approve a permanent exemption from the 
prohibitions in 40 CFR 1068.101(a)(1) for an engine that is subject to 
Tier 4 standards as described in this paragraph (b).
    (1) Vessel owners may ask for a permanent exemption from the Tier 4 
standards for an engine that will be installed on vessels that will 
operate for extended periods outside the United States, provided they 
demonstrate all of the following are true:
    (i) Prior to introduction into service, the vessel will comply with 
applicable certification requirements for international safety pursuant 
to the U.S. Coast Guard and the International Convention for the 
Protection of Life at Sea (SOLAS). The vessel owner must maintain 
compliance with these requirements for the life of the exempted engine.
    (ii) The vessel will be used in areas outside of the United States 
where ULSD will not be available.
    (iii) The mix of vessels with engines certified to Tier 3 or earlier 
standards in the owner's current fleet and the owner's current business 
operation of those vessels makes the exemption necessary. Note that 
because of the large fraction of pre-Tier 4 engines in the fleet prior 
to 2021, a request for a Tier 4 exemption prior to that year must 
clearly demonstrate that unusual circumstances apply.
    (2) An engine exempted under this paragraph (b) must meet the Tier 3 
emission standards described in Sec.  1402.101, subject to the 
procedural requirements of 40 CFR 1068.265.
    (3) If you introduce an engine into U.S. commerce under this 
section, you must meet the labeling requirements in Sec.  1042.135, but 
add the following statement instead of the compliance statement in Sec.  
1042.135(c)(10):
    THIS ENGINE DOES NOT COMPLY WITH CURRENT U.S. EPA EMISSION STANDARDS 
UNDER 40 CFR 1042.650 AND IS FOR USE SOLELY IN SOLAS VESSELS. 
INSTALLATION OR USE OF THIS ENGINE IN ANY OTHER APPLICATION MAY BE A 
VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.
    (4) Operating a vessel containing an engine exempted under this 
paragraph (b) violates the prohibitions in 40 CFR 1068.101(a)(1) if the 
vessel in not in full compliance with applicable requirements for 
international safety specified in paragraph (b)(1)(i) of this section.
    (c) Vessels less than 500 gross tons. In unusual circumstances for 
vessels less than 500 gross tons, we may approve a vessel owner's 
request for a permanent exemption from the prohibitions in 40 CFR 
1068.101(a)(1) for an engine that is subject to Tier 4 standards that 
will operate for extended periods outside the United States without it 
being in

[[Page 674]]

compliance with applicable certification requirements for international 
safety. We may set appropriate additional conditions on such exemptions, 
and may void the exemption if those conditions are not met.



Sec.  1042.660  Requirements for vessel manufacturers, owners, and operators.

    (a) The provisions of 40 CFR part 94, subpart K, apply to 
manufacturers, owners, and operators of marine vessels that contain 
Category 3 engines subject to the provisions of 40 CFR part 94, subpart 
A.
    (b) For vessels equipped with emission controls requiring the use of 
specific fuels, lubricants, or other fluids, owners and operators must 
comply with the manufacturer/remanufacturer's specifications for such 
fluids when operating the vessels. Failure to comply with the 
requirements of this paragraph is a violation of 40 CFR 1068.101(b)(1).
    (c) For vessels equipped with SCR systems requiring the use of urea 
or other reductants, owners and operators must report to us within 30 
days any operation of such vessels without the appropriate reductant. 
Failure to comply with the requirements of this paragraph is a violation 
of 40 CFR 1068.101(a)(2).



       Subpart H_Averaging, Banking, and Trading for Certification



Sec.  1042.701  General provisions.

    (a) You may average, bank, and trade (ABT) emission credits for 
purposes of certification as described in this subpart to show 
compliance with the standards of this part. Participation in this 
program is voluntary.
    (b) The definitions of subpart J of this part apply to this subpart. 
The following definitions also apply:
    (1) Actual emission credits means emission credits you have 
generated that we have verified by reviewing your final report.
    (2) Applicable emission standard means an emission standard that is 
specified in subpart B of this part. Note that for other subparts, 
``applicable emission standard'' is defined to also include FELs.
    (3) Averaging set means a set of engines in which emission credits 
may be exchanged only with other engines in the same averaging set.
    (4) Broker means any entity that facilitates a trade of emission 
credits between a buyer and seller.
    (5) Buyer means the entity that receives emission credits as a 
result of a trade.
    (6) Reserved emission credits means emission credits you have 
generated that we have not yet verified by reviewing your final report.
    (7) Seller means the entity that provides emission credits during a 
trade.
    (8) Standard means the emission standard that applies under subpart 
B of this part for engines not participating in the ABT program of this 
subpart.
    (9) Trade means to exchange emission credits, either as a buyer or 
seller.
    (c) Emission credits may be exchanged only within an averaging set. 
Except as specified in paragraph (d) of this section, the following 
criteria define the applicable averaging sets:
    (1) Recreational engines.
    (2) Commercial Category 1 engines.
    (3) Category 2 engines.
    (d) Emission credits generated by commercial Category 1 engine 
families may be used for compliance by Category 2 engine families. Such 
credits must be discounted by 25 percent.
    (e) You may not use emission credits generated under this subpart to 
offset any emissions that exceed an FEL or standard. This applies for 
all testing, including certification testing, in-use testing, selective 
enforcement audits, and other production-line testing. However, if 
emissions from an engine exceed an FEL or standard (for example, during 
a selective enforcement audit), you may use emission credits to 
recertify the engine family with a higher FEL that applies only to 
future production.
    (f) Engine families that use emission credits for one or more 
pollutants may not generate positive emission credits for another 
pollutant.
    (g) Emission credits may be used in the model year they are 
generated or in future model years. Emission credits may not be used for 
past model years.

[[Page 675]]

    (h) You may increase or decrease an FEL during the model year by 
amending your application for certification under Sec.  1042.225.
    (i) You may use NOX+HC credits to show compliance with a 
NOX emission standard or use NOX credits to show 
compliance with a NOX+HC emission standard.



Sec.  1042.705  Generating and calculating emission credits.

    The provisions of this section apply separately for calculating 
emission credits for NOX, NOX+HC, or PM.
    (a) For each participating family, calculate positive or negative 
emission credits relative to the otherwise applicable emission standard. 
Calculate positive emission credits for a family that has an FEL below 
the standard. Calculate negative emission credits for a family that has 
an FEL above the standard. Sum your positive and negative credits for 
the model year before rounding. Round calculated emission credits to the 
nearest kilogram (kg), using consistent units throughout the following 
equation:

Emission credits (kg) = (Std - FEL) x (Volume) x (Power) x (LF) x (UL) x 
(10-\3\)

Where:

Std = The emission standard, in g/kW-hr.
FEL = The family emission limit for the engine family, in g/kW-hr.
Volume = The number of engines eligible to participate in the averaging, 
          banking, and trading program within the given engine family 
          during the model year, as described in paragraph (c) of this 
          section.
Power = The average value of maximum engine power of all the engine 
          configurations within an engine family, calculated on a 
          production-weighted basis, in kilowatts.
LF = Load factor. Use 0.69 for propulsion marine engines and 0.51 for 
          auxiliary marine engines. We may specify a different load 
          factor if we approve the use of special test procedures for an 
          engine family under 40 CFR 1065.10(c)(2), consistent with good 
          engineering judgment.
UL = The useful life for the given engine family, in hours.

    (b) [Reserved]
    (c) In your application for certification, base your showing of 
compliance on projected production volumes for engines whose point of 
first retail sale is in the United States. As described in Sec.  
1042.730, compliance with the requirements of this subpart is determined 
at the end of the model year based on actual production volumes for 
engines whose point of first retail sale is in the United States. Do not 
include any of the following engines to calculate emission credits:
    (1) Engines permanently exempted under subpart G of this part or 
under 40 CFR part 1068.
    (2) Exported engines.
    (3) Engines not subject to the requirements of this part, such as 
those excluded under Sec.  1042.5.
    (4) [Reserved]
    (5) Any other engines, where we indicate elsewhere in this part 1042 
that they are not to be included in the calculations of this subpart.



Sec.  1042.710  Averaging emission credits.

    (a) Averaging is the exchange of emission credits among your engine 
families.
    (b) You may certify one or more engine families to an FEL above the 
emission standard, subject to the FEL caps and other provisions in 
subpart B of this part, if you show in your application for 
certification that your projected balance of all emission-credit 
transactions in that model year is greater than or equal to zero.
    (c) If you certify an engine family to an FEL that exceeds the 
otherwise applicable emission standard, you must obtain enough emission 
credits to offset the engine family's deficit by the due date for the 
final report required in Sec.  1042.730. The emission credits used to 
address the deficit may come from your other engine families that 
generate emission credits in the same model year, from emission credits 
you have banked, or from emission credits you obtain through trading.



Sec.  1042.715  Banking emission credits.

    (a) Banking is the retention of emission credits by the manufacturer 
generating the emission credits for use in averaging or trading in 
future model years.
    (b) You may use banked emission credits from the previous model year 
for averaging or trading before we verify them, but we may revoke these

[[Page 676]]

emission credits if we are unable to verify them after reviewing your 
reports or auditing your records.
    (c) Reserved credits become actual emission credits only when we 
verify them in reviewing your final report.



Sec.  1042.720  Trading emission credits.

    (a) Trading is the exchange of emission credits between 
manufacturers. You may use traded emission credits for averaging, 
banking, or further trading transactions.
    (b) You may trade actual emission credits as described in this 
subpart. You may also trade reserved emission credits, but we may revoke 
these emission credits based on our review of your records or reports or 
those of the company with which you traded emission credits. You may 
trade banked credits to any certifying manufacturer.
    (c) If a negative emission credit balance results from a 
transaction, both the buyer and seller are liable, except in cases we 
deem to involve fraud. See Sec.  1042.255(e) for cases involving fraud. 
We may void the certificates of all engine families participating in a 
trade that results in a manufacturer having a negative balance of 
emission credits. See Sec.  1042.745.



Sec.  1042.725  Information required for the application for certification.

    (a) You must declare in your application for certification your 
intent to use the provisions of this subpart for each engine family that 
will be certified using the ABT program. You must also declare the FELs 
you select for the engine family for each pollutant for which you are 
using the ABT program. Your FELs must comply with the specifications of 
subpart B of this part, including the FEL caps. FELs must be expressed 
to the same number of decimal places as the emission standards.
    (b) Include the following in your application for certification:
    (1) A statement that, to the best of your belief, you will not have 
a negative balance of emission credits for any averaging set when all 
emission credits are calculated at the end of the year.
    (2) Detailed calculations of projected emission credits (positive or 
negative) based on projected production volumes.



Sec.  1042.730  ABT reports.

    (a) If any of your engine families are certified using the ABT 
provisions of this subpart, you must send an end-of-year report within 
90 days after the end of the model year and a final report within 270 
days after the end of the model year. We may waive the requirement to 
send the end-of-year report, as long as you send the final report on 
time.
    (b) Your end-of-year and final reports must include the following 
information for each engine family participating in the ABT program:
    (1) Engine-family designation.
    (2) The emission standards that would otherwise apply to the engine 
family.
    (3) The FEL for each pollutant. If you changed an FEL during the 
model year, identify each FEL you used and calculate the positive or 
negative emission credits under each FEL. Also, describe how the FEL can 
be identified for each engine you produced. For example, you might keep 
a list of engine identification numbers that correspond with certain FEL 
values.
    (4) The projected and actual production volumes for the model year 
with a point of first retail sale in the United States, as described in 
Sec.  1042.705(c). If you changed an FEL during the model year, identify 
the actual production volume associated with each FEL.
    (5) Maximum engine power for each engine configuration, and the 
production-weighted average engine power for the engine family.
    (6) Useful life.
    (7) Calculated positive or negative emission credits for the whole 
engine family. Identify any emission credits that you traded, as 
described in paragraph (d)(1) of this section.
    (c) Your end-of-year and final reports must include the following 
additional information:
    (1) Show that your net balance of emission credits from all your 
participating engine families in each averaging set in the applicable 
model year is not negative.
    (2) State whether you will retain any emission credits for banking.
    (3) State that the report's contents are accurate.

[[Page 677]]

    (d) If you trade emission credits, you must send us a report within 
90 days after the transaction, as follows:
    (1) Sellers must include the following information in their report:
    (i) The corporate names of the buyer and any brokers.
    (ii) A copy of any contracts related to the trade.
    (iii) The engine families that generated emission credits for the 
trade, including the number of emission credits from each family.
    (2) Buyers must include the following information in their report:
    (i) The corporate names of the seller and any brokers.
    (ii) A copy of any contracts related to the trade.
    (iii) How you intend to use the emission credits, including the 
number of emission credits you intend to apply to each engine family (if 
known).
    (e) Send your reports electronically to the Designated Compliance 
Officer using an approved information format. If you want to use a 
different format, send us a written request with justification for a 
waiver.
    (f) Correct errors in your end-of-year report or final report as 
follows:
    (1) You may correct any errors in your end-of-year report when you 
prepare the final report, as long as you send us the final report by the 
time it is due.
    (2) If you or we determine within 270 days after the end of the 
model year that errors mistakenly decreased your balance of emission 
credits, you may correct the errors and recalculate the balance of 
emission credits. You may not make these corrections for errors that are 
determined more than 270 days after the end of the model year. If you 
report a negative balance of emission credits, we may disallow 
corrections under this paragraph (f)(2).
    (3) If you or we determine anytime that errors mistakenly increased 
your balance of emission credits, you must correct the errors and 
recalculate the balance of emission credits.



Sec.  1042.735  Recordkeeping.

    (a) You must organize and maintain your records as described in this 
section. We may review your records at any time.
    (b) Keep the records required by this section for eight years after 
the due date for the end-of-year report. You may not use emission 
credits on any engines if you do not keep all the records required under 
this section. You must therefore keep these records to continue to bank 
valid credits. Store these records in any format and on any media, as 
long as you can promptly send us organized, written records in English 
if we ask for them. You must keep these records readily available. We 
may review them at any time.
    (c) Keep a copy of the reports we require in Sec.  1042.730.
    (d) Keep the following additional records for each engine you 
produce that generates or uses emission credits under the ABT program:
    (1) Engine family designation.
    (2) Engine identification number. You may identify these numbers as 
a range.
    (3) FEL and useful life. If you change the FEL after the start of 
production, identify the date that you started using the new FEL and 
give the engine identification number for the first engine covered by 
the new FEL.
    (4) Maximum engine power.
    (5) Purchaser and destination.
    (e) We may require you to keep additional records or to send us 
relevant information not required by this section, as allowed under the 
Clean Air Act.



Sec.  1042.745  Noncompliance.

    (a) For each engine family participating in the ABT program, the 
certificate of conformity is conditional upon full compliance with the 
provisions of this subpart during and after the model year. You are 
responsible to establish to our satisfaction that you fully comply with 
applicable requirements. We may void the certificate of conformity for 
an engine family if you fail to comply with any provisions of this 
subpart.
    (b) You may certify your engine family to an FEL above an emission 
standard based on a projection that you will have enough emission 
credits to offset the deficit for the engine family. However, we may 
void the certificate of conformity if you cannot show in your final 
report that you have enough actual emission credits to offset a deficit 
for any pollutant in an engine family.

[[Page 678]]

    (c) We may void the certificate of conformity for an engine family 
if you fail to keep records, send reports, or give us information we 
request.
    (d) You may ask for a hearing if we void your certificate under this 
section (see Sec.  1042.920).



     Subpart I_Special Provisions for Remanufactured Marine Engines



Sec.  1042.801  General provisions.

    This section describes how the provisions of this part 1042 apply 
for certain remanufactured marine engines.
    (a) The requirements of this subpart apply for remanufactured Tier 2 
and earlier commercial marine engines at or above 600 kW, excluding 
those engines originally manufactured before 1973. Note that the 
requirements of this subpart do not apply for engines below 600 kW, 
engines installed on recreational vessels, or Tier 3 and later engines.
    (b) Any person meeting the definition of ``remanufacturer'' in Sec.  
1042.901 may apply for a certificate of conformity for a remanufactured 
engine family.
    (c) The rebuilding requirements of 40 CFR 1068.120 do not apply to 
remanufacturing of engines using a certified remanufacturing system 
under this subpart. However, the requirements of 40 CFR 1068.120 do 
apply to all other remanufacturing of engines.
    (d) Unless specified otherwise, engines certified under this subpart 
are also subject to the other requirements of this part.
    (e) For remanufactured engines required to have a valid certificate 
of conformity, placing a new marine engine back into service following 
remanufacturing is a violation of 40 CFR 1068.101(a)(1), unless it has a 
valid certificate of conformity for its model year and the required 
label.
    (f) Remanufacturing systems that require a fuel change or use of a 
fuel additive may be certified under this part. However, they are not 
considered to be ``available'' with respect to triggering the 
requirement for an engine to be covered by a certificate of conformity 
under Sec.  1042.815. The following provisions apply:
    (i) Only fuels and additives registered under 40 CFR part 79 may be 
used under this paragraph.
    (ii) You must demonstrate in your application that the fuel or 
additive will actually be used by operators, including a description of 
how the vessels and dispensing tanks will be labeled. We may require you 
to provide the labels to the operators.
    (iii) You must also describe analytical methods that can be used by 
EPA or others to verify that fuel meets your specifications.
    (iv) You must provide clear instructions to the operators specifying 
that they may only use the specified fuel/additive, label their vessels 
and fuel dispensing tanks, and keep records of their use of the fuel/
additive in order for their engine to be covered by your certificate. 
Use of the incorrect fuel (or fuel without the specified additive) or 
any other failure to comply with the requirements of this paragraph is a 
violation of 40 CFR 1068.101(b)(1).
    (g) Vessels equipped with emission controls as part of a state or 
local retrofit program prior to January 1, 2017 are exempt from the 
requirements of this subpart, as specified in this paragraph (g).
    (1) This exemption only applies for retrofit programs sponsored by a 
state government (or one of its political subdivisions) for the purpose 
of reducing emissions. The exemption does not apply where the sponsoring 
government specifies that inclusion in the retrofit program is not 
intended to provide an exemption from the requirements of this subpart.
    (2) The prohibitions against tampering and defeat devices in 40 CFR 
1068.101(b) and the rebuilding requirements in 40 CFR 1068.120 apply for 
the exempt engines in the same manner as if they were covered by a 
certificate.
    (3) Vessel owners must request an exemption prior to remanufacturing 
the engine. Your request must include documentation that your vessel has 
been retrofitted consistent with the specifications of paragraph (g)(1) 
of this section, and a signed statement declaring that to be true. 
Except for the initial request for a specific vessel and a specific 
retrofit, you may consider your request to be approved unless we notify

[[Page 679]]

you otherwise within 30 days of the date that we receive your request.



Sec.  1042.810  Requirements for owner/operators and installers during remanufacture.

    This section describes how the remanufacturing regulations affect 
owner/operators and installers for engines subject to this subpart.
    (a) See the definition of ``remanufacture'' in Sec.  1042.901 to 
determine if you are remanufacturing your engine. (Note: Replacing 
cylinders one at a time may qualify as remanufacturing, depending on the 
interval between replacement.)
    (b) See the definition of ``new marine engine'' in Sec.  1042.901 to 
determine if remanufacturing your engine makes it subject to the 
requirements of this part. If the engine is considered to be new, it is 
subject to the certification requirements of this subpart, unless it is 
exempt under subpart G of this part.
    (c) Your engine is not subject to the standards of this part if we 
determine that no certified remanufacturing system is available for your 
engine as described in Sec.  1042.815. For engines that are 
remanufactured during multiple events within a five-year period, you are 
not required to use a certified system until all of your engine's 
cylinders have been replaced after the system became available. For 
example, if you remanufacture your 16-cylinder engine by replacing four 
cylinders each January and a system becomes available for your engine 
June 1, 2010, your engine must be in a certified configuration when you 
replace four cylinders in January of 2014. At that point, all 16 
cylinders would have been replaced after June 1, 2010.
    (d) You may comply with the certification requirements of this part 
for your remanufactured engine by either obtaining your own certificate 
of conformity as specified in subpart C of this part or by having a 
certifying remanufacturer include your engine under its certificate of 
conformity. In either case, your remanufactured engine must be covered 
by a certificate before it is reintroduced into service.
    (e) Contact a certifying remanufacturer to have your engine included 
under its certificate of conformity. You must comply with the 
certificate holder's emission-related installation instructions.



Sec.  1042.815  Demonstrating availability.

    (a) A certified remanufacturing system is considered to be available 
for a specific engine only if EPA has certified the remanufacturing 
system as being in compliance with the provisions of this part and the 
certificate holder has demonstrated during certification that the system 
meets the criteria of this paragraph (a). We may issue a certificate for 
a remanufacturing system that does not meet these criteria, but such 
systems would not be considered available.
    (1) The engine configuration must be included in the engine family 
for the remanufacturing system.
    (2) The total marginal cost of the remanufacturing system, as 
calculated under paragraph (c) of this section, must be less than 
$45,000 per ton of PM reduction.
    (3) It must be possible to obtain and install the remanufacturing 
system in a timely manner consistent with normal remanufacturing 
procedures. For example, a remanufacturing system would generally not be 
considered to be available if it required that the engine be removed 
from the vessel and shipped to a factory to be remanufactured.
    (4) The remanufacturing system may result in increased maintenance 
costs, provided the incremental maintenance costs are included in the 
total costs. The remanufacturing system may not adversely affect engine 
reliability or power. Note that owner/operators may ask us to determine 
that a remanufacturing system is not considered available for their 
vessels because of excessive costs under Sec.  1042.850.
    (b) We will maintain a list of available remanufacturing systems. A 
new remanufacturing system is considered to be available 120 days after 
we first issue a certificate of conformity for it. Where we issue a 
certificate of conformity based on carryover data for a system that is 
already considered to be available for the configuration, the 120-day 
delay does not apply and the new system is considered to be available 
when we issue the certificate.

[[Page 680]]

    (c) For the purpose of paragraph (a)(2) of this section, marginal 
cost means the difference in costs between remanufacturing the engine 
using the remanufacturing system and remanufacturing the engine 
conventionally, divided by the projected amount that PM emissions will 
be reduced over the engine's useful life.
    (1) Total costs include:
    (i) Incremental hardware costs.
    (ii) Incremental labor costs.
    (iii) Incremental operating costs over one useful life period.
    (iv) Other costs (such as shipping).
    (2) Calculate the projected amount that PM emissions will be reduced 
over the engine's useful life using the following equation:

PM tons = (EFbase - EFcont) x (PR) x (UL) x (LF) x 
(10-6)

Where:

EFbase = deteriorated baseline PM emission rate (g/kW-hr).
EFcont = deteriorated controlled PM emission rate (g/kW-hr).
PR = maximum engine power for the engine (kW).
UL = useful life (hr).
LF = the load factor that would apply for your engine under Sec.  
          1042.705.



Sec.  1042.820  Emission standards and required emission reductions for remanufactured engines.

    (a) The requirements of this section apply with respect to emissions 
as measured according to subpart F of this part. See paragraph (g) of 
this section for special provisions related to remanufacturing systems 
certified for both locomotive and marine engines. Remanufactured Tier 2 
and earlier engines may be certified under this subpart only if they 
have NOX emissions equivalent to or less than baseline 
NOX levels and PM emissions at least 25.0 percent less than 
baseline PM emission levels. See Sec.  1042.825 for provisions for 
determining baseline NOX and PM emissions. See Sec.  1042.835 
for provisions related to demonstrating compliance with these 
requirements.
    (b) The NTE and ABT provisions of this part do not apply for 
remanufactured engines.
    (c) The exhaust emission standards in this section apply for engines 
using the fuel type on which the engines in the engine family are 
designed to operate. Engines designed to operate using residual fuel 
must comply with the standards and requirements of this part when 
operated using residual fuel.
    (d) Your engines must meet the exhaust emission standards of this 
section over their full useful life, as defined in Sec.  1042.101(e).
    (e) The duty-cycle emission standards in this subpart apply to all 
testing performed according to the procedures in Sec.  1042.505, 
including certification, production-line, and in-use testing.
    (f) Sections 1042.120, 1042.125, 1042.130, 1042.140 apply for 
remanufactured engines as written. Section 1042.115 applies for 
remanufactured engines as written, except for the requirement that 
electronically controlled engines broadcast their speed and output shaft 
torque.
    (g) A remanufacturing system certified for locomotive engines under 
40 CFR part 1033 may be deemed to also meet the requirements of this 
section, as specified in Sec.  1042.836.



Sec.  1042.825  Baseline determination.

    (a) For the purpose of this subpart, the term ``baseline emissions'' 
means the average measured emission rate specified by this section. 
Baseline emissions are specific to a given certificate holder and a 
given engine configuration.
    (b) Select a used engine to be the emission-data engine for the 
engine family for testing. Using good engineering judgment, select the 
engine configuration expected to represent the most common configuration 
in the family.
    (c) Remanufacture the engine according to OEM specifications (or 
equivalent). The engine is considered ``the baseline engine'' at this 
point. If the OEM specifications include a range of adjustment for any 
parameter, set the parameter to the midpoint of the range. You may ask 
us to allow you to adjust it differently, consistent with good 
engineering judgment.
    (d) Test the baseline engine four times according to the test 
procedures in subpart F of this part. The baseline emissions are the 
average of those four tests.

[[Page 681]]

    (e) We may require you to test a second engine of the same or 
different configuration in addition to the engine tested under this 
section. If we require you to test the same configuration, average the 
results of the testing with previous results, unless we determine that 
your previous results are not valid.
    (f) Use good engineering judgment for all aspects of the baseline 
determination. We may reject your baseline if we determine that you did 
not use good engineering judgment, consistent with the provisions of 40 
CFR 1068.5.



Sec.  1042.830  Labeling.

    (a) At the time of remanufacture, affix a permanent and legible 
label identifying each engine. The label must be--
    (1) Attached in one piece so it is not removable without being 
destroyed or defaced.
    (2) Secured to a part of the engine needed for normal operation and 
not normally requiring replacement.
    (3) Durable and readable for the engine's entire useful life.
    (4) Written in English.
    (b) The label must--
    (1) Include the heading ``EMISSION CONTROL INFORMATION''.
    (2) Include your full corporate name and trademark.
    (3) Include EPA's standardized designation for the engine family.
    (4) State the engine's category, displacement (in liters or L/cyl), 
maximum engine power (in kW), and power density (in kW/L) as needed to 
determine the emission standards for the engine family. You may specify 
displacement, maximum engine power, and power density as ranges 
consistent with the ranges listed in Sec.  1042.101. See Sec.  1042.140 
for descriptions of how to specify per-cylinder displacement, maximum 
engine power, and power density.
    (5) State: ``THIS MARINE ENGINE COMPLIES WITH 40 CFR 1042, SUBPART 
I, FOR [CALENDAR YEAR OF REMANUFACTURE].''.
    (c) You may add information to the emission control information 
label to identify other emission standards that the engine meets or does 
not meet (such as international standards). You may also add other 
information to ensure that the engine will be properly maintained and 
used.
    (d) You may ask us to approve modified labeling requirements in this 
section if you show that it is necessary or appropriate. We will approve 
your request if your alternate label is consistent with the intent of 
the labeling requirements of this section.



Sec.  1042.835  Certification of remanufactured engines.

    (a) General requirements. See Sec. Sec.  1042.201, 1042.210, 
1042.220, 1042.225, 1042.250, and 1042.255 for the general requirements 
related to obtaining a certificate of conformity. See Sec.  1042.836 for 
special certification provisions for remanufacturing systems certified 
for locomotive engines under 40 CFR 1033.936.
    (b) Applications. See Sec.  1042.840 for a description of what you 
must include in your application.
    (c) Engine families. See Sec.  1042.845 for instruction about 
dividing your engines into engine families.
    (d) Test data. (1) Measure baseline emissions for the test 
configuration as specified in Sec.  1042.825.
    (2) Measure emissions from the test engine for your remanufacturing 
system according to the procedures of subpart F of this part.
    (3) We may measure emissions from any of your test engines or other 
engines from the engine family, as follows:
    (i) We may decide to do the testing at your plant or any other 
facility. If we do this, you must deliver the test engine to a test 
facility we designate. The test engine you provide must include 
appropriate manifolds, aftertreatment devices, electronic control units, 
and other emission-related components not normally attached directly to 
the engine block. If we do the testing at your plant, you must schedule 
it as soon as possible and make available the instruments, personnel, 
and equipment we need.
    (ii) If we measure emissions from one of your test engines, the 
results of that testing become the official emission results for the 
engine. Unless we later invalidate these data, we may decide not to 
consider your data in determining if

[[Page 682]]

your engine family meets applicable requirements.
    (iii) Before we test one of your engines, we may set its adjustable 
parameters to any point within the specified adjustable ranges (see 
Sec.  1042.115(d)).
    (iv) Before we test one of your engines, we may calibrate it within 
normal production tolerances for anything we do not consider an 
adjustable parameter.
    (4) You may ask to use emission data from a previous model year 
instead of doing new tests, but only if all the following are true:
    (i) The engine family from the previous model year differs from the 
current engine family only with respect to model year or other 
characteristics unrelated to emissions. You may also ask to add a 
configuration subject to Sec.  1042.225.
    (ii) The emission-data engine from the previous model year remains 
the appropriate emission-data engine.
    (iii) The data show that the emission-data engine would meet all the 
requirements that apply to the engine family covered by the application 
for certification.
    (5) We may require you to test a second engine of the same or 
different configuration in addition to the engine tested under this 
section.
    (6) If you use an alternate test procedure under 40 CFR 1065.10 and 
later testing shows that such testing does not produce results that are 
equivalent to the procedures specified in subpart F of this part, we may 
reject data you generated using the alternate procedure.
    (e) Demonstrating compliance. (1) For purposes of certification, 
your engine family is considered in compliance with the emission 
standards in Sec.  1042.820 if all emission-data engines representing 
that family have test results showing compliance with the standards and 
percent reductions required by that section. To compare emission levels 
from the emission-data engine with the applicable emission standards, 
apply an additive deterioration factor of 0.015 g/kW-hr to the measured 
emission levels for PM. Alternatively, you may test your engine as 
specified in Sec.  1042.245 to develop deterioration factors that 
represent the deterioration expected in emissions over your engines' 
full useful life.
    (2) Collect emission data using measurements to one more decimal 
place than the applicable standard. Apply the deterioration factor to 
the official emission result, then round the adjusted figure to the same 
number of decimal places as the emission standard. Compare the rounded 
emission levels to the emission standard for each emission-data engine.
    (3) Your applicable NOX standard for each configuration 
is the baseline NOX emission rate for that configuration plus 
5.0 percent (to account for test-to-test and engine-to-engine 
variability). Your applicable PM standard for each configuration is the 
baseline PM emission rate for that configuration multiplied by 0.750 
plus the deterioration factor. If you choose to include configurations 
in your engine family for which you do not measure baseline emissions, 
you must demonstrate through engineering analysis that your 
remanufacturing system will reduce PM emissions by at least 25.0 percent 
for those configurations and not increase NOX emissions.
    (4) Your engine family is deemed not to comply if any emission-data 
engine representing that family for certification has test results 
showing a deteriorated emission level above an applicable emission 
standard for any pollutant.
    (f) Safety Evaluation. You must exercise due diligence in ensuring 
that your system will not adversely affect safety or otherwise violate 
the prohibition of Sec.  1042.115(e).
    (g) Compatibility Evaluation. If you are not the original 
manufacturer of the engine, you must contact the original manufacturer 
of the engine to verify that your system is compatible with the engine. 
Keep records of your contact with the original manufacturer.



Sec.  1042.836  Marine certification of locomotive remanufacturing systems.

    If you certify a Tier 0, Tier 1, or Tier 2 remanufacturing system 
for locomotives under 40 CFR part 92 or part 1033, you may also certify 
the system under this part 1042, according to the provisions of this 
section.

[[Page 683]]

    (a) Include the following with your application for certification 
under 40 CFR part 1033:
    (1) A statement of your intent to use your remanufacturing system 
for marine engines. Include a list of marine engine models for which 
your system may be used.
    (2) If there are significant differences in how your remanufacture 
system will be applied to marine engines relative to locomotives, in an 
engineering analysis demonstrating that your system will achieve 
emission reductions from marine engines similar to those from 
locomotives.
    (3) A description of modifications needed for marine applications.
    (4) A demonstration of availability as described in Sec.  1042.815, 
except that the total marginal cost threshold does not apply.
    (5) An unconditional statement 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.
    (b) Sections 1042.835 and 1042.840 do not apply for engines 
certified under this section.
    (c) Systems certified under 40 CFR part 92 are subject to the 
following restrictions:
    (1) Tier 0 locomotives systems may not be used for any Category 1 
engines or Tier 1 or later Category 2 engines.
    (2) Where systems certified under 40 CFR part 1033 are also 
available for an engine, you may not use a system certified under 40 CFR 
part 92.



Sec.  1042.840  Application requirements for remanufactured engines.

    This section specifies the information that must be in your 
application, unless we ask you to include less information under Sec.  
1042.201(c). We may require you to provide additional information to 
evaluate your application.
    (a) Describe the engine family's specifications and other basic 
parameters of the engine's design and emission controls. List the fuel 
type on which your engines are designed to operate (for example, ultra 
low-sulfur diesel fuel). List each distinguishable engine configuration 
in the engine family. For each engine configuration, list the maximum 
engine power and the range of values for maximum engine power resulting 
from production tolerances, as described in Sec.  1042.140.
    (b) Explain how the emission control system operates. Describe in 
detail all system components for controlling exhaust emissions, 
including any auxiliary emission control devices (AECDs) you add to the 
engine. Identify the part number of each component you describe.
    (c) Summarize your cost effectiveness analysis used to demonstrate 
your system will meet the availability criteria of Sec.  1042.815. 
Identify the maximum allowable costs for vessel modifications to meet 
the these criteria.
    (d) Describe the engines you selected for testing and the reasons 
for selecting them.
    (e) Describe the test equipment and procedures that you used, 
including the duty cycle(s) and the corresponding engine applications. 
Also describe any special or alternate test procedures you used.
    (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. See Sec.  
1042.801 if your certification is based on the use of special fuels or 
additives.
    (h) Identify the engine family's useful life.
    (i) Include the maintenance and warranty instructions you will give 
to the owner/operator (see Sec. Sec.  1042.120 and 1042.125).
    (j) Include the emission-related installation instructions you will 
provide if someone else installs your engines in a vessel (see Sec.  
1042.130).
    (k) Describe your emission control information label (see Sec.  
1042.830).
    (l) Identify the engine family's deterioration factors and describe 
how you developed them (see Sec.  1042.245). Present any emission test 
data you used for this.
    (m) State that you operated your emission-data engines as described 
in

[[Page 684]]

the application (including the test procedures, test parameters, and 
test fuels) to show you meet the requirements of this part.
    (n) Present emission data for HC, NOX, PM, and CO as 
required by Sec.  1042.820. Show emission figures before and after 
applying adjustment factors for regeneration and deterioration factors 
for each pollutant and for each engine.
    (o) Report all test results, including those from invalid tests, 
whether or not they were conducted according to the test procedures of 
subpart F of this part. If you measure CO2, report those 
emission levels. We may ask you to send other information to confirm 
that your tests were valid under the requirements of this part and 40 
CFR part 1065.
    (p) Describe all adjustable operating parameters (see Sec.  
1042.115(d)), including production tolerances. Include the following in 
your description of each parameter:
    (1) The nominal or recommended setting.
    (2) The intended physically adjustable range.
    (3) The limits or stops used to establish adjustable ranges.
    (4) For Category 1 engines, information showing why 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 physically adjustable ranges.
    (5) For Category 2 engines, propose a range of adjustment for each 
adjustable parameter, as described in Sec.  1042.115(d). Include 
information showing why the limits, stops, or other means of inhibiting 
adjustment are effective in preventing adjustment of parameters on in-
use engines to settings outside your proposed adjustable ranges.
    (q) 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.
    (r) Include the information required by other subparts of this part.
    (s) Include other applicable information, such as information 
specified in this part or 40 CFR part 1068 related to requests for 
exemptions.
    (t) 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.
    (u) If you are not the original manufacturer of the engine, include 
a summary of your contact with the original manufacturer of the engine 
and provide to us any documentation provided to you by the original 
manufacturer.



Sec.  1042.845  Remanufactured engine families.

    (a) For purposes of certification, divide your product line into 
families of engines that are expected to have similar emission 
characteristics throughout the useful life as described in this section. 
You may not group Category 1 and Category 2 engines in the same family.
    (b) In general, group engines in the same engine family if they are 
the same in all the following aspects:
    (1) The combustion cycle and fuel (the fuels with which the engine 
is intended or designed to be operated).
    (2) The cooling system (for example, raw-water vs. separate-circuit 
cooling).
    (3) Method of air aspiration.
    (4) Method of exhaust aftertreatment (for example, catalytic 
converter or particulate trap).
    (5) Combustion chamber design.
    (6) Nominal bore and stroke.
    (7) Method of control for engine operation other than governing 
(i.e., mechanical or electronic).
    (8) Original engine manufacturer.
    (c) Alternatively, you may ask us to allow you to include other 
engine configurations in your engine family, consistent with good 
engineering judgment.
    (d) Do not include in your family any configurations for which good 
engineering judgment indicates that your emission controls are unlikely 
to provide PM emission reductions similar to the configuration(s) 
tested.

[[Page 685]]



Sec.  1042.850  Exemptions and hardship relief.

    This section describes exemption and hardship provisions that are 
available for owner/operators of engine subject to the provisions of 
this subpart.
    (a) Vessels owned and operated by entities that meet the size 
criterion of this paragraph (a) are exempt from the requirements of this 
subpart I. To be exempt, your gross annual revenue for the calendar year 
before the remanufacture must be less than $5,000,000 in 2008 dollars or 
the equivalent value for future years based on the Bureau of Labor 
Statistics' Producer Price Index (see www.bls.gov). Include all revenues 
from any parent company and its subsidiaries. The exemption applies only 
for years in which you meet this criterion.
    (b) In unusual circumstances, we may exempt you from an otherwise 
applicable requirement that you apply a certified remanufacturing system 
when remanufacturing your marine engine.
    (1) To be eligible, you must demonstrate that all of the following 
are true:
    (i) Unusual circumstances prevent you from meeting requirements from 
this chapter.
    (ii) You have taken all reasonable steps to minimize the extent of 
the nonconformity.
    (iii) Not having the exemption will jeopardize the solvency of your 
company.
    (iv) No other allowances are available under the regulations in this 
chapter to avoid the impending violation.
    (2) Send the Designated Compliance Officer a written request for an 
exemption before you are in violation.
    (3) We may impose other conditions, including provisions to use an 
engine meeting less stringent emission standards or to recover the lost 
environmental benefit.
    (4) In determining whether to grant the exemptions, we will consider 
all relevant factors, including the following:
    (i) The number of engines to be exempted.
    (ii) The size of your company and your ability to endure the 
hardship.
    (iii) The length of time a vessel is expected to remain in service.
    (c) If you believe that a remanufacturing system that we identified 
as being available cannot be installed without significant modification 
of your vessel, you may ask us to determine that a remanufacturing 
system is not considered available for your vessel because the cost 
would be excessive.



          Subpart J_Definitions and Other Reference Information



Sec.  1042.901  Definitions.

    The following definitions apply to this part. The definitions apply 
to all subparts unless we note otherwise. All undefined terms have the 
meaning the Clean Air Act gives to them. The definitions follow:
    Adjustable parameter means any device, system, or element of design 
that someone can adjust (including those which are difficult to access) 
and that, if adjusted, may affect emissions or engine performance during 
emission testing or normal in-use operation. This includes, but is not 
limited to, parameters related to injection timing and fueling rate. You 
may ask us to exclude a parameter that is difficult to access if it 
cannot be adjusted to affect emissions without significantly degrading 
engine performance, or if you otherwise show us that it will not be 
adjusted in a way that affects emissions during in-use operation.
    Aftertreatment means relating to a catalytic converter, particulate 
filter, or any other system, component, or technology mounted downstream 
of the exhaust valve (or exhaust port) whose design function is to 
decrease emissions in the engine exhaust before it is exhausted to the 
environment. Exhaust-gas recirculation and turbochargers are not 
aftertreatment.
    Amphibious vehicle means a vehicle with wheels or tracks that is 
designed primarily for operation on land and secondarily for operation 
in water.
    Annex VI Technical Code means the ``Technical Code on Control of 
Emission of Nitrogen Oxides from Marine Diesel Engines, 1997,'' adopted 
by the International Maritime Organization (incorporated by reference in 
Sec.  1042.910).
    Applicable emission standard or applicable standard means an 
emission standard to which an engine is subject;

[[Page 686]]

or, where an engine has been or is being certified to another standard 
or FEL, applicable emission standards means the FEL and other standards 
to which the engine has been or is being certified. This definition does 
not apply to subpart H of this part.
    Auxiliary emission control device means any element of design that 
senses temperature, vessel speed, engine RPM, transmission gear, or any 
other parameter for the purpose of activating, modulating, delaying, or 
deactivating the operation of any part of the emission control system.
    Base engine means a land-based engine to be marinized, as configured 
prior to marinization.
    Baseline emissions has the meaning given in Sec.  1042.825.
    Brake power means the usable power output of the engine, not 
including power required to fuel, lubricate, or heat the engine, 
circulate coolant to the engine, or to operate aftertreatment devices.
    Calibration means the set of specifications and tolerances specific 
to a particular design, version, or application of a component or 
assembly capable of functionally describing its operation over its 
working range.
    Carryover means the process of obtaining a certificate for one model 
year using the same test data from the preceding model year, as 
described in Sec.  1042.235(d). This generally requires that the 
locomotives in the engine family do not differ in any aspect related to 
emissions.
    Category 1 means relating to a marine engine with specific engine 
displacement below 7.0 liters per cylinder.
    Category 2 means relating to a marine engine with a specific engine 
displacement at or above 7.0 liters per cylinder but less than 30.0 
liters per cylinder.
    Category 3 means relating to a marine engine with a specific engine 
displacement at or above 30.0 liters per cylinder.
    Certification means relating to the process of obtaining a 
certificate of conformity for an engine family that complies with the 
emission standards and requirements in this part.
    Certified emission level means the highest deteriorated emission 
level in an engine family for a given pollutant from either transient or 
steady-state testing.
    Clean Air Act means the Clean Air Act, as amended, 42 U.S.C. 7401-
7671q.
    Commercial means relating to an engine or vessel that is not a 
recreational marine engine or a recreational vessel.
    Compression-ignition means relating to a type of reciprocating, 
internal-combustion engine that is not a spark-ignition engine. Note 
that marine engines powered by natural gas with maximum engine power at 
or above 250 kW are deemed to be compression-ignition engines in Sec.  
1042.1.
    Constant-speed engine means an engine whose certification is limited 
to constant-speed operation. Engines whose constant-speed governor 
function is removed or disabled are no longer constant-speed engines.
    Constant-speed operation has the meaning given in 40 CFR 1065.1001.
    Crankcase emissions means airborne substances emitted to the 
atmosphere from any part of the engine crankcase's ventilation or 
lubrication systems. The crankcase is the housing for the crankshaft and 
other related internal parts.
    Critical emission-related component means any of the following 
components:
    (1) Electronic control units, aftertreatment devices, fuel-metering 
components, EGR-system components, crankcase-ventilation valves, all 
components related to charge-air compression and cooling, and all 
sensors and actuators associated with any of these components.
    (2) Any other component whose primary purpose is to reduce 
emissions.
    Days means calendar days, unless otherwise specified. For example, 
where we specify working days, we mean calendar days excluding weekends 
and U.S. national holidays.
    Designated Compliance Officer means the Manager, Heavy-Duty and 
Nonroad Engine Group (6403-J), U.S. Environmental Protection Agency, 
1200 Pennsylvania Ave., NW., Washington, DC 20460.
    Deteriorated emission level means the emission level that results 
from applying the appropriate deterioration factor to the official 
emission result of the emission-data engine.

[[Page 687]]

    Deterioration factor means the relationship between emissions at the 
end of useful life and emissions at the low-hour test point (or between 
highest and lowest emission levels, if applicable), expressed in one of 
the following ways:
    (1) For multiplicative deterioration factors, the ratio of emissions 
at the end of useful life to emissions at the low-hour test point.
    (2) For additive deterioration factors, the difference between 
emissions at the end of useful life and emissions at the low-hour test 
point.
    Diesel fuel has the meaning given in 40 CFR 80.2. This generally 
includes No. 1 and No. 2 petroleum diesel fuels and biodiesel fuels.
    Discrete-mode means relating to the discrete-mode type of steady-
state test described in Sec.  1042.505.
    Emission control system means any device, system, or element of 
design that controls or reduces the emissions of regulated pollutants 
from an engine.
    Emission-data engine means an engine that is tested for 
certification. This includes engines tested to establish deterioration 
factors.
    Emission-related maintenance means maintenance that substantially 
affects emissions or is likely to substantially affect emission 
deterioration.
    Engine has the meaning given in 40 CFR 1068.30. This includes 
complete and partially complete engines.
    Engine configuration means a unique combination of engine hardware 
and calibration within an engine family. Engines within a single engine 
configuration differ only with respect to normal production variability.
    Engine family has the meaning given in Sec.  1042.230.
    Engine manufacturer means a manufacturer of an engine. See the 
definition of ``manufacturer'' in this section.
    Engineering analysis means a summary of scientific and/or 
engineering principles and facts that support a conclusion made by a 
manufacturer, with respect to compliance with the provisions of this 
part.
    Excluded means relating to an engine that either:
    (1) Has been determined not to be a nonroad engine, as specified in 
40 CFR 1068.30; or
    (2) Is a nonroad engine that, according to Sec.  1042.5, is not 
subject to this part 1042.
    Exempted has the meaning given in 40 CFR 1068.30.
    Exhaust-gas recirculation means a technology that reduces emissions 
by routing exhaust gases that had been exhausted from the combustion 
chamber(s) back into the engine to be mixed with incoming air before or 
during combustion. The use of valve timing to increase the amount of 
residual exhaust gas in the combustion chamber(s) that is mixed with 
incoming air before or during combustion is not considered exhaust-gas 
recirculation for the purposes of this part.
    Family emission limit (FEL) means an emission level declared by the 
manufacturer to serve in place of an otherwise applicable emission 
standard under the ABT program in subpart H of this part. The family 
emission limit must be expressed to the same number of decimal places as 
the emission standard it replaces. The family emission limit serves as 
the emission standard for the engine family with respect to all required 
testing.
    Freshly manufactured marine engine means a new marine engine that 
has not been remanufactured. An engine becomes freshly manufactured when 
it is originally manufactured.
    Foreign vessel means a vessel of foreign registry or a vessel 
operated under the authority of a country other than the United States.
    Fuel system means all components involved in transporting, metering, 
and mixing the fuel from the fuel tank to the combustion chamber(s), 
including the fuel tank, fuel tank cap, fuel pump, fuel filters, fuel 
lines, carburetor or fuel-injection components, and all fuel-system 
vents.
    Fuel type means a general category of fuels such as gasoline, diesel 
fuel, residual fuel, or natural gas. There can be multiple grades within 
a single fuel type, such as high-sulfur or low-sulfur diesel fuel.
    Good engineering judgment has the meaning given in 40 CFR 1068.30. 
See 40 CFR 1068.5 for the administrative process we use to evaluate good 
engineering judgment.

[[Page 688]]

    Green Engine Factor means a factor that is applied to emission 
measurements from a Category 2 engine that has had little or no service 
accumulation. The Green Engine Factor adjusts emission measurements to 
be equivalent to emission measurements from an engine that has had 
approximately 300 hours of use.
    High-sulfur diesel fuel means one of the following:
    (1) For in-use fuels, high-sulfur diesel fuel means a diesel fuel 
with a maximum sulfur concentration above 500 parts per million.
    (2) For testing, high-sulfur diesel fuel has the meaning given in 40 
CFR part 1065.
    Hydrocarbon (HC) means the hydrocarbon group on which the emission 
standards are based for each fuel type, as described in Sec.  
1042.101(d).
    Identification number means a unique specification (for example, a 
model number/serial number combination) that allows someone to 
distinguish a particular engine from other similar engines.
    Low-hour means relating to an engine that has stabilized emissions 
and represents the undeteriorated emission level. This would generally 
involve less than 125 hours of operation for engines below 560 kW and 
less than 300 hours for engines at or above 560 kW.
    Low-sulfur diesel fuel means one of the following:
    (1) For in-use fuels, low-sulfur diesel fuel means a diesel fuel 
market as low-sulfur diesel fuel having a maximum sulfur concentration 
of 500 parts per million.
    (2) For testing, low-sulfur diesel fuel has the meaning given in 40 
CFR part 1065.
    Manufacture means the physical and engineering process of designing, 
constructing, and assembling an engine or a vessel.
    Manufacturer has the meaning given in section 216(1) of the Clean 
Air Act (42 U.S.C. 7550(1)). In general, this term includes any person 
who manufactures an engine or vessel for sale in the United States or 
otherwise introduces a new marine engine into U.S. commerce. This 
includes importers who import engines or vessels for resale. It also 
includes post-manufacture marinizers, but not dealers. All manufacturing 
entities under the control of the same person are considered to be a 
single manufacturer.
    Marine engine means a nonroad engine that is installed or intended 
to be installed on a marine vessel. This includes a portable auxiliary 
marine engine only if its fueling, cooling, or exhaust system is an 
integral part of the vessel. A fueling system is considered integral to 
the vessel only if one or more essential elements are permanently 
affixed to the vessel. There are two kinds of marine engines:
    (1) Propulsion marine engine means a marine engine that moves a 
vessel through the water or directs the vessel's movement.
    (2) Auxiliary marine engine means a marine engine not used for 
propulsion.
    Marine vessel has the meaning given in 1 U.S.C. 3, except that it 
does not include amphibious vehicles. The definition in 1 U.S.C. 3 very 
broadly includes every craft capable of being used as a means of 
transportation on water.
    Maximum engine power has the meaning given in Sec.  1042.140.
    Maximum test power means the power output observed at the maximum 
test speed with the maximum fueling rate possible.
    Maximum test speed has the meaning given in 40 CFR 1065.1001.
    Maximum test torque has the meaning given in 40 CFR 1065.1001.
    Model year means one of the following things:
    (1) For freshly manufactured marine engines (see definition of ``new 
marine engine,'' paragraph (1)), model year means one of the following:
    (i) Calendar year.
    (ii) Your annual new model production period if it is different than 
the calendar year. This must include January 1 of the calendar year for 
which the model year is named. It may not begin before January 2 of the 
previous calendar year and it must end by December 31 of the named 
calendar year.
    (2) For an engine that is converted to a marine engine after 
originally being placed into service as a motor-vehicle engine, a 
nonroad engine that is not a marine engine, or a stationary engine, 
model year means the calendar year in which the engine was converted 
(see

[[Page 689]]

definition of ``new marine engine,'' paragraph (2)).
    (3) For a marine engine excluded under Sec.  1042.5 that is later 
converted to operate in an application that is not excluded, model year 
means the calendar year in which the engine was converted (see 
definition of ``new marine engine, (paragraph (3)).
    (4) For engines that are not freshly manufactured but are installed 
in new vessels, model year means the calendar year in which the engine 
is installed in the new vessel (see definition of ``new marine engine,'' 
paragraph (4)).
    (5) For imported engines:
    (i) For imported engines described in paragraph (5)(i) of the 
definition of ``new marine engine,'' model year has the meaning given in 
paragraphs (1) through (4) of this definition.
    (ii) For imported engines described in paragraph (5)(ii) of the 
definition of new marine engine,'' model year means the calendar year in 
which the engine is modified.
    (iii) For imported engines described in paragraph (5)(iii) of the 
definition of ``new marine engine,'' model year means the calendar year 
in which the importation occurs.
    (6) For freshly manufactured vessels, model year means the calendar 
year in which the keel is laid or the vessel is at a similar stage of 
construction. For vessels that become new as a result of substantial 
modifications, model year means the calendar year in which the 
modifications physically begin.
    (7) For remanufactured engines, model year means the calendar year 
in which the remanufacture takes place.
    Motor vehicle has the meaning given in 40 CFR 85.1703(a).
    New marine engine means any of the following things:
    (1) A freshly manufactured marine engine for which the ultimate 
purchaser has never received the equitable or legal title. This kind of 
engine might commonly be thought of as ``brand new.'' In the case of 
this paragraph (1), the engine is new from the time it is produced until 
the ultimate purchaser receives the title or the product is placed into 
service, whichever comes first.
    (2) An engine intended to be installed in a vessel that was 
originally manufactured as a motor-vehicle engine, a nonroad engine that 
is not a marine engine, or a stationary engine. In this case, the engine 
is no longer a motor-vehicle, nonmarine, or stationary engine and 
becomes a ``new marine engine.'' The engine is no longer new when it is 
placed into marine service.
    (3) A marine engine that has been previously placed into service in 
an application we exclude under Sec.  1042.5, where that engine is 
installed in a vessel that is covered by this part 1042. The engine is 
no longer new when it is placed into marine service covered by this part 
1042. For example, this would apply to an engine that is no longer used 
in a foreign vessel.
    (4) An engine not covered by paragraphs (1) through (3) of this 
definition that is intended to be installed in a new vessel. The engine 
is no longer new when the ultimate purchaser receives a title for the 
vessel or it is placed into service, whichever comes first. This 
generally includes installation of used engines in new vessels.
    (5) A remanufactured marine engine. An engine becomes new when it is 
remanufactured (as defined in this section) and ceases to be new when 
placed back into service.
    (6) An imported marine engine, subject to the following provisions:
    (i) An imported marine engine covered by a certificate of conformity 
issued under this part that meets the criteria of one or more of 
paragraphs (1) through (4) of this definition, where the original engine 
manufacturer holds the certificate, is new as defined by those 
applicable paragraphs.
    (ii) An imported remanufactured engine that would have been required 
to be certified if it had been remanufactured in the United States.
    (iii) An imported engine that will be covered by a certificate of 
conformity issued under this part, where someone other than the original 
engine manufacturer holds the certificate (such as when the engine is 
modified after its initial assembly), is a new marine engine when it is 
imported. It is no longer new when the ultimate purchaser receives a 
title for the engine or it is placed into service, whichever comes 
first.

[[Page 690]]

    (iv) An imported marine engine that is not covered by a certificate 
of conformity issued under this part at the time of importation is new, 
but only if it was produced on or after the dates shown in the following 
table. This addresses uncertified engines and vessels initially placed 
into service that someone seeks to import into the United States. 
Importation of this kind of engine (or vessel containing such an engine) 
is generally prohibited by 40 CFR part 1068.

                   Applicability of Emission Standards for Compression-Ignition Marine Engines
----------------------------------------------------------------------------------------------------------------
                                                                                                   Initial model
                                                                       Per-cylinder displacement      year of
        Engine category and type                  Power (kW)                    (L/cyl)              emission
                                                                                                     standards
----------------------------------------------------------------------------------------------------------------
Category 1..............................  P < 19....................  All.......................            2000
Category 1..............................  19 <= P < 37..............  All.......................            1999
Category 1, Recreational................  P = 37.........  disp. < 0.9...............            2007
Category 1, Recreational................  All.......................  0.9 <= disp. < 2.5........            2006
Category 1, Recreational................  All.......................  disp. = 2.5....            2004
Category 1, Commercial..................  P = 37.........  disp. < 0.9...............            2005
Category 1, Commercial..................  All.......................  disp. [gteqt] 0.9.........            2004
Category 2 and 3........................  All.......................  disp. = 5.0....            2004
----------------------------------------------------------------------------------------------------------------

    New vessel means any of the following:
    (1) A vessel for which the ultimate purchaser has never received the 
equitable or legal title. The vessel is no longer new when the ultimate 
purchaser receives this title or it is placed into service, whichever 
comes first.
    (2) For vessels with no Category 3 engines, a vessel that has been 
modified such that the value of the modifications exceeds 50 percent of 
the value of the modified vessel, excluding temporary modifications (as 
defined in this section). The value of the modification is the 
difference in the assessed value of the vessel before the modification 
and the assessed value of the vessel after the modification. The vessel 
is no longer new when it is placed into service. Use the following 
equation to determine if the fractional value of the modification 
exceeds 50 percent:

Percent of value = [(Value after modification)-(Value before 
modification)] x 100% / (Value after modification)

    (3) For vessels with Category 3 engines, a vessel that has undergone 
a modification that substantially alters the dimensions or carrying 
capacity of the vessel, changes the type of vessel, or substantially 
prolongs the vessel's life.
    (4) An imported vessel that has already been placed into service, 
where it has an engine not covered by a certificate of conformity issued 
under this part at the time of importation that was manufactured after 
the requirements of this part start to apply (see Sec.  1042.1).
    Noncompliant engine means an engine that was originally covered by a 
certificate of conformity but is not in the certified configuration or 
otherwise does not comply with the conditions of the certificate.
    Nonconforming engine means an engine not covered by a certificate of 
conformity that would otherwise be subject to emission standards.
    Nonmethane hydrocarbon has the meaning given in 40 CFR 1065.1001. 
This generally means the difference between the emitted mass of total 
hydrocarbons and the emitted mass of methane.
    Nonroad means relating to nonroad engines, or vessels, or equipment 
that include nonroad engines.
    Nonroad engine has the meaning given in 40 CFR 1068.30. In general, 
this means all internal-combustion engines except motor vehicle engines, 
stationary engines, engines used solely for competition, or engines used 
in aircraft.
    Official emission result means the measured emission rate for an 
emission-data engine on a given duty cycle before the application of any 
deterioration factor, but after the applicability of regeneration 
adjustment factors.
    Operator demand has the meaning given in 40 CFR 1065.1001.

[[Page 691]]

    Owners manual means a document or collection of documents prepared 
by the engine manufacturer for the owner or operator to describe 
appropriate engine maintenance, applicable warranties, and any other 
information related to operating or keeping the engine. The owners 
manual is typically provided to the ultimate purchaser at the time of 
sale. The owners manual may be in paper or electronic format.
    Oxides of nitrogen has the meaning given in 40 CFR 1065.1001.
    Particulate trap means a filtering device that is designed to 
physically trap particulate matter above a certain size.
    Passenger means a person that provides payment as a condition of 
boarding a vessel. This does not include the owner or any paid crew 
members.
    Placed into service means put into initial use for its intended 
purpose.
    Point of first retail sale means the location at which the initial 
retail sale occurs. This generally means a vessel dealership or 
manufacturing facility, but may also include an engine seller or 
distributor in cases where loose engines are sold to the general public 
for uses such as replacement engines.
    Post-manufacture marinizer means an entity that produces a marine 
engine by modifying a non-marine engine, whether certified or 
uncertified, complete or partially complete, where the entity is not 
controlled by the manufacturer of the base engine or by an entity that 
also controls the manufacturer of the base engine. In addition, vessel 
manufacturers that substantially modify marine engines are post-
manufacture marinizers. For the purpose of this definition, 
``substantially modify'' means changing an engine in a way that could 
change engine emission characteristics.
    Power density has the meaning given in Sec.  1042.140.
    Ramped-modal means relating to the ramped-modal type of steady-state 
test described in Sec.  1042.505.
    Rated speed means the maximum full-load governed speed for governed 
engines and the speed of maximum power for ungoverned engines.
    Recreational marine engine means a Category 1 propulsion marine 
engine that is intended by the manufacturer to be installed on a 
recreational vessel.
    Recreational vessel means a vessel that is intended by the vessel 
manufacturer to be operated primarily for pleasure or leased, rented or 
chartered to another for the latter's pleasure. However, this does not 
include the following vessels:
    (1) Vessels below 100 gross tons that carry more than 6 passengers.
    (2) Vessels at or above 100 gross tons that carry one or more 
passengers.
    (3) Vessels used solely for competition (see Sec.  1042.620).
    Remanufacture means to replace every cylinder liner in a commercial 
engine with maximum engine power at or above 600 kW, whether during a 
single maintenance event or cumulatively within a five-year period. For 
the purpose of this definition, ``replace'' includes removing, 
inspecting, and requalifying a liner. Rebuilding a recreational engine 
or an engine with maximum engine power below 600 kW is not 
remanufacturing.
    Remanufacture system or remanufacturing system means all components 
(or specifications for components) and instructions necessary to 
remanufacture an engine in accordance with applicable requirements of 
this part 1042.
    Remanufacturer has the meaning given to ``manufacturer'' in section 
216(1) of the Clean Air Act (42 U.S.C. 7550(1)) with respect to 
remanufactured marine engines. This term includes any person that is 
engaged in the manufacture or assembly of remanufactured engines, such 
as persons who:
    (1) Design or produce the emission-related parts used in 
remanufacturing.
    (2) Install parts in or on an existing engine to remanufacture it.
    (3) Own or operate the engine and provide specifications as to how 
an engine is to be remanufactured (i.e., specifying who will perform the 
work, when the work is to be performed, what parts are to be used, or 
how to calibrate the adjustable parameters of the engine).
    Residual fuel has the meaning given in 40 CFR 80.2. This generally 
includes all RM grades of marine fuel without regard to whether they are 
known commercially as residual fuel. For example, fuel marketed as 
intermediate fuel may be residual fuel.

[[Page 692]]

    Revoke has the meaning given in 40 CFR 1068.30. In general this 
means to terminate the certificate or an exemption for an engine family.
    Round has the meaning given in 40 CFR 1065.1001.
    Scheduled maintenance means adjusting, repairing, removing, 
disassembling, cleaning, or replacing components or systems periodically 
to keep a part or system from failing, malfunctioning, or wearing 
prematurely. It also may mean actions you expect are necessary to 
correct an overt indication of failure or malfunction for which periodic 
maintenance is not appropriate.
    Small volume boat builder means a boat manufacturer with fewer than 
500 employees and with annual worldwide production of fewer than 100 
boats. For manufacturers owned by a parent company, these limits apply 
to the combined production and number of employees of the parent company 
and all its subsidiaries.
    Small-volume engine manufacturer means a manufacturer with annual 
worldwide production of fewer than 1,000 internal combustion engines 
(marine and nonmarine). For manufacturers owned by a parent company, the 
limit applies to the production of the parent company and all its 
subsidiaries.
    Spark-ignition 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.
    Specified adjustable range means a range of adjustment for an 
adjustable parameter that is approved as part of certification. Note 
that Category 1 engines must comply with emission standards over the 
full physically adjustable range for any adjustable parameters.
    Steady-state has the meaning given in 40 CFR 1065.1001.
    Sulfur-sensitive technology means an emission control technology 
that experiences a significant drop in emission control performance or 
emission-system durability when an engine is operated on low-sulfur fuel 
(i.e., fuel with a sulfur concentration of 300 to 500 ppm) as compared 
to when it is operated on ultra low-sulfur fuel (i.e., fuel with a 
sulfur concentration less than 15 ppm). Exhaust-gas recirculation is not 
a sulfur-sensitive technology.
    Suspend has the meaning given in 40 CFR 1068.30. In general this 
means to temporarily discontinue the certificate or an exemption for an 
engine family.
    Temporary modification means a modification to a vessel based on a 
written contract for marine services such that the modifications will be 
removed from the vessel when the contract expires. This provision is 
intended to address short-term contracts that would generally be less 
than 12 months in duration. You may ask us to consider modifications 
that will be in place longer than 12 months as temporary modifications.
    Test engine means an engine in a test sample.
    Test sample means the collection of engines selected from the 
population of an engine family for emission testing. This may include 
testing for certification, production-line testing, or in-use testing.
    Tier 1 means relating to the Tier 1 emission standards, as shown in 
Appendix I.
    Tier 2 means relating to the Tier 2 emission standards, as shown in 
Appendix I.
    Tier 3 means relating to the Tier 3 emission standards, as shown in 
Sec.  1042.101.
    Tier 4 means relating to the Tier 4 emission standards, as shown in 
Sec.  1042.101.
    Total hydrocarbon has the meaning given in 40 CFR 1065.1001. This 
generally means the combined mass of organic compounds measured by the 
specified procedure for measuring total hydrocarbon, expressed as a 
hydrocarbon with an atomic hydrogen-to-carbon ratio of 1.85:1.
    Total hydrocarbon equivalent has the meaning given in 40 CFR 
1065.1001. This generally means the sum of the carbon mass contributions 
of non-oxygenated hydrocarbons, alcohols and aldehydes, or other organic 
compounds that are measured separately as contained in a

[[Page 693]]

gas sample, expressed as exhaust hydrocarbon from petroleum-fueled 
locomotives. The hydrogen-to-carbon ratio of the equivalent hydrocarbon 
is 1.85:1.
    Ultimate purchaser means, with respect to any new vessel or new 
marine engine, the first person who in good faith purchases such new 
vessel or new marine engine for purposes other than resale.
    Ultra low-sulfur diesel fuel means one of the following:
    (1) For in-use fuels, ultra low-sulfur diesel fuel means a diesel 
fuel marketed as ultra low-sulfur diesel fuel having a maximum sulfur 
concentration of 15 parts per million.
    (2) For testing, ultra low-sulfur diesel fuel has the meaning given 
in 40 CFR part 1065.
    United States has the meaning given in 40 CFR 1068.30.
    Upcoming model year means for an engine family the model year after 
the one currently in production.
    U.S.-directed production volume means the number of engine 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 means the period during which the engine is designed to 
properly function in terms of reliability and fuel consumption, without 
being remanufactured, specified as a number of hours of operation or 
calendar years, whichever comes first. It is the period during which a 
new engine is required to comply with all applicable emission standards. 
See Sec.  1042.101(e).
    Variable-speed engine means an engine that is not a constant-speed 
engine.
    Vessel means a marine vessel.
    Vessel operator means any individual that physically operates or 
maintains a vessel or exercises managerial control over the operation of 
the vessel.
    Vessel owner means the individual or company that holds legal title 
to a vessel.
    Void has the meaning given in 40 CFR 1068.30. In general this means 
to invalidate a certificate or an exemption both retroactively and 
prospectively.
    Volatile liquid fuel means any fuel other than diesel fuel or 
biodiesel that is a liquid at atmospheric pressure and has a Reid Vapor 
Pressure higher than 2.0 pounds per square inch.
    We (us, our) means the Administrator of the Environmental Protection 
Agency and any authorized representatives.



Sec.  1042.905  Symbols, acronyms, and abbreviations.

    The following symbols, acronyms, and abbreviations apply to this 
part:

ABT Averaging, banking, and trading.
AECD auxiliary-emission control device.
CFR Code of Federal Regulations.
CO carbon monoxide.
CO2 carbon dioxide.
cyl cylinder.
disp. displacement.
EPA Environmental Protection Agency.
FEL Family Emission Limit.
g grams.
HC hydrocarbon.
hr hours.
kPa kilopascals.
kW kilowatts.
L liters.
LTR Limited Testing Region.
NARA National Archives and Records Administration.
NMHC nonmethane hydrocarbons.
NOX oxides of nitrogen (NO and NO2).
NTE not-to-exceed.
PM particulate matter.
RPM revolutions per minute.
SAE Society of Automotive Engineers.
SCR selective catalytic reduction.
THC total hydrocarbon.
THCE total hydrocarbon equivalent.
ULSD ultra low-sulfur diesel fuel.
U.S.C. United States Code.



Sec.  1042.910  Reference materials.

    Documents listed in this section have been incorporated by reference 
into this part. The Director of the Federal Register approved the 
incorporation by reference as prescribed in 5 U.S.C. 552(a) and 1 CFR 
part 51. Anyone may inspect copies at the U.S. EPA, Air and Radiation 
Docket and Information Center, 1301 Constitution Ave., NW., Room B102, 
EPA West Building, Washington, DC 20460 or at the National Archives and 
Records Administration (NARA). For information on the availability of 
this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html.
    (a) SAE material. Table 1 to this section lists material from the 
Society of

[[Page 694]]

Automotive Engineers that we have incorporated by reference. The first 
column lists the number and name of the material. The second column 
lists the sections of this part where we reference it. Anyone may 
purchase copies of these materials from the Society of Automotive 
Engineers, 400 Commonwealth Drive, Warrendale, PA 15096 or www.sae.org. 
Table 1 follows:

                Table 1 to Sec.  1042.910.--SAE Materials
------------------------------------------------------------------------
                                                             Part 1042
                 Document  No. and name                      reference
------------------------------------------------------------------------
SAE J1930, Electrical/Electronic Systems Diagnostic             1042.135
 Terms, Definitions, Abbreviations, and Acronyms,
 revised May 1998.......................................
------------------------------------------------------------------------

    (b) IMO material. Table 2 to this section lists material from the 
International Maritime Organization that we have incorporated by 
reference. The first column lists the number and name of the material. 
The second column lists the section of this part where we reference it. 
Anyone may purchase copies of these materials from the International 
Maritime Organization, 4 Albert Embankment, London SE1 7SR, United 
Kingdom or www.imo.org. Table 2 follows:

                Table 2 to Sec.  1042.910.--IMO Materials
------------------------------------------------------------------------
                                                             Part 1042
                  Document No. and name                      reference
------------------------------------------------------------------------
Resolutions of the 1997 MARPOL Conference: Resolution 2--       1042.901
 Technical Code on Control of Emission of Nitrogen
 Oxides from Marine Diesel Engines, 1997................
------------------------------------------------------------------------



Sec.  1042.915  Confidential information.

    (a) Clearly show what you consider confidential by marking, 
circling, bracketing, stamping, or some other method.
    (b) We will store your confidential information as described in 40 
CFR part 2. Also, we will disclose it only as specified in 40 CFR part 
2. This applies both to any information you send us and to any 
information we collect from inspections, audits, or other site visits.
    (c) If you send us a second copy without the confidential 
information, we will assume it contains nothing confidential whenever we 
need to release information from it.
    (d) If you send us information without claiming it is confidential, 
we may make it available to the public without further notice to you, as 
described in 40 CFR 2.204.



Sec.  1042.920  Hearings.

    (a) You may request a hearing under certain circumstances, as 
described elsewhere in this part. To do this, you must file a written 
request, including a description of your objection and any supporting 
data, within 30 days after we make a decision.
    (b) For a hearing you request under the provisions of this part, we 
will approve your request if we find that your request raises a 
substantial factual issue.
    (c) If we agree to hold a hearing, we will use the procedures 
specified in 40 CFR part 1068, subpart G.



Sec.  1042.925  Reporting and recordkeeping requirements.

    Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), the 
Office of Management and Budget approves the reporting and recordkeeping 
specified in the applicable regulations. The following items illustrate 
the kind of reporting and recordkeeping we require for engines regulated 
under this part:
    (a) We specify the following requirements related to engine 
certification in this part 1042:
    (1) In Sec. 1042.135 we require engine manufacturers to keep certain 
records related to duplicate labels sent to vessel manufacturers.
    (2) In Sec. 1042.145 we state the requirements for interim 
provisions.
    (3) In subpart C of this part we identify a wide range of 
information required to certify engines.
    (4) In Sec. Sec. 1042.345 and 1042.350 we specify certain records 
related to production-line testing.
    (5) In subpart G of this part we identify several reporting and 
recordkeeping items for making demonstrations and getting approval 
related to various special compliance provisions.
    (6) In Sec. Sec. 1042.725, 1042.730, and 1042.735 we specify certain 
records related to averaging, banking, and trading.
    (7) In subpart I of this part we specify certain records related to 
meeting requirements for remanufactured engines.

[[Page 695]]

    (b) We specify the following requirements related to testing in 40 
CFR part 1065:
    (1) In 40 CFR 1065.2 we give an overview of principles for reporting 
information.
    (2) In 40 CFR 1065.10 and 1065.12 we specify information needs for 
establishing various changes to published test procedures.
    (3) In 40 CFR 1065.25 we establish basic guidelines for storing test 
information.
    (4) In 40 CFR 1065.695 we identify data that may be appropriate for 
collecting during testing of in-use engines using portable analyzers.
    (c) We specify the following requirements related to the general 
compliance provisions in 40 CFR part 1068:
    (1) In 40 CFR 1068.5 we establish a process for evaluating good 
engineering judgment related to testing and certification.
    (2) In 40 CFR 1068.25 we describe general provisions related to 
sending and keeping information.
    (3) In 40 CFR 1068.27 we require manufacturers to make engines 
available for our testing or inspection if we make such a request.
    (4) In 40 CFR 1068.105 we require vessel manufacturers to keep 
certain records related to duplicate labels from engine manufacturers.
    (5) In 40 CFR 1068.120 we specify recordkeeping related to 
rebuilding engines.
    (6) In 40 CFR part 1068, subpart C, we identify several reporting 
and recordkeeping items for making demonstrations and getting approval 
related to various exemptions.
    (7) In 40 CFR part 1068, subpart D, we identify several reporting 
and recordkeeping items for making demonstrations and getting approval 
related to importing engines.
    (8) In 40 CFR 1068.450 and 1068.455 we specify certain records 
related to testing production-line engines in a selective enforcement 
audit.
    (9) In 40 CFR 1068.501 we specify certain records related to 
investigating and reporting emission-related defects.
    (10) In 40 CFR 1068.525 and 1068.530 we specify certain records 
related to recalling nonconforming engines.



  Sec. Appendix I to Part 1042.--Summary of Previous Emission Standards

    The following standards apply to compression-ignition marine engines 
produced before the model years specified in Sec.  1042.1:
    (a) Engines below 37 kW. Tier 1 and Tier 2 standards for engines 
below 37 kW apply as specified in 40 CFR part 89 and summarized in the 
following table:

                  Table 1 to Appendix I.--Emission Standards for Engines Below 37 kW (g/kW-hr)
----------------------------------------------------------------------------------------------------------------
       Rated power (kW)               Tier          Model year      NMHC + NOX          CO              PM
----------------------------------------------------------------------------------------------------------------
kW<8..........................  Tier 1..........            2000            10.5             8.0            1.0
                                Tier 2..........            2005             7.5             8.0            0.80
8<=kW<19......................  Tier 1..........            2000             9.5             6.6            0.80
                                Tier 2..........            2005             7.5             6.6            0.80
19<=kW<37.....................  Tier 1..........            1999             9.5             5.5            0.8
                                Tier 2..........            2004             7.5             5.5            0.6
----------------------------------------------------------------------------------------------------------------

    (b) Engines at or above 37 kW. Tier 1 and Tier 2 standards for 
engines at or above 37 kW apply as specified in 40 CFR part 94 and 
summarized as follows:
    (1) Tier 1 standards. NOX emissions from model year 2004 
and later engines with displacement of 2.5 or more liters per cylinder 
may not exceed the following values:
    (i) 17.0 g/kW-hr when maximum test speed is less than 130 rpm.
    (ii) 45.0 x N-0.20 when maximum test speed is at or above 
130 but below 2000 rpm, where N is the maximum test speed of the engine 
in revolutions per minute. Round the calculated standard to the nearest 
0.1 g/kW-hr.
    (ii) 9.8 g/kW-hr when maximum test speed is 2000 rpm or more.
    (2) Tier 2 primary standards. Exhaust emissions may not exceed the 
values shown in the following table:

[[Page 696]]



          Table 2 to Appendix I.--Primary Tier 2 Emission Standards for Commercial and Recreational Marine Engines at or Above 37 kW (g/kW-hr)
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                    NOX + THC
       Engine size  liters/cylinder            Maximum engine power                Category           Model  year    g/kW-hr    CO  g/kW-hr  PM  g/kW-hr
--------------------------------------------------------------------------------------------------------------------------------------------------------
disp. < 0.9..............................  power [gteqt] 37 kW.........  Category 1 Commercial......         2005          7.5          5.0         0.40
                                                                         Category 1 Recreational....         2007          7.5          5.0         0.40
0.9 <= disp. < 1.2.......................  All.........................  Category 1 Commercial......         2004          7.2          5.0         0.30
                                                                         Category 1 Recreational....         2006          7.2          5.0         0.30
1.2 <= disp. < 2.5.......................  All.........................  Category 1 Commercial......         2004          7.2          5.0         0.20
                                                                         Category 1 Recreational....         2006          7.2          5.0         0.20
2.5 <= disp. < 5.0.......................  All.........................  Category 1 Commercial......         2007          7.2          5.0         0.20
                                                                         Category 1 Recreational....         2009          7.2          5.0         0.20
5.0 <= disp. < 15.0......................  All.........................  Category 2.................         2007          7.8          5.0         0.27
15.0 <= disp. < 20.0.....................  power < 3300 kW.............  Category 2.................         2007          8.7          5.0         0.50
                                           power [gteqt] 3300 kW.......  Category 2.................         2007          9.8          5.0         0.50
20.0 <= disp. < 25.0.....................  All.........................  Category 2.................         2007          9.8          5.0         0.50
25.0 <= disp. < 30.0.....................  All.........................  Category 2.................         2007           11          5.0          0.5
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (3) Tier 2 supplemental standards. Not-to-exceed emission standards 
apply for Tier 2 engines as specified in 40 CFR 94.8(e).



         Sec. Appendix II to Part 1042--Steady-State Duty Cycles

    (a) The following duty cycles apply as specified in Sec.  
1042.505(b)(1):
    (1) The following duty cycle applies for discrete-mode testing:

------------------------------------------------------------------------
                                            Percent of
    E3 mode No.       Engine speed \1\     maximum test      Weighting
                                               power          factors
------------------------------------------------------------------------
1.................  Maximum test speed..             100            0.2
2.................  91%.................              75            0.5
3.................  80%.................              50            0.15
4.................  63%.................              25            0.15 
------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065. Percent speed values
  are relative to maximum test speed.

    (2) The following duty cycle applies for ramped-modal testing:

----------------------------------------------------------------------------------------------------------------
                                           Time in mode
                RMC mode                     (seconds)         Engine speed 1, 3         Power (percent) 2, 3
----------------------------------------------------------------------------------------------------------------
1a Steady-state.........................             229  Maximum test speed........  100%.
1b Transition...........................              20  Linear transition.........  Linear transition in
                                                                                       torque.
2a Steady-state.........................             166  63%.......................  25%.
2b Transition...........................              20  Linear transition.........  Linear transition in
                                                                                       torque.
3a Steady-state.........................             570  91%.......................  75%.
3b Transition...........................              20  Linear transition.........  Linear transition in
                                                                                       torque.
4a Steady-state.........................             175  80%.......................  50%.
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065. Percent speed is relative to maximum test speed.
\2\ The percent power is relative to the maximum test power.
\3\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
  a linear progression from the torque setting of the current mode to the torque setting of the next mode, and
  simultaneously command a similar linear progression for engine speed if there is a change in speed setting.

    (b) The following duty cycles apply as specified in Sec.  
1042.505(b)(2):
    (1) The following duty cycle applies for discrete-mode testing:

------------------------------------------------------------------------
                                            Percent of
    E5 mode No.       Engine speed \1\     maximum test      Weighting
                                               power          factors
------------------------------------------------------------------------
1.................  Maximum test speed..             100            0.08
2.................  91%.................              75            0.13
3.................  80%.................              50            0.17
4.................  63%.................              25            0.32

[[Page 697]]

 
5.................  Warm idle...........               0            0.3
------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065. Percent speed values
  are relative to maximum test speed.

    (2) The following duty cycle applies for ramped-modal testing:

----------------------------------------------------------------------------------------------------------------
                                           Time in mode
                RMC mode                     (seconds)         Engine speed 1, 3         Power (percent) 2, 3
----------------------------------------------------------------------------------------------------------------
1a Steady-state.........................             167  Warm idle.................  0.
1b Transition...........................              20  Linear transition.........  Linear transition in
                                                                                       torque.
2a Steady-state.........................              85  Maximum test speed........  100%.
2b Transition...........................              20  Linear transition.........  Linear transition in
                                                                                       torque.
3a Steady-state.........................             354  63%.......................  25%.
3b Transition...........................              20  Linear transition.........  Linear transition in
                                                                                       torque.
4a Steady-state.........................             141  91%.......................  75%.
4b Transition...........................              20  Linear transition.........  Linear transition in
                                                                                       torque.
5a Steady-state.........................             182  80%.......................  50%.
5b Transition...........................              20  Linear transition.........  Linear transition in
                                                                                       torque.
6 Steady-state..........................             171  Warm idle.................  0.
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065. Percent speed is relative to maximum test speed.
\2\ The percent power is relative to the maximum test power.
\3\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
  a linear progression from the torque setting of the current mode to the torque setting of the next mode, and
  simultaneously command a similar linear progression for engine speed if there is a change in speed setting.

    (c) The following duty cycles apply as specified in Sec.  
1042.505(b)(3):
    (1) The following duty cycle applies for discrete-mode testing:

------------------------------------------------------------------------
                                              Torque         Weighting
    E2 mode No.       Engine speed \1\     (percent) \2\      factors
------------------------------------------------------------------------
1.................  Engine Governed.....             100            0.2
2.................  Engine Governed.....              75            0.5
3.................  Engine Governed.....              50            0.15
4.................  Engine Governed.....              25            0.15
------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum test torque as defined
  in 40 CFR part 1065.

    (2) The following duty cycle applies for ramped-modal testing:

----------------------------------------------------------------------------------------------------------------
                                           Time in mode
                RMC mode                     (seconds)           Engine speed           Torque  (percent) 1, 2
----------------------------------------------------------------------------------------------------------------
1a Steady-state.........................             234  Engine Governed...........  100%.
1b Transition...........................              20  Engine Governed...........  Linear transition.
2a Steady-state.........................             571  Engine Governed...........  25%.
2b Transition...........................              20  Engine Governed...........  Linear transition.
3a Steady-state.........................             165  Engine Governed...........  75%.
3b Transition...........................              20  Engine Governed...........  Linear transition.
4a Steady-state.........................             170  Engine Governed...........  50%.
----------------------------------------------------------------------------------------------------------------
\1\ The percent torque is relative to the maximum test torque as defined in 40 CFR part 1065.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
  a linear progression from the torque setting of the current mode to the torque setting of the next mode.

             Appendix III to Part 1042--Not-to-Exceed Zones

    (a) The following definitions apply for this Appendix III:
    (1) Percent power means the percentage of the maximum power achieved 
at Maximum Test Speed (or at Maximum Test Torque for constant-speed 
engines).
    (2) Percent speed means the percentage of Maximum Test Speed.
    (b) Figure 1 of this Appendix illustrates the default NTE zone for 
commercial marine engines certified using the duty cycle specified

[[Page 698]]

in Sec.  1042.505(b)(1), except for variable-speed propulsion marine 
engines used with controllable-pitch propellers or with electrically 
coupled propellers, as follows:
    (1) Subzone 1 is defined by the following boundaries:
    (i) Percent power = 0.7 [middot] (percent 
speed)2.5.
    (ii) Percent power <= (percent speed/0.9)3.5.
    (iii) Percent power = 3.0 [middot] (100%--percent speed).
    (2) Subzone 2 is defined by the following boundaries:
    (i) Percent power = 0.7 [middot] (percent 
speed)2.5.
    (ii) Percent power <= (percent speed/0.9)3.5.
    (iii) Percent power < 3.0 [middot] (100% - percent speed).
    (iv) Percent speed = 70 percent.
    [GRAPHIC] [TIFF OMITTED] TR06MY08.013
    
    (c) Figure 2 of this Appendix illustrates the default NTE zone for 
recreational marine engines certified using the duty cycle specified in 
Sec.  1042.505(b)(2), except for variable-speed marine engines used with 
controllable-pitch propellers or with electrically coupled propellers, 
as follows:
    (1) Subzone 1 is defined by the following boundaries:
    (i) Percent power = 0.7 [middot] (percent 
speed)2.5.
    (ii) Percent power <= (percent speed/0.9)3.5.
    (iii) Percent power = 3.0 [middot] (100%-percent speed).
    (iv) Percent power <= 95 percent.
    (2) Subzone 2 is defined by the following boundaries:
    (i) Percent power = 0.7 [middot] (percent 
speed)2.5.
    (ii) Percent power <= (percent speed/0.9)3.5.
    (iii) Percent power < 3.0 [middot] (100%-percent speed).
    (iv) Percent speed = 70 percent.
    (3) Subzone 3 is defined by the following boundaries:
    (i) Percent power <= (percent speed/0.9)3.5.
    (ii) Percent power  95 percent.

[[Page 699]]

[GRAPHIC] [TIFF OMITTED] TR06MY08.014

    (d) Figure 3 of this Appendix illustrates the default NTE zone for 
variable-speed marine engines used with controllable-pitch propellers or 
with electrically coupled propellers that are certified using the duty 
cycle specified in Sec.  1042.505(b)(1), (2), or (3), as follows:
    (1) Subzone 1 is defined by the following boundaries:
    (i) Percent power = 0.7 [middot] (percent 
speed)2.5.
    (ii) Percent power = 3.0 [middot] (100%-percent speed).
    (iii) Percent speed = 78.9 percent.
    (2) Subzone 2a is defined by the following boundaries:
    (i) Percent power = 0.7 [middot] (percent 
speed)2.5.
    (ii) Percent speed = 70 percent.
    (iii) Percent speed < 78.9 percent, for Percent power  
63.3 percent.
    (iv) Percent power < 3.0 [middot] (100%-percent speed), for Percent 
speed = 78.9 percent.
    (3) Subzone 2b is defined by the following boundaries:
    (i) The line formed by connecting the following two points on a plot 
of speed-vs.-power:
    (A) Percent speed = 70 percent; Percent power = 28.7 percent.
    (B) Percent speed = 40 percent at governed speed; Percent power = 40 
percent.
    (ii) Percent power < 0.7 [middot] (percent speed)2.5.

[[Page 700]]

[GRAPHIC] [TIFF OMITTED] TR06MY08.015

    (e) Figure 4 of this Appendix illustrates the default NTE zone for 
constant-speed engines certified using a duty cycle specified in Sec.  
1042.505(b)(3) or (b)(4), as follows:
    (1) Subzone 1 is defined by the following boundaries:
    (i) Percent power = 70 percent.
    (ii) [Reserved]
    (2) Subzone 2 is defined by the following boundaries:
    (i) Percent power < 70 percent.
    (ii) Percent power = 40 percent.

[[Page 701]]

[GRAPHIC] [TIFF OMITTED] TR06MY08.016

    (f) Figure 5 of this Appendix illustrates the default NTE zone for 
variable-speed auxiliary marine engines certified using the duty cycle 
specified in Sec.  1042.505(b)(5)(ii) or (iii), as follows:
    (1) The default NTE zone is defined by the boundaries specified in 
40 CFR 86.1370-2007(b)(1) and (2).
    (2) A special PM subzone is defined in 40 CFR 1039.515(b).

[[Page 702]]

[GRAPHIC] [TIFF OMITTED] TR06MY08.017



PART 1048_CONTROL OF EMISSIONS FROM NEW, LARGE NONROAD SPARK-IGNITION ENGINES--Table of Contents

                  Subpart A_Overview and Applicability

Sec.
1048.1 Does this part apply to me?
1048.5 Which engines are excluded from this part's requirements?
1048.10 How is this part organized?
1048.15 Do any other regulation parts affect me?
1048.20 What requirements from this part apply to excluded stationary 
          engines?

          Subpart B_Emission Standards and Related Requirements

1048.101 What exhaust emission standards must my engines meet?
1048.105 What evaporative emissions standards and requirements apply?
1048.110 How must my engines diagnose malfunctions?
1048.115 What other requirements must my engines meet?
1048.120 What warranty requirements apply to me?
1048.125 What maintenance instructions must I give to buyers?
1048.130 What installation instructions must I give to equipment 
          manufacturers?
1048.135 How must I label and identify the engines I produce?
1048.140 What are the provisions for certifying Blue Sky Series engines?
1048.145 Are there interim provisions that apply only for a limited 
          time?

                  Subpart C_Certifying Engine Families

1048.201 What are the general requirements for obtaining a certificate 
          of conformity?
1048.205 What must I include in my application?
1048.210 May I get preliminary approval before I complete my 
          application?
1048.220 How do I amend the maintenance instructions in my application?
1048.225 How do I amend my application for certification to include new 
          or modified engines?
1048.230 How do I select engine families?
1048.235 What emission testing must I perform for my application for a 
          certificate of conformity?
1048.240 How do I demonstrate that my engine family complies with 
          exhaust emission standards?
1048.245 How do I demonstrate that my engine family complies with 
          evaporative emission standards?

[[Page 703]]

1048.250 What records must I keep and make available to EPA?
1048.255 When may EPA deny, revoke, or void my certificate of 
          conformity?

                Subpart D_Testing Production-line Engines

1048.301 When must I test my production-line engines?
1048.305 How must I prepare and test my production-line engines?
1048.310 How must I select engines for production-line testing?
1048.315 How do I know when my engine family fails the production-line 
          testing requirements?
1048.320 What happens if one of my production-line engines fails to meet 
          emission standards?
1048.325 What happens if an engine family fails the production-line 
          requirements?
1048.330 May I sell engines from an engine family with a suspended 
          certificate of conformity?
1048.335 How do I ask EPA to reinstate my suspended certificate?
1048.340 When may EPA revoke my certificate under this subpart and how 
          may I sell these engines again?
1048.345 What production-line testing records must I send to EPA?
1048.350 What records must I keep?

                    Subpart E_Testing In-use Engines

1048.401 What testing requirements apply to my engines that have gone 
          into service?
1048.405 How does this program work?
1048.410 How must I select, prepare, and test my in-use engines?
1048.415 What happens if in-use engines do not meet requirements?
1048.420 What in-use testing information must I report to EPA?
1048.425 What records must I keep?

                        Subpart F_Test Procedures

1048.501 How do I run a valid emission test?
1048.505 How do I test engines using steady-state duty cycles, including 
          ramped-modal testing?
1048.510 Which duty cycles do I use for transient testing?
1048.515 What are the field-testing procedures?

                     Subpart G_Compliance Provisions

1048.601 What compliance provisions apply to these engines?
1048.605 What provisions apply to engines certified under the motor-
          vehicle program?
1048.610 What provisions apply to vehicles certified under the motor-
          vehicle program?
1048.615 What are the provisions for exempting engines designed for lawn 
          and garden applications?
1048.620 What are the provisions for exempting large engines fueled by 
          natural gas?
1048.625 What special provisions apply to engines using noncommercial 
          fuels?
1048.630 What are the provisions for exempting engines used solely for 
          competition?
1048.635 What special provisions apply to branded engines?

Subpart H [Reserved]

          Subpart I_Definitions and Other Reference Information

1048.801 What definitions apply to this part?
1048.805 What symbols, acronyms, and abbreviations does this part use?
1048.810 What materials does this part reference?
1048.815 What provisions apply to confidential information?
1048.820 How do I request a hearing?

Appendix I to Part 1048--Large Spark-ignition (SI) Transient Cycle for 
          Constant-Speed Engines
Appendix II to Part 1048--Large Spark-ignition (SI) Composite Transient 
          Cycle

    Authority: 42 U.S.C. 7401-7671q.

    Source: 67 FR 68347, Nov. 8, 2002, unless otherwise noted.



                  Subpart A_Overview and Applicability



Sec.  1048.1  Does this part apply to me?

    (a) The regulations in this part 1048 apply for all new, spark-
ignition nonroad engines (defined in Sec.  1048.801) with maximum engine 
power above 19 kW, except as provided in Sec.  1048.5.
    (b) This part 1048 applies for engines built on or after January 1, 
2004. You need not follow this part for engines you produce before 
January 1, 2004. See Sec. Sec.  1048.101 through 1048.115, Sec.  
1048.145, and the definition of model year in Sec.  1048.801 for more 
information about the timing of new requirements.
    (c) The definition of nonroad engine in 40 CFR 1068.30 excludes 
certain engines used in stationary applications. These engines may be 
required by 40 CFR part 60, subpart JJJJ, to comply with some of the 
provisions of this part 1048; otherwise, these engines are only required 
to comply with the requirements in Sec.  1048.20. In addition, the 
prohibitions in 40 CFR 1068.101 restrict the

[[Page 704]]

use of stationary engines for nonstationary purposes unless they are 
certified under this part 1048 to the same standards that would apply to 
nonroad engines for the same model year.
    (d) In certain cases, the regulations in this part 1048 apply to 
engines with maximum engine power at or below 19 kW that would otherwise 
be covered by 40 CFR part 90. See 40 CFR 90.913 for provisions related 
to this allowance.

[70 FR 40465, July 13, 2005, as amended at 73 FR 3613, Jan. 18, 2008]



Sec.  1048.5  Which engines are excluded from this part's requirements?

    This part does not apply to the following nonroad engines:
    (a) Engines that are certified to meet the requirements of 40 CFR 
part 1051, or are otherwise subject to 40 CFR part 1051 (for example, 
engines used in snowmobiles and all-terrain vehicles).
    (b) Propulsion marine engines. See 40 CFR part 91. This part applies 
with respect to auxiliary marine engines.

[70 FR 40465, July 13, 2005]



Sec.  1048.10  How is this part organized?

    The regulations in this part 1048 contain provisions that affect 
both engine manufacturers and others. However, the requirements of this 
part are generally addressed to the engine manufacturer. The term 
``you'' generally means the engine manufacturer, as defined in Sec.  
1048.801. This part 1048 is divided into the following subparts:
    (a) Subpart A of this part defines the applicability of part 1048 
and gives an overview of regulatory requirements.
    (b) Subpart B of this part describes the emission standards and 
other requirements that must be met to certify engines under this part. 
Note that Sec.  1048.145 discusses certain interim requirements and 
compliance provisions that apply only for a limited time.
    (c) Subpart C of this part describes how to apply for a certificate 
of conformity.
    (d) Subpart D of this part describes general provisions for testing 
production-line engines.
    (e) Subpart E of this part describes general provisions for testing 
in-use engines.
    (f) Subpart F of this part describes how to test your engines 
(including references to other parts of the Code of Federal 
Regulations).
    (g) Subpart G of this part and 40 CFR part 1068 describe 
requirements, prohibitions, and other provisions that apply to engine 
manufacturers, equipment manufacturers, owners, operators, rebuilders, 
and all others.
    (h) [Reserved]
    (i) Subpart I of this part contains definitions and other reference 
information.

[70 FR 40465, July 13, 2005]



Sec.  1048.15  Do any other regulation parts affect me?

    (a) Part 1065 of this chapter describes procedures and equipment 
specifications for testing engines. Subpart F of this part 1048 
describes how to apply the provisions of part 1065 of this chapter to 
determine whether engines meet the emission standards in this part.
    (b) The requirements and prohibitions of part 1068 of this chapter 
apply to everyone, including anyone who manufactures, imports, installs, 
owns, operates, or rebuilds any of the engines subject to this part 
1048, or equipment containing these engines. Part 1068 of this chapter 
describes general provisions, including these seven areas:
    (1) Prohibited acts and penalties for engine manufacturers, 
equipment manufacturers, and others.
    (2) Rebuilding and other aftermarket changes.
    (3) Exclusions and exemptions for certain engines.
    (4) Importing engines.
    (5) Selective enforcement audits of your production.
    (6) Defect reporting and recall.
    (7) Procedures for hearings.
    (c) Other parts of this chapter apply if referenced in this part.

[70 FR 40465, July 13, 2005]



Sec.  1048.20  What requirements from this part apply to excluded stationary engines?

    (a) You must add a permanent label or tag to each new engine you 
produce or import that is excluded under Sec.  1048.1(c) as a stationary 
engine and is not required by 40 CFR part 60, subpart JJJJ, to meet the 
standards and other

[[Page 705]]

requirements of this part 1048 that are equivalent to the requirements 
applicable to nonroad SI engines for the same model year. To meet 
labeling requirements, you must do the following things:
    (1) Attach the label or tag in one piece so no one can remove it 
without destroying or defacing it.
    (2) Secure it to a part of the engine needed for normal operation 
and not normally requiring replacement.
    (3) Make sure it is durable and readable for the engine's entire 
life.
    (4) Write it in English.
    (5) Follow the requirements in Sec.  1048.135(g) regarding duplicate 
labels if the engine label is obscured in the final installation.
    (b) Engine labels or tags required under this section must have the 
following information:
    (1) Include the heading ``EMISSION CONTROL INFORMATION''.
    (2) Include your full corporate name and trademark. You may instead 
include the full corporate name and trademark of another company you 
choose to designate.
    (3) State the engine displacement (in liters) and maximum engine 
power.
    (4) State: ``THIS ENGINE IS EXCLUDED FROM THE REQUIREMENTS OF 40 CFR 
PART 1048 AS A ``STATIONARY ENGINE'' AND THE OWNER/OPERATOR MUST COMPLY 
WITH THE REQUIREMENTS OF 40 CFR PART 60. INSTALLING OR USING THIS ENGINE 
IN ANY OTHER APPLICATION MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO 
CIVIL PENALTY.''.
    (c) Stationary engines required by 40 CFR part 60, subpart JJJJ, to 
meet the requirements of this part 1048 must meet the labeling 
requirements of 40 CFR 60.4242.

[70 FR 40466, July 13, 2005, as amended at 73 FR 3613, Jan. 18, 2008]



          Subpart B_Emission Standards and Related Requirements



Sec.  1048.101  What exhaust emission standards must my engines meet?

    The exhaust emission standards of this section apply by model year. 
You may certify engines earlier than we require. The Tier 1 standards 
apply only to steady-state testing, as described in paragraph (b) of 
this section. The Tier 2 standards apply to steady-state, transient, and 
field testing, as described in paragraphs (a), (b), and (c) of this 
section.
    (a) Emission standards for transient testing. Starting in the 2007 
model year, transient exhaust emissions from your engines may not exceed 
the Tier 2 emission standards, as follows:
    (1) Measure emissions using the applicable transient test procedures 
described in subpart F of this part.
    (2) The Tier 2 HC+NOX standard is 2.7 g/kW-hr and the 
Tier 2 CO standard is 4.4 g/kW-hr. For severe-duty engines, the Tier 2 
HC+NOX standard is 2.7 g/kW-hr and the Tier 2 CO standard is 
130.0 g/kW-hr. The following engines are not subject to the transient 
standards in this paragraph (a):
    (i) High-load engines.
    (ii) Engines with maximum engine power above 560 kW.
    (iii) Engines with maximum test speed above 3400 rpm.
    (3) You may optionally certify your engines according to the 
following formula instead of the standards in paragraph (a)(1) of this 
section: (HC+NOX) x CO\0.784\ <= 8.57. The HC+NOX 
and CO emission levels you select to satisfy this formula, rounded to 
the nearest 0.1 g/kW-hr, become the emission standards that apply for 
those engines. You may not select an HC+NOX emission standard 
higher than 2.7 g/kW-hr or a CO emission standard higher than 20.6 g/kW-
hr. The following table illustrates a range of possible values under 
this paragraph (a)(3):

   Table 1 of Sec.   1048.101--Examples of Possible Tier 2 Duty-cycle
                           Emission Standards
------------------------------------------------------------------------
                                                              CO  (g/kW-
                     HC+NOX  (g/kW-hr)                           hr)
------------------------------------------------------------------------
2.7........................................................          4.4
2.2........................................................          5.6
1.7........................................................          7.9
1.3........................................................         11.1
1.0........................................................         15.5
0.8........................................................         20.6
------------------------------------------------------------------------

    (4) For constant-speed engines, the emission standards do not apply 
for transient testing if you do both of the following things:

[[Page 706]]

    (i) Demonstrate that the specified transient duty-cycle is not 
representative of the way your engines will operate in use.
    (ii) Demonstrate that the engine's emission controls will function 
properly to control emissions during transient operation in use. In most 
cases, you may do this by showing that you use the same controls as a 
similar variable-speed engine that is certified as complying with the 
emission standards during transient testing.
    (b) Standards for steady-state testing. Except as we allow in 
paragraph (d) of this section, steady-state exhaust emissions from your 
engines may not exceed emission standards, as follows:
    (1) Measure emissions using the applicable steady-state test 
procedures described in subpart F of this part:
    (2) The following table shows the Tier 1 exhaust emission standards 
that apply to engines from 2004 through 2006 model years:

                         Table 2 of Sec.   1048.101--Tier 1 Emission Standards (g/kW-hr)
----------------------------------------------------------------------------------------------------------------
                                                                  General emission         Alternate emission
                                                                      standards           standards for severe-
                           Testing                           --------------------------       duty engines
                                                                                       -------------------------
                                                                 HC+NOX         CO         HC+NOX         CO
----------------------------------------------------------------------------------------------------------------
Certification and production-line testing...................          4.0         50.0          4.0        130.0
In-use testing..............................................          5.4         50.0          5.4        130.0
----------------------------------------------------------------------------------------------------------------

    (3) Starting in the 2007 model year, steady-state exhaust emissions 
from your engines may not exceed the numerical emission standards in 
paragraph (a) of this section. See paragraph (d) of this section for 
alternate standards that apply for certain engines.
    (c) Standards for field testing. Starting in 2007, exhaust emissions 
may not exceed field-testing standards, as follows:
    (1) Measure emissions using the field-testing procedures in subpart 
F of this part:
    (2) The HC+NOX standard is 3.8 g/kW-hr and the CO 
standard is 6.5 g/kW-hr. For severe-duty engines, the HC+NOX 
standard is 3.8 g/kW-hr and the CO standard is 200.0 g/kW-hr. For 
natural gas-fueled engines, you are not required to measure nonmethane 
hydrocarbon emissions or total hydrocarbon emissions for testing to show 
that the engine meets the emission standards of this paragraph (c); that 
is, you may assume HC emissions are equal to zero.
    (3) You may apply the following formula to determine alternate 
emission standards that apply to your engines instead of the standards 
in paragraph (c)(1) of this section: (HC+NOX) x CO\0.791\ <= 
16.78. HC+NOX emission levels may not exceed 3.8 g/kW-hr and 
CO emission levels may not exceed 31.0 g/kW-hr. The following table 
illustrates a range of possible values under this paragraph (c)(2):

  Table 3 of Sec.   1048.101--Examples of Possible Tier 2 Field-testing
                           Emission Standards
------------------------------------------------------------------------
                                                              CO  (g/kW-
                     HC+NOX  (g/kW-hr)                           hr)
------------------------------------------------------------------------
3.8........................................................          6.5
3.1........................................................          8.5
2.4........................................................         11.7
1.8........................................................         16.8
1.4........................................................         23.1
1.1........................................................         31.0
------------------------------------------------------------------------

    (d) Engine protection. For engines that require enrichment at high 
loads to protect the engine, you may ask to meet alternate Tier 2 
standards of 2.7 g/kW-hr for HC+NOX and 31.0 g/kW-hr for CO 
instead of the emission standards described in paragraph (b)(2) of this 
section for steady-state testing. If we approve your request, you must 
still meet the transient testing standards in paragraph (a) of this 
section and the field-testing standards in paragraph (c) of this 
section. To qualify for this allowance, you must do all the following 
things:
    (1) Show that enrichment is necessary to protect the engine from 
damage.
    (2) Show that you limit enrichment to operating modes that require 
additional cooling to protect the engine from damage.
    (3) Show in your application for certification that enrichment will 
rarely

[[Page 707]]

occur in use in the equipment in which your engines are installed. For 
example, an engine that is expected to operate 5 percent of the time in 
use with enrichment would clearly not qualify.
    (4) Include in your installation instructions any steps necessary 
for someone installing your engines to prevent enrichment during normal 
operation (see Sec.  1048.130).
    (e) Fuel types. The exhaust emission standards in this section apply 
for engines using each type of fuel specified in 40 CFR part 1065, 
subpart H, on which the engines in the engine family are designed to 
operate, except for engines certified under Sec.  1048.625. For engines 
certified under Sec.  1048.625, the standards of this section apply to 
emissions measured using the specified test fuel. You must meet the 
numerical emission standards for hydrocarbons in this section based on 
the following types of hydrocarbon emissions for engines powered by the 
following fuels:
    (1) Gasoline- and LPG-fueled engines: THC emissions.
    (2) Natural gas-fueled engines: NMHC emissions.
    (3) Alcohol-fueled engines: THCE emissions.
    (f) Small engines. Certain engines with total displacement at or 
below 1000 cc may comply with the requirements of 40 CFR part 90 instead 
of complying with the requirements of this part, as described in Sec.  
1048.615.
    (g) Useful life. Your engines must meet the exhaust emission 
standards in paragraphs (a) through (c) of this section over their full 
useful life. For severe-duty engines, the minimum useful life is 1,500 
hours of operation or seven years, whichever comes first. For all other 
engines, the minimum useful life is 5,000 hours of operation or seven 
years, whichever comes first.
    (1) Specify a longer useful life in hours for an engine family under 
either of two conditions:
    (i) If you design, advertise, or market your engine to operate 
longer than the minimum useful life (your recommended hours until 
rebuild may indicate a longer design life).
    (ii) If your basic mechanical warranty is longer than the minimum 
useful life.
    (2) You may request in your application for certification that we 
approve a shorter useful life for an engine family. We may approve a 
shorter useful life, in hours of engine operation but not in years, if 
we determine that these engines will rarely operate longer than the 
shorter useful life. If engines identical to those in the engine family 
have already been produced and are in use, your demonstration must 
include documentation from such in-use engines. In other cases, your 
demonstration must include an engineering analysis of information 
equivalent to such in-use data, such as data from research engines or 
similar engine models that are already in production. Your demonstration 
must also include any overhaul interval that you recommend, any 
mechanical warranty that you offer for the engine or its components, and 
any relevant customer design specifications. Your demonstration may 
include any other relevant information. The useful life value may not be 
shorter than any of the following:
    (i) 1,000 hours of operation.
    (ii) Your recommended overhaul interval.
    (iii) Your mechanical warranty for the engine.
    (h) Applicability for testing. The emission standards in this 
subpart apply to all testing, including certification, production-line, 
and in-use testing. For production-line testing, you must perform duty-
cycle testing as specified in Sec. Sec.  1048.505 and 1048.510. The 
field-testing standards of this section apply for those tests. You need 
not do additional testing of production-line engines to show that your 
engines meet the field-testing standards.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40466, July 13, 2005; 73 
FR 3613, Jan 18, 2008]



Sec.  1048.105  What evaporative emission standards and requirements apply?

    The requirements of this section apply to all engines that are 
subject to this part, except auxiliary marine engines.
    (a) Starting in the 2007 model year, engines that run on a volatile 
liquid fuel (such as gasoline), must meet the following evaporative 
emissions standards and requirements:

[[Page 708]]

    (1) Evaporative hydrocarbon emissions may not exceed 0.2 grams per 
gallon of fuel tank capacity when measured with the test procedures for 
evaporative emissions in subpart F of this part.
    (2) For nonmetallic fuel lines, you must specify and use products 
that meet the Category 1 specifications in SAE J2260 (incorporated by 
reference in Sec.  1048.810).
    (3) Liquid fuel in the fuel tank may not reach boiling during 
continuous engine operation in the final installation at an ambient 
temperature of 30 [deg]C. Note that gasoline with a Reid vapor pressure 
of 62 kPa (9 psi) begins to boil at about 53 [deg]C.
    (b) Note that Sec.  1048.245 allows you to use design-based 
certification instead of generating new emission data.
    (c) If other companies install your engines in their equipment, give 
them any appropriate instructions, as described in Sec.  1048.130.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40467, July 13, 2005]



Sec.  1048.110  How must my engines diagnose malfunctions?

    (a) Equip your engines with a diagnostic system. Starting in the 
2007 model year, equip each engine with a diagnostic system that will 
detect significant malfunctions in its emission-control system using one 
of the following protocols:
    (1) If your emission-control strategy depends on maintaining air-
fuel ratios at stoichiometry, an acceptable diagnostic design would 
identify malfunction whenever the air-fuel ratio does not cross 
stoichiometry for one minute of intended closed-loop operation. You may 
use other diagnostic strategies if we approve them in advance.
    (2) If the protocol described in paragraph (a)(1) of this section 
does not apply to your engine, you must use an alternative approach that 
we approve in advance. Your alternative approach must generally detect 
when the emission-control system is not functioning properly.
    (b) Use a malfunction-indicator light (MIL). The MIL must be readily 
visible to the operator; it may be any color except red. When the MIL 
goes on, it must display ``Check Engine,'' ``Service Engine Soon,'' or a 
similar message that we approve. You may use sound in addition to the 
light signal. The MIL must go on under each of these circumstances:
    (1) When a malfunction occurs, as described in paragraph (a) of this 
section.
    (2) When the diagnostic system cannot send signals to meet the 
requirement of paragraph (b)(1) of this section.
    (3) When the engine's ignition is in the ``key-on'' position before 
starting or cranking. The MIL should go out after engine starting if the 
system detects no malfunction.
    (c) Control when the MIL can go out. If the MIL goes on to show a 
malfunction, it must remain on during all later engine operation until 
servicing corrects the malfunction. If the engine is not serviced, but 
the malfunction does not recur for three consecutive engine starts 
during which the malfunctioning system is evaluated and found to be 
working properly, the MIL may stay off during later engine operation.
    (d) Store trouble codes in computer memory. Record and store in 
computer memory any diagnostic trouble codes showing a malfunction that 
should illuminate the MIL. The stored codes must identify the 
malfunctioning system or component as uniquely as possible. Make these 
codes available through the data link connector as described in 
paragraph (g) of this section. You may store codes for conditions that 
do not turn on the MIL. The system must store a separate code to show 
when the diagnostic system is disabled (from malfunction or tampering).
    (e) Make data, access codes, and devices accessible. Make all 
required data accessible to us without any access codes or devices that 
only you can supply. Ensure that anyone servicing your engine can read 
and understand the diagnostic trouble codes stored in the onboard 
computer with generic tools and information.
    (f) Consider exceptions for certain conditions. Your diagnostic 
systems may disregard trouble codes for the first three minutes after 
engine starting. You may ask us to approve diagnostic-system designs 
that disregard trouble codes under other conditions that would produce 
an unreliable reading, damage systems or components, or

[[Page 709]]

cause other safety risks. This might include operation at altitudes over 
8,000 feet.
    (g) Follow standard references for formats, codes, and connections. 
Follow conventions defined in the following documents (incorporated by 
reference in Sec.  1048.810) or ask us to approve using updated versions 
of (or variations from) these documents:
    (1) ISO 9141-2 Road vehicles-Diagnostic systems--Part 2: CARB 
requirements for interchange of digital information, February 1994.
    (2) ISO 14230-4 Road vehicles--Diagnostic systems--Keyword Protocol 
2000--Part 4: Requirements for emission-related systems, June 2000.



Sec.  1048.115  What other requirements must my engines meet?

    Engines subject to this part must meet the following requirements:
    (a) Crankcase emissions. Crankcase emissions may not be discharged 
directly into the ambient atmosphere from any engine throughout its 
useful life, except as follows:
    (1) Engines may discharge crankcase emissions to the ambient 
atmosphere if the emissions are added to the exhaust emissions (either 
physically or mathematically) during all emission testing. If you take 
advantage of this exception, you must do the following things:
    (i) Manufacture the engines so that all crankcase emissions can be 
routed into the applicable sampling systems specified in 40 CFR part 
1065.
    (ii) Account for deterioration in crankcase emissions when 
determining exhaust deterioration factors.
    (2) For purposes of this paragraph (a), crankcase emissions that are 
routed to the exhaust upstream of exhaust aftertreatment during all 
operation are not considered to be discharged directly into the ambient 
atmosphere.
    (b) Torque broadcasting. Electronically controlled engines must 
broadcast their speed and output shaft torque (in newton-meters). 
Engines may alternatively broadcast a surrogate value for determining 
torque. Engines must broadcast engine parameters such that they can be 
read with a remote device, or broadcast them directly to their 
controller area networks. This information is necessary for testing 
engines in the field (see Sec.  1048.515). This requirement applies 
beginning in the 2007 model year. Small-volume engine manufacturers may 
omit this requirement.
    (c) EPA access to broadcast information. If we request it, you must 
provide us any hardware or tools we would need to readily read, 
interpret, and record all information broadcast by an engine's on-board 
computers and electronic control modules. If you broadcast a surrogate 
parameter for torque values, you must provide us what we need to convert 
these into torque units. We will not ask for hardware or tools if they 
are readily available commercially.
    (d) [Reserved]
    (e) Adjustable parameters. Engines that have adjustable parameters 
must meet all the requirements of this part for any adjustment in the 
physically adjustable range. An operating parameter is not considered 
adjustable if you permanently seal it or if it is not normally 
accessible using ordinary tools. We may require that you set adjustable 
parameters to any specification within the adjustable range during any 
testing, including certification testing, selective enforcement 
auditing, or in-use testing.
    (f) Prohibited controls. You may not design your engines with 
emission-control devices, systems, or elements of design that cause or 
contribute to an unreasonable risk to public health, welfare, or safety 
while operating. For example, this would apply if the engine emits a 
noxious or toxic substance it would otherwise not emit that contributes 
to such an unreasonable risk.
    (g) Defeat devices. You may not equip your engines with a defeat 
device. A defeat device is an auxiliary emission-control device that 
reduces the effectiveness of emission controls under conditions that the 
engine may reasonably be expected to encounter during normal operation 
and use. This does not apply to auxiliary-emission control devices you 
identify in your certification application if any of the following is 
true:
    (1) The conditions of concern were substantially included in the 
applicable test procedures described in subpart F of this part.

[[Page 710]]

    (2) You show your design is necessary to prevent engine (or 
equipment) damage or accidents.
    (3) The reduced effectiveness applies only to starting the engine.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40467, July 13, 2005]



Sec.  1048.120  What emission-related warranty requirements apply to me?

    (a) General requirements. You must warrant to the ultimate purchaser 
and each subsequent purchaser that the new nonroad engine, including all 
parts of its emission-control system, meets two conditions:
    (1) It is designed, built, and equipped so it conforms at the time 
of sale to the ultimate purchaser with the requirements of this part.
    (2) It is free from defects in materials and workmanship that may 
keep it from meeting these requirements.
    (b) Warranty period. Your emission-related warranty must be valid 
for at least 50 percent of the engine's useful life in hours of 
operation or at least three years, whichever comes first. In the case of 
a high-cost warranted part, the warranty must be valid for at least 70 
percent of the engine's useful life in hours of operation or at least 
five years, whichever comes first. You may offer an emission-related 
warranty more generous than we require. The emission-related warranty 
for the engine may not be shorter than any published warranty you offer 
without charge for the engine. Similarly, the emission-related warranty 
for any component may not be shorter than any published warranty you 
offer without charge for that component. If an engine has no hour meter, 
we base the warranty periods in this paragraph (b) only on the engine's 
age (in years). The warranty period begins when the engine is placed 
into service.
    (c) Components covered. The emission-related warranty covers all 
components whose failure would increase an engine's emissions of any 
pollutant. This includes components listed in 40 CFR part 1068, Appendix 
I, and components from any other system you develop to control 
emissions. The emission-related warranty covers these components even if 
another company produces the component. Your emission-related warranty 
does not cover components whose failure would not increase an engine's 
emissions of any pollutant.
    (d) Limited applicability. You may deny warranty claims under this 
section if the operator caused the problem through improper maintenance 
or use, as described in 40 CFR 1068.115.
    (e) Owners manual. Describe in the owners manual the emission-
related warranty provisions from this section that apply to the engine.

[70 FR 40467, July 13, 2005]



Sec.  1048.125  What maintenance instructions must I give to buyers?

    Give the ultimate purchaser of each new nonroad engine written 
instructions for properly maintaining and using the engine, including 
the emission-control system. The maintenance instructions also apply to 
service accumulation on your emission-data engines, as described in 40 
CFR part 1065.
    (a) Critical emission-related maintenance. Critical emission-related 
maintenance includes any adjustment, cleaning, repair, or replacement of 
critical emission-related components. This may also include additional 
emission-related maintenance that you determine is critical if we 
approve it in advance. You may schedule critical emission-related 
maintenance on these components if you meet the following conditions:
    (1) You demonstrate that the maintenance is reasonably likely to be 
done at the recommended intervals on in-use engines. We will accept 
scheduled maintenance as reasonably likely to occur if you satisfy any 
of the following conditions:
    (i) You present data showing that, if a lack of maintenance 
increases emissions, it also unacceptably degrades the engine's 
performance.
    (ii) You present survey data showing that at least 80 percent of 
engines in the field get the maintenance you specify at the recommended 
intervals.
    (iii) You provide the maintenance free of charge and clearly say so 
in maintenance instructions for the customer.
    (iv) You otherwise show us that the maintenance is reasonably likely 
to be done at the recommended intervals.

[[Page 711]]

    (2) You may not schedule critical emission-related maintenance more 
frequently than the following minimum intervals, except as specified in 
paragraphs (a)(3), (b) and (c) of this section:
    (i) For catalysts, fuel injectors, electronic control units, 
superchargers, and turbochargers: The useful life of the engine family.
    (ii) For gaseous fuel-system components (cleaning without 
disassembly only) and oxygen sensors: 2,500 hours.
    (3) If your engine family has an alternate useful life under Sec.  
1048.101(g) that is shorter than the period specified in paragraph 
(a)(2)(ii) of this section, you may not schedule critical emission-
related maintenance more frequently than the alternate useful life, 
except as specified in paragraph (c) of this section.
    (b) Recommended additional maintenance. You may recommend any 
additional amount of maintenance on the components listed in paragraph 
(a) of this section, as long as you state clearly that these maintenance 
steps are not necessary to keep the emission-related warranty valid. If 
operators do the maintenance specified in paragraph (a) of this section, 
but not the recommended additional maintenance, this does not allow you 
to disqualify those engines from in-use testing or deny a warranty 
claim. Do not take these maintenance steps during service accumulation 
on your emission-data engines.
    (c) Special maintenance. You may specify more frequent maintenance 
to address problems related to special situations, such as substandard 
fuel or atypical engine operation. For example, you may specify more 
frequent cleaning of fuel system components for engines you have reason 
to believe will be using fuel that causes substantially more engine 
performance problems than commercial fuels of the same type that are 
generally available across the United States. You must clearly state 
that this additional maintenance is associated with the special 
situation you are addressing.
    (d) Noncritical emission-related maintenance. You may schedule any 
amount of emission-related inspection or maintenance that is not covered 
by paragraph (a) of this section, as long as you state in the owners 
manual that these steps are not necessary to keep the emission-related 
warranty valid. If operators fail to do this maintenance, this does not 
allow you to disqualify those engines from in-use testing or deny a 
warranty claim. Do not take these inspection or maintenance steps during 
service accumulation on your emission-data engines.
    (e) Maintenance that is not emission-related. For maintenance 
unrelated to emission controls, you may schedule any amount of 
inspection or maintenance. You may also take these inspection or 
maintenance steps during service accumulation on your emission-data 
engines, as long as they are reasonable and technologically necessary. 
This might include adding engine oil, changing air, fuel, or oil 
filters, servicing engine-cooling systems, and adjusting idle speed, 
governor, engine bolt torque, valve lash, or injector lash. You may 
perform this nonemission-related maintenance on emission-data engines at 
the least frequent intervals that you recommend to the ultimate 
purchaser (but not the intervals recommended for severe service).
    (f) Source of parts and repairs. State clearly on the first page of 
your written maintenance instructions that a repair shop or person of 
the owner's choosing may maintain, replace, or repair emission-control 
devices and systems. Your instructions may not require components or 
service identified by brand, trade, or corporate name. Also, do not 
directly or indirectly condition your warranty on a requirement that the 
engine be serviced by your franchised dealers or any other service 
establishments with which you have a commercial relationship. You may 
disregard the requirements in this paragraph (f) if you do one of two 
things:
    (1) Provide a component or service without charge under the purchase 
agreement.
    (2) Get us to waive this prohibition in the public's interest by 
convincing us the engine will work properly only with the identified 
component or service.
    (g) Payment for scheduled maintenance. Owners are responsible for 
properly

[[Page 712]]

maintaining their engines. This generally includes paying for scheduled 
maintenance. However, manufacturers must pay for scheduled maintenance 
during the useful life if it meets all the following criteria:
    (1) Each affected component was not in general use on similar 
engines before January 1, 2004.
    (2) The primary function of each affected component is to reduce 
emissions.
    (3) The cost of the scheduled maintenance is more than 2 percent of 
the price of the engine.
    (4) Failure to perform the maintenance would not cause clear 
problems that would significantly degrade the engine's performance.
    (h) Owners manual. Explain the owner's responsibility for proper 
maintenance in the owners manual.

[70 FR 40468, July 13, 2005]



Sec.  1048.130  What installation instructions must I give to equipment manufacturers?

    (a) If you sell an engine for someone else to install in a piece of 
nonroad equipment, give the engine installer instructions for installing 
it consistent with the requirements of this part. Include all 
information necessary to ensure that an engine will be installed in its 
certified configuration.
    (b) Make sure these instructions have the following information:
    (1) Include the heading: ``Emission-related installation 
instructions''.
    (2) State: ``Failing to follow these instructions when installing a 
certified engine in a piece of nonroad equipment violates federal law 
(40 CFR 1068.105(b)), subject to fines or other penalties as described 
in the Clean Air Act.''.
    (3) Describe the instructions needed to properly install the exhaust 
system and any other components. Include instructions consistent with 
the requirements of Sec.  1048.205(v).
    (4) Describe the steps needed to control evaporative emissions, as 
described in Sec. Sec.  1048.105 and 1048.245.
    (5) Describe any necessary steps for installing the diagnostic 
system described in Sec.  1048.110.
    (6) Describe any limits on the range of applications needed to 
ensure that the engine operates consistently with your application for 
certification. For example, if your engines are certified only for 
constant-speed operation, tell equipment manufacturers not to install 
the engines in variable-speed applications. Also, if you need to avoid 
sustained high-load operation to meet the field-testing emission 
standards we specify in Sec.  1048.101(c) or to comply with the 
provisions of Sec.  1048.101(d), describe how the equipment manufacturer 
must properly size the engines for a given application.
    (7) Describe any other instructions to make sure the installed 
engine will operate according to design specifications in your 
application for certification. This may include, for example, 
instructions for installing aftertreatment devices when installing the 
engines.
    (8) State: ``If you install the engine in a way that makes the 
engine's emission control information label hard to read during normal 
engine maintenance, you must place a duplicate label on the equipment, 
as described in 40 CFR 1068.105.''.
    (c) You do not need installation instructions for engines you 
install in your own equipment.
    (d) Provide instructions in writing or in an equivalent format. For 
example, you may post instructions on a publicly available Web site for 
downloading or printing. If you do not provide the instructions in 
writing, explain in your application for certification how you will 
ensure that each installer is informed of the installation requirements.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40469, July 13, 2005]



Sec.  1048.135  How must I label and identify the engines I produce?

    (a) Assign each engine a unique identification number and 
permanently affix, engrave, or stamp it on the engine in a legible way.
    (b) At the time of manufacture, affix a permanent and legible label 
identifying each engine. The label must be--
    (1) Attached in one piece so it is not removable without being 
destroyed or defaced.
    (2) Secured to a part of the engine needed for normal operation and 
not normally requiring replacement.

[[Page 713]]

    (3) Durable and readable for the engine's entire life.
    (4) Written in English.
    (c) The label must--
    (1) Include the heading ``EMISSION CONTROL INFORMATION''.
    (2) Include your full corporate name and trademark. You may identify 
another company and use its trademark instead of yours if you comply 
with the provisions of Sec.  1048.635.
    (3) Include EPA's standardized designation for the engine family 
(and subfamily, where applicable).
    (4) State the engine's displacement (in liters); however, you may 
omit this from the label if all the engines in the engine family have 
the same per-cylinder displacement and total displacement.
    (5) State the date of manufacture [MONTH and YEAR]. You may omit 
this from the label if you keep a record of the engine-manufacture dates 
and provide it to us upon request.
    (6) Identify the emission-control system. Use terms and 
abbreviations consistent with SAE J1930 (incorporated by reference in 
Sec.  1048.810). You may omit this information from the label if there 
is not enough room for it and you put it in the owners manual instead.
    (7) State: ``THIS ENGINE IS CERTIFIED TO OPERATE ON [specify 
operating fuel or fuels].''.
    (8) Identify any requirements for fuel and lubricants. You may omit 
this information from the label if there is not enough room for it and 
you put it in the owners manual instead.
    (9) List specifications and adjustments for engine tuneups; show the 
proper position for the transmission during tuneup and state which 
accessories should be operating. You may omit this information from the 
label if there is not enough room for it and you put it in the owners 
manual instead.
    (10) State the useful life for your engine family if it has a longer 
useful life under Sec.  1048.101(g)(1) or a shortened useful life under 
Sec.  1048.101(g)(2).
    (11) Identify the emission standards to which you have certified the 
engine.
    (12) State: ``THIS ENGINE COMPLIES WITH U.S. EPA REGULATIONS FOR 
[MODEL YEAR] LARGE NONROAD SI ENGINES.''.
    (13) If your engines are certified only for constant-speed 
operation, state: ``USE IN CONSTANT-SPEED APPLICATIONS ONLY''.
    (14) If your engines are certified only for variable-speed 
operation, state: ``USE IN VARIABLE-SPEED APPLICATIONS ONLY''.
    (15) If your engines are certified only for high-load engines, 
state: ``THIS ENGINE IS NOT INTENDED FOR OPERATION AT LESS THAN 75 
PERCENT OF FULL LOAD.''.
    (16) If you certify your engines under Sec.  1048.101(d) (and show 
in your application for certification that in-use engines will 
experience infrequent high-load operation), state: ``THIS ENGINE IS NOT 
INTENDED FOR OPERATION AT MORE THAN--PERCENT OF FULL LOAD.''. Specify 
the appropriate percentage of full load based on the nature of the 
engine protection. You may add other statements to discourage operation 
in engine-protection modes.
    (17) If your engines are certified to the voluntary standards in 
Sec.  1048.140, state: ``BLUE SKY SERIES''.
    (d) You may add information to the emission control information 
label to identify other emission standards that the engine meets or does 
not meet (such as California standards). You may also add other 
information to ensure that the engine will be properly maintained and 
used.
    (e) You may ask us to approve modified labeling requirements in this 
part 1048 if you show that it is necessary or appropriate. We will 
approve your request if your alternate label is consistent with the 
requirements of this part.
    (f) If you obscure the engine label while installing the engine in 
the equipment such that the label will be hard to read during normal 
maintenance, you must place a duplicate label on the equipment. If 
others install your engine in their equipment in a way that obscures the 
engine label, we require them to add a duplicate label on the equipment 
(see 40 CFR 1068.105); in that case, give them the number of duplicate 
labels they request and keep the following records for at least five 
years:

[[Page 714]]

    (1) Written documentation of the request from the equipment 
manufacturer.
    (2) The number of duplicate labels you send and the date you sent 
them.

[70 FR 40469, July 13, 2005]



Sec.  1048.140  What are the provisions for certifying Blue Sky Series engines?

    This section defines voluntary standards for a recognized level of 
superior emission control for engines designated as ``Blue Sky Series'' 
engines. Blue Sky Series engines must meet one of the following 
standards:
    (a) For the 2003 model year, to receive a certificate of conformity, 
a ``Blue Sky Series'' engine family must meet all the requirements in 
this part that apply to 2004 model year engines. This includes all 
testing and reporting requirements.
    (b) For the 2003 through 2006 model years, to receive a certificate 
of conformity, a ``Blue Sky Series'' engine family must meet all the 
requirements in this part that apply to 2007 model year engines. This 
includes all testing and reporting requirements.
    (c) For any model year, to receive a certificate of conformity as a 
``Blue Sky Series'' engine family must meet all the requirements in this 
part while certifying to one of the sets of exhaust emission standards 
in the following table:

   Table 1 of Sec.   1048.140--Long-Term Standards for Blue Sky Series
                            Engines (g/kW-hr)
------------------------------------------------------------------------
   Standards for steady-state and         Standards for field-testing
      transient test procedures                   procedures
------------------------------------------------------------------------
      HC+NOX               CO              HC+NOX              CO
------------------------------------------------------------------------
         0.80                4.4              1.10               6.6
         0.60                4.4              0.84               6.6
         0.40                4.4              0.56               6.6
         0.20                4.4              0.28               6.6
         0.10                4.4              0.14               6.6
------------------------------------------------------------------------

    (d) If you certify an engine family under this section, it is 
subject to all the requirements of this part as if these voluntary 
standards were mandatory.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40470, July 13, 2005]



Sec.  1048.145  Are there interim provisions that apply only for a limited time?

    The provisions in this section apply instead of other provisions in 
this part. This section describes when these interim provisions expire.
    (a) Family banking. This paragraph (a) allows you to reduce the 
number of engines subject to the Tier 2 standards by certifying some of 
your engines earlier than otherwise required, as follows:
    (1) For early-compliant engines to generate offsets under this 
paragraph (a), you must meet the following general provisions:
    (i) You must begin actual production of early-compliant engines by 
September 1, 2006.
    (ii) Engines you produce after December 31, 2006 may not generate 
offsets.
    (iii) Offset-generating engines must be certified to the Tier 2 
standards and requirements under this part 1048.
    (iv) If you certify engines under the voluntary standards of Sec.  
1048.140, you may not use them in your calculation under this paragraph 
(a).
    (2) For every offset-generating engine certified to the Tier 2 
standards, you may reduce the number of engines with the same maximum 
engine power that are required to meet the Tier 2 standards in later 
model years by one engine. You may calculate power-weighted offsets 
based on actual U.S.-directed sales volumes. For example, if you produce 
a total of 1,000 engines in 2005 and 2006 with an average maximum power 
of 60 kW certified to the Tier 2 standards, you may delay certification 
to that tier of standards for up to 60,000 kW-engine-years in any of the 
following ways:
    (i) Delay certification of up to 600 engines with an average maximum 
power of 100 kW for one model year.
    (ii) Delay certification of up to 200 engines with an average 
maximum power of 100 kW for three consecutive model years.
    (iii) Delay certification of up to 400 engines with an average 
maximum power of 100 kW for one model year and up to 50 engines with an 
average maximum power of 200 kW for two model years.
    (3) Offset-using engines (that is, those not required to certify to 
the

[[Page 715]]

Tier 2 standards) must be certified to the Tier 1 standards and 
requirements of this part 1048. You may delay compliance for up to three 
model years.
    (4) By January 31 of each year in which you use the provisions of 
this paragraph (a), send us a report describing how many offset-
generating or offset-using engines you produced in the preceding model 
year.
    (b) Hydrocarbon standards. For 2004 through 2006 model years, engine 
manufacturers may use nonmethane hydrocarbon measurements to demonstrate 
compliance with applicable emission standards.
    (c) [Reserved]
    (d) Tier 1 deterioration factors. For Tier 1 engines, base the 
deterioration factor from Sec.  1048.240 on 3500 hours of operation. We 
may assign a deterioration factor for a Tier 1 engine family, but this 
would not affect your need to meet all emission standards that apply.
    (e) [Reserved]
    (f) Optional early field testing. You may optionally use the field-
testing procedures in subpart F of this part for any in-use testing 
required under subpart E of this part to show that you meet Tier 1 
standards. In this case, the same Tier 1 in-use emission standards apply 
to both steady-state testing in the laboratory and field testing.
    (g) Small-volume provisions. If you qualify for the hardship 
provisions in Sec.  1068.250 of this chapter, we may approve extensions 
of up to four years total.
    (h) 2004 certification. For the 2004 model year, you may choose to 
have the emission standards and other requirements that apply to these 
engines in California serve as the emission standards and other 
requirements applicable under this part, instead of those in subpart A 
of this part. To ask for a certificate under this paragraph (h), send us 
the application for certification that you prepare for the California 
Air Resources Board instead of the information we otherwise require in 
Sec.  1048.205.
    (i) Recreational vehicles. Engines or vehicles identified in the 
scope of 40 CFR part 1051 that are not yet regulated under that part are 
excluded from the requirements of this part. For example, snowmobiles 
produced in 2004 are not subject to the emission standards in this part. 
Once emission standards apply to these engines and vehicles, they are 
excluded from the requirements of this part under Sec.  1048.5(a)(1).

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40470, July 13, 2005]



                  Subpart C_Certifying Engine Families



Sec.  1048.201  What are the general requirements for obtaining a certificate of conformity?

    (a) You must send us a separate application for a certificate of 
conformity for each engine family. A certificate of conformity is valid 
from the indicated effective date until December 31 of the model year 
for which it is issued.
    (b) The application must contain all the information required by 
this part and must not include false or incomplete statements or 
information (see Sec.  1048.255).
    (c) We may ask you to include less information than we specify in 
this subpart, as long as you maintain all the information required by 
Sec.  1048.250.
    (d) You must use good engineering judgment for all decisions related 
to your application (see 40 CFR 1068.5).
    (e) An authorized representative of your company must approve and 
sign the application.
    (f) See Sec.  1048.255 for provisions describing how we will process 
your application.
    (g) We may require you to deliver your test engines to a facility we 
designate for our testing (see Sec.  1048.235(c)).

[70 FR 40470, July 13, 2005]



Sec.  1048.205  What must I include in my application?

    This section specifies the information that must be in your 
application, unless we ask you to include less information under Sec.  
1048.201(c). We may require you to provide additional information to 
evaluate your application.
    (a) Describe the engine family's specifications and other basic 
parameters of the engine's design and emission controls. List the fuel 
types on which your engines are designed to operate

[[Page 716]]

(for example, gasoline and natural gas). List each distinguishable 
engine configuration in the engine family.
    (b) Explain how the emission control systems operate. Describe the 
evaporative emission controls, if applicable. Also describe in detail 
all system components for controlling exhaust 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 sufficient detail to allow us to 
evaluate whether the AECDs are consistent with the defeat device 
prohibition of Sec.  1048.115.
    (c) Explain how the engine diagnostic system works, describing 
especially the engine conditions (with the corresponding diagnostic 
trouble codes) that cause the malfunction-indicator light to go on. 
Propose what you consider to be extreme conditions under which the 
diagnostic system should disregard trouble codes, as described in Sec.  
1048.110.
    (d) Describe the engines you selected for testing and the reasons 
for selecting them.
    (e) Describe the test equipment and procedures that you used, 
including any special or alternate test procedures you used (see Sec.  
1048.501).
    (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 each test fuel to show that it falls 
within the required ranges we specify in 40 CFR part 1065, subpart H.
    (h) Identify the engine family's useful life.
    (i) Include the maintenance instructions you will give to the 
ultimate purchaser of each new nonroad engine (see Sec.  1048.125).
    (j) Include the emission-related installation instructions you will 
provide if someone else installs your engines in a piece of nonroad 
equipment (see Sec.  1048.130).
    (k) Identify each high-cost warranted part and show us how you 
calculated its replacement cost, including the estimated retail cost of 
the part, labor rates, and labor hours to diagnose and replace defective 
parts.
    (l) Describe your emission control information label (see Sec.  
1048.135).
    (m) Identify the emission standards to which you are certifying 
engines in the engine family.
    (n) Identify the engine family's deterioration factors and describe 
how you developed them (see Sec.  1048.240). Present any emission test 
data you used for this.
    (o) 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.
    (p) Present emission data to show that you meet emission standards, 
as follows:
    (1) Present exhaust emission data for HC, NOX, and CO on 
an emission-data engine to show your engines meet the applicable duty-
cycle emission standards we specify in Sec.  1048.101. Show emission 
figures before and after applying adjustment factors for deterioration 
factors for each engine. Include test data for each type of fuel from 40 
CFR part 1065, subpart H, on which you intend for engines in the engine 
family to operate (for example, gasoline, liquefied petroleum gas, 
methanol, or natural gas). If we specify more than one grade of any fuel 
type (for example, a summer grade and winter grade of gasoline), you 
only need to submit test data for one grade, unless the regulations of 
this part specify otherwise for your engine. Note that Sec.  1048.235 
allows you to submit an application in certain cases without new 
emission data.
    (2) If your engine family includes a volatile liquid fuel (and you 
do not use design-based certification under Sec.  1048.245), present 
evaporative test data to show your vehicles meet the evaporative 
emission standards we specify in subpart B of this part. Show these 
figures before and after applying deterioration factors, where 
applicable.

[[Page 717]]

    (q) State that all the engines in the engine family comply with the 
field-testing emission standards we specify in Sec.  1048.104 for all 
normal operation and use when tested as specified in Sec.  1048.515. 
Describe any relevant testing, engineering analysis, or other 
information in sufficient detail to support your statement.
    (r) For engines with maximum engine power above 560 kW, include 
information showing how your emission controls will function during 
normal in-use transient operation. For example, this might include the 
following:
    (1) Emission data from transient testing of engines using 
measurement systems designed for measuring in-use emissions.
    (2) Comparison of the engine design for controlling transient 
emissions with that from engines for which you have emission data over 
the transient duty cycle for certification.
    (3) Detailed descriptions of control algorithms and other design 
parameters for controlling transient emissions.
    (s) Report all test results, including those from invalid tests or 
from any other tests, whether or not they were conducted according to 
the test procedures of subpart F of this part. If you measure 
CO2, report those emission levels. We may ask you to send 
other information to confirm that your tests were valid under the 
requirements of this part and 40 CFR part 1065.
    (t) Describe all adjustable operating parameters (see Sec.  
1048.115(e)), including production tolerances. Include the following in 
your description of each parameter:
    (1) The nominal or recommended setting.
    (2) The intended physically adjustable range.
    (3) The limits or stops used to establish adjustable ranges.
    (4) Information showing why 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 
physically adjustable ranges.
    (u) Provide the information to read, record, and interpret all the 
information broadcast by an engine's onboard computers and electronic 
control units. State that, upon request, you will give us any hardware, 
software, or tools we would need to do this. If you broadcast a 
surrogate parameter for torque values, you must provide us what we need 
to convert these into torque units. You may reference any appropriate 
publicly released standards that define conventions for these messages 
and parameters. Format your information consistent with publicly 
released standards.
    (v) Confirm that your emission-related installation instructions 
specify how to ensure that sampling of exhaust emissions will be 
possible after engines are installed in equipment and placed in service. 
If this cannot be done by simply adding a 20-centimeter extension to the 
exhaust pipe, show how to sample exhaust emissions in a way that 
prevents diluting the exhaust sample with ambient air.
    (w) State whether your certification is intended to include engines 
used in stationary applications. Also state whether your certification 
is limited for certain engines. If this is the case, describe how you 
will prevent use of these engines in applications for which they are not 
certified. This applies for engines such as the following:
    (1) Constant-speed engines.
    (2) Variable-speed engines.
    (x) 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.
    (y) Include estimates of U.S.-directed production volumes.
    (z) Include other applicable information, such as information 
specified in this part or part 1068 of this chapter related to requests 
for exemptions.
    (aa) Name an agent for service of process 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.

[70 FR 40470, July 13, 2005, as amended at 73 FR 3613, Jan. 18, 2008]

[[Page 718]]



Sec.  1048.210  May I get preliminary approval before I complete my application?

    If you send us information before you finish the application, we 
will review it and make any appropriate determinations, especially for 
questions related to engine family definitions, auxiliary emission-
control devices, deterioration factors, testing for service 
accumulation, and maintenance. Decisions made under this section are 
considered to be preliminary approval, subject to final review and 
approval. We will generally not reverse a decision where we have given 
you preliminary approval, unless we find new information supporting a 
different decision. If you request preliminary approval related to the 
upcoming model year or the model year after that, we will make best-
efforts to make the appropriate determinations as soon as practicable. 
We will generally not provide preliminary approval related to a future 
model year more than two years ahead of time.

[70 FR 40472, July 13, 2005]



Sec.  1048.220  How do I amend the maintenance instructions in my application?

    You may amend your emission-related maintenance instructions after 
you submit your application for certification, as long as the amended 
instructions remain consistent with the provisions of Sec.  1048.125. 
You must send the Designated Compliance Officer a request to amend your 
application for certification for an engine family if you want to change 
the emission-related maintenance instructions in a way that could affect 
emissions. In your request, describe the proposed changes to the 
maintenance instructions. We will disapprove your request if we 
determine that the amended instructions are inconsistent with 
maintenance you performed on emission-data engines.
    (a) If you are decreasing the specified maintenance, you may 
distribute the new maintenance instructions to your customers 30 days 
after we receive your request, unless we disapprove your request. We may 
approve a shorter time or waive this requirement.
    (b) If your requested change would not decrease the specified 
maintenance, you may distribute the new maintenance instructions anytime 
after you send your request. For example, this paragraph (b) would cover 
adding instructions to increase the frequency of a maintenance step for 
engines in severe-duty applications.
    (c) You need not request approval if you are making only minor 
corrections (such as correcting typographical mistakes), clarifying your 
maintenance instructions, or changing instructions for maintenance 
unrelated to emission control.

[70 FR 40472, July 13, 2005]



Sec.  1048.225  How do I amend my application for certification to include new or modified engines?

    Before we issue you a certificate of conformity, you may amend your 
application to include new or modified engine configurations, subject to 
the provisions of this section. After we have issued your certificate of 
conformity, you may send us an amended application requesting that we 
include new or modified engine configurations within the scope of the 
certificate, subject to the provisions of this section. You must amend 
your application if any changes occur with respect to any information 
included in your application.
    (a) You must amend your application before you take either of the 
following actions:
    (1) Add an engine (that is, an additional engine configuration) to 
an engine family. In this case, the engine added must be consistent with 
other engines in the engine family with respect to the criteria listed 
in Sec.  1048.230.
    (2) Change an engine already included in an engine family in a way 
that may affect emissions, or change any of the components you described 
in your application for certification. This includes production and 
design changes that may affect emissions any time during the engine's 
lifetime.
    (b) To amend your application for certification, send the Designated 
Compliance Officer the following information:
    (1) Describe in detail the addition or change in the engine model or 
configuration you intend to make.

[[Page 719]]

    (2) Include engineering evaluations or data showing that the amended 
engine family complies with all applicable requirements. You may do this 
by showing that the original emission-data engine is still appropriate 
with respect to showing compliance of the amended family with all 
applicable requirements.
    (3) If the original emission-data engine for the engine family is 
not appropriate to show compliance for the new or modified nonroad 
engine, include new test data showing that the new or modified nonroad 
engine meets the requirements of this part.
    (c) We may ask for more test data or engineering evaluations. You 
must give us these within 30 days after we request them.
    (d) For engine families already covered by a certificate of 
conformity, we will determine whether the existing certificate of 
conformity covers your new or modified nonroad engine. You may ask for a 
hearing if we deny your request (see Sec.  1048.820).
    (e) For engine families already covered by a certificate of 
conformity, you may start producing the new or modified nonroad engine 
anytime after you send us your amended application, before we make a 
decision under paragraph (d) of this section. However, if we determine 
that the affected engines do not meet applicable requirements, we will 
notify you to cease production of the engines and may require you to 
recall the engines at no expense to the owner. Choosing to produce 
engines under this paragraph (e) is deemed to be consent to recall all 
engines that we determine do not meet applicable emission standards or 
other requirements and to remedy the nonconformity at no expense to the 
owner. If you do not provide information required under paragraph (c) of 
this section within 30 days, you must stop producing the new or modified 
nonroad engines.

[70 FR 40472, July 13, 2005]



Sec.  1048.230  How do I select engine families?

    (a) Divide your product line into families of engines that are 
expected to have similar emission characteristics throughout the useful 
life. Your engine family is limited to a single model year.
    (b) Group engines in the same engine family if they are the same in 
all of the following aspects:
    (1) The combustion cycle.
    (2) The cooling system (water-cooled vs. air-cooled).
    (3) Configuration of the fuel system (for example, fuel injection 
vs. carburetion).
    (4) Method of air aspiration.
    (5) The number, location, volume, and composition of catalytic 
converters.
    (6) The number, arrangement, and approximate bore diameter of 
cylinders.
    (7) Evaporative emission controls.
    (c) You may subdivide a group of engines that is identical under 
paragraph (b) of this section into different engine families if you show 
the expected emission characteristics are different during the useful 
life.
    (d) You may group engines that are not identical with respect to the 
things listed in paragraph (b) of this section in the same engine family 
if you show that their emission characteristics during the useful life 
will be similar.
    (e) You may create separate families for exhaust emissions and 
evaporative emissions. If we do this, list both families on the emission 
control information label.
    (f) Where necessary, you may divide an engine family into sub-
families to meet different emission standards, as specified in Sec.  
1048.101(a)(2). For issues related to compliance and prohibited actions, 
we will generally apply decisions to the whole engine family. For engine 
labels and other administrative provisions, we may approve your request 
for separate treatment of sub-families.

[70 FR 40473, July 13, 2005]



Sec.  1048.235  What emission testing must I perform for my application for a certificate of conformity?

    This section describes the emission testing you must perform to show 
compliance with the emission standards in Sec. Sec.  1048.101(a) and (b) 
and 1048.105 during certification. See Sec.  1048.205(q) regarding 
emission testing related to the field-testing standards. See Sec.  
1048.240 and 40 CFR part 1065, subpart E, regarding

[[Page 720]]

service accumulation before emission testing.
    (a) Test your emission-data engines using the procedures and 
equipment specified in subpart F of this part. For any testing related 
to evaporative emissions, use good engineering judgment to include a 
complete fuel system with the engine.
    (b) Select emission-data engines according to the following 
criteria:
    (1) Exhaust testing. For each fuel type from each engine family, 
select an emission-data engine with a configuration that is most likely 
to exceed the exhaust emission standards, using good engineering 
judgment. Consider the emission levels of all exhaust constituents over 
the full useful life of the engine when operated in a piece of 
equipment.
    (2) Evaporative testing. For each engine family that includes a 
volatile liquid fuel, select a test fuel system with a configuration 
that is most likely to exceed the evaporative emission standards, using 
good engineering judgment.
    (c) We may measure emissions from any of your test engines or other 
engines from the engine family, as follows:
    (1) We may decide to do the testing at your plant or any other 
facility. If we do this, you must deliver the test engine to a test 
facility we designate. The test engine you provide must include 
appropriate manifolds, aftertreatment devices, electronic control units, 
and other emission-related components not normally attached directly to 
the engine block. If we do the testing at your plant, you must schedule 
it as soon as possible and make available the instruments, personnel, 
and equipment we need.
    (2) If we measure emissions on one of your test engines, the results 
of that testing become the official emission results for the engine. 
Unless we later invalidate these data, we may decide not to consider 
your data in determining if your engine family meets applicable 
requirements.
    (3) Before we test one of your engines, we may set its adjustable 
parameters to any point within the physically adjustable ranges (see 
Sec.  1048.115(e)).
    (4) Before we test one of your engines, we may calibrate it within 
normal production tolerances for anything we do not consider an 
adjustable parameter.
    (d) You may ask to use emission data from a previous model year 
instead of doing new tests, but only if all the following are true:
    (1) The engine family from the previous model year differs from the 
current engine family only with respect to model year.
    (2) The emission-data engine from the previous model year remains 
the appropriate emission-data engine under paragraph (b) of this 
section.
    (3) The data show that the emission-data engine would meet all the 
requirements that apply to the engine family covered by the application 
for certification.
    (e) We may require you to test a second engine of the same or 
different configuration in addition to the engine tested under paragraph 
(b) of this section.
    (f) If you use an alternate test procedure under 40 CFR 1065.10 and 
later testing shows that such testing does not produce results that are 
equivalent to the procedures specified in subpart F of this part, we may 
reject data you generated using the alternate procedure.

[70 FR 40473, July 13, 2005]



Sec.  1048.240  How do I demonstrate that my engine family complies with exhaust emission standards?

    (a) For purposes of certification, your engine family is considered 
in compliance with the applicable numerical emission standards in Sec.  
1048.101(a) and (b) if all emission-data engines representing that 
family have test results showing deteriorated emission levels at or 
below these standards.
    (b) Your engine family is deemed not to comply if any emission-data 
engine representing that family has test results showing a deteriorated 
emission level above an applicable emission standard from Sec.  1048.101 
for any pollutant.
    (c) To compare emission levels from the emission-data engine with 
the applicable emission standards, apply deterioration factors to the 
measured

[[Page 721]]

emission levels for each pollutant. Specify the deterioration factors 
based on emission measurements using four significant figures, 
consistent with good engineering judgment. For example, your 
deterioration factors must take into account any available data from in-
use testing with similar engines (see subpart E of this part). Small-
volume engine manufacturers may use assigned deterioration factors that 
we establish. Apply deterioration factors as follows:
    (1) Multiplicative deterioration factor. For engines that use 
aftertreatment technology, such as catalytic converters, use a 
multiplicative deterioration factor for exhaust emissions. A 
multiplicative deterioration factor is the ratio of exhaust emissions at 
the end of useful life to exhaust emissions at the low-hour test point. 
Adjust the official emission results for each tested engine at the 
selected test point by multiplying the measured emissions by the 
deterioration factor. If the factor is less than one, use one.
    (2) Additive deterioration factor. For engines that do not use 
aftertreatment technology, use an additive deterioration factor for 
exhaust emissions. An additive deterioration factor is the difference 
between exhaust emissions at the end of useful life and exhaust 
emissions at the low-hour test point. Adjust the official emission 
results for each tested engine at the selected test point by adding the 
factor to the measured emissions. If the factor is less than zero, use 
zero.
    (d) Collect emission data using measurements to one more decimal 
place than the applicable standard. Apply the deterioration factor to 
the official emission result, as described in paragraph (c) of this 
section, then round the adjusted figure to the same number of decimal 
places as the emission standard. Compare the rounded emission levels to 
the emission standard for each emission-data engine. In the case of HC + 
NOX standards, apply the deterioration factor to each 
pollutant and then add the results before rounding.

[70 FR 40474, July 13, 2005]



Sec.  1048.245  How do I demonstrate that my engine family complies with evaporative emission standards?

    (a) For certification, your engine family is considered in 
compliance with the evaporative emission standards in subpart B of this 
part if you do either of the following:
    (1) You have test results showing that evaporative emissions in the 
family are at or below the standards throughout the useful life.
    (2) Where applicable, you comply with the design specifications in 
paragraph (e) of this section.
    (b) Your engine family does not comply if any fuel system 
representing that family has test results showing emission levels above 
the standards.
    (c) Use good engineering judgment to develop a test plan to 
establish deterioration factors to show how much emissions increase at 
the end of useful life.
    (d) If you adjust the emission levels for deterioration, round them 
to the same number of decimal places as the emission standard. Compare 
the rounded emission levels to the emission standard for each test fuel 
system.
    (e) You may demonstrate that your engine family complies with the 
evaporative emission standards by demonstrating that you use the 
following control technologies:
    (1) For certification to the standards specified in Sec.  
1048.105(a)(1), with the following technologies:
    (i) Use a tethered or self-closing gas cap on a fuel tank that stays 
sealed up to a positive pressure of 24.5 kPa (3.5 psig) or a vacuum 
pressure of 0.7 kPa (0.1 psig).
    (ii) [Reserved]
    (2) For certification to the standards specified in Sec.  
1048.105(a)(3), demonstrating that you use design features to prevent 
fuel boiling under all normal operation. You may do this using fuel 
temperature data measured during normal operation.
    (3) We may establish additional options for design-based 
certification where we find that new test data demonstrate that a 
technology will ensure compliance with the emission standards in this 
section.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40474, July 13, 2005]

[[Page 722]]



Sec.  1048.250  What records must I keep and make available to EPA?

    (a) Organize and maintain the following records:
    (1) A copy of all applications and any summary information you send 
us.
    (2) Any of the information we specify in Sec.  1048.205 that you 
were not required to include in your application.
    (3) A detailed history of each emission-data engine. For each 
engine, describe all of the following:
    (i) The emission-data engine's construction, including its origin 
and buildup, steps you took to ensure that it represents production 
engines, any components you built specially for it, and all the 
components you include in your application for certification.
    (ii) How you accumulated engine operating hours (service 
accumulation), including the dates and the number of hours accumulated.
    (iii) All maintenance, including modifications, parts changes, and 
other service, and the dates and reasons for the maintenance.
    (iv) All your emission tests, including documentation on routine and 
standard tests, as specified in part 40 CFR part 1065, and the date and 
purpose of each test.
    (v) All tests to diagnose engine or emission-control performance, 
giving the date and time of each and the reasons for the test.
    (vi) Any other significant events.
    (4) Production figures for each engine family divided by assembly 
plant.
    (5) Keep a list of engine identification numbers for all the engines 
you produce under each certificate of conformity.
    (b) Keep data from routine emission tests (such as test cell 
temperatures and relative humidity readings) for one year after we issue 
the associated certificate of conformity. Keep all other information 
specified in paragraph (a) of this section for eight years after we 
issue your certificate.
    (c) Store these records in any format and on any media, as long as 
you can promptly send us organized, written records in English if we ask 
for them. You must keep these records readily available. We may review 
them at any time.
    (d) Send us copies of any engine maintenance instructions or 
explanations if we ask for them.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40474, July 13, 2005]



Sec.  1048.255  When may EPA deny, revoke, or void my certificate of conformity?

    (a) If we determine your application is complete and shows that the 
engine family meets all the requirements of this part and the Act, we 
will issue a certificate of conformity for your engine family for that 
model year. We may make the approval subject to additional conditions.
    (b) We may deny your application for certification if we determine 
that your engine family fails to comply with emission standards or other 
requirements of this part or the Act. Our decision may be based on a 
review of all information available to us. If we deny your application, 
we will explain why in writing.
    (c) In addition, we may deny your application or suspend or revoke 
your certificate if you do any of the following:
    (1) Refuse to comply with any testing or reporting requirements.
    (2) Submit false or incomplete information (paragraph (e) of this 
section applies if this is fraudulent).
    (3) Render inaccurate any test data.
    (4) Deny us from completing authorized activities despite our 
presenting a warrant or court order (see 40 CFR 1068.20). This includes 
a failure to provide reasonable assistance.
    (5) Produce engines for importation into the United States at a 
location where local law prohibits us from carrying out authorized 
activities.
    (6) Fail to supply requested information or amend your application 
to include all engines being produced.
    (7) Take any action that otherwise circumvents the intent of the Act 
or this part.
    (d) We may void your certificate if you do not keep the records we 
require or do not give us information when we ask for it.
    (e) We may void your certificate if we find that you intentionally 
submitted false or incomplete information.

[[Page 723]]

    (f) If we deny your application or suspend, revoke, or void your 
certificate, you may ask for a hearing (see Sec.  1048.820).

[70 FR 40474, July 13, 2005]



                Subpart D_Testing Production-line Engines



Sec.  1048.301  When must I test my production-line engines?

    (a) If you produce engines that are subject to the requirements of 
this part, you must test them as described in this subpart.
    (b) We may suspend or revoke your certificate of conformity for 
certain engine families if your production-line engines do not meet the 
requirements of this part or you do not fulfill your obligations under 
this subpart (see Sec. Sec.  1048.325 and 1048.340).
    (c) Other requirements apply to engines that you produce. Other 
regulatory provisions authorize us to suspend, revoke, or void your 
certificate of conformity, or order recalls for engines families without 
regard to whether they have passed these production-line testing 
requirements. The requirements of this part do not affect our ability to 
do selective enforcement audits, as described in part 1068 of this 
chapter. Individual engines in families that pass these production-line 
testing requirements must also conform to all applicable regulations of 
this part and part 1068 of this chapter.
    (d) You may ask to use an alternate program for testing production-
line engines. In your request, you must show us that the alternate 
program gives equal assurance that your production-line engines meet the 
requirements of this part. If we approve your alternate program, we may 
waive some or all of this subpart's requirements.
    (e) If you certify an engine family with carryover emission data, as 
described in Sec.  1048.235(c), and these equivalent engine families 
consistently pass the production-line testing requirements over the 
preceding two-year period, you may ask for a reduced testing rate for 
further production-line testing for that family. The minimum testing 
rate is one engine per engine family. If we reduce your testing rate, we 
may limit our approval to any number of model years. In determining 
whether to approve your request, we may consider the number of engines 
that have failed the emission tests.
    (f) We may ask you to make a reasonable number of production-line 
engines available for a reasonable time so we can test or inspect them 
for compliance with the requirements of this part. See 40 CFR 1068.27.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40475, July 13, 2005]



Sec.  1048.305  How must I prepare and test my production-line engines?

    (a) Test procedures. Test your production-line engines using either 
the steady-state or transient testing procedures in subpart F of this 
part to show you meet the emission standards in Sec.  1048.101(a) or 
(b), respectively. We may require you to test engines using the 
transient testing procedures to show you meet the emission standards in 
Sec.  1048.101(a).
    (b) Modifying a test engine. Once an engine is selected for testing 
(see Sec.  1048.310), you may adjust, repair, prepare, or modify it or 
check its emissions only if one of the following is true:
    (1) You document the need for doing so in your procedures for 
assembling and inspecting all your production engines and make the 
action routine for all the engines in the engine family.
    (2) This subpart otherwise specifically allows your action.
    (3) We approve your action in advance.
    (c) Engine malfunction. If an engine malfunction prevents further 
emission testing, ask us to approve your decision to either repair the 
engine or delete it from the test sequence.
    (d) Setting adjustable parameters. Before any test, we may adjust or 
require you to adjust any adjustable parameter to any setting within its 
physically adjustable range.
    (1) We may adjust or require you to adjust idle speed outside the 
physically adjustable range as needed only until the engine has 
stabilized emission levels (see paragraph (e) of this section). We may 
ask you for information needed to establish an alternate minimum idle 
speed.

[[Page 724]]

    (2) We may make or specify adjustments within the physically 
adjustable range by considering their effect on emission levels, as well 
as how likely it is someone will make such an adjustment with in-use 
engines.
    (e) Stabilizing emission levels. Before you test production-line 
engines, you may operate the engine to stabilize the emission levels. 
Using good engineering judgment, operate your engines in a way that 
represents the way production engines will be used. You may operate each 
engine for no more than the greater of two periods:
    (1) 50 hours.
    (2) The number of hours you operated your emission-data engine for 
certifying the engine family (see 40 CFR part 1065, subpart E).
    (f) Damage during shipment. If shipping an engine to a remote 
facility for production-line testing makes necessary an adjustment or 
repair, you must wait until after the initial emission test to do this 
work. We may waive this requirement if the test would be impossible or 
unsafe, or if it would permanently damage the engine. Report to us, in 
your written report under Sec.  1048.345, all adjustments or repairs you 
make on test engines before each test.
    (g) Retesting after invalid tests. You may retest an engine if you 
determine an emission test is invalid under subpart F of this part. 
Explain in your written report reasons for invalidating any test and the 
emission results from all tests. If you retest an engine and, within ten 
days after testing, ask to substitute results of the new tests for the 
original ones, we will answer within ten days after we receive your 
information.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40475, July 13, 2005]



Sec.  1048.310  How must I select engines for production-line testing?

    (a) Use test results from two engines for each engine family to 
calculate the required sample size for the model year. Update this 
calculation with each test.
    (b) Early in each calendar quarter, randomly select and test two 
engines from the end of the assembly line for each engine family.
    (c) Calculate the required sample size for each engine family. 
Separately calculate this figure for HC+NOX and for CO. The 
required sample size is the greater of these two calculated values. Use 
the following equation:
[GRAPHIC] [TIFF OMITTED] TR13JY05.007

Where:

N = Required sample size for the model year.
t95 = 95% confidence coefficient, which depends on the number 
of tests completed, n, as specified in the table in paragraph (c)(1) of 
this section. It defines 95% confidence intervals for a one-tail 
distribution.
x = Mean of emission test results of the sample.
STD = Emission standard.
[sigma] = Test sample standard deviation (see paragraph (c)(2) of this 
section).
n = The number of tests completed in an engine family.

    (1) Determine the 95% confidence coefficient, t95, from 
the following table:

------------------------------------------------------------------------
         n t95                    n t95                    n t95
------------------------------------------------------------------------
 2 6.31                  12 1.80                  22 1.72
 3 2.92                  13 1.78                  23 1.72
 4 2.35                  14 1.77                  24 1.71
 5 2.13                  15 1.76                  25 1.71
 6 2.02                  16 1.75                  26 1.71
 7 1.94                  17 1.75                  27 1.71
 8 1.90                  18 1.74                  28 1.70
 9 1.86                  19 1.73                  29 1.70
10 1.83                  20 1.73                  30+ 1.70
11 1.81                  21 1.72                  ......................
------------------------------------------------------------------------

    (2) Calculate the standard deviation, [sigma], for the test sample 
using the following formula:
[GRAPHIC] [TIFF OMITTED] TR13JY05.008

Where:

Xi = Emission test result for an individual engine.

    (d) Use final deteriorated test results to calculate the variables 
in the equations in paragraph (c) of this section (see Sec.  
1048.315(a)).
    (e) After each new test, recalculate the required sample size using 
the updated mean values, standard deviations, and the appropriate 95-
percent confidence coefficient.
    (f) Distribute the remaining engine tests evenly throughout the rest 
of the

[[Page 725]]

year. You may need to adjust your schedule for selecting engines if the 
required sample size changes. Continue to randomly select engines from 
each engine family; this may involve testing engines that operate on 
different fuels.
    (g) Continue testing any engine family for which the sample mean, x, 
is greater than the emission standard. This applies if the sample mean 
for either HC+NOX or for CO is greater than the emission 
standard. Continue testing until one of the following things happens:
    (1) The number of tests completed in an engine family, n, is greater 
than the required sample size, N, and the sample mean, x, is less than 
or equal to the emission standard. For example, if N = 3.1 after the 
third test, the sample-size calculation does not allow you to stop 
testing.
    (2) The engine family does not comply according to Sec.  1048.315.
    (3) You test 30 engines from the engine family.
    (4) You test one percent of your projected annual U.S.-directed 
production volume for the engine family, rounded to the nearest whole 
number. If your projected production is between 150 and 750 engines, 
test engines as specified in paragraph (b) of this section until you 
have tested one percent of your projected annual U.S.-directed 
production volume. For example, if projected volume is 475 engines, test 
two engines in each of the first two quarters and one engine in the 
third quarter to fulfill your testing requirements under this section 
for that engine family. If your projected production volume is less than 
150, you must test at least two engines.
    (5) You choose to declare that the engine family does not comply 
with the requirements of this subpart.
    (h) If the sample-size calculation allows you to stop testing for a 
pollutant, you must continue measuring emission levels of that pollutant 
for any additional tests required under this section. However, you need 
not continue making the calculations specified in this section for that 
pollutant. This paragraph (h) does not affect the requirements in Sec.  
1048.320.
    (i) You may elect to test more randomly chosen engines than we 
require under this section. Include these engines in the sample-size 
calculations.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40475, July 13, 2005]



Sec.  1048.315  How do I know when my engine family fails the production-line testing requirements?

    This section describes the pass/fail criteria for the production-
line testing requirements. We apply these criteria on an engine-family 
basis. See Sec.  1048.320 for the requirements that apply to individual 
engines that fail a production-line test.
    (a) Calculate your test results. Round them to the number of decimal 
places in the emission standard expressed to one more decimal place.
    (1) Initial and final test results. Calculate and round the test 
results for each engine. If you do several tests on an engine, calculate 
the initial test results, then add them together and divide by the 
number of tests and round for the final test results on that engine.
    (2) Final deteriorated test results. Apply the deterioration factor 
for the engine family to the final test results (see Sec.  1048.240(c)).
    (b) Construct the following CumSum Equation for each engine family 
(for HC+NOX and for CO emissions):
[GRAPHIC] [TIFF OMITTED] TR08NO02.006

Where:

Ci = The current CumSum statistic.
Ci-1 = The previous CumSum statistic. For the first test, 
CumSum statistic is 0 (i.e. C1 = 0).
Xi = The current emission test result for an individual 
engine.
STD = Emission standard.

    (c) Use final deteriorated test results to calculate the variables 
in the equation in paragraph (b) of this section (see Sec.  
1048.315(a)).
    (d) After each new test, recalculate the CumSum statistic.
    (e) If you test more than the required number of engines, include 
the results from these additional tests in the CumSum Equation.
    (f) After each test, compare the current CumSum statistic, 
Ci, to the recalculated Action Limit, H, defined as H = 5.0 x 
[sigma].

[[Page 726]]

    (g) If the CumSum statistic exceeds the Action Limit in two 
consecutive tests, the engine family fails the production-line testing 
requirements of this subpart. Tell us within ten working days if this 
happens.
    (h) If you amend the application for certification for an engine 
family (see Sec.  1048.225), do not change any previous calculations of 
sample size or CumSum statistics for the model year.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40475, July 13, 2005]



Sec.  1048.320  What happens if one of my production-line engines fails to meet emission standards?

    If you have a production-line engine with final deteriorated test 
results exceeding one or more emission standards (see Sec.  
1048.315(a)), the certificate of conformity is automatically suspended 
for that failing engine. You must take the following actions before your 
certificate of conformity can cover that engine:
    (a) Correct the problem and retest the engine to show it complies 
with all emission standards.
    (b) Include in your written report a description of the test results 
and the remedy for each engine (see Sec.  1048.345).



Sec.  1048.325  What happens if an engine family fails the production-line requirements?

    (a) We may suspend your certificate of conformity for an engine 
family if it fails under Sec.  1048.315. The suspension may apply to all 
facilities producing engines from an engine family, even if you find 
noncompliant engines only at one facility.
    (b) We will tell you in writing if we suspend your certificate in 
whole or in part. We will not suspend a certificate until at least 15 
days after the engine family fails. The suspension is effective when you 
receive our notice.
    (c) Up to 15 days after we suspend the certificate for an engine 
family, you may ask for a hearing (see Sec.  1048.820). If we agree 
before a hearing that we used erroneous information in deciding to 
suspend the certificate, we will reinstate the certificate.
    (d) Section 1048.335 specifies steps you must take to remedy the 
cause of the engine family's production-line failure. All the engines 
you have produced since the end of the last test period are presumed 
noncompliant and should be addressed in your proposed remedy. We may 
require you to apply the remedy to engines produced earlier if we 
determine that the cause of the failure is likely to have affected the 
earlier engines.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40475, July 13, 2005]



Sec.  1048.330  May I sell engines from an engine family with a suspended certificate of conformity?

    You may sell engines that you produce after we suspend the engine 
family's certificate of conformity under Sec.  1048.315 only if one of 
the following occurs:
    (a) You test each engine you produce and show it complies with 
emission standards that apply.
    (b) We conditionally reinstate the certificate for the engine 
family. We may do so if you agree to recall all the affected engines and 
remedy any noncompliance at no expense to the owner if later testing 
shows that the engine family still does not comply.



Sec.  1048.335  How do I ask EPA to reinstate my suspended certificate?

    (a) Send us a written report asking us to reinstate your suspended 
certificate. In your report, identify the reason for noncompliance, 
propose a remedy for the engine family, and commit to a date for 
carrying it out. In your proposed remedy include any quality control 
measures you propose to keep the problem from happening again.
    (b) Give us data from production-line testing that shows the 
remedied engine family complies with all the emission standards that 
apply.



Sec.  1048.340  When may EPA revoke my certificate under this subpart and how may I sell these engines again?

    (a) We may revoke your certificate for an engine family in the 
following cases:
    (1) You do not meet the reporting requirements.
    (2) Your engine family fails to comply with the requirements of this 
subpart and your proposed remedy to address a suspended certificate 
under

[[Page 727]]

Sec.  1048.325 is inadequate to solve the problem or requires you to 
change the engine's design or emission-control system.
    (b) To sell engines from an engine family with a revoked certificate 
of conformity, you must modify the engine family and then show it 
complies with the requirements of this part.
    (1) If we determine your proposed design change may not control 
emissions for the engine's full useful life, we will tell you within 
five working days after receiving your report. In this case we will 
decide whether production-line testing will be enough for us to evaluate 
the change or whether you need to do more testing.
    (2) Unless we require more testing, you may show compliance by 
testing production-line engines as described in this subpart.
    (3) We will issue a new or updated certificate of conformity when 
you have met these requirements.



Sec.  1048.345  What production-line testing records must I send to EPA?

    Do all the following things unless we ask you to send us less 
information:
    (a) Within 30 calendar days of the end of each calendar quarter, 
send us a report with the following information:
    (1) Describe any facility used to test production-line engines and 
state its location.
    (2) State the total U.S.-directed production volume and number of 
tests for each engine family.
    (3) Describe how you randomly selected engines.
    (4) Describe your test engines, including the engine family's 
identification and the engine's model year, build date, model number, 
identification number, and number of hours of operation before testing 
for each test engine.
    (5) Identify where you accumulated hours of operation on the engines 
and describe the procedure and schedule you used.
    (6) Provide the test number; the date, time and duration of testing; 
test procedure; initial test results before and after rounding; final 
test results; and final deteriorated test results for all tests. Provide 
the emission results for all measured pollutants. Include information 
for both valid and invalid tests and the reason for any invalidation.
    (7) Describe completely and justify any nonroutine adjustment, 
modification, repair, preparation, maintenance, or test for the test 
engine if you did not report it separately under this subpart. Include 
the results of any emission measurements, regardless of the procedure or 
type of equipment.
    (8) Provide the CumSum analysis required in Sec.  1048.315 for each 
engine family.
    (9) Report on each failed engine as described in Sec.  1048.320.
    (10) State the date the calendar quarter ended for each engine 
family.
    (b) We may ask you to add information to your written report, so we 
can determine whether your new nonroad engines conform with the 
requirements of this subpart.
    (c) An authorized representative of your company must sign the 
following statement:

    We submit this report under Sections 208 and 213 of the Clean Air 
Act. Our production-line testing conformed completely with the 
requirements of 40 CFR part 1048. We have not changed production 
processes or quality-control procedures for the engine family in a way 
that might affect the emission control from production engines. All the 
information in this report is true and accurate, to the best of my 
knowledge. I know of the penalties for violating the Clean Air Act and 
the regulations. (Authorized Company Representative)

    (d) Send electronic reports of production-line testing to the 
Designated Compliance Officer using an approved information format. If 
you want to use a different format, send us a written request with 
justification for a waiver.
    (e) We will send copies of your reports to anyone from the public 
who asks for them. See Sec.  1048.815 for information on how we treat 
information you consider confidential.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40476, July 13, 2005]



Sec.  1048.350  What records must I keep?

    (a) Organize and maintain your records as described in this section. 
We may review your records at any time.
    (b) Keep paper records of your production-line testing for one full 
year

[[Page 728]]

after you complete all the testing required for an engine family in a 
model year. You may use any additional storage formats or media if you 
like.
    (c) Keep a copy of the written reports described in Sec.  1048.345.
    (d) Keep the following additional records:
    (1) A description of all test equipment for each test cell that you 
can use to test production-line engines.
    (2) The names of supervisors involved in each test.
    (3) The name of anyone who authorizes adjusting, repairing, 
preparing, or modifying a test engine and the names of all supervisors 
who oversee this work.
    (4) If you shipped the engine for testing, the date you shipped it, 
the associated storage or port facility, and the date the engine arrived 
at the testing facility.
    (5) Any records related to your production-line tests that are not 
in the written report.
    (6) A brief description of any significant events during testing not 
otherwise described in the written report or in this section.
    (7) Any information specified in Sec.  1048.345 that you do not 
include in your written reports.
    (e) If we ask, you must give us projected or actual production 
figures for an engine family. We may ask you to divide your production 
figures by maximum brake power, displacement, fuel type, or assembly 
plant (if you produce engines at more than one plant).
    (f) Keep a list of engine identification numbers for all the engines 
you produce under each certificate of conformity. Give us this list 
within 30 days if we ask for it.
    (g) We may ask you to keep or send other information necessary to 
implement this subpart.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40476, July 13, 2005]



                    Subpart E_Testing In-use Engines



Sec.  1048.401  What testing requirements apply to my engines that have gone into service?

    (a) If you produce engines that are subject to the requirements of 
this part, you must test them as described in this subpart. This 
generally involves testing engines in the field or removing them for 
measurement in a laboratory.
    (b) We may approve an alternate plan for showing that in-use engines 
comply with the requirements of this part if one of the following is 
true:
    (1) You produce 200 or fewer engines per year in the selected engine 
family.
    (2) Removing the engine from most of the applications for that 
engine family causes significant, irreparable damage to the equipment.
    (3) You identify a unique aspect of your engine applications that 
keeps you from doing the required in-use testing.
    (c) We may void your certificate of conformity for an engine family 
if you do not meet your obligations under this part.
    (d) Independent of your responsibility to test in-use engines, we 
may choose at any time to do our own testing of your in-use engines.
    (e) If in-use testing shows that engines fail to meet emission 
standards or other requirements of this part, we may pursue a recall or 
other remedy as allowed by the Act (see Sec.  1048.415).



Sec.  1048.405  How does this program work?

    (a) You must test in-use engines, for exhaust emissions, from the 
families we select. We may select up to 25 percent of your engine 
families in any model year--or one engine family if you have three or 
fewer families. We will select engine families for testing before the 
end of the model year. When we select an engine family for testing, we 
may specify that you preferentially test engines based on fuel type or 
equipment type. In addition, we may identify specific modes of operation 
or sampling times. You may choose to test additional engine families 
that we do not select.
    (b) Send us an in-use testing plan within 12 calendar months after 
we direct you to test a particular engine family. Complete the testing 
within 24 calendar months after we approve your plan.
    (c) You may need to test engines from more than one model year at a 
given time.

[[Page 729]]



Sec.  1048.410  How must I select, prepare, and test my in-use engines?

    (a) You may make arrangements to select representative test engines 
from your own fleet or from other independent sources.
    (b) For the selected engine families, select engines that you or 
your customers have--
    (1) Operated for at least 50 percent of the engine family's useful 
life (see Sec.  1048.101(d));
    (2) Not maintained or used in an abnormal way; and
    (3) Documented in terms of total hours of operation, maintenance, 
operating conditions, and storage.
    (c) Use the following methods to determine the number of engines you 
must test in each engine family:
    (1) Test at least two engines if you produce 2,000 or fewer engines 
in the model year from all engine families, or if you produce 500 or 
fewer engines from the selected engine family. Otherwise, test at least 
four engines.
    (2) If you successfully complete an in-use test program on an engine 
family and later certify an equivalent engine family with carryover 
emission data, as described in Sec.  1048.235(c), then test at least one 
engine instead of the testing rates in paragraph (c)(1) of this section.
    (3) If you test the minimum required number of engines and all 
comply fully with emission standards, you may stop testing.
    (4) For each engine that fails any applicable standard, test two 
more. Regardless of measured emission levels, you do not have to test 
more than ten engines in an engine family. You may do more tests than we 
require.
    (5) You may concede that the engine family does not comply before 
testing a total of ten engines.
    (d) You may do minimal maintenance to set components of a test 
engine to specifications for anything we do not consider an adjustable 
parameter (see Sec.  1048.205(p)). Limit maintenance to what is in the 
owner's instructions for engines with that amount of service and age. 
Document all maintenance and adjustments.
    (e) Do at least one valid exhaust emission test for each test 
engine.
    (f) For a test program on an engine family, choose one of the 
following methods to test your engines:
    (1) Remove the selected engines for testing in a laboratory. Use the 
applicable steady-state and transient procedures in subpart F of this 
part to show compliance with the duty-cycle standards in Sec.  
1048.101(a) and (b). We may direct you to measure emissions on the 
dynamometer using the supplemental test procedures in Sec.  1048.515 to 
show compliance with the field-testing standards in Sec.  1048.101(c).
    (2) Test the selected engines while they remain installed in the 
equipment. Use the field testing procedures in subpart F of this part. 
Measure emissions during normal operation of the equipment to show 
compliance with the field-testing standards in Sec.  1048.101(c). We may 
direct you to include specific areas of normal operation.
    (g) You may ask us to waive parts of the prescribed test procedures 
if they are not necessary to determine in-use compliance.
    (h) Calculate the average emission levels for an engine family from 
the results for the set of tested engines. Round them to the number of 
decimal places in the emission standards expressed to one more decimal 
place.



Sec.  1048.415  What happens if in-use engines do not meet requirements?

    (a) Determine the reason each in-use engine exceeds the emission 
standards.
    (b) If the average emission levels calculated in Sec.  1048.410(h) 
exceed any of the emission standards that apply, notify us within 
fifteen days of completing testing on this family. Otherwise follow the 
reporting instructions in Sec.  1048.420.
    (c) We will consider failure rates, average emission levels, and any 
defects--among other things--to decide on taking remedial action under 
this subpart (see 40 CFR 1068.505). We may consider the results from any 
voluntary additional testing you conduct. We may also consider 
information related to testing from other engine families showing that 
you designed them to exceed the minimum requirements for controlling 
emissions. We may

[[Page 730]]

order a recall before or after you complete testing of an engine family 
if we determine a substantial number of engines do not conform to 
section 213 of the Act or to this part.
    (d) If in-use testing reveals a design or manufacturing defect that 
prevents engines from meeting the requirements of this part, you must 
correct the defect as soon as possible for any future production for 
engines in every family affected by the defect.
    (e) You may voluntarily recall an engine family for emission 
failures, as described in 40 CFR 1068.535, unless we have ordered a 
recall for that family under 40 CFR 1068.505.
    (f) You have the right to a hearing before we order you to recall 
your engines or implement an alternative remedy (see Sec.  1048.820).



Sec.  1048.420  What in-use testing information must I report to EPA?

    (a) In a report to us within three months after you finish testing 
an engine family, do all the following:
    (1) Identify the engine family, model, serial number, and date of 
manufacture.
    (2) For each engine inspected or considered for testing, identify 
whether the diagnostic system was functioning.
    (3) Describe the specific reasons for disqualifying any engines for 
not being properly maintained or used.
    (4) For each engine selected for testing, include the following 
information:
    (i) Estimate the hours each engine was used before testing.
    (ii) Describe all maintenance, adjustments, modifications, and 
repairs to each test engine.
    (5) State the date and time of each test attempt.
    (6) Include the results of all emission testing, including 
incomplete or invalidated tests, if any.
    (b) Send electronic reports of in-use testing to the Designated 
Compliance Officer using an approved information format. If you want to 
use a different format, send us a written request with justification for 
a waiver.
    (c) We will send copies of your reports to anyone from the public 
who asks for them. See Sec.  1048.815 for information on how we treat 
information you consider confidential.
    (d) We may ask for more information.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40476, July 13, 2005]



Sec.  1048.425  What records must I keep?

    (a) Organize and maintain your records as described in this section. 
We may review your records at any time.
    (b) Keep paper records of your in-use testing for one full year 
after you complete all the testing required for an engine family in a 
model year. You may use any additional storage formats or media if you 
like.
    (c) Keep a copy of the written reports described in Sec.  1048.420.
    (d) Keep any additional records related to the procurement process.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40476, July 13, 2005]



                        Subpart F_Test Procedures



Sec.  1048.501  How do I run a valid emission test?

    (a) Use the equipment and procedures for spark-ignition engines in 
40 CFR part 1065 to determine whether engines meet the duty-cycle 
emission standards in Sec.  1048.101(a) and (b). Measure the emissions 
of all the pollutants we regulate in Sec.  1048.101 using the sampling 
procedures specified in 40 CFR part 1065. Use the applicable duty cycles 
specified in Sec. Sec.  1048.505 and 1048.510.
    (b) Section 1048.515 describes the supplemental procedures for 
evaluating whether engines meet the field-testing emission standards in 
Sec.  1048.101(c).
    (c) Use the fuels specified in 40 CFR part 1065, subpart C, to 
perform valid tests for all the testing we require in this part, except 
as noted in Sec.  1048.515. For service accumulation, use the test fuel 
or any commercially available fuel that is representative of the fuel 
that in-use engines will use.
    (d) In place of the provisions of 40 CFR 1065.405, you may consider 
emission levels stable without measurement after 50 hours of engine 
operation.
    (e) To test engines for evaporative emissions, use the equipment and 
procedures specified for testing diurnal emissions in 40 CFR 86.107-96 
and 86.133-96 with fuel meeting the specifications in 40 CFR part 1065, 
subpart C.

[[Page 731]]

Measure emissions from a test engine with a complete fuel system. 
Reported emission levels must be based on the highest emissions from 
three successive 24-hour periods of cycling temperatures. Note that you 
may omit testing for evaporative emissions during certification if you 
certify by design, as specified in Sec.  1048.245.
    (f) You may use special or alternate procedures to the extent we 
allow them under 40 CFR 1065.10.
    (g) This subpart is addressed to you as a manufacturer, but it 
applies equally to anyone who does testing for you, and to us when we 
perform testing to determine if your engines meet emission standards.
    (h) Map all engines (including constant-speed engines) using the 
procedures specified in 40 CFR part 1065 for variable-speed engines. For 
constant-speed engines, continue the mapping procedure until you reach 
the high-idle speed (the highest speed at which the engine produces zero 
torque).

[70 FR 40476, July 13, 2005]



Sec.  1048.505  How do I test engines using steady-state duty cycles, including ramped-modal testing?

    This section describes how to test engines under steady-state 
conditions. In some cases, we allow you to choose the appropriate 
steady-state duty cycle for an engine. In these cases, you must use the 
duty cycle you select in your application for certification for all 
testing you perform for that engine family. If we test your engines to 
confirm that they meet emission standards, we will use the duty cycles 
you select for your own testing. We may also perform other testing as 
allowed by the Clean Air Act.
    (a) You may perform steady-state testing with either discrete-mode 
or ramped-modal cycles, as follows:
    (1) For discrete-mode testing, sample emissions separately for each 
mode, then calculate an average emission level for the whole cycle using 
the weighting factors specified for each mode. Calculate cycle 
statistics for the sequence of modes and compare with the specified 
values in 40 CFR 1065.514 to confirm that the test is valid. Operate the 
engine and sampling system as follows:
    (i) Engines with lean NOX aftertreatment. For lean-burn engines that 
depend on aftertreatment to meet the NOX emission standard, 
operate the engine for 5-6 minutes, then sample emissions for 1-3 
minutes in each mode.
    (ii) Engines without lean NOX aftertreatment. For other engines, 
operate the engine for at least 5 minutes, then sample emissions for at 
least 1 minute in each mode. Calculate cycle statistics for the sequence 
of modes and compare with the specified values in 40 CFR part 1065 to 
confirm that the test is valid.
    (2) For ramped-modal testing, start sampling at the beginning of the 
first mode and continue sampling until the end of the last mode. 
Calculate emissions and cycle statistics the same as for transient 
testing.
    (b) Measure emissions by testing the engine on a dynamometer with 
one or more of the following sets of duty cycles to determine whether it 
meets the steady-state emission standards in Sec.  1048.101(b):
    (1) For engines from an engine family that will be used only in 
variable-speed applications, use one of the following duty cycles:
    (i) The following duty cycle applies for discrete-mode testing:

                                           Table 1 of Sec.   1048.505
----------------------------------------------------------------------------------------------------------------
                                                                                   Minimum  time
                   C2 Mode No.                     Engine speed      Observed         in mode        Weighting
                                                        \1\         torque \2\       (minutes)        factors
----------------------------------------------------------------------------------------------------------------
1...............................................    Maximum test              25             3.0            0.06
                                                           speed
2...............................................    Intermediate             100             3.0            0.02
                                                      test speed
3...............................................    Intermediate              75             3.0            0.05
                                                      test speed

[[Page 732]]

 
4...............................................    Intermediate              50             3.0            0.32
                                                      test speed
5...............................................    Intermediate              25             3.0            0.30
                                                      test speed
6...............................................    Intermediate              10             3.0            0.10
                                                      test speed
7...............................................            Idle               0             3.0            0.15
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the given engine speed.

    (ii) The following duty cycle applies for ramped-modal testing:

                                           Table 2 of Sec.   1048.505
----------------------------------------------------------------------------------------------------------------
                                       Time in mode
              RMC mode                   (seconds)       Engine speed \1,2\         Torque  (percent) \2,3\
----------------------------------------------------------------------------------------------------------------
1a Steady-state.....................             119  Warm Idle..............  0
1b Transition.......................              20  Linear Transition......  Linear Transition.
2a Steady-state.....................              29  Intermediate Speed.....  100
2b Transition.......................              20  Intermediate Speed.....  Linear Transition.
3a Steady-state.....................             150  Intermediate Speed.....  10
3b Transition.......................              20  Intermediate Speed.....  Linear Transition.
4a Steady-state.....................              80  Intermediate Speed.....  75
4b Transition.......................              20  Intermediate Speed.....  Linear Transition.
5a Steady-state.....................             513  Intermediate Speed.....  25
5b Transition.......................              20  Intermediate Speed.....  Linear Transition.
6a Steady-state.....................             549  Intermediate Speed.....  50
5b Transition.......................              20  Linear Transition......  Linear Transition.
6a Steady-state.....................              96  Maximum test speed.....  25
6b Transition.......................              20  Linear Transition......  Linear Transition.
7 Steady-state......................             124  Warm Idle..............  0
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
  a linear progression from the torque setting of the current mode to the torque setting of the next mode.
\3\ The percent torque is relative to maximum torque at the commanded engine speed.

    (2) For engines from an engine family that will be used only at a 
single, rated speed, use one of the following duty cycles:
    (i) The following duty cycle applies for discrete-mode testing:

                                           Table 3 of Sec.   1048.505
----------------------------------------------------------------------------------------------------------------
                                                                                   Minimum time
            D2 mode No.                      Engine speed           Torque \1\        in mode        Weighting
                                                                                     (minutes)        factors
----------------------------------------------------------------------------------------------------------------
1..................................  Maximum test...............             100             3.0            0.05
2..................................  Maximum test...............              75             3.0            0.25
3..................................  Maximum test...............              50             3.0            0.30
4..................................  Maximum test...............              25             3.0            0.30
5..................................  Maximum test...............              10             3.0            0.10
----------------------------------------------------------------------------------------------------------------
\1\ The percent torque is relative to the maximum torque at maximum test speed.

    (ii) The following duty cycle applies for ramped-modal testing:

[[Page 733]]



                                           Table 4 of Sec.   1048.505
----------------------------------------------------------------------------------------------------------------
                                       Time in mode
              RMC mode                   (seconds)          Engine speed            Torque  (percent) \1,2\
----------------------------------------------------------------------------------------------------------------
1a Steady-state.....................              53  Engine Governed........  100
1b Transition.......................              20  Engine Governed........  Linear transition.
2a Steady-state.....................             101  Engine Governed........  10
2b Transition.......................              20  Engine Governed........  Linear transition.
3a Steady-state.....................             277  Engine Governed........  75
3b Transition.......................              20  Engine Governed........  Linear transition.
4a Steady-state.....................             339  Engine Governed........  25
4b Transition.......................              20  Engine Governed........  Linear transition.
5 Steady-state......................             350  Engine Governed........  50
----------------------------------------------------------------------------------------------------------------
\1\ The percent torque is relative to maximum test torque.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
  a linear progression from the torque setting of the current mode to the torque setting of the next mode.

    (3) Use a duty cycle from both paragraphs (b)(1) and (b)(2) of this 
section if you will not restrict an engine family to constant-speed or 
variable-speed applications.
    (4) Use a duty cycle specified in paragraph (b)(2) of this section 
for all severe-duty engines.
    (5) For high-load engines, use one of the following duty cycles:
    (i) The following duty cycle applies for discrete-mode testing:

                                           Table 5 of Sec.   1048.505
----------------------------------------------------------------------------------------------------------------
                                                                                   Minimum time
            D1 mode No.                      Engine speed           Torque \1\        in mode        Weighting
                                                                                     (minutes)        factors
----------------------------------------------------------------------------------------------------------------
1..................................  Maximum test...............             100             3.0            0.50
2..................................  Maximum test...............              75             3.0            0.50
----------------------------------------------------------------------------------------------------------------
\1\ The percent torque is relative to the maximum torque at maximum test speed.

    (ii) The following duty cycle applies for discrete-mode testing:

                                           Table 6 of Sec.   1048.505
----------------------------------------------------------------------------------------------------------------
                                       Time in mode
              RMC modes                  (seconds)    Engine speed  (percent)       Torque  (percent) \1,2\
----------------------------------------------------------------------------------------------------------------
1a Steady-state.....................             290  Engine Governed........  100
1b Transition.......................              20  Engine Governed........  Linear Transition.
2 Steady-state......................             290  Engine Governed........  75
----------------------------------------------------------------------------------------------------------------
\1\ The percent torque is relative to maximum test torque.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
  a linear progression from the torque setting of the current mode to the torque setting of the next mode.

    (c) If we test an engine to confirm that it meets the duty-cycle 
emission standards, we will use the steady-state duty cycles that apply 
for that engine family.
    (d) During idle mode, operate the engine with the following 
parameters:
    (1) Hold the speed within your specifications.
    (2) Set the engine to operate at its minimum fueling rate.
    (3) Keep engine torque under 5 percent of maximum test torque.
    (e) For full-load operating modes, operate the engine at wide-open 
throttle.
    (f) See 40 CFR part 1065 for detailed specifications of tolerances 
and calculations.
    (g) For those cases where transient testing is not necessary, 
perform the steady-state test according to this section after an 
appropriate warm-up period, consistent with 40 CFR part 1065, subpart F.

[70 FR 40476, July 13, 2005]

[[Page 734]]



Sec.  1048.510  Which duty cycles do I use for transient testing?

    (a) Starting with the 2007 model year, measure emissions by testing 
the engine on a dynamometer with one of the following transient duty 
cycles to determine whether it meets the transient emission standards in 
Sec.  1048.101(a):
    (1) For constant-speed engines and severe-duty engines, use the 
transient duty-cycle described in Appendix I of this part.
    (2) For all other engines, use the transient duty cycle described in 
Appendix II of this part.
    (b) If we test an engine to confirm that it meets the duty-cycle 
emission standards, we will use the transient duty cycle that applies 
for that engine family.
    (c) Warm up the test engine as follows:
    (1) Operate the engine for the first 180 seconds of the appropriate 
duty cycle from Appendix I or Appendix II of this part, then allow it to 
idle without load for 30 seconds. At the end of the 30-second idling 
period, start measuring emissions as the engine operates over the 
prescribed duty cycle. For severe-duty engines, this engine warm-up 
procedure may include up to 15 minutes of operation over the appropriate 
duty cycle.
    (2) If the engine was already operating before a test, use good 
engineering judgment to let the engine cool down enough so measured 
emissions during the next test will accurately represent those from an 
engine starting at room temperature. For example, if an engine starting 
at room temperature warms up enough in three minutes to start closed-
loop operation and achieve full catalyst activity, then minimal engine 
cooling is necessary before starting the next test.
    (3) You are not required to measure emissions while the engine is 
warming up. However, you must design your emission-control system to 
start working as soon as possible after engine starting. In your 
application for certification, describe how your engine meets this 
objective (see Sec.  1048.205(b)).

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40478, July 13, 2005]



Sec.  1048.515  What are the field-testing procedures?

    (a) This section describes the procedures to determine whether your 
engines meet the field-testing emission standards in Sec.  1048.101(c). 
These procedures may include any normal engine operation and ambient 
conditions that the engines may experience in use. Paragraph (b) of this 
section defines the limits of what we will consider normal engine 
operation and ambient conditions. Use the test procedures we specify in 
Sec.  1048.501, except for the provisions we specify in this section. 
Measure emissions with one of the following procedures:
    (1) Remove the selected engines for testing in a laboratory. You may 
use an engine dynamometer to simulate normal operation, as described in 
this section.
    (2) Test the selected engines while they remain installed in the 
equipment. In 40 CFR part 1065, subpart J, we describe the equipment and 
sampling methods for testing engines in the field. Use fuel meeting the 
specifications of 40 CFR part 1065, subpart H, or a fuel typical of what 
you would expect the engine to use in service.
    (b) An engine's emissions may not exceed the levels we specify in 
Sec.  1048.101(c) for any continuous sampling period of at least 120 
seconds under the following ranges of operation and operating 
conditions:
    (1) Engine operation during the emission sampling period may include 
any normal operation, subject to the following restrictions:
    (i) Average power must be over 5 percent of maximum brake power.
    (ii) Continuous time at idle must not be greater than 120 seconds.
    (iii) The sampling period may not begin until the engine has reached 
stable operating temperatures. For example, this would exclude engine 
operation after starting until the thermostat starts modulating coolant 
temperature.
    (iv) The sampling period may not include engine starting.
    (v) For engines that qualify for the alternate Tier 2 emission 
standards in Sec.  1048.101(d), operation at 90 percent or more of 
maximum power must be less than 10 percent of the total sampling

[[Page 735]]

time. You may request our approval for a different power threshold.
    (2) Engine testing may occur under any normal conditions without 
correcting measured emission levels, subject to the following 
restrictions:
    (i) Barometric pressure must be between 80.0 and 103.3 kPa (600 and 
775 mm Hg).
    (ii) Ambient air temperature must be between 13[deg] and 35 [deg]C.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40478, July 13, 2005]



                     Subpart G_Compliance Provisions



Sec.  1048.601  What compliance provisions apply to these engines?

    Engine and equipment manufacturers, as well as owners, operators, 
and rebuilders of engines subject to the requirements of this part, and 
all other persons, must observe the provisions of this part, the 
requirements and prohibitions in 40 CFR part 1068, and the provisions of 
the Act.

[70 FR 40479, July 13, 2005]



Sec.  1048.605  What provisions apply to engines certified under the motor-vehicle program?

    (a) General provisions. If you are an engine manufacturer, this 
section allows you to introduce new nonroad engines into commerce if 
they are already certified to the requirements that apply to engines 
under 40 CFR parts 85 and 86 for the appropriate model year. If you 
comply with all the provisions of this section, we consider the 
certificate issued under 40 CFR part 86 for each engine to also be a 
valid certificate of conformity under this part 1048 for its model year, 
without a separate application for certification under the requirements 
of this part 1048. See Sec.  1048.610 for similar provisions that apply 
to engines certified to chassis-based standards for motor vehicles.
    (b) Equipment-manufacturer provisions. If you are not an engine 
manufacturer, you may produce nonroad equipment using motor-vehicle 
engines under this section as long as you meet all the requirements and 
conditions specified in paragraph (d) of this section. If you modify the 
motor-vehicle engine in any of the ways described in paragraph (d)(2) of 
this section, we will consider you a manufacturer of a new nonroad 
engine. Such engine modifications prevent you from using the provisions 
of this section.
    (c) Liability. Engines for which you meet the requirements of this 
section are exempt from all the requirements and prohibitions of this 
part, except for those specified in this section. Engines exempted under 
this section must meet all the applicable requirements from 40 CFR parts 
85 and 86. This applies to engine manufacturers, equipment manufacturers 
who use these engines, and all other persons as if these engines were 
used in a motor vehicle. The prohibited acts of 40 CFR 1068.101(a)(1) 
apply to these new engines and equipment; however, we consider the 
certificate issued under 40 CFR part 86 for each engine to also be a 
valid certificate of conformity under this part 1048 for its model year. 
If we make a determination that these engines do not conform to the 
regulations during their useful life, we may require you to recall them 
under 40 CFR part 86 or 40 CFR 1068.505.
    (d) Specific requirements. If you are an engine manufacturer or 
equipment manufacturer and meet all the following criteria and 
requirements regarding your new nonroad engine, the engine is eligible 
for an exemption under this section:
    (1) Your engine must be covered by a valid certificate of conformity 
issued under 40 CFR part 86.
    (2) You must not make any changes to the certified engine that could 
reasonably be expected to increase its exhaust emissions for any 
pollutant, or its evaporative emissions. For example, if you make any of 
the following changes to one of these engines, you do not qualify for 
this exemption:
    (i) Change any fuel system or evaporative system parameters from the 
certified configuration (this does not apply to refueling controls).
    (ii) Change, remove, or fail to properly install any other 
component, element of design, or calibration specified in the engine 
manufacturer's application for certification. This includes

[[Page 736]]

aftertreatment devices and all related components.
    (iii) Modify or design the engine cooling system so that 
temperatures or heat rejection rates are outside the original engine 
manufacturer's specified ranges.
    (3) You must show that fewer than 50 percent of the engine family's 
total sales in the United States are used in nonroad applications. This 
includes engines used in any application without regard to which company 
manufactures the vehicle or equipment. Show this as follows:
    (i) If you are the original manufacturer of the engine, base this 
showing on your sales information.
    (ii) In all other cases, you must get the original manufacturer of 
the engine to confirm this based on its sales information.
    (4) You must ensure that the engine has the label we require under 
40 CFR part 86.
    (5) You must add a permanent supplemental label to the engine in a 
position where it will remain clearly visible after installation in the 
equipment. In the supplemental label, do the following:
    (i) Include the heading: ``NONROAD ENGINE EMISSION CONTROL 
INFORMATION''.
    (ii) Include your full corporate name and trademark. You may instead 
include the full corporate name and trademark of another company you 
choose to designate.
    (iii) State: ``THIS ENGINE WAS ADAPTED FOR NONROAD USE WITHOUT 
AFFECTING ITS EMISSION CONTROLS. THE EMISSION-CONTROL SYSTEM DEPENDS ON 
THE USE OF FUEL MEETING SPECIFICATIONS THAT APPLY FOR MOTOR-VEHICLE 
APPLICATIONS. OPERATING THE ENGINE ON OTHER FUELS MAY BE A VIOLATION OF 
FEDERAL LAW.''.
    (iv) State the date you finished modifying the engine (month and 
year), if applicable.
    (6) The original and supplemental labels must be readily visible 
after the engine is installed in the equipment or, if the equipment 
obscures the engine's emission control information label, the equipment 
manufacturer must attach duplicate labels, as described in 40 CFR 
1068.105.
    (7) Send the Designated Compliance Officer a signed letter by the 
end of each calendar year (or less often if we tell you) with all the 
following information:
    (i) Identify your full corporate name, address, and telephone 
number.
    (ii) List the engine or equipment models you expect to produce under 
this exemption in the coming year.
    (iii) State: ``We produce each listed [engine or equipment] model 
for nonroad application without making any changes that could increase 
its certified emission levels, as described in 40 CFR 1048.605.''.
    (e) Failure to comply. If your engines do not meet the criteria 
listed in paragraph (d) of this section, they will be subject to the 
standards, requirements, and prohibitions of this part 1048 and the 
certificate issued under 40 CFR part 86 will not be deemed to also be a 
certificate issued under this part 1048. Introducing these engines into 
commerce without a valid exemption or certificate of conformity under 
this part violates the prohibitions in 40 CFR 1068.101(a)(1).
    (f) Data submission. We may require you to send us emission test 
data on any applicable nonroad duty cycles.
    (g) Participation in averaging, banking and trading. Engines adapted 
for nonroad use under this section may generate credits under the ABT 
provisions in 40 CFR part 86. These engines must use emission credits 
under 40 CFR part 86 if they are certified to an FEL that exceeds an 
applicable standard under 40 CFR part 86.

[70 FR 40479, July 13, 2005]



Sec.  1048.610  What provisions apply to vehicles certified under the motor-vehicle program?

    (a) General provisions. If you are a motor-vehicle manufacturer, 
this section allows you to introduce new nonroad engines or equipment 
into commerce if the vehicle is already certified to the requirements 
that apply under 40 CFR parts 85 and 86 for the appropriate model year. 
If you comply with all of the provisions of this section, we consider 
the certificate issued

[[Page 737]]

under 40 CFR part 86 for each motor vehicle to also be a valid 
certificate of conformity for the engine under this part 1048 for its 
model year, without a separate application for certification under the 
requirements of this part 1048. See Sec.  1048.605 or similar provisions 
that apply to motor-vehicle engines produced for nonroad equipment. The 
provisions of this section do not apply to engines certified to meet the 
requirements for highway motorcycles.
    (b) Equipment-manufacturer provisions. If you are not a motor-
vehicle manufacturer, you may produce nonroad equipment from motor 
vehicles under this section as long as you meet all the requirements and 
conditions specified in paragraph (d) of this section. If you modify the 
motor vehicle or its engine in any of the ways described in paragraph 
(d)(2) of this section, we will consider you a manufacturer of a new 
nonroad engine. Such modifications prevent you from using the provisions 
of this section.
    (c) Liability. Engines, vehicles, and equipment for which you meet 
the requirements of this section are exempt from all the requirements 
and prohibitions of this part, except for those specified in this 
section. Engines exempted under this section must meet all the 
applicable requirements from 40 CFR parts 85 and 86. This applies to 
engine manufacturers, equipment manufacturers, and all other persons as 
if the nonroad equipment were motor vehicles. The prohibited acts of 40 
CFR 1068.101(a)(1) apply to these new pieces of equipment; however, we 
consider the certificate issued under 40 CFR part 86 for each motor 
vehicle to also be a valid certificate of conformity for the engine 
under this part 1048 for its model year. If we make a determination that 
these engines, vehicles, or equipment do not conform to the regulations 
during their useful life, we may require you to recall them under 40 CFR 
part 86 or 40 CFR 1068.505.
    (d) Specific requirements. If you are a motor-vehicle manufacturer 
and meet all the following criteria and requirements regarding your new 
nonroad equipment and its engine, the engine is eligible for an 
exemption under this section:
    (1) Your equipment must be covered by a valid certificate of 
conformity as a motor vehicle issued under 40 CFR part 86.
    (2) You must not make any changes to the certified vehicle that we 
could reasonably expect to increase its exhaust emissions for any 
pollutant, or its evaporative emissions if it is subject to evaporative-
emission standards. For example, if you make any of the following 
changes, you do not qualify for this exemption:
    (i) Change any fuel system or evaporative system parameters from the 
certified configuration, including refueling emission controls.
    (ii) Change, remove, or fail to properly install any other 
component, element of design, or calibration specified in the vehicle 
manufacturer's application for certification. This includes 
aftertreatment devices and all related components.
    (iii) Modify or design the engine cooling system so that 
temperatures or heat rejection rates are outside the original vehicle 
manufacturer's specified ranges.
    (iv) Add more than 500 pounds to the curb weight of the originally 
certified motor vehicle.
    (3) You must show that fewer than 50 percent of the engine family's 
total sales in the United States are used in nonroad applications. This 
includes any type of vehicle, without regard to which company completes 
the manufacturing of the nonroad equipment. Show this as follows:
    (i) If you are the original manufacturer of the vehicle, base this 
showing on your sales information.
    (ii) In all other cases, you must get the original manufacturer of 
the vehicle to confirm this based on their sales information.
    (4) The equipment must have the vehicle emission control information 
and fuel labels we require under 40 CFR 86.007-35.
    (5) You must add a permanent supplemental label to the equipment in 
a position where it will remain clearly visible. In the supplemental 
label, do the following:
    (i) Include the heading: ``NONROAD ENGINE EMISSION CONTROL 
INFORMATION''.

[[Page 738]]

    (ii) Include your full corporate name and trademark. You may instead 
include the full corporate name and trademark of another company you 
choose to designate.
    (iii) State: ``THIS VEHICLE WAS ADAPTED FOR NONROAD USE WITHOUT 
AFFECTING ITS EMISSION CONTROLS. THE EMISSION-CONTROL SYSTEM DEPENDS ON 
THE USE OF FUEL MEETING SPECIFICATIONS THAT APPLY FOR MOTOR-VEHICLE 
APPLICATIONS. OPERATING THE ENGINE ON OTHER FUELS MAY BE A VIOLATION OF 
FEDERAL LAW.''.
    (iv) State the date you finished modifying the vehicle (month and 
year), if applicable.
    (6) The original and supplemental labels must be readily visible in 
the fully assembled equipment.
    (7) Send the Designated Compliance Officer a signed letter by the 
end of each calendar year (or less often if we tell you) with all the 
following information:
    (i) Identify your full corporate name, address, and telephone 
number.
    (ii) List the equipment models you expect to produce under this 
exemption in the coming year.
    (iii) State: ``We produced each listed engine or equipment model for 
nonroad application without making any changes that could increase its 
certified emission levels, as described in 40 CFR 1048.610.''.
    (e) Failure to comply. If your engines, vehicles, or equipment do 
not meet the criteria listed in paragraph (d) of this section, the 
engines will be subject to the standards, requirements, and prohibitions 
of this part 1048, and the certificate issued under 40 CFR part 86 will 
not be deemed to also be a certificate issued under this part 1048. 
Introducing these engines into commerce without a valid exemption or 
certificate of conformity under this part violates the prohibitions in 
40 CFR 1068.101(a)(1).
    (f) Data submission. We may require you to send us emission test 
data on any applicable nonroad duty cycles.
    (g) Participation in averaging, banking and trading. Vehicles 
adapted for nonroad use under this section may generate credits under 
the ABT provisions in 40 CFR part 86. These vehicles must use emission 
credits under 40 CFR part 86 if they are certified to an FEL that 
exceeds an applicable standard under 40 CFR part 86.

[70 FR 40480, July 13, 2005]



Sec.  1048.615  What are the provisions for exempting engines designed for lawn and garden applications?

    This section is intended for engines designed for lawn and garden 
applications, but it applies to any engines meeting the size criteria in 
paragraph (a) of this section.
    (a) If an engine meets all the following criteria, it is exempt from 
the requirements of this part:
    (1) The engine must have a total displacement of 1,000 cc or less.
    (2) The engine must have a maximum engine power at or below 30 kW.
    (3) The engine must be in an engine family that has a valid 
certificate of conformity showing that it meets emission standards for 
Class II engines under 40 CFR part 90 for the appropriate model year.
    (b) The only requirements or prohibitions from this part that apply 
to an engine that meets the criteria in paragraph (a) of this section 
are in this section.
    (c) If your engines do not meet the criteria listed in paragraph (a) 
of this section, they will be subject to the provisions of this part. 
Introducing these engines into commerce without a valid exemption or 
certificate of conformity violates the prohibitions in 40 CFR 1068.101.
    (d) Engines exempted under this section are subject to all the 
requirements affecting engines under 40 CFR part 90. The requirements 
and restrictions of 40 CFR part 90 apply to anyone manufacturing these 
engines, anyone manufacturing equipment that uses these engines, and all 
other persons in the same manner as if these engines had a total maximum 
engine power at or below 19 kW.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40480, July 13, 2005]



Sec.  1048.620  What are the provisions for exempting large engines fueled by natural gas?

    (a) If an engine meets all the following criteria, it is exempt from 
the requirements of this part:

[[Page 739]]

    (1) The engine must operate solely on natural gas or liquefied 
petroleum gas.
    (2) The engine must have maximum engine power at or above 250 kW.
    (3) The engine must be in an engine family that has a valid 
certificate of conformity showing that it meets emission standards for 
engines of that power rating under 40 CFR part 89 or 1039.
    (b) The only requirements or prohibitions from this part that apply 
to an engine that is exempt under this section are in this section.
    (c) If your engines do not meet the criteria listed in paragraph (a) 
of this section, they will be subject to the provisions of this part. 
Introducing these engines into commerce without a valid exemption or 
certificate of conformity violates the prohibitions in 40 CFR 1068.101.
    (d) Engines exempted under this section are subject to all the 
requirements affecting engines under 40 CFR part 89 or 1039. The 
requirements and restrictions of 40 CFR part 89 or 1039 apply to anyone 
manufacturing these engines, anyone manufacturing equipment that uses 
these engines, and all other persons in the same manner as if these were 
nonroad diesel engines.
    (e) You may request an exemption under this section by submitting an 
application for certification for the engines under 40 CFR part 89 or 
1039.

[70 FR 40481, July 13, 2005]



Sec.  1048.625  What special provisions apply to engines using noncommercial fuels?

    In Sec.  1048.115(e), we generally require that engines meet 
emission standards for any adjustment within the full range of any 
adjustable parameters. For engines that use noncommercial fuels 
significantly different than the specified test fuel of the same type, 
you may ask to use the parameter-adjustment provisions of this section 
instead of those in Sec.  1048.115(e). Engines certified under this 
section must be in a separate engine family.
    (a) If we approve your request, the following provisions apply:
    (1) You must certify the engine using the test fuel specified in 
Sec.  1048.501.
    (2) You may produce the engine without limits or stops that keep the 
engine adjusted within the certified range.
    (3) You must specify in-use adjustments different than the 
adjustable settings appropriate for the specified test fuel, consistent 
with the provisions of paragraph (b)(1) of this section.
    (b) To produce engines under this section, you must do the 
following:
    (1) Specify in-use adjustments needed so the engine's level of 
emission control for each regulated pollutant is equivalent to that from 
the certified configuration.
    (2) Add the following information to the emission control 
information label specified in Sec.  1048.135:
    (i) Include instructions describing how to adjust the engine to 
operate in a way that maintains the effectiveness of the emission-
control system.
    (ii) State: ``THIS ENGINE IS CERTIFIED TO OPERATE IN APPLICATIONS 
USING NONCOMMERCIAL FUEL. MALADJUSTMENT OF THE ENGINE IS A VIOLATION OF 
FEDERAL LAW SUBJECT TO CIVIL PENALTY.''.
    (3) Keep records to document the destinations and quantities of 
engines produced under this section.

[70 FR 40481, July 13, 2005]



Sec.  1048.630  What are the provisions for exempting engines used solely for competition?

    The provisions of this section apply for new engines built on or 
after January 1, 2006.
    (a) Equipment manufacturers may use uncertified engines if the 
vehicles or equipment in which they are installed will be used solely 
for competition.
    (b) The definition of nonroad engine in 40 CFR 1068.30 excludes 
engines used solely for competition. These engines are not required to 
comply with this part 1048, but 40 CFR 1068.101 prohibits the use of 
competition engines for noncompetition purposes.
    (c) We consider a vehicle or piece of equipment to be one that will 
be used solely for competition if it has features that are not easily 
removed that would make its use other than in competition unsafe, 
impractical, or highly unlikely.

[[Page 740]]

    (d) As an engine manufacturer, your engine is exempt without our 
prior approval if you have a written request for an exempted engine from 
the equipment manufacturer showing the basis for believing that the 
equipment will be used solely for competition. You must permanently 
label engines exempted under this section to clearly indicate that they 
are to be used solely for competition. Failure to properly label an 
engine will void the exemption.
    (e) We may discontinue an exemption under this section if we find 
that engines are not used solely for competition.

[70 FR 40481, July 13, 2005]



Sec.  1048.635  What special provisions apply to branded engines?

    The following provisions apply if you identify the name and 
trademark of another company instead of your own on your emission 
control information label, as provided by Sec.  1048.135(c)(2):
    (a) You must have a contractual agreement with the other company 
that obligates that company to take the following steps:
    (1) Meet the emission warranty requirements that apply under Sec.  
1048.120. This may involve a separate agreement involving reimbursement 
of warranty-related expenses.
    (2) Report all warranty-related information to the certificate 
holder.
    (b) In your application for certification, identify the company 
whose trademark you will use and describe the arrangements you have made 
to meet your requirements under this section.
    (c) You remain responsible for meeting all the requirements of this 
chapter, including warranty and defect-reporting provisions.

[70 FR 40481, July 13, 2005]

Subpart H [Reserved]



          Subpart I_Definitions and Other Reference Information



Sec.  1048.801  What definitions apply to this part?

    The following definitions apply to this part. The definitions apply 
to all subparts unless we note otherwise. All undefined terms have the 
meaning the Act gives to them. The definitions follow:
    Act means the Clean Air Act, as amended, 42 U.S.C. 7401-7671q.
    Adjustable parameter means any device, system, or element of design 
that someone can adjust (including those which are difficult to access) 
and that, if adjusted, may affect emissions or engine performance during 
emission testing or normal in-use operation. This includes, but is not 
limited to, parameters related to injection timing and fueling rate. You 
may ask us to exclude a parameter that is difficult to access if it 
cannot be adjusted to affect emissions without significantly degrading 
engine performance, or if you otherwise show us that it will not be 
adjusted in a way that affects emissions during in-use operation.
    Aftertreatment means relating to a catalytic converter, particulate 
filter, or any other system, component, or technology mounted downstream 
of the exhaust valve (or exhaust port) whose design function is to 
decrease emissions in the engine exhaust before it is exhausted to the 
environment. Exhaust-gas recirculation (EGR) and turbochargers are not 
aftertreatment.
    Aircraft means any vehicle capable of sustained air travel above 
treetop heights.
    All-terrain vehicle has the meaning given in 40 CFR 1051.801.
    Amphibious vehicle means a vehicle with wheels or tracks that is 
designed primarily for operation on land and secondarily for operation 
in water.
    Auxiliary emission-control device means any element of design that 
senses temperature, motive speed, engine rpm, transmission gear, or any 
other parameter for the purpose of activating, modulating, delaying, or 
deactivating the operation of any part of the emission-control system.
    Blue Sky Series engine means an engine meeting the requirements of 
Sec.  1048.140.
    Brake power means the usable power output of the engine, not 
including power required to fuel, lubricate, or heat the engine, 
circulate coolant to the engine, or to operate aftertreatment devices.

[[Page 741]]

    Calibration means the set of specifications and tolerances specific 
to a particular design, version, or application of a component or 
assembly capable of functionally describing its operation over its 
working range.
    Certification means relating to the process of obtaining a 
certificate of conformity for an engine family that complies with the 
emission standards and requirements in this part.
    Certified emission level means the highest deteriorated emission 
level in an engine family for a given pollutant from either transient or 
steady-state testing.
    Compression-ignition means relating to a type of reciprocating, 
internal-combustion engine that is not a spark-ignition engine.
    Constant-speed engine means an engine whose certification is limited 
to constant-speed operation. Engines whose constant-speed governor 
function is removed or disabled are no longer constant-speed engines.
    Constant-speed operation means engine operation with a governor that 
controls the operator input to maintain an engine at a reference speed, 
even under changing load. For example, an isochronous governor changes 
reference speed temporarily during a load change, then returns the 
engine to its original reference speed after the engine stabilizes. 
Isochronous governors typically allow speed changes up to 1.0 %. Another 
example is a speed-droop governor, which has a fixed reference speed at 
zero load and allows the reference speed to decrease as load increases. 
With speed-droop governors, speed typically decreases (3 to 10) % below 
the reference speed at zero load, such that the minimum reference speed 
occurs near the engine's point of maximum power.
    Crankcase emissions means airborne substances emitted to the 
atmosphere from any part of the engine crankcase's ventilation or 
lubrication systems. The crankcase is the housing for the crankshaft and 
other related internal parts.
    Critical emission-related component means any of the following 
components:
    (1) Electronic control units, aftertreatment devices, fuel-metering 
components, EGR-system components, crankcase-ventilation valves, all 
components related to charge-air compression and cooling, and all 
sensors and actuators associated with any of these components.
    (2) Any other component whose primary purpose is to reduce 
emissions.
    Designated Compliance Officer means the Manager, Engine Programs 
Group (6405-J), U.S. Environmental Protection Agency, 1200 Pennsylvania 
Ave., NW., Washington, DC 20460.
    Designated Enforcement Officer means the Director, Air Enforcement 
Division (2242A), U.S. Environmental Protection Agency, 1200 
Pennsylvania Ave., NW., Washington, DC 20460.
    Deteriorated emission level means the emission level that results 
from applying the appropriate deterioration factor to the official 
emission result of the emission-data engine.
    Deterioration factor means the relationship between emissions at the 
end of useful life and emissions at the low-hour test point, expressed 
in one of the following ways:
    (1) For multiplicative deterioration factors, the ratio of emissions 
at the end of useful life to emissions at the low-hour test point.
    (2) For additive deterioration factors, the difference between 
emissions at the end of useful life and emissions at the low-hour test 
point.
    Discrete-mode means relating to the discrete-mode type of steady-
state test described in Sec.  1048.505.
    Emission-control system means any device, system, or element of 
design that controls or reduces the regulated emissions from an engine.
    Emission-data engine means an engine that is tested for 
certification. This includes engines tested to establish deterioration 
factors.
    Emission-related maintenance means maintenance that substantially 
affects emissions or is likely to substantially affect emission 
deterioration.
    Engine configuration means a unique combination of engine hardware 
and calibration within an engine family. Engines within a single engine 
configuration differ only with respect to normal production variability.
    Engine family has the meaning given in Sec.  1048.230.

[[Page 742]]

    Engine manufacturer means the manufacturer of the engine. See the 
definition of ``manufacturer'' in this section.
    Equipment manufacturer means a manufacturer of nonroad equipment. 
All nonroad equipment manufacturing entities under the control of the 
same person are considered to be a single nonroad equipment 
manufacturer.
    Excluded means relating to an engine that either:
    (1) Has been determined not to be a nonroad engine, as specified in 
40 CFR 1068.30; or
    (2) Is a nonroad engine that, according to Sec.  1048.5, is not 
subject to this part 1048.
    Exempted has the meaning given in 40 CFR 1068.30.
    Exhaust-gas recirculation means a technology that reduces emissions 
by routing exhaust gases that had been exhausted from the combustion 
chamber(s) back into the engine to be mixed with incoming air before or 
during combustion. The use of valve timing to increase the amount of 
residual exhaust gas in the combustion chamber(s) that is mixed with 
incoming air before or during combustion is not considered exhaust-gas 
recirculation for the purposes of this part.
    Fuel system means all components involved in transporting, metering, 
and mixing the fuel from the fuel tank to the combustion chamber(s), 
including the fuel tank, fuel tank cap, fuel pump, fuel filters, fuel 
lines, carburetor or fuel-injection components, and all fuel-system 
vents.
    Fuel type means a general category of fuels such as gasoline or 
natural gas. There can be multiple grades within a single fuel type, 
such as winter-grade and summer-grade gasoline.
    Good engineering judgment has the meaning given in 40 CFR 1068.30. 
See 40 CFR 1068.5 for the administrative process we use to evaluate good 
engineering judgment.
    High-cost warranted part means a component covered by the emission-
related warranty with a replacement cost (at the time of certification) 
exceeding $400 (in 1998 dollars). Adjust this value using the most 
recent annual average consumer price index information published by the 
U.S. Bureau of Labor Statistics. For this definition, replacement cost 
includes the retail cost of the part plus labor and standard diagnosis.
    High-load engine means an engine for which the engine manufacturer 
can provide clear evidence that operation below 75 percent of maximum 
load in its final application will be rare.
    Hydrocarbon (HC) means the hydrocarbon group on which the emission 
standards are based for each fuel type, as described in Sec.  
1048.101(e).
    Identification number means a unique specification (for example, a 
model number/serial number combination) that allows someone to 
distinguish a particular engine from other similar engines.
    Intermediate test speed has the meaning given in 40 CFR 1065.1001.
    Low-hour means relating to an engine with stabilized emissions and 
represents the undeteriorated emission level. This would generally 
involve less than 300 hours of operation.
    Manufacturer has the meaning given in section 216(1) of the Act. In 
general, this term includes any person who manufactures an engine, 
vehicle, or piece of equipment for sale in the United States or 
otherwise introduces a new nonroad engine into commerce in the United 
States. This includes importers who import engines, equipment, or 
vehicles for resale.
    Marine engine means a nonroad engine that is installed or intended 
to be installed on a marine vessel. This includes a portable auxiliary 
engine only if its fueling, cooling, or exhaust system is an integral 
part of the vessel. There are two kinds of marine engines:
    (1) Propulsion marine engine means a marine engine that moves a 
vessel through the water or directs the vessel's movement.
    (2) Auxiliary marine engine means a marine engine not used for 
propulsion.
    Marine vessel has the meaning given in 1 U.S.C. 3, except that it 
does not include amphibious vehicles. The definition in 1 U.S.C. 3 very 
broadly includes every craft capable of being used as a means of 
transportation on water.
    Maximum engine power has one of the following meanings:
    (1) For engines at or below 30 kW, maximum engine power has the 
meaning given in 40 CFR 90.3.

[[Page 743]]

    (2) For engines above 30 kW, maximum engine power has the meaning 
given in 40 CFR 1039.140
    Maximum test speed has one of the following meanings:
    (1) For variable-speed engines, maximum test speed has the meaning 
given in 40 CFR 1065.1001.
    (2) For transient testing of constant-speed engines, maximum test 
speed means the highest speed at which the engine produces zero torque.
    (3) For steady-state testing of constant-speed engines, maximum test 
speed means the speed at which the engine produces peak torque.
    Maximum test torque has the meaning given in 40 CFR 1065.1001.
    Model year means one of the following things:
    (1) For freshly manufactured equipment and engines (see definition 
of ``new nonroad engine,'' paragraph (1)), model year means one of the 
following:
    (i) Calendar year.
    (ii) Your annual new model production period if it is different than 
the calendar year. This must include January 1 of the calendar year for 
which the model year is named. It may not begin before January 2 of the 
previous calendar year and it must end by December 31 of the named 
calendar year.
    (2) For an engine that is converted to a nonroad engine after being 
placed into service as a motor-vehicle engine or a stationary engine, 
model year means the calendar year in which the engine was originally 
produced (see definition of ``new nonroad engine,'' paragraph (2)).
    (3) For a nonroad engine excluded under Sec.  1048.5 that is later 
converted to operate in an application that is not excluded, model year 
means the calendar year in which the engine was originally produced (see 
definition of ``new nonroad engine,'' paragraph (3)).
    (4) For engines that are not freshly manufactured but are installed 
in new nonroad equipment, model year means the calendar year in which 
the engine is installed in the new nonroad equipment (see definition of 
``new nonroad engine,'' paragraph (4)).
    (5) For imported engines:
    (i) For imported engines described in paragraph (5)(i) of the 
definition of ``new nonroad engine,'' model year has the meaning given 
in paragraphs (1) through (4) of this definition.
    (ii) [Reserved]
    Motor vehicle has the meaning given in 40 CFR 85.1703(a).
    New nonroad engine means any of the following things:
    (1) A freshly manufactured nonroad engine for which the ultimate 
purchaser has never received the equitable or legal title. This kind of 
engine might commonly be thought of as ``brand new.'' In the case of 
this paragraph (1), the engine becomes new when it is fully assembled 
for the first time. The engine is no longer new when the ultimate 
purchaser receives the title or the product is placed into service, 
whichever comes first.
    (2) An engine originally manufactured as a motor-vehicle engine or a 
stationary engine that is later intended to be used in a piece of 
nonroad equipment. In this case, the engine is no longer a motor-vehicle 
or stationary engine and becomes a ``new nonroad engine''. The engine is 
no longer new when it is placed into nonroad service.
    (3) A nonroad engine that has been previously placed into service in 
an application we exclude under Sec.  1048.5, where that engine is 
installed in a piece of equipment that is covered by this part 1048. The 
engine is no longer new when it is placed into nonroad service covered 
by this part 1048. For example, this would apply to a marine-propulsion 
engine that is no longer used in a marine vessel.
    (4) An engine not covered by paragraphs (1) through (3) of this 
definition that is intended to be installed in new nonroad equipment. 
The engine is no longer new when the ultimate purchaser receives a title 
for the equipment or the product is placed into service, whichever comes 
first. This generally includes installation of used engines in new 
equipment.
    (5) An imported nonroad engine, subject to the following provisions:
    (i) An imported nonroad engine covered by a certificate of 
conformity issued under this part that meets the criteria of one or more 
of paragraphs (1) through (4) of this definition, where the original 
engine manufacturer holds the certificate, is new as defined by those 
applicable paragraphs.

[[Page 744]]

    (ii) An imported nonroad engine covered by a certificate of 
conformity issued under this part, where someone other than the original 
engine manufacturer holds the certificate (such as when the engine is 
modified after its initial assembly), becomes new when it is imported. 
It is no longer new when the ultimate purchaser receives a title for the 
engine or it is placed into service, whichever comes first.
    (iii) An imported nonroad engine that is not covered by a 
certificate of conformity issued under this part at the time of 
importation is new, but only if it was produced on or after January 1, 
2004. This addresses uncertified engines and equipment initially placed 
into service that someone seeks to import into the United States. 
Importation of this kind of new nonroad engine (or equipment containing 
such an engine) is generally prohibited by 40 CFR part 1068.
    New nonroad equipment means either of the following things:
    (1) A nonroad piece of equipment for which the ultimate purchaser 
has never received the equitable or legal title. The product is no 
longer new when the ultimate purchaser receives this title or the 
product is placed into service, whichever comes first.
    (2) An imported nonroad piece of equipment with an engine not 
covered by a certificate of conformity issued under this part at the 
time of importation and manufactured after January 1, 2004.
    Noncommercial fuel means a combustible product that is not marketed 
as a commercial fuel, but is used as a fuel for nonroad engines. For 
example, this includes methane that is produced and released from 
landfills or oil wells, or similar unprocessed fuels that are not 
intended to meet any otherwise applicable fuel specifications. See Sec.  
1048.615 for provisions related to engines designed to burn 
noncommercial fuels.
    Noncompliant engine means an engine that was originally covered by a 
certificate of conformity, but is not in the certified configuration or 
otherwise does not comply with the conditions of the certificate.
    Nonconforming engine means an engine not covered by a certificate of 
conformity that would otherwise be subject to emission standards.
    Nonmethane hydrocarbon means the difference between the emitted mass 
of total hydrocarbons and the emitted mass of methane.
    Nonroad means relating to nonroad engines or equipment that includes 
nonroad engines.
    Nonroad engine has the meaning given in 40 CFR 1068.30. In general 
this means all internal-combustion engines except motor vehicle engines, 
stationary engines, engines used solely for competition, or engines used 
in aircraft. This part does not apply to all nonroad engines (see Sec.  
1048.5).
    Nonroad equipment means a piece of equipment that is powered by one 
or more nonroad engines.
    Off-highway motorcycle has the meaning given in 40 CFR 1051.801. 
(Note: highway motorcycles are regulated under 40 CFR part 86.)
    Official emission result means the measured emission rate for an 
emission-data engine on a given duty cycle before the application of any 
deterioration factor, but after the applicability of regeneration 
adjustment factors.
    Owners manual means a document or collection of documents prepared 
by the engine manufacturer for the owner or operator to describe 
appropriate engine maintenance, applicable warranties, and any other 
information related to operating or keeping the engine. The owners 
manual is typically provided to the ultimate purchaser at the time of 
sale.
    Oxides of nitrogen has the meaning given in 40 CFR part 1065.
    Piece of equipment means any vehicle, vessel, or other type of 
equipment using engines to which this part applies.
    Placed into service means put into initial use for its intended 
purpose.
    Point of first retail sale means the location at which the initial 
retail sale occurs. This generally means an equipment dealership, but 
may also include an engine seller or distributor in cases where loose 
engines are sold to the general public for uses such as replacement 
engines.
    Ramped-modal means relating to the ramped-modal type of steady-state 
test described in Sec.  1048.505.

[[Page 745]]

    Rated speed means the maximum full-load governed speed for governed 
engines and the speed of maximum power for ungoverned engines.
    Revoke has the meaning given in 40 CFR 1068.30.
    Round has the meaning given in 40 CFR 1065.1001, unless otherwise 
specified.
    Scheduled maintenance means adjusting, repairing, removing, 
disassembling, cleaning, or replacing components or systems periodically 
to keep a part or system from failing, malfunctioning, or wearing 
prematurely. It also may mean actions you expect are necessary to 
correct an overt indication of failure or malfunction for which periodic 
maintenance is not appropriate.
    Severe-duty application includes concrete saws, concrete pumps, and 
any other application where an engine manufacturer can provide clear 
evidence that the majority of installations need air-cooled engines as a 
result of operation in a severe-duty environment.
    Severe-duty engine means an engine from an engine family in which 
the majority of engines are installed in severe-duty applications.
    Small-volume engine manufacturer means a company with fewer than 200 
employees. This includes any employees working for parent or subsidiary 
companies.
    Snowmobile has the meaning given in 40 CFR 1051.801.
    Spark-ignition 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.
    Steady-state means relating to emission tests in which engine speed 
and load are held at a finite set of essentially constant values. 
Steady-state tests are either discrete-mode tests or ramped-modal tests.
    Stoichiometric means relating to the particular ratio of air and 
fuel such that if the fuel were fully oxidized, there would be no 
remaining fuel or oxygen. For example, stoichiometric combustion in a 
gasoline-fueled engine typically occurs at an air-fuel mass ratio of 
about 14.7.
    Suspend has the meaning given in 40 CFR 1068.30.
    Test engine means an engine in a test sample.
    Test sample means the collection of engines selected from the 
population of an engine family for emission testing. This may include 
testing for certification, production-line testing, or in-use testing.
    Tier 1 means relating to the emission standards and other 
requirements that apply beginning with the 2004 model year.
    Tier 2 means relating to the emission standards and other 
requirements that apply beginning with the 2007 model year.
    Total hydrocarbon means the combined mass of organic compounds 
measured by the specified procedure for measuring total hydrocarbon, 
expressed as a hydrocarbon with a hydrogen-to-carbon mass ratio of 
1.85:1.
    Total hydrocarbon equivalent means the sum of the carbon mass 
contributions of non-oxygenated hydrocarbons, alcohols and aldehydes, or 
other organic compounds that are measured separately as contained in a 
gas sample, expressed as exhaust hydrocarbon from petroleum-fueled 
engines. The hydrogen-to-carbon ratio of the equivalent hydrocarbon is 
1.85:1.
    Ultimate purchaser means, with respect to any new nonroad equipment 
or new nonroad engine, the first person who in good faith purchases such 
new nonroad equipment or new nonroad engine for purposes other than 
resale.
    United States has the meaning given in 40 CFR 1068.30.
    Upcoming model year means for an engine family the model year after 
the one currently in production.
    U.S.-directed production volume means the number of engine 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 means the period during which the engine is designed to 
properly function in terms of reliability

[[Page 746]]

and fuel consumption, without being remanufactured, specified as a 
number of hours of operation or calendar years, whichever comes first. 
It is the period during which a new nonroad engine is required to comply 
with all applicable emission standards. See Sec.  1048.101(g).
    Variable-speed engine means an engine that is not a constant-speed 
engine.
    Variable-speed operation means engine operation that does not meet 
the definition of constant-speed operation.
    Void has the meaning given in 40 CFR 1068.30.
    Volatile liquid fuel means any fuel other than diesel or biodiesel 
that is a liquid at atmospheric pressure and has a Reid Vapor Pressure 
higher than 2.0 pounds per square inch.
    Wide-open throttle means maximum throttle opening. Unless this is 
specified at a given speed, it refers to maximum throttle opening at 
maximum speed. For electronically controlled or other engines with 
multiple possible fueling rates, wide-open throttle also means the 
maximum fueling rate at maximum throttle opening under test conditions.
    We (us, our) means the Administrator of the Environmental Protection 
Agency and any authorized representatives.

[70 FR 40482, July 13, 2005]



Sec.  1048.805  What symbols, acronyms, and abbreviations does this part use?

    The following symbols, acronyms, and abbreviations apply to this 
part:

[deg]C degrees Celsius.
ASTM American Society for Testing and Materials.
cc cubic centimeters.
CFR Code of Federal Regulations.
cm centimeter.
CO carbon monoxide.
CO2 carbon dioxide.
EPA Environmental Protection Agency.
g/kW-hr grams per kilowatt-hour.
HC hydrocarbon.
ISO International Organization for Standardization.
kPa kilopascals.
kW kilowatts.
LPG liquefied petroleum gas.
m meters.
MIL malfunction-indicator light.
mm Hg millimeters of mercury.
NARA National Archives and Records Administration.
NMHC nonmethane hydrocarbons.
NOX oxides of nitrogen (NO and NO2).
psi pounds per square inch of absolute pressure.
psig pounds per square inch of gauge pressure.
rpm revolutions per minute.
SAE Society of Automotive Engineers.
SI spark-ignition.
THC total hydrocarbon.
THCE total hydrocarbon equivalent.
U.S.C. United States Code.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40485, July 13, 2005]



Sec.  1048.810  What materials does this part reference?

    Documents listed in this section have been incorporated by reference 
into this part. The Director of the Federal Register approved the 
incorporation by reference as prescribed in 5 U.S.C. 552(a) and 1 CFR 
part 51. Anyone may inspect copies at the U.S. EPA, Air and Radiation 
Docket and Information Center, 1301 Constitution Ave., NW., Room B102, 
EPA West Building, Washington, DC 20460 or at the National Archives and 
Records Administration (NARA). For information on the availability of 
this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html.
    (a) [Reserved]
    (b) SAE material. Table 2 of this section lists material from the 
Society of Automotive Engineering that we have incorporated by 
reference. The first column lists the number and name of the material. 
The second column lists the sections of this part where we reference it. 
Anyone may purchase copies of these materials from the Society of 
Automotive Engineers, 400 Commonwealth Drive, Warrendale, PA 15096 or 
http://www.sae.org. Table 2 follows:

                Table 2 of Sec.   1048.810--SAE Materials
------------------------------------------------------------------------
                                                             Part 1048
                Document number and name                     reference
------------------------------------------------------------------------
SAE J1930, Electrical/Electronic Systems Diagnostic             1048.135
 Terms, Definitions, Abbreviations, and Acronyms,
 revised May 1998.......................................

[[Page 747]]

 
SAE J2260, Nonmetallic Fuel System Tubing with One or           1048.105
 More Layers, November 1996.............................
------------------------------------------------------------------------

    (c) ISO material. Table 3 of this section lists material from the 
International Organization for Standardization that we have incorporated 
by reference. The first column lists the number and name of the 
material. The second column lists the section of this part where we 
reference it. Anyone may purchase copies of these materials from the 
International Organization for Standardization, Case Postale 56, CH-1211 
Geneva 20, Switzerland or http://www.iso.org. Table 3 follows:

                Table 3 of Sec.   1048.810--ISO Materials
------------------------------------------------------------------------
                                                             Part 1048
                Document number and name                     reference
------------------------------------------------------------------------
ISO 9141-2 Road vehicles--Diagnostic systems--Part 2:           1048.110
 CARB requirements for interchange of digital
 information, February 1994.............................
ISO 14230-4 Road vehicles--Diagnostic systems--Keyword          1048.110
 Protocol 2000--Part 4: Requirements for emission-
 related systems, June 2000.............................
------------------------------------------------------------------------


[70 FR 40485, July 13, 2005]



Sec.  1048.815  What provisions apply to confidential information?

    (a) Clearly show what you consider confidential by marking, 
circling, bracketing, stamping, or some other method.
    (b) We will store your confidential information as described in 40 
CFR part 2. Also, we will disclose it only as specified in 40 CFR part 
2. This applies both to any information you send us and to any 
information we collect from inspections, audits, or other site visits.
    (c) If you send us a second copy without the confidential 
information, we will assume it contains nothing confidential whenever we 
need to release information from it.
    (d) If you send us information without claiming it is confidential, 
we may make it available to the public without further notice to you, as 
described in 40 CFR 2.204.

[70 FR 40486, July 13, 2005]



Sec.  1048.820  How do I request a hearing?

    (a) You may request a hearing under certain circumstances, as 
described elsewhere in this part. To do this, you must file a written 
request, including a description of your objection and any supporting 
data, within 30 days after we make a decision.
    (b) For a hearing you request under the provisions of this part, we 
will approve your request if we find that your request raises a 
substantial factual issue.
    (c) If we agree to hold a hearing, we will use the procedures 
specified in 40 CFR part 1068, subpart G.

[70 FR 40486, July 13, 2005]



Sec. Appendix I to Part 1048--Large Spark-ignition (SI) Transient Cycle 
                       for Constant-Speed Engines

    The following table shows the transient duty-cycle for constant-
speed engines, as described in Sec.  1048.510:

------------------------------------------------------------------------
                                               Normalized    Normalized
                   Time(s)                        speed        torque
                                                (percent)   (percent)\1\
------------------------------------------------------------------------
1...........................................       58             5
2...........................................       58             5
3...........................................       58             5
4...........................................       58             5
5...........................................       58             5
6...........................................       58             5
7...........................................       58             5
8...........................................       58             5
9...........................................       58             5
10..........................................       58             5
11..........................................       58             5
12..........................................       65             8
13..........................................       72             9
14..........................................       79            12
15..........................................       86            14

[[Page 748]]

 
16..........................................       93            16
17..........................................       93            16
18..........................................       93            16
19..........................................       93            16
20..........................................       93            16
21..........................................       93            16
22..........................................       93            16
23..........................................       93            16
24..........................................       93            31
25..........................................       93            30
26..........................................       93            27
27..........................................       93            23
28..........................................       93            24
29..........................................       93            21
30..........................................       93            20
31..........................................       93            18
32..........................................       93            16
33..........................................       93            18
34..........................................       93            16
35..........................................       93            17
36..........................................       93            20
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846.........................................       95            14
847.........................................       94            19
848.........................................       95            20
849.........................................       95            23
850.........................................       98            23
851.........................................       98            22
852.........................................       98            16
853.........................................       98            12
854.........................................       98             9
855.........................................       98             8
856.........................................       98             7
857.........................................       98             6
858.........................................       98             6
859.........................................       98             6
860.........................................       98             5
861.........................................       98             5
862.........................................       80             5
863.........................................       49             5
864.........................................       51             5
865.........................................       51             5
866.........................................       51             6
867.........................................       51             6
868.........................................       51             6
869.........................................       51             6
870.........................................       51             5
871.........................................       51             6
872.........................................       51             7
873.........................................       96            45
874.........................................       94            44
875.........................................       94            34
876.........................................       94            41
877.........................................       95            44
878.........................................       94            32
879.........................................       95            26

[[Page 754]]

 
880.........................................       94            20
881.........................................       95            29
882.........................................       95            27
883.........................................       95            21
884.........................................       95            34
885.........................................       95            31
886.........................................       94            26
887.........................................       95            22
888.........................................       95            23
889.........................................       95            19
890.........................................       94            18
891.........................................       94            20
892.........................................       94            26
893.........................................       95            29
894.........................................       94            32
895.........................................       95            26
896.........................................       95            34
897.........................................       95            30
898.........................................       95            24
899.........................................       95            19
900.........................................       94            17
901.........................................       94            16
902.........................................       98            19
903.........................................       98            17
904.........................................       98            12
905.........................................       98            10
906.........................................       98             8
907.........................................       98             7
908.........................................       98             6
909.........................................       98             6
910.........................................       98             6
911.........................................       98             5
912.........................................       98             5
913.........................................       98             5
914.........................................       69             5
915.........................................       49             5
916.........................................       51             5
917.........................................       51             6
918.........................................       51             6
919.........................................       69            75
920.........................................       95            70
921.........................................       95            57
922.........................................       94            49
923.........................................       94            38
924.........................................       95            43
925.........................................       94            51
926.........................................       94            41
927.........................................       98            42
928.........................................       95            89
929.........................................       95            66
930.........................................       94            52
931.........................................       95            41
932.........................................       95            34
933.........................................       95            34
934.........................................       94            30
935.........................................       94            30
936.........................................       95            29
937.........................................       94            28
938.........................................       95            24
939.........................................       94            34
940.........................................       95            26
941.........................................       94            36
942.........................................       95            27
943.........................................       95            25
944.........................................       95            26
945.........................................       94            21
946.........................................       94            19
947.........................................       98            21
948.........................................       93            53
949.........................................       94            45
950.........................................       94            35
951.........................................       95            28
952.........................................       95            23
953.........................................       95            20
954.........................................       95            17
955.........................................       94            19
956.........................................       94            18
957.........................................       94            18
958.........................................       94            18
959.........................................       94            19
960.........................................       97            17
961.........................................       98            19
962.........................................       98            14
963.........................................       98            11
964.........................................       98             9
965.........................................       98             7
966.........................................       98             7
967.........................................       98             6
968.........................................       98             6
969.........................................       98             6
970.........................................       98             5
971.........................................       98             5
972.........................................       82             5
973.........................................       49             5
974.........................................       51             6
975.........................................       51             6
976.........................................       51             6
977.........................................       51             5
978.........................................       51             6
979.........................................       72            58
980.........................................       94            36
981.........................................       95            28
982.........................................       95            24
983.........................................       95            25
984.........................................       95            26
985.........................................       94            30
986.........................................       94            26
987.........................................       95            34
988.........................................       95            57
989.........................................       95            45
990.........................................       94            37
991.........................................       95            34
992.........................................       95            27
993.........................................       95            27
994.........................................       95            29
995.........................................       98            22
996.........................................       94            84
997.........................................       94            74
998.........................................       95            62
999.........................................       94            51
1000........................................       95            50
1001........................................       95            81
1002........................................       94            65
1003........................................       95            49
1004........................................       94            56
1005........................................       95            65
1006........................................       94            59
1007........................................       99            58
1008........................................       98            41
1009........................................       98            27
1010........................................       98            19
1011........................................       98            13
1012........................................       98            11
1013........................................       98             9
1014........................................       98             8
1015........................................       98             7
1016........................................       98             6
1017........................................       98             6
1018........................................       98             6
1019........................................       71             6
1020........................................       49             5
1021........................................       51             6
1022........................................       51             6
1023........................................       51             6

[[Page 755]]

 
1024........................................       51             6
1025........................................       51             6
1026........................................       51             6
1027........................................       51             6
1028........................................       51             6
1029........................................       51             6
1030........................................       51             6
1031........................................       51             5
1032........................................       51             6
1033........................................       51             5
1034........................................       51             6
1035........................................       51             6
1036........................................       51             6
1037........................................       51             5
1038........................................       51             5
1039........................................       51             6
1040........................................       51             6
1041........................................       69            59
1042........................................       94            48
1043........................................       95            34
1044........................................       95            29
1045........................................       95            26
1046........................................       94            27
1047........................................       95            31
1048........................................       95            26
1049........................................       95            34
1050........................................       95            29
1051........................................       95            31
1052........................................       95            29
1053........................................       95            35
1054........................................       95            38
1055........................................       94            41
1056........................................       95            28
1057........................................       95            36
1058........................................       94            30
1059........................................       94            26
1060........................................       94            33
1061........................................       95            34
1062........................................       95            27
1063........................................       98            26
1064........................................       98            19
1065........................................       98            13
1066........................................       98            11
1067........................................       98             9
1068........................................       98             7
1069........................................       98             7
1070........................................       98             6
1071........................................       98             6
1072........................................       98             6
1073........................................       98             5
1074........................................       89             6
1075........................................       49             5
1076........................................       51             6
1077........................................       51             6
1078........................................       51             6
1079........................................       51             6
1080........................................       51             6
1081........................................       51             6
1082........................................       51             6
1083........................................       50             6
1084........................................       51             6
1085........................................       51             6
1086........................................       51             6
1087........................................       51             6
1088........................................       51             6
1089........................................       51             6
1090........................................       51             6
1091........................................       56            74
1092........................................       95            56
1093........................................       94            49
1094........................................       95            47
1095........................................       94            43
1096........................................       94            33
1097........................................       95            50
1098........................................       94            40
1099........................................       95            33
1100........................................       95            24
1101........................................       94            22
1102........................................       94            22
1103........................................       94            25
1104........................................       95            27
1105........................................       95            32
1106........................................       94            29
1107........................................       94            26
1108........................................       94            26
1109........................................       94            24
1110........................................       98            52
1111........................................       94            41
1112........................................       99            35
1113........................................       95            58
1114........................................       95            58
1115........................................       98            57
1116........................................       98            38
1117........................................       98            26
1118........................................       93            63
1119........................................       94            59
1120........................................       98           100
1121........................................       94            73
1122........................................       98            53
1123........................................       94            76
1124........................................       95            61
1125........................................       94            49
1126........................................       94            37
1127........................................       97            50
1128........................................       98            36
1129........................................       98            25
1130........................................       98            18
1131........................................       98            12
1132........................................       98            10
1133........................................       98             8
1134........................................       98             7
1135........................................       98             7
1136........................................       98             6
1137........................................       98             6
1138........................................       98             6
1139........................................       80             6
1140........................................       49             6
1141........................................       78            61
1142........................................       95            50
1143........................................       94            43
1144........................................       94            42
1145........................................       94            31
1146........................................       95            30
1147........................................       95            34
1148........................................       95            28
1149........................................       95            27
1150........................................       94            27
1151........................................       95            31
1152........................................       95            42
1153........................................       94            41
1154........................................       95            37
1155........................................       95            43
1156........................................       95            34
1157........................................       95            31
1158........................................       95            27
1159........................................       95            23
1160........................................       95            27
1161........................................       96            38
1162........................................       95            40
1163........................................       95            39
1164........................................       95            26
1165........................................       95            33
1166........................................       94            28
1167........................................       94            34

[[Page 756]]

 
1168........................................       98            73
1169........................................       95            49
1170........................................       95            51
1171........................................       94            55
1172........................................       95            48
1173........................................       95            35
1174........................................       95            39
1175........................................       95            39
1176........................................       94            41
1177........................................       95            30
1178........................................       95            23
1179........................................       94            19
1180........................................       95            25
1181........................................       94            29
1182........................................       98            27
1183........................................       95            89
1184........................................       95            74
1185........................................       94            60
1186........................................       94            48
1187........................................       94            41
1188........................................       94            29
1189........................................       94            24
1190........................................       95            19
1191........................................       94            21
1192........................................       95            29
1193........................................       95            28
1194........................................       95            27
1195........................................       94            23
1196........................................       95            25
1197........................................       95            26
1198........................................       94            22
1199........................................       95            19
1200........................................       94            17
------------------------------------------------------------------------
\1\ The percent torque is relative to maximum torque at the commanded
  engine speed.


[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40486, July 13, 2005]



   Sec. Appendix II to Part 1048--Large Spark-ignition (SI) Composite 
                             Transient Cycle

    The following table shows the transient duty-cycle for engines that 
are not constant-speed engines, as described in Sec.  1048.510:

------------------------------------------------------------------------
                                               Normalized    Normalized
                   Time(s)                        speed        torque
                                                (percent)     (percent)
------------------------------------------------------------------------
0...........................................        0             0
1...........................................        0             0
2...........................................        0             0
3...........................................        0             0
4...........................................        0             0
5...........................................        0             0
6...........................................        0             0
7...........................................        0             0
8...........................................        0             0
9...........................................        1             8
10..........................................        6            54
11..........................................        8            61
12..........................................       34            59
13..........................................       22            46
14..........................................        5            51
15..........................................       18            51
16..........................................       31            50
17..........................................       30            56
18..........................................       31            49
19..........................................       25            66
20..........................................       58            55
21..........................................       43            31
22..........................................       16            45
23..........................................       24            38
24..........................................       24            27
25..........................................       30            33
26..........................................       45            65
27..........................................       50            49
28..........................................       23            42
29..........................................       13            42
30..........................................        9            45
31..........................................       23            30
32..........................................       37            45
33..........................................       44            50
34..........................................       49            52
35..........................................       55            49
36..........................................       61            46
37..........................................       66            38
38..........................................       42            33
39..........................................       17            41
40..........................................       17            37
41..........................................        7            50
42..........................................       20            32
43..........................................        5            55
44..........................................       30            42
45..........................................       44            53
46..........................................       45            56
47..........................................       41            52
48..........................................       24            41
49..........................................       15            40
50..........................................       11            44
51..........................................       32            31
52..........................................       38            54
53..........................................       38            47
54..........................................        9            55
55..........................................       10            50
56..........................................       33            55
57..........................................       48            56
58..........................................       49            47
59..........................................       33            44
60..........................................       52            43
61..........................................       55            43
62..........................................       59            38
63..........................................       44            28
64..........................................       24            37
65..........................................       12            44
66..........................................        9            47
67..........................................       12            52
68..........................................       34            21
69..........................................       29            44
70..........................................       44            54
71..........................................       54            62
72..........................................       62            57
73..........................................       72            56
74..........................................       88            71
75..........................................      100            69
76..........................................      100            34
77..........................................      100            42
78..........................................      100            54
79..........................................      100            58
80..........................................      100            38
81..........................................       83            17
82..........................................       61            15
83..........................................       43            22
84..........................................       24            35
85..........................................       16            39
86..........................................       15            45
87..........................................       32            34
88..........................................       14            42
89..........................................        8            48
90..........................................        5            51
91..........................................       10            41

[[Page 757]]

 
92..........................................       12            37
93..........................................        4            47
94..........................................        3            49
95..........................................        3            50
96..........................................        4            49
97..........................................        4            48
98..........................................        8            43
99..........................................        2            51
100.........................................        5            46
101.........................................        8            41
102.........................................        4            47
103.........................................        3            49
104.........................................        6            45
105.........................................        3            48
106.........................................       10            42
107.........................................       18            27
108.........................................        3            50
109.........................................       11            41
110.........................................       34            29
111.........................................       51            57
112.........................................       67            63
113.........................................       61            32
114.........................................       44            31
115.........................................       48            54
116.........................................       69            65
117.........................................       85            65
118.........................................       81            29
119.........................................       74            21
120.........................................       62            23
121.........................................       76            58
122.........................................       96            75
123.........................................      100            77
124.........................................      100            27
125.........................................      100            79
126.........................................      100            79
127.........................................      100            81
128.........................................      100            57
129.........................................       99            52
130.........................................       81            35
131.........................................       69            29
132.........................................       47            22
133.........................................       34            28
134.........................................       27            37
135.........................................       83            60
136.........................................      100            74
137.........................................      100             7
138.........................................      100             2
139.........................................       70            18
140.........................................       23            39
141.........................................        5            54
142.........................................       11            40
143.........................................       11            34
144.........................................       11            41
145.........................................       19            25
146.........................................       16            32
147.........................................       20            31
148.........................................       21            38
149.........................................       21            42
150.........................................        9            51
151.........................................        4            49
152.........................................        2            51
153.........................................        1            58
154.........................................       21            57
155.........................................       29            47
156.........................................       33            45
157.........................................       16            49
158.........................................       38            45
159.........................................       37            43
160.........................................       35            42
161.........................................       39            43
162.........................................       51            49
163.........................................       59            55
164.........................................       65            54
165.........................................       76            62
166.........................................       84            59
167.........................................       83            29
168.........................................       67            35
169.........................................       84            54
170.........................................       90            58
171.........................................       93            43
172.........................................       90            29
173.........................................       66            19
174.........................................       52            16
175.........................................       49            17
176.........................................       56            38
177.........................................       73            71
178.........................................       86            80
179.........................................       96            75
180.........................................       89            27
181.........................................       66            17
182.........................................       50            18
183.........................................       36            25
184.........................................       36            24
185.........................................       38            40
186.........................................       40            50
187.........................................       27            48
188.........................................       19            48
189.........................................       23            50
190.........................................       19            45
191.........................................        6            51
192.........................................       24            48
193.........................................       49            67
194.........................................       47            49
195.........................................       22            44
196.........................................       25            40
197.........................................       38            54
198.........................................       43            55
199.........................................       40            52
200.........................................       14            49
201.........................................       11            45
202.........................................        7            48
203.........................................       26            41
204.........................................       41            59
205.........................................       53            60
206.........................................       44            54
207.........................................       22            40
208.........................................       24            41
209.........................................       32            53
210.........................................       44            74
211.........................................       57            25
212.........................................       22            49
213.........................................       29            45
214.........................................       19            37
215.........................................       14            43
216.........................................       36            40
217.........................................       43            63
218.........................................       42            49
219.........................................       15            50
220.........................................       19            44
221.........................................       47            59
222.........................................       67            80
223.........................................       76            74
224.........................................       87            66
225.........................................       98            61
226.........................................      100            38
227.........................................       97            27
228.........................................      100            53
229.........................................      100            72
230.........................................      100            49
231.........................................      100             4
232.........................................      100            13
233.........................................       87            15
234.........................................       53            26
235.........................................       33            27

[[Page 758]]

 
236.........................................       39            19
237.........................................       51            33
238.........................................       67            54
239.........................................       83            60
240.........................................       95            52
241.........................................      100            50
242.........................................      100            36
243.........................................      100            25
244.........................................       85            16
245.........................................       62            16
246.........................................       40            26
247.........................................       56            39
248.........................................       81            75
249.........................................       98            86
250.........................................      100            76
251.........................................      100            51
252.........................................      100            78
253.........................................      100            83
254.........................................      100           100
255.........................................      100            66
256.........................................      100            85
257.........................................      100            72
258.........................................      100            45
259.........................................       98            58
260.........................................       60            30
261.........................................       43            32
262.........................................       71            36
263.........................................       44            32
264.........................................       24            38
265.........................................       42            17
266.........................................       22            51
267.........................................       13            53
268.........................................       23            45
269.........................................       29            50
270.........................................       28            42
271.........................................       21            55
272.........................................       34            57
273.........................................       44            47
274.........................................       19            46
275.........................................       13            44
276.........................................       25            36
277.........................................       43            51
278.........................................       55            73
279.........................................       68            72
280.........................................       76            63
281.........................................       80            45
282.........................................       83            40
283.........................................       78            26
284.........................................       60            20
285.........................................       47            19
286.........................................       52            25
287.........................................       36            30
288.........................................       40            26
289.........................................       45            34
290.........................................       47            35
291.........................................       42            28
292.........................................       46            38
293.........................................       48            44
294.........................................       68            61
295.........................................       70            47
296.........................................       48            28
297.........................................       42            22
298.........................................       31            29
299.........................................       22            35
300.........................................       28            28
301.........................................       46            46
302.........................................       62            69
303.........................................       76            81
304.........................................       88            85
305.........................................       98            81
306.........................................      100            74
307.........................................      100            13
308.........................................      100            11
309.........................................      100            17
310.........................................       99             3
311.........................................       80             7
312.........................................       62            11
313.........................................       63            11
314.........................................       64            16
315.........................................       69            43
316.........................................       81            67
317.........................................       93            74
318.........................................      100            72
319.........................................       94            27
320.........................................       73            15
321.........................................       40            33
322.........................................       40            52
323.........................................       50            50
324.........................................       11            53
325.........................................       12            45
326.........................................        5            50
327.........................................        1            55
328.........................................        7            55
329.........................................       62            60
330.........................................       80            28
331.........................................       23            37
332.........................................       39            58
333.........................................       47            24
334.........................................       59            51
335.........................................       58            68
336.........................................       36            52
337.........................................       18            42
338.........................................       36            52
339.........................................       59            73
340.........................................       72            85
341.........................................       85            92
342.........................................       99            90
343.........................................      100            72
344.........................................      100            18
345.........................................      100            76
346.........................................      100            64
347.........................................      100            87
348.........................................      100            97
349.........................................      100            84
350.........................................      100           100
351.........................................      100            91
352.........................................      100            83
353.........................................      100            93
354.........................................      100           100
355.........................................       94            43
356.........................................       72            10
357.........................................       77             3
358.........................................       48             2
359.........................................       29             5
360.........................................       59            19
361.........................................       63             5
362.........................................       35             2
363.........................................       24             3
364.........................................       28             2
365.........................................       36            16
366.........................................       54            23
367.........................................       60            10
368.........................................       33             1
369.........................................       23             0
370.........................................       16             0
371.........................................       11             0
372.........................................       20             0
373.........................................       25             2
374.........................................       40             3
375.........................................       33             4
376.........................................       34             5
377.........................................       46             7
378.........................................       57            10
379.........................................       66            11

[[Page 759]]

 
380.........................................       75            14
381.........................................       79            11
382.........................................       80            16
383.........................................       92            21
384.........................................       99            16
385.........................................       83             2
386.........................................       71             2
387.........................................       69             4
388.........................................       67             4
389.........................................       74            16
390.........................................       86            25
391.........................................       97            28
392.........................................      100            15
393.........................................       83             2
394.........................................       62             4
395.........................................       40             6
396.........................................       49            10
397.........................................       36             5
398.........................................       27             4
399.........................................       29             3
400.........................................       22             2
401.........................................       13             3
402.........................................       37            36
403.........................................       90            26
404.........................................       41             2
405.........................................       25             2
406.........................................       29             2
407.........................................       38             7
408.........................................       50            13
409.........................................       55            10
410.........................................       29             3
411.........................................       24             7
412.........................................       51            16
413.........................................       62            15
414.........................................       72            35
415.........................................       91            74
416.........................................      100            73
417.........................................      100             8
418.........................................       98            11
419.........................................      100            59
420.........................................      100            98
421.........................................      100            99
422.........................................      100            75
423.........................................      100            95
424.........................................      100           100
425.........................................      100            97
426.........................................      100            90
427.........................................      100            86
428.........................................      100            82
429.........................................       97            43
430.........................................       70            16
431.........................................       50            20
432.........................................       42            33
433.........................................       89            64
434.........................................       89            77
435.........................................       99            95
436.........................................      100            41
437.........................................       77            12
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------------------------------------------------------------------------



PART 1051_CONTROL OF EMISSIONS FROM RECREATIONAL ENGINES AND VEHICLES--Table of Contents

              Subpart A_Determining How To Follow This Part

Sec.
1051.1 Does this part apply for my vehicles or engines?
1051.5 Which engines are excluded from this part's requirements?
1051.10 How is this part organized?
1051.15 Do any other regulation parts apply to me?
1051.20 May I certify a recreational engine instead of the vehicle?
1051.25 What requirements apply when installing certified engines in 
          recreational vehicles?

          Subpart B_Emission Standards and Related Requirements

1051.101 What emission standards and other requirements must my vehicles 
          meet?
1051.103 What are the exhaust emission standards for snowmobiles?

[[Page 765]]

1051.105 What are the exhaust emission standards for off-highway 
          motorcycles?
1051.107 What are the exhaust emission standards for all-terrain 
          vehicles (ATVs) and offroad utility vehicles?
1051.110 What evaporative emission standards must my vehicles meet?
1051.115 What other requirements must my vehicles meet?
1051.120 What emission-related warranty requirements apply to me?
1051.125 What maintenance instructions must I give to buyers?
1051.130 What installation instructions must I give to vehicle 
          manufacturers?
1051.135 How must I label and identify the vehicles I produce?
1051.137 What are the consumer labeling requirements?
1051.145 What provisions apply only for a limited time?

                  Subpart C_Certifying Engine Families

1051.201 What are the general requirements for obtaining a certificate 
          of conformity?
1051.205 What must I include in my application?
1051.210 May I get preliminary approval before I complete my 
          application?
1051.220 How do I amend the maintenance instructions in my application?
1051.225 How do I amend my application for certification to include new 
          or modified vehicles or to change an FEL?
1051.230 How do I select engine families?
1051.235 What emission testing must I perform for my application for a 
          certificate of conformity?
1051.240 How do I demonstrate that my engine family complies with 
          exhaust emission standards?
1051.243 How do I determine deterioration factors from exhaust 
          durability testing?
1051.245 How do I demonstrate that my engine family complies with 
          evaporative emission standards?
1051.250 What records must I keep and make available to EPA?
1051.255 What decisions may EPA make regarding my certificate of 
          conformity?

         Subpart D_Testing Production-Line Vehicles and Engines

1051.301 When must I test my production-line vehicles or engines?
1051.305 How must I prepare and test my production-line vehicles or 
          engines?
1051.310 How must I select vehicles or engines for production-line 
          testing?
1051.315 How do I know when my engine family fails the production-line 
          testing requirements?
1051.320 What happens if one of my production-line vehicles or engines 
          fails to meet emission standards?
1051.325 What happens if an engine family fails the production-line 
          requirements?
1051.330 May I sell vehicles from an engine family with a suspended 
          certificate of conformity?
1051.335 How do I ask EPA to reinstate my suspended certificate?
1051.340 When may EPA revoke my certificate under this subpart and how 
          may I sell these vehicles again?
1051.345 What production-line testing records must I send to EPA?
1051.350 What records must I keep?

Subpart E--Testing In-Use Engines [Reserved]

                        Subpart F_Test Procedures

1051.501 What procedures must I use to test my vehicles or engines?
1051.505 What special provisions apply for testing snowmobiles?
1051.510 What special provisions apply for testing ATV engines? 
          [Reserved]
1051.515 How do I test my fuel tank for permeation emissions?
1051.520 How do I perform exhaust durability testing?

                     Subpart G_Compliance Provisions

1051.601 What compliance provisions apply to vehicles and engines 
          subject to this part?
1051.605 What provisions apply to engines already certified under the 
          motor-vehicle program or the Large Spark-ignition program?
1051.610 What provisions apply to vehicles already certified under the 
          motor-vehicle program?
1051.615 What are the special provisions for certifying small 
          recreational engines?
1051.620 When may a manufacturer obtain an exemption for competition 
          recreational vehicles?
1051.625 What special provisions apply to unique snowmobile designs for 
          small-volume manufacturers?
1051.630 What special provisions apply to unique snowmobile designs for 
          all manufacturers?
1051.635 What provisions apply to new manufacturers that are small 
          businesses?
1051.640 What special provisions apply for custom off-highway 
          motorcycles that are similar to highway motorcycles?
1051.645 What special provisions apply to branded engines?

       Subpart H_Averaging, Banking, and Trading for Certification

1051.701 General provisions.
1051.705 How do I average emission levels?

[[Page 766]]

1051.710 How do I generate and bank emission credits?
1051.715 How do I trade emission credits?
1051.720 How do I calculate my average emission level or emission 
          credits?
1051.725 What must I include in my applications for certification?
1051.730 What ABT reports must I send to EPA?
1051.735 What records must I keep?
1051.740 Are there special averaging provisions for snowmobiles?
1051.745 What can happen if I do not comply with the provisions of this 
          subpart?

          Subpart I_Definitions and Other Reference Information

1051.801 What definitions apply to this part?
1051.805 What symbols, acronyms, and abbreviations does this part use?
1051.810 What materials does this part reference?
1051.815 What provisions apply to confidential information?
1051.820 How do I request a hearing?

    Authority: 42 U.S.C. 7401-7671q.

    Source: 67 FR 68347, Nov. 8, 2002, unless otherwise noted.



                  Subpart A_Overview and Applicability



Sec.  1051.1  Does this part apply for my vehicles or engines?

    (a) The regulations in this part 1051 apply for all the following 
new recreational vehicles or new engines used in the following 
recreational vehicles, except as provided in Sec.  1051.5:
    (1) Snowmobiles.
    (2) Off-highway motorcycles.
    (3) All-terrain vehicles (ATVs.)
    (4) Offroad utility vehicles with engines with displacement less 
than or equal to 1000 cc, maximum engine power less than or equal to 30 
kW, and maximum vehicle speed of 25 miles per hour or higher. Offroad 
utility vehicles that are subject to this part are subject to the same 
requirements as ATVs. This means that any requirement that applies to 
ATVs also applies to these offroad utility vehicles, without regard to 
whether the regulatory language mentions offroad utility vehicles.
    (b) In certain cases, the regulations in this part 1051 apply to new 
engines under 50 cc used in motorcycles that are motor vehicles. See 40 
CFR 86.447-2006 or 86.448-2006 for provisions related to this allowance.
    (c) This part 1051 applies for new recreational vehicles starting in 
the 2006 model year, except as described in subpart B of this part. You 
need not follow this part for vehicles you produce before the 2006 model 
year, unless you certify voluntarily. See Sec. Sec.  1051.103 through 
1051.110, Sec.  1051.145, and the definition of ``model year'' in Sec.  
1051.801 for more information about the timing of the requirements.
    (d) The requirements of this part begin to apply when a vehicle is 
new. See the definition of ``new'' in Sec.  1051.801 for more 
information. In some cases, vehicles or engines that have been 
previously used may be considered ``new'' for the purposes of this part.
    (e) The evaporative emission requirements of this part apply to 
highway motorcycles, as specified in 40 CFR part 86, subpart E.

[70 FR 40486, July 13, 2005]



Sec.  1051.5  Which engines are excluded from this part's requirements?

    (a) You may exclude vehicles with compression-ignition engines. See 
40 CFR part 89 or 1039 for regulations that cover these engines.
    (b) We may require you to label an engine or vehicle (or both) if 
this section excludes it and other requirements in this chapter do not 
apply.

[70 FR 40486, July 13, 2005]



Sec.  1051.10  How is this part organized?

    The regulations in this part 1051 contain provisions that affect 
both vehicle manufacturers and others. However, the requirements of this 
part are generally addressed to the vehicle manufacturer. The term 
``you'' generally means the vehicle manufacturer, as defined in Sec.  
1051.801. This part 1051 is divided into the following subparts:
    (a) Subpart A of this part defines the applicability of part 1051 
and gives an overview of regulatory requirements.
    (b) Subpart B of this part describes the emission standards and 
other requirements that must be met to certify engines under this part. 
Note that Sec.  1051.145 discusses certain interim requirements and 
compliance provisions that apply only for a limited time.

[[Page 767]]

    (c) Subpart C of this part describes how to apply for a certificate 
of conformity.
    (d) Subpart D of this part describes general provisions for testing 
production-line engines.
    (e) [Reserved]
    (f) Subpart F of this part describes how to test your engines 
(including references to other parts of the Code of Federal 
Regulations).
    (g) Subpart G of this part and 40 CFR part 1068 describe 
requirements, prohibitions, and other provisions that apply to engine 
manufacturers, equipment manufacturers, owners, operators, rebuilders, 
and all others.
    (h) Subpart H of this part describes how you may generate and use 
emission credits to certify your engines.
    (i) Subpart I of this part contains definitions and other reference 
information.

[70 FR 40486, July 13, 2005]



Sec.  1051.15  Do any other regulation parts apply to me?

    (a) Parts 86 and 1065 of this chapter describe procedures and 
equipment specifications for testing vehicles and engines. Subpart F of 
this part 1051 describes how to apply the provisions of parts 86 and 
1065 of this chapter to determine whether vehicles meet the emission 
standards in this part.
    (b) The requirements and prohibitions of part 1068 of this chapter 
apply to everyone, including anyone who manufactures, imports, installs, 
owns, operates, or rebuilds any of the vehicles subject to this part 
1051, or vehicles containing these engines. Part 1068 of this chapter 
describes general provisions, including these seven areas:
    (1) Prohibited acts and penalties for manufacturers and others.
    (2) Rebuilding and other aftermarket changes.
    (3) Exclusions and exemptions for certain vehicles and engines.
    (4) Importing vehicles and engines.
    (5) Selective enforcement audits of your production.
    (6) Defect reporting and recall.
    (7) Procedures for hearings.
    (c) Other parts of this chapter apply if referenced in this part.

[70 FR 40487, July 13, 2005]



Sec.  1051.20  May I certify a recreational engine instead of the vehicle?

    (a) You may certify engines sold separately from vehicles in either 
of two cases:
    (1) If you manufacture recreational engines but not recreational 
vehicles, you may ask to certify the engine alone. In your request, 
explain why you cannot certify the entire vehicle.
    (2) If you manufacture complete recreational vehicles containing 
engines you also sell separately, you may ask to certify all these 
engines in a single engine family or in separate engine families.
    (b) If you certify an engine under this section, you must use the 
test procedures in subpart F of this part. If the test procedures 
require vehicle testing, use good engineering judgment to install the 
engine in an appropriate vehicle for measuring emissions.
    (c) If we allow you to certify recreational engines, the vehicles 
must meet the applicable emission standards (including evaporative 
emission standards) with the engines installed in the appropriate 
vehicles. You must prepare installation instructions as described in 
Sec.  1051.130 and use good engineering judgment so that the engines 
will meet emission standards after proper installation in the vehicle.
    (d) Identify and label engines you produce under this section 
consistent with the requirements of Sec.  1051.135. On the emission 
control information label, identify the manufacturing date of the engine 
rather than the vehicle.
    (e) You may not use the provisions of this section to circumvent or 
reduce the stringency of this part's standards or other requirements.
    (f) If you certify under paragraph (a)(1) of this section, you may 
ask us to allow you to perform production-line testing on the engine. If 
you certify under paragraph (a)(2) of this section, use good engineering 
judgment to ensure that these engines are produced in the same manner as 
the engines you produce for your vehicles, so that your production-line 
testing results under subpart D of this part would apply to them.

[[Page 768]]



Sec.  1051.25  What requirements apply when installing certified engines in recreational vehicles?

    (a) If you manufacture recreational vehicles with engines certified 
under Sec.  1051.20, you need not also certify the vehicle under this 
part. The vehicle must nevertheless meet emission standards with the 
engine installed.
    (b) You must follow the engine manufacturer's emission-related 
installation instructions, as described in Sec.  1051.135 and 40 CFR 
1068.105. For example, you must use a fuel system that meets the 
permeation requirements of this part, consistent with the engine 
manufacturer's instructions.
    (c) If you install the engine in a way that makes the engine's 
emission control information label hard to read during normal engine 
maintenance, you must place a duplicate label on the vehicle, as 
described in 40 CFR 1068.105.



          Subpart B_Emission Standards and Related Requirements



Sec.  1051.101  What emission standards and other requirements must my vehicles meet?

    (a) You must show that your vehicles meet the following:
    (1) The applicable exhaust emission standards in Sec.  1051.103, 
Sec.  1051.105, Sec.  1051.107, or Sec.  1051.145.
    (i) For snowmobiles, see Sec.  1051.103.
    (ii) For off-highway motorcycles, see Sec.  1051.105.
    (iii) For all-terrain vehicles and offroad utility vehicles subject 
to this part, see Sec.  1051.107 and Sec.  1051.145.
    (2) The evaporative emission standards in Sec.  1051.110.
    (3) All the requirements in Sec.  1051.115.
    (b) The certification regulations in subpart C of this part describe 
how you make this showing.
    (c) These standards and requirements apply to all testing, including 
certification, production-line, and in-use testing.
    (d) Other sections in this subpart describe other requirements for 
manufacturers such as labeling or warranty requirements.
    (e) It is important that you read Sec.  1051.145 to determine if 
there are other interim requirements or interim compliance options that 
apply for a limited time.
    (f) As described in Sec.  1051.1(a)(4), offroad utility vehicles 
that are subject to this part are subject to the same requirements as 
ATVs.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40487, July 13, 2005]



Sec.  1051.103  What are the exhaust emission standards for snowmobiles?

    (a) Apply the exhaust emission standards in this section by model 
year. Measure emissions with the snowmobile test procedures in subpart F 
of this part.
    (1) Follow Table 1 of this section for exhaust emission standards. 
You may generate or use emission credits under the averaging, banking, 
and trading (ABT) program for HC+NOX and CO emissions, as 
described in subpart H of this part. This requires that you specify a 
family emission limit for each pollutant you include in the ABT program 
for each engine family. These family emission limits serve as the 
emission standards for the engine family with respect to all required 
testing instead of the standards specified in this section. An engine 
family meets emission standards even if its family emission limit is 
higher than the standard, as long as you show that the whole averaging 
set of applicable engine families meets the applicable emission 
standards using emission credits, and the vehicles within the family 
meet the family emission limit. The phase-in values specify the 
percentage of your U.S.-directed production that must comply with the 
emission standards for those model years. Calculate this compliance 
percentage based on a simple count of your U.S.-directed production 
units within each certified engine family compared with a simple count 
of your total U.S.-directed production units. Table 1 also shows the 
maximum value you may specify for a family emission limit, as follows:

[[Page 769]]



                                    Table 1 of Sec.   1051.103--Exhaust Emission Standards for Snowmobiles (g/kW-hr)
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                             Emission standards        Maximum allowable family emission
                                                                            Phase-in ---------------------------------               limits
                   Phase                              Model year           (percent)                                  ----------------------------------
                                                                                          HC       HC+NOX       CO         HC       HC+NOX        CO
--------------------------------------------------------------------------------------------------------------------------------------------------------
Phase 1...................................  2006.........................         50        100  .........        275  .........  .........  ...........
--------------------------------------------------------------------------------------------------------------------------------------------------------
Phase 1...................................  2007-2009....................        100        100  .........        275  .........  .........  ...........
--------------------------------------------------------------------------------------------------------------------------------------------------------
Phase 2...................................  2010 and 2011................        100         75  .........        275  .........  .........  ...........
--------------------------------------------------------------------------------------------------------------------------------------------------------
Phase 3...................................  2012 and later...............        100         75      (\1\)      (\1\)        150        165          400
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ See Sec.   1051.103(a)(2).

    (2) For Phase 3, the HC+NOX and CO standards are defined 
by a functional relationship. Choose your corporate average 
HC+NOX and CO standards for each model year according to the 
following criteria:
    (i) Prior to production, select the HC+NOX standard and 
CO standard (specified as g/kW-hr) so that the combined percent 
reduction from baseline emission levels is greater than or equal to 100 
percent; that is, that the standards comply with the following equation:
[GRAPHIC] [TIFF OMITTED] TR08NO02.007

    (ii) Your corporate average HC+NOX standard may not be 
higher than 90 g/kW-hr.
    (iii) Your corporate average CO standard may not be higher than 275 
g/kW-hr.
    (iv) You may use the averaging and banking provisions of subpart H 
of this part to show compliance with these HC+NOX and CO 
standards in this paragraph (a)(2). You may modify your selection of the 
HC+NOX and CO standards at the end of the model year under 
paragraph (a)(2)(i) of this section. You must comply with these final 
corporate average emission standards.
    (b) The exhaust emission standards in this section apply for 
snowmobiles using the fuel type on which they are designed to operate. 
You must meet the numerical emission standards for hydrocarbons in this 
section based on the following types of hydrocarbon emissions for 
snowmobiles powered by the following fuels:
    (1) Gasoline- and LPG-fueled snowmobiles: THC emissions.
    (2) Natural gas-fueled snowmobiles: NMHC emissions.
    (3) Alcohol-fueled snowmobiles: THCE emissions.
    (c) Your snowmobiles must meet emission standards over their full 
useful life. The minimum useful life is 8,000 kilometers, 400 hours of 
engine operation, or five calendar years, whichever comes first. You 
must specify a longer useful life in terms of kilometers and hours for 
the engine family if the average service life of your vehicles is longer 
than the minimum value, as follows:
    (1) Except as allowed by paragraph (c)(2) of this section, your 
useful life (in kilometers and hours) may not be less than either of the 
following:
    (i) Your projected operating life from advertisements or other 
marketing materials for any vehicles in the engine family.
    (ii) Your basic mechanical warranty for any engines in the engine 
family.
    (2) Your useful life may be based on the average service life of 
vehicles in the engine family if you show that the average service life 
is less than the useful life required by paragraph (c)(1) of this 
section, but more than the minimum useful life (8,000 kilometers or

[[Page 770]]

400 hours of engine operation). In determining the actual average 
service life of vehicles in an engine family, we will consider all 
available information and analyses. Survey data is allowed but not 
required to make this showing.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40487, July 13, 2005]

    Effective Date Note: At 73 FR 35951, June 25, 2008, Sec.  1051.103 
was amended by revising paragraphs (a)(1) including Table 1 and (a)(2), 
effective August 25, 2008. For the convenience of the user, the revised 
text is set forth as follows:



Sec.  1051.103  What are the exhaust emission standards for snowmobiles?

    (a) * * *
    (1) Follow Table 1 of this section for exhaust emission standards. 
You may generate or use emission credits under the averaging, banking, 
and trading (ABT) program for HC and CO emissions, as described in 
subpart H of this part. This requires that you specify a family emission 
limit for each pollutant you include in the ABT program for each engine 
family. These family emission limits serve as the emission standards for 
the engine family with respect to all required testing instead of the 
standards specified in this section. An engine family meets emission 
standards even if its family emission limit is higher than the standard, 
as long as you show that the whole averaging set of applicable engine 
families meets the applicable emission standards using emission credits, 
and the vehicles within the family meet the family emission limit. The 
phase-in values specify the percentage of your U.S.-directed production 
that must comply with the emission standards for those model years. 
Calculate this compliance percentage based on a simple count of your 
U.S.-directed production units within each certified engine family 
compared with a simple count of your total U.S.-directed production 
units. Table 1 also shows the maximum value you may specify for a family 
emission limit, as follows:

[[Page 771]]



                                    Table 1 of Sec.   1051.103.--Exhaust Emission Standards for Snowmobiles (g/kW-hr)
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                               Emission standards            Maximum allowable family
                                                                           Phase-in    ----------------------------------         emission limits
                 Phase                            Model year               (percent)                                     -------------------------------
                                                                                               HC               CO              HC              CO
--------------------------------------------------------------------------------------------------------------------------------------------------------
Phase 1...............................  2006..........................              50             100              275
Phase 1...............................  2007-2009.....................             100             100              275
Phase 2...............................  2010 and 2011.................             100              75              275
Phase 3...............................  2012 and later................             100            (\1\)            (\1\)             150             400
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ See Sec.   1051.103(a)(2).


[[Page 772]]

    (2) For Phase 3, the HC and CO standards are defined by a functional 
relationship. Choose your corporate average HC and CO standards for each 
year according to the following criteria:
    (i) Prior to production, select the HC standard and CO standard 
(specified as g/kW-hr) so that the combined percent reduction from 
baseline emission levels is greater than or equal to 100 percent; that 
is, that the standards comply with the following equation:
[GRAPHIC] [TIFF OMITTED] TR25JN08.006

    (ii) Your corporate average HC standard may not be higher than 75 g/
kW-hr.
    (iii) Your corporate average CO standard may not be higher than 275 
g/kW-hr.
    (iv) You may use the averaging and banking provisions of subpart H 
of this part to show compliance with these HC and CO standards at the 
end of the model year under paragraph (a)(2)(i) of this section. You 
must comply with these final corporate average emission standards.



Sec.  1051.105  What are the exhaust emission standards for off-highway motorcycles?

    (a) Apply the exhaust emission standards in this section by model 
year. Measure emissions with the off-highway motorcycle test procedures 
in subpart F of this part.
    (1) Follow Table 1 of this section for exhaust emission standards. 
You may generate or use emission credits under the averaging, banking, 
and trading (ABT) program for HC+NOX and CO emissions, as 
described in subpart H of this part. This requires that you specify a 
family emission limit for each pollutant you include in the ABT program 
for each engine family. These family emission limits serve as the 
emission standards for the engine family with respect to all required 
testing instead of the standards specified in this section. An engine 
family meets emission standards even if its family emission limit is 
higher than the standard, as long as you show that the whole averaging 
set of applicable engine families meets the applicable emission 
standards using emission credits, and the vehicles within the family 
meet the family emission limit. The phase-in values specify the 
percentage of your U.S.-directed production that must comply with the 
emission standards for those model years. Calculate this compliance 
percentage based on a simple count of your U.S.-directed production 
units within each certified engine family compared with a simple count 
of your total U.S.-directed production units. Table 1 follows:

            Table 1 of Sec.   1051.105--Exhaust Emission Standards for Off-Highway Motorcycles (g/km)
----------------------------------------------------------------------------------------------------------------
                                                                 Emission standards     Maximum allowable family
                                                   Phase-in  --------------------------      emission limits
            Phase                 Model year      (percent)                            -------------------------
                                                                 HC+NOX         CO         HC+NOX         CO
----------------------------------------------------------------------------------------------------------------
Phase 1......................  2006............           50          2.0           25         20.0           50
                              ----------------------------------------------------------------------------------
                               2007 and later..          100          2.0           25         20.0           50
----------------------------------------------------------------------------------------------------------------

    (2) For model years 2007 and later you may choose to certify all of 
your off-highway motorcycles to an HC+NOX standard of 4.0 g/
km and a CO standard of 35 g/km, instead of the standards listed in 
paragraph (a)(1) of this section. To certify to the standards in this 
paragraph (a)(2), you must comply with the following provisions:
    (i) You may not request an exemption for any off-highway motorcycles 
under Sec.  1051.620
    (ii) At least ten percent of your off-highway motorcycles for the 
model

[[Page 773]]

year must have four of the following features:
    (A) The absence of a headlight or other lights.
    (B) The absence of a spark arrestor.
    (C) The absence of manufacturer warranty.
    (D) Suspension travel greater than 10 inches.
    (E) Engine displacement greater than 50 cc.
    (F) The absence of a functional seat.
    (iii) You may use the averaging and banking provisions of subpart H 
of this part to show compliance with this HC+NOX standard, 
but not this CO standard. If you use the averaging or banking provisions 
to show compliance, your FEL for HC+NOX may not exceed 8.0 g/
km for any engine family. You may not use the trading provisions of 
subpart H of this part.
    (3) You may certify off-highway motorcycles with engines that have 
total displacement of 70 cc or less to the exhaust emission standards in 
Sec.  1051.615 instead of certifying them to the exhaust emission 
standards of this section. Count all such vehicles in the phase-in 
(percent) requirements of this section.
    (b) The exhaust emission standards in this section apply for off-
highway motorcycles using the fuel type on which they are designed to 
operate. You must meet the numerical emission standards for hydrocarbons 
in this section based on the following types of hydrocarbon emissions 
for off-highway motorcycles powered by the following fuels:
    (1) Gasoline- and LPG-fueled off-highway motorcycles: THC emissions.
    (2) Natural gas-fueled off-highway motorcycles: NMHC emissions.
    (3) Alcohol-fueled off-highway motorcycles: THCE emissions.
    (c) Your off-highway motorcycles must meet emission standards over 
their full useful life. For off-highway motorcycles with engines that 
have total displacement greater than 70 cc, the minimum useful life is 
10,000 kilometers or five years, whichever comes first. For off-highway 
motorcycles with engines that have total displacement of 70 cc or less, 
the minimum useful life is 5,000 kilometers or five years, whichever 
comes first. You must specify a longer useful life for the engine family 
in terms of kilometers if the average service life of your vehicles is 
longer than the minimum value, as follows:
    (1) Except as allowed by paragraph (c)(2) of this section, your 
useful life (in kilometers) may not be less than either of the 
following:
    (i) Your projected operating life from advertisements or other 
marketing materials for any vehicles in the engine family.
    (ii) Your basic mechanical warranty for any engines in the engine 
family.
    (2) Your useful life may be based on the average service life of 
vehicles in the engine family if you show that the average service life 
is less than the useful life required by paragraph (c)(1) of this 
section, but more than the minimum useful life (10,000 kilometers). In 
determining the actual average service life of vehicles in an engine 
family, we will consider all available information and analyses. Survey 
data is allowed but not required to make this showing.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40487, July 13, 2005]



Sec.  1051.107  What are the exhaust emission standards for all-terrain vehicles (ATVs) and offroad utility vehicles?

    This section specifies the exhaust emission standards that apply to 
ATVs. As is described in Sec.  1051.1(a)(4), offroad utility vehicles 
that are subject to this part are subject to these same standards.
    (a) Apply the exhaust emission standards in this section by model 
year. Measure emissions with the ATV test procedures in subpart F of 
this part.
    (1) Follow Table 1 of this section for exhaust emission standards. 
You may generate or use emission credits under the averaging, banking, 
and trading (ABT) program for HC+NOX emissions, as described 
in subpart H of this part. This requires that you specify a family 
emission limit for each pollutant you include in the ABT program for 
each engine family. These family emission limits serve as the emission 
standards for the engine family with respect to all required testing 
instead of the standards specified in this section. An engine family 
meets emission standards even if its family emission limit is

[[Page 774]]

higher than the standard, as long as you show that the whole averaging 
set of applicable engine families meets the applicable emission 
standards using emission credits, and the vehicles within the family 
meet the family emission limit. Table 1 also shows the maximum value you 
may specify for a family emission limit. The phase-in values in the 
table specify the percentage of your total U.S.-directed production that 
must comply with the emission standards for those model years.
    Calculate this compliance percentage based on a simple count of your 
U.S.-directed production units within each certified engine family 
compared with a simple count of your total U.S.-directed production 
units. This applies to your total production of ATVs and offroad utility 
vehicles that are subject to the standards of this part; including both 
ATVs and offroad utility vehicles subject to the standards of this 
section and ATVs and offroad utility vehicles certified to the standards 
of other sections in this part 1051 (such as Sec.  1051.615, but not 
including vehicles certified under other parts in this chapter (such as 
40 CFR part 90). Table 1 follows:

                                         Table 1 of Sec.   1051.107--Exhaust Emission Standards for ATVs (g/km)
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                Emission standards           Maximum allowable family
                                                                             Phase-in    --------------------------------         emission limits
                   Phase                             Model year              (percent)                                   -------------------------------
                                                                                              HC+NOX            CO            HC+NOX            CO
--------------------------------------------------------------------------------------------------------------------------------------------------------
Phase 1...................................  2006........................              50             1.5              35            20.0  ..............
                                            2007 and later..............             100             1.5              35            20.0  ..............
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (2) You may certify ATVs with engines that have total displacement 
of less than 100 cc to the exhaust emission standards in Sec.  1051.615 
instead of certifying them to the exhaust emission standards of this 
section. Count all such vehicles in the phase-in (percent) requirements 
of this section.
    (b) The exhaust emission standards in this section apply for ATVs 
using the fuel type on which they are designed to operate. You must meet 
the numerical emission standards for hydrocarbons in this section based 
on the following types of hydrocarbon emissions for ATVs powered by the 
following fuels:
    (1) Gasoline- and LPG-fueled ATVs: THC emissions.
    (2) Natural gas-fueled ATVs: NMHC emissions.
    (3) Alcohol-fueled ATVs: THCE emissions.
    (c) Your ATVs must meet emission standards over their full useful 
life. For ATVs with engines that have total displacement of 100 cc or 
greater, the minimum useful life is 10,000 kilometers, 1000 hours of 
engine operation, or five years, whichever comes first. For ATVs with 
engines that have total displacement of less than 100 cc, the minimum 
useful life is 5,000 kilometers, 500 hours of engine operation, or five 
years, whichever comes first. You must specify a longer useful life for 
the engine family in terms of kilometers and hours if the average 
service life of your vehicles is longer than the minimum value, as 
follows:
    (1) Except as allowed by paragraph (c)(2) of this section, your 
useful life (in kilometers) may not be less than either of the 
following:
    (i) Your projected operating life from advertisements or other 
marketing materials for any vehicles in the engine family.
    (ii) Your basic mechanical warranty for any engines in the engine 
family.
    (2) Your useful life may be based on the average service life of 
vehicles in the engine family if you show that the average service life 
is less than the useful life required by paragraph (c)(1) of this 
section, but more than the minimum useful life (10,000 kilometers or 
1,000 hours of engine operation). In determining the actual average 
service life of vehicles in an engine family, we will consider all 
available information and analyses. Survey data is allowed but not 
required to make this showing.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40488, July 13, 2005]

[[Page 775]]



Sec.  1051.110  What evaporative emission standards must my vehicles meet?

    Your new vehicles must meet the emission standards of this section 
over their full useful life. Note that Sec.  1051.245 allows you to use 
design-based certification instead of generating new emission data.
    (a) Beginning with the 2008 model year, permeation emissions from 
your vehicle's fuel tank(s) may not exceed 1.5 grams per square-meter 
per day when measured with the test procedures for tank permeation in 
subpart F of this part. You may generate or use emission credits under 
the averaging, banking, and trading (ABT) program, as described in 
subpart H of this part.
    (b) Beginning with the 2008 model year, permeation emissions from 
your vehicle's fuel lines may not exceed 15 grams per square-meter per 
day when measured with the test procedures for fuel-line permeation in 
subpart F of this part. Use the inside diameter of the hose to determine 
the surface area of the hose.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40488, July 13, 2005]



Sec.  1051.115  What other requirements must my vehicles meet?

    Your vehicles must meet the following requirements:
    (a) Closed crankcase. Crankcase emissions may not be discharged 
directly into the ambient atmosphere from any vehicle throughout its 
useful life.
    (b) [Reserved]
    (c) Adjustable parameters. Vehicles that have adjustable parameters 
must meet all the requirements of this part for any adjustment in the 
physically adjustable range. Note that parameters that control the air-
fuel ratio may be treated separately under paragraph (d) of this 
section. An operating parameter is not considered adjustable if you 
permanently seal it or if it is not normally accessible using ordinary 
tools. We may require that you set adjustable parameters to any 
specification within the adjustable range during any testing, including 
certification testing, production-line testing, or in-use testing.
    (d) Other adjustments. This provision applies if an experienced 
mechanic can change your engine's air-fuel ratio in less than one hour 
with a few parts whose total cost is under $50 (in 2001 dollars). 
Examples include carburetor jets and needles. In the case of carburetor 
jets and needles, your vehicle must meet all the requirements of this 
part for any air-fuel ratio within the adjustable range described in 
paragraph (d)(1) of this section.
    (1) In your application for certification, specify the adjustable 
range of air-fuel ratios you expect to occur in use. You may specify it 
in terms of engine parts (such as the carburetor jet size and needle 
configuration as a function of atmospheric conditions).
    (2) This adjustable range (specified in paragraph (d)(1) of this 
section) must include all air-fuel ratios between the lean limit and the 
rich limit, unless you can show that some air-fuel ratios will not occur 
in use.
    (i) The lean limit is the air-fuel ratio that produces the highest 
engine power output (averaged over the test cycle).
    (ii) The rich limit is the richest of the following air-fuel ratios:
    (A) The air-fuel ratio that would result from operating the vehicle 
as you produce it at the specified test conditions. This paragraph 
(d)(2)(ii)(A) does not apply if you produce the vehicle with an unjetted 
carburetor so that the vehicle must be jetted by the dealer or operator.
    (B) The air-fuel ratio of the engine when you do durability testing.
    (C) The richest air-fuel ratio that you recommend to your customers 
for the applicable ambient conditions.
    (3) If the air-fuel ratio of your vehicle is adjusted primarily by 
changing the carburetor jet size and/or needle configuration, you may 
submit your recommended jetting chart instead of the range of air-fuel 
ratios required by paragraph (d)(1) of this section if the following 
criteria are met:
    (i) Good engineering judgment indicates that vehicle operators would 
not have an incentive to operate the vehicle with richer air-fuel ratios 
than recommended.
    (ii) The chart is based on use of a fuel that is equivalent to the 
specified test fuel(s). As an alternative you may submit a chart based 
on a representative

[[Page 776]]

in-use fuel if you also provide instructions for converting the chart to 
be applicable to the test fuel(s).
    (iii) The chart is specified in units that are adequate to make it 
practical for an operator to keep the vehicle properly jetted during 
typical use. For example, charts that specify jet sizes based on 
increments of temperature smaller than 20 [deg]F (11.1 [deg]C) or 
increments of altitude less than 2000 feet would not meet this criteria. 
Temperature ranges must overlap by at least 5 [deg]F (2.8 [deg]C).
    (iv) You follow the jetting chart for durability testing.
    (v) You do not produce your vehicles with jetting richer than the 
jetting chart recommendation for the intended vehicle use.
    (vi) The adjustable range of carburetor screws, such as air screw, 
fuel screw, and idle-speed screw must be defined by stops, limits, or 
specification on the jetting chart consistent with the requirements for 
specifying jet sizes and needle configuration in this section.
    (4) We may require you to adjust the engine to any specification 
within the adjustable range during certification testing, production-
line testing, selective enforcement auditing, or in-use testing. If we 
allow you to submit your recommended jetting chart instead of the range 
of air-fuel ratios required by paragraph (d)(1) of this section, adjust 
the engine to the richest specification within the jetting chart for the 
test conditions, unless we specify a leaner setting. We may not specify 
a setting leaner than that described in paragraph (d)(2)(i) of this 
section.
    (e) Prohibited controls. You may not design your engines with 
emission-control devices, systems, or elements of design that cause or 
contribute to an unreasonable risk to public health, welfare, or safety 
while operating. For example, this would apply if the engine emits a 
noxious or toxic substance it would otherwise not emit that contributes 
to such an unreasonable risk.
    (f) Defeat devices. You may not equip your vehicles with a defeat 
device. A defeat device is an auxiliary emission-control device that 
reduces the effectiveness of emission controls under conditions that the 
vehicle may reasonably be expected to encounter during normal operation 
and use. This does not apply to auxiliary emission-control devices you 
identify in your certification application if any of the following is 
true:
    (1) The conditions of concern were substantially included in the 
applicable test procedures described in subpart F of this part.
    (2) You show your design is necessary to prevent vehicle damage or 
accidents.
    (3) The reduced effectiveness applies only to starting the engine.
    (g) Noise standards. There are no noise standards specified in this 
part 1051. See 40 CFR Chapter I, Subchapter G, to determine if your 
vehicle must meet noise emission standards under another part of our 
regulations.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40488, July 13, 2005]



Sec.  1051.120  What emission-related warranty requirements apply to me?

    (a) General requirements. You must warrant to the ultimate purchaser 
and each subsequent purchaser that the new engine, including all parts 
of its emission-control system, meets two conditions:
    (1) It is designed, built, and equipped so it conforms at the time 
of sale to the ultimate purchaser with the requirements of this part.
    (2) It is free from defects in materials and workmanship that may 
keep it from meeting these requirements.
    (b) Warranty period. Your emission-related warranty must be valid 
for at least 50 percent of the vehicle's minimum useful life in 
kilometers or hours of engine operation (where applicable), or at least 
30 months, whichever comes first. You may offer an emission-related 
warranty more generous than we require. The emission-related warranty 
for the engine may not be shorter than any published warranty you offer 
without charge for the engine. Similarly, the emission-related warranty 
for any component may not be shorter than any published warranty you 
offer without charge for that component. If a vehicle has no odometer, 
base warranty periods in this paragraph (b) only on

[[Page 777]]

the vehicle's age (in years). The warranty period begins when the engine 
is placed into service.
    (c) Components covered. The emission-related warranty covers all 
components whose failure would increase an engine's emissions of any 
pollutant. This includes components listed in 40 CFR part 1068, Appendix 
I, and components from any other system you develop to control 
emissions. The emission-related warranty covers these components even if 
another company produces the component. Your emission-related warranty 
does not cover components whose failure would not increase an engine's 
emissions of any pollutant.
    (d) Limited applicability. You may deny warranty claims under this 
section if the operator caused the problem through improper maintenance 
or use, as described in 40 CFR 1068.115. You may ask us to allow you to 
exclude from your emission-related warranty certified vehicles that have 
been used significantly for competition, especially certified 
motorcycles that meet at least four of the criteria in Sec.  
1051.620(b)(1).
    (e) Owners manual. Describe in the owners manual the emission-
related warranty provisions from this section that apply to the engine.

[70 FR 40489, July 13, 2005]



Sec.  1051.125  What maintenance instructions must I give to buyers?

    Give the ultimate purchaser of each new vehicle written instructions 
for properly maintaining and using the vehicle, including the emission-
control system. The maintenance instructions also apply to service 
accumulation on your emission-data vehicles, as described in Sec.  
1051.240, Sec.  1051.245, and 40 CFR part 1065.
    (a) Critical emission-related maintenance. Critical emission-related 
maintenance includes any adjustment, cleaning, repair, or replacement of 
critical emission-related components. This may also include additional 
emission-related maintenance that you determine is critical if we 
approve it in advance. You may schedule critical emission-related 
maintenance on these components if you meet the following conditions:
    (1) You demonstrate that the maintenance is reasonably likely to be 
done at the recommended intervals on in-use vehicles. We will accept 
scheduled maintenance as reasonably likely to occur if you satisfy any 
of the following conditions:
    (i) You present data showing that, if a lack of maintenance 
increases emissions, it also unacceptably degrades the vehicle's 
performance.
    (ii) You present survey data showing that at least 80 percent of 
vehicles in the field get the maintenance you specify at the recommended 
intervals.
    (iii) You provide the maintenance free of charge and clearly say so 
in maintenance instructions for the customer.
    (iv) You otherwise show us that the maintenance is reasonably likely 
to be done at the recommended intervals.
    (2) You may not schedule critical emission-related maintenance 
within the minimum useful life period for aftertreatment devices, pulse-
air valves, fuel injectors, oxygen sensors, electronic control units, 
superchargers, or turbochargers.
    (b) Recommended additional maintenance. You may recommend any 
additional amount of maintenance on the components listed in paragraph 
(a) of this section, as long as you state clearly that these maintenance 
steps are not necessary to keep the emission-related warranty valid. If 
operators do the maintenance specified in paragraph (a) of this section, 
but not the recommended additional maintenance, this does not allow you 
to disqualify those vehicles from in-use testing or deny a warranty 
claim. Do not take these maintenance steps during service accumulation 
on your emission-data vehicles.
    (c) Special maintenance. You may specify more frequent maintenance 
to address problems related to special situations, such as atypical 
vehicle operation. You must clearly state that this additional 
maintenance is associated with the special situation you are addressing.
    (d) Noncritical emission-related maintenance. You may schedule any 
amount of emission-related inspection or maintenance that is not covered 
by paragraph (a) of this section, as long as you

[[Page 778]]

state in the owners manual that these steps are not necessary to keep 
the emission-related warranty valid. If operators fail to do this 
maintenance, this does not allow you to disqualify those vehicles from 
in-use testing or deny a warranty claim. Do not take these inspection or 
maintenance steps during service accumulation on your emission-data 
vehicles.
    (e) Maintenance that is not emission-related. For maintenance 
unrelated to emission controls, you may schedule any amount of 
inspection or maintenance. You may also take these inspection or 
maintenance steps during service accumulation on your emission-data 
vehicles, as long as they are reasonable and technologically necessary. 
This might include adding engine oil, changing air, fuel, or oil 
filters, servicing engine-cooling systems, and adjusting idle speed, 
governor, engine bolt torque, valve lash, or injector lash, or adjusting 
chain tension, clutch position, or tire pressure. You may perform this 
nonemission-related maintenance on emission-data vehicles at the least 
frequent intervals that you recommend to the ultimate purchaser (but not 
the intervals recommended for severe service). You may also visually 
inspect test vehicles or engines, including emission-related components, 
as needed to ensure safe operation.
    (f) Source of parts and repairs. State clearly on the first page of 
your written maintenance instructions that a repair shop or person of 
the owner's choosing may maintain, replace, or repair emission-control 
devices and systems. Your instructions may not require components or 
service identified by brand, trade, or corporate name. Also, do not 
directly or indirectly condition your warranty on a requirement that the 
vehicle be serviced by your franchised dealers or any other service 
establishments with which you have a commercial relationship. You may 
disregard the requirements in this paragraph (f) if you do one of two 
things:
    (1) Provide a component or service without charge under the purchase 
agreement.
    (2) Get us to waive this prohibition in the public's interest by 
convincing us the vehicle will work properly only with the identified 
component or service.
    (g) Payment for scheduled maintenance. Owners are responsible for 
properly maintaining their vehicles. This generally includes paying for 
scheduled maintenance. However, manufacturers must pay for scheduled 
maintenance during the useful life if it meets all the following 
criteria:
    (1) Each affected component was not in general use on similar 
vehicles before the 2006 model year.
    (2) The primary function of each affected component is to reduce 
emissions.
    (3) The cost of the scheduled maintenance is more than 2 percent of 
the price of the vehicle.
    (4) Failure to perform the maintenance would not cause clear 
problems that would significantly degrade the vehicle's performance.
    (h) Owners manual. Explain the owner's responsibility for proper 
maintenance in the owners manual.

[70 FR 40489, July 13, 2005]



Sec.  1051.130  What installation instructions must I give to vehicle manufacturers?

    (a) If you sell an engine for someone else to install in a piece of 
nonroad equipment, give the engine installer instructions for installing 
it consistent with the requirements of this part. Include all 
information necessary to ensure that an engine will be installed in its 
certified configuration.
    (b) Make sure these instructions have the following information:
    (1) Include the heading: ``Emission-related installation 
instructions''.
    (2) State: ``Failing to follow these instructions when installing a 
certified engine in a piece of nonroad equipment violates federal law 
(40 CFR 1068.105(b)), subject to fines or other penalties as described 
in the Clean Air Act.''.
    (3) Describe the instructions needed to properly install the exhaust 
system and any other components. Include instructions consistent with 
the requirements of Sec.  1051.205(r).
    (4) Describe the steps needed to comply with the evaporative 
emission standards in Sec.  1051.110.

[[Page 779]]

    (5) Describe any limits on the range of applications needed to 
ensure that the engine operates consistently with your application for 
certification. For example, if your engines are certified only to the 
snowmobile standards, tell vehicle manufacturers not to install the 
engines in other vehicles.
    (6) Describe any other instructions to make sure the installed 
engine will operate according to design specifications in your 
application for certification. This may include, for example, 
instructions for installing aftertreatment devices when installing the 
engines.
    (7) State: ``If you install the engine in a way that makes the 
engine's emission contro information label hard to read during normal 
engine maintenance, you must place a duplicate label on the vehicle, as 
described in 40 CFR 1068.105.''.
    (c) You do not need installation instructions for engines you 
install in your own vehicles.
    (d) Provide instructions in writing or in an equivalent format. For 
example, you may post instructions on a publicly available Web site for 
downloading or printing. If you do not provide the instructions in 
writing, explain in your application for certification how you will 
ensure that each installer is informed of the installation requirements.

[70 FR 40490, July 13, 2005]



Sec.  1051.135  How must I label and identify the vehicles I produce?

    Each of your vehicles must have three labels: a vehicle 
identification number as described in paragraph (a) of this section, an 
emission control information label as described in paragraphs (b) 
through (e) of this section, and a consumer information label as 
described in Sec.  1051.137.
    (a) Assign each vehicle a unique identification number and 
permanently affix, engrave, or stamp it on the vehicle in a legible way.
    (b) At the time of manufacture, affix a permanent and legible 
emission control information label identifying each vehicle. The label 
must be
    (1) Attached so it is not removable without being destroyed or 
defaced.
    (2) Secured to a part of the vehicle (or engine) needed for normal 
operation and not normally requiring replacement.
    (3) Durable and readable for the vehicle's entire life.
    (4) Written in English.
    (c) The label must--
    (1) Include the heading ``EMISSION CONTROL INFORMATION''.
    (2) Include your full corporate name and trademark. You may identify 
another company and use its trademark instead of yours if you comply 
with the provisions of Sec.  1051.645.
    (3) Include EPA's standardized designation for engine families, as 
described in Sec.  1051.230.
    (4) State the engine's displacement (in liters). You may omit this 
from the emission control information label if the vehicle is 
permanently labeled with a unique model name that corresponds to a 
specific displacement. Also, you may omit displacement from the label if 
all the engines in the engine family have the same per-cylinder 
displacement and total displacement.
    (5) State: ``THIS VEHICLE IS CERTIFIED TO OPERATE ON [specify 
operating fuel or fuels].''.
    (6) State the date of manufacture [MONTH and YEAR]. You may omit 
this from the label if you keep a record of the engine-manufacture dates 
and provide it to us upon request, or if you stamp the date on the 
engine or vehicle.
    (7) State the exhaust emission standards or FELs to which the 
vehicles are certified.
    (8) Identify the emission-control system. Use terms and 
abbreviations consistent with SAE J1930 (incorporated by reference in 
Sec.  1051.810). You may omit this information from the label if there 
is not enough room for it and you put it in the owners manual instead.
    (9) List specifications and adjustments for engine tuneups; show the 
proper position for the transmission during tuneup and state which 
accessories should be operating.
    (10) Identify the fuel type and any requirements for fuel and 
lubricants. You may omit this information from the label if there is not 
enough room for it and you put it in the owners manual instead.

[[Page 780]]

    (11) State the useful life for your engine family if it is different 
than the minimum value.
    (12) State: ``S VEHICLE MEETS U.S. EPA REGULATIONS FOR [MODEL YEAR] 
[SNOWMOBILES or OFF-ROAD MOTORCYCLES or ATVs or OFFROAD UTILITY 
VEHICLES].''.
    (d) You may add information to the emission control information 
label to identify other emission standards that the vehicle meets or 
does not meet (such as California standards). You may also add other 
information to ensure that the engine will be properly maintained and 
used.
    (e) You may ask us to approve modified labeling requirements in this 
part 1051 if you show that it is necessary or appropriate. We will 
approve your request if your alternate label is consistent with the 
requirements of this part.
    (f) If you obscure the engine label while installing the engine in 
the equipment such that the label will be hard to read during normal 
maintenance, you must place a duplicate label on the equipment. If 
others install your engine in their equipment in a way that obscures the 
engine label, we require them to add a duplicate label on the equipment 
(see 40 CFR 1068.105); in that case, give them the number of duplicate 
labels they request and keep the following records for at least five 
years:
    (1) Written documentation of the request from the equipment 
manufacturer.
    (2) The number of duplicate labels you send and the date you sent 
them.
    (g) Label every vehicle certified under this part with a removable 
hang-tag showing its emission characteristics relative to other models, 
as described in Sec.  1051.137.

[70 FR 40490, July 13, 2005]



Sec.  1051.137  What are the consumer labeling requirements?

    Label every vehicle certified under this part with a removable hang-
tag showing its emission characteristics relative to other models. The 
label should be attached securely to the vehicle before it is offered 
for sale in such a manner that it would not be accidentally removed 
prior to sale. Use the applicable equations of this section to determine 
the normalized emission rate (NER) from the FEL for your vehicle. If the 
vehicle is certified without using the averaging provisions of subpart 
H, use the final deteriorated emission level. Round the resulting 
normalized emission rate for your vehicle to one decimal place. If the 
calculated NER value is less than zero, consider NER to be zero for that 
vehicle. We may specify a standardized format for labels. At a minimum, 
the tag should include: the manufacturer's name, vehicle model name, 
engine description (500 cc two-stroke with DFI), the NER, and a brief 
explanation of the scale (for example, note that 0 is the cleanest and 
10 is the least clean).
    (a) For snowmobiles, use the following equation:

NER = 16.61 x log (2.667 x HC + CO)-38.22

Where:

HC and CO are the cycle-weighted FELs (or emission rates) for 
hydrocarbons and carbon monoxide in g/kW-hr.

    (b) For off-highway motorcycles, use the following equations:
    (1) For off-highway motorcycles certified to the standards in Sec.  
1051.105, use one of the equations specified below.
    (i) If the vehicle has HC + NOX emissions less than or 
equal to 2.0 g/km, use the following equation:

NER = 2.500 x (HC+NOX)

Where:

HC+NOX is the FEL (or the sum of the cycle-weighted emission 
rates) for hydrocarbons and oxides of nitrogen in g/km.

    (ii) If the vehicle has HC + NOX emissions greater than 
2.0 g/km, use the following equation:

NER = 5.000 x log(HC+NOX)+ 3.495

Where:

HC+NOX is the FEL (or the sum of the cycle-weighted emission 
rates) for hydrocarbons and oxides of nitrogen in g/km.

    (2) For off-highway motorcycles certified to the standards in Sec.  
1051.615(b), use the following equation:

NER = 8.782 x log(HC+NOX) -5.598

Where:


[[Page 781]]


HC+NOX is the FEL (or the sum of the cycle-weighted emission 
rates) for hydrocarbons and oxides of nitrogen in g/kW-hr.

    (c) For ATVs, use the following equations:
    (1) For ATVs certified to the standards in Sec.  1051.107, use one 
of the equations specified below.
    (i) If the vehicle has HC + NOX emissions less than or 
equal to 1.5 g/km, use the following equation:

NER = 3.333 x (HC+NOX)

Where:

HC+NOX is the FEL (or the sum of the cycle-weighted emission 
rates) for hydrocarbons and oxides of nitrogen in g/km.

    (ii) If the vehicle has HC + NOX emissions greater than 
1.5 g/km, use the following equation:

NER = 4.444 x log(HC+NOX)+4.217

Where:

HC+NOX is the FEL (or the sum of the cycle-weighted emission 
rates) for hydrocarbons and oxides of nitrogen in g/km.

    (2) For ATVs certified to the standards in Sec.  1051.615(a), use 
the following equation:

NER = 8.782 x log(HC + NOX) -7.277

Where:

HC+NOX is the FEL (or the sum of the cycle-weighted emission 
rates) for hydrocarbons and oxides of nitrogen in g/kW-hr.

[70 FR 40491, July 13, 2005]



Sec.  1051.145  What provisions apply only for a limited time?

    Apply the following provisions instead of others in this part for 
the periods and circumstances specified in this section.
    (a) Provisions for small-volume manufacturers. Special provisions 
apply to you if you are a small-volume manufacturer subject to the 
requirements of this part. Contact us before 2006 if you intend to use 
these provisions.
    (1) You may delay complying with otherwise applicable emission 
standards (and other requirements) for two model years.
    (2) If you are a small-volume manufacturer of snowmobiles, only 50 
percent of the models you produce (instead of all of the models you 
produce) must meet emission standards in the first two years they apply 
to you as a small-volume manufacturer, as described in paragraph (a)(1) 
of this section. For example, this alternate phase-in allowance would 
allow small-volume snowmobile manufacturers to comply with the Phase 1 
exhaust standards by certifying 50 percent of their snowmobiles in 2008, 
50 percent of their snowmobiles in 2009, and 100 percent in 2010.
    (3) Your vehicles for model years before 2011 may be exempt from the 
exhaust standards of this part if you meet the following criteria:
    (i) Produce your vehicles by installing engines covered by a valid 
certificate of conformity under 40 CFR part 90 that shows the engines 
meet standards for Class II engines for each engine's model year.
    (ii) Do not change the engine in a way that we could reasonably 
expect to increase its exhaust emissions.
    (iii) The engine meets all applicable requirements from 40 CFR part 
90. This applies to engine manufacturers, vehicle manufacturers who use 
these engines, and all other persons as if these engines were not used 
in recreational vehicles.
    (iv) Show that fewer than 50 percent of the engine family's total 
sales in the United States are used in recreational vehicles regulated 
under this part. This includes engines used in any application, without 
regard to which company manufactures the vehicle or equipment.
    (v) If your engines do not meet the criteria listed in paragraph (a) 
of this section, they will be subject to the provisions of this part. 
Introducing these engines into commerce without a valid exemption or 
certificate of conformity violates the prohibitions in 40 CFR 1068.101.
    (vi) Engines exempted under this paragraph (a)(3) are subject to all 
the requirements affecting engines under 40 CFR part 90. The 
requirements and restrictions of 40 CFR part 90 apply to anyone 
manufacturing these engines, anyone manufacturing equipment that uses 
these engines, and all other persons in the same manner as other engines 
subject to 40 CFR part 90.

[[Page 782]]

    (4) All vehicles produced under this paragraph (a) must be labeled 
according to our specifications. The label must include the following:
    (i) The heading ``EMISSION CONTROL INFORMATION''.
    (ii) Your full corporate name and trademark.
    (iii) A description of the provisions under which this section 
applies to your vehicle .
    (iv) Other information that we specify to you in writing.
    (b) Optional emission standards for ATVs. To meet ATV standards for 
model years before 2014, you may apply the exhaust emission standards by 
model year in paragraph (b)(1) of this section while measuring emissions 
using the engine-based test procedures in 40 CFR part 1065 instead of 
the chassis-based test procedures in 40 CFR part 86. In model year 2014 
you may apply this provision for exhaust emission engine families 
representing up to 50 percent of your U.S.-directed production. This 
provision is not available in the 2015 or later-model years. If you 
certify only one ATV exhaust emission engine family in the 2014 model 
year this provision is available for that family in the 2014 model year.
    (1) Follow Table 1 of this section for exhaust emission standards, 
while meeting all the other requirements of Sec.  1051.107. You may use 
emission credits to show compliance with these standards (see subpart H 
of this part). You may not exchange emission credits with engine 
families meeting the standards in Sec.  1051.107(a). You may also not 
exchange credits between engine families certified to the standards for 
engines above 225 cc and engine families certified to the standards for 
engines below 225 cc. The phase-in percentages in the table specify the 
percentage of your total U.S.-directed production that must comply with 
the emission standards for those model years (i.e., the percentage 
requirement does not apply separately for engine families above and 
below 225 cc). Table 1 follows:

               Table 1 of Sec.   1051.145--Optional Exhaust Emission Standards for ATVs (g/kW-hr)
----------------------------------------------------------------------------------------------------------------
                                                                              Emission standards       Maximum
                                                                          --------------------------  allowable
                                                                                                        family
         Engine displacement                Model year          Phase-in                               emission
                                                               (percent)      HC+NOX         CO         limits
                                                                                                    ------------
                                                                                                        HC+NOX
----------------------------------------------------------------------------------------------------------------
                                      2006..................           50         16.1          400         32.2
                                     ---------------------------------------------------------------------------
<225 cc.............................  2007 and 2008.........          100         16.1          400         32.2
                                     ---------------------------------------------------------------------------
                                      2006..................           50         13.4          400         26.8
                                     ---------------------------------------------------------------------------
=225 cc..................  2007 and 2008.........          100         13.4          400         26.8
----------------------------------------------------------------------------------------------------------------

    (2) Measure emissions by testing the engine on a dynamometer with 
the steady-state duty cycle described in Table 2 of this section.
    (i) During idle mode, hold the speed within your specifications, 
keep the throttle fully closed, and keep engine torque under 5 percent 
of the peak torque value at maximum test speed.
    (ii) For the full-load operating mode, operate the engine at its 
maximum fueling rate.
    (iii) See part 1065 of this chapter for detailed specifications of 
tolerances and calculations.
    (iv) Table 2 follows:

                     Table 2 of Sec.   1051.145--6-Mode Duty Cycle for Recreational Engines
----------------------------------------------------------------------------------------------------------------
                                                                    Torque
                                                 Engine speed     (percent of
                   Mode No.                      (percent of     maximum test   Minimum time in     Weighting
                                                 maximum test   torque at test   mode (minutes)      factors
                                                    speed)          speed)
----------------------------------------------------------------------------------------------------------------
1............................................              85        100                   5.0             0.09
----------------------------------------------------------------------------------------------------------------

[[Page 783]]

 
2............................................              85         75                   5.0             0.20
----------------------------------------------------------------------------------------------------------------
3............................................              85         50                   5.0             0.29
----------------------------------------------------------------------------------------------------------------
4............................................              85         25                   5.0             0.30
----------------------------------------------------------------------------------------------------------------
5............................................              85         10                   5.0             0.07
----------------------------------------------------------------------------------------------------------------
6............................................            Idle          0                   5.0             0.05
----------------------------------------------------------------------------------------------------------------

    (3) For ATVs certified to the standards in this paragraph (b), use 
the following equations to determine the normalized emission rate 
required by Sec.  1051.137:
    (i) For engines at or above 225 cc, use the following equation:

NER = 9.898 x log (HC + NOX) - 4.898

Where:

HC +NOX is the sum of the cycle-weighted emission rates for 
hydrocarbons and oxides of nitrogen in g/kW-hr.

    (ii) For engines below 225 cc, use the following equation:

NER = 9.898 x log [(HC+NOX) 0.83] - 4.898

Where:

HC +NOX is the sum of the cycle-weighted emission rates for 
hydrocarbons and oxides of nitrogen in g/kW-hr.

    (c) [Reserved]
    (d) Phase-in flexibility. For model years before 2014, if you make a 
good faith effort to comply, but fail to meet the sales requirements of 
this part during a phase-in period for new standards, or fail to meet 
the average emission standards, we may approve an alternative remedy to 
offset the emission reduction deficit using future emission credits 
under this part. To apply for this, you must:
    (1) Submit a plan during the certification process for the first 
model year of the phase-in showing how you project to meet the sales 
requirement of the phase-in.
    (2) Notify us less than 30 days after you determine that you are 
likely to fail to comply with the sales requirement of the phase-in.
    (3) Propose a remedy that will achieve equivalent or greater 
emission reductions compared to the specified phase-in requirements, and 
that will offset the deficit within one model year.
    (e) Raw sampling procedures. Using good engineering judgment, you 
may use the alternate raw-sampling procedures instead of the procedures 
described in 40 CFR part 1065 for emission testing certain vehicles, as 
follows:
    (1) Snowmobile. You may use the raw sampling procedures described in 
40 CFR part 90 or 91 for snowmobiles before the 2010 model year.
    (2) ATV. You may use the raw sampling procedures described in 40 CFR 
part 90 or 91 for ATVs certified using engine-based test procedures as 
specified in Sec.  1051.615 before the 2015 model year. You may use 
these raw sampling procedures for any ATVs certified using engine-based 
test procedures as specified in paragraph (b) of this section.
    (f) Early credits. Snowmobile manufacturers may generate early 
emission credits in one of the following ways, by certifying some or all 
of their snowmobiles prior to 2006. Credit generating snowmobiles must 
meet all other applicable requirements of this part. No early credits 
may be generated by off-highway motorcycles or ATVs.
    (1) You may certify one or more snowmobile engine families to FELs 
(HC and CO) below the numerical level of the Phase 2 standards prior to 
the date when compliance with the Phase 1 standard is otherwise 
required. Credits are calculated relative to the Phase 2 standards. 
Credits generated under this paragraph (f)(1) may be used at any time 
before 2012.

[[Page 784]]

    (2) You may certify a snowmobile engine family to FELs (HC and CO) 
below the numerical level of the Phase 1 standards prior to the date 
when compliance with the Phase 1 standard is otherwise required. Credits 
are calculated relative to the Phase 1 standards. Credits generated 
under this paragraph (f)(2) may only be used for compliance with the 
Phase 1 standards. You may generate credits under this paragraph (f)(2) 
without regard to whether the FELs are above or below the numerical 
level of the Phase 2 standards.
    (g) Pull-ahead option for permeation emissions. Manufacturers 
choosing to comply with an early tank permeation standard of 3.0 g/m\2\/
day prior to model year 2008 may be allowed to delay compliance with the 
1.5 g/m\2\/day standard by earning credits, as follows:
    (1) Calculate earned credits using the following equation:

Credit = (Baseline emissions - Pull-ahead level) x 
    [lsqbb][Sigma]i(Production)i x 
    (UL)i[rsqbb]

Where:

Baseline emissions = the baseline emission rate, as determined in 
paragraph (g)(2) of this section.
Pull-ahead level = the permeation level to which you certify the tank, 
which must be at or below 3.0 g/m\2\/day.
(Production)i = the annual production volume of vehicles in 
the engine family for model year ``i'' times the average internal 
surface area of the vehicles' fuel tanks.
(UL)i = The useful life of the engine family in model year 
``i''.

    (2) Determine the baseline emission level for calculating credits 
using any of the following values:
    (i) 7.6 g/m\2\/day.
    (ii) The emission rate measured from your lowest-emitting, 
uncontrolled fuel tank from the current or previous model year using the 
procedures in Sec.  1051.515. For example, this would generally involve 
the fuel tank with the greatest wall thickness for a given material.
    (iii) The emission rate measured from an uncontrolled fuel tank that 
is the same as or most similar to the model you have used during the 
current or previous model year. However, you may use this approach only 
if you use it to establish a baseline emission level for each unique 
tank model you produce using the procedures in Sec.  1051.515.
    (3) Pull-ahead tanks under this option must be certified and must 
meet all applicable requirements other than those limited to compliance 
with the exhaust standards.
    (4) You may use credits generated under this paragraph (g) as 
specified in subpart H of this part.
    (h) Deficit credits for permeation standards. For 2008 through 2010 
model years, you may have a negative balance of emission credits 
relative to the permeation emission standards at the end of each model 
year, subject to the following provisions:
    (1) You must eliminate any credit deficit we allow under this 
paragraph (h) by the end of the 2011 model year. If you are unable to 
eliminate your credit deficit by the end of the 2011 model year, we may 
void the certificates for all families certified to FELs above the 
allowable average, for all affected model years.
    (2) State in your application for certification a statement whether 
you will have a negative balance of permeation emission credits for that 
model year. If you project that you will have a negative balance, 
estimate the credit deficit for each affected model year and present a 
detailed plan to show where and when you will get credits to offset the 
deficit by the end of the 2011 model year.
    (3) In your end-of-year report under Sec.  1051.730, state whether 
your credit deficit is larger or smaller than you projected in your 
application for certification. If the deficit is larger than projected, 
include in your end-of-year report an update to your detailed plan to 
show how you will eliminate the credit deficit by the end of the 2011 
model year.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40491, July 13, 2005; 72 
FR 20735, Apr. 26, 2007]

[[Page 785]]



                  Subpart C_Certifying Engine Families



Sec.  1051.201  What are the general requirements for obtaining a certificate of conformity?

    (a) You must send us a separate application for a certificate of 
conformity for each engine family. A certificate of conformity is valid 
from the indicated effective date until December 31 of the model year 
for which it is issued.
    (b) The application must contain all the information required by 
this part and must not include false or incomplete statements or 
information (see Sec.  1051.255).
    (c) We may ask you to include less information than we specify in 
this subpart, as long as you maintain all the information required by 
Sec.  1051.250.
    (d) You must use good engineering judgment for all decisions related 
to your application (see 40 CFR 1068.5).
    (e) An authorized representative of your company must approve and 
sign the application.
    (f) See Sec.  1051.255 for provisions describing how we will process 
your application.
    (g) We may require you to deliver your test vehicles or engines to a 
facility we designate for our testing (see Sec.  1051.235(c)).

[70 FR 40492, July 13, 2005]



Sec.  1051.205  What must I include in my application?

    This section specifies the information that must be in your 
application, unless we ask you to include less information under Sec.  
1051.201(c). We may require you to provide additional information to 
evaluate your application.
    (a) Describe the engine family's specifications and other basic 
parameters of the vehicle's design and emission controls. List the fuel 
type on which your engines are designed to operate (for example, 
gasoline, liquefied petroleum gas, methanol, or natural gas). List 
vehicle configurations and model names that are included in the engine 
family.
    (b) Explain how the emission-control system operates. Describe the 
evaporative emission controls. Also describe in detail all system 
components for controlling exhaust emissions, including all auxiliary-
emission control devices (AECDs) and all fuel-system components you will 
install on any production or test vehicle or 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 vehicle-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 the engine and/or vehicle design limits that make 
protection

[[Page 786]]

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/or 
equipment 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) [Reserved]
    (d) Describe the vehicles or engines you selected for testing and 
the reasons for selecting them.
    (e) Describe the test equipment and procedures that you used, 
including any special or alternate test procedures you used (see Sec.  
1051.501).
    (f) Describe how you operated the emission-data vehicle before 
testing, including the duty cycle and the extent of engine operation 
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 maintenance instructions you will give to the 
ultimate purchaser of each new vehicle (see Sec.  1051.125).
    (j) Include the emission-related installation instructions you will 
provide if someone else installs your engines in a vehicle (see Sec.  
1051.130).
    (k) Describe the labels you create to meet the requirements of Sec.  
1051.135.
    (l) Identify the exhaust emission standards or FELs to which you are 
certifying engines in the engine family.
    (m) Identify the engine family's deterioration factors and describe 
how you developed them (see Sec.  1051.243 and Sec.  1051.245). Present 
any emission test data you used for this.
    (n) State that you operated your emission-data vehicles 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 to show that you meet emission standards, 
as follows:
    (1) Present emission data for hydrocarbons (such as NMHC or THCE, as 
applicable), NOX, and CO on an emission-data vehicle to show 
your vehicles meet the applicable exhaust emission standards we specify 
in subpart B of this part. Show emission figures before and after 
applying deterioration factors for each pollutant and for each vehicle 
or engine. 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.
    (2) Present evaporative test data for hydrocarbons to show your 
vehicles meet the evaporative emission standards we specify in subpart B 
of this part. Show emission figures before and after applying 
deterioration factors for each vehicle or engine, where applicable. If 
you did not perform the testing, identify the source of the test data.
    (3) Note that Sec.  1051.235 and Sec.  1051.245 allow you to submit 
an application in certain cases without new emission data.
    (p) Report all test results, including those from invalid tests or 
from any other tests, whether or not they were conducted according to 
the test procedures of subpart F of this part. If you measure 
CO2, report those emission levels. We may ask you to send 
other information to confirm that your tests were valid under the 
requirements of this part and 40 CFR part 1065.

[[Page 787]]

    (q) Describe all adjustable operating parameters (see Sec.  
1051.115(e)), including production tolerances. Include the following in 
your description of each parameter:
    (1) The nominal or recommended setting.
    (2) The intended physically adjustable range.
    (3) The limits or stops used to establish adjustable ranges.
    (4) Information showing why 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 
physically adjustable ranges.
    (r) Confirm that your emission-related installation instructions 
specify how to ensure that sampling of exhaust emissions will be 
possible after engines are installed in equipment and placed in service. 
If this cannot be done by simply adding a 20-centimeter extension to the 
exhaust pipe, show how to sample exhaust emissions in a way that 
prevents diluting the exhaust sample with ambient air.
    (s) Unconditionally certify that all the vehicles and/or engines in 
the engine family comply with the requirements of this part, other 
referenced parts of the CFR, and the Clean Air Act.
    (t) Include estimates of U.S.-directed production volumes.
    (u) Include the information required by other subparts of this part. 
For example, include the information required by Sec.  1051.725 if you 
participate in the ABT program.
    (v) Include other applicable information, such as information 
specified in this part or 40 CFR part 1068 related to requests for 
exemptions.
    (w) Name an agent for service of process 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.

[70 FR 40493, July 13, 2005]



Sec.  1051.210  May I get preliminary approval before I complete my application?

    If you send us information before you finish the application, we 
will review it and make any appropriate determinations, especially for 
questions related to engine family definitions, auxiliary emission-
control devices, deterioration factors, testing for service 
accumulation, and maintenance. Decisions made under this section are 
considered to be preliminary approval, subject to final review and 
approval. We will generally not reverse a decision where we have given 
you preliminary approval, unless we find new information supporting a 
different decision. If you request preliminary approval related to the 
upcoming model year or the model year after that, we will make best-
efforts to make the appropriate determinations as soon as practicable. 
We will generally not provide preliminary approval related to a future 
model year more than two years ahead of time.

[70 FR 40494, July 13, 2005]



Sec.  1051.220  How do I amend the maintenance instructions in my application?

    You may amend your emission-related maintenance instructions after 
you submit your application for certification, as long as the amended 
instructions remain consistent with the provisions of Sec.  1051.125. 
You must send the Designated Compliance Officer a request to amend your 
application for certification for an engine family if you want to change 
the emission-related maintenance instructions in a way that could affect 
emissions. In your request, describe the proposed changes to the 
maintenance instructions. We will disapprove your request if we 
determine that the amended instructions are inconsistent with 
maintenance you performed on emission-data vehicles.
    (a) If you are decreasing the specified maintenance, you may 
distribute the new maintenance instructions to your customers 30 days 
after we receive your request, unless we disapprove your request. We may 
approve a shorter time or waive this requirement.
    (b) If your requested change would not decrease the specified 
maintenance, you may distribute the new maintenance instructions anytime

[[Page 788]]

after you send your request. For example, this paragraph (b) would cover 
adding instructions to increase the frequency of a maintenance step for 
engines in severe-duty applications.
    (c) You need not request approval if you are making only minor 
corrections (such as correcting typographical mistakes), clarifying your 
maintenance instructions, or changing instructions for maintenance 
unrelated to emission control.

[70 FR 40494, July 13, 2005]



Sec.  1051.225  How do I amend my application for certification to include new or modified vehicles or to change an FEL?

    Before we issue you a certificate of conformity, you may amend your 
application to include new or modified vehicle configurations, subject 
to the provisions of this section. After we have issued your certificate 
of conformity, you may send us an amended application requesting that we 
include new or modified vehicle configurations within the scope of the 
certificate, subject to the provisions of this section. You must amend 
your application if any changes occur with respect to any information 
included in your application.
    (a) You must amend your application before you take any of the 
following actions:
    (1) Add a vehicle (that is, an additional vehicle configuration) to 
an engine family. In this case, the vehicle added must be consistent 
with other vehicles in the engine family with respect to the criteria 
listed in Sec.  1051.230.
    (2) Change a vehicle already included in an engine family in a way 
that may affect emissions, or change any of the components you described 
in your application for certification. This includes production and 
design changes that may affect emissions any time during the engine's 
lifetime.
    (3) Modify an FEL for an engine family, as described in paragraph 
(f) of this section.
    (b) To amend your application for certification, send the Designated 
Compliance Officer the following information:
    (1) Describe in detail the addition or change in the vehicle model 
or configuration you intend to make.
    (2) Include engineering evaluations or data showing that the amended 
engine family complies with all applicable requirements. You may do this 
by showing that the original emission-data vehicle is still appropriate 
with respect to showing compliance of the amended family with all 
applicable requirements.
    (3) If the original emission-data vehicle for the engine family is 
not appropriate to show compliance for the new or modified vehicle, 
include new test data showing that the new or modified vehicle meets the 
requirements of this part.
    (c) We may ask for more test data or engineering evaluations. You 
must give us these within 30 days after we request them.
    (d) For engine families already covered by a certificate of 
conformity, we will determine whether the existing certificate of 
conformity covers your new or modified vehicle. You may ask for a 
hearing if we deny your request (see Sec.  1051.820).
    (e) For engine families already covered by a certificate of 
conformity, you may start producing the new or modified vehicle anytime 
after you send us your amended application, before we make a decision 
under paragraph (d) of this section. However, if we determine that the 
affected vehicles do not meet applicable requirements, we will notify 
you to cease production of the vehicles and may require you to recall 
the vehicles at no expense to the owner. Choosing to produce vehicles 
under this paragraph (e) is deemed to be consent to recall all vehicles 
that we determine do not meet applicable emission standards or other 
requirements and to remedy the nonconformity at no expense to the owner. 
If you do not provide information required under paragraph (c) of this 
section within 30 days, you must stop producing the new or modified 
vehicles.
    (f) You may ask to change your FEL in the following cases:
    (1) You may ask to raise your FEL for your engine family after the 
start of production. You must use the higher FEL for the entire family 
to calculate

[[Page 789]]

your average emission level under subpart H of this part. In your 
request, you must demonstrate that you will still be able to comply with 
the applicable average emission standards as specified in subparts B and 
H of this part.
    (2) You may ask to lower the FEL for your engine family after the 
start of production only when you have test data from production 
vehicles indicating that your vehicles comply with the lower FEL. You 
may create a separate subfamily with the lower FEL. Otherwise, you must 
use the higher FEL for the family to calculate your average emission 
level under subpart H of this part.
    (3) If you change the FEL during production, you must include the 
new FEL on the emission control information label for all vehicles 
produced after the change.

[70 FR 40494, July 13, 2005]



Sec.  1051.230  How do I select engine families?

    (a) Divide your product line into families of vehicles that are 
expected to have similar emission characteristics throughout the useful 
life. Except as specified in paragraph (f) of this section, you must 
have separate engine families for meeting exhaust and evaporative 
emissions. Your engine family is limited to a single model year.
    (b) For exhaust emissions, group vehicles in the same engine family 
if they are the same in all the following aspects:
    (1) The combustion cycle.
    (2) The cooling system (liquid-cooled vs. air-cooled).
    (3) Configuration of the fuel system (for example, port fuel 
injection vs. carburetion).
    (4) Method of air aspiration.
    (5) The number, location, volume, and composition of catalytic 
converters.
    (6) Type of fuel.
    (7) The number, arrangement, and approximate bore diameter of 
cylinders.
    (8) Numerical level of the emission standards that apply to the 
vehicle.
    (c) For evaporative emissions, group vehicles in the same engine 
family if fuel tanks are similar and fuel lines are similar considering 
all the following aspects:
    (1) Type of material (including additives such as pigments, 
plasticizers, and UV inhibitors).
    (2) Emission-control strategy.
    (3) Production methods. This does not apply to differences in 
production methods that would not affect emission characteristics.
    (d) You may subdivide a group of vehicles that is identical under 
paragraph (b) or (c) of this section into different engine families if 
you show the expected emission characteristics are different during the 
useful life.
    (e) You may group vehicles that are not identical with respect to 
the things listed in paragraph (b) or (c) of this section in the same 
engine family, as follows:
    (1) You may group such vehicles in the same engine family if you 
show that their emission characteristics during the useful life will be 
similar.
    (2) If you are a small-volume manufacturer, you may group engines 
from any vehicles subject to the same emission standards into a single 
engine family. This does not change any of the requirements of this part 
for showing that an engine family meets emission standards.
    (f) You may divide your product line into engine families based on a 
combined consideration of exhaust and evaporative emission-control 
systems, consistent with the requirements of this section. This would 
allow you to use a single engine-family designation for each engine 
family instead of having separate engine-family designations for exhaust 
and evaporative emission-control systems for each model.
    (g) Select test engines from the engine family as described in 40 
CFR 1065.401. Select test components related to evaporative emission-
control systems that are most likely to exceed the applicable emission 
standards. For example, select a fuel tank with the smallest average 
wall thickness (or barrier thickness, as appropriate) of those tanks you 
include in the same family.

[70 FR 40495, July 13, 2005]

[[Page 790]]



Sec.  1051.235  What emission testing must I perform for my application for a certificate of conformity?

    This section describes the emission testing you must perform to show 
compliance with the emission standards in subpart B of this part.
    (a) Test your emission-data vehicles using the procedures and 
equipment specified in subpart F of this part. Where specifically 
required or allowed, test the engine instead of the vehicle. For 
evaporative emissions, test the fuel system components separate from the 
vehicle.
    (b) Select from each engine family an emission-data vehicle, and a 
fuel system for each fuel type with a configuration that is most likely 
to exceed the emission standards, using good engineering judgment. 
Consider the emission levels of all exhaust constituents over the full 
useful life of the vehicle.
    (c) We may measure emissions from any of your test vehicles or 
engines (or any other vehicles or engines from the engine family), as 
follows:
    (1) We may decide to do the testing at your plant or any other 
facility. If we do this, you must deliver the test vehicle or engine to 
a test facility we designate. The test vehicle or engine you provide 
must include appropriate manifolds, aftertreatment devices, electronic 
control units, and other emission-related components not normally 
attached directly to the engine block. If we do the testing at your 
plant, you must schedule it as soon as possible and make available the 
instruments, personnel, and equipment we need.
    (2) If we measure emissions on one of your test vehicles or engines, 
the results of that testing become the official emission results. Unless 
we later invalidate these data, we may decide not to consider your data 
in determining if your engine family meets applicable requirements.
    (3) Before we test one of your vehicles or engines, we may set its 
adjustable parameters to any point within the physically adjustable 
ranges (see Sec.  1051.115(c)).
    (4) Before we test one of your vehicles or engines, we may calibrate 
it within normal production tolerances for anything we do not consider 
an adjustable parameter.
    (d) You may use previously generated emission data in the following 
cases:
    (1) You may ask to use emission data from a previous model year 
instead of doing new tests, but only if all the following are true:
    (i) The engine family from the previous model year differs from the 
current engine family only with respect to model year.
    (ii) The emission-data vehicle from the previous model year remains 
the appropriate emission-data vehicle under paragraph (b) of this 
section.
    (iii) The data show that the emission-data vehicle would meet all 
the requirements that apply to the engine family covered by the 
application for certification.
    (2) You may submit emission data for equivalent engine families 
performed to show compliance with other standards (such as California 
standards) instead of doing new tests, but only if the data show that 
the test vehicle or engine would meet all of this part's requirements.
    (3) You may submit evaporative emission data measured by a fuel 
system supplier. We may require you to verify that the testing was 
conducted in accordance with the applicable regulations.
    (e) We may require you to test a second vehicle or engine of the 
same or different configuration in addition to the vehicle or engine 
tested under paragraph (b) of this section.
    (f) If you use an alternate test procedure under 40 CFR 1065.10 and 
later testing shows that such testing does not produce results that are 
equivalent to the procedures specified in subpart F of this part, we may 
reject data you generated using the alternate procedure.
    (g) If you are a small-volume manufacturer, you may certify by 
design on the basis of preexisting exhaust emission data for similar 
technologies and other relevant information, and in accordance with good 
engineering judgment. In those cases, you are not required to test your 
vehicles. This is called ``design-certification'' or ``certifying by 
design.'' To certify by design, you must show that the technology

[[Page 791]]

used on your engines is sufficiently similar to the previously tested 
technology that a person reasonably familiar with emission-control 
technology would believe that your engines will comply with the emission 
standards.
    (h) For fuel tanks that are certified based on permeability 
treatments for plastic fuel tanks, you do not need to test each engine 
family. However, you must use good engineering judgment to determine 
permeation rates for the tanks. This requires that more than one fuel 
tank be tested for each set of treatment conditions. You may not use 
test data from a given tank for any other tanks that have thinner walls. 
You may, however, use test data from a given tank for other tanks that 
have thicker walls. This applies to both low-hour (i.e., baseline 
testing) and durability testing. Note that Sec.  1051.245 allows you to 
use design-based certification instead of generating new emission data.

[70 FR 40495, July 13, 2005]



Sec.  1051.240  How do I demonstrate that my engine family complies with exhaust emission standards?

    (a) For purposes of certification, your engine family is considered 
in compliance with the applicable numerical exhaust emission standards 
in subpart B of this part if all emission-data vehicles representing 
that family have test results showing deteriorated emission levels at or 
below these standards. (Note: if you participate in the ABT program in 
subpart H of this part, your FELs are considered to be the applicable 
emission standards with which you must comply.)
    (b) Your engine family is deemed not to comply if any emission-data 
vehicle representing that family has test results showing a deteriorated 
emission level above an applicable FEL or emission standard from subpart 
B of this part for any pollutant.
    (c) To compare emission levels from the emission-data vehicle with 
the applicable emission standards, apply deterioration factors to the 
measured emission levels. Section 1051.243 specifies how to test your 
vehicle to develop deterioration factors that represent the 
deterioration expected in emissions over your vehicle's full useful 
life. Your deterioration factors must take into account any available 
data from in-use testing with similar engines. Small-volume 
manufacturers may use assigned deterioration factors that we establish. 
Apply deterioration factors as follows:
    (1) For vehicles that use aftertreatment technology, such as 
catalytic converters, use a multiplicative deterioration factor for 
exhaust emissions. A multiplicative deterioration factor for a pollutant 
is the ratio of exhaust emissions at the end of the useful life and 
exhaust emissions at the low-hour test point. In these cases, adjust the 
official emission results for each tested vehicle or engine at the 
selected test point by multiplying the measured emissions by the 
deterioration factor. If the factor is less than one, use one. 
Multiplicative deterioration factors must be specified to three 
significant figures.
    (2) For vehicles that do not use aftertreatment technology, use an 
additive deterioration factor for exhaust emissions. An additive 
deterioration factor for a pollutant is the difference between exhaust 
emissions at the end of the useful life and exhaust emissions at the 
low-hour test point. In these cases, adjust the official emission 
results for each tested vehicle or engine at the selected test point by 
adding the factor to the measured emissions. If the factor is less than 
zero, use zero. Additive deterioration factors must be specified to one 
more decimal place than the applicable standard.
    (d) Collect emission data using measurements to one more decimal 
place than the applicable standard. Apply the deterioration factor to 
the official emission result, as described in paragraph (c) of this 
section, then round the adjusted figure to the same number of decimal 
places as the emission standard. Compare the rounded emission levels to 
the emission standard for each emission-data vehicle. In the case of 
HC+NOX standards, add the emission results and apply the 
deterioration factor to the sum of the pollutants before rounding. 
However, if your deterioration factors are based on emission 
measurements that do not cover the

[[Page 792]]

vehicle's full useful life, apply the deterioration factor to each 
pollutant and then add the results before rounding.

[70 FR 40496, July 13, 2005]



Sec.  1051.243  How do I determine deterioration factors from exhaust durability testing?

    Establish deterioration factors to determine whether your engines 
will meet emission standards for each pollutant throughout the useful 
life, as described in subpart B of this part and Sec.  1051.240. This 
section describes how to determine deterioration factors, either with 
pre-existing test data or with new emission measurements.
    (a) You may ask us to approve deterioration factors for an engine 
family based on emission measurements from similar vehicles or engines 
if you have already given us these data for certifying other vehicles in 
the same or earlier model years. Use good engineering judgment to decide 
whether the two vehicles or engines are similar. We will approve your 
request if you show us that the emission measurements from other 
vehicles or engines reasonably represent in-use deterioration for the 
engine family for which you have not yet determined deterioration 
factors.
    (b) If you are unable to determine deterioration factors for an 
engine family under paragraph (a) of this section, select vehicles, 
engines, subsystems, or components for testing. Determine deterioration 
factors based on service accumulation and related testing to represent 
the deterioration expected from in-use vehicles over the full useful 
life, as follows:
    (1) You must measure emissions from the emission-data vehicle at a 
low-hour test point and the end of the useful life. You may also test at 
evenly spaced intermediate points.
    (2) Operate the vehicle or engine over a representative duty cycle 
for a period at least as long as the useful life (in hours or 
kilometers). You may operate the vehicle or engine continuously.
    (3) You may perform maintenance on emission-data vehicles as 
described in Sec.  1051.125 and 40 CFR part 1065, subpart E.
    (4) If you measure emissions at only two points to calculate your 
deterioration factor, base your calculations on a linear relationship 
connecting these two data points for each pollutant. If you measure 
emissions at three or more points, use a linear least-squares fit of 
your test data for each pollutant to calculate your deterioration 
factor.
    (5) Use good engineering judgment for all aspects of the effort to 
establish deterioration factors under this paragraph (b).
    (6) You may to use other testing methods to determine deterioration 
factors, consistent with good engineering judgment.
    (c) Include the following information in your application for 
certification:
    (1) If you use test data from a different engine family, explain why 
this is appropriate and include all the emission measurements on which 
you base the deterioration factor.
    (2) If you do testing to determine deterioration factors, describe 
the form and extent of service accumulation, including a rationale for 
selecting the service-accumulation period and the method you use to 
accumulate hours.

[70 FR 40496, July 13, 2005]



Sec.  1051.245  How do I demonstrate that my engine family complies with evaporative emission standards?

    (a) For purposes of certification, your engine family is considered 
in compliance with the evaporative emission standards in subpart B of 
this part if you do either of the following:
    (1) You have test results showing permeation emission levels from 
the fuel tanks and fuel lines in the family are at or below the 
standards in Sec.  1051.110 throughout the useful life.
    (2) You comply with the design specifications in paragraph (e) of 
this section.
    (b) Your engine family is deemed not to comply if any fuel tank or 
fuel line representing that family has test results showing a 
deteriorated emission level above the standard.
    (c) To compare emission levels with the emission standards, apply 
deterioration factors to the measured emission levels. For permeation 
emissions, use the following procedures to establish an additive 
deterioration factor, as described in Sec.  1051.240(c)(2):

[[Page 793]]

    (1) Section 1051.515 specifies how to test your fuel tanks to 
develop deterioration factors. Small-volume manufacturers may use 
assigned deterioration factors that we establish. Apply the 
deterioration factors as follows:
    (i) Calculate the deterioration factor from emission tests performed 
before and after the durability tests as described in Sec.  1051.515(c) 
and (d), using good engineering judgment. The durability tests described 
in Sec.  1051.515(d) represent the minimum requirements for determining 
a deterioration factor. You may not use a deterioration factor that is 
less than the difference between evaporative emissions before and after 
the durability tests as described in Sec.  1051.515(c) and (d).
    (ii) Do not apply the deterioration factor to test results for tanks 
that have already undergone these durability tests.
    (2) Determine the deterioration factor for fuel lines using good 
engineering judgment.
    (d) Collect emission data using measurements to one more decimal 
place than the applicable standard. Apply the deterioration factor to 
the official emission result, as described in paragraph (c) of this 
section, then round the adjusted figure to the same number of decimal 
places as the emission standard. Compare the rounded emission levels to 
the emission standard for each emission-data vehicle.
    (e) You may demonstrate for certification that your engine family 
complies with the evaporative emission standards by demonstrating that 
you use the following control technologies:
    (1) For certification to the standards specified in Sec.  
1051.110(a) with the control technologies shown in the following table:

    Table 1 of Sec.   1051.245--Design-certification Technologies for
                       Controlling Tank Permeation
------------------------------------------------------------------------
                                                 Then you may design-
 If the tank permeability control technology      certify with a tank
                  is . . .                      emission level of . . .
------------------------------------------------------------------------
(i) A metal fuel tank with no non-metal       1.5 g/m \2\/day.
 gaskets or with gaskets made from a low-
 permeability material \1\.
(ii) A metal fuel tank with non-metal         1.5 g/m \2\/day.
 gaskets with an exposed surface area of
 1000 mm \2\ or less.
------------------------------------------------------------------------
\1\ Permeability of 10 g/m \2\/day or less according to ASTM D 814-95
  (incorporated by reference in Sec.   1051.810).

    (2) For certification to the standards specified in Sec.  
1051.110(b) with the control technologies shown in the following table:

    Table 2 of Sec.   1051.245--Design-Certification Technologies for
                    Controlling Fuel-Line Permeation
------------------------------------------------------------------------
                                                 Then you may design-
    If the fuel-line permeability control      certify with a fuel line
             technology is . . .               permeation emission level
                                                       of . . .
------------------------------------------------------------------------
(i) Hose meeting Category 1 permeation        15 g/m\2\/day.
 specifications in SAE J2260 (incorporated
 by reference in Sec.   1051.810).
(ii) Hose meeting the R11-A or R12            15 g/m\2\/day.
 permeation specifications in SAE J30
 (incorporated by reference in Sec.
 1051.810).
------------------------------------------------------------------------

    (3) We may establish additional design certification options where 
we find that new test data demonstrate that the use of other technology 
designs will ensure compliance with the applicable emission standards.

[67 FR 68347, Nov. 8, 2002, as amended at 69 FR 2442, Jan. 15, 2004; 70 
FR 40497, July 13, 2005]



Sec.  1051.250  What records must I keep and make available to EPA?

    (a) Organize and maintain the following records:
    (1) A copy of all applications and any summary information you send 
us.
    (2) Any of the information we specify in Sec.  1051.205 that you 
were not required to include in your application.
    (3) A detailed history of each emission-data vehicle. For each 
vehicle, describe all of the following:
    (i) The emission-data vehicle's construction, including its origin 
and buildup, steps you took to ensure that it represents production 
vehicles, any components you built specially for it,

[[Page 794]]

and all the components you include in your application for 
certification.
    (ii) How you accumulated vehicle or engine operating hours, 
including the dates and the number of hours accumulated.
    (iii) All maintenance, including modifications, parts changes, and 
other service, and the dates and reasons for the maintenance.
    (iv) All your emission tests, including documentation on routine and 
standard tests, as specified in 40 CFR part 1065, and the date and 
purpose of each test.
    (v) All tests to diagnose engine or emission-control performance, 
giving the date and time of each and the reasons for the test.
    (vi) Any other significant events.
    (4) Production figures for each engine family divided by assembly 
plant.
    (5) Keep a list of engine identification numbers for all the engines 
you produce under each certificate of conformity.
    (b) Keep data from routine emission tests (such as test cell 
temperatures and relative humidity readings) for one year after we issue 
the associated certificate of conformity. Keep all other information 
specified in paragraph (a) of this section for eight years after we 
issue your certificate.
    (c) Store these records in any format and on any media, as long as 
you can promptly send us organized, written records in English if we ask 
for them. You must keep these records readily available. We may review 
them at any time.
    (d) Send us copies of any maintenance instructions or explanations 
if we ask for them.

[70 FR 40497, July 13, 2005]



Sec.  1051.255  What decisions may EPA make regarding my certificate of conformity?

    (a) If we determine your application is complete and shows that the 
engine family meets all the requirements of this part and the Act, we 
will issue a certificate of conformity for your engine family for that 
model year. We may make the approval subject to additional conditions.
    (b) We may deny your application for certification if we determine 
that your engine family fails to comply with emission standards or other 
requirements of this part or the Act. Our decision may be based on a 
review of all information available to us. If we deny your application, 
we will explain why in writing.
    (c) In addition, we may deny your application or suspend or revoke 
your certificate if you do any of the following:
    (1) Refuse to comply with any testing or reporting requirements.
    (2) Submit false or incomplete information (paragraph (e) of this 
section applies if this is fraudulent).
    (3) Render inaccurate any test data.
    (4) Deny us from completing authorized activities despite our 
presenting a warrant or court order (see 40 CFR 1068.20). This includes 
a failure to provide reasonable assistance.
    (5) Produce engines for importation into the United States at a 
location where local law prohibits us from carrying out authorized 
activities.
    (6) Fail to supply requested information or amend your application 
to include all engines being produced.
    (7) Take any action that otherwise circumvents the intent of the Act 
or this part.
    (d) We may void your certificate if you do not keep the records we 
require or do not give us information as required under this part or the 
Act.
    (e) We may void your certificate if we find that you intentionally 
submitted false or incomplete information.
    (f) If we deny your application or suspend, revoke, or void your 
certificate, you may ask for a hearing (see Sec.  1051.820).



         Subpart D_Testing Production-Line Vehicles and Engines



Sec.  1051.301  When must I test my production-line vehicles or engines?

    (a) If you produce vehicles that are subject to the requirements of 
this part, you must test them as described in this subpart. If your 
vehicle is certified to g/kW-hr standards, then test the engine; 
otherwise, test the vehicle. The provisions of this subpart do not apply 
to small-volume manufacturers.
    (b) We may suspend or revoke your certificate of conformity for 
certain

[[Page 795]]

engine families if your production-line vehicles or engines do not meet 
the requirements of this part or you do not fulfill your obligations 
under this subpart (see Sec. Sec.  1051.325 and 1051.340).
    (c) Other requirements apply to vehicles and engines that you 
produce. Other regulatory provisions authorize us to suspend, revoke, or 
void your certificate of conformity, or order recalls for engines 
families without regard to whether they have passed these production-
line testing requirements. The requirements of this subpart do not 
affect our ability to do selective enforcement audits, as described in 
part 1068 of this chapter. Individual vehicles and engines in families 
that pass these production-line testing requirements must also conform 
to all applicable regulations of this part and part 1068 of this 
chapter.
    (d) You may ask to use an alternate program for testing production-
line vehicles or engines. In your request, you must show us that the 
alternate program gives equal assurance that your products meet the 
requirements of this part. If we approve your alternate program, we may 
waive some or all of this subpart's requirements.
    (e) If you certify an engine family with carryover emission data, as 
described in Sec.  1051.235(c), and these equivalent engine families 
consistently pass the production-line testing requirements over the 
preceding two-year period, you may ask for a reduced testing rate for 
further production-line testing for that family. The minimum testing 
rate is one vehicle or engine per engine family. If we reduce your 
testing rate, we may limit our approval to any number of model years. In 
determining whether to approve your request, we may consider the number 
of vehicles or engines that have failed the emission tests.
    (f) We may ask you to make a reasonable number of production-line 
vehicles or engines available for a reasonable time so we can test or 
inspect them for compliance with the requirements of this part.
    (g) The requirements of this subpart do not apply to engine families 
certified under the provisions of Sec.  1051.630.
    (h) Vehicles certified to the following standards are exempt from 
the production-line testing requirements of this subpart if no engine 
families in the averaging set participate in the averaging, banking, and 
trading program described in subpart H of this part:
    (1) Phase I or Phase 2 standards in Sec.  1051.103
    (2) Phase I standards in Sec.  1051.105
    (3) Phase I standards in Sec.  1051.107.
    (4) The standards in Sec.  1051.615.
    (5) The standards in Sec.  1051.145.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40498, July 13, 2005]



Sec.  1051.305  How must I prepare and test my production-line vehicles or engines?

    (a) Test procedures. Test your production-line vehicles or engines 
using the applicable testing procedures in subpart F of this part to 
show you meet the emission standards in subpart B of this part.
    (b) Modifying a test vehicle or engine. Once a vehicle or engine is 
selected for testing (see Sec.  1051.310), you may adjust, repair, 
prepare, or modify it or check its emissions only if one of the 
following is true:
    (1) You document the need for doing so in your procedures for 
assembling and inspecting all your production vehicles or engines and 
make the action routine for all the vehicles or engines in the engine 
family.
    (2) This subpart otherwise specifically allows your action.
    (3) We approve your action in advance.
    (c) Malfunction. If a vehicle or engine malfunction prevents further 
emission testing, ask us to approve your decision to either repair it or 
delete it from the test sequence.
    (d) Setting adjustable parameters. Before any test, we may adjust or 
require you to adjust any adjustable parameter to any setting within its 
physically adjustable range.
    (1) We may adjust or require you to adjust idle speed outside the 
physically adjustable range as needed only until the vehicle or engine 
has stabilized emission levels (see paragraph (e) of this section). We 
may ask you for information needed to establish an alternate minimum 
idle speed.
    (2) We may make or specify adjustments within the physically 
adjustable

[[Page 796]]

range by considering their effect on emission levels, as well as how 
likely it is someone will make such an adjustment with in-use vehicles.
    (3) We may adjust the air-fuel ratio within the adjustable range 
specified in Sec.  1051.115(d).
    (e) Stabilizing emission levels. Before you test production-line 
vehicles or engines, you may operate the vehicle or engine to stabilize 
the emission levels. Using good engineering judgment, operate your 
vehicles or engines in a way that represents the way they will be used. 
You may operate each vehicle or engine for no more than the greater of 
two periods:
    (1) 50 hours or 500 kilometers.
    (2) The number of hours or kilometers you operated the emission-data 
vehicle used for certifying the engine family (see 40 CFR part 1065, 
subpart E, or the applicable regulations governing how you should 
prepare your test vehicle or engine).
    (f) Damage during shipment. If shipping a vehicle or engine to a 
remote facility for production-line testing makes necessary an 
adjustment or repair, you must wait until after the initial emission 
test to do this work. We may waive this requirement if the test would be 
impossible or unsafe, or if it would permanently damage the vehicle or 
engine. Report to us, in your written report under Sec.  1051.345, all 
adjustments or repairs you make on test vehicles or engines before each 
test.
    (g) Retesting after invalid tests. You may retest a vehicle or 
engine if you determine an emission test is invalid under subpart F of 
this part. Explain in your written report reasons for invalidating any 
test and the emission results from all tests. If you retest a vehicle or 
engine, you may ask us within ten days of testing. We will generally 
answer within ten days after we receive your information.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40498, July 13, 2005]



Sec.  1051.310  How must I select vehicles or engines for production-line testing?

    (a) Use test results from two vehicles or engines for each engine 
family to calculate the required sample size for the test period. Update 
this calculation with each test.
    (1) For engine families with projected annual sales of at least 
1600, the test periods are consecutive quarters (3 months). If your 
annual production period is less than 12 months long, define your test 
periods by dividing your annual production period into approximately 
equal segments of 70 to 125 calendar days.
    (2) For engine families with projected annual sales below 1600, the 
test period is the whole model year.
    (b) Early in each test period, randomly select and test an engine 
from the end of the assembly line for each engine family.
    (1) In the first test period for newly certified engines, randomly 
select and test one more engine. Then, calculate the required sample 
size for the test period as described in paragraph (c) of this section.
    (2) In later test periods or for engine families relying on 
previously submitted test data, combine the new test result with the 
last test result from the previous test period. Then, calculate the 
required sample size for the new test period as described in paragraph 
(c) of this section.
    (c) Calculate the required sample size for each engine family. 
Separately calculate this figure for HC, NOX (or 
HC+NOX), and CO (and other regulated pollutants). The 
required sample size is the greater of these calculated values. Use the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR13JY05.009

Where:

N = Required sample size for the model year.
t95 = 95% confidence coefficient, which depends on the number 
of tests completed, n, as specified in the table in paragraph (c)(1) of 
this section. It defines 95% confidence intervals for a one-tail 
distribution.
x = Mean of emission test results of the sample.
STD = Emission standard (or family emission limit, if applicable).
[sigma] = Test sample standard deviation (see paragraph (c)(2) of this 
section).
n = The number of tests completed in an engine family.

    (1) Determine the 95% confidence coefficient, t95, from 
the following table:

[[Page 797]]



------------------------------------------------------------------------
     n          t95           n          t95           n          t95
------------------------------------------------------------------------
      2          6.31         12          1.80         22          1.72
      3          2.92         13          1.78         23          1.72
      4          2.35         14          1.77         24          1.71
      5          2.13         15          1.76         25          1.71
      6          2.02         16          1.75         26          1.71
      7          1.94         17          1.75         27          1.71
      8          1.90         18          1.74         28          1.70
      9          1.86         19          1.73         29          1.70
     10          1.83         20          1.73        30+          1.70
     11          1.81         21          1.72    ..........  ..........
------------------------------------------------------------------------

    (2) Calculate the standard deviation, [ohkd], or the test sample 
using the following formula:
[GRAPHIC] [TIFF OMITTED] TR13JY05.010

Where:

Xi = Emission test result for an individual vehicle or 
engine.

    (d) Use final deteriorated test results to calculate the variables 
in the equations in paragraph (c) of this section (see Sec.  
1051.315(a)).
    (e) After each new test, recalculate the required sample size using 
the updated mean values, standard deviations, and the appropriate 95-
percent confidence coefficient.
    (f) Distribute the remaining vehicle or engine tests evenly 
throughout the rest of the year. You may need to adjust your schedule 
for selecting vehicles or engines if the required sample size changes. 
Continue to randomly select vehicles or engines from each engine family.
    (g) Continue testing any engine family for which the sample mean, x, 
is greater than the emission standard. This applies if the sample mean 
for either HC, NOX (or HC+NOX) or CO (or other 
regulated pollutants) is greater than the emission standard. Continue 
testing until one of the following things happens:
    (1) The number of tests completed in an engine family, n, is greater 
than the required sample size, N, and the sample mean, x, is less than 
or equal to the emission standard. For example, If N = 3.1 after the 
third test, the sample-size calculation does not allow you to stop 
testing.
    (2) The engine family does not comply according to Sec.  1051.315.
    (3) You test 30 vehicles or engines from the engine family.
    (4) You test one percent of your projected annual U.S.-directed 
production volume for the engine family, rounded to the nearest whole 
number.
    (5) You choose to declare that the engine family fails the 
requirements of this subpart.
    (h) If the sample-size calculation allows you to stop testing for a 
pollutant, you must continue measuring emission levels of that pollutant 
for any additional tests required under this section. However, you need 
not continue making the calculations specified in this section for that 
pollutant. This paragraph does not affect the requirements in section 
Sec.  1051.320.
    (i) You may elect to test more randomly chosen vehicles or engines 
than we require under this section. Include these vehicles or engines in 
the sample-size calculations.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40498, July 13, 2005]



Sec.  1051.315  How do I know when my engine family fails the production-line testing requirements?

    This section describes the pass-fail criteria for the production-
line testing requirements. We apply these criteria on an engine family 
basis. SeeSec.  1051.320 for the requirements that apply to individual 
vehicles or engines that fail a production-line test.
    (1) Initial and final test results. Calculate and round the test 
results for each vehicle or engine. If you do several tests on a vehicle 
or engine, calculate the initial test results, then add them together 
and divide by the number of tests and round for the final test results 
on that vehicle or engine.
    (2) Final deteriorated test results. Apply the deterioration factor 
for the engine family to the final test results (see Sec.  1051.240(c)).
    (b) Construct the following CumSum Equation for each engine family 
for HC, NOX (or HC+NOX), and CO emissions (and 
other regulated pollutants):
[GRAPHIC] [TIFF OMITTED] TR08NO02.010

Where:

Ci = The current CumSum statistic.
Ci-1 = The previous CumSum statistic. For the first test, the 
CumSum statistic is 0 (i.e. C1 = 0).

[[Page 798]]

Xi = The current emission test result for an individual 
vehicle or engine.
STD = Emission standard.

    (c) Use final deteriorated test results to calculate the variables 
in the equation in paragraph (b) of this section (see Sec.  
1051.315(a)).
    (d) After each new test, recalculate the CumSum statistic.
    (e) If you test more than the required number of vehicles or 
engines, include the results from these additional tests in the CumSum 
Equation.
    (f) After each test, compare the current CumSum statistic, 
Ci, to the recalculated Action Limit, H, defined as H = 5.0 x 
[sigma].
    (g) If the CumSum statistic exceeds the Action Limit in two 
consecutive tests, the engine family fails the production-line testing 
requirements of this subpart. Tell us within ten working days if this 
happens. You may request to amend the application for certification to 
raise the FEL of the engine family at this point if you meet the 
requirements of Sec.  1051.225(f).
    (h) If you amend the application for certification for an engine 
family under Sec.  1051.225, do not change any previous calculations of 
sample size or CumSum statistics for the model year.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40499, July 13, 2005]



Sec.  1051.320  What happens if one of my production-line vehicles or engines fails to meet emission standards?

    (a) If you have a production-line vehicle or engine with final 
deteriorated test results exceeding one or more emission standards (see 
Sec.  1051.315(a)), the certificate of conformity is automatically 
suspended for that failing vehicle or engine. You must take the 
following actions before your certificate of conformity can cover that 
vehicle or engine:
    (1) Correct the problem and retest the vehicle or engine to show it 
complies with all emission standards.
    (2) Include in your written report a description of the test results 
and the remedy for each vehicle or engine (see Sec.  1051.345).
    (b) You may request to amend the application for certification to 
raise the FEL of the entire engine family at this point (see Sec.  
1051.225).



Sec.  1051.325  What happens if an engine family fails the production-line requirements?

    (a) We may suspend your certificate of conformity for an engine 
family if it fails under Sec.  1051.315. The suspension may apply to all 
facilities producing vehicles or engines from an engine family, even if 
you find noncompliant vehicles or engines only at one facility.
    (b) We will tell you in writing if we suspend your certificate in 
whole or in part. We will not suspend a certificate until at least 15 
days after the engine family fails. The suspension is effective when you 
receive our notice.
    (c) Up to 15 days after we suspend the certificate for an engine 
family, you may ask for a hearing (see Sec.  1051.820). If we agree 
before a hearing that we used erroneous information in deciding to 
suspend the certificate, we will reinstate the certificate.
    (d) Section 1051.335 specifies steps you must take to remedy the 
cause of the engine family's production-line failure. All the vehicles 
you have produced since the end of the last test period are presumed 
noncompliant and should be addressed in your proposed remedy. We may 
require you to apply the remedy to engines produced earlier if we 
determine that the cause of the failure is likely to have affected the 
earlier engines.
    (e) You may request to amend the application for certification to 
raise the FEL of the engine family before or after we suspend your 
certificate if you meet the requirements of Sec.  1051.225(f).

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40499, July 13, 2005]



Sec.  1051.330  May I sell vehicles from an engine family with a suspended certificate of conformity?

    You may sell vehicles that you produce after we suspend the engine 
family's certificate of conformity under Sec.  1051.315 only if one of 
the following occurs:
    (a) You test each vehicle or engine you produce and show it complies 
with emission standards that apply.
    (b) We conditionally reinstate the certificate for the engine 
family. We may do so if you agree to recall all the affected vehicles 
and remedy any noncompliance at no expense to the owner

[[Page 799]]

if later testing shows that the engine family still does not comply.



Sec.  1051.335  How do I ask EPA to reinstate my suspended certificate?

    (a) Send us a written report asking us to reinstate your suspended 
certificate. In your report, identify the reason for noncompliance, 
propose a remedy for the engine family, and commit to a date for 
carrying it out. In your proposed remedy include any quality control 
measures you propose to keep the problem from happening again.
    (b) Give us data from production-line testing that shows the 
remedied engine family complies with all the emission standards that 
apply.



Sec.  1051.340  When may EPA revoke my certificate under this subpart and how may I sell these vehicles again?

    (a) We may revoke your certificate for an engine family in the 
following cases:
    (1) You do not meet the reporting requirements.
    (2) Your engine family fails to comply with the requirements of this 
subpart and your proposed remedy to address a suspended certificate 
under Sec.  1051.325 is inadequate to solve the problem or requires you 
to change the vehicle's design or emission-control system.
    (b) To sell vehicles from an engine family with a revoked 
certificate of conformity, you must modify the engine family and then 
show it complies with the requirements of this part.
    (1) If we determine your proposed design change may not control 
emissions for the vehicle's full useful life, we will tell you within 
five working days after receiving your report. In this case we will 
decide whether production-line testing will be enough for us to evaluate 
the change or whether you need to do more testing.
    (2) Unless we require more testing, you may show compliance by 
testing production-line vehicles or engines as described in this 
subpart.
    (3) We will issue a new or updated certificate of conformity when 
you have met these requirements.



Sec.  1051.345  What production-line testing records must I send to EPA?

    Do all the following things unless we ask you to send us less 
information:
    (a) Within 30 calendar days of the end of each test period, send us 
a report with the following information:
    (1) Describe any facility used to test production-line vehicles or 
engines and state its location.
    (2) State the total U.S.-directed production volume and number of 
tests for each engine family.
    (3) Describe how you randomly selected vehicles or engines.
    (4) Describe your test vehicles or engines, including the engine 
family's identification and the vehicle's model year, build date, model 
number, identification number, and number of hours of operation before 
testing for each test vehicle or engine.
    (5) Identify how you accumulated hours of operation on the vehicles 
or engines and describe the procedure and schedule you used.
    (6) Provide the test number; the date, time and duration of testing; 
test procedure; initial test results before and after rounding; final 
test results; and final deteriorated test results for all tests. Provide 
the emission results for all measured pollutants. Include information 
for both valid and invalid tests and the reason for any invalidation.
    (7) Describe completely and justify any nonroutine adjustment, 
modification, repair, preparation, maintenance, or test for the test 
vehicle or engine if you did not report it separately under this 
subpart. Include the results of any emission measurements, regardless of 
the procedure or type of vehicle.
    (8) Provide the CumSum analysis required in Sec.  1051.315 for each 
engine family.
    (9) Report on each failed vehicle or engine as described in Sec.  
1051.320.
    (10) State the date the test period ended for each engine family.
    (b) We may ask you to add information to your written report, so we 
can determine whether your new vehicles conform with the requirements of 
this subpart.
    (c) An authorized representative of your company must sign the 
following statement:


[[Page 800]]


    We submit this report under Sections 208 and 213 of the Clean Air 
Act. Our production-line testing conformed completely with the 
requirements of 40 CFR part 1051. We have not changed production 
processes or quality-control procedures for the engine family in a way 
that might affect the emission control from production vehicles (or 
engines). All the information in this report is true and accurate, to 
the best of my knowledge. I know of the penalties for violating the 
Clean Air Act and the regulations. (Authorized Company Representative)

    (d) Send electronic reports of production-line testing to the 
Designated Compliance Officer using an approved information format. If 
you want to use a different format, send us a written request with 
justification for a waiver.
    (e) We will send copies of your reports to anyone from the public 
who asks for them. See Sec.  1051.815 for information on how we treat 
information you consider confidential.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40499, July 13, 2005]



Sec.  1051.350  What records must I keep?

    (a) Organize and maintain your records as described in this section. 
We may review your records at any time.
    (b) Keep paper records of your production-line testing for one full 
year after you complete all the testing required for an engine family in 
a model year. You may use any additional storage formats or media if you 
like.
    (c) Keep a copy of the written reports described in Sec.  1051.345.
    (d) Keep the following additional records:
    (1) A description of all test equipment for each test cell that you 
can use to test production-line vehicles or engines.
    (2) The names of supervisors involved in each test.
    (3) The name of anyone who authorizes adjusting, repairing, 
preparing, or modifying a test vehicle or engine and the names of all 
supervisors who oversee this work.
    (4) If you shipped the vehicle or engine for testing, the date you 
shipped it, the associated storage or port facility, and the date the 
vehicle or engine arrived at the testing facility.
    (5) Any records related to your production-line tests that are not 
in the written report.
    (6) A brief description of any significant events during testing not 
otherwise described in the written report or in this section.
    (7) Any information specified in Sec.  1051.345 that you do not 
include in your written reports.
    (e) If we ask, you must give us projected or actual production 
figures for an engine family. We may ask you to divide your production 
figures by rated brake power, displacement, fuel type, or assembly plant 
(if you produce vehicles or engines at more than one plant).
    (f) Keep a list of vehicle or engine identification numbers for all 
the vehicles or engines you produce under each certificate of 
conformity. Give us this list within 30 days if we ask for it.
    (g) We may ask you to keep or send other information necessary to 
implement this subpart.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40499, July 13, 2005]

Subpart E--Testing In-use Engines [Reserved]



                        Subpart F_Test Procedures



Sec.  1051.501  What procedures must I use to test my vehicles or engines?

    This section describes test procedures that you use to determine 
whether vehicles meet the emission standards of this part. See Sec.  
1051.235 to determine when testing is required for certification. See 
subpart D of this part for the production-line testing requirements.
    (a) Snowmobiles. For snowmobiles, use the equipment and procedures 
for spark-ignition engines in 40 CFR part 1065 to determine whether your 
snowmobiles meet the duty-cycle emission standards in Sec.  1051.103. 
Measure the emissions of all the pollutants we regulate in Sec.  
1051.103. Use the duty cycle specified in Sec.  1051.505.
    (b) Motorcycles and ATVs. For motorcycles and ATVs, use the 
equipment, procedures, and duty cycle in 40 CFR part 86, subpart F, to 
determine whether your vehicles meet the exhaust emission standards in 
Sec.  1051.105 or Sec.  1051.107. Measure the emissions of all the 
pollutants we regulate in Sec.  1051.105

[[Page 801]]

or Sec.  1051.107. If we allow you to certify ATVs based on engine 
testing, use the equipment, procedures, and duty cycle described or 
referenced in the section that allows engine testing. For motorcycles 
with engine displacement at or below 169 cc and all ATVs, use the 
driving schedule in paragraph (c) of Appendix I to 40 CFR part 86. For 
all other motorcycles, use the driving schedule in paragraph (b) of 
Appendix I to part 86. With respect to vehicle-speed governors, test 
motorcycles and ATVs in their ungoverned configuration, unless we 
approve in advance testing in a governed configuration. We will only 
approve testing in a governed configuration if you can show that the 
governor is permanently installed on all production vehicles and is 
unlikely to be removed in use. With respect to engine-speed governors, 
test motorcycles and ATVs in their governed configuration. Run the test 
engine, with all emission-control systems operating, long enough to 
stabilize emission levels; you may consider emission levels stable 
without measurement if you accumulate 12 hours of operation.
    (c) Permeation testing. (1) Use the equipment and procedures 
specified in Sec.  1051.515 to measure fuel tank permeation emissions.
    (2) Prior to permeation testing of fuel hose, the hose must be 
preconditioned by filling the hose with the fuel specified in paragraph 
(d)(3) of this section, sealing the openings, and soaking the hose for 4 
weeks at 23 5 [deg]C. To measure fuel-line 
permeation emissions, use the equipment and procedures specified in SAE 
J30 (incorporated by reference in Sec.  1051.810). The measurements must 
be performed at 23 2 [deg]C using the fuel 
specified in paragraph (d)(3) of this section.
    (d) Fuels. Use the fuels meeting the following specifications:
    (1) Exhaust. Use the fuels and lubricants specified in 40 CFR part 
1065, subpart H, for all the exhaust testing we require in this part. 
For service accumulation, use the test fuel or any commercially 
available fuel that is representative of the fuel that in-use engines 
will use.
    (2) Fuel Tank Permeation. (i) For the preconditioning soak described 
in Sec.  1051.515(a)(1) and fuel slosh durability test described in 
Sec.  1051.515(d)(3), use the fuel specified in Table 1 of 40 CFR 
1065.710 blended with 10 percent ethanol by volume. As an alternative, 
you may use Fuel CE10, which is Fuel C as specified in ASTM D 471-98 
(incorporated by reference in Sec.  1051.810) blended with 10 percent 
ethanol by volume.
    (ii) For the permeation measurement test in Sec.  1051.515(b), use 
the fuel specified in Table 1 of 40 CFR 1065.710. As an alternative, you 
may use the fuel specified in paragraph (d)(2)(i) of this section.
    (3) Fuel Hose Permeation. Use the fuel specified in Table 1 of 40 
CFR 1065.710 blended with 10 percent ethanol by volume for permeation 
testing of fuel lines. As an alternative, you may use Fuel CE10, which 
is Fuel C as specified in ASTM D 471-98 (incorporated by reference in 
Sec.  1051.810) blended with 10 percent ethanol by volume.
    (e) Special procedures for engine testing. (1) You may use special 
or alternate procedures, as described in Sec.  1065.10 of this chapter.
    (2) We may reject data you generate using alternate procedures if 
later testing with the procedures in part 1065 of this chapter shows 
contradictory emission data.
    (3) You may test engines using a test speed based on the point of 
maximum power if that represents in-use operation better than testing 
based on maximum test speed.
    (f) Special procedures for vehicle testing. (1) You may use special 
or alternate procedures, as described in paragraph (f)(3) of this 
section.
    (2) We may reject data you generate using alternate procedures if 
later testing with the otherwise specified procedures shows 
contradictory emission data.
    (3)(i) The test procedures specified for vehicle testing are 
intended to produce emission measurements equivalent to those that would 
result from measuring emissions during in-use operation using the same 
vehicle configuration. If good engineering judgment indicates that use 
of the procedures in this part for a vehicle would result in 
measurements that are not representative of in-use operation of that 
vehicle, you must notify us. If we determine

[[Page 802]]

that using these procedures would result in measurements that are 
significantly unrepresentative and that changes to the procedures will 
result in more representative measurements that do not decrease the 
stringency of emission standards or other requirements, we will specify 
changes to the procedures. In your notification to us, you should 
recommend specific changes you think are necessary.
    (ii) You may ask to use emission data collected using other test 
procedures, such as those of the California Air Resources Board or the 
International Organization for Standardization. We will allow this only 
if you show us that these data are equivalent to data collected using 
our test procedures.
    (iii) You may ask to use alternate procedures that produce 
measurements equivalent to those obtained using the specified 
procedures. In this case, send us a written request showing that your 
alternate procedures are equivalent to the test procedures of this part. 
If you prove to us that the procedures are equivalent, we will allow you 
to use them. You may not use alternate procedures until we approve them.
    (iv) You may ask to use special test procedures if your vehicle 
cannot be tested using the specified test procedures (for example, it is 
incapable of operating on the specified transient cycle). In this case, 
send us a written request showing that you cannot satisfactorily test 
your engines using the test procedures of this part. We will allow you 
to use special test procedures if we determine that they would produce 
emission measurements that are representative of those that would result 
from measuring emissions during in-use operation. You may not use 
special procedures until we approve them.

[67 FR 68347, Nov. 8, 2002, as amended at 69 FR 2442, Jan. 15, 2004; 70 
FR 40499, July 13, 2005]



Sec.  1051.505  What special provisions apply for testing snowmobiles?

    Use the following special provisions for testing snowmobiles:
    (a) You may perform steady-state testing with either discrete-mode 
or ramped-modal cycles. You must use the type of testing you select in 
your application for certification for all testing you perform for that 
engine family. If we test your engines to confirm that they meet 
emission standards, we will do testing the same way. We may also perform 
other testing as allowed by the Clean Air Act. Measure steady-state 
emissions as follows:
    (1) For discrete-mode testing, sample emissions separately for each 
mode, then calculate an average emission level for the whole cycle using 
the weighting factors specified for each mode. In each mode, operate the 
engine for at least 5 minutes, then sample emissions for at least 1 
minute. Calculate cycle statistics for the sequence of modes and compare 
with the specified values in 40 CFR 1065.514 to confirm that the test is 
valid.
    (2) For ramped-modal testing, start sampling at the beginning of the 
first mode and continue sampling until the end of the last mode. 
Calculate emissions and cycle statistics the same as for transient 
testing.
    (3) Measure emissions by testing the engine on a dynamometer with 
one or more of the following sets of duty cycles to determine whether it 
meets the steady-state emission standards in Sec.  1051.103:
    (i) The following duty cycle applies for discrete-mode testing:

                          Table 1 of Sec.   1051.505--5-Mode Duty Cycle for Snowmobiles
----------------------------------------------------------------------------------------------------------------
                                                                                   Minimum time
                    Mode No.                           Speed          Torque          in mode        Weighting
                                                   (percent) \1\   (percent) \2\     (minutes)        factors
----------------------------------------------------------------------------------------------------------------
1...............................................             100             100             3.0            0.12
2...............................................              85              51             3.0            0.27
3...............................................              75              33             3.0            0.25
4...............................................              65              19             3.0            0.31
5...............................................           (\3\)               0             3.0            0.05
----------------------------------------------------------------------------------------------------------------
\1\ Percent speed is percent of maximum test speed.

[[Page 803]]

 
\2\ Percent torque is percent of maximum test torque at maximum test speed.
\3\ Idle.

    (ii) The following duty cycle applies for ramped-modal testing:

                     Table 2 of Sec.   1051.505--Ramped-Modal Cycle for Testing Snowmobiles
----------------------------------------------------------------------------------------------------------------
              RMC mode                 Time in mode     Speed  (percent) \1\        Torque  (percent) \2,3\
----------------------------------------------------------------------------------------------------------------
1a Steady-state.....................              27  Warm Idle..............  0
1b Transition.......................              20  Linear Transition......  Linear Transition.
2a Steady-state.....................             121  100....................  100
2b Transition.......................              20  Linear Transition......  Linear Transition.
3a Steady-state.....................             347  65.....................  19
3b Transition.......................              20  Linear Transition......  Linear Transition.
4a Steady-state.....................             305  85.....................  51
4b Transition.......................              20  Linear Transition......  Linear Transition.
5a Steady-state.....................             272  5......................  33
5b Transition.......................              20  Linear Transition......  Linear Transition.
6 Steady-state......................              28  Warm Idle..............  0
----------------------------------------------------------------------------------------------------------------
\1\ Percent speed is percent of maximum test speed.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
  a linear progression from the torque setting of the current mode to the torque setting of the next mode.
\3\ Percent torque is percent of maximum test torque at maximum test speed.

    (b) During idle mode, operate the engine with the following 
parameters:
    (1) Hold the speed within your specifications.
    (2) Keep the throttle at the idle-stop position.
    (3) Keep engine torque under 5 percent of maximum test torque.
    (c) For the full-load operating mode, operate the engine at wide-
open throttle.
    (d) Ambient temperatures during testing must be between 20 [deg]C 
and 30 [deg]C (68 [deg]F and 86 [deg]F), or other representative test 
temperatures, as specified in paragraph (f) of this section.
    (e) See 40 CFR part 1065 for detailed specifications of tolerances 
and calculations.
    (f) You may test snowmobiles at ambient temperatures below 20 [deg]C 
or using intake air temperatures below 20 [deg]C if you show that such 
testing complies with 40 CFR 1065.10(c)(1). You must get our approval 
before you begin the emission testing. For example, the following 
approach would be appropriate to show that such testing complies with 40 
CFR 1065.10(c)(1):
    (1) Using good engineering judgment, instrument a representative 
snowmobile built with a representative engine from the family being 
tested with an appropriate temperature measuring device located in the 
intake air plenum where fuel spitback is not likely to occur.
    (2) Choose a time and location with the following weather 
conditions: windspeed less than 10 knots, no falling precipitation, air 
temperature between -20 [deg]C and 0 [deg]C (-4 [deg]F and 32 [deg]F).
    (3) Operate the snowmobile until its engine reaches a steady 
operating temperature.
    (4) Operate the snowmobile on a level surface free of other vehicle 
traffic. Operate the snowmobile at each specified engine speed 
corresponding to each mode in the emissions test specific to the engine 
being tested. When readings are stable, record the temperature in the 
intake air plenum and the ambient temperature. Calculate the temperature 
difference between the air in the plenum and the ambient air for each 
mode.
    (5) Calculate the nominal intake air test temperature for each test 
mode as -10 [deg]C (14 [deg]F) plus the temperature difference for the 
corresponding mode determined in paragraph (f)(4) of this section.
    (6) Before the emissions test, select the appropriate carburetor 
jetting for -10 [deg]C (14 [deg]F) conditions according to the jet 
chart. For each mode, maintain the inlet air temperature within 5 [deg]C 
(9

[[Page 804]]

[deg]F) of the corresponding modal temperature calculated in paragraph 
(f)(5) of this section.
    (7) Adjust other operating parameters to be consistent with 
operation at -10 [deg]C (14 [deg]F). For example, this may require that 
you modify the engine cooling system used in the laboratory to make its 
performance representative of cold-temperature operation.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40500, July 13, 2005]



Sec.  1051.510  What special provisions apply for testing ATV engines? [Reserved]



Sec.  1051.515  How do I test my fuel tank for permeation emissions?

    Measure permeation emissions by weighing a sealed fuel tank before 
and after a temperature-controlled soak.
    (a) Preconditioning fuel soak. To precondition your fuel tank, 
follow these five steps:
    (1) Fill the tank with the fuel specified in Sec.  
1051.501(d)(2)(i), seal it, and allow it to soak at 28 5 [deg]C for 20 weeks. Alternatively, the tank may be 
soaked for a shorter period of time at a higher temperature if you can 
show that the hydrocarbon permeation rate has stabilized.
    (2) Determine the fuel tank's internal surface area in square-meters 
accurate to at least three significant figures. You may use less 
accurate estimates of the surface area if you make sure not to 
overestimate the surface area.
    (3) Fill the fuel tank with the test fuel specified in Sec.  
1051.501(d)(2)(ii) to its nominal capacity. If you fill the tank inside 
the temperature-controlled room or enclosure, do not spill any fuel.
    (4) Allow the tank and its contents to equilibrate to 28 2 [deg]C.
    (5) Seal the fuel tank using fuel caps and other fittings (excluding 
petcocks) that can be used to seal openings in a production fuel tank. 
In cases where openings are not normally sealed on the fuel tank (such 
as hose-connection fittings and vents in fuel caps), these openings may 
be sealed using nonpermeable fittings such as metal or fluoropolymer 
plugs.
    (b) Permeation test run. To run the test, take the following steps 
for a tank that was preconditioned as specified in paragraph (a) of this 
section:
    (1) Weigh the sealed fuel tank and record the weight to the nearest 
0.1 grams. You may use less precise weights as long as the difference in 
mass from the start of the test to the end of the test has at least 
three significant figures. Take this measurement within 8 hours of 
filling the tank with test fuel as specified in paragraph (a)(3) of this 
section.
    (2) Carefully place the tank within a ventilated, temperature-
controlled room or enclosure. Do not spill or add any fuel.
    (3) Close the room or enclosure and record the time.
    (4) Ensure that the measured temperature in the room or enclosure is 
28 2 [deg]C.
    (5) Leave the tank in the room or enclosure for 14 days.
    (6) Hold the temperature of the room or enclosure to 28 2 [deg]C; measure and record the temperature at least 
daily.
    (7) At the end of the soak period, weigh the sealed fuel tank and 
record the weight to the nearest 0.1 grams. You may use less precise 
weights as long as the difference in mass from the start of the test to 
the end of the test has at least three significant figures. Unless the 
same fuel is used in the preconditioning fuel soak and the permeation 
test run, record weight measurements on five separate days per week of 
testing. The test is void if a linear plot of tank weight vs. test days 
for the full soak period for permeation testing specified in paragraph 
(b)(5) of this section yields r\2\ below 0.8. See 40 CFR 1065.602 for 
the equation to calculate r\2\.
    (8) Subtract the weight of the tank at the end of the test from the 
weight of the tank at the beginning of the test; divide the difference 
by the internal surface area of the fuel tank. Divide this g/m\2\ value 
by the number of test days (using at least three significant figures) to 
calculate the g/m\2\/day emission rate. Example: If a tank with an 
internal surface area of 0.72 m\2\ weighed 31882.3 grams at the 
beginning of the test and weighed 31813.8 grams after soaking for 14.03 
days, then the g/m\2\/day emission rate would be--


[[Page 805]]


(31882.3 g-31813.8 g)/0.72 m\2\/14.03 days = 6.78 g/m\2\/day.
    (9) Round your result to the same number of decimal places as the 
emission standard.
    (10) In cases where consideration of permeation rates, using good 
engineering judgment, leads you to conclude that soaking for 14 days is 
not long enough to measure weight change to at least three significant 
figures, you may soak for 14 days longer. In this case, repeat the steps 
in paragraphs (b)(8) and (9) of this section to determine the weight 
change for the full 28 days.
    (c) Determination of final test result. To determine the final test 
result, apply a deterioration factor to the measured emission level. The 
deterioration factor is the difference between permeation emissions 
measured before and after the durability testing described in paragraph 
(d) of this section. Adjust the baseline test results for each tested 
fuel tank by adding the deterioration factor to the measured emissions. 
The deterioration factor determination must be based on good engineering 
judgement. Therefore, during the durability testing, the test tank may 
not exceed the fuel tank permeation standard described in Sec.  1051.110 
(this is known as ``line-crossing''). If the deterioration factor is 
less than zero, use zero.
    (d) Durability testing. You normally need to perform a separate 
durability demonstration for each substantially different combination of 
treatment approaches and tank materials. Perform these demonstrations 
before an emission test by taking the following steps, unless you can 
use good engineering judgment to apply the results of previous 
durability testing with a different fuel system. You may ask to exclude 
any of the following durability tests if you can clearly demonstrate 
that it does not affect the emissions from your fuel tank.
    (1) Pressure cycling. Perform a pressure test by sealing the tank 
and cycling it between +2.0 psig and -0.5 psig and back to +2.0 psig for 
10,000 cycles at a rate 60 seconds per cycle.
    (2) UV exposure. Perform a sunlight-exposure test by exposing the 
tank to an ultraviolet light of at least 24 W/m\2\ (0.40 W-hr/m\2\/min) 
on the tank surface for at least 450 hours. Alternatively, the fuel tank 
may be exposed to direct natural sunlight for an equivalent period of 
time, as long as you ensure that the tank is exposed to at least 450 
daylight hours.
    (3) Slosh testing. Perform a slosh test by filling the tank to 40 
percent of its capacity with the fuel specified in Sec.  
1051.501(d)(2)(i) and rocking it at a rate of 15 cycles per minute until 
you reach one million total cycles. Use an angle deviation of +15[deg] 
to -15[deg] from level. This test must be performed at a temperature of 
28 [deg]C 5 [deg]C.
    (4) Final test result. Following the durability testing, the fuel 
tank must be soaked (as described in paragraph (a) of this section) to 
ensure that the permeation rate is stable. The period of slosh testing 
and the period of ultraviolet testing (if performed with fuel in the 
tank consistent with paragraph (a)(1) of this section) may be considered 
to be part of this soak, provided that the soak begins immediately after 
the slosh testing. To determine the final permeation rate, drain and 
refill the tank with fresh fuel, and repeat the permeation test run (as 
described in paragraph (b) of this section) immediately after this soak 
period. The same test fuel must be used for this permeation test run as 
for the permeation test run performed prior to the durability testing.
    (e) Flow chart. The following figure presents a flow chart for the 
permeation testing described in this section, showing the full test 
procedure with durability testing, as well as the simplified test 
procedure with an applied deterioration factor:


[[Page 806]]


[GRAPHIC] [TIFF OMITTED] TR15JA04.002


[[Page 807]]



[67 FR 68347, Nov. 8, 2002, as amended at 69 FR 2442, Jan. 15, 2004; 70 
FR 40501, July 13, 2005]



Sec.  1051.520  How do I perform exhaust durability testing?

    Sections 1051.240 and 1051.243 describe the method for testing that 
must be performed to establish deterioration factors for an engine 
family.

[70 FR 40501, July 13, 2005]



                     Subpart G_Compliance Provisions



Sec.  1051.601  What compliance provisions apply to vehicles and engines subject to this part?

    Engine and vehicle manufacturers, as well as owners, operators, and 
rebuilders of these vehicles, and all other persons, must observe the 
requirements and prohibitions in part 1068 of this chapter and the 
requirements of the Act. The compliance provisions in this subpart apply 
only to the vehicles and engines we regulate in this part.



Sec.  1051.605  What provisions apply to engines already certified under the motor-vehicle program or the Large Spark-ignition program?

    (a) General provisions. If you are an engine manufacturer, this 
section allows you to introduce into commerce new recreational vehicles, 
and engines for recreational vehicles, if the engines are already 
certified to the requirements that apply to spark-ignition engines under 
40 CFR parts 85 and 86 or 40 CFR part 1048 for the appropriate model 
year. If you comply with all the provisions of this section, we consider 
the certificate issued under 40 CFR part 86 or 1048 for each engine to 
also be a valid certificate of conformity under this part 1051 for its 
model year, without a separate application for certification under the 
requirements of this part 1051. See Sec.  1051.610 for similar 
provisions that apply to vehicles that are already certified to the 
vehicle-based standards for motor vehicles.
    (b) Vehicle-manufacturer provisions. If you are not an engine 
manufacturer, you may install an engine certified for the appropriate 
model year under 40 CFR part 86 or 1048 in a recreational vehicle as 
long as you meet all the requirements and conditions specified in 
paragraph (d) of this section. If you modify the non-recreational engine 
in any of the ways described in paragraph (d)(2) of this section for 
installation in a recreational vehicle, we will consider you a 
manufacturer of recreational vehicles. Such engine modifications prevent 
you from using the provisions of this section.
    (c) Liability. Engines for which you meet the requirements of this 
section are exempt from all the requirements and prohibitions of this 
part, except for those specified in this section. Engines exempted under 
this section must meet all the applicable requirements from 40 CFR parts 
85 and 86 or 40 CFR part 1048. This paragraph (c) applies to engine 
manufacturers, vehicle manufacturers who use such an engine, and all 
other persons as if the engine were used in its originally intended 
application. The prohibited acts of 40 CFR 1068.101(a)(1) apply to these 
new engines and vehicles; however, we consider the certificate issued 
under 40 CFR part 86 or 1048 for each engine to also be a valid 
certificate of conformity under this part 1051 for its model year. If we 
make a determination that these engines do not conform to the 
regulations during their useful life, we may require you to recall them 
under this part 1051 or under 40 CFR part 85 or 1068.505.
    (d) Specific requirements. If you are an engine or vehicle 
manufacturer and meet all the following criteria and requirements 
regarding your new engine or vehicle, the vehicle using the engine is 
eligible for an exemption under this section:
    (1) Your engine must be covered by a valid certificate of conformity 
issued under 40 CFR part 86 or 1048.
    (2) You must not make any changes to the certified engine that could 
reasonably be expected to increase its exhaust emissions for any 
pollutant, or its evaporative emissions. For example, if you make any of 
the following changes to one of these engines, you do not qualify for 
this exemption:
    (i) Change any fuel system or evaporative system parameters from the 
certified configuration (this does not apply to refueling controls).

[[Page 808]]

    (ii) Change, remove, or fail to properly install any other 
component, element of design, or calibration specified in the engine 
manufacturer's application for certification. This includes 
aftertreatment devices and all related components.
    (iii) Modify or design the engine cooling system so that 
temperatures or heat rejection rates are outside the original engine 
manufacturer's specified ranges.
    (3) You must show that fewer than 50 percent of the engine family's 
total sales in the United States are used in recreational vehicles. This 
includes engines used in any application, without regard to which 
company manufactures the vehicle or equipment. Show this as follows:
    (i) If you are the original manufacturer of the engine, base this 
showing on your sales information.
    (ii) In all other cases, you must get the original manufacturer of 
the engine to confirm this based on its sales information.
    (4) You must ensure that the engine has the emission control 
information label we require under 40 CFR part 86 or 1048.
    (5) You must add a permanent supplemental label to the engine in a 
position where it will remain clearly visible after installation in the 
vehicle. In the supplemental label, do the following:
    (i) Include the heading: ``RECREATIONAL VEHICLE EMISSION CONTROL 
INFORMATION''.
    (ii) Include your full corporate name and trademark. You may instead 
include the full corporate name and trademark of another company you 
choose to designate.
    (iii) State: ``THIS ENGINE WAS ADAPTED FOR A RECREATIONAL USE 
WITHOUT AFFECTING ITS EMISSION CONTROLS.''.
    (iv) State the date you finished installation (month and year), if 
applicable.
    (6) The original and supplemental labels must be readily visible 
after the engine is installed in the vehicle or, if the vehicle obscures 
the engine's emission control information label, the make sure the 
vehicle manufacturer attaches duplicate labels, as described in 40 CFR 
1068.105.
    (7) Send the Designated Compliance Officer a signed letter by the 
end of each calendar year (or less often if we tell you) with all the 
following information:
    (i) Identify your full corporate name, address, and telephone 
number.
    (ii) List the engine or vehicle models you expect to produce under 
this exemption in the coming year.
    (iii) State: ``We produce each listed [engine or vehicle] model for 
recreational application without making any changes that could increase 
its certified emission levels, as described in 40 CFR 1051.605.''.
    (e) Failure to comply. If your engines do not meet the criteria 
listed in paragraph (d) of this section, they will be subject to the 
standards, requirements, and prohibitions of this part 1051 and the 
certificate issued under 40 CFR part 86 or 1048 will not be deemed to 
also be a certificate issued under this part 1051. Introducing these 
engines into commerce without a valid exemption or certificate of 
conformity under this part violates the prohibitions in 40 CFR 
1068.101(a)(1).
    (f) Data submission. We may require you to send us emission test 
data on any applicable nonroad duty cycles.
    (g) Participation in averaging, banking and trading. Engines or 
vehicles adapted for recreational use under this section may not 
generate or use emission credits under this part 1051. These engines or 
vehicles may generate credits under the ABT provisions in 40 CFR part 
86. These engines or vehicles must use emission credits under 40 CFR 
part 86 if they are certified to an FEL that exceeds an applicable 
standard.

[70 FR 40501, July 13, 2005]



Sec.  1051.610  What provisions apply to vehicles already certified under the motor-vehicle program?

    (a) General provisions. If you are a motor-vehicle manufacturer, 
this section allows you to introduce new recreational vehicles into 
commerce if the vehicle is already certified to the requirements that 
apply under 40 CFR parts 85 and 86. If you comply with all of the 
provisions of this section, we consider the certificate issued under 40 
CFR part 86 for each motor vehicle to

[[Page 809]]

also be a valid certificate of conformity for the engine under this part 
1051 for its model year, without a separate application for 
certification under the requirements of this part 1051. This section 
applies especially for highway motorcycles that are modified for 
recreational nonroad use. See Sec.  1051.605 for similar provisions that 
apply to motor-vehicle engines or Large SI engines produced for 
recreational vehicles.
    (b) Nonroad vehicle-manufacturer provisions. If you are not a motor-
vehicle manufacturer, you may produce recreational vehicles from motor 
vehicles under this section as long as you meet all the requirements and 
conditions specified in paragraph (d) of this section. If you modify the 
motor vehicle or its engine in any of the ways described in paragraph 
(d)(2) of this section, we will consider you a manufacturer of a new 
recreational vehicle. Such modifications prevent you from using the 
provisions of this section.
    (c) Liability. Engines and vehicles for which you meet the 
requirements of this section are exempt from all the requirements and 
prohibitions of this part, except for those specified in this section. 
Engines exempted under this section must meet all the applicable 
requirements from 40 CFR parts 85 and 86. This applies to engine 
manufacturers, vehicle manufacturers, and all other persons as if the 
recreational vehicles were motor vehicles. The prohibited acts of 40 CFR 
1068.101(a)(1) apply to these new recreational vehicles; however, we 
consider the certificate issued under 40 CFR part 86 for each motor 
vehicle to also be a valid certificate of conformity for the 
recreational vehicle under this part 1051 for its model year. If we make 
a determination that these engines or vehicles do not conform to the 
regulations during their useful life, we may require you to recall them 
under 40 CFR part 86 or 40 CFR 1068.505.
    (d) Specific requirements. If you are a motor-vehicle manufacturer 
and meet all the following criteria and requirements regarding your new 
recreational vehicle and its engine, the vehicle is eligible for an 
exemption under this section:
    (1) Your vehicle must be covered by a valid certificate of 
conformity as a motor vehicle issued under 40 CFR part 86.
    (2) You must not make any changes to the certified vehicle that we 
could reasonably expect to increase its exhaust emissions for any 
pollutant, or its evaporative emissions if it is subject to evaporative-
emission standards. For example, if you make any of the following 
changes, you do not qualify for this exemption:
    (i) Change any fuel system parameters from the certified 
configuration.
    (ii) Change, remove, or fail to properly install any other 
component, element of design, or calibration specified in the vehicle 
manufacturer's application for certification. This includes 
aftertreatment devices and all related components.
    (iii) Modify or design the engine cooling system so that 
temperatures or heat rejection rates are outside the original vehicle 
manufacturer's specified ranges.
    (iv) Add more than 500 pounds to the curb weight of the originally 
certified motor vehicle.
    (3) You must show that fewer than 50 percent of the engine family's 
total sales in the United States are used in recreational vehicles. This 
includes any type of vehicle, without regard to which company completes 
the manufacturing of the recreational vehicle. Show this as follows:
    (i) If you are the original manufacturer of the vehicle, base this 
showing on your sales information.
    (ii) In all other cases, you must get the original manufacturer of 
the vehicle to confirm this based on their sales information.
    (4) The vehicle must have the vehicle emission control information 
we require under 40 CFR part 86.
    (5) You must add a permanent supplemental label to the vehicle in a 
position where it will remain clearly visible. In the supplemental 
label, do the following:
    (i) Include the heading: ``RECREATIONAL VEHICLE ENGINE EMISSION 
CONTROL INFORMATION''.
    (ii) Include your full corporate name and trademark. You may instead 
include the full corporate name and trademark of another company you 
choose to designate.

[[Page 810]]

    (iii) State: ``THIS VEHICLE WAS ADAPTED FOR RECREATIONAL USE WITHOUT 
AFFECTING ITS EMISSION CONTROLS.''.
    (iv) State the date you finished modifying the vehicle (month and 
year), if applicable.
    (6) The original and supplemental labels must be readily visible in 
the fully assembled vehicle.
    (7) Send the Designated Compliance Officer a signed letter by the 
end of each calendar year (or less often if we tell you) with all the 
following information:
    (i) Identify your full corporate name, address, and telephone 
number.
    (ii) List the vehicle models you expect to produce under this 
exemption in the coming year.
    (iii) State: ``We produced each listed engine or vehicle model for 
recreational application without making any changes that could increase 
its certified emission levels, as described in 40 CFR 1051.610.''.
    (e) Failure to comply. If your engines or vehicles do not meet the 
criteria listed in paragraph (d) of this section, the engines will be 
subject to the standards, requirements, and prohibitions of this part 
1051, and the certificate issued under 40 CFR part 86 will not be deemed 
to also be a certificate issued under this part 1051. Introducing these 
engines into commerce without a valid exemption or certificate of 
conformity under this part violates the prohibitions in 40 CFR 
1068.101(a)(1).
    (f) Data submission. We may require you to send us emission test 
data on any applicable nonroad duty cycles.
    (g) Participation in averaging, banking and trading. Vehicles 
adapted for recreational use under this section may not generate or use 
emission credits under this part 1051. These engines may generate 
credits under the ABT provisions in 40 CFR part 86. These engines must 
use emission credits under 40 CFR part 86 if they are certified to an 
FEL that exceeds an applicable standard.

[70 FR 40502, July 13, 2005]



Sec.  1051.615  What are the special provisions for certifying small recreational engines?

    (a) You may certify ATVs with engines that have total displacement 
of less than 100 cc to the following exhaust emission standards instead 
of certifying them to the exhaust emission standards of subpart B of 
this part:
    (1) 25.0 g/kW-hr HC+NOX, with an FEL cap of 40.0 g/kW-hr 
HC+NOX.
    (2) 500 g/kW-hr CO.
    (b) You may certify off-highway motorcycles with engines that have 
total displacement of 70 cc or less to the following exhaust emission 
standards instead of certifying them to the exhaust emission standards 
of subpart B of this part:
    (1) 16.1 g/kW-hr HC+NOX, with an FEL cap of 32.2 g/kW-hr 
HC+NOX.
    (2) 519 g/kW-hr CO.
    (c) You may use the averaging, banking, and trading provisions of 
subpart H of this part to show compliance with this HC+NOX 
standards (an engine family meets emission standards even if its family 
emission limit is higher than the standard, as long as you show that the 
whole averaging set of applicable engine families meet the applicable 
emission standards using emission credits, and the vehicles within the 
family meet the family emission limit). You may not use averaging to 
meet the CO standards of this section.
    (d) Measure steady-state emissions by testing the engine on an 
engine dynamometer using the equipment and procedures of 40 CFR part 
1065 with either discrete-mode or ramped-modal cycles. You must use the 
type of testing you select in your application for certification for all 
testing you perform for that engine family. If we test your engines to 
confirm that they meet emission standards, we will do testing the same 
way. We may also perform other testing as allowed by the Clean Air Act. 
Measure steady-state emissions as follows:
    (1) For discrete-mode testing, sample emissions separately for each 
mode, then calculate an average emission level for the whole cycle using 
the weighting factors specified for each mode. In each mode, operate the 
engine for at least 5 minutes, then sample

[[Page 811]]

emissions for at least 1 minute. Calculate cycle statistics for the 
sequence of modes and compare with the specified values in 40 CFR 
1065.514 to confirm that the test is valid.
    (2) For ramped-modal testing, start sampling at the beginning of the 
first mode and continue sampling until the end of the last mode. 
Calculate emissions and cycle statistics the same as for transient 
testing.
    (3) Measure emissions by testing the engine on a dynamometer with 
one or more of the following sets of duty cycles to determine whether it 
meets applicable emission standards:
    (i) The following duty cycle applies for discrete-mode testing:

                     Table 1 of Sec.   1051.615--6-Mode Duty Cycle for Recreational Engines
----------------------------------------------------------------------------------------------------------------
                                                                                   Minimum time
                    Mode No.                       Engine speed       Torque          in mode        Weighting
                                                  (percent) \1\    (percent) \2\     (minutes)        factors
----------------------------------------------------------------------------------------------------------------
1..............................................              85              100             5.0            0.09
2..............................................              85               75             5.0            0.20
3..............................................              85               50             5.0            0.29
4..............................................              85               25             5.0            0.30
5..............................................              85               10             5.0            0.07
6..............................................            (\3\)               0             5.0            0.05
----------------------------------------------------------------------------------------------------------------
\1\ Percent speed is percent of maximum test speed.
\2\ Percent torque is percent of maximum test torque at maximum test speed.
\3\Idle.

    (ii) The following duty cycle applies for ramped-modal testing:

                 Table 2 of Sec.   1051.615--Ramped-Modal Cycle for Testing Recreational Engines
----------------------------------------------------------------------------------------------------------------
              RMC mode                     Time        Speed  (percent) \1,2\       Torque  (percent) \2,3\
----------------------------------------------------------------------------------------------------------------
1a Steady-state.....................              41  Warm Idle..............  0
1b Transition.......................              20  Linear Transition......  Linear Transition.
2a Steady-state.....................             135  85.....................  100
2b Transition.......................              20  85.....................  Linear Transition.
3a Steady-state.....................             112  85.....................  10
3b Transition.......................              20  85.....................  Linear Transition.
4a Steady-state.....................             337  85.....................  75
4b Transition.......................              20  85.....................  Linear Transition.
5a Steady-state.....................             518  85.....................  25
5b Transition.......................              20  85.....................  Linear Transition.
6a Steady-state.....................             494  85.....................  50
6b Transition.......................              20  Linear Transition......  Linear Transition.
7 Steady-state......................              43  Warm Idle..............  0
----------------------------------------------------------------------------------------------------------------
\1\ Percent speed is percent of maximum test speed.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
  a linear progression from the torque setting of the current mode to the torque setting of the next mode.
\3\ Percent torque is percent of maximum test torque at the commanded test speed.

    (4) During idle mode, hold the speed within your specifications, 
keep the throttle fully closed, and keep engine torque under 5 percent 
of the peak torque value at maximum test speed.
    (5) For the full-load operating mode, operate the engine at wide-
open throttle.
    (6) See 40 CFR part 1065 for detailed specifications of tolerances 
and calculations.
    (e) All other requirements and prohibitions of this part apply to 
these engines and vehicles.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40503, July 13, 2005]



Sec.  1051.620  When may a manufacturer obtain an exemption for competition recreational vehicles?

    (a) We may grant you an exemption from the standards and 
requirements of this part for a new recreational vehicle on the grounds 
that it is to be used

[[Page 812]]

solely for competition. The provisions of this part other than those in 
this section do not apply to recreational vehicles that we exempt for 
use solely for competition.
    (b) We will exempt vehicles that we determine will be used solely 
for competition. The basis of our determinations are described in 
paragraphs (b)(1), (b)(2), and (c) of this section. Exemptions granted 
under this section are good for only one model year and you must request 
renewal for each subsequent model year. We will not approve your renewal 
request if we determine the vehicles will not be used solely for 
competition.
    (1) Off-highway motorcycles. Motorcycles that are marketed and 
labeled as only for competitive use and that meet at least four of the 
criteria listed in paragraphs (b)(1)(i) through (vi) of this section are 
considered to be used solely for competition, except in cases where 
other information is available that indicates that they are not used 
solely for competition. The following features are indicative of 
motorcycles used solely for competition:
    (i) The absence of a headlight or other lights.
    (ii) The absence of a spark arrestor.
    (iii) The absence of manufacturer warranty.
    (iv) Suspension travel greater than 10 inches.
    (v) Engine displacement greater than 50 cc.
    (vi) The absence of a functional seat. (For example, a seat with 
less than 30 square inches of seating surface would generally not be 
considered a functional seat).
    (2) Snowmobiles and ATVs. Snowmobiles and ATVs meeting all of the 
following criteria are considered to be used solely for competition, 
except in cases where other information is available that indicates that 
they are not used solely for competition:
    (i) The vehicle or engine may not be displayed for sale in any 
public dealership.
    (ii) Sale of the vehicle must be limited to professional racers or 
other qualified racers.
    (iii) The vehicle must have performance characteristics that are 
substantially superior to noncompetitive models.
    (c) Vehicles not meeting the applicable criteria listed in paragraph 
(b) of this section will be exempted only in cases where the 
manufacturer has clear and convincing evidence that the vehicles will be 
used solely for competition.
    (d) You must permanently label vehicles exempted under this section 
to clearly indicate that they are to be used only for competition. 
Failure to properly label a vehicle will void the exemption for that 
vehicle.
    (e) If we request it, you must provide us any information we need to 
determine whether the vehicles are used solely for competition.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40504, July 13, 2005]



Sec.  1051.625  What special provisions apply to unique snowmobile designs for small-volume manufacturers?

    (a) If you are a small-volume manufacturer, we may permit you to 
produce up to 600 snowmobiles per year that are certified to less 
stringent emission standards than those in Sec.  1051.103, as long as 
you meet all the conditions and requirements in this section.
    (b) To apply for alternate standards under this section, send the 
Designated Officer a written request. In your request, do two things:
    (1) Show that the snowmobile has unique design, calibration, or 
operating characteristics that make it atypical and infeasible or highly 
impractical to meet the emission standards in Sec.  1051.103, 
considering technology, cost, and other factors.
    (2) Identify the level of compliance you can achieve, including a 
description of available emission-control technologies and any 
constraints that may prevent more effective use of these technologies.
    (c) You must give us other relevant information if we ask for it.
    (d) An authorized representative of your company must sign the 
request and include the statement: ``All the information in this request 
is true and accurate, to the best of my knowledge.''.

[[Page 813]]

    (e) Send your request for this extension at least nine months before 
the relevant deadline. If different deadlines apply to companies that 
are not small-volume manufacturers, do not send your request before the 
regulations in question apply to the other manufacturers.
    (f) If we approve your request, we will set alternate standards for 
your qualifying snowmobiles. These standards will not be above 400 g/kW-
hr for CO or 150 g/kW-hr for HC.
    (g) You may produce these snowmobiles to meet the alternate 
standards we establish under this section as long as you continue to 
produce them at the same or lower emission levels.
    (h) You may not include snowmobiles you produce under this section 
in any averaging, banking, or trading calculations under Subpart H of 
this part.
    (i) You must meet all the requirements of this part, except as noted 
in this section.



Sec.  1051.630  What special provisions apply to unique snowmobile designs for all manufacturers?

    (a) We may permit you to produce up to 600 snowmobiles per year that 
are certified to the FELs listed in this section without new test data, 
as long as you meet all the conditions and requirements in this section.
    (b) You may certify these snowmobiles with FELs of 560 g/kW-hr for 
CO and 270 g/kW-hr for HC (using the normal certification procedures).
    (c) The emission levels described in this section are intended to 
represent worst-case emission levels. You may not certify snowmobiles 
under this section if good engineering judgment indicates that they have 
emission rates higher than these levels.
    (d) Include snowmobiles you produce under this section in your 
averaging calculations under Subpart H of this part.
    (e) You must meet all the requirements of this part, unless the 
regulations of this part specify otherwise.



Sec.  1051.635  What provisions apply to new manufacturers that are small businesses?

    (a) If you are a small business (as defined by the Small Business 
Administration) that manufactures recreational vehicles, but does not 
otherwise qualify for the small-volume manufacturer provisions of this 
part, you may ask us to designate you to be a small-volume manufacturer. 
You may do this whether you began manufacturing recreational vehicles 
before, during, or after 2002.
    (b) We may set other reasonable conditions that are consistent with 
the intent of this section and the Act. For example, we may place sales 
limits on companies that we designate to be small-volume manufacturers 
under this section.



Sec.  1051.640  What special provisions apply for custom off-highway motorcycles that are similar to highway motorcycles?

    You may ask to exempt custom-designed off-highway motorcycles that 
are substantially similar to highway motorcycles under the display 
exemption provisions of 40 CFR 86.407-78(c). Motorcycles exempt under 
this provision are subject to the restrictions of 40 CFR 86.407-78(c) 
and are considered to be motor vehicles for the purposes of this part 
1051.

[69 FR 2445, Jan. 15, 2004]



Sec.  1051.645  What special provisions apply to branded engines?

    The following provisions apply if you identify the name and 
trademark of another company instead of your own on your emission 
control information label, as provided by Sec.  1051.135(c)(2):
    (a) You must have a contractual agreement with the other company 
that obligates that company to take the following steps:
    (1) Meet the emission warranty requirements that apply under Sec.  
1051.120. This may involve a separate agreement involving reimbursement 
of warranty-related expenses.
    (2) Report all warranty-related information to the certificate 
holder.
    (b) In your application for certification, identify the company 
whose trademark you will use and describe the arrangements you have made 
to meet your requirements under this section.

[[Page 814]]

    (c) You remain responsible for meeting all the requirements of this 
chapter, including warranty and defect-reporting provisions.

[70 FR 40504, July 13, 2005]



       Subpart H_Averaging, Banking, and Trading for Certification



Sec.  1051.701  General provisions.

    (a) You may average, bank, and trade emission credits for purposes 
of certification as described in this subpart to show compliance with 
the standards of this part. To do this you must certify your engines to 
Family Emission Limits (FELs) and show that your average emission levels 
are below the applicable standards in subpart B of this part, or that 
you have sufficient credits to offset a credit deficit for the model 
year (as calculated in Sec.  1051.720).
    (b) The following averaging set restrictions apply:
    (1) You may not average together engine families that are certified 
to different standards. You may, however, use banked credits that were 
generated relative to different standards, except as prohibited by 
paragraphs (b)(2) and (3) of this section, paragraph (e) of this 
section, or by other provisions in this part. For example, you may not 
average together within a model year off-highway motorcycles that are 
certified to the standards in Sec.  1051.105(a)(1) and Sec.  
1051.105(a)(2); but you may use banked credits generated by off-highway 
motorcycles that are certified to the standards in Sec.  1051.105(a)(1) 
to show compliance with the standards in Sec.  1051.105(a)(2) in a later 
model year, and vice versa.
    (2) There are separate averaging, banking, and trading programs for 
snowmobiles, ATVs, and off-highway motorcycles. You may not average or 
exchange banked or traded credits from engine families of one type of 
vehicle with those from engine families of another type of vehicle.
    (3) You may not average or exchange banked or traded credits with 
other engine families if you use fundamentally different measurement 
procedures for the different engine families (for example, ATVs 
certified to chassis-based vs. engine-based standards). This paragraph 
(b)(3) does not restrict you from averaging together engine families 
that use test procedures that we determine provide equivalent emission 
results.
    (4) You may not average or exchange banked or traded exhaust credits 
with evaporative credits, or vice versa.
    (c) The definitions of Subpart I of this part apply to this subpart. 
The following definitions also apply:
    (1) Actual emission credits means emission credits you have 
generated that we have verified by reviewing your final report.
    (2) Average standard means a standard that allows you comply by 
averaging all your vehicles under this part. See subpart B of this part 
to determine which standards are average standards.
    (3) Averaging set means a set of engines in which emission credits 
may be exchanged only with other engines in the same averaging set.
    (4) Broker means any entity that facilitates a trade of emission 
credits between a buyer and seller.
    (5) Buyer means the entity that receives emission credits as a 
result of a trade.
    (6) Reserved emission credits means emission credits you have 
generated that we have not yet verified by reviewing your final report.
    (7) Seller means the entity that provides emission credits during a 
trade.
    (8) Trade means to exchange emission credits, either as a buyer or 
seller.
    (d) In your application for certification, base your showing of 
compliance on projected production volumes for vehicles whose point of 
first retail sale is in the United States. As described in Sec.  
1051.730, compliance with the requirements of this subpart is determined 
at the end of the model year based on actual production volumes for 
vehicles whose point of first retail sale is in the United States. Do 
not include any of the following vehicles to calculate emission credits:
    (1) Vehicles exempted under subpart G of this part or under 40 CFR 
part 1068.
    (2) Exported vehicles.
    (3) Vehicles not subject to the requirements of this part, such as 
those excluded under Sec.  1051.5.

[[Page 815]]

    (4) Vehicles for which the location of first retail sale is in a 
state that has applicable state emission regulations for that model 
year. However, this restriction does not apply if we determine that the 
state standards and requirements are equivalent to those of this part 
and that these vehicles sold in such a state will not generate credits 
under the state program. For example, you may not include vehicles 
certified for California if it has more stringent emission standards for 
these vehicles or those vehicles generate or use emission credits under 
the California program.
    (5) Any other vehicles, where we indicate elsewhere in this part 
1051 that they are not to be included in the calculations of this 
subpart.
    (e) You may not use emission credits generated under this subpart to 
offset any emissions that exceed an FEL or standard, except as specified 
in Sec.  1051.225(f)(1). This applies for all testing, including 
certification testing, in-use testing, selective enforcement audits, and 
other production-line testing.
    (f) Emission credits may be used in the model year they are 
generated or in future model years. Emission credits may not be used for 
past model years.
    (g) You may increase or decrease an FEL during the model year by 
amending your application for certification under Sec.  1051.225.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40504, July 13, 2005]



Sec.  1051.705  How do I average emission levels?

    (a) As specified in subpart B of this part, certify each vehicle to 
an FEL, subject to the FEL caps in subpart B of this part.
    (b) Calculate a preliminary average emission level according to 
Sec.  1051.720 for each averaging set using projected U.S.-directed 
production volumes from your application for certification, excluding 
vehicles described in Sec.  1051.701(d)(4).
    (c) After the end of your model year, calculate a final average 
emission level according to Sec.  1051.720 for each type of recreational 
vehicle or engine you manufacture or import. Use actual U.S.-directed 
production volumes, excluding vehicles described in Sec.  
1051.701(d)(4).
    (d) If your preliminary average emission level is below the 
allowable average standard, see Sec.  1051.710 for information about 
generating and banking emission credits. These credits will be 
considered reserved until we verify them in reviewing the end-of-year 
report.
    (e) If your average emission level is above the allowable average 
standard, you must obtain enough emission credits to offset the deficit 
by the due date for the final report required in Sec.  1051.730. The 
emission credits used to address the deficit may come from emission 
credits you have banked or from emission credits you obtain through 
trading.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40505, July 13, 2005]



Sec.  1051.710  How do I generate and bank emission credits?

    (a) Banking is the retention of emission credits by the manufacturer 
generating the emission credits for use in averaging or trading in 
future model years. You may use banked emission credits only within the 
averaging set in which they were generated.
    (b) If your average emission level is below the average standard, 
you may calculate credits according to Sec.  1051.720. Credits you 
generate do not expire.
    (c) You may generate credits if you are a certifying manufacturer.
    (d) In your application for certification, designate any emission 
credits you intend to bank. These emission credits will be considered 
reserved credits. During the model year and before the due date for the 
final report, you may redesignate these emission credits for averaging 
or trading.
    (e) You may use banked emission credits from the previous model year 
for averaging or trading before we verify them, but we may revoke these 
emission credits if we are unable to verify them after reviewing your 
reports or auditing your records.
    (f) Reserved credits become actual emission credits only when we 
verify them in reviewing your final report.

[70 FR 40505, July 13, 2005]

[[Page 816]]



Sec.  1051.715  How do I trade emission credits?

    (a) Trading is the exchange of emission credits between 
manufacturers. You may use traded emission credits for averaging, 
banking, or further trading transactions. Traded emission credits may be 
used only within the averaging set in which they were generated.
    (b) You may trade banked credits to any certifying manufacturer.
    (c) You may trade actual emission credits as described in this 
subpart. You may also trade reserved emission credits, but we may revoke 
these emission credits based on our review of your records or reports or 
those of the company with which you traded emission credits.
    (d) If a negative emission credit balance results from a 
transaction, both the buyer and seller are liable, except in cases we 
deem to involve fraud. See Sec.  1051.255(e) for cases involving fraud. 
We may void the certificates of all engine families participating in a 
trade that results in a manufacturer having a negative balance of 
emission credits. See Sec.  1051.745.

[70 FR 40505, July 13, 2005]



Sec.  1051.720  How do I calculate my average emission level or emission credits?

    (a) Calculate your average emission level for each type of 
recreational vehicle or engine for each model year according to the 
following equation and round it to the nearest tenth of a g/km or g/kW-
hr. Use consistent units throughout the calculation.
    (1) For exhaust emissions:
    (i) Calculate the average emission level as:
    [GRAPHIC] [TIFF OMITTED] TR08NO02.011
    
Where:

FELi = The FEL to which the engine family is certified.
ULi = The useful life of the engine family.
Productioni = The number of vehicles in the engine family.

    (ii) Use U.S.-directed production projections for initial 
certification, and actual U.S.-directed production volumes to determine 
compliance at the end of the model year.
    (2) For vehicles that have standards expressed as g/kW-hr and a 
useful life in kilometers, convert the useful life to kW-hr based on the 
maximum power output observed over the emission test and an assumed 
vehicle speed of 30 km/hr as follows: UL (kW-hr) = UL (km) x Maximum 
Test Power (kW) / 30 km/hr. (Note: It is not necessary to include a load 
factor, since credit exchange is not allowed between vehicles certified 
to g/kW-hr standards and vehicles certified to g/km standards.)
    (3) For evaporative emission standards expressed as g/m\2\/day, use 
the useful life value in years multiplied by 365.24 and calculate the 
average emission level as:
[GRAPHIC] [TIFF OMITTED] TR13JY05.019

Where:

FEL i = The FEL to which the engine family is certified, as 
described in paragraph (a)(4) of this section.
    Production i = The number of vehicles in the engine 
family times the average internal surface area of the vehicles' fuel 
tanks.


[[Page 817]]


    (4) Determine the FEL for calculating credits under paragraph (a)(3) 
of this section using any of the following values:
    (i) The FEL to which the tank is certified, as long as the FEL is at 
or below 3.0 g/m\2\/day.
    (ii) 10.4 g/m\2\/day. However, if you use this value to establish 
the FEL for any of your tanks, you must use this value to establish the 
FEL for every tank not covered by paragraph (a)(4)(i) of this section.
    (iii) The measured permeation rate of the tank or the measured 
permeation rate of a thinner-walled tank of the same material. However, 
if you use this approach to establish the FEL for any of your tanks, you 
must establish an FEL based on emission measurements for every tank not 
covered by paragraph (a)(4)(i) of this section.
    (b) If your average emission level is below the average standard, 
calculate credits available for banking according to the following 
equation and round them to the nearest tenth of a gram:
[GRAPHIC] [TIFF OMITTED] TR08NO02.013

    (c) If your average emission level is above the average standard, 
calculate your preliminary credit deficit according to the following 
equation, rounding to the nearest tenth of a gram:
[GRAPHIC] [TIFF OMITTED] TR08NO02.014


[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40505, July 13, 2005]



Sec.  1051.725  What must I include in my applications for certification?

    (a) You must declare in your applications for certification your 
intent to use the provisions of this subpart. You must also declare the 
FELs you select for each engine family. Your FELs must comply with the 
specifications of subpart B of this part, including the FEL caps. FELs 
must be expressed to the same number of decimal places as the applicable 
standards.
    (b) Include the following in your application for certification:
    (1) A statement that, to the best of your belief, you will not have 
a negative balance of emission credits for any averaging set when all 
emission credits are calculated at the end of the year. This means that 
if you believe that your average emission level will be above the 
standard (i.e., that you will have a deficit for the model year), you 
must have banked credits (or project to have received traded credits) to 
offset the deficit.
    (2) Detailed calculations of projected emission credits (positive or 
negative) based on projected production volumes. If you will generate 
positive emission credits, state specifically where the emission credits 
will be applied (for example, whether they will be traded or reserved 
for banking). If you have projected negative emission credits, state the 
source of positive emission credits to offset the negative emission 
credits. Describe whether the emission credits are actual or reserved 
and whether they will come from banking, trading, or a combination of 
these. If you intend to rely on trading, identify from which 
manufacturer the emission credits will come.

[70 FR 40506, July 13, 2005]

[[Page 818]]



Sec.  1051.730  What ABT reports must I send to EPA?

    (a) If any of your engine families are certified using the ABT 
provisions of this subpart, you must send an end-of-year report within 
90 days after the end of the model year and a final report within 270 
days after the end of the model year. We may waive the requirement to 
send the end-of year report, as long as you send the final report on 
time.
    (b) Your end-of-year and final reports must include the following 
information for each engine family:
    (1) Engine-family designation.
    (2) The emission standards that would otherwise apply to the engine 
family.
    (3) The FEL for each pollutant. If you changed an FEL during the 
model year, identify each FEL you used and calculate the positive or 
negative emission credits under each FEL. Also, describe how the 
applicable FEL can be identified for each vehicle you produced. For 
example, you might keep a list of vehicle identification numbers that 
correspond with certain FEL values.
    (4) The projected and actual production volumes for the model year 
with a point of retail sale in the United States. If you changed an FEL 
during the model year, identify the actual production volume associated 
with each FEL.
    (5) For vehicles that have standards expressed as g/kW-hr, maximum 
engine power for each vehicle configuration, and the sales-weighted 
average engine power for the engine family.
    (6) Useful life.
    (7) Calculated positive or negative emission credits. Identify any 
emission credits that you traded, as described in paragraph (d)(1) of 
this section.
    (c) Your end-of-year and final reports must include the following 
additional information:
    (1) Show that your net balance of emission credits in each averaging 
set in the applicable model year is not negative.
    (2) State whether you will reserve any emission credits for banking.
    (3) State that the report's contents are accurate.
    (d) If you trade emission credits, you must send us a report within 
90 days after the transaction, as follows:
    (1) As the seller, you must include the following information in 
your report:
    (i) The corporate names of the buyer and any brokers.
    (ii) A copy of any contracts related to the trade.
    (iii) The engine families that generated emission credits for the 
trade, including the number of emission credits from each family.
    (2) As the buyer, you must include the following information in your 
report:
    (i) The corporate names of the seller and any brokers.
    (ii) A copy of any contracts related to the trade.
    (iii) How you intend to use the emission credits, including the 
number of emission credits you intend to apply to each engine family (if 
known).
    (e) Send your reports electronically to the Designated Compliance 
Officer using an approved information format. If you want to use a 
different format, send us a written request with justification for a 
waiver.
    (f) Correct errors in your end-of-year report or final report as 
follows:
    (1) You may correct any errors in your end-of-year report when you 
prepare the final report, as long as you send us the final report by the 
time it is due.
    (2) If you or we determine within 270 days after the end of the 
model year that errors mistakenly decrease your balance of emission 
credits, you may correct the errors and recalculate the balance of 
emission credits. You may not make these corrections for errors that are 
determined more than 270 days after the end of the model year. If you 
report a negative balance of emission credits, we may disallow 
corrections under this paragraph (f)(2).
    (3) If you or we determine anytime that errors mistakenly increase 
your balance of emission credits, you must correct the errors and 
recalculate the balance of emission credits.

[70 FR 40506, July 13, 2005]

[[Page 819]]



Sec.  1051.735  What records must I keep?

    (a) You must organize and maintain your records as described in this 
section. We may review your records at any time.
    (b) Keep the records required by this section for eight years after 
the due date for the end-of-year report. You may use any appropriate 
storage formats or media, including paper, microfilm, or computer 
diskettes.
    (c) Keep a copy of the reports we require in Sec.  1051.725 and 
Sec.  1051.730.
    (d) Keep the following additional records for each engine you 
produce under the ABT program:
    (1) Engine family designation.
    (2) Engine identification number.
    (3) FEL and useful life.
    (4) For vehicles that have standards expressed as g/kW-hr, maximum 
engine power.
    (5) Build date and assembly plant.
    (6) Purchaser and destination.
    (e) We may require you to keep additional records or to send us 
relevant information not required by this section.

[70 FR 40506, July 13, 2005]



Sec.  1051.740  Are there special averaging provisions for snowmobiles?

    For snowmobiles, you may only use credits for the same phase or set 
of standards against which they were generated, except as allowed by 
this section.
    (a) Restrictions. (1) You may not use any Phase 1 or Phase 2 credits 
for Phase 3 compliance.
    (2) You may not use Phase 1 HC credits for Phase 2 HC compliance. 
However, because the Phase 1 and Phase 2 CO standards are the same, you 
may use Phase 1 CO credits for compliance with the Phase 2 CO standards.
    (b) Special credits for next phase of standards. You may choose to 
generate credits early for banking for purposes of compliance with later 
phases of standards as follows:
    (1) If your corporate average emission level at the end of the model 
year exceeds the applicable (current) phase of standards (without the 
use of traded or previously banked credits), you may choose to 
redesignate some of your snowmobile production to a calculation to 
generate credits for a future phase of standards. To generate credits 
the snowmobiles designated must have an FEL below the emission level of 
that set of standards. This can be done on a pollutant specific basis.
    (2) Do not include the snowmobiles that you redesignate in the final 
compliance calculation of your average emission level for the otherwise 
applicable (current) phase of standards. Your average emission level for 
the remaining (non-redesignated) snowmobiles must comply with the 
otherwise applicable (current) phase of standards.
    (3) Include the snowmobiles that you redesignate in a separate 
calculation of your average emission level for redesignated engines. 
Calculate credits using this average emission level relative to the 
specific pollutant in the future phase of standards. These credits may 
be used for compliance with the future standards.
    (4) For generating early Phase 3 credits, you may generate credits 
for HC+NOX or CO separately as described:
    (i) To determine if you qualify to generate credits in accordance 
with paragraphs (b)(1) through (3) of this section, you must meet the 
credit trigger level. For HC+NOX this value is 62 g/kW-hr 
(which would be the HC+NOX standard that would result from 
inputting the highest allowable CO standard (275 g/kW-hr) into the Phase 
3 equation). For CO the value is 200 g/kW-hr (which would be the CO 
standard that would result from inputting the highest allowable 
HC+NOX standard (90 g/kW-hr) into the Phase 3 equation).
    (ii) HC+NOX and CO credits for Phase 3 are calculated 
relative to the 62 g/kW-hr and 200 g/kW-hr values, respectively.
    (5) Credits can also be calculated for Phase 3 using both sets of 
standards. Without regard to the trigger level values, if your net 
emission reduction for the redesignated averaging set exceeds the 
requirements of Phase 3 in Sec.  1051.103 (using both HC+NOX 
and CO in the Phase 3 equation in Sec.  1051.103), then your credits are 
the difference between the Phase 3 reduction requirement of that section 
and your calculated value.

[70 FR 40507, July 13, 2005]

    Effective Date Note: At 73 FR 35952, June 25, 2008, Sec.  1051.740 
was amended by revising paragraph (b)(4), effective August 25, 2008.

[[Page 820]]

For the convenience of the user, the revised text is set forth as 
follows:



Sec.  1051.740  Are there special averaging provisions for snowmobiles?

                                * * * * *

    (b) * * *
    (4) For generating early Phase 3 credits, you may generate credits 
for HC or CO separately as described:
    (i) To determine if you qualify to generate credits in accordance 
with paragraphs (b)(1) through (3) of this section, you must meet the 
credit trigger level. For HC this value is 75 g/kW-hr. For CO this value 
is 200 g/kW-hr.
    (ii) HC and CO credits for Phase 3 are calculated relative to 75 
g.kW-hr and 200 g/kW-hr values, respectively.

                                * * * * *



Sec.  1051.745  What can happen if I do not comply with the provisions of this subpart?

    (a) For each engine family participating in the ABT program, the 
certificate of conformity is conditional upon full compliance with the 
provisions of this subpart during and after the model year. You are 
responsible to establish to our satisfaction that you fully comply with 
applicable requirements. We may void the certificate of conformity for 
an engine family if you fail to comply with any provisions of this 
subpart.
    (b) You may certify your engine family to an FEL above an applicable 
standard based on a projection that you will have enough emission 
credits to avoid a negative credit balance for each averaging set for 
the applicable model year. However, except as allowed in Sec.  
1051.145(h), we may void the certificate of conformity if you cannot 
show in your final report that you have enough actual emission credits 
to offset a deficit for any pollutant in an engine family.
    (c) We may void the certificate of conformity for an engine family 
if you fail to keep records, send reports, or give us information we 
request.
    (d) You may ask for a hearing if we void your certificate under this 
section (see Sec.  1051.820).

[70 FR 40507, July 13, 2005]



          Subpart I_Definitions and Other Reference Information



Sec.  1051.801  What definitions apply to this part?

    The following definitions apply to this part. The definitions apply 
to all subparts unless we note otherwise. All undefined terms have the 
meaning the Act gives to them. The definitions follow:
    Act means the Clean Air Act, as amended, 42 U.S.C. 7401-7671q.
    Adjustable parameter means any device, system, or element of design 
that someone can adjust (including those which are difficult to access) 
and that, if adjusted, may affect emissions or engine performance during 
emission testing or normal in-use operation. This includes, but is not 
limited to, parameters related to injection timing and fueling rate. You 
may ask us to exclude a parameter that is difficult to access if it 
cannot be adjusted to affect emissions without significantly degrading 
engine performance, or if you otherwise show us that it will not be 
adjusted in a way that affects emissions during in-use operation.
    Aftertreatment means relating to a catalytic converter, particulate 
filter, or any other system, component, or technology mounted downstream 
of the exhaust valve (or exhaust port) whose design function is to 
decrease emissions in the engine exhaust before it is exhausted to the 
environment. Exhaust-gas recirculation (EGR) and turbochargers are not 
aftertreatment.
    All-terrain vehicle means a land-based or amphibious nonroad vehicle 
that meets the criteria listed in paragraph (1) of this definition; or, 
alternatively the criteria of paragraph (2) of this definition but not 
the criteria of paragraph (3) of this definition:
    (1) Vehicles designed to travel on four low pressure tires, having a 
seat designed to be straddled by the operator and handlebars for 
steering controls, and intended for use by a single operator and no 
other passengers are all-terrain vehicles.
    (2) Other all-terrain vehicles have three or more wheels and one or 
more seats, are designed for operation over rough terrain, are intended 
primarily

[[Page 821]]

for transportation, and have a maximum vehicle speed of 25 miles per 
hour or higher. Golf carts generally do not meet these criteria since 
they are generally not designed for operation over rough terrain.
    (3) Vehicles that meet the definition of ``offroad utility vehicle'' 
in this section are not all-terrain vehicles. However, Sec.  1051.1(a) 
specifies that some offroad utility vehicles are required to meet the 
same requirements as all-terrain vehicles.
    Amphibious vehicle means a vehicle with wheels or tracks that is 
designed primarily for operation on land and secondarily for operation 
in water.
    Auxiliary emission-control device means any element of design that 
senses temperature, motive speed, engine RPM, transmission gear, or any 
other parameter for the purpose of activating, modulating, delaying, or 
deactivating the operation of any part of the emission-control system.
    Brake power means the usable power output of the engine, not 
including power required to fuel, lubricate, or heat the engine, 
circulate coolant to the engine, or to operate aftertreatment devices.
    Calibration means the set of specifications and tolerances specific 
to a particular design, version, or application of a component or 
assembly capable of functionally describing its operation over its 
working range.
    Certification means relating to the process of obtaining a 
certificate of conformity for an engine family that complies with the 
emission standards and requirements in this part.
    Certified emission level means the highest deteriorated emission 
level in an engine family for a given pollutant from either transient or 
steady-state testing.
    Compression-ignition means relating to a type of reciprocating, 
internal-combustion engine that is not a spark-ignition engine.
    Crankcase emissions means airborne substances emitted to the 
atmosphere from any part of the engine crankcase's ventilation or 
lubrication systems. The crankcase is the housing for the crankshaft and 
other related internal parts.
    Critical emission-related component means any of the following 
components:
    (1) Electronic control units, aftertreatment devices, fuel-metering 
components, EGR-system components, crankcase-ventilation valves, all 
components related to charge-air compression and cooling, and all 
sensors and actuators associated with any of these components.
    (2) Any other component whose primary purpose is to reduce 
emissions.
    Designated Compliance Officer means the Manager, Engine Programs 
Group (6405-J), U.S. Environmental Protection Agency, 1200 Pennsylvania 
Ave., NW., Washington, DC 20460.
    Designated Enforcement Officer means the Director, Air Enforcement 
Division (2242A), U.S. Environmental Protection Agency, 1200 
Pennsylvania Ave., NW.,Washington, DC 20460.
    Deteriorated emission level means the emission level that results 
from applying the appropriate deterioration factor to the official 
emission result of the emission-data vehicle.
    Deterioration factor means the relationship between emissions at the 
end of useful life and emissions at the low-hour test point, expressed 
in one of the following ways:
    (1) For multiplicative deterioration factors, the ratio of emissions 
at the end of useful life to emissions at the low-hour test point.
    (2) For additive deterioration factors, the difference between 
emissions at the end of useful life and emissions at the low-hour test 
point.
    Emission-control system means any device, system, or element of 
design that controls or reduces the regulated emissions from an engine.
    Emission-data vehicle means a vehicle or engine that is tested for 
certification. This includes vehicles or engines tested to establish 
deterioration factors.
    Emission-related maintenance means maintenance that substantially 
affects emissions or is likely to substantially affect emission 
deterioration.
    Engine configuration means a unique combination of engine hardware 
and calibration within an engine family.

[[Page 822]]

Engines within a single engine configuration differ only with respect to 
normal production variability.
    Engine family has the meaning given in Sec.  1051.230.
    Evaporative means relating to fuel emissions that result from 
permeation of fuel through the fuel system materials and from 
ventilation of the fuel system.
    Excluded means relating to an engine that either:
    (1) Has been determined not to be a nonroad engine, as specified in 
40 CFR 1068.30; or
    (2) Is a nonroad engine that is excluded from this part 1051 under 
the provisions of Sec.  1051.5.
    Exempted has the meaning given in 40 CFR 1068.30.
    Exhaust-gas recirculation means a technology that reduces emissions 
by routing exhaust gases that had been exhausted from the combustion 
chamber(s) back into the engine to be mixed with incoming air before or 
during combustion. The use of valve timing to increase the amount of 
residual exhaust gas in the combustion chamber(s) that is mixed with 
incoming air before or during combustion is not considered exhaust-gas 
recirculation for the purposes of this part.
    Family emission limit (FEL) means an emission level declared by the 
manufacturer to serve in place of an otherwise applicable emission 
standard under the ABT program in subpart H of this part. The family 
emission limit must be expressed to the same number of decimal places as 
the emission standard it replaces. The family emission limit serves as 
the emission standard for the engine family with respect to all required 
testing.
    Fuel line means all hoses or tubing designed to contain liquid fuel 
or fuel vapor. This includes all hoses or tubing for the filler neck, 
for connections between dual fuel tanks, and for connecting a carbon 
canister to the fuel tank. This does not include hoses or tubing for 
routing crankcase vapors to the engine's intake or any other hoses or 
tubing that are open to the atmosphere.
    Fuel system means all components involved in transporting, metering, 
and mixing the fuel from the fuel tank to the combustion chamber(s), 
including the fuel tank, fuel tank cap, fuel pump, fuel filters, fuel 
lines, carburetor or fuel-injection components, and all fuel-system 
vents. In the case where the fuel tank cap or other components 
(excluding fuel lines) are directly mounted on the fuel tank, they are 
considered to be a part of the fuel tank.
    Fuel type means a general category of fuels such as gasoline or 
natural gas. There can be multiple grades within a single fuel type, 
such as winter-grade and all-season gasoline.
    Good engineering judgment means judgments made consistent with 
generally accepted scientific and engineering principles and all 
available relevant information. See 40 CFR 1068.5 for the administrative 
process we use to evaluate good engineering judgment.
    Hydrocarbon (HC) means the hydrocarbon group on which the emission 
standards are based for each fuel type. For alcohol-fueled engines, HC 
means total hydrocarbon equivalent (THCE). For all other engines, HC 
means nonmethane hydrocarbon (NMHC).
    Identification number means a unique specification (for example, a 
model number/serial number combination) that allows someone to 
distinguish a particular vehicle or engine from other similar engines.
    Low-hour means relating to an engine with stabilized emissions and 
represents the undeteriorated emission level. This would generally 
involve less than 24 hours or 240 kilometers of operation.
    Manufacturer has the meaning given in section 216(1) of the Act. In 
general, this term includes any person who manufactures a vehicle or 
engine for sale in the United States or otherwise introduces a new 
vehicle or engine into commerce in the United States. This includes 
importers that import vehicles or engines for resale.
    Maximum engine power has the meaning given in 40 CFR 90.3.
    Maximum test power means the maximum brake power of an engine at 
test conditions.
    Maximum test speed has the meaning given in 40 CFR 1065.1001.
    Maximum test torque has the meaning given in 40 CFR 1065.1001.

[[Page 823]]

    Model year means one of the following things:
    (1) For freshly manufactured vehicles (see definition of ``new,'' 
paragraph (1)), model year means one of the following:
    (i) Calendar year.
    (ii) Your annual new model production period if it is different than 
the calendar year. This must include January 1 of the calendar year for 
which the model year is named. It may not begin before January 2 of the 
previous calendar year and it must end by December 31 of the named 
calendar year.
    (2) For an engine originally manufactured as a motor-vehicle engine 
or a stationary engine that is later intended to be used in a vehicle 
subject to the standards and requirements of this part 1051, model year 
means the calendar year in which the engine was originally produced (see 
definition of ``new,'' paragraph (2)).
    (3) For a nonroad engine that has been previously placed into 
service in an application covered by 40 CFR part 90, 91, or 1048, where 
that engine is installed in a piece of equipment that is covered by this 
part 1051, model year means the calendar year in which the engine was 
originally produced (see definition of ``new ,'' paragraph (3)).
    (4) For engines that are not freshly manufactured but are installed 
in new recreational vehicles, model year means the calendar year in 
which the engine is installed in the recreational vehicle (see 
definition of ``new,'' paragraph (4)).
    (5) For imported engines:
    (i) For imported engines described in paragraph (5)(i) of the 
definition of ``new,'' model year has the meaning given in paragraphs 
(1) through (4) of this definition.
    (ii) For imported engines described in paragraph (5)(ii) of the 
definition of ``new,'' model year means the calendar year in which the 
vehicle is modified.
    Motor vehicle has the meaning given in 40 CFR 85.1703(a).
    New means relating to any of the following things:
    (1) A freshly manufactured vehicle for which the ultimate purchaser 
has never received the equitable or legal title. This kind of vehicle 
might commonly be thought of as ``brand new.'' In the case of this 
paragraph (1), the vehicle becomes new when it is fully assembled for 
the first time. The engine is no longer new when the ultimate purchaser 
receives the title or the product is placed into service, whichever 
comes first.
    (2) An engine originally manufactured as a motor-vehicle engine or a 
stationary engine that is later intended to be used in a vehicle subject 
to the standards and requirements of this part 1051. In this case, the 
engine is no longer a motor-vehicle or stationary engine and becomes 
new. The engine is no longer new when it is placed into service as a 
recreational vehicle covered by this part 1051.
    (3) A nonroad engine that has been previously placed into service in 
an application covered by 40 CFR part 90, 91, or 1048, where that engine 
is installed in a piece of equipment that is covered by this part 1051. 
The engine is no longer new when it is placed into service in a 
recreational vehicle covered by this part 1051. For example, this would 
apply to a marine propulsion engine that is no longer used in a marine 
vessel.
    (4) An engine not covered by paragraphs (1) through (3) of this 
definition that is intended to be installed in a new vehicle covered by 
this part 1051. The engine is no longer new when the ultimate purchaser 
receives a title for the vehicle or it is placed into service, whichever 
comes first. This generally includes installation of used engines in new 
recreational vehicles.
    (5) An imported vehicle or engine, subject to the following 
provisions:
    (i) An imported recreational vehicle or recreational-vehicle engine 
covered by a certificate of conformity issued under this part that meets 
the criteria of one or more of paragraphs (1) through (4) of this 
definition, where the original manufacturer holds the certificate, is 
new as defined by those applicable paragraphs.
    (ii) An imported recreational vehicle or recreational-vehicle engine 
covered by a certificate of conformity issued under this part, where 
someone other than the original manufacturer holds the certificate (such 
as when the engine is modified after its initial assembly), becomes new 
when it is imported. It is no longer new when the ultimate

[[Page 824]]

purchaser receives a title for the vehicle or engine or it is placed 
into service, whichever comes first.
    (iii) An imported recreational vehicle or recreational-vehicle 
engine that is not covered by a certificate of conformity issued under 
this part at the time of importation is new, but only if it was produced 
on or after the 2007 model year. This addresses uncertified engines and 
equipment initially placed into service that someone seeks to import 
into the United States. Importation of this kind of new nonroad engine 
(or equipment containing such an engine) is generally prohibited by 40 
CFR part 1068.
    Noncompliant means relating to a vehicle that was originally covered 
by a certificate of conformity, but is not in the certified 
configuration or otherwise does not comply with the conditions of the 
certificate.
    Nonconforming means relating to vehicle not covered by a certificate 
of conformity that would otherwise be subject to emission standards.
    Nonmethane hydrocarbon means the difference between the emitted mass 
of total hydrocarbons and the emitted mass of methane.
    Nonroad means relating to nonroad engines or equipment that includes 
nonroad engines.
    Nonroad engine has the meaning given in 40 CFR 1068.30. In general 
this means all internal-combustion engines except motor-vehicle engines, 
stationary engines, engines used solely for competition, or engines used 
in aircraft.
    Off-highway motorcycle means a two-wheeled vehicle with a nonroad 
engine and a seat (excluding marine vessels and aircraft). (Note: 
highway motorcycles are regulated under 40 CFR part 86.)
    Official emission result means the measured emission rate for an 
emission-data vehicle on a given duty cycle before the application of 
any deterioration factor, but after the applicability of regeneration 
adjustment factors.
    Offroad utility vehicle means a nonroad vehicle that has four or 
more wheels, seating for two or more persons, is designed for operation 
over rough terrain, and has either a rear payload of 350 pounds or more 
or seating for six or more passengers. Vehicles intended primarily for 
recreational purposes that are not capable of transporting six 
passengers (such as dune buggies) are not offroad utility vehicles. 
(Note: Sec.  1051.1(a) specifies that some offroad utility vehicles are 
required to meet the requirements that apply for all-terrain vehicles.)
    Owners manual means a document or collection of documents prepared 
by the engine manufacturer for the owner or operator to describe 
appropriate engine maintenance, applicable warranties, and any other 
information related to operating or keeping the engine. The owners 
manual is typically provided to the ultimate purchaser at the time of 
sale.
    Oxides of nitrogen has the meaning given in 40 CFR 1065.1001.
    Phase 1 means relating to Phase 1 standards of Sec. Sec.  1051.103, 
1051.105, or 1051.107, or other Phase 1 standards specified in subpart B 
of this part.
    Phase 2 means relating to Phase 2 standards of Sec.  1051.103, or 
other Phase 2 standards specified in subpart B of this part.
    Phase 3 means relating to Phase 3 standards of Sec.  1051.103, or 
other Phase 3 standards specified in subpart B of this part.
    Placed into service means put into initial use for its intended 
purpose.
    Point of first retail sale means the location at which the initial 
retail sale occurs. This generally means an equipment dealership, but 
may also include an engine seller or distributor in cases where loose 
engines are sold to the general public for uses such as replacement 
engines.
    Recreational means, for purposes of this part, relating to 
snowmobiles, all-terrain vehicles, off-highway motorcycles, and other 
vehicles that we regulate under this part. Note that 40 CFR part 90 
applies to engines used in other recreational vehicles.
    Revoke has the meaning given in 40 CFR 1068.30.
    Round has the meaning given in 40 CFR 1065.1001, unless otherwise 
specified.
    Scheduled maintenance means adjusting, repairing, removing, 
disassembling, cleaning, or replacing components or systems periodically 
to keep a

[[Page 825]]

part or system from failing, malfunctioning, or wearing prematurely. It 
also may mean actions you expect are necessary to correct an overt 
indication of failure or malfunction for which periodic maintenance is 
not appropriate.
    Small-volume manufacturer means one of the following:
    (1) For motorcycles and ATVs, a manufacturer that sold motorcycles 
or ATVs before 2003 and had annual U.S.-directed production of no more 
than 5,000 off-road motorcycles and ATVs (combined number) in 2002 and 
all earlier calendar years. For manufacturers owned by a parent company, 
the limit applies to the production of the parent company and all of its 
subsidiaries.
    (2) For snowmobiles, a manufacturer that sold snowmobiles before 
2003 and had annual U.S.-directed production of no more than 300 
snowmobiles in 2002 and all earlier model years. For manufacturers owned 
by a parent company, the limit applies to the production of the parent 
company and all of its subsidiaries.
    (3) A manufacturer that we designate to be a small-volume 
manufacturer under Sec.  1051.635.
    Snowmobile means a vehicle designed to operate outdoors only over 
snow-covered ground, with a maximum width of 1.5 meters or less.
    Spark-ignition 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.
    Suspend has the meaning given in 40 CFR 1068.30.
    Test sample means the collection of engines selected from the 
population of an engine family for emission testing. This may include 
testing for certification, production-line testing, or in-use testing.
    Test vehicle or engine means an engine in a test sample.
    Total hydrocarbon means the combined mass of organic compounds 
measured by the specified procedure for measuring total hydrocarbon, 
expressed as a hydrocarbon with a hydrogen-to-carbon mass ratio of 
1.85:1.
    Total hydrocarbon equivalent means the sum of the carbon mass 
contributions of non-oxygenated hydrocarbons, alcohols and aldehydes, or 
other organic compounds that are measured separately as contained in a 
gas sample, expressed as exhaust hydrocarbon from petroleum-fueled 
engines. The hydrogen-to-carbon ratio of the equivalent hydrocarbon is 
1.85:1.
    Ultimate purchaser means, with respect to any new nonroad equipment 
or new nonroad engine, the first person who in good faith purchases such 
new nonroad equipment or new nonroad engine for purposes other than 
resale.
    Ultraviolet light means electromagnetic radiation with a wavelength 
between 300 and 400 nanometers.
    United States has the meaning given in 40 CFR 1068.30.
    Upcoming model year means for an engine family the model year after 
the one currently in production.
    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. This includes 
vehicles for which the location of first retail sale is in a state that 
has applicable state emission regulations for that model year, unless we 
specify otherwise.
    Useful life means the period during which a vehicle is required to 
comply with all applicable emission standards, specified as a given 
number of calendar years and kilometers (whichever comes first). In some 
cases, useful life is also limited by a given number of hours of engine 
operation. If an engine has no odometer (or hour meter), the specified 
number of kilometers (or hours) does not limit the period during which 
an in-use vehicle is required to comply with emission standards, unless 
the degree of service accumulation can be verified separately. The 
useful life for an engine family must be at least as long as both of the 
following:
    (1) The expected average service life before the vehicle is 
remanufactured or retired from service.
    (2) The minimum useful life value.

[[Page 826]]

    Void has the meaning given in 40 CFR 1068.30.
    We (us, our) means the Administrator of the Environmental Protection 
Agency and any authorized representatives.
    Wide-open throttle means maximum throttle opening. Unless this is 
specified at a given speed, it refers to maximum throttle opening at 
maximum speed. For electronically controlled or other engines with 
multiple possible fueling rates, wide-open throttle also means the 
maximum fueling rate at maximum throttle opening under test conditions.

[70 FR 40507, July 13, 2005]



Sec.  1051.805  What symbols, acronyms, and abbreviations does this part use?

    The following symbols, acronyms, and abbreviations apply to this 
part:

[deg]--degrees.
ASTM--American Society for Testing and Materials.
ATV--all-terrain vehicle.
cc--cubic centimeters.
CFR--Code of Federal Regulations.
cm--centimeter.
C--Celsius.
CO--carbon monoxide.
CO2--carbon dioxide.
EPA--Environmental Protection Agency.
F--Fahrenheit.
g--grams.
g/gal/day--grams per gallon per test day.
g/m\2\/day--grams per meter-square per test day.
HC--hydrocarbon.
Hg--mercury.
hr--hours.
km--kilometer.
kW--kilowatt.
LPG--liquefied petroleum gas.
m--meters.
mm--millimeters.
mW--milliwatts.
NARA--National Archives and Records Administration.
NMHC--nonmethane hydrocarbons.
NOX--oxides of nitrogen (NO and NOX).
psig--pounds per square inches of gauge pressure.
rpm--revolutions per minute.
SAE--Society of Automotive Engineers.
SI--spark-ignition.
THC--total hydrocarbon.
THCE--total hydrocarbon equivalent.
U.S.C.--United States Code.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40510, July 13, 2005]



Sec.  1051.810  What materials does this part reference?

    Documents listed in this section have been incorporated by reference 
into this part. The Director of the Federal Register approved the 
incorporation by reference as prescribed in 5 U.S.C. 552(a) and 1 CFR 
part 51. Anyone may inspect copies at the U.S. EPA, Air and Radiation 
Docket and Information Center, 1301 Constitution Ave., NW., Room B102, 
EPA West Building, Washington, DC 20460 or at the National Archives and 
Records Administration (NARA). For information on the availability of 
this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html.
    (a) ASTM material. Table 1 of this section lists material from the 
American Society for Testing and Materials that we have incorporated by 
reference. The first column lists the number and name of the material. 
The second column lists the sections of this part where we reference it. 
Anyone may purchase copies of these materials from the American Society 
for Testing and Materials, 100 Barr Harbor Dr., P.O. Box C700, West 
Conshohocken, PA 19428 or www.astm.com. Table 1 follows:

               Table 1 of Sec.   1051.810--ASTM Materials
------------------------------------------------------------------------
                                                             Part 1051
                Document number and name                     reference
------------------------------------------------------------------------
ASTM D471-98, Standard Test Method for Rubber Property--        1051.501
 Effect of Liquids......................................
ASTM D814-95 (reapproved 2000), Standard Test Method for        1051.245
 Rubber Property Vapor Transmission of Volatile Liquids.
------------------------------------------------------------------------

    (b) SAE material. Table 2 of this section lists material from the 
Society of Automotive Engineering that we have incorporated by 
reference. The first column lists the number and name of the material. 
The second column lists

[[Page 827]]

the sections of this part where we reference it. Anyone may purchase 
copies of these materials from the Society of Automotive Engineers, 400 
Commonwealth Drive, Warrendale, PA 15096 or www.sae.org. Table 2 
follows:

                Table 2 of Sec.   1051.810--SAE Materials
------------------------------------------------------------------------
            Document number and name               Part 1051  reference
------------------------------------------------------------------------
SAE J30, Fuel and Oil Hoses, June 1998.........       1051.245, 1051.501
SAE J1930, Electrical/Electronic Systems                        1051.135
 Diagnostic Terms, Definitions, Abbreviations,
 and Acronyms, May 1998........................
SAE J2260, Nonmetallic Fuel System Tubing with                  1051.245
 One or More Layers, November 1996.............
------------------------------------------------------------------------


[70 FR 40510, July 13, 2005]



Sec.  1051.815  What provisions apply to confidential information?

    (a) Clearly show what you consider confidential by marking, 
circling, bracketing, stamping, or some other method.
    (b) We will store your confidential information as described in 40 
CFR part 2. Also, we will disclose it only as specified in 40 CFR part 
2. This applies both to any information you send us and to any 
information we collect from inspections, audits, or other site visits.
    (c) If you send us a second copy without the confidential 
information, we will assume it contains nothing confidential whenever we 
need to release information from it.
    (d) If you send us information without claiming it is confidential, 
we may make it available to the public without further notice to you, as 
described in 40 CFR 2.204.

[70 FR 40511, July 13, 2005]



Sec.  1051.820  How do I request a hearing?

    (a) You may request a hearing under certain circumstances, as 
described elsewhere in this part. To do this, you must file a written 
request, including a description of your objection and any supporting 
data, within 30 days after we make a decision.
    (b) For a hearing you request under the provisions of this part, we 
will approve your request if we find that your request raises a 
substantial factual issue.
    (c) If we agree to hold a hearing, we will use the procedures 
specified in 40 CFR part 1068, subpart G.

[70 FR 40511, July 13, 2005]



PART 1065_ENGINE-TESTING PROCEDURES--Table of Contents

             Subpart A_Applicability and General Provisions

Sec.
1065.1 Applicability.
1065.2 Submitting information to EPA under this part.
1065.5 Overview of this part 1065 and its relationship to the standard-
          setting part.
1065.10 Other procedures.
1065.12 Approval of alternate procedures.
1065.15 Overview of procedures for laboratory and field testing.
1065.20 Units of measure and overview of calculations.
1065.25 Recordkeeping.

                   Subpart B_Equipment Specifications

1065.101 Overview.
1065.110 Work inputs and outputs, accessory work, and operator demand.
1065.120 Fuel properties and fuel temperature and pressure.
1065.122 Engine cooling and lubrication.
1065.125 Engine intake air.
1065.127 Exhaust gas recirculation.
1065.130 Engine exhaust.
1065.140 Dilution for gaseous and PM constituents.
1065.145 Gaseous and PM probes, transfer lines, and sampling system 
          components.
1065.150 Continuous sampling.
1065.170 Batch sampling for gaseous and PM constituents.
1065.190 PM-stabilization and weighing environments for gravimetric 
          analysis.
1065.195 PM-stabilization environment for in-situ analyzers.

                    Subpart C_Measurement Instruments

1065.201 Overview and general provisions.
1065.202 Data updating, recording, and control.
1065.205 Performance specifications for measurement instruments.

[[Page 828]]

         Measurement of Engine Parameters and Ambient Conditions

1065.210 Work input and output sensors.
1065.215 Pressure transducers, temperature sensors, and dewpoint 
          sensors.

                        Flow-Related Measurements

1065.220 Fuel flow meter.
1065.225 Intake-air flow meter.
1065.230 Raw exhaust flow meter.
1065.240 Dilution air and diluted exhaust flow meters.
1065.245 Sample flow meter for batch sampling.
1065.248 Gas divider.

                   CO and CO2 Measurements

1065.250 Nondispersive infra-red analyzer.

                        Hydrocarbon Measurements

1065.260 Flame ionization detector.
1065.265 Nonmethane cutter.
1065.267 Gas chromatograph.

                       NOX Measurements

1065.270 Chemiluminescent detector.
1065.272 Nondispersive ultraviolet analyzer.

                       O2 Measurements

1065.280 Paramagnetic and magnetopneumatic O2 detection 
          analyzers.

                     Air-to-Fuel Ratio Measurements

1065.284 Zirconia (ZrO2) analyzer.

                             PM Measurements

1065.290 PM gravimetric balance.
1065.295 PM inertial balance for field-testing analysis.

                Subpart D_Calibrations and Verifications

1065.301 Overview and general provisions.
1065.303 Summary of required calibration and verifications
1065.305 Verifications for accuracy, repeatability, and noise.
1065.307 Linearity verification.
1065.308 Continuous gas analyzer system-response and updating-recording 
          verification.
1065.309 Continuous gas analyzer uniform response verification.

         Measurement of Engine Parameters and Ambient Conditions

1065.310 Torque calibration.
1065.315 Pressure, temperature, and dewpoint calibration.

                        Flow-Related Measurements

1065.320 Fuel-flow calibration.
1065.325 Intake-flow calibration.
1065.330 Exhaust-flow calibration.
1065.340 Diluted exhaust flow (CVS) calibration.
1065.341 CVS and batch sampler verification (propane check).
1065.342 Sample dryer verification.
1065.345 Vacuum-side leak verification.

                   CO and CO2 Measurements

1065.350 H2O interference verification for CO2 
          NDIR analyzers.
1065.355 H2O and CO2 interference verification for 
          CO NDIR analyzers.

                        Hydrocarbon Measurements

1065.360 FID optimization and verification.
1065.362 Non-stoichiometric raw exhaust FID O2 interference 
          verification.
1065.365 Nonmethane cutter penetration fractions.

                       NOX Measurements

1065.370 CLD CO2 and H2O quench verification.
1065.372 NDUV analyzer HC and H2O interference verification.
1065.376 Chiller NO2 penetration.
1065.378 NO2-to-NO converter conversion verification.

                             PM Measurements

1065.390 PM balance verifications and weighing process verification.
1065.395 Inertial PM balance verifications.

        Subpart E_Engine Selection, Preparation, and Maintenance

1065.401 Test engine selection.
1065.405 Test engine preparation and maintenance.
1065.410 Maintenance limits for stabilized test engines.
1065.415 Durability demonstration.

         Subpart F_Performing an Emission Test in the Laboratory

1065.501 Overview.
1065.510 Engine mapping.
1065.512 Duty cycle generation.
1065.514 Cycle-validation criteria.
1065.520 Pre-test verification procedures and pre-test data collection.
1065.525 Engine starting, restarting, and shutdown.
1065.530 Emission test sequence.
1065.545 Validation of proportional flow control for batch sampling.
1065.550 Gas analyzer range validation, drift validation, and drift 
          correction.
1065.590 PM sample preconditioning and tare weighing.
1065.595 PM sample post-conditioning and total weighing.

[[Page 829]]

              Subpart G_Calculations and Data Requirements

1065.601 Overview.
1065.602 Statistics.
1065.610 Duty cycle generation.
1065.630 1980 international gravity formula.
1065.640 Flow meter calibration calculations.
1065.642 SSV, CFV, and PDP molar flow rate calculations.
1065.644 Vacuum-decay leak rate.
1065.645 Amount of water in an ideal gas.
1065.650 Emission calculations.
1065.655 Chemical balances of fuel, intake air, and exhaust.
1065.659 Removed water correction.
1065.660 THC and NMHC determination.
1065.665 THCE and NMHCE determination.
1065.667 Dilution air background emission correction.
1065.670 NOX intake-air humidity and temperature corrections.
1065.672 Drift correction.
1065.675 CLD quench verification calculations.
1065.690 Buoyancy correction for PM sample media.
1065.695 Data requirements.

    Subpart H_Engine Fluids, Test Fuels, Analytical Gases and Other 
                          Calibration Standards

1065.701 General requirements for test fuels.
1065.703 Distillate diesel fuel.
1065.705 Residual and intermediate residual fuel.
1065.710 Gasoline.
1065.715 Natural gas.
1065.720 Liquefied petroleum gas.
1065.740 Lubricants.
1065.745 Coolants.
1065.750 Analytical Gases.
1065.790 Mass standards.

                 Subpart I_Testing with Oxygenated Fuels

1065.801 Applicability.
1065.805 Sampling system.
1065.845 Response factor determination.
1065.850 Calculations.

    Subpart J_Field Testing and Portable Emission Measurement Systems

1065.901 Applicability.
1065.905 General provisions.
1065.910 PEMS auxiliary equipment for field testing.
1065.915 PEMS instruments.
1065.920 PEMS Calibrations and verifications.
1065.925 PEMS preparation for field testing.
1065.930 Engine starting, restarting, and shutdown.
1065.935 Emission test sequence for field testing.
1065.940 Emission calculations.

          Subpart K_Definitions and Other Reference Information

1065.1001 Definitions.
1065.1005 Symbols, abbreviations, acronyms, and units of measure.
1065.1010 Reference materials.

    Authority: 42 U.S.C. 7401-7671q.

    Source: 70 FR 40516, July 13, 2005, unless otherwise noted.



             Subpart A_Applicability and General Provisions



Sec.  1065.1  Applicability.

    (a) This part describes the procedures that apply to testing we 
require for the following engines or for vehicles using the following 
engines:
    (1) Model year 2010 and later heavy-duty highway engines we regulate 
under 40 CFR part 86. For earlier model years, manufacturers may use the 
test procedures in this part or those specified in 40 CFR part 86, 
subpart N, according to Sec.  1065.10.
    (2) Land-based nonroad diesel engines we regulate under 40 CFR part 
1039.
    (3) Large nonroad spark-ignition engines we regulate under 40 CFR 
part 1048.
    (4) Vehicles we regulate under 40 CFR part 1051 (such as snowmobiles 
and off-highway motorcycles) based on engine testing. See 40 CFR part 
1051, subpart F, for standards and procedures that are based on vehicle 
testing.
    (5) Stationary compression-ignition engines certified using the 
provisions of 40 CFR part 1039, as indicated under 40 CFR part 60, 
subpart IIII, the standard-setting part for these engines.
    (6) Stationary spark-ignition engines certified using provisions in 
40 CFR part 1048, as indicated under 40 CFR part 60, subpart JJJJ, the 
standard-setting part for these engines.
    (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) This part is addressed to you as a manufacturer, but it applies 
equally to anyone who does testing for you.
    (d) Paragraph (a) of this section identifies the parts of the CFR 
that define

[[Page 830]]

emission standards and other requirements for particular types of 
engines. In this part, we refer to each of these other parts generically 
as the ``standard-setting part.'' For example, 40 CFR part 1051 is 
always the standard-setting part for snowmobiles.
    (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 subject to this part and regulated under vehicle-
based standards, use good engineering judgment to interpret the term 
``engine'' in this part to include vehicles where appropriate.
    (g) For additional information regarding these test procedures, 
visit our Web site at www.epa.gov, and in particular http://www.epa.gov/
otaq/testingregs.htm.

[69 FR 39213, June 29, 2004, as amended at 71 FR 39185, July 11, 2006; 
73 FR 3613, Jan. 18, 2008]

    Effective Date Note: At 73 FR 37288, June 30, 2008, Sec.  1065.1 was 
revised, effective July 7, 2008. For the convenience of the user, the 
revised text is set forth as follows:



Sec.  1065.1  Applicability.

    (a) This part describes the procedures that apply to testing we 
require for the following engines or for vehicles using the following 
engines:
    (1) Locomotives we regulate under 40 CFR part 1033. For earlier 
model years, manufacturers may use the test procedures in this part or 
those specified in 40 CFR part 92 according to Sec.  1065.10.
    (2) Model year 2010 and later heavy-duty highway engines we regulate 
under 40 CFR part 86. For earlier model years, manufacturers may use the 
test procedures in this part or those specified in 40 CFR part 86, 
subpart N, according to Sec.  1065.10.
    (3) Nonroad diesel engines we regulate under 40 CFR part 1039 and 
stationary diesel engines that are certified to the standards in 40 CFR 
part 1039 as specified in 40 CFR part 60, subpart IIII. For earlier 
model years, manufacturers may use the test procedures in this part or 
those specified in 40 CFR part 89 according to Sec.  1065.10.
    (4) Marine diesel engines we regulate under 40 CFR part 1042. For 
earlier model years, manufacturers may use the test procedures in this 
part or those specified in 40 CFR part 94 according to Sec.  1065.10.
    (5) [Reserved]
    (6) Large nonroad spark-ignition engines we regulate under 40 CFR 
part 1048, and stationary engines that are certified to the standards in 
40 CFR part 1048 or as otherwise specified in 40 CFR part 60, subpart 
JJJJ.
    (7) Vehicles we regulate under 40 CFR part 1051 (such as snowmobiles 
and off-highway motorcycles) based on engine testing. See 40 CFR part 
1051, subpart F, for standards and procedures that are based on vehicle 
testing.
    (8) [Reserved]
    (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 EPA.
    (1) This part is addressed primarily to manufacturers of engines, 
vehicles, equipment, and vessels, 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 
that define emission standards and other requirements for particular 
types of engines. In this part, we refer to each of these other parts 
generically as the ``standard-setting part.'' For example, 40 CFR part 
1051 is always the standard-setting part for snowmobiles and part 86 is 
the standard-setting part for heavy-duty highway engines.
    (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 www.epa.gov, and in particular http://www.epa.gov/
otaq/testingregs.htm.

[[Page 831]]



Sec.  1065.2  Submitting information to EPA 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.
    (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).
    (c) We may void any certificates 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 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.
    (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.
    (e) See 40 CFR 1068.10 for provisions related to confidential 
information. Note however that under 40 CFR 2.301, emission data is 
generally not eligible for confidential treatment.

    Effective Date Note: At 73 FR 37289, June 30, 2008, Sec.  1065.2 was 
revised, effective July 7, 2008. For the convenience of the user, the 
revised text is set forth as follows:



Sec.  1065.2  Submitting information to EPA 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.
    (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).
    (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 
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.
    (e) See 40 CFR 1068.10 for provisions related to confidential 
information. Note however that under 40 CFR 2.301, 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) to verify that engines 
conform to the regulations.



Sec.  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 gases do I need to measure?
    (4) Does testing require full-flow dilute sampling? Is raw sampling 
prohibited? Is partial-flow sampling prohibited?
    (5) Do any unique specifications apply for test fuels?
    (6) What maintenance steps may I take before or between tests on an 
emission-data engine?

[[Page 832]]

    (7) Do any unique requirements apply to stabilizing emission levels 
on a new engine?
    (8) Do any unique requirements apply to test limits, such as ambient 
temperatures or pressures?
    (9) Is field testing required, and are there different emission 
standards or procedures that apply to field testing?
    (10) Are there any emission standards specified at particular 
engine-operating conditions or ambient conditions?
    (11) 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:

------------------------------------------------------------------------
                                          Describes these specifications
           This subpart . . .                  or procedures . . .
------------------------------------------------------------------------
Subpart A..............................  Applicability and general
                                          provisions.
Subpart B..............................  Equipment for testing.
Subpart C..............................  Measurement instruments for
                                          testing.
Subpart D..............................  Calibration and performance
                                          verifications for measurement
                                          systems.
Subpart E..............................  How to prepare engines for
                                          testing, including service
                                          accumulation.
Subpart F..............................  How to run an emission test.
Subpart G..............................  Test procedure calculations.
Subpart H..............................  Fuels, engine fluids,
                                          analytical gases, and other
                                          calibration standards for
                                          testing.
Subpart I..............................  Special procedures related to
                                          oxygenated fuels.
Subpart J..............................  How to test with portable
                                          emission measurement systems
                                          (PEMS).
Subpart K..............................  Definitions, abbreviations, and
                                          other reference information.
------------------------------------------------------------------------


    Effective Date Note: At 73 FR 37289,June 30, 2008, Sec.  1065.5 was 
revised, effective July 7, 2008. For the convenience of the user, the 
revised text is set forth as follows:



Sec.  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 gases do I need to measure?
    (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 Sec.   1065.5.--Description of Part 1065 Subparts
------------------------------------------------------------------------
                                   Describes these specifications or
         This subpart                          procedures
------------------------------------------------------------------------
Subpart A....................  Applicability and general provisions.
Subpart B....................  Equipment for testing.
Subpart C....................  Measurement instruments for testing.
Subpart D....................  Calibration and performance verifications
                                for measurement systems.
Subpart E....................  How to prepare engines for testing,
                                including service accumulation.
Subpart F....................  How to run an emission test over a
                                predetermined duty cycle.
Subpart G....................  Test procedure calculations.
Subpart H....................  Fuels, engine fluids, analytical gases,
                                and other calibration standards.
Subpart I....................  Special procedures related to oxygenated
                                fuels.
Subpart J....................  How to test with portable emission
                                measurement systems (PEMS).
------------------------------------------------------------------------


[[Page 833]]



Sec.  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 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 Sec.  
1065.10(c)(2) and ``alternate procedures'' are those allowed by Sec.  
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. However, in unusual 
circumstances 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. 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. The 
following situations illustrate examples that may require special 
procedures:
    (i) 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

[[Page 834]]

part's procedures and ask to use a different approach.
    (ii) Your electronic control module requires specific input signals 
that are not available during dynamometer testing. In this case, tell us 
in writing what signals you will simulate, such as vehicle speed or 
transmission signals, and explain why these signals are necessary for 
representative testing.
    (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 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 ask to use data collected 
using procedures specified in the previously applicable version of this 
part 1065. 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 allowed procedures, or more accurate or more precise than allowed 
procedures. You may request to use a particular device or method for 
laboratory testing even though it was originally designed for field 
testing. The following provisions apply to requests for alternate 
procedures:
    (i) Applications. Follow the instructions in Sec.  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) 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.

    Effective Date Note: At 73 FR 37289, June 30, 2008, Sec.  1065.10 
was amended by revising paragraphs (c)(1), (c)(2), (c)(6) and (c)(7) 
introductory text, effective July 7, 2008. For the convenience of the 
user, the revised text is set forth as follows:



Sec.  1065.10  Other procedures.

                                * * * * *

    (c) * * *
    (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. 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

[[Page 835]]

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.

                                * * * * *

    (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 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, or procedures that 
are more accurate or more precise than the allowed procedures. The 
following provisions apply to requests for alternate procedures:

                                * * * * *



Sec.  1065.12  Approval of alternate procedures.

    (a) To get approval for an alternate procedure under Sec.  
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. 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 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:
    (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,

[[Page 836]]

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. For any proportioning or integrating procedure, 
such as a partial-flow dilution system, you should compare the alternate 
procedure's theoretical response to the expected response of 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-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-
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 Sec.  1065.602 to evaluate whether your proposed 
alternate procedure is equivalent to the specified procedure. 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 Sec.  
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 t value, tcrit, tabulated 
in Sec.  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

[[Page 837]]

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, Fcrit, tabulated 
in Sec.  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 Fcrit, 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.

    Effective Date Note: At 73 FR 37290, June 30, 2008, Sec.  1065.12 
was amended by revising paragraphs (a) and (d)(1), effective July 7, 
2008. For the convenience of the user, the revised text is set forth as 
follows:



Sec.  1065.12  Approval of alternate procedures.

    (a) To get approval for an alternate procedure under Sec.  
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 
supplemental information showing that your alternate procedure is 
consistently and reliably at least as accurate and repeatable as the 
specified procedure.

                                * * * * *

    (d) * * *
    (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.



Sec.  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[middot]hr) (or g/(hp[middot]hr)), for the following 
constituents:
    (1) Total oxides of nitrogen, NOX.
    (2) Hydrocarbons (HC), which may be expressed in the following ways:
    (i) Total hydrocarbons, THC.
    (ii) Nonmethane hydrocarbons, NMHC, which results from subtracting 
methane (CH4) from THC.

[[Page 838]]

    (iii) Total hydrocarbon-equivalent, THCE, which results from 
adjusting THC mathematically to be equivalent on a carbon-mass basis.
    (iv) 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.
    (b) Note that some engines are not subject to standards for all the 
emission constituents identified in paragraph (a) of this section.
    (c) We set brake-specific emission standards over test intervals, as 
follows:
    (1) Engine operation. Engine operation is specified over a test 
interval. A test interval is the time over which an engine's total mass 
of emissions and its total work are determined. Refer to the standard-
setting part for the specific test intervals that apply to each engine. 
Testing may involve measuring emissions and work during the following 
types of engine operation:
    (i) Laboratory testing. Under this type of testing, you determine 
brake-specific emissions for duty-cycle testing by using an engine 
dynamometer in a laboratory. This typically consists of one or more test 
intervals, each defined by a duty cycle, which is a sequence of speeds 
and torques that an engine must follow. If the standard-setting part 
allows it, you may also simulate field testing by running on an engine 
dynamometer in a laboratory.
    (ii) Field testing. This type of testing consists of normal in-use 
engine operation while an engine is installed in a vehicle. The 
standard-setting part specifies how test intervals are defined for field 
testing.
    (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 
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 Sec.  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. For laboratory testing, 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

[[Page 839]]

over a test interval. For field testing, refer to the standard-setting 
part and Sec.  1065.915 for selecting an appropriate value for brake-
specific fuel consumption.
    (d) Refer to Sec.  1065.650 for calculations to determine brake-
specific emissions.
    (e) The following figure illustrates the allowed measurement 
configurations described in this part 1065:


[[Page 840]]


[GRAPHIC] [TIFF OMITTED] TR13JY05.011


    Effective Date Note: At 73 FR 37290, June 30, 2008, Sec.  1065.15 
was amended by revising paragraphs (c)(1) and (e) and adding paragraph 
(f), effective July 7, 2008. For the convenience of the user, the added 
and revised text is set forth as follows:

[[Page 841]]



Sec.  1065.15  Overview of procedures for laboratory and field testing.

                                * * * * *

    (c) * * *
    (1) Engine operation. Engine operation is specified over a test 
interval. A test interval is the time over which an engine's total mass 
of emissions and its total work are determined. Refer to the standard-
setting part for the specific test intervals that apply to each engine. 
Testing may involve measuring emissions and work in a laboratory-type 
environment or in the field, as described in paragraph (f) of this 
section.

                                * * * * *

    (e) The following figure illustrates the allowed measurement 
configurations described in this part 1065:

[[Page 842]]

[GRAPHIC] [TIFF OMITTED] TR06MY08.018

    (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-

[[Page 843]]

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 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''.)



Sec.  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 Sec.  
1065.1010. This document is available on the Internet at http://
physics.nist.gov/Pubs/SP811/contents.html. Note the following 
exceptions:
    (1) We designate rotational frequency, fn, of an engine's crankshaft 
in revolutions per minute (rev/min), rather than the SI unit of 
reciprocal seconds (1/s). This is based on the commonplace use of rev/
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[middot]hr)), rather than the SI unit of grams per megajoule (g/
MJ). This is based on the fact that engines are generally subject to 
emission standards expressed in g/kW[middot]hr. If we specify engine 
standards in grams per horsepower[middot]hour (g/(hp[middot]hr)) in the 
standard-setting part, convert units as specified in paragraph (d) of 
this section.
    (3) We designate temperatures in units of degrees Celsius ( [deg]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 [deg]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, [micro]mol/mol, formerly ppm (volume).
    (2) For all substances, [micro]m\3\/m\3\, 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.
    (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 Sec.  
1065.645.
    (3) Emission standards. If your standard is in g/(hp[middot]hr) 
units, convert kW to hp before any rounding by using the conversion 
factor of 1 hp ( 550 ft[middot]lbf/s) = 0.7456999 kW. Round the final 
value for comparison to the applicable standard.
    (e) Rounding. Unless the standard-setting part specifies otherwise, 
round

[[Page 844]]

only final values, not 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.
    (f) Interpretation of ranges. In this part, we specify ranges such 
as ``10% of maximum pressure'', ``(40 to 50) 
kPa'', or ``(30 10) kPa''. Interpret a range as a 
tolerance unless we explicitly identify it as an accuracy, 
repeatability, linearity, or noise specification. See Sec.  1065.1001 
for the definition of Tolerance.
    (g) Scaling of specifications with respect to a 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 emission 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. 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 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 Sec.  1065.602 for 
information needed to estimate and calculate flow-weighted means.

    Effective Date Note: At 73 FR 37292, June 30, 2008, Sec.  1065.20 
was amended by revising paragraphs (a)(2), (b)(2), (f), and (g), 
effective July 7, 2008. For the convenience of the user, the revised 
text is set forth as follows:



Sec.  1065.20  Units of measure and overview of calculations.

    (a) * * *
    (2) We designate brake-specific emissions in grams per kilowatt-hour 
(g/(kW[middot]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[middot]hr. If 
we specify engine standards in grams per horsepower[middot]hour (g/
(hp[middot]hr)) in the standard-setting part, convert units as specified 
in paragraph (d) of this section.

                                * * * * *

    (b) * * *
    (2) For all substances, cm\3\/m\3\, formerly ppm (volume).

                                * * * * *

    (f) Interpretation of ranges. Interpret a range as a tolerance 
unless we explicitly identify it as an accuracy, repeatability, 
linearity, or noise specification. See Sec.  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 
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 Sec.  1065.602 for information needed to 
estimate and calculate flow-weighted means. Wherever a specification is

[[Page 845]]

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.



Sec.  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.



                   Subpart B_Equipment Specifications



Sec.  1065.101  Overview.

    (a) This subpart specifies equipment, other than measurement 
instruments, related to emission testing. The provisions of this subpart 
apply for all testing in laboratories. See subpart J of this part to 
determine which of the provisions of this subpart apply for field 
testing. This includes three broad categories of equipment--
dynamometers, engine fluid systems (such as fuel and intake-air 
systems), and emission-sampling hardware.
    (b) Other related subparts in this part identify measurement 
instruments (subpart C), describe how to evaluate the performance of 
these instruments (subpart D), and specify engine fluids and analytical 
gases (subpart H).
    (c) Subpart J of this part describes additional equipment that is 
specific to field testing.
    (d) Figures 1 and 2 of this section illustrate some of the possible 
configurations of laboratory equipment. These figures are schematics 
only; we do not require exact conformance to them. Figure 1 of this 
section illustrates the equipment specified in this subpart and gives 
some references to sections in this subpart. Figure 2 of this section 
illustrates some of the possible configurations of a full-flow dilution, 
constant-volume sampling (CVS) system. Not all possible CVS 
configurations are shown.


[[Page 846]]


[GRAPHIC] [TIFF OMITTED] TR13JY05.012


[[Page 847]]


[GRAPHIC] [TIFF OMITTED] TR13JY05.013


    Effective Date Note: At 73 FR 37292, June 30, 2008, Sec.  1065.101 
was amended by revising paragraph (a) and adding paragraph (e) before 
the figures, effective July 7, 2008. For the convenience of the user, 
the added and revised text is set forth as follows:



Sec.  1065.101  Overview.

    (a) This subpart specifies equipment, other than measurement 
instruments, related to emission testing. The provisions of this subpart 
apply for all engine dynamometer testing where engine speeds and loads 
are controlled to follow a prescribed duty cycle. See subpart J of this 
part to determine which of the provisions of this subpart apply for 
field testing. This equipment includes three broad categories-
dynamometers, engine fluid systems (such as fuel and intake-air 
systems), and emission-sampling hardware.

                                * * * * *

    (e) Dynamometer testing involves engine operation over speeds and 
loads that are controlled to a prescribed duty cycle. Field testing 
involves measuring emissions over normal in-use operation of a vehicle 
or piece of equipment. Field testing does not involve operating an 
engine over a prescribed duty cycle.

                                * * * * *



Sec.  1065.110  Work inputs and outputs, accessory work, and operator demand.

    (a) Work. Use good engineering judgment to simulate all engine work 
inputs and outputs as they typically would operate in use. Account for 
work inputs and outputs during an emission test by measuring them; or, 
if they are small, you may show by engineering analysis that 
disregarding them does not affect your ability to determine the net work 
output by more than 0.5% of the net reference work 
output over the test interval. Use equipment to simulate the specific 
types of work, as follows:

[[Page 848]]

    (1) Shaft work. Use an engine dynamometer that is able to meet the 
cycle-validation criteria in Sec.  1065.514 over each applicable duty 
cycle.
    (i) You may use eddy-current and water-brake dynamometers for any 
testing that does not involve engine motoring, which is identified by 
negative torque commands in a reference duty cycle. See the standard 
setting part for reference duty cycles that are applicable to your 
engine.
    (ii) You may use alternating-current or direct-current motoring 
dynamometers for any type of testing.
    (iii) You may use one or more dynamometers.
    (2) Electrical work. Use one or more of the following to simulate 
electrical work:
    (i) Use storage batteries or capacitors that are of the type and 
capacity installed in use.
    (ii) Use motors, generators, and alternators that are of the type 
and capacity installed in use.
    (iii) Use a resistor load bank to simulate electrical loads.
    (3) Pump, compressor, and turbine work. Use pumps, compressors, and 
turbines that are of the type and capacity installed in use. Use working 
fluids that are of the same type and thermodynamic state as normal in-
use operation.
    (b) Laboratory work inputs. You may supply any laboratory inputs of 
work to the engine. For example, you may supply electrical work to the 
engine to operate a fuel system, and as another example you may supply 
compressor work to the engine to actuate pneumatic valves. We may ask 
you to show by engineering analysis your accounting of laboratory work 
inputs to meet the criterion in paragraph (a) of this section.
    (c) Engine accessories. You must either install or account for the 
work of engine accessories required to fuel, lubricate, or heat the 
engine, circulate coolant to the engine, or to operate aftertreatment 
devices. Operate the engine with these accessories installed or 
accounted for during all testing operations, including mapping. If these 
accessories are not powered by the engine during a test, account for the 
work required to perform these functions from the total work used in 
brake-specific emission calculations. For air-cooled engines only, 
subtract externally powered fan work from total work. We may ask you to 
show by engineering analysis your accounting of engine accessories to 
meet the criterion in paragraph (a) of this section.
    (d) Engine starter. You may install a production-type starter.
    (e) Operator demand for shaft work. Command the operator demand and 
the dynamometer(s) to follow the prescribed duty cycle with set points 
for engine speed and torque at 5 Hz (or more frequently) for transient 
testing or 1 Hz (or more frequently) for steady-state testing. Use a 
mechanical or electronic input to control operator demand such that the 
engine is able to meet the validation criteria in Sec.  1065.514 over 
each applicable duty cycle. Record feedback values for engine speed and 
torque at 5 Hz or more frequently for evaluating performance relative to 
the cycle validation criteria. Using good engineering judgment, you may 
improve control of operator demand by altering on-engine speed and 
torque controls. However, if these changes result in unrepresentative 
testing, you must notify us and recommend other test procedures under 
Sec.  1065.10(c)(1).

    Effective Date Note: At 73 FR 37292, June 30, 2008, Sec.  1065.110 
was amended by revising paragraphs (a) introductory text, and (e) and 
adding paragraphs (a)(1)(iv) and (f), effective July 7, 2008. For the 
convenience of the user, the added and revised text is set forth as 
follows:



Sec.  1065.110  Work inputs and outputs, accessory work, and operator 
          demand.

    (a) Work. Use good engineering judgment to simulate all engine work 
inputs and outputs as they typically would operate in use. Account for 
work inputs and outputs during an emission test by measuring them; or, 
if they are small, you may show by engineering analysis that 
disregarding them does not affect your ability to determine the net work 
output by more than  0.5% of the net expected work 
output over the test interval. Use equipment to simulate the specific 
types of work, as follows:
    (1) * * *
    (iv) You may use any device that is already installed on a vehicle, 
equipment, or vessel to absorb work from the engine's output shaft(s). 
Examples of these types of devices

[[Page 849]]

include a vessel's propeller and a locomotive's generator.

                                * * * * *

    (e) Operator demand for shaft work. Operator demand is defined in 
Sec.  1065.1001. Command the operator demand and the dynamometer(s) to 
follow a prescribed duty cycle with set points for engine speed and 
torque as specified in Sec.  1065.512. Refer to the standard-setting 
part to determine the specifications for your duty cycle(s). Use a 
mechanical or electronic input to control operator demand such that the 
engine is able to meet the validation criteria in Sec.  1065.514 over 
each applicable duty cycle. Record feedback values for engine speed and 
torque as specified in Sec.  1065.512. Using good engineering judgment, 
you may improve control of operator demand by altering on-engine speed 
and torque controls. However, if these changes result in 
unrepresentative testing, you must notify us and recommend other test 
procedures under Sec.  1065.10(c)(1).
    (f) Other engine inputs. If your electronic control module requires 
specific input signals that are not available during dynamometer 
testing, such as vehicle speed or transmission signals, you may simulate 
the signals using good engineering judgment. Keep records that describe 
what signals you simulate and explain why these signals are necessary 
for representative testing.



Sec.  1065.120  Fuel properties and fuel temperature and pressure.

    (a) Use fuels as specified in subpart H of this part.
    (b) If the engine manufacturer specifies fuel temperature and 
pressure tolerances and the location where they are to be measured, then 
measure the fuel temperature and pressure at the specified location to 
show that you are within these tolerances throughout testing.
    (c) If the engine manufacturer does not specify fuel temperature and 
pressure tolerances, use good engineering judgment to set and control 
fuel temperature and pressure in a way that represents typical in-use 
fuel temperatures and pressures.

    Effective Date Note: At 73 FR 37293, June 30, 2008, Sec.  1065.120 
was amended by revising paragraph (a), effective July 7, 2008. For the 
convenience of the user, the revised text is set forth as follows:



Sec.  1065.120  Fuel properties and fuel temperature and pressure.

    (a) Use fuels as specified in the standard-setting part, or as 
specified in subpart H of this part if fuels are not specified in the 
standard-setting part.

                                * * * * *



Sec.  1065.122  Engine cooling and lubrication.

    (a) Engine cooling. Cool the engine during testing so its intake-
air, oil, coolant, block, and head temperatures are within their 
expected ranges for normal operation. You may use laboratory auxiliary 
coolers and fans.
    (1) If you use laboratory auxiliary fans you must account for work 
input to the fan(s) according to Sec.  1065.110.
    (2) See Sec.  1065.125 for more information related to intake-air 
cooling.
    (3) See Sec.  1065.127 for more information related to exhaust gas 
recirculation cooling.
    (4) Measure temperatures at the manufacturer-specified locations. If 
the manufacturer does not specify temperature measurement locations, 
then use good engineering judgment to monitor intake-air, oil, coolant, 
block, and head temperatures to ensure that they are in their expected 
ranges for normal operation.
    (b) Forced cooldown. You may install a forced cooldown system for an 
engine and an exhaust aftertreatment device according to Sec.  
1065.530(a)(1).
    (c) Lubricating oil. Use lubricating oils specified in Sec.  
1065.740.
    (d) Coolant. For liquid-cooled engines, use coolant as specified in 
Sec.  1065.745.

    Effective Date Note: At 73 FR 37293, June 30, 2008, Sec.  1065.122 
was amended by revising paragraphs (a) introductory text, (a)(1), and 
(c), effective July 7, 2008. For the convenience of the user, the 
revised text is set forth as follows:



Sec.  1065.122  Engine cooling and lubrication.

    (a) Engine cooling. Cool the engine during testing so its intake-
air, oil, coolant, block, and head temperatures are within their 
expected ranges for normal operation. You may use auxiliary coolers and 
fans.
    (1) For air-cooled engines only, if you use auxiliary fans you must 
account for work input to the fan(s) according to Sec.  1065.110.

                                * * * * *

    (c) Lubricating oil. Use lubricating oils specified in Sec.  
1065.740. For two-stroke engines that involve a specified mixture of 
fuel and lubricating oil, mix the lubricating oil with

[[Page 850]]

the fuel according to the manufacturer's specifications.

                                * * * * *



Sec.  1065.125  Engine intake air.

    (a) Use the intake-air system installed on the engine or one that 
represents a typical in-use configuration. This includes the charge-air 
cooling and exhaust gas recirculation systems.
    (b) Measure temperature, humidity, and atmospheric pressure near the 
entrance to the engine's air filter, or at the inlet to the air intake 
system for engines that have no air filter. You may use a shared 
atmospheric pressure meter as long as your equipment for handling intake 
air maintains ambient pressure where you test the engine within 1 kPa of the shared atmospheric pressure. You may use a 
shared humidity measurement for intake air as long as your equipment for 
handling intake air maintains dewpoint where you test the engine to 
within 0.5 [deg]C of the shared humidity 
measurement.
    (c) Use an air-intake restriction that represents production 
engines. Make sure the intake-air restriction is between the 
manufacturer's specified maximum for a clean filter and the 
manufacturer's specified maximum allowed. Measure the static 
differential pressure of the restriction at the location and at the 
speed and torque set points specified by the manufacturer. If the 
manufacturer does not specify a location, measure this pressure upstream 
any turbocharger or exhaust gas recirculation system connection to the 
intake air system. If the manufacturer does not specify speed and torque 
points, measure this pressure while the engine outputs maximum power. As 
the manufacturer, you are liable for emission compliance for all values 
up to the maximum restriction you specify for a particular engine.
    (d) This paragraph (d) includes provisions for simulating charge-air 
cooling in the laboratory. This approach is described in paragraph 
(d)(1) of this section. Limits on using this approach are described in 
paragraphs (d)(2) and (3) of this section.
    (1) Use a charge-air cooling system with a total intake-air capacity 
that represents production engines' in-use installation. Maintain 
coolant conditions as follows:
    (i) Maintain a coolant temperature of at least 20 [deg]C at the 
inlet to the charge-air cooler throughout testing.
    (ii) At maximum engine power, set the coolant flow rate to achieve 
an air temperature within 5 [deg]C of the value 
specified by the manufacturer at the charge-air cooler outlet. Measure 
the air-outlet temperature at the location specified by the 
manufacturer. Use this coolant flow rate set point throughout testing.
    (2) Using a constant flow rate as described in paragraph (d)(1)(ii) 
of this section may result in unrepresentative overcooling of the intake 
air. If this causes any regulated emission to decrease, then you may 
still use this approach, but only if the effect on emissions is smaller 
than the degree to which you meet the applicable emission standards. If 
the effect on emissions is larger than the degree to which you meet the 
applicable emission standards, you must use a variable flow rate that 
controls intake-air temperatures to be representative of in-use 
operation.
    (3) This approach does not apply for field testing. You may not 
correct measured emission levels from field testing to account for any 
differences caused by the simulated cooling in the laboratory.

    Effective Date Note: At 73 FR 37293, June 30, 2008, Sec.  1065.125 
was amended by revising paragraphs (c) and (d) and adding paragraph (e), 
effective July 7, 2008. For the convenience of the user, the added and 
revised text is set forth as follows:



Sec.  1065.125  Engine intake air.

                                * * * * *

    (c) Unless stated otherwise in the standard-setting part, maintain 
the temperature of intake air to (25  5) [deg]C, 
as measured upstream of any engine component.
    (d) Use an intake-air restriction that represents production 
engines. Make sure the intake-air restriction is between the 
manufacturer's specified maximum for a clean filter and the 
manufacturer's specified maximum allowed. Measure the static 
differential pressure of the restriction at the location and at the 
speed and torque set points specified by the manufacturer. If the 
manufacturer does not specify a location, measure this pressure upstream 
of any turbocharger

[[Page 851]]

or exhaust gas recirculation system connection to the intake air system. 
If the manufacturer does not specify speed and torque points, measure 
this pressure while the engine outputs maximum power. As the 
manufacturer, you are liable for emission compliance for all values up 
to the maximum restriction you specify for a particular engine.
    (e) This paragraph (e) includes provisions for simulating charge-air 
cooling in the laboratory. This approach is described in paragraph 
(e)(1) of this section. Limits on using this approach are described in 
paragraphs (e)(2) and (3) of this section.
    (1) Use a charge-air cooling system with a total intake-air capacity 
that represents production engines' in-use installation. Design any 
laboratory charge-air cooling system to minimize accumulation of 
condensate. Drain any accumulated condensate and completely close all 
drains before emission testing. Keep the drains closed during the 
emission test. Maintain coolant conditions as follows:
    (i) Maintain a coolant temperature of at least 20 [deg]C at the 
inlet to the charge-air cooler throughout testing.
    (ii) At the engine conditions specified by the manufacturer, set the 
coolant flow rate to achieve an air temperature within  5 [deg]C of the value specified by the manufacturer 
after the charge-air cooler's outlet. Measure the air-outlet temperature 
at the location specified by the manufacturer. Use this coolant flow 
rate set point throughout testing. If the engine manufacturer does not 
specify engine conditions or the corresponding charge-air cooler air 
outlet temperature, set the coolant flow rate at maximum engine power to 
achieve a charge-air cooler air outlet temperature that represents in-
use operation.
    (iii) If the engine manufacturer specifies pressure-drop limits 
across the charge-air cooling system, ensure that the pressure drop 
across the charge-air cooling system at engine conditions specified by 
the manufacturer is within the manufacturer's specified limit(s). 
Measure the pressure drop at the manufacturer's specified locations.
    (2) The objective of this section is to produce emission results 
that are representative of in-use operation. If good engineering 
judgment indicates that the specifications in this section would result 
in unrepresentative testing (such as overcooling of the intake air), you 
may use more sophisticated setpoints and controls of charge-air pressure 
drop, coolant temperature, and flowrate to achieve more representative 
results.
    (3) This approach does not apply for field testing. You may not 
correct measured emission levels from field testing to account for any 
differences caused by the simulated cooling in the laboratory.



Sec.  1065.127  Exhaust gas recirculation.

    Use the exhaust gas recirculation (EGR) system installed with the 
engine or one that represents a typical in-use configuration. This 
includes any applicable EGR cooling devices.



Sec.  1065.130  Engine exhaust.

    (a) General. Use the exhaust system installed with the engine or one 
that represents a typical in-use configuration. This includes any 
applicable aftertreatment devices.
    (b) Aftertreatment configuration. If you do not use the exhaust 
system installed with the engine, configure any aftertreatment devices 
as follows:
    (1) Position any aftertreatment device so its distance from the 
nearest exhaust manifold flange or turbocharger outlet is within the 
range specified by the engine manufacturer in the application for 
certification. If this distance is not specified, position 
aftertreatment devices to represent typical in-use vehicle 
configurations.
    (2) You may use laboratory exhaust tubing upstream of any 
aftertreatment device that is of diameter(s) typical of in-use 
configurations. If you use laboratory exhaust tubing upstream of any 
aftertreatment device, position each aftertreatment device according to 
paragraph (b)(1) of this section.
    (c) Sampling system connections. Connect an engine's exhaust system 
to any raw sampling location or dilution stage, as follows:
    (1) Minimize laboratory exhaust tubing lengths and use a total 
length of laboratory tubing of no more than 10 m or 50 outside 
diameters, whichever is greater. If laboratory exhaust tubing consists 
of several different outside tubing diameters, count the number of 
diameters of length of each individual diameter, then sum all the 
diameters to determine the total length of exhaust tubing in diameters. 
Use the mean outside diameter of any converging or diverging sections of 
tubing. Use outside hydraulic diameters of any noncircular sections.
    (2) You may install short sections of flexible laboratory exhaust 
tubing at any location in the engine or laboratory exhaust systems. You 
may use up to a combined total of 2 m or 10 outside diameters of 
flexible exhaust tubing.

[[Page 852]]

    (3) Insulate any laboratory exhaust tubing downstream of the first 
25 outside diameters of length.
    (4) Use laboratory exhaust tubing materials that are smooth-walled, 
electrically conductive, and not reactive with exhaust constituents. 
Stainless steel is an acceptable material.
    (5) We recommend that you use laboratory exhaust tubing that has 
either a wall thickness of less than 2 mm or is air gap-insulated to 
minimize temperature differences between the wall and the exhaust.
    (d) In-line instruments. You may insert instruments into the 
laboratory exhaust tubing, such as an in-line smoke meter. If you do 
this, you may leave a length of up to 5 outside diameters of laboratory 
exhaust tubing uninsulated on each side of each instrument, but you must 
leave a length of no more than 25 outside diameters of laboratory 
exhaust tubing uninsulated in total, including any lengths adjacent to 
in-line instruments.
    (e) Grounding. Electrically ground the entire exhaust system.
    (f) Forced cooldown. You may install a forced cooldown system for an 
exhaust aftertreatment device according to Sec.  1065.530(a)(1)(i).
    (g) Exhaust restriction. Use an exhaust restriction that represents 
the performance of production engines. Make sure the exhaust restriction 
set point is either (80 to 100) % of the maximum exhaust restriction 
specified by the manufacturer; or if the maximum is 5 kPa or less, make 
sure the set point is no less than 1.0 kPa from the maximum. For 
example, if the maximum back pressure is 4.5 kPa, do not use an exhaust 
restriction set point that is less than 3.5 kPa. Measure and set this 
pressure at the location and at the speed, torque and aftertreatment set 
points specified by the manufacturer. As the manufacturer, you are 
liable for emission compliance for all values up to the maximum 
restriction you specify for a particular engine.
    (h) Open crankcase emissions. If the standard-setting part requires 
measuring open crankcase emissions, you may either measure open 
crankcase emissions separately using a method that we approve in 
advance, or route open crankcase emissions directly into the exhaust 
system for emission measurement as follows:
    (1) Use laboratory tubing materials that are smooth-walled, 
electrically conductive, and not reactive with crankcase emissions. 
Stainless steel is an acceptable material.
    Minimize tube lengths. We also recommend using heated or thin-walled 
or air gap-insulated tubing to minimize temperature differences between 
the wall and the crankcase emission constituents.
    (2) Minimize the number of bends in the laboratory crankcase tubing 
and maximize the radius of any unavoidable bend.
    (3) Use laboratory crankcase exhaust tubing that meets the engine 
manufacturer's specifications for crankcase back pressure.
    (4) Connect the crankcase exhaust tubing into the raw exhaust 
downstream of any aftertreatment system, downstream of any installed 
exhaust restriction, and sufficiently upstream of any sample probes to 
ensure complete mixing with the engine's exhaust before sampling. Extend 
the crankcase exhaust tube into the free stream of exhaust to avoid 
boundary-layer effects and to promote mixing. You may orient the 
crankcase exhaust tube's outlet in any direction relative to the raw 
exhaust flow.

    Effective Date Note: At 73 FR 37293, June 30, 2008, Sec.  1065.130 
was revised, effective July 7, 2008. For the convenience of the user, 
the revised text is set forth as follows:



Sec.  1065.130  Engine exhaust.

    (a) General. Use the exhaust system installed with the engine or one 
that represents a typical in-use configuration. This includes any 
applicable aftertreatment devices.
    (b) Aftertreatment configuration. If you do not use the exhaust 
system installed with the engine, configure any aftertreatment devices 
as follows:
    (1) Position any aftertreatment device so its distance from the 
nearest exhaust manifold flange or turbocharger outlet is within the 
range specified by the engine manufacturer in the application for 
certification. If this distance is not specified, position 
aftertreatment devices to represent typical in-use vehicle 
configurations.
    (2) You may use exhaust tubing that is not from the in-use exhaust 
system upstream of any aftertreatment device that is of diameter(s) 
typical of in-use configurations. If you

[[Page 853]]

use exhaust tubing that is not from the in-use exhaust system upstream 
of any aftertreatment device, position each aftertreatment device 
according to paragraph (b)(1) of this section.
    (c) Sampling system connections. Connect an engine's exhaust system 
to any raw sampling location or dilution stage, as follows:
    (1) Minimize laboratory exhaust tubing lengths and use a total 
length of laboratory tubing of no more than 10 m or 50 outside 
diameters, whichever is greater. The start of laboratory exhaust tubing 
should be specified as the exit of the exhaust manifold, turbocharger 
outlet, last aftertreatment device, or the in-use exhaust system, 
whichever is furthest downstream. The end of laboratory exhaust tubing 
should be specified as the sample point, or first point of dilution. If 
laboratory exhaust tubing consists of several different outside tubing 
diameters, count the number of diameters of length of each individual 
diameter, then sum all the diameters to determine the total length of 
exhaust tubing in diameters. Use the mean outside diameter of any 
converging or diverging sections of tubing. Use outside hydraulic 
diameters of any noncircular sections. For multiple stack configurations 
where all the exhaust stacks are combined, the start of the laboratory 
exhaust tubing may be taken at the last joint of where all the stacks 
are combined.
    (2) You may install short sections of flexible laboratory exhaust 
tubing at any location in the engine or laboratory exhaust systems. You 
may use up to a combined total of 2 m or 10 outside diameters of 
flexible exhaust tubing.
    (3) Insulate any laboratory exhaust tubing downstream of the first 
25 outside diameters of length.
    (4) Use laboratory exhaust tubing materials that are smooth-walled, 
electrically conductive, and not reactive with exhaust constituents. 
Stainless steel is an acceptable material.
    (5) We recommend that you use laboratory exhaust tubing that has 
either a wall thickness of less than 2 mm or is air gap-insulated to 
minimize temperature differences between the wall and the exhaust.
    (6) We recommend that you connect multiple exhaust stacks from a 
single engine into one stack upstream of any emission sampling. To 
ensure mixing of the multiple exhaust streams before emission sampling, 
you may configure the exhaust system with turbulence generators, such as 
orifice plates or fins, to achieve good mixing. We recommend a minimum 
Reynolds number, Re#, of 4000 for the combined exhaust stream, where Re# 
is based on the inside diameter of the single stack. Re# is defined in 
Sec.  1065.640.
    (d) In-line instruments. You may insert instruments into the 
laboratory exhaust tubing, such as an in-line smoke meter. If you do 
this, you may leave a length of up to 5 outside diameters of laboratory 
exhaust tubing uninsulated on each side of each instrument, but you must 
leave a length of no more than 25 outside diameters of laboratory 
exhaust tubing uninsulated in total, including any lengths adjacent to 
in-line instruments.
    (e) Leaks. Minimize leaks sufficiently to ensure your ability to 
demonstrate compliance with the applicable standards. We recommend 
performing a chemical balance of fuel, intake air, and exhaust according 
to Sec.  1065.655 to verify exhaust system integrity.
    (f) Grounding. Electrically ground the entire exhaust system.
    (g) Forced cooldown. You may install a forced cooldown system for an 
exhaust aftertreatment device according to Sec.  1065.530(a)(1)(i).
    (h) Exhaust restriction. As the manufacturer, you are liable for 
emission compliance for all values up to the maximum restriction(s) you 
specify for a particular engine. Measure and set exhaust restriction(s) 
at the location(s) and at the engine speed and torque values specified 
by the manufacturer. Also, for variable-restriction aftertreatment 
devices, measure and set exhaust restriction(s) at the aftertreatment 
condition (degreening/aging and regeneration/loading level) specified by 
the manufacturer. If the manufacturer does not specify a location, 
measure this pressure downstream of any turbocharger. If the 
manufacturer does not specify speed and torque points, measure pressure 
while the engine produces maximum power. Use an exhaust-restriction 
setpoint that represents a typical in-use value, if available. If a 
typical in-use value for exhaust restriction is not available, set the 
exhaust restriction at (80 to 100)% of the maximum exhaust restriction 
specified by the manufacturer, or if the maximum is 5 kPa or less, the 
set point must be no less than 1.0 kPa from the maximum. For example, if 
the maximum back pressure is 4.5 kPa, do not use an exhaust restriction 
set point that is less than 3.5 kPa.
    (i) Open crankcase emissions. If the standard-setting part requires 
measuring open crankcase emissions, you may either measure open 
crankcase emissions separately using a method that we approve in 
advance, or route open crankcase emissions directly into the exhaust 
system for emission measurement. If the engine is not already configured 
to route open crankcase emissions for emission measurement, route open 
crankcase emissions as follows:
    (1) Use laboratory tubing materials that are smooth-walled, 
electrically conductive, and not reactive with crankcase emissions. 
Stainless steel is an acceptable material. Minimize tube lengths. We 
also recommend

[[Page 854]]

using heated or thin-walled or air gap-insulated tubing to minimize 
temperature differences between the wall and the crankcase emission 
constituents.
    (2) Minimize the number of bends in the laboratory crankcase tubing 
and maximize the radius of any unavoidable bend.
    (3) Use laboratory crankcase exhaust tubing that meets the engine 
manufacturer's specifications for crankcase back pressure.
    (4) Connect the crankcase exhaust tubing into the raw exhaust 
downstream of any aftertreatment system, downstream of any installed 
exhaust restriction, and sufficiently upstream of any sample probes to 
ensure complete mixing with the engine's exhaust before sampling. Extend 
the crankcase exhaust tube into the free stream of exhaust to avoid 
boundary-layer effects and to promote mixing. You may orient the 
crankcase exhaust tube's outlet in any direction relative to the raw 
exhaust flow.



Sec.  1065.140  Dilution for gaseous and PM constituents.

    (a) General. You may dilute exhaust with ambient air, synthetic air, 
or nitrogen that is at least 15 [deg]C. Note that the composition of the 
diluent affects some gaseous emission measurement instruments' response 
to emissions. We recommend diluting exhaust at a location as close as 
possible to the location where ambient air dilution would occur in use.
    (b) Dilution-air conditions and background concentrations. Before a 
diluent is mixed with exhaust, you may precondition it by increasing or 
decreasing its temperature or humidity. You may also remove constituents 
to reduce their background concentrations. The following provisions 
apply to removing constituents or accounting for background 
concentrations:
    (1) You may measure constituent concentrations in the diluent and 
compensate for background effects on test results. See Sec.  1065.650 
for calculations that compensate for background concentrations.
    (2) Either measure these background concentrations the same way you 
measure diluted exhaust constituents, or measure them in a way that does 
not affect your ability to demonstrate compliance with the applicable 
standards. For example, you may use the following simplifications for 
background sampling:
    (i) You may disregard any proportional sampling requirements.
    (ii) You may use unheated gaseous sampling systems.
    (iii) You may use unheated PM sampling systems only if we approve it 
in advance.
    (iv) You may use continuous sampling if you use batch sampling for 
diluted emissions.
    (v) You may use batch sampling if you use continuous sampling for 
diluted emissions.
    (3) For removing background PM, we recommend that you filter all 
dilution air, including primary full-flow dilution air, with high-
efficiency particulate air (HEPA) filters that have an initial minimum 
collection efficiency specification of 99.97% (see Sec.  1065.1001 for 
procedures related to HEPA-filtration efficiencies). Ensure that HEPA 
filters are installed properly so that background PM does not leak past 
the HEPA filters. If you choose to correct for background PM without 
using HEPA filtration, demonstrate that the background PM in the 
dilution air contributes less than 50% to the net PM collected on the 
sample filter.
    (c) Full-flow dilution; constant-volume sampling (CVS). You may 
dilute the full flow of raw exhaust in a dilution tunnel that maintains 
a nominally constant volume flow rate, molar flow rate or mass flow rate 
of diluted exhaust, as follows:
    (1) Construction. Use a tunnel with inside surfaces of 300 series 
stainless steel. Electrically ground the entire dilution tunnel. We 
recommend a thin-walled and insulated dilution tunnel to minimize 
temperature differences between the wall and the exhaust gases.
    (2) Pressure control. Maintain static pressure at the location where 
raw exhaust is introduced into the tunnel within 1.2 kPa of atmospheric 
pressure. You may use a booster blower to control this pressure. If you 
test an engine using more careful pressure control and you show by 
engineering analysis or by test data that you require this level of 
control to demonstrate compliance at the applicable standards, we will 
maintain the same level of static pressure control when we test that 
engine.

[[Page 855]]

    (3) Mixing. Introduce raw exhaust into the tunnel by directing it 
downstream along the centerline of the tunnel. You may introduce a 
fraction of dilution air radially from the tunnel's inner surface to 
minimize exhaust interaction with the tunnel walls. You may configure 
the system with turbulence generators such as orifice plates or fins to 
achieve good mixing. We recommend a minimum Reynolds number, Re#, of 
4000 for the diluted exhaust stream, where Re# is based on the inside 
diameter of the dilution tunnel. Re# is defined in Sec.  1065.640.
    (4) Flow measurement preconditioning. You may condition the diluted 
exhaust before measuring its flow rate, as long as this conditioning 
takes place downstream of any sample probes, as follows:
    (i) You may use flow straighteners, pulsation dampeners, or both of 
these.
    (ii) You may use a filter.
    (iii) You may use a heat exchanger to control the temperature 
upstream of any flow meter. Note paragraph (c)(6) of this section 
regarding aqueous condensation.
    (5) Flow measurement. Section 1065.240 describes measurement 
instruments for diluted exhaust flow.
    (6) Aqueous condensation. You may either prevent aqueous 
condensation throughout the dilution tunnel or you may measure humidity 
at the flow meter inlet. Calculations in Sec.  1065.645 and Sec.  
1065.650 account for either method of addressing humidity in the diluted 
exhaust. Note that preventing aqueous condensation involves more than 
keeping pure water in a vapor phase (see Sec.  1065.1001).
    (7) Flow compensation. Maintain nominally constant molar, volumetric 
or mass flow of diluted exhaust. You may maintain nominally constant 
flow by either maintaining the temperature and pressure at the flow 
meter or by directly controlling the flow of diluted exhaust. You may 
also directly control the flow of proportional samplers to maintain 
proportional sampling. For an individual test, validate proportional 
sampling as described in Sec.  1065.545.
    (d) Partial-flow dilution (PFD). Except as specified in this 
paragraph (d), you may dilute a partial flow of raw or previously 
diluted exhaust before measuring emissions. Sec.  1065.240 describes 
PFD-related flow measurement instruments. PFD may consist of constant or 
varying dilution ratios as described in paragraphs (d)(2) and (3) of 
this section. An example of a constant dilution ratio PFD is a 
``secondary dilution PM'' measurement system. An example of a varying 
dilution ratio PFD is a ``bag mini-diluter'' or BMD.
    (1) Applicability. (i) You may not use PFD if the standard-setting 
part prohibits it.
    (ii) You may use PFD to extract a proportional raw exhaust sample 
for any batch or continuous PM emission sampling over any transient duty 
cycle only if we have explicitly approved it according to Sec.  1065.10 
as an alternative procedure to the specified procedure for full-flow 
CVS.
    (iii) You may use PFD to extract a proportional raw exhaust sample 
for any batch or continuous gaseous emission sampling.
    (iv) You may use PFD to extract a proportional raw exhaust sample 
for any batch or continuous PM emission sampling over any steady-state 
duty cycle or its ramped-modal cycle (RMC) equivalent.
    (v) You may use PFD to extract a proportional raw exhaust sample for 
any batch or continuous field-testing.
    (vi) You may use PFD to extract a proportional diluted exhaust 
sample from a CVS for any batch or continuous emission sampling.
    (vii) You may use PFD to extract a constant raw or diluted exhaust 
sample for any continuous emission sampling.
    (2) Constant dilution-ratio PFD. Do one of the following for 
constant dilution-ratio PFD:
    (i) Dilute an already proportional flow. For example, you may do 
this as a way of performing secondary dilution from a CVS tunnel to 
achieve temperature control for PM sampling.
    (ii) Continuously measure constituent concentrations. For example, 
you might dilute to precondition a sample of raw exhaust to control its 
temperature, humidity, or constituent concentrations upstream of 
continuous analyzers. In this case, you must take into account the 
dilution ratio before

[[Page 856]]

multiplying the continuous concentration by the sampled exhaust flow 
rate.
    (iii) Extract a proportional sample from the constant dilution ratio 
PFD system. For example, you might use a variable-flow pump to 
proportionally fill a gaseous storage medium such as a bag from a PFD 
system. In this case, the proportional sampling must meet the same 
specifications as varying dilution ratio PFD in paragraph (d)(3) of this 
section.
    (3) Varying dilution-ratio PFD. All the following provisions apply 
for varying dilution-ratio PFD:
    (i) Use a control system with sensors and actuators that can 
maintain proportional sampling over intervals as short as 200 ms (i.e., 
5 Hz control).
    (ii) For control input, you may use any sensor output from one or 
more measurements; for example, intake-air flow, fuel flow, exhaust 
flow, engine speed, and intake manifold temperature and pressure.
    (iii) Account for any emission transit time in the PFD system.
    (iv) You may use preprogrammed data if they have been determined for 
the specific test site, duty cycle, and test engine from which you 
dilute emissions.
    (v) We recommend that you run practice cycles to meet the validation 
criteria in Sec.  1065.545. Note that you must validate every emission 
test by meeting the validation criteria with the data from that specific 
test, not from practice cycles or other tests.
    (vi) You may not use a PFD system that requires preparatory tuning 
or calibration with a CVS or with the emission results from a CVS. 
Rather, you must be able to independently calibrate the PFD.
    (e) Dilution and temperature control of PM samples. Dilute PM 
samples at least once upstream of transfer lines. You may dilute PM 
samples upstream of a transfer line using full-flow dilution, or 
partial-flow dilution immediately downstream of a PM probe. Control 
sample temperature to a (47 5) [deg]C tolerance, 
as measured anywhere within 20 cm upstream or downstream of the PM 
storage media (such as a filter). Measure this temperature with a bare-
wire junction thermocouple with wires that are (0.500 0.025) mm diameter, or with another suitable instrument 
that has equivalent performance. Heat or cool the PM sample primarily by 
dilution.

    Effective Date Note: At 73 FR 37294, June 30, 2008, Sec.  1065.140 
was revised, effective July 7, 2008. For the convenience of the user, 
the revised text is set forth as follows:



Sec.  1065.140  Dilution for gaseous and PM constituents.

    (a) General. You may dilute exhaust with ambient air, synthetic air, 
or nitrogen. For gaseous emission measurement the diluent must be at 
least 15 [deg]C. Note that the composition of the diluent affects some 
gaseous emission measurement instruments' response to emissions. We 
recommend diluting exhaust at a location as close as possible to the 
location where ambient air dilution would occur in use.
    (b) Dilution-air conditions and background concentrations. Before a 
diluent is mixed with exhaust, you may precondition it by increasing or 
decreasing its temperature or humidity. You may also remove constituents 
to reduce their background concentrations. The following provisions 
apply to removing constituents or accounting for background 
concentrations:
    (1) You may measure constituent concentrations in the diluent and 
compensate for background effects on test results. See Sec.  1065.650 
for calculations that compensate for background concentrations.
    (2) Either measure these background concentrations the same way you 
measure diluted exhaust constituents, or measure them in a way that does 
not affect your ability to demonstrate compliance with the applicable 
standards. For example, you may use the following simplifications for 
background sampling:
    (i) You may disregard any proportional sampling requirements.
    (ii) You may use unheated gaseous sampling systems.
    (iii) You may use unheated PM sampling systems.
    (iv) You may use continuous sampling if you use batch sampling for 
diluted emissions.
    (v) You may use batch sampling if you use continuous sampling for 
diluted emissions.
    (3) For removing background PM, we recommend that you filter all 
dilution air, including primary full-flow dilution air, with high-
efficiency particulate air (HEPA) filters that have an initial minimum 
collection efficiency specification of 99.97% (see Sec.  1065.1001 for 
procedures related to HEPA-filtration efficiencies). Ensure that HEPA 
filters are installed properly so that background PM does not leak past 
the HEPA filters. If you choose to correct for background PM without 
using

[[Page 857]]

HEPA filtration, demonstrate that the background PM in the dilution air 
contributes less than 50% to the net PM collected on the sample filter. 
You may correct net PM without restriction if you use HEPA filtration.
    (c) Full-flow dilution; constant-volume sampling (CVS). You may 
dilute the full flow of raw exhaust in a dilution tunnel that maintains 
a nominally constant volume flow rate, molar flow rate or mass flow rate 
of diluted exhaust, as follows:
    (1) Construction. Use a tunnel with inside surfaces of 300 series 
stainless steel. Electrically ground the entire dilution tunnel. We 
recommend a thin-walled and insulated dilution tunnel to minimize 
temperature differences between the wall and the exhaust gases.
    (2) Pressure control. Maintain static pressure at the location where 
raw exhaust is introduced into the tunnel within  
1.2 kPa of atmospheric pressure. You may use a booster blower to control 
this pressure. If you test an engine using more careful pressure control 
and you show by engineering analysis or by test data that you require 
this level of control to demonstrate compliance at the applicable 
standards, we will maintain the same level of static pressure control 
when we test that engine.
    (3) Mixing. Introduce raw exhaust into the tunnel by directing it 
downstream along the centerline of the tunnel. You may introduce a 
fraction of dilution air radially from the tunnel's inner surface to 
minimize exhaust interaction with the tunnel walls. You may configure 
the system with turbulence generators such as orifice plates or fins to 
achieve good mixing. We recommend a minimum Reynolds number, Re#, of 
4000 for the diluted exhaust stream, where Re is based on the 
inside diameter of the dilution tunnel. Re# is defined in Sec.  
1065.640.
    (4) Flow measurement preconditioning. You may condition the diluted 
exhaust before measuring its flow rate, as long as this conditioning 
takes place downstream of any heated HC or PM sample probes, as follows:
    (i) You may use flow straighteners, pulsation dampeners, or both of 
these.
    (ii) You may use a filter.
    (iii) You may use a heat exchanger to control the temperature 
upstream of any flow meter, but you must take steps to prevent aqueous 
condensation as described in paragraph (c)(6) of this section.
    (5) Flow measurement. Section 1065.240 describes measurement 
instruments for diluted exhaust flow.
    (6) Aqueous condensation. To ensure that you measure a flow that 
corresponds to a measured concentration, you may either prevent aqueous 
condensation between the sample probe location and the flow meter inlet 
in the dilution tunnel or you may allow aqueous condensation to occur 
and then measure humidity at the flow meter inlet. You may heat or 
insulate the dilution tunnel walls, as well as the bulk stream tubing 
downstream of the tunnel to prevent aqueous condensation. Calculations 
in Sec.  1065.645 and Sec.  1065.650 account for either method of 
addressing humidity in the diluted exhaust. Note that preventing aqueous 
condensation involves more than keeping pure water in a vapor phase (see 
Sec.  1065.1001).
    (7) Flow compensation. Maintain nominally constant molar, volumetric 
or mass flow of diluted exhaust. You may maintain nominally constant 
flow by either maintaining the temperature and pressure at the flow 
meter or by directly controlling the flow of diluted exhaust. You may 
also directly control the flow of proportional samplers to maintain 
proportional sampling. For an individual test, validate proportional 
sampling as described in Sec.  1065.545.
    (d) Partial-flow dilution (PFD). Except as specified in this 
paragraph (d), you may dilute a partial flow of raw or previously 
diluted exhaust before measuring emissions. Sec.  1065.240 describes 
PFD-related flow measurement instruments. PFD may consist of constant or 
varying dilution ratios as described in paragraphs (d)(2) and (3) of 
this section. An example of a constant dilution ratio PFD is a 
``secondary dilution PM'' measurement system.
    (1) Applicability. (i) You may not use PFD if the standard-setting 
part prohibits it.
    (ii) You may use PFD to extract a proportional raw exhaust sample 
for any batch or continuous PM emission sampling over any transient duty 
cycle only if we have explicitly approved it according to Sec.  1065.10 
as an alternative procedure to the specified procedure for full-flow 
CVS.
    (iii) You may use PFD to extract a proportional raw exhaust sample 
for any batch or continuous gaseous emission sampling.
    (iv) You may use PFD to extract a proportional raw exhaust sample 
for any batch or continuous PM emission sampling over any steady-state 
duty cycle or its ramped-modal cycle (RMC) equivalent.
    (v) You may use PFD to extract a proportional raw exhaust sample for 
any batch or continuous field-testing.
    (vi) You may use PFD to extract a proportional diluted exhaust 
sample from a CVS for any batch or continuous emission sampling.
    (vii) You may use PFD to extract a constant raw or diluted exhaust 
sample for any continuous emission sampling.
    (2) Constant dilution-ratio PFD. Do one of the following for 
constant dilution-ratio PFD:
    (i) Dilute an already proportional flow. For example, you may do 
this as a way of performing secondary dilution from a CVS tunnel to 
achieve overall dilution ratio for PM sampling.
    (ii) Continuously measure constituent concentrations. For example, 
you might dilute

[[Page 858]]

to precondition a sample of raw exhaust to control its temperature, 
humidity, or constituent concentrations upstream of continuous 
analyzers. In this case, you must take into account the dilution ratio 
before multiplying the continuous concentration by the sampled exhaust 
flow rate.
    (iii) Extract a proportional sample from a separate constant 
dilution ratio PFD system. For example, you might use a variable-flow 
pump to proportionally fill a gaseous storage medium such as a bag from 
a PFD system. In this case, the proportional sampling must meet the same 
specifications as varying dilution ratio PFD in paragraph (d)(3) of this 
section.
    (iv) For each mode of a discrete-mode test (such as a locomotive 
notch setting or a specific setting for speed and torque), use a 
constant dilution ratio for any PM sampling. You must change the overall 
PM sampling system dilution ratio between modes so that the dilution 
ratio on the mode with the highest exhaust flow rate meets Sec.  
1065.140(e)(2) and the dilution ratios on all other modes is higher than 
this (minimum) dilution ratio by the ratio of the maximum exhaust flow 
rate to the exhaust flow rate of the corresponding other mode. This is 
the same dilution ratio requirement for RMC or field transient testing. 
You must account for this change in dilution ratio in your emission 
calculations.
    (3) Varying dilution-ratio PFD. All the following provisions apply 
for varying dilution-ratio PFD:
    (i) Use a control system with sensors and actuators that can 
maintain proportional sampling over intervals as short as 200 ms (i.e., 
5 Hz control).
    (ii) For control input, you may use any sensor output from one or 
more measurements; for example, intake-air flow, fuel flow, exhaust 
flow, engine speed, and intake manifold temperature and pressure.
    (iii) Account for any emission transit time in the PFD system, as 
necessary.
    (iv) You may use preprogrammed data if they have been determined for 
the specific test site, duty cycle, and test engine from which you 
dilute emissions.
    (v) We recommend that you run practice cycles to meet the validation 
criteria in Sec.  1065.545. Note that you must validate every emission 
test by meeting the validation criteria with the data from that specific 
test. Data from previously validated practice cycles or other tests may 
not be used to validate a different emission test.
    (vi) You may not use a PFD system that requires preparatory tuning 
or calibration with a CVS or with the emission results from a CVS. 
Rather, you must be able to independently calibrate the PFD.
    (e) Dilution air temperature, dilution ratio, residence time, and 
temperature control of PM samples. Dilute PM samples at least once 
upstream of transfer lines. You may dilute PM samples upstream of a 
transfer line using full-flow dilution, or partial-flow dilution 
immediately downstream of a PM probe. In the case of partial-flow 
dilution, you may have up to 26 cm of insulated length between the end 
of the probe and the dilution stage, but we recommend that the length be 
as short as practical. Configure dilution systems as follows:
    (1) Set the diluent (i.e., dilution air) temperature to (25  5) [deg]C. Use good engineering judgment to select a 
location to measure this temperature. We recommend that you measure this 
temperature as close as practical upstream of the point where diluent 
mixes with raw exhaust.
    (2) For any PM dilution system (i.e., CVS or PFD), dilute raw 
exhaust with diluent such that the minimum overall ratio of diluted 
exhaust to raw exhaust is within the range of (5:1-7:1) and is at least 
2:1 for any primary dilution stage. Base this minimum value on the 
maximum engine exhaust flow rate for a given test interval. Either 
measure the maximum exhaust flow during a practice run of the test 
interval or estimate it based on good engineering judgment (for example, 
you might rely on manufacturer-published literature).
    (3) Configure any PM dilution system to have an overall residence 
time of (1 to 5) s, as measured from the location of initial diluent 
introduction to the location where PM is collected on the sample media. 
Also configure the system to have a residence time of at least 0.5 s, as 
measured from the location of final diluent introduction to the location 
where PM is collected on the sample media. When determining residence 
times within sampling system volumes, use an assumed flow temperature of 
25 [deg]C and pressure of 101.325 kPa.
    (4) Control sample temperature to a (47  5) 
[deg]C tolerance, as measured anywhere within 20 cm upstream or 
downstream of the PM storage media (such as a filter). Measure this 
temperature with a bare-wire junction thermocouple with wires that are 
(0.500  0.025) mm diameter, or with another 
suitable instrument that has equivalent performance. The intent of these 
specifications is to minimize heat transfer to or from the emissions 
sample prior to the final stage of dilution. This is accomplished by 
initially cooling the sample through dilution.



Sec.  1065.145  Gaseous and PM probes, transfer lines, and sampling system components.

    (a) Continuous and batch sampling. Determine the total mass of each 
constituent with continuous or batch sampling, as described in Sec.  
1065.15(c)(2). Both types of sampling systems have

[[Page 859]]

probes, transfer lines, and other sampling system components that are 
described in this section.
    (b) Gaseous and PM sample probes. A probe is the first fitting in a 
sampling system. It protrudes into a raw or diluted exhaust stream to 
extract a sample, such that its inside and outside surfaces are in 
contact with the exhaust. A sample is transported out of a probe into a 
transfer line, as described in paragraph (c) of this section. The 
following provisions apply to probes:
    (1) Probe design and construction. Use sample probes with inside 
surfaces of 300 series stainless steel or, for raw exhaust sampling, use 
a nonreactive material capable of withstanding raw exhaust temperatures. 
Locate sample probes where constituents are mixed to their mean sample 
concentration. Take into account the mixing of any crankcase emissions 
that may be routed into the raw exhaust. Locate each probe to minimize 
interference with the flow to other probes. We recommend that all probes 
remain free from influences of boundary layers, wakes, and eddies--
especially near the outlet of a raw-exhaust tailpipe where unintended 
dilution might occur. Make sure that purging or back-flushing of a probe 
does not influence another probe during testing. You may use a single 
probe to extract a sample of more than one constituent as long as the 
probe meets all the specifications for each constituent.
    (2) Gaseous sample probes. Use either single-port or multi-port 
probes for sampling gaseous emissions. You may orient these probes in 
any direction relative to the raw or diluted exhaust flow. For some 
probes, you must control sample temperatures, as follows:
    (i) For probes that extract NOX from diluted exhaust, 
control the probe's wall temperature to prevent aqueous condensation.
    (ii) For probes that extract hydrocarbons for NMHC or NMHCE analysis 
from the diluted exhaust of compression-ignition engines, 2-stroke 
spark-ignition engines, or 4-stroke spark-ignition engines below 19 kW, 
maintain a probe wall temperature tolerance of (191 11) [deg]C.
    (3) PM sample probes. Use PM probes with a single opening at the 
end. Orient PM probes to face directly upstream. If you shield a PM 
probe's opening with a PM pre-classifier such as a hat, you may not use 
the preclassifier we specify in paragraph (d)(4)(i) of this section. We 
recommend sizing the inside diameter of PM probes to approximate 
isokinetic sampling at the expected mean flow rate.
    (c) Transfer lines. You may use transfer lines to transport an 
extracted sample from a probe to an analyzer, storage medium, or 
dilution system. Minimize the length of all transfer lines by locating 
analyzers, storage media, and dilution systems as close to probes as 
practical. We recommend that you minimize the number of bends in 
transfer lines and that you maximize the radius of any unavoidable bend. 
Avoid using 90[deg] elbows, tees, and cross-fittings in transfer lines. 
Where such connections and fittings are necessary, take steps, using 
good engineering judgment, to ensure that you meet the temperature 
tolerances in this paragraph (c). This may involve measuring temperature 
at various locations within transfer lines and fittings. You may use a 
single transfer line to transport a sample of more than one constituent, 
as long as the transfer line meets all the specifications for each 
constituent. The following construction and temperature tolerances apply 
to transfer lines:
    (1) Gaseous samples. Use transfer lines with inside surfaces of 300 
series stainless steel, PTFE, Viton \TM\, or any other material that you 
demonstrate has better properties for emission sampling. For raw exhaust 
sampling, use a non-reactive material capable of withstanding raw 
exhaust temperatures. You may use in-line filters if they do not react 
with exhaust constituents and if the filter and its housing meet the 
same temperature requirements as the transfer lines, as follows:
    (i) For NOX transfer lines upstream of either an 
NO2-to-NO converter that meets the specifications of Sec.  
1065.378 or a chiller that meets the specifications of Sec.  1065.376, 
maintain a sample temperature that prevents aqueous condensation.
    (ii) For THC transfer lines for testing compression-ignition 
engines, 2-stroke spark-ignition engines, or 4-stroke spark-ignition 
engines below 19 kW,

[[Page 860]]

maintain a wall temperature tolerance throughout the entire line of (191 
11) [deg]C. If you sample from raw exhaust, you 
may connect an unheated, insulated transfer line directly to a probe. 
Design the length and insulation of the transfer line to cool the 
highest expected raw exhaust temperature to no lower than 191 [deg]C, as 
measured at the transfer line's outlet.
    (2) PM samples. We recommend heated transfer lines or a heated 
enclosure to minimize temperature differences between transfer lines and 
exhaust constituents. Use transfer lines that are inert with respect to 
PM and are electrically conductive on the inside surfaces. We recommend 
using PM transfer lines made of 300 series stainless steel. Electrically 
ground the inside surface of PM transfer lines.
    (d) Optional sample-conditioning components for gaseous sampling. 
You may use the following sample-conditioning components to prepare 
gaseous samples for analysis, as long you do not install or use them in 
a way that adversely affects your ability to show that your engines 
comply with all applicable gaseous emission standards.
    (1) NO2-to-NO converter. You may use an NO2-
to-NO converter that meets the efficiency-performance check specified in 
Sec.  1065.378 at any point upstream of a NOX analyzer, 
sample bag, or other storage medium.
    (2) Sample dryer. You may use either type of sample dryer described 
in this paragraph (d)(2) to decrease the effects of water on gaseous 
emission measurements. You may not use a chemical dryer, or used dryers 
upstream of PM sample filters.
    (i) Osmotic-membrane. You may use an osmotic-membrane dryer upstream 
of any gaseous analyzer or storage medium, as long as it meets the 
temperature specifications in paragraph (c)(1) of this section. Because 
osmotic-membrane dryers may deteriorate after prolonged exposure to 
certain exhaust constituents, consult with the membrane manufacturer 
regarding your application before incorporating an osmotic-membrane 
dryer. Monitor the dewpoint, Tdew, and absolute pressure, ptotal, 
downstream of an osmotic-membrane dryer. You may use continuously 
recorded values of Tdew and ptotal in the amount of water calculations 
specified in Sec.  1065.645. If you do not continuously record these 
values, you may use their peak values observed during a test or their 
alarm setpoints as constant values in the calculations specified in 
Sec.  1065.645. You may also use a nominal ptotal, which you may 
estimate as the dryer's lowest absolute pressure expected during 
testing.
    (ii) Thermal chiller. You may use a thermal chiller upstream of some 
gas analyzers and storage media. You may not use a thermal chiller 
upstream of a THC measurement system for compression-ignition engines, 
2-stroke spark-ignition engines, or 4-stroke spark-ignition engines 
below 19 kW. If you use a thermal chiller upstream of an NO2-
to-NO converter or in a sampling system without an NO2-to-NO 
converter, the chiller must meet the NO2 loss-performance 
check specified in Sec.  1065.376. Monitor the dewpoint, Tdew, and 
absolute pressure, ptotal, downstream of a thermal chiller. You may use 
continuously recorded values of Tdew and ptotal in the emission 
calculations specified in Sec.  1065.650. If you do not continuously 
record these values, you may use their peak values observed during a 
test or their high alarm setpoints as constant values in the amount of 
water calculations specified in Sec.  1065.645. You may also use a 
nominal ptotal, which you may estimate as the dryer's lowest absolute 
pressure expected during testing. If it is valid to assume the degree of 
saturation in the thermal chiller, you may calculate Tdew based on the 
known chiller efficiency and continuous monitoring of chiller 
temperature, Tchiller. If you do not continuously record values of 
Tchiller, you may use its peak value observed during a test, or its 
alarm setpoint, as a constant value to determine a constant amount of 
water according to Sec.  1065.645. If it is valid to assume that 
Tchiller is equal to Tdew, you may use Tchiller in lieu of Tdew 
according to Sec.  1065.645. If we ask for it, you must show by 
engineering analysis or by data the validity of any assumptions allowed 
by this paragraph (d)(2)(ii).
    (3) Sample pumps. You may use sample pumps upstream of an analyzer 
or storage medium for any gas. Use sample pumps with inside surfaces of 
300 series stainless steel, PTFE, or any

[[Page 861]]

other material that you demonstrate has better properties for emission 
sampling. For some sample pumps, you must control temperatures, as 
follows:
    (i) If you use a NOX sample pump upstream of either an 
NO2-to-NO converter that meets Sec.  1065.378 or a chiller 
that meets Sec.  1065.376, it must be heated to prevent aqueous 
condensation.
    (ii) For testing compression-ignition engines, 2-stroke spark-
ignition engines, or 4-stroke compression ignition engines below 19 kW, 
if you use a THC sample pump upstream of a THC analyzer or storage 
medium, its inner surfaces must be heated to a tolerance of (191 11) [deg]C.
    (e) Optional sample-conditioning components for PM sampling. You may 
use the following sample-conditioning components to prepare PM samples 
for analysis, as long you do not install or use them in a way that 
adversely affects your ability to show that your engines comply with the 
applicable PM emission standards. You may condition PM samples to 
minimize positive and negative biases to PM results, as follows:
    (1) PM preclassifier. You may use a PM preclassifier to remove 
large-diameter particles. The PM preclassifier may be either an inertial 
impactor or a cyclonic separator. It must be constructed of 300 series 
stainless steel. The preclassifier must be rated to remove at least 50% 
of PM at an aerodynamic diameter of 10 [micro]m and no more than 1% of 
PM at an aerodynamic diameter of 1 [micro]m over the range of flow rates 
for which you use it. Follow the preclassifier manufacturer's 
instructions for any periodic servicing that may be necessary to prevent 
a buildup of PM. Install the preclassifier in the dilution system 
downstream of the last dilution stage. Configure the preclassifier 
outlet with a means of bypassing any PM sample media so the 
preclassifier flow may be stabilized before starting a test. Locate PM 
sample media within 50 cm downstream of the preclassifier's exit. You 
may not use this preclassifier if you use a PM probe that already has a 
preclassifier. For example, if you use a hat-shaped preclassifier that 
is located immediately upstream of the probe in such a way that it 
forces the sample flow to change direction before entering the probe, 
you may not use any other preclassifier in your PM sampling system.
    (2) Other components. You may request to use other PM conditioning 
components upstream of a PM preclassifier, such as components that 
condition humidity or remove gaseous-phase hydrocarbons from the diluted 
exhauststream. You may use such components only if we approve them under 
Sec.  1065.10.

    Effective Date Note: At 73 FR 37296, June 30, 2008, Sec.  1065.145 
was revised, effective July 7, 2008. For the convenience of the user, 
the revised text is set forth as follows:



Sec.  1065.145  Gaseous and PM probes, transfer lines, and sampling 
          system components.

    (a) Continuous and batch sampling. Determine the total mass of each 
constituent with continuous or batch sampling, as described in Sec.  
1065.15(c)(2). Both types of sampling systems have probes, transfer 
lines, and other sampling system components that are described in this 
section.
    (b) Gaseous and PM sample probes. A probe is the first fitting in a 
sampling system. It protrudes into a raw or diluted exhaust stream to 
extract a sample, such that its inside and outside surfaces are in 
contact with the exhaust. A sample is transported out of a probe into a 
transfer line, as described in paragraph (c) of this section. The 
following provisions apply to sample probes:
    (1) Probe design and construction. Use sample probes with inside 
surfaces of 300 series stainless steel or, for raw exhaust sampling, use 
any nonreactive material capable of withstanding raw exhaust 
temperatures. Locate sample probes where constituents are mixed to their 
mean sample concentration. Take into account the mixing of any crankcase 
emissions that may be routed into the raw exhaust. Locate each probe to 
minimize interference with the flow to other probes. We recommend that 
all probes remain free from influences of boundary layers, wakes, and 
eddies--especially near the outlet of a raw-exhaust tailpipe where 
unintended dilution might occur. Make sure that purging or back-flushing 
of a probe does not influence another probe during testing. You may use 
a single probe to extract a sample of more than one constituent as long 
as the probe meets all the specifications for each constituent.
    (2) Probe installation on multi-stack engines. We recommend 
combining multiple exhaust streams from multi-stack engines before 
emission sampling as described in Sec.  1065.130(c)(6). If this is 
impractical, you may install symmetrical probes and transfer lines in 
each stack. In this case, each stack must

[[Page 862]]

be installed such that similar exhaust velocities are expected at each 
probe location. Use identical probe and transfer line diameters, 
lengths, and bends for each stack. Minimize the individual transfer line 
lengths, and manifold the individual transfer lines into a single 
transfer line to route the combined exhaust sample to analyzers and/or 
batch samplers. For PM sampling the manifold design must merge the 
individual sample streams with a maximum angle of 12.5[deg] relative to 
the single sample stream's flow. Note that the manifold must meet the 
same specifications as the transfer line according to paragraph (c) of 
this section. If you use this probe configuration and you determine your 
exhaust flow rates with a chemical balance of exhaust gas concentrations 
and either intake air flow or fuel flow, then show by prior testing that 
the concentration of O2 in each stack remains within 5% of 
the mean O2 concentration throughout the entire duty cycle.
    (3) Gaseous sample probes. Use either single-port or multi-port 
probes for sampling gaseous emissions. You may orient these probes in 
any direction relative to the raw or diluted exhaust flow. For some 
probes, you must control sample temperatures, as follows:
    (i) For probes that extract NOX from diluted exhaust, 
control the probe's wall temperature to prevent aqueous condensation.
    (ii) For probes that extract hydrocarbons for THC or NMHC analysis 
from the diluted exhaust of compression-ignition engines, 2-stroke 
spark-ignition engines, or 4-stroke spark-ignition engines below 19 kW, 
we recommend heating the probe to minimize hydrocarbon contamination 
consistent with good engineering judgment. If you routinely fail the 
contamination check in the 1065.520 pretest check, we recommend heating 
the probe section to approximately 190 [deg]C to minimize contamination.
    (4) PM sample probes. Use PM probes with a single opening at the 
end. Orient PM probes to face directly upstream. If you shield a PM 
probe's opening with a PM pre-classifier such as a hat, you may not use 
the preclassifier we specify in paragraph (e)(1) of this section. We 
recommend sizing the inside diameter of PM probes to approximate 
isokinetic sampling at the expected mean flow rate.
    (c) Transfer lines. You may use transfer lines to transport an 
extracted sample from a probe to an analyzer, storage medium, or 
dilution system, noting certain restrictions for PM sampling in Sec.  
1065.140(e). Minimize the length of all transfer lines by locating 
analyzers, storage media, and dilution systems as close to probes as 
practical. We recommend that you minimize the number of bends in 
transfer lines and that you maximize the radius of any unavoidable bend. 
Avoid using 90[deg] elbows, tees, and cross-fittings in transfer lines. 
Where such connections and fittings are necessary, take steps, using 
good engineering judgment, to ensure that you meet the temperature 
tolerances in this paragraph (c). This may involve measuring temperature 
at various locations within transfer lines and fittings. You may use a 
single transfer line to transport a sample of more than one constituent, 
as long as the transfer line meets all the specifications for each 
constituent. The following construction and temperature tolerances apply 
to transfer lines:
    (1) Gaseous samples. Use transfer lines with inside surfaces of 300 
series stainless steel, PTFE, VitonTM, or any other material 
that you demonstrate has better properties for emission sampling. For 
raw exhaust sampling, use a non-reactive material capable of 
withstanding raw exhaust temperatures. You may use in-line filters if 
they do not react with exhaust constituents and if the filter and its 
housing meet the same temperature requirements as the transfer lines, as 
follows:
    (i) For NOX transfer lines upstream of either an 
NO2-to-NO converter that meets the specifications of Sec.  
1065.378 or a chiller that meets the specifications of Sec.  1065.376, 
maintain a sample temperature that prevents aqueous condensation.
    (ii) For THC transfer lines for testing compression-ignition 
engines, 2-stroke spark-ignition engines, or 4-stroke spark-ignition 
engines below 19 kW, maintain a wall temperature tolerance throughout 
the entire line of (191 11) [deg]C. If you sample 
from raw exhaust, you may connect an unheated, insulated transfer line 
directly to a probe. Design the length and insulation of the transfer 
line to cool the highest expected raw exhaust temperature to no lower 
than 191 [deg]C, as measured at the transfer line's outlet. For dilute 
sampling, you may use a transition zone between the probe and transfer 
line of up to 92 cm to allow your wall temperature to transition to (191 
11) [deg]C.
    (2) PM samples. We recommend heated transfer lines or a heated 
enclosure to minimize temperature differences between transfer lines and 
exhaust constituents. Use transfer lines that are inert with respect to 
PM and are electrically conductive on the inside surfaces. We recommend 
using PM transfer lines made of 300 series stainless steel. Electrically 
ground the inside surface of PM transfer lines.
    (d) Optional sample-conditioning components for gaseous sampling. 
You may use the following sample-conditioning components to prepare 
gaseous samples for analysis, as long as you do not install or use them 
in a way that adversely affects your ability to show that your engines 
comply with all applicable gaseous emission standards.
    (1) NO2-to-NO converter. You may use an NO2-to-NO 
converter that meets the efficiency-performance check specified in

[[Page 863]]

Sec.  1065.378 at any point upstream of a NOX analyzer, 
sample bag, or other storage medium.
    (2) Sample dryer. You may use either type of sample dryer described 
in this paragraph (d)(2) to decrease the effects of water on gaseous 
emission measurements. You may not use a chemical dryer, or use dryers 
upstream of PM sample filters.
    (i) Osmotic-membrane. You may use an osmotic-membrane dryer upstream 
of any gaseous analyzer or storage medium, as long as it meets the 
temperature specifications in paragraph (c)(1) of this section. Because 
osmotic-membrane dryers may deteriorate after prolonged exposure to 
certain exhaust constituents, consult with the membrane manufacturer 
regarding your application before incorporating an osmotic-membrane 
dryer. Monitor the dewpoint, Tdew, and absolute pressure, 
ptotal, downstream of an osmotic-membrane dryer. You may use 
continuously recorded values of Tdew and ptotal in 
the amount of water calculations specified in Sec.  1065.645. If you do 
not continuously record these values, you may use their peak values 
observed during a test or their alarm setpoints as constant values in 
the calculations specified in Sec.  1065.645. You may also use a nominal 
ptotal, which you may estimate as the dryer's lowest absolute 
pressure expected during testing.
    (ii) Thermal chiller. You may use a thermal chiller upstream of some 
gas analyzers and storage media. You may not use a thermal chiller 
upstream of a THC measurement system for compression-ignition engines, 
2-stroke spark-ignition engines, or 4-stroke spark-ignition engines 
below 19 kW. If you use a thermal chiller upstream of an NO2-
to-NO converter or in a sampling system without an NO2-to-NO 
converter, the chiller must meet the NO2 loss-performance 
check specified in Sec.  1065.376. Monitor the dewpoint, 
Tdew, and absolute pressure, ptotal, downstream of 
a thermal chiller. You may use continuously recorded values of 
Tdew and ptotal in the emission calculations 
specified in Sec.  1065.650. If you do not continuously record these 
values, you may use the maximum temperature and minimum pressure values 
observed during a test or the high alarm temperature setpoint and the 
low alarm pressure setpoint as constant values in the amount of water 
calculations specified in Sec.  1065.645. You may also use a nominal 
ptotal, which you may estimate as the dryer's lowest absolute 
pressure expected during testing. If it is valid to assume the degree of 
saturation in the thermal chiller, you may calculate Tdew 
based on the known chiller performance and continuous monitoring of 
chiller temperature, Tchiller. If you do not continuously 
record values of Tchiller, you may use its peak value 
observed during a test, or its alarm setpoint, as a constant value to 
determine a constant amount of water according to Sec.  1065.645. If it 
is valid to assume that Tchiller is equal to Tdew, 
you may use Tchiller in lieu of Tdew according to 
Sec.  1065.645. If it is valid to assume a constant temperature offset 
between Tchiller and Tdew, due to a known and 
fixed amount of sample reheat between the chiller outlet and the 
temperature measurement location, you may factor in this assumed 
temperature offset value into emission calculations. If we ask for it, 
you must show by engineering analysis or by data the validity of any 
assumptions allowed by this paragraph (d)(2)(ii).
    (3) Sample pumps. You may use sample pumps upstream of an analyzer 
or storage medium for any gas. Use sample pumps with inside surfaces of 
300 series stainless steel, PTFE, or any other material that you 
demonstrate has better properties for emission sampling. For some sample 
pumps, you must control temperatures, as follows:
    (i) If you use a NOX sample pump upstream of either an 
NO2-to-NO converter that meets Sec.  1065.378 or a chiller 
that meets Sec.  1065.376, it must be heated to prevent aqueous 
condensation.
    (ii) For testing compression-ignition engines, 2-stroke spark-
ignition engines, or 4-stroke spark-ignition engines below 19 kW, if you 
use a THC sample pump upstream of a THC analyzer or storage medium, its 
inner surfaces must be heated to a tolerance of (191 11) [deg]C.
    (4) Ammonia Scrubber. You may use ammonia scrubbers for any or all 
gaseous sampling systems to prevent interference with NH3, 
poisoning of the NO2-to-NO converter, and deposits in the 
sampling system or analyzers. Follow the ammonia scrubber manufacturer's 
recommendations or use good engineering judgment in applying ammonia 
scrubbers.
    (e) Optional sample-conditioning components for PM sampling. You may 
use the following sample-conditioning components to prepare PM samples 
for analysis, as long as you do not install or use them in a way that 
adversely affects your ability to show that your engines comply with the 
applicable PM emission standards. You may condition PM samples to 
minimize positive and negative biases to PM results, as follows:
    (1) PM preclassifier. You may use a PM preclassifier to remove 
large-diameter particles. The PM preclassifier may be either an inertial 
impactor or a cyclonic separator. It must be constructed of 300 series 
stainless steel. The preclassifier must be rated to remove at least 50% 
of PM at an aerodynamic diameter of 10 [micro]m and no more than 1% of 
PM at an aerodynamic diameter of 1 [micro]m over the range of flow rates 
for which you use it. Follow the preclassifier manufacturer's 
instructions for any periodic servicing that may be necessary to prevent 
a buildup of PM. Install the preclassifier in the dilution system 
downstream of the last dilution stage. Configure the preclassifier 
outlet with

[[Page 864]]

a means of bypassing any PM sample media so the preclassifier flow may 
be stabilized before starting a test. Locate PM sample media within 75 
cm downstream of the preclassifier's exit. You may not use this 
preclassifier if you use a PM probe that already has a preclassifier. 
For example, if you use a hat-shaped preclassifier that is located 
immediately upstream of the probe in such a way that it forces the 
sample flow to change direction before entering the probe, you may not 
use any other preclassifier in your PM sampling system.
    (2) Other components. You may request to use other PM conditioning 
components upstream of a PM preclassifier, such as components that 
condition humidity or remove gaseous-phase hydrocarbons from the diluted 
exhaust stream. You may use such components only if we approve them 
under Sec.  1065.10.



Sec.  1065.150  Continuous sampling.

    You may use continuous sampling techniques for measurements that 
involve raw or dilute sampling. Make sure continuous sampling systems 
meet the specifications in Sec.  1065.145. Make sure continuous 
analyzers meet the specifications in subparts C and D of this part.



Sec.  1065.170  Batch sampling for gaseous and PM constituents.

    Batch sampling involves collecting and storing emissions for later 
analysis. Examples of batch sampling include collecting and storing 
gaseous emissions in a bag and collecting and storing PM on a filter. 
You may use batch sampling to store emissions that have been diluted at 
least once in some way, such as with CVS, PFD, or BMD. You may use 
batch-sampling to store undiluted emissions only if we approve it as an 
alternate procedure under Sec.  1065.10.
    (a) Sampling methods. For batch sampling, extract the sample at a 
rate proportional to the exhaust flow. If you extract from a constant-
volume flow rate, sample at a constant-volume flow rate. If you extract 
from a varying flow rate, vary the sample rate in proportion to the 
varying flow rate. Validate proportional sampling after an emission test 
as described in Sec.  1065.545. Use storage media that do not change 
measured emission levels (either up or down). For example, do not use 
sample bags for storing emissions if the bags are permeable with respect 
to emissions or if they off-gas emissions. As another example, do not 
use PM filters that irreversibly absorb or adsorb gases.
    (b) Gaseous sample storage media. Store gas volumes in sufficiently 
clean containers that minimally off-gas or allow permeation of gases. 
Use good engineering judgment to determine acceptable thresholds of 
storage media cleanliness and permeation. To clean a container, you may 
repeatedly purge and evacuate a container and you may heat it. Use a 
flexible container (such as a bag) within a temperature-controlled 
environment, or use a temperature controlled rigid container that is 
initially evacuated or has a volume that can be displaced, such as a 
piston and cylinder arrangement. Use containers meeting the 
specifications in the following table, noting that you may request to 
use other container materials under Sec.  1065.10:

 Table 1 of Sec.   1065.170--Gaseous Batch Sampling Container Materials
------------------------------------------------------------------------
                                                 Engines
                               -----------------------------------------
                                 Compression-ignition,
           Emissions               two-stroke spark         All other
                                  ignition, 4-stroke         engines
                                 spark-ignition <19 kW
------------------------------------------------------------------------
CO, CO2, O2, CH4, C2H6, C3H8,   Tedlar\TM\, \2\         Tedlar\TM\, \2\
 NO, NO2 \1\.                    Kynar\TM\, \2\          Kynar\TM\, \2\
                                 Teflon\TM\, \3\ or      Teflon\TM\, \3\
                                 300 series stainless    or 300 series
                                 steel \3\.              stainless steel
                                                         \3\
THC, NMHC.....................  Teflon\TM\ \4\ or 300   Tedlar\TM\, \2\
                                 series stainless        Kynar\TM\, \2\
                                 steel \4\.              Teflon\TM\, \3\
                                                         or 300 series
                                                         stainless steel
                                                         \3\
------------------------------------------------------------------------
\1\ As long as you prevent aqueous condensation in storage container.
\2\ Up to 40 [deg]C.
\3\ Up to 202 [deg]C.
\4\ At (191 11) [deg]C.


[[Page 865]]

    (c) PM sample media. Apply the following methods for sampling 
particulate emissions:
    (1) If you use filter-based sampling media to extract and store PM 
for measurement, your procedure must meet the following specifications:
    (i) If you expect that a filter's total surface concentration of PM 
will exceed 0.473 mm/mm\2\ for a given test interval, you may use filter 
media with a minimum initial collection efficiency of 98%; otherwise you 
must use a filter media with a minimum initial collection efficiency of 
99.7%. Collection efficiency must be measured as described in ASTM D 
2986-95a (incorporated by reference in Sec.  1065.1010), though you may 
rely on the sample-media manufacturer's measurements reflected in their 
product ratings to show that you meet applicable requirements.
    (ii) The filter must be circular, with an overall diameter of 46.50 
0.6 mm and an exposed diameter of at least 38 mm. 
See the cassette specifications in paragraph (c)(1)(vi) of this section.
    (iii) We highly recommend that you use a pure PTFE filter material 
that does not have any flow-through support bonded to the back and has 
an overall thickness of 40 20 [micro]m. An inert 
polymer ring may be bonded to the periphery of the filter material for 
support and for sealing between the filter cassette parts. We consider 
Polymethylpentene (PMP) and PTFE inert materials for a support ring, but 
other inert materials may be used. See the cassette specifications in 
paragraph (c)(1)(v) of this section. We allow the use of PTFE-coated 
glass fiber filter material, as long as this filter media selection does 
not affect your ability to demonstrate compliance with the applicable 
standards, which we base on a pure PTFE filter material. Note that we 
will use pure PTFE filter material for compliance testing, and we may 
require you to use pure PTFE filter material for any compliance testing 
we require, such as for selective enforcement audits.
    (iv) You may request to use other filter materials or sizes under 
the provisions of Sec.  1065.10.
    (v) To minimize turbulent deposition and to deposit PM evenly on a 
filter, use a 12.5[deg] (from center) divergent cone angle to transition 
from the transfer-line inside diameter to the exposed diameter of the 
filter face. Use 300 series stainless steel for this transition.
    (vi) Maintain sample velocity at the filter face at or below 100 cm/
s, where filter face velocity is the measured volumetric flow rate of 
the sample at the pressure and temperature upstream of the filter face, 
divided by the filter's exposed area.
    (vii) Use a clean cassette designed to the specifications of Figure 
1 of Sec.  1065.170 and made of any of the following materials: 
Delrin\TM\, 300 series stainless steel, polycarbonate, acrylonitrile-
butadiene-styrene (ABS) resin, or conductive polypropylene. We recommend 
that you keep filter cassettes clean by periodically washing or wiping 
them with a compatible solvent applied using a lint-free cloth. 
Depending upon your cassette material, ethanol 
(C2H5OH) might be an acceptable solvent. Your 
cleaning frequency will depend on your engine's PM and HC emissions.
    (viii) If you store filters in cassettes in an automatic PM sampler, 
cover or seal individual filter cassettes after sampling to prevent 
communication of semi-volatile matter from one filter to another.
    (2) You may use other PM sample media that we approve under Sec.  
1065.10, including non-filtering techniques. For example, you might 
deposit PM on an inert substrate that collects PM using electrostatic, 
thermophoresis, inertia, diffusion, or some other deposition mechanism, 
as approved.

[[Page 866]]

[GRAPHIC] [TIFF OMITTED] TR13JY05.014


    Effective Date Note: At 73 FR 37298, June 30, 2008, Sec.  1065.170 
was amended by revising the introductory text and paragraphs (a) and 
(c)(1), effective July 7, 2008. For the convenience of the user, the 
revised text is set forth as follows:



Sec.  1065.170  Batch sampling for gaseous and PM constituents.

    Batch sampling involves collecting and storing emissions for later 
analysis. Examples of batch sampling include collecting and

[[Page 867]]

storing gaseous emissions in a bag or collecting and storing PM on a 
filter. You may use batch sampling to store emissions that have been 
diluted at least once in some way, such as with CVS, PFD, or BMD. You 
may use batch-sampling to store undiluted emissions.
    (a) Sampling methods. If you extract from a constant-volume flow 
rate, sample at a constant-volume flow rate as follows:
    (1) Validate proportional sampling after an emission test as 
described in Sec.  1065.545. Use good engineering judgment to select 
storage media that will not significantly change measured emission 
levels (either up or down). For example, do not use sample bags for 
storing emissions if the bags are permeable with respect to emissions or 
if they offgas emissions to the extent that it affects your ability to 
demonstrate compliance with the applicable gaseous emission standards. 
As another example, do not use PM filters that irreversibly absorb or 
adsorb gases to the extent that it affects your ability to demonstrate 
compliance with the applicable PM emission standard.
    (2) You must follow the requirements in Sec.  1065.140(e)(2) related 
to PM dilution ratios. For each filter, if you expect the net PM mass on 
the filter to exceed 400 [micro]g, assuming a 38 mm diameter filter 
stain area, you may take the following actions in sequence:
    (i) First, reduce filter face velocity as needed to target a filter 
loading of 400 [micro]g, down to 50 cm/s or less.
    (ii) Then, for discrete-mode testing only, you may reduce sample 
time as needed to target a filter loading of 400 [micro]g, but not below 
the minimum sample time specified in the standard-setting part.
    (iii) Then, increase overall dilution ratio above the values 
specified in Sec.  1065.140(e)(2) to target a filter loading of 400 
[micro]g.

                                * * * * *

    (c) * * *
    (1) If you use filter-based sampling media to extract and store PM 
for measurement, your procedure must meet the following specifications:
    (i) If you expect that a filter's total surface concentration of PM 
will exceed 400 [micro]g, assuming a 38 mm diameter filter stain area, 
for a given test interval, you may use filter media with a minimum 
initial collection efficiency of 98%; otherwise you must use a filter 
media with a minimum initial collection efficiency of 99.7%. Collection 
efficiency must be measured as described in ASTM D2986-95a (incorporated 
by reference in Sec.  1065.1010), though you may rely on the sample-
media manufacturer's measurements reflected in their product ratings to 
show that you meet this requirement.
    (ii) The filter must be circular, with an overall diameter of 46.50 
 0.6 mm and an exposed diameter of at least 38 mm. 
See the cassette specifications in paragraph (c)(1)(vii) of this 
section.
    (iii) We highly recommend that you use a pure PTFE filter material 
that does not have any flow-through support bonded to the back and has 
an overall thickness of 40  20 [micro]m. An inert 
polymer ring may be bonded to the periphery of the filter material for 
support and for sealing between the filter cassette parts. We consider 
Polymethylpentene (PMP) and PTFE inert materials for a support ring, but 
other inert materials may be used. See the cassette specifications in 
paragraph (c)(1)(vii) of this section. We allow the use of PTFE-coated 
glass fiber filter material, as long as this filter media selection does 
not affect your ability to demonstrate compliance with the applicable 
standards, which we base on a pure PTFE filter material. Note that we 
will use pure PTFE filter material for compliance testing, and we may 
require you to use pure PTFE filter material for any compliance testing 
we require, such as for selective enforcement audits.
    (iv) You may request to use other filter materials or sizes under 
the provisions of Sec.  1065.10.
    (v) To minimize turbulent deposition and to deposit PM evenly on a 
filter, use a 12.5[deg] (from center) divergent cone angle to transition 
from the transfer-line inside diameter to the exposed diameter of the 
filter face. Use 300 series stainless steel for this transition.
    (vi) Maintain a filter face velocity near 100 cm/s with less than 5% 
of the recorded flow values exceeding 100 cm/s, unless you expect either 
the net PM mass on the filter to exceed 400 [micro]g, assuming a 38 mm 
diameter filter stain area. Measure face velocity as the volumetric flow 
rate of the sample at the pressure upstream of the filter and 
temperature of the filter face as measured in Sec.  1065.140(e), divided 
by the filter's exposed area. You may use the exhaust stack or CVS 
tunnel pressure for the upstream pressure if the pressure drop through 
the PM sampler up to the filter is less than 2 kPa.
    (vii) Use a clean cassette designed to the specifications of Figure 
1 of Sec.  1065.170 and made of any of the following materials: 
DelrinTM, 300 series stainless steel, polycarbonate, 
acrylonitrile-butadiene-styrene (ABS) resin, or conductive 
polypropylene. We recommend that you keep filter cassettes clean by 
periodically washing or wiping them with a compatible solvent applied 
using a lint-free cloth. Depending upon your cassette material, ethanol 
(C2H5OH) might be an acceptable solvent. Your 
cleaning frequency will depend on your engine's PM and HC emissions.

[[Page 868]]

    (viii) If you store filters in cassettes in an automatic PM sampler, 
cover or seal individual filter cassettes after sampling to prevent 
communication of semi-volatile matter from one filter to another.

                                * * * * *



Sec.  1065.190  PM-stabilization and weighing environments for gravimetric analysis.

    (a) This section describes the two environments required to 
stabilize and weigh PM for gravimetric analysis: the PM stabilization 
environment, where filters are stored before weighing; and the weighing 
environment, where the balance is located. The two environments may 
share a common space. These volumes may be one or more rooms, or they 
may be much smaller, such as a glove box or an automated weighing system 
consisting of one or more countertop-sized environments.
    (b) We recommend that you keep both the stabilization and the 
weighing environments free of ambient contaminants, such as dust, 
aerosols, or semi-volatile material that could contaminate PM samples. 
We recommend that these environments conform with an ``as-built'' Class 
Six clean room specification according to ISO 14644-1 (incorporated by 
reference in Sec.  1065.1010); however, we also recommend that you 
deviate from ISO 14644-1 as necessary to minimize air motion that might 
affect weighing. We recommend maximum air-supply and air-return 
velocities of 0.05 m/s in the weighing environment.
    (c) Verify the cleanliness of the PM-stabilization environment using 
reference filters, as described in Sec.  1065.390(b).
    (d) Maintain the following ambient conditions within the two 
environments during all stabilization and weighing:
    (1) Ambient temperature and tolerances. Maintain the weighing 
environment at a tolerance of (22 1) [deg]C. If 
the two environments share a common space, maintain both environments at 
a tolerance of (22 1) [deg]C. If they are 
separate, maintain the stabilization environment at a tolerance of (22 
3) [deg]C.
    (2) Dewpoint. Maintain a dewpoint of 9.5 [deg]C in both 
environments. This dewpoint will control the amount of water associated 
with sulfuric acid (H2SO4) PM, such that 1.1368 
grams of water will be associated with each gram of 
H2SO4.
    (3) Dewpoint tolerances. If the expected fraction of sulfuric acid 
in PM is unknown, we recommend controlling dewpoint at within 1 [deg]C tolerance. This would limit any dewpoint-
related change in PM to less than 2%, even for PM 
that is 50% sulfuric acid. If you know your expected fraction of 
sulfuric acid in PM, we recommend that you select an appropriate 
dewpoint tolerance for showing compliance with emission standards using 
the following table as a guide:

       Table 1 of Sec.   1065.190--Dewpoint Tolerance as a Function of % PM Change and % Sulfuric Acid PM
----------------------------------------------------------------------------------------------------------------
                                      0.5% PM mass change    eq>1.0% PM mass change    eq>2.0% PM mass change
         of PM (percent)
----------------------------------------------------------------------------------------------------------------
5................................  3.0  12
                                    [deg]C.                    eq>6.0 [deg]C.            [deg]C
50...............................  0.30 [deg]C.            eq>0.60 [deg]C.           eq>1.2 [deg]C
100..............................  0.15 [deg]C.            eq>0.30 [deg]C.           eq>0.60 [deg]C
----------------------------------------------------------------------------------------------------------------

    (e) Verify the following ambient conditions using measurement 
instruments that meet the specifications in subpart C of this part:
    (1) Continuously measure dewpoint and ambient temperature. Use these 
values to determine if the stabilization and weighing environments have 
remained within the tolerances specified in paragraph (d) of this 
section for at least the past 60 min. We recommend that you provide an 
interlock that automatically prevents the balance from reporting values 
if either of the environments have not been within the applicable 
tolerances for the past 60 min.
    (2) Continuously measure atmospheric pressure within the weighing 
environment. You may use a shared atmospheric pressure meter as long as 
you can show that your equipment for handling the weighing environment 
air maintains ambient pressure at the balance within 100 Pa of the shared atmospheric pressure. Provide a 
means to record the most recent atmospheric pressure when you weigh each 
PM sample. Use this value to calculate the PM buoyancy correction in 
Sec.  1065.690.

[[Page 869]]

    (f) We recommend that you install a balance as follows:
    (1) Install the balance on a vibration-isolation platform to isolate 
it from external noise and vibration.
    (2) Shield the balance from convective airflow with a static-
dissipating draft shield that is electrically grounded.
    (3) Follow the balance manufacturer's specifications for all 
preventive maintenance.
    (4) Operate the balance manually or as part of an automated weighing 
system.
    (g) Minimize static electric charge in the balance environment, as 
follows:
    (1) Electrically ground the balance.
    (2) Use 300 series stainless steel tweezers if PM samples must be 
handled manually.
    (3) Ground tweezers with a grounding strap, or provide a grounding 
strap for the operator such that the grounding strap shares a common 
ground with the balance. Make sure grounding straps have an appropriate 
resistor to protect operators from accidental shock.
    (4) Provide a static-electricity neutralizer that is electrically 
grounded in common with the balance to remove static charge from PM 
samples, as follows:
    (i) You may use radioactive neutralizers such as a Polonium 
(\210\Po) source. Replace radioactive sources at the intervals 
recommended by the neutralizer manufacturer.
    (ii) You may use other neutralizers, such as corona-discharge 
ionizers. If you use a corona-discharge ionizer, we recommend that you 
monitor it for neutral net charge according to the ionizer 
manufacturer's recommendations.
    (5) We recommend that you use a device to monitor the static charge 
of PM sample media surfaces.
    (6) We recommend that you neutralize PM sample media to within 
2.0 V of neutral.

    Effective Date Note: At 73 FR 37299, June 30, 2008, Sec.  1065.190 
was amended by revising paragraphs (c), (e),(f) and (g), effective July 
7, 2008. For the convenience of the user, the revised text is set forth 
as follows:



Sec.  1065.190  PM-stabilization and weighing environments for 
          gravimetric analysis.

                                * * * * *

    (c) Verify the cleanliness of the PM-stabilization environment using 
reference filters, as described in Sec.  1065.390(d).

                                * * * * *

    (e) Verify the following ambient conditions using measurement 
instruments that meet the specifications in subpart C of this part:
    (1) Continuously measure dewpoint and ambient temperature. Use these 
values to determine if the stabilization and weighing environments have 
remained within the tolerances specified in paragraph (d) of this 
section for at least 60 min. before weighing sample media (e.g., 
filters). We recommend that you use an interlock that automatically 
prevents the balance from reporting values if either of the environments 
have not been within the applicable tolerances for the past 60 min.
    (2) Continuously measure atmospheric pressure within the weighing 
environment. An acceptable alternative is to use a barometer that 
measures atmospheric pressure outside the weighing environment, as long 
as you can ensure that atmospheric pressure at the balance is always 
within 100 Pa of that outside environment during 
weighing operations. Record atmospheric pressure as you weigh filters, 
and use these pressure values to perform the buoyancy correction in 
Sec.  1065.690.
    (f) We recommend that you install a balance as follows:
    (1) Install the balance on a vibration-isolation platform to isolate 
it from external noise and vibration.
    (2) Shield the balance from convective airflow with a static-
dissipating draft shield that is electrically grounded.
    (3) Follow the balance manufacturer's specifications for all 
preventive maintenance.
    (4) Operate the balance manually or as part of an automated weighing 
system.
    (g) Minimize static electric charge in the balance environment, as 
follows:
    (1) Electrically ground the balance.
    (2) Use 300 series stainless steel tweezers if PM sample media 
(e.g., filters) must be handled manually.
    (3) Ground tweezers with a grounding strap, or provide a grounding 
strap for the operator such that the grounding strap shares a common 
ground with the balance. Make sure grounding straps have an appropriate 
resistor to protect operators from accidental shock.
    (4) Provide a static-electricity neutralizer that is electrically 
grounded in common with the balance to remove static charge

[[Page 870]]

from PM sample media (e.g., filters), as follows:
    (i) You may use radioactive neutralizers such as a Polonium 
(210Po) source. Replace radioactive sources at the intervals 
recommended by the neutralizer manufacturer.
    (ii) You may use other neutralizers, such as corona-discharge 
ionizers. If you use a corona-discharge ionizer, we recommend that you 
monitor it for neutral net charge according to the ionizer 
manufacturer's recommendations.
    (5) We recommend that you use a device to monitor the static charge 
of PM sample media (e.g., filter) surface.
    (6) We recommend that you neutralize PM sample media (e.g., filters) 
to within 2.0 V of neutral. Measure static 
voltages as follows:
    (i) Measure static voltage of PM sample media (e.g., filters) 
according to the electrostatic voltmeter manufacturer's instructions.
    (ii) Measure static voltage of PM sample media (e.g., filters) while 
the media is at least 15 cm away from any grounded surfaces to avoid 
mirror image charge interference.



Sec.  1065.195  PM-stabilization environment for in-situ analyzers.

    (a) This section describes the environment required to determine PM 
in-situ. For in-situ analyzers, such as an inertial balance, this is the 
environment within a PM sampling system that surrounds the PM sample 
media. This is typically a very small volume.
    (b) Maintain the environment free of ambient contaminants, such as 
dust, aerosols, or semi-volatile material that could contaminate PM 
samples. Filter all air used for stabilization with HEPA filters. Ensure 
that HEPA filters are installed properly so that background PM does not 
leak past the HEPA filters.
    (c) Maintain the following thermodynamic conditions within the 
environment before measuring PM:
    (1) Ambient temperature. Select a nominal ambient temperature, Tamb, 
between (42 and 52) [deg]C. Maintain the ambient temperature within 
1.0 [deg]C of the selected nominal value.
    (2) Dewpoint. Select a dewpoint, Tdew, that corresponds to Tamb such 
that Tdew = (0.95Tamb-11.40) [deg]C. The resulting dewpoint will control 
the amount of water associated with sulfuric acid 
(H2SO4) PM, such that 1.1368 grams of water will 
be associated with each gram of H2SO4. For 
example, if you select a nominal ambient temperature of 47 [deg]C, set a 
dewpoint of 33.3 [deg]C.
    (3) Dewpoint tolerance. If the expected fraction of sulfuric acid in 
PM is unknown, we recommend controlling dewpoint within 1.0 [deg]C. This would limit any dewpoint-related change 
in PM to less than 2%, even for PM that is 50% 
sulfuric acid. If you know your expected fraction of sulfuric acid in 
PM, we recommend that you select an appropriate dewpoint tolerance for 
showing compliance with emission standards using Table 1 of Sec.  
1065.190 as a guide:
    (4) Absolute pressure. Maintain an absolute pressure of (80.000 to 
103.325) kPa. Use good engineering judgment to maintain a more stringent 
tolerance of absolute pressure if your PM measurement instrument 
requires it.
    (d) Continuously measure dewpoint, temperature, and pressure using 
measurement instruments that meet the PM-stabilization environment 
specifications in subpart C of this part. Use these values to determine 
if the in-situ stabilization environment is within the tolerances 
specified in paragraph (c) of this section. Do not use any PM quantities 
that are recorded when any of these parameters exceed the applicable 
tolerances.
    (e) If you use an inertial PM balance, we recommend that you install 
it as follows:
    (1) Isolate the balance from any external noise and vibration that 
is within a frequency range that could affect the balance.
    (2) Follow the balance manufacturer's specifications.
    (f) If static electricity affects an inertial balance, you may use a 
static neutralizer, as follows:
    (1) You may use a radioactive neutralizer such as a Polonium 
(\210\Po) source or a Krypton (\85\Kr) source. Replace radioactive 
sources at the intervals recommended by the neutralizer manufacturer.
    (2) You may use other neutralizers, such as a corona-discharge 
ionizer. If you use a corona-discharge ionizer, we recommend that you 
monitor it for neutral net charge according to the ionizer 
manufacturer's recommendations.

[[Page 871]]


    Effective Date Note: At 73 FR 37299, June 30, 2008, Sec.  1065.195 
was amended by revising paragraphs (a) and (c)(4), effective July 7, 
2008. For the convenience of the user, the revised text is set forth as 
follows:



Sec.  1065.195  PM-stabilization environment for in-situ analyzers.

    (a) This section describes the environment required to determine PM 
in-situ. For in-situ analyzers, such as an inertial balance, this is the 
environment within a PM sampling system that surrounds the PM sample 
media (e.g., filters). This is typically a very small volume.

                                * * * * *

    (c) * * *
    (4) Absolute pressure. Use good engineering judgment to maintain a 
tolerance of absolute pressure if your PM measurement instrument 
requires it.



                    Subpart C_Measurement Instruments



Sec.  1065.201  Overview and general provisions.

    (a) Scope. This subpart specifies measurement instruments and 
associated system requirements related to emission testing in a 
laboratory and in the field. This includes laboratory instruments and 
portable emission measurement systems (PEMS) for measuring engine 
parameters, ambient conditions, flow-related parameters, and emission 
concentrations.
    (b) Instrument types. You may use any of the specified instruments 
as described in this subpart to perform emission tests. If you want to 
use one of these instruments in a way that is not specified in this 
subpart, or if you want to use a different instrument, you must first 
get us to approve your alternate procedure under Sec.  1065.10. Where we 
specify more than one instrument for a particular measurement, we may 
identify which instrument serves as the reference for showing that an 
alternative procedure is equivalent to the specified procedure.
    (c) Measurement systems. Assemble a system of measurement 
instruments that allows you to show that your engines comply with the 
applicable emission standards, using good engineering judgment. When 
selecting instruments, consider how conditions such as vibration, 
temperature, pressure, humidity, viscosity, specific heat, and exhaust 
composition (including trace concentrations) may affect instrument 
compatibility and performance.
    (d) Redundant systems. For all measurement instruments described in 
this subpart, you may use data from multiple instruments to calculate 
test results for a single test. If you use redundant systems, use good 
engineering judgment to use multiple measured values in calculations or 
to disregard individual measurements. Note that you must keep your 
results from all measurements, as described in Sec.  1065.25. This 
requirements applies whether or not you actually use the measurements in 
your calculations.
    (e) Range. You may use an instrument's response above 100% of its 
operating range if this does not affect your ability to show that your 
engines comply with the applicable emission standards. Note that we 
require additional testing and reporting if an analyzer responds above 
100% of its range. See Sec.  1065.550. Auto-ranging analyzers do not 
require additional testing or reporting.
    (f) Related subparts for laboratory testing. Subpart D of this part 
describes how to evaluate the performance of the measurement instruments 
in this subpart. In general, if an instrument is specified in a specific 
section of this subpart, its calibration and verifications are typically 
specified in a similarly numbered section in subpart D of this part. For 
example, Sec.  1065.290 gives instrument specifications for PM balances 
and Sec.  1065.390 describes the corresponding calibrations and 
verifications. Note that some instruments also have other requirements 
in other sections of subpart D of this part. Subpart B of this part 
identifies specifications for other types of equipment, and subpart H of 
this part specifies engine fluids and analytical gases.
    (g) Field testing and testing with PEMS. Subpart J of this part 
describes how to use these and other measurement instruments for field 
testing and other PEMS testing.

    Effective Date Note: At 73 FR 37299, June 30, 2008, Sec.  1065.201 
was amended by revising paragraphs (a) and (b) and adding paragraph

[[Page 872]]

(h), effective July 7, 2008. For the convenience of the user, the added 
and revised text is set forth as follows:



Sec.  1065.201  Overview and general provisions.

    (a) Scope. This subpart specifies measurement instruments and 
associated system requirements related to emission testing in a 
laboratory or similar environment and in the field. This includes 
laboratory instruments and portable emission measurement systems (PEMS) 
for measuring engine parameters, ambient conditions, flow-related 
parameters, and emission concentrations.
    (b) Instrument types. You may use any of the specified instruments 
as described in this subpart to perform emission tests. If you want to 
use one of these instruments in a way that is not specified in this 
subpart, or if you want to use a different instrument, you must first 
get us to approve your alternate procedure under Sec.  1065.10. Where we 
specify more than one instrument for a particular measurement, we may 
identify which instrument serves as the reference for comparing with an 
alternate procedure.

                                * * * * *

    (h) Recommended practices. This subpart identifies a variety of 
recommended but not required practices for proper measurements. We 
believe in most cases it is necessary to follow these recommended 
practices for accurate and repeatable measurements and we intend to 
follow them as much as possible for our testing. However, we do not 
specifically require you to follow these recommended practices to 
perform a valid test, as long as you meet the required calibrations and 
verifications of measurement systems specified in subpart D of this 
part.



Sec.  1065.202  Data updating, recording, and control.

    Your test system must be able to update data, record data and 
control systems related to operator demand, the dynamometer, sampling 
equipment, and measurement instruments. Use data acquisition and control 
systems that can record at the specified minimum frequencies, as 
follows:

                   Table 1 of Sec.   1065.202--Data Recording and Control Minimum Frequencies
----------------------------------------------------------------------------------------------------------------
                                                                    Minimum command and      Minimum recording
  Applicable test protocol section         Measured values           control frequency           frequency
----------------------------------------------------------------------------------------------------------------
Sec.   1065.510....................  Speed and torque during an   1 Hz..................  1 mean value per step.
                                      engine step-map.
Sec.   1065.510....................  Speed and torque during an   5 Hz..................  1 Hz means.
                                      engine sweep-map.
Sec.   1065.514, Sec.   1065.530...  Transient duty cycle         5 Hz..................  1 Hz means.
                                      reference and feedback
                                      speeds and torques.
Sec.   1065.514, Sec.   1065.530...  Steady-state and ramped-     1 Hz..................  1 Hz.
                                      modal duty cycle reference
                                      and feedback speeds and
                                      torques.
Sec.   1065.520, Sec.   1065.530,    Continuous concentrations    N/A...................  1 Hz.
 Sec.   1065.550.                     of raw or dilute analyzers.
Sec.   1065.520, Sec.   1065.530,    Batch concentrations of raw  N/A...................  1 mean value per test
 Sec.   1065.550.                     or dilute analyzers.                                 interval.
Sec.   1065.530, Sec.   1065.545...  Diluted exhaust flow rate    N/A...................  1 Hz.
                                      from a CVS with a heat
                                      exchanger upstream of the
                                      flow measurement.
Sec.   1065.530, Sec.   1065.545...  Diluted exhaust flow rate    5 Hz..................  1 Hz means.
                                      from a CVS without a heat
                                      exchanger upstream of the
                                      flow measurement.
Sec.   1065.530, Sec.   1065.545...  Intake-air or raw-exhaust    N/A...................  1 Hz means.
                                      flow rate.
Sec.   1065.530, Sec.   1065.545...  Dilution air if actively     5 Hz..................  1 Hz means.
                                      controlled.
Sec.   1065.530....................  Sample flow from a CVS that  1 Hz..................  1 Hz.
                                      has a heat exchanger.
Sec.   1065.530, Sec.   1065.545...  Sample flow from a CVS does  5 Hz..................  1 Hz mean.
                                      not have a heat exchanger.
----------------------------------------------------------------------------------------------------------------



Sec.  1065.205  Performance specifications for measurement instruments.

    Your test system as a whole must meet all the applicable 
calibrations, verifications, and test-validation criteria specified in 
subparts D and F of this part or subpart J of this part for using PEMS 
and for performing field testing. We recommend that your instruments 
meet the specifications in Table 1 of this section for all ranges

[[Page 873]]

you use for testing. We also recommend that you keep any documentation 
you receive from instrument manufacturers showing that your instruments 
meet the specifications in Table 1 of this section.
[GRAPHIC] [TIFF OMITTED] TR13JY05.020

         Measurement of Engine Parameters and Ambient Conditions



Sec.  1065.210  Work input and output sensors.

    (a) Application. Use instruments as specified in this section to 
measure work inputs and outputs during engine operation. We recommend 
that you use sensors, transducers, and meters that meet the 
specifications in Table 1 of Sec.  1065.205. Note that your overall 
systems for measuring work inputs and outputs must meet the linearity 
verifications in Sec.  1065.307. We recommend that you measure work 
inputs

[[Page 874]]

and outputs where they cross the system boundary as shown in Figure 1 of 
this section. The system boundary is different for air-cooled engines 
than for liquid-cooled engines. If you choose to measure work before or 
after a work conversion, relative to the system boundary, use good 
engineering judgment to estimate any work-conversion losses in a way 
that avoids overestimation of total work. For example, if it is 
impractical to instrument the shaft of an exhaust turbine generating 
electrical work, you may decide to measure its converted electrical 
work. In this case, divide the electrical work by an accurate value of 
electrical generator efficiency ([eta]<1), or assume an efficiency of 1 
([eta]=1), which would over-estimate brake-specific emissions. Do not 
underestimate the generator's efficiency because this would result in an 
under-estimation of brake-specific emissions. In all cases, ensure that 
you are able to accurately demonstrate compliance with the applicable 
standards.

[[Page 875]]

[GRAPHIC] [TIFF OMITTED] TR13JY05.015

    (b) Shaft work. Use speed and torque transducer outputs to calculate 
total work according to Sec.  1065.650.
    (1) Speed. Use a magnetic or optical shaft-position detector with a 
resolution of at least 60 counts per revolution, in combination with a 
frequency

[[Page 876]]

counter that rejects common-mode noise.
    (2) Torque. You may use a variety of methods to determine engine 
torque. As needed, and based on good engineering judgment, compensate 
for torque induced by the inertia of accelerating and decelerating 
components connected to the flywheel, such as the drive shaft and 
dynamometer rotor. Use any of the following methods to determine engine 
torque:
    (i) Measure torque by mounting a strain gage or similar instrument 
in-line between the engine and dynamometer.
    (ii) Measure torque by mounting a strain gage or similar instrument 
on a lever arm connected to the dynamometer housing.
    (iii) Calculate torque from internal dynamometer signals, such as 
armature current, as long as you calibrate this measurement as described 
in Sec.  1065.310.
    (c) Electrical work. Use a watt-hour meter output to calculate total 
work according to Sec.  1065.650. Use a watt-hour meter that outputs 
active power (kW). Watt-hour meters typically combine a Wheatstone 
bridge voltmeter and a Hall-effect clamp-on ammeter into a single 
microprocessor-based instrument that analyzes and outputs several 
parameters, such as alternating or direct current voltage (V), current 
(A), power factor (pf), apparent power (VA), reactive power (VAR), and 
active power (W).
    (d) Pump, compressor or turbine work. Use pressure transducer and 
flow-meter outputs to calculate total work according to Sec.  1065.650. 
For flow meters, see Sec.  1065.220 through Sec.  1065.248.

    Effective Date Note: At 73 FR 37300, June 30, 2008, Sec.  1065.210 
was amended by revising paragraph (a) before the figure, effective July 
7, 2008. For the convenience of the user, the revised text is set forth 
as follows:



Sec.  1065.210  Work input and output sensors.

    (a) Application. Use instruments as specified in this section to 
measure work inputs and outputs during engine operation. We recommend 
that you use sensors, transducers, and meters that meet the 
specifications in Table 1 of Sec.  1065.205. Note that your overall 
systems for measuring work inputs and outputs must meet the linearity 
verifications in Sec.  1065.307. We recommend that you measure work 
inputs and outputs where they cross the system boundary as shown in 
Figure 1 of Sec.  1065.210. The system boundary is different for air-
cooled engines than for liquid-cooled engines. If you choose to measure 
work before or after a work conversion, relative to the system boundary, 
use good engineering judgment to estimate any work-conversion losses in 
a way that avoids overestimation of total work. For example, if it is 
impractical to instrument the shaft of an exhaust turbine generating 
electrical work, you may decide to measure its converted electrical 
work. As another example, you may decide to measure the tractive (i.e., 
electrical output) power of a locomotive, rather than the brake power of 
the locomotive engine. In these cases, divide the electrical work by 
accurate values of electrical generator efficiency ([eta]<1), or assume 
an efficiency of 1 ([eta]=1), which would over-estimate brake-specific 
emissions. For the example of using locomotive tractive power with a 
generator efficiency of 1 ([eta]=1), this means using the tractive power 
as the brake power in emission calculations. Do not underestimate any 
work conversion efficiencies for any components outside the system 
boundary that do not return work into the system boundary. And do not 
overestimate any work conversion efficiencies for components outside the 
system boundary that do return work into the system boundary. In all 
cases, ensure that you are able to accurately demonstrate compliance 
with the applicable standards.

                                * * * * *



Sec.  1065.215  Pressure transducers, temperature sensors, and dewpoint sensors.

    (a) Application. Use instruments as specified in this section to 
measure pressure, temperature, and dewpoint.
    (b) Component requirements. We recommend that you use pressure 
transducers, temperature sensors, and dewpoint sensors that meet the 
specifications in Table 1 of Sec.  1065.205. Note that your overall 
systems for measuring pressure, temperature, and dewpoint must meet the 
calibration and verifications in Sec.  1065.315.
    (c) Temperature. For PM-balance environments or other precision 
temperature measurements over a narrow temperature range, we recommend 
thermistors. For other applications we recommend thermocouples that are 
not grounded to the thermocouple sheath. You may use other temperature 
sensors, such as resistive temperature detectors (RTDs).

[[Page 877]]

    (d) Pressure. Pressure transducers must be located in a temperature-
controlled environment, or they must compensate for temperature changes 
over their expected operating range. Transducer materials must be 
compatible with the fluid being measured. For atmospheric pressure or 
other precision pressure measurements, we recommend either capacitance-
type, quartz crystal, or laser-interferometer transducers. For other 
applications, we recommend either strain gage or capacitance-type 
pressure transducers. You may use other pressure-measurement 
instruments, such as manometers, where appropriate.
    (e) Dewpoint. For PM-stabilization environments, we recommend 
chilled-surface hygrometers. For other applications, we recommend thin-
film capacitance sensors. You may use other dewpoint sensors, such as a 
wet-bulb/dry-bulb psychrometer, where appropriate.

    Effective Date Note: At 73 FR 37300, June 30, 2008, Sec.  1065.215 
was amended by revising pparagraph (e), effective July 7, 2008. For the 
convenience of the user, the revised text is set forth as follows:



Sec.  1065.215  Pressure transducers, temperature sensors, and dewpoint 
          sensors.

                                * * * * *

    (e) Dewpoint. For PM-stabilization environments, we recommend 
chilled-surface hygrometers, which include chilled mirror detectors and 
chilled surface acoustic wave (SAW) detectors. For other applications, 
we recommend thin-film capacitance sensors. You may use other dewpoint 
sensors, such as a wet-bulb/dry-bulb psychrometer, where appropriate.

                        Flow-Related Measurements



Sec.  1065.220  Fuel flow meter.

    (a) Application. You may use fuel flow in combination with a 
chemical balance of carbon (or oxygen) between the fuel, inlet air, and 
raw exhaust to calculate raw exhaust flow as described in Sec.  
1065.650, as follows:
    (1) Use the actual value of calculated raw exhaust flow rate in the 
following cases:
    (i) For multiplying raw exhaust flow rate with continuously sampled 
concentrations.
    (ii) For multiplying total raw exhaust flow with batch-sampled 
concentrations.
    (2) In the following cases, you may use a fuel flow meter signal 
that does not give the actual value of raw exhaust, as long as it is 
linearly proportional to the exhaust molar flow rate's actual calculated 
value:
    (i) For feedback control of a proportional sampling system, such as 
a partial-flow dilution system.
    (ii) For multiplying with continuously sampled gas concentrations, 
if the same signal is used in a chemical-balance calculation to 
determine work from brake-specific fuel consumption and fuel consumed.
    (b) Component requirements. We recommend that you use a fuel flow 
meter that meets the specifications in Table 1 of Sec.  1065.205. We 
recommend a fuel flow meter that measures mass directly, such as one 
that relies on gravimetric or inertial measurement principles. This may 
involve using a meter with one or more scales for weighing fuel or using 
a Coriolis meter. Note that your overall system for measuring fuel flow 
must meet the linearity verification in Sec.  1065.307 and the 
calibration and verifications in Sec.  1065.320.
    (c) Recirculating fuel. In any fuel-flow measurement, account for 
any fuel that bypasses the engine or returns from the engine to the fuel 
storage tank.
    (d) Flow conditioning. For any type of fuel flow meter, condition 
the flow as needed to prevent wakes, eddies, circulating flows, or flow 
pulsations from affecting the accuracy or repeatability of the meter. 
You may accomplish this by using a sufficient length of straight tubing 
(such as a length equal to at least 10 pipe diameters) or by using 
specially designed tubing bends, straightening fins, or pneumatic 
pulsation dampeners to establish a steady and predictable velocity 
profile upstream of the meter.

    Effective Date Note: At 73 FR 37300, June 30, 2008, Sec.  1065.220 
was amended by revising paragraph (d), effective July 7, 2008. For the 
convenience of the user, the revised text is set forth as follows:

[[Page 878]]



Sec.  1065.220  Fuel flow meter.

                                * * * * *

    (d) Flow conditioning. For any type of fuel flow meter, condition 
the flow as needed to prevent wakes, eddies, circulating flows, or flow 
pulsations from affecting the accuracy or repeatability of the meter. 
You may accomplish this by using a sufficient length of straight tubing 
(such as a length equal to at least 10 pipe diameters) or by using 
specially designed tubing bends, straightening fins, or pneumatic 
pulsation dampeners to establish a steady and predictable velocity 
profile upstream of the meter. Condition the flow as needed to prevent 
any gas bubbles in the fuel from affecting the fuel meter.



Sec.  1065.225  Intake-air flow meter.

    (a) Application. You may use an intake-air flow meter in combination 
with a chemical balance of carbon (or oxygen) between the fuel, inlet 
air, and raw exhaust to calculate raw exhaust flow as described in Sec.  
1065.650, as follows:
    (1) Use the actual value of calculated raw exhaust in the following 
cases:
    (i) For multiplying raw exhaust flow rate with continuously sampled 
concentrations.
    (ii) For multiplying total raw exhaust flow with batch-sampled 
concentrations.
    (2) In the following cases, you may use an intake-air flow meter 
signal that does not give the actual value of raw exhaust, as long as it 
is linearly proportional to the exhaust flow rate's actual calculated 
value:
    (i) For feedback control of a proportional sampling system, such as 
a partial-flow dilution system.
    (ii) For multiplying with continuously sampled gas concentrations, 
if the same signal is used in a chemical-balance calculation to 
determine work from brake-specific fuel consumption and fuel consumed.
    (b) Component requirements. We recommend that you use an intake-air 
flow meter that meets the specifications in Table 1 of Sec.  1065.205. 
This may include a laminar flow element, an ultrasonic flow meter, a 
subsonic venturi, a thermal-mass meter, an averaging Pitot tube, or a 
hot-wire anemometer. Note that your overall system for measuring intake-
air flow must meet the linearity verification in Sec.  1065.307 and the 
calibration in Sec.  1065.325.
    (c) Flow conditioning. For any type of intake-air flow meter, 
condition the flow as needed to prevent wakes, eddies, circulating 
flows, or flow pulsations from affecting the accuracy or repeatability 
of the meter. You may accomplish this by using a sufficient length of 
straight tubing (such as a length equal to at least 10 pipe diameters) 
or by using specially designed tubing bends, orifice plates or 
straightening fins to establish a predictable velocity profile upstream 
of the meter.



Sec.  1065.230  Raw exhaust flow meter.

    (a) Application. You may use measured raw exhaust flow, as follows:
    (1) Use the actual value of calculated raw exhaust in the following 
cases:
    (i) Multiply raw exhaust flow rate with continuously sampled 
concentrations.
    (ii) Multiply total raw exhaust with batch sampled concentrations.
    (2) In the following cases, you may use a raw exhaust flow meter 
signal that does not give the actual value of raw exhaust, as long as it 
is linearly proportional to the exhaust flow rate's actual calculated 
value:
    (i) For feedback control of a proportional sampling system, such as 
a partial-flow dilution system.
    (ii) For multiplying with continuously sampled gas concentrations, 
if the same signal is used in a chemical-balance calculation to 
determine work from brake-specific fuel consumption and fuel consumed.
    (b) Component requirements. We recommend that you use a raw-exhaust 
flow meter that meets the specifications in Table 1 of Sec.  1065.205. 
This may involve using an ultrasonic flow meter, a subsonic venturi, an 
averaging Pitot tube, a hot-wire anemometer, or other measurement 
principle. This would generally not involve a laminar flow element or a 
thermal-mass meter. Note that your overall system for measuring raw 
exhaust flow must meet the linearity verification in Sec.  1065.307 and 
the calibration and verifications in Sec.  1065.330. Any raw-exhaust 
meter must

[[Page 879]]

be designed to appropriately compensate for changes in the raw exhaust's 
thermodynamic, fluid, and compositional states.
    (c) Flow conditioning. For any type of raw exhaust flow meter, 
condition the flow as needed to prevent wakes, eddies, circulating 
flows, or flow pulsations from affecting the accuracy or repeatability 
of the meter. You may accomplish this by using a sufficient length of 
straight tubing (such as a length equal to at least 10 pipe diameters) 
or by using specially designed tubing bends, orifice plates or 
straightening fins to establish a predictable velocity profile upstream 
of the meter.
    (d) Exhaust cooling. You may cool raw exhaust upstream of a raw-
exhaust flow meter, as long as you observe all the following provisions:
    (1) Do not sample PM downstream of the cooling.
    (2) If cooling causes exhaust temperatures above 202 [deg]C to 
decrease to below 180 [deg]C, do not sample NMHC downstream of the 
cooling for compression-ignition engines, 2-stroke spark-ignition 
engines, and 4-stroke spark-ignition engines below 19 kW.
    (3) If cooling causes aqueous condensation, do not sample 
NOX downstream of the cooling unless the cooler meets the 
performance verification in Sec.  1065.376.
    (4) If cooling causes aqueous condensation before the flow reaches a 
flow meter, measure dewpoint, Tdew and pressure, ptotal at the flow 
meter inlet. Use these values in emission calculations according to 
Sec.  1065.650.



Sec.  1065.240  Dilution air and diluted exhaust flow meters.

    (a) Application. Use a diluted exhaust flow meter to determine 
instantaneous diluted exhaust flow rates or total diluted exhaust flow 
over a test interval. You may use the difference between a diluted 
exhaust flow meter and a dilution air meter to calculate raw exhaust 
flow rates or total raw exhaust flow over a test interval.
    (b) Component requirements. We recommend that you use a diluted 
exhaust flow meter that meets the specifications in Table 1 of Sec.  
1065.205. Note that your overall system for measuring diluted exhaust 
flow must meet the linearity verification in Sec.  1065.307 and the 
calibration and verifications in Sec.  1065.340 and Sec.  1065.341. You 
may use the following meters:
    (1) For constant-volume sampling (CVS) of the total flow of diluted 
exhaust, you may use a critical-flow venturi (CFV) or multiple critical-
flow venturis arranged in parallel, a positive-displacement pump (PDP), 
a subsonic venturi (SSV), or an ultrasonic flow meter (UFM). Combined 
with an upstream heat exchanger, either a CFV or a PDP will also 
function as a passive flow controller in a CVS system. However, you may 
also combine any flow meter with any active flow control system to 
maintain proportional sampling of exhaust constituents. You may control 
the total flow of diluted exhaust, or one or more sample flows, or a 
combination of these flow controls to maintain proportional sampling.
    (2) For any other dilution system, you may use a laminar flow 
element, an ultrasonic flow meter, a subsonic venturi, a critical-flow 
venturi or multiple critical-flow venturis arranged in parallel, a 
positive-displacement meter, a thermal-mass meter, an averaging Pitot 
tube, or a hot-wire anemometer.
    (c) Flow conditioning. For any type of diluted exhaust flow meter, 
condition the flow as needed to prevent wakes, eddies, circulating 
flows, or flow pulsations from affecting the accuracy or repeatability 
of the meter. For some meters, you may accomplish this by using a 
sufficient length of straight tubing (such as a length equal to at least 
10 pipe diameters) or by using specially designed tubing bends, orifice 
plates or straightening fins to establish a predictable velocity profile 
upstream of the meter.
    (d) Exhaust cooling. You may cool diluted exhaust upstream of a raw-
exhaust flow meter, as long as you observe all the following provisions:
    (1) Do not sample PM downstream of the cooling.
    (2) If cooling causes exhaust temperatures above 202 [deg]C to 
decrease to below 180 [deg]C, do not sample NMHC downstream of the 
cooling for compression-ignition engines, 2-stroke spark-ignition 
engines, and 4-stroke spark-ignition engines below 19 kW.

[[Page 880]]

    (3) If cooling causes aqueous condensation, do not sample 
NOX downstream of the cooling unless the cooler meets the 
performance verification in Sec.  1065.376.
    (4) If cooling causes aqueous condensation before the flow reaches a 
flow meter, measure dewpoint, Tdew and pressure, ptotal at the flow 
meter inlet. Use these values in emission calculations according to 
Sec.  1065.650.



Sec.  1065.245  Sample flow meter for batch sampling.

    (a) Application. Use a sample flow meter to determine sample flow 
rates or total flow sampled into a batch sampling system over a test 
interval. You may use the difference between a diluted exhaust sample 
flow meter and a dilution air meter to calculate raw exhaust flow rates 
or total raw exhaust flow over a test interval.
    (b) Component requirements. We recommend that you use a sample flow 
meter that meets the specifications in Table 1 of Sec.  1065.205. This 
may involve a laminar flow element, an ultrasonic flow meter, a subsonic 
venturi, a critical-flow venturi or multiple critical-flow venturis 
arranged in parallel, a positive-displacement meter, a thermal-mass 
meter, an averaging Pitot tube, or a hot-wire anemometer. Note that your 
overall system for measuring sample flow must meet the linearity 
verification in Sec.  1065.307. For the special case where CFVs are used 
for both the diluted exhaust and sample-flow measurements and their 
upstream pressures and temperatures remain similar during testing, you 
do not have to quantify the flow rate of the sample-flow CFV. In this 
special case, the sample-flow CFV inherently flow-weights the batch 
sample relative to the diluted exhaust CFV.
    (c) Flow conditioning. For any type of sample flow meter, condition 
the flow as needed to prevent wakes, eddies, circulating flows, or flow 
pulsations from affecting the accuracy or repeatability of the meter. 
For some meters, you may accomplish this by using a sufficient length of 
straight tubing (such as a length equal to at least 10 pipe diameters) 
or by using specially designed tubing bends, orifice plates or 
straightening fins to establish a predictable velocity profile upstream 
of the meter.



Sec.  1065.248  Gas divider.

    (a) Application. You may use a gas divider to blend calibration 
gases.
    (b) Component requirements. Use a gas divider that blends gases to 
the specifications of Sec.  1065.750 and to the flow-weighted 
concentrations expected during testing. You may use critical-flow gas 
dividers, capillary-tube gas dividers, or thermal-mass-meter gas 
dividers. Note that your overall gas-divider system must meet the 
linearity verification in Sec.  1065.307.

                   CO and CO2 Measurements



Sec.  1065.250  Nondispersive infra-red analyzer.

    (a) Application. Use a nondispersive infra-red (NDIR) analyzer to 
measure CO and CO2 concentrations in raw or diluted exhaust 
for either batch or continuous sampling.
    (b) Component requirements. We recommend that you use an NDIR 
analyzer that meets the specifications in Table 1 of Sec.  1065.205. 
Note that your NDIR-based system must meet the calibration and 
verifications in Sec.  1065.350 and Sec.  1065.355 and it must also meet 
the linearity verification in Sec.  1065.307. You may use an NDIR 
analyzer that has compensation algorithms that are functions of other 
gaseous measurements and the engine's known or assumed fuel properties. 
The target value for any compensation algorithm is 0.0% (that is, no 
bias high and no bias low), regardless of the uncompensated signal's 
bias.

                        Hydrocarbon Measurements



Sec.  1065.260  Flame-ionization detector.

    (a) Application. Use a flame-ionization detector (FID) analyzer to 
measure hydrocarbon concentrations in raw or diluted exhaust for either 
batch or continuous sampling. Determine hydrocarbon concentrations on a 
carbon number basis of one, C1. Determine methane and 
nonmethane hydrocarbon values as described in paragraph (e) of this 
section. See subpart I of this part for special provisions that apply to

[[Page 881]]

measuring hydrocarbons when testing with oxygenated fuels.
    (b) Component requirements. We recommend that you use a FID analyzer 
that meets the specifications in Table 1 of Sec.  1065.205. Note that 
your FID-based system for measuring THC, THCE, or CH4 must 
meet all of the verifications for hydrocarbon measurement in subpart D 
of this part, and it must also meet the linearity verification in Sec.  
1065.307. You may use a FID that has compensation algorithms that are 
functions of other gaseous measurements and the engine's known or 
assumed fuel properties. The target value for any compensation algorithm 
is 0.0% (that is, no bias high and no bias low), regardless of the 
uncompensated signal's bias.
    (c) Heated FID analyzers. For diesel-fueled engines, two-stroke 
spark-ignition engines, and four-stroke spark-ignition engines below 19 
kW, you must use heated FID analyzers that maintain all surfaces that 
are exposed to emissions at a temperature of (191 11) [deg]C.
    (d) FID fuel and burner air. Use FID fuel and burner air that meet 
the specifications of Sec.  1065.750. Do not allow the FID fuel and 
burner air to mix before entering the FID analyzer to ensure that the 
FID analyzer operates with a diffusion flame and not a premixed flame.
    (e) Methane. FID analyzers measure total hydrocarbons (THC). To 
determine nonmethane hydrocarbons (NMHC), quantify methane, 
CH4, either with a nonmethane cutter and a FID analyzer as 
described in Sec.  1065.265, or with a gas chromatograph as described in 
Sec.  1065.267. Instead of measuring methane, you may assume that 2% of 
measured total hydrocarbons is methane, as described in Sec.  1065.660. 
For a FID analyzer used to determine NMHC, determine its response factor 
to CH4, RFCH4, as described in Sec.  1065.360. Note that 
NMHC-related calculations are described in Sec.  1065.660.



Sec.  1065.265  Nonmethane cutter.

    (a) Application. You may use a nonmethane cutter to measure 
CH4 with a FID analyzer. A nonmethane cutter oxidizes all 
nonmethane hydrocarbons to CO2 and H2O. You may 
use a nonmethane cutter for raw or diluted exhaust for batch or 
continuous sampling.
    (b) System performance. Determine nonmethane-cutter performance as 
described in Sec.  1065.365 and use the results to calculate NMHC 
emission in Sec.  1065.660.
    (c) Configuration. Configure the nonmethane cutter with a bypass 
line for the verification described in Sec.  1065.365.
    (d) Optimization. You may optimize a nonmethane cutter to maximize 
the penetration of CH4 and the oxidation of all other 
hydrocarbons. You may humidify a sample and you may dilute a sample with 
purified air or oxygen (O2) upstream of the nonmethane cutter 
to optimize its performance. You must account for any sample 
humidification and dilution in emission calculations.

    Effective Date Note: At 73 FR 37300, June 30, 2008, Sec.  1065.265 
was amended by revising paragraph (c), effective July 7, 2008. For the 
convenience of the user, the revised text is set forth as follows:



Sec.  1065.265  Nonmethane cutter.

                                * * * * *

    (c) Configuration. Configure the nonmethane cutter with a bypass 
line if it is needed for the verification described in Sec.  1065.365.

                                * * * * *



Sec.  1065.267  Gas chromatograph.

    (a) Application. You may use a gas chromatograph to measure 
CH4 concentrations of diluted exhaust for batch sampling. 
While you may also use a nonmethane cutter to measure CH4, as 
described in Sec.  1065.265, use a reference procedure based on a gas 
chromatograph for comparison with any proposed alternate measurement 
procedure under Sec.  1065.10.
    (b) Component requirements. We recommend that you use a gas 
chromatograph that meets the specifications in Table 1 of Sec.  
1065.205, and it must also meet the linearity verification in Sec.  
1065.307.

[[Page 882]]

                       NOX Measurements



Sec.  1065.270  Chemiluminescent detector.

    (a) Application. You may use a chemiluminescent detector (CLD) to 
measure NOX concentration in raw or diluted exhaust for batch 
or continuous sampling. We generally accept a CLD for NOX 
measurement, even though it measures only NO and NO2, when 
coupled with an NO2-to-NO converter, since conventional 
engines and aftertreatment systems do not emit significant amounts of 
NOX species other than NO and NO2. Measure other 
NOX species if required by the standard-setting part. While 
you may also use other instruments to measure NOX, as 
described in Sec.  1065.272, use a reference procedure based on a 
chemiluminescent detector for comparison with any proposed alternate 
measurement procedure under Sec.  1065.10.
    (b) Component requirements. We recommend that you use a CLD that 
meets the specifications in Table 1 of Sec.  1065.205. Note that your 
CLD-based system must meet the quench verification in Sec.  1065.370 and 
it must also meet the linearity verification in Sec.  1065.307. You may 
use a heated or unheated CLD, and you may use a CLD that operates at 
atmospheric pressure or under a vacuum. You may use a CLD that has 
compensation algorithms that are functions of other gaseous measurements 
and the engine's known or assumed fuel properties. The target value for 
any compensation algorithm is 0.0% (that is, no bias high and no bias 
low), regardless of the uncompensated signal's bias.
    (c) NO2-to-NO converter. Place upstream of the CLD an internal or 
external NO2-to-NO converter that meets the verification in 
Sec.  1065.378. Configure the converter with a bypass to facilitate this 
verification.
    (d) Humidity effects. You must maintain all CLD temperatures to 
prevent aqueous condensation. To remove humidity from a sample upstream 
of a CLD, use one of the following configurations:
    (1) Connect a CLD downstream of any dryer or chiller that is 
downstream of an NO2-to-NO converter that meets the 
verification in Sec.  1065.378.
    (2) Connect a CLD downstream of any dryer or thermal chiller that 
meets the verification in Sec.  1065.376.
    (e) Response time. You may use a heated CLD to improve CLD response 
time.

    Effective Date Note: At 73 FR 37300, June 30, 2008, Sec.  1065.270 
was amended by revising paragraphs (c) and (d) introductory text, 
effective July 7, 2008. For the convenience of the user, the revised 
text is set forth as follows:



Sec.  1065.270  Chemiluminescent detector.

                                * * * * *

    (c) NO2-to-NO converter. Place upstream of the CLD an internal or 
external NO2-to-NO converter that meets the verification in 
Sec.  1065.378. Configure the converter with a bypass line if it is 
needed to facilitate this verification.
    (d) Humidity effects. You must maintain all CLD temperatures to 
prevent aqueous condensation. If you remove humidity from a sample 
upstream of a CLD, use one of the following configurations:

                                * * * * *



Sec.  1065.272  Nondispersive ultraviolet analyzer.

    (a) Application. You may use a nondispersive ultraviolet (NDUV) 
analyzer to measure NOX concentration in raw or diluted 
exhaust for batch or continuous sampling. We generally accept an NDUV 
for NOX measurement, even though it measures only NO and 
NO2, since conventional engines and aftertreatment systems do 
not emit significant amounts of other NOX species. Measure 
other NOX species if required by the standard-setting part.
    (b) Component requirements. We recommend that you use an NDUV 
analyzer that meets the specifications in Table 1 of Sec.  1065.205. 
Note that your NDUV-based system must meet the verifications in Sec.  
1065.372 and it must also meet the linearity verification in Sec.  
1065.307. You may use a NDUV analyzer that has compensation algorithms 
that are functions of other gaseous measurements and the engine's known 
or assumed fuel properties. The target value for any compensation 
algorithm is 0.0% (that is, no bias high and no bias low), regardless of 
the uncompensated signal's bias.

[[Page 883]]

    (c) NO2-to-NO converter. If your NDUV analyzer measures only NO, 
place upstream of the NDUV analyzer an internal or external 
NO2-to-NO converter that meets the verification in Sec.  
1065.378. Configure the converter with a bypass to facilitate this 
verification.
    (d) Humidity effects. You must maintain NDUV temperature to prevent 
aqueous condensation, unless you use one of the following 
configurations:
    (1) Connect an NDUV downstream of any dryer or chiller that is 
downstream of an NO2-to-NO converter that meets the 
verification in Sec.  1065.378.
    (2) Connect an NDUV downstream of any dryer or thermal chiller that 
meets the verification in Sec.  1065.376.

                       O2 Measurements



Sec.  1065.280  Paramagnetic and magnetopneumatic O[bdi2] detection analyzers.

    (a) Application. You may use a paramagnetic detection (PMD) or 
magnetopneumatic detection MPD) analyzer to measure O2 
concentration in raw or diluted exhaust for batch or continuous 
sampling. You may use O2 measurements with intake air or fuel 
flow measurements to calculate exhaust flow rate according to Sec.  
1065.650.
    (b) Component requirements. We recommend that you use a PMD/MPD 
analyzer that meets the specifications in Table 1 of Sec.  1065.205. 
Note that it must meet the linearity verification in Sec.  1065.307. You 
may use a PMD/MPD that has compensation algorithms that are functions of 
other gaseous measurements and the engine's known or assumed fuel 
properties. The target value for any compensation algorithm is 0.0% 
(that is, no bias high and no bias low), regardless of the uncompensated 
signal's bias.

    Effective Date Note: At 73 FR 37300, June 30, 2008, Sec.  1065.280 
was revised, effective July 7, 2008 For the convenience of the user, the 
revised text is set forth as follows:



Sec.  1065.280  Paramagnetic and magnetopneumatic O2 detection 
          analyzers.

    (a) Application. You may use a paramagnetic detection (PMD) or 
magnetopneumatic detection (MPD) analyzer to measure O2 
concentration in raw or diluted exhaust for batch or continuous 
sampling. You may use O2 measurements with intake air or fuel 
flow measurements to calculate exhaust flow rate according to Sec.  
1065.650.
    (b) Component requirements. We recommend that you use a PMD or MPD 
analyzer that meets the specifications in Table 1 of Sec.  1065.205. 
Note that it must meet the linearity verification in Sec.  1065.307. You 
may use a PMD or MPD that has compensation algorithms that are functions 
of other gaseous measurements and the engine's known or assumed fuel 
properties. The target value for any compensation algorithm is 0.0% 
(that is, no bias high and no bias low), regardless of the uncompensated 
signal's bias.

                     Air-to-Fuel Ratio Measurements



Sec.  1065.284  Zirconia (ZrO[bdi2]) analyzer.

    (a) Application. You may use a zirconia (ZrO2) analyzer 
to measure air-to-fuel ratio in raw exhaust for continuous sampling. You 
may use O2 measurements with intake air or fuel flow 
measurements to calculate exhaust flow rate according to Sec.  1065.650.
    (b) Component requirements. We recommend that you use a 
ZrO2 analyzer that meets the specifications in Table 1 of 
Sec.  1065.205. Note that your ZrO2-based system must meet 
the linearity verification in Sec.  1065.307. You may use a Zirconia 
analyzer that has compensation algorithms that are functions of other 
gaseous measurements and the engine's known or assumed fuel properties. 
The target value for any compensation algorithm is 0.0% (that is, no 
bias high and no bias low), regardless of the uncompensated signal's 
bias.

                             PM Measurements



Sec.  1065.290  PM gravimetric balance.

    (a) Application. Use a balance to weigh net PM on a sample medium 
for laboratory testing.
    (b) Component requirements. We recommend that you use a balance that 
meets the specifications in Table 1 of Sec.  1065.205. Note that your 
balance-based system must meet the linearity verification in Sec.  
1065.307. If the balance uses internal calibration weights for routine 
spanning and linearity verifications, the calibration weights must meet 
the specifications in Sec.  1065.790. While you may also use an inertial 
balance to measure PM, as described in Sec.  1065.295, use a reference 
procedure based on a gravimetric balance

[[Page 884]]

for comparison with any proposed alternate measurement procedure under 
Sec.  1065.10.
    (c) Pan design. We recommend that you use a balance pan designed to 
minimize corner loading of the balance, as follows:
    (1) Use a pan that centers the PM sample on the weighing pan. For 
example, use a pan in the shape of a cross that has upswept tips that 
center the PM sample media on the pan.
    (2) Use a pan that positions the PM sample as low as possible.
    (d) Balance configuration. Configure the balance for optimum 
settling time and stability at your location.

    Effective Date Note: At 73 FR 37300, June 30, 2008, Sec.  1065.290 
was amended by revising paragraph (c)(1), effective July 7, 2008. For 
the convenience of the user, the revised text is set forth as follows:



Sec.  1065.290  PM gravimetric balance.

                                * * * * *

    (c) * * *
    (1) Use a pan that centers the PM sample media (such as a filter) on 
the weighing pan. For example, use a pan in the shape of a cross that 
has upswept tips that center the PM sample media on the pan.



Sec.  1065.295  PM inertial balance for field-testing analysis.

    (a) Application. You may use an inertial balance to quantify net PM 
on a sample medium for field testing.
    (b) Component requirements. We recommend that you use a balance that 
meets the specifications in Table 1 of Sec.  1065.205. Note that your 
balance-based system must meet the linearity verification in Sec.  
1065.307. If the balance uses an internal calibration process for 
routine spanning and linearity verifications, the process must be NIST-
traceable. You may use an inertial PM balance that has compensation 
algorithms that are functions of other gaseous measurements and the 
engine's known or assumed fuel properties. The target value for any 
compensation algorithm is 0.0% (that is, no bias high and no bias low), 
regardless of the uncompensated signal's bias.



                Subpart D_Calibrations and Verifications



Sec.  1065.301  Overview and general provisions.

    (a) This subpart describes required and recommended calibrations and 
verifications of measurement systems. See subpart C of this part for 
specifications that apply to individual instruments.
    (b) You must generally use complete measurement systems when 
performing calibrations or verifications in this subpart. For example, 
this would generally involve evaluating instruments based on values 
recorded with the complete system you use for recording test data, 
including analog-to-digital converters. For some calibrations and 
verifications, we may specify that you disconnect part of the 
measurement system to introduce a simulated signal.
    (c) If we do not specify a calibration or verification for a portion 
of a measurement system, calibrate that portion of your system and 
verify its performance at a frequency consistent with any 
recommendations from the measurement-system manufacturer, consistent 
with good engineering judgment.
    (d) Use NIST-traceable standards to the tolerances we specify for 
calibrations and verifications. Where we specify the need to use NIST-
traceable standards, you may alternatively ask for our approval to use 
international standards that are not NIST-traceable.



Sec.  1065.303  Summary of required calibration and verifications.

    The following table summarizes the required and recommended 
calibrations and verifications described in this subpart and indicates 
when these have to be performed:

     Table 1 of Sec.   1065.303--Summary of Required Calibration and
                              Verifications
------------------------------------------------------------------------
    Type of calibration or
         verification                    Minimum frequency \a\
------------------------------------------------------------------------
Sec.   1065.305: accuracy,     Accuracy: Not required, but recommended
 repeatability and noise.       for initial installation.
                               Repeatability: Not required, but
                                recommended for initial installation.
                               Noise: Not required, but recommended for
                                initial installation.

[[Page 885]]

 
Sec.   1065.307: linearity...  Speed: Upon initial installation, within
                                370 days before testing and after major
                                maintenance.
                               Torque: Upon initial installation, within
                                370 days before testing and after major
                                maintenance.
                               Electrical power: Upon initial
                                installation, within 370 days before
                                testing and after major maintenance.
                               Clean gas and diluted exhaust flows: Upon
                                initial installation, within 370 days
                                before testing and after major
                                maintenance, unless flow is verified by
                                propane check or by carbon or oxygen
                                balance.
                               Raw exhaust flow: Upon initial
                                installation, within 185 days before
                                testing and after major maintenance,
                                unless flow is verified by propane check
                                or by carbon or oxygen balance.
                               Gas analyzers: Upon initial installation,
                                within 35 days before testing and after
                                major maintenance.
                               PM balance: Upon initial installation,
                                within 370 days before testing and after
                                major maintenance.
                               Stand-alone pressure and temperature:
                                Upon initial installation, within 370
                                days before testing and after major
                                maintenance.
Sec.   1065.308: Continuous    Upon initial installation, after system
 analyzer system response and   reconfiguration, and after major
 recording.                     maintenance.
Sec.   1065.309: Continuous    Upon initial installation, after system
 analyzer uniform response.     reconfiguration, and after major
                                maintenance.
Sec.   1065.310: torque......  Upon initial installation and after major
                                maintenance.
Sec.   1065.315: pressure,     Upon initial installation and after major
 temperature, dewpoint.         maintenance.
Sec.   1065.320: fuel flow...  Upon initial installation and after major
                                maintenance.
Sec.   1065.325: intake flow.  Upon initial installation and after major
                                maintenance.
Sec.   1065.330: exhaust flow  Upon initial installation and after major
                                maintenance.
Sec.   1065.340: diluted       Upon initial installation and after major
 exhaust flow (CVS).            maintenance.
Sec.   1065.341: CVS and       Upon initial installation, within 35 days
 batch sampler verification.    before testing, and after major
                                maintenance.
Sec.   1065.345: vacuum leak.  Before each laboratory test according to
                                subpart F of this part and before each
                                field test according to subpart J of
                                this part.
Sec.   1065.350: CO2 NDIR H2O  Upon initial installation and after major
 interference.                  maintenance.
Sec.   1065.355: CO NDIR CO2   Upon initial installation and after major
 and H2O interference.          maintenance.
Sec.   1065.360: FID           Calibrate, optimize, and determine CH4
 optimization, etc..            response: upon initial installation and
                                after major maintenance.
                               Verify CH4 response: upon initial
                                installation, within 185 days before
                                testing, and after major maintenance.
Sec.   1065.362: raw exhaust   Upon initial installation, after FID
 FID O2 interference.           optimization according to Sec.
                                1065.360, and after major maintenance.
Sec.   1065.365: nonmethane    Upon initial installation, within 185
 cutter penetration.            days before testing, and after major
                                maintenance.
Sec.   1065.370: CLD CO2 and   Upon initial installation and after major
 H2O quench.                    maintenance.
Sec.   1065.372: NDUV HC and   Upon initial installation and after major
 H2O interference.              maintenance.
Sec.   1065.376: chiller NO2   Upon initial installation and after major
 penetration.                   maintenance.
Sec.   1065.378: NO2-to-NO     Upon initial installation, within 35 days
 converter conversion.          before testing, and after major
                                maintenance.
Sec.   1065.390: PM balance    Independent verification: upon initial
 and weighing.                  installation, within 370 days before
                                testing, and after major maintenance.
                               Zero, span, and reference sample
                                verifications: within 12 hours of
                                weighing, and after major maintenance.
Sec.   1065.395: Inertial PM   Independent verification: upon initial
 balance and weighing.          installation, within 370 days before
                                testing, and after major maintenance.
                               Other verifications: upon initial
                                installation and after major
                                maintenance.
------------------------------------------------------------------------
\a\ Perform calibrations and verifications more frequently, according to
  measurement system manufacturer instructions and good engineering
  judgment.


    Effective Date Note: At 73 FR 37300, June 30, 2008, Sec.  1065.303 
was revised, effective July 7, 2008. For the convenience of the user, 
the revised text is set forth as follows:



Sec.  1065.303  Summary of required calibration and verifications.

    The following table summarizes the required and recommended 
calibrations and verifications described in this subpart and indicates 
when these have to be performed:

[[Page 886]]



    Table 1 of Sec.   1065.303.--Summary of Required Calibration and
                              Verifications
------------------------------------------------------------------------
    Type of calibration or
         verification                     Minimum frequency a
------------------------------------------------------------------------
Sec.   1065.305: Accuracy,     Accuracy: Not required, but recommended
 repeatability and noise.       for initial installation.
                               Repeatability: Not required, but
                                recommended for initial installation.
                               Noise: Not required, but recommended for
                                initial installation.
Sec.   1065.307: Linearity...  Speed: Upon initial installation, within
                                370 days before testing and after major
                                maintenance.
                               Torque: Upon initial installation, within
                                370 days before testing and after major
                                maintenance.
                               Electrical power: Upon initial
                                installation, within 370 days before
                                testing and after major maintenance.
                               Clean gas and diluted exhaust flows: Upon
                                initial installation, within 370 days
                                before testing and after major
                                maintenance, unless flow is verified by
                                propane check or by carbon or oxygen
                                balance.
                               Raw exhaust flow: Upon initial
                                installation, within 185 days before
                                testing and after major maintenance,
                                unless flow is verified by propane check
                                or by carbon or oxygen balance.
                               Gas analyzers: Upon initial installation,
                                within 35 days before testing and after
                                major maintenance.
                               PM balance: Upon initial installation,
                                within 370 days before testing and after
                                major maintenance.
                               Stand-alone pressure and temperature:
                                Upon initial installation, within 370
                                days before testing and after major
                                maintenance.
Sec.   1065.308: Continuous    Upon initial installation, after system
 analyzer system response and   reconfiguration, and after major
 recording.                     maintenance.
Sec.   1065.309: Continuous    Upon initial installation, after system
 analyzer uniform response.     reconfiguration, and after major
                                maintenance.
Sec.   1065.310: Torque......  Upon initial installation and after major
                                maintenance.
Sec.   1065.315: Pressure,     Upon initial installation and after major
 temperature, dewpoint.         maintenance.
Sec.   1065.320: Fuel flow...  Upon initial installation and after major
                                maintenance.
Sec.   1065.325: Intake flow.  Upon initial installation and after major
                                maintenance.
Sec.   1065.330: Exhaust flow  Upon initial installation and after major
                                maintenance.
Sec.   1065.340: Diluted       Upon initial installation and after major
 exhaust flow (CVS).            maintenance.
Sec.   1065.341: CVS and       Upon initial installation, within 35 days
 batch sampler verification b.  before testing, and after major
                                maintenance.
Sec.   1065.345: Vacuum leak.  Before each laboratory test according to
                                subpart F of this part and before each
                                field test according to subpart J of
                                this part.
Sec.   1065.350: CO2 NDIR H2O  Upon initial installation and after major
 interference.                  maintenance.
Sec.   1065.355: CO NDIR CO2   Upon initial installation and after major
 and H2O interference.          maintenance.
Sec.   1065.360: FID           Calibrate all FID analyzers: Upon initial
 calibration THC FID            installation and after major
 optimization, and THC FID      maintenance.
 verification.                 Optimize and determine CH4 response for
                                THC FID analyzers: upon initial
                                installation and after major
                                maintenance.
                               Verify CH4 response for THC FID
                                analyzers: Upon initial installation,
                                within 185 days before testing, and
                                after major maintenance.
Sec.   1065.362: Raw exhaust   For all FID analyzers: Upon initial
 FID O2 interference.           installation, and after major
                                maintenance.
                               For THC FID analyzers: Upon initial
                                installation, after major maintenance,
                                and after FID optimization according to
                                Sec.   1065.360.
Sec.   1065.365: Nonmethane    Upon initial installation, within 185
 cutter penetration.            days before testing, and after major
                                maintenance.
Sec.   1065.370: CLD CO2 and   Upon initial installation and after major
 H2O quench.                    maintenance.
Sec.   1065.372: NDUV HC and   Upon initial installation and after major
 H2O interference.              maintenance.
Sec.   1065.376: Chiller NO2   Upon initial installation and after major
 penetration.                   maintenance.
Sec.   1065.378: NO2-to-NO     Upon initial installation, within 35 days
 converter conversion.          before testing, and after major
                                maintenance.
Sec.   1065.390: PM balance    Independent verification: Upon initial
 and weighing.                  installation, within 370 days before
                                testing, and after major maintenance.
                               Zero, span, and reference sample
                                verifications: Within 12 hours of
                                weighing, and after major maintenance.
Sec.   1065.395: Inertial PM   Independent verification: Upon initial
 balance and weighing.          installation, within 370 days before
                                testing, and after major maintenance.
                               Other verifications: Upon initial
                                installation and after major
                                maintenance.
------------------------------------------------------------------------
a Perform calibrations and verifications more frequently, according to
  measurement system manufacturer instructions and good engineering
  judgment.
b The CVS verification described in Sec.   1065.341 is not required for
  systems that agree within  2% based on a chemical balance
  of carbon or oxygen of the intake air, fuel, and diluted exhaust.


[[Page 887]]



Sec.  1065.305  Verifications for accuracy, repeatability, and noise.

    (a) This section describes how to determine the accuracy, 
repeatability, and noise of an instrument. Table 1 of Sec.  1065.205 
specifies recommended values for individual instruments.
    (b) We do not require you to verify instrument accuracy, 
repeatability, or noise.
    However, it may be useful to consider these verifications to define 
a specification for a new instrument, to verify the performance of a new 
instrument upon delivery, or to troubleshoot an existing instrument.
    (c) In this section we use the letter ``y'' to denote a generic 
measured quantity, the superscript over-bar to denote an arithmetic mean 
(such as y), and the subscript ``ref'' to denote the reference quantity 
being measured.
    (d) Conduct these verifications as follows:
    (1) Prepare an instrument so it operates at its specified 
temperatures, pressures, and flows. Perform any instrument linearization 
or calibration procedures prescribed by the instrument manufacturer.
    (2) Zero the instrument as you would before an emission test by 
introducing a zero signal. Depending on the instrument, this may be a 
zero-concentration gas, a reference signal, a set of reference 
thermodynamic conditions, or some combination of these. For gas 
analyzers, use a zero gas that meets the specifications of Sec.  
1065.750.
    (3) Span the instrument as you would before an emission test by 
introducing a span signal. Depending on the instrument, this may be a 
span-concentration gas, a reference signal, a set of reference 
thermodynamic conditions, or some combination of these. For gas 
analyzers, use a span gas that meets the specifications of Sec.  
1065.750.
    (4) Use the instrument to quantify a NIST-traceable reference 
quantity, yref. For gas analyzers the reference gas must meet the 
specifications of Sec.  1065.750. Select a reference quantity near the 
mean value expected during testing. For all gas analyzers, use a 
quantity near the flow-weighted mean concentration expected at the 
standard or expected during testing, whichever is greater. For a noise 
verfication, use the same zero gas from paragraph (e) of this section as 
the reference quantity. In all cases, allow time for the instrument to 
stabilize while it measures the reference quantity. Stabilization time 
may include time to purge an instrument and time to account for its 
response.
    (5) Sample and record values for 30 seconds, record the arithmetic 
mean, yi, and record the standard deviation, [sigma]i, of the 
recorded values. Refer to Sec.  1065.602 for an example of calculating 
arithmetic mean and standard deviation.
    (6) Also, if the reference quantity is not absolutely constant, 
which might be the case with a reference flow, sample and record values 
of yrefi for 30 seconds and record the arithmetic mean of the 
values, yref. Refer to Sec.  1065.602 for an example of calculating 
arithmetic mean.
    (7) Subtract the reference value, yref (or yref), from the 
arithmetic mean, yi. Record this value as the error, [egr]i.
    (8) Repeat the steps specified in paragraphs (d)(2) through (6) of 
this section until you have ten arithmetic means (y1, 
y2, yi,. . . y10), ten standard deviations, 
([sigma]1, [sigma]2, [sigma]i,. . 
.[sigma]10), and ten errors ([egr]1, 
[egr]2, [egr]i,. . .[egr]10).
    (9) Use the following values to quantify your measurements:
    (i) Accuracy. Instrument accuracy is the absolute difference between 
the reference quantity, yref (or yref), and the arithmetic mean of the 
ten yi, y values. Refer to the example of an accuracy calculation in 
Sec.  1065.602. We recommend that instrument accuracy be within the 
specifications in Table 1 of Sec.  1065.205.
    (ii) Repeatability. Repeatability is two times the standard 
deviation of the ten errors (that is, repeatability = 2 [middot] 
[sigma][egr]). Refer to the example of a standard-deviation calculation 
in Sec.  1065.602. We recommend that instrument repeatability be within 
the specifications in Table 1 of Sec.  1065.205.
    (iii) Noise. Noise is two times the root-mean-square of the ten 
standard deviations (that is, noise = 2 [middot] rms[sigma]) when the 
reference signal is a zero-quantity signal. Refer to the example of a 
root-mean-square calculation in Sec.  1065.602. We recommend that 
instrument noise be within the specifications

[[Page 888]]

in Table 1 of Sec.  1065.205. Use this value in the noise correction 
specified in Sec.  1065.657.
    (10) You may use a measurement instrument that does not meet the 
accuracy, repeatability, or noise specifications in Table 1 of Sec.  
1065.205, as long as you meet the following criteria:
    (i) Your measurement systems meet all the other required 
calibration, verification, and validation specifications in subparts D, 
F, and J of this part, as applicable.
    (ii) The measurement deficiency does not adversely affect your 
ability to demonstrate compliance with the applicable standards.

    Effective Date Note: At 73 FR 37301, June 30, 2008, Sec.  1065.305 
was amended by revising paragraphs (d)(4), (d)(8) and (d)(9)(iii), 
effective July 7, 2008. For the convenience of the user, the revised 
text is set forth as follows:



Sec.  1065.305  Verifications for accuracy, repeatability, and noise.

                                * * * * *

    (d) * * *
    (4) Use the instrument to quantify a NIST-traceable reference 
quantity, yref. For gas analyzers the reference gas must meet 
the specifications of Sec.  1065.750. Select a reference quantity near 
the mean value expected during testing. For all gas analyzers, use a 
quantity near the flow-weighted mean concentration expected at the 
standard or expected during testing, whichever is greater. For noise 
verification, use the same zero gas from paragraph (e) of this section 
as the reference quantity. In all cases, allow time for the instrument 
to stabilize while it measures the reference quantity. Stabilization 
time may include time to purge an instrument and time to account for its 
response.

                                * * * * *

    (8) Repeat the steps specified in paragraphs (d)(2) through (7) of 
this section until you have ten arithmetic means (y1, 
y2, yi,...y10), ten standard 
deviations, ([sigma]1, [sigma]2, 
[sigma]i,...[sigma]10), and ten errors 
([egr]1, [egr]2, 
[egr]i,...[egr]10).
    (9) * * *
    (iii) Noise. Noise is two times the root-mean-square of the ten 
standard deviations (that is, noise = 2[middot]rms[sigma]) when the 
reference signal is a zero-quantity signal. Refer to the example of a 
root-mean-square calculation in Sec.  1065.602. We recommend that 
instrument noise be within the specifications in Table 1 of Sec.  
1065.205.



Sec.  1065.307  Linearity verification.

    (a) Scope and frequency. Perform a linearity verification on each 
measurement system listed in Table 1 of this section at least as 
frequently as indicated in the table, consistent with measurement system 
manufacturer recommendations and good engineering judgment. Note that 
this linearity verification may replace requirements we previously 
referred to as ``calibrations''. The intent of a linearity verification 
is to determine that a measurement system responds proportionally over 
the measurement range of interest. A linearity verification generally 
consists of introducing a series of at least 10 reference values to a 
measurement system. The measurement system quantifies each reference 
value. The measured values are then collectively compared to the 
reference values by using a least squares linear regression and the 
linearity criteria specified in Table 1 of this section.
    (b) Performance requirements. If a measurement system does not meet 
the applicable linearity criteria in Table 1 of this section, correct 
the deficiency by re-calibrating, servicing, or replacing components as 
needed. Before you may use a measurement system that does not meet 
linearity criteria, you must demonstrate to us that the deficiency does 
not adversely affect your ability to demonstrate compliance with the 
applicable standards.
    (c) Procedure. Use the following linearity verification protocol, or 
use good engineering judgment to develop a different protocol that 
satisfies the intent of this section, as described in paragraph (a) of 
this section:
    (1) In this paragraph (c), we use the letter ``y'' to denote a 
generic measured quantity, the superscript over-bar to denote an 
arithmetic mean (such as y), and the subscript ``ref'' to denote the 
known or reference quantity being measured.
    (2) Operate a measurement system at its specified temperatures, 
pressures, and flows. This may include any specified adjustment or 
periodic calibration of the measurement system.
    (3) Zero the instrument as you would before an emission test by 
introducing a zero signal. Depending on the instrument, this may be a 
zero-concentration

[[Page 889]]

gas, a reference signal, a set of reference thermodynamic conditions, or 
some combination of these. For gas analyzers, use a zero gas that meets 
the specifications of Sec.  1065.750 and introduce it directly at the 
analyzer port.
    (4) Span the instrument as you would before an emission test by 
introducing a span signal. Depending on the instrument, this may be a 
span-concentration gas, a reference signal, a set of reference 
thermodynamic conditions, or some combination of these. For gas 
analyzers, use a span gas that meets the specifications of Sec.  
1065.750 and introduce it directly at the analyzer port.
    (5) After spanning the instrument, check zero with the same signal 
you used in paragraph (c)(3) of this section. Based on the zero reading, 
use good engineering judgment to determine whether or not to rezero and 
or re-span the instrument before proceeding to the next step.
    (6) Use instrument manufacturer recommendations and good engineering 
judgment to select at least 10 reference values, yrefi, that are within 
the range from zero to the highest values expected during emission 
testing. We recommend selecting a zero reference signal as one of the 
reference values of the linearity verification.
    (7) Use instrument manufacturer recommendations and good engineering 
judgment to select the order in which you will introduce the series of 
reference values. For example you may select the reference values 
randomly to avoid correlation with previous measurements, you may select 
reference values in ascending or descending order to avoid long settling 
times of reference signals, or as another example you may select values 
to ascend and then descend which might incorporate the effects of any 
instrument hysteresis into the linearity verification.
    (8) Generate reference quantities as described in paragraph (d) of 
this section. For gas analyzers, use gas concentrations known to be 
within the specifications of Sec.  1065.750 and introduce them directly 
at the analyzer port.
    (9) Introduce a reference signal to the measurement instrument.
    (10) Allow time for the instrument to stabilize while it measures 
the reference value. Stabilization time may include time to purge an 
instrument and time to account for its response.
    (11) At a recording frequency of at least f Hz, specified in Table 1 
of Sec.  1065.205, measure the reference value for 30 seconds and record 
the arithmetic mean of the recorded values, yi. Refer to Sec.  1065.602 
for an example of calculating an arithmetic mean.
    (12) Repeat steps in paragraphs (c)(9) through (11) of this section 
until all reference quantities are measured.
    (13) Use the arithmetic means yi, and reference values, yrefi , to 
calculate least-squares linear regression parameters and statistical 
values to compare to the minimum performance criteria specified in Table 
1 of this section. Use the calculations described in Sec.  1065.602.
    (d) Reference signals. This paragraph (d) describes recommended 
methods for generating reference values for the linearity-verification 
protocol in paragraph (c) of this section. Use reference values that 
simulate actual values, or introduce an actual value and measure it with 
a reference-measurement system. In the latter case, the reference value 
is the value reported by the reference-measurement system. Reference 
values and reference-measurement systems must be NIST-traceable. We 
recommend using calibration reference quantities that are NIST-traceable 
within 0.5% uncertainty, if not specified otherwise in other sections of 
this part 1065. Use the following recommended methods to generate 
reference values or use good engineering judgment to select a different 
reference:
    (1) Engine speed. Run the engine or dynamometer at a series of 
steady-state speeds and use a strobe, a photo tachometer, or a laser 
tachometer to record reference speeds.
    (2) Engine torque. Use a series of calibration weights and a 
calibration lever arm to simulate engine torque. You may instead use the 
engine or dynamometer itself to generate a nominal torque that is 
measured by a reference load cell or proving ring in series with the 
torque-measurement system. In

[[Page 890]]

this case use the reference load cell measurement as the reference 
value. Refer to Sec.  1065.310 for a torque-calibration procedure 
similar to the linearity verification in this section.
    (3) Electrical work. Use a controlled source of current and a watt-
hour standard reference meter. Complete calibration systems that contain 
a current source and a reference watt-hour meter are commonly used in 
the electrical power distribution industry and are therefore 
commercially available.
    (4) Fuel rate. Operate the engine at a series of constant fuel-flow 
rates or re-circulate fuel back to a tank through the fuel flow meter at 
different flow rates. Use a gravimetric reference measurement (such as a 
scale, balance, or mass comparator) at the inlet to the fuel-measurement 
system. Use a stopwatch or timer to measure the time intervals over 
which reference masses of fuel are introduced to the fuel measurement 
system. The reference fuel mass divided by the time interval is the 
reference fuel flow rate.
    (5) Flow rates--inlet air, dilution air, diluted exhaust, raw 
exhaust, or sample flow. Use a reference flow meter with a blower or 
pump to simulate flow rates. Use a restrictor, diverter valve, a 
variable-speed blower or a variable-speed pump to control the range of 
flow rates. Use the reference meter's response as the reference values.
    (i) Reference flow meters. Because the flow range requirements for 
these various flows are large, we allow a variety of reference meters. 
For example, for diluted exhaust flow for a full-flow dilution system, 
we recommend a reference subsonic venturi flow meter with a restrictor 
valve and a blower to simulate flow rates. For inlet air, dilution air, 
diluted exhaust for partial-flow dilution, raw exhaust, or sample flow, 
we allow reference meters such as critical flow orifices, critical flow 
venturis, laminar flow elements, master mass flow standards, or Roots 
meters. Make sure the reference meter is calibrated by the flow-meter 
manufacturer and its calibration is NIST-traceable. If you use the 
difference of two flow measurements to determine a net flow rate, you 
may use one of the measurements as a reference for the other.
    (ii) Reference flow values. Because the reference flow is not 
absolutely constant, sample and record values of nrefi for 30 seconds 
and use the arithmetic mean of the values, nref, as the reference value. 
Refer to Sec.  1065.602 for an example of calculating arithmetic mean.
    (6) Gas division. Use one of the two reference signals: (i) At the 
outlet of the gas-division system, connect a gas analyzer that meets the 
linearity verification described in this section and has not been 
linearized with the gas divider being verified. For example, verify the 
linearity of an analyzer using a series of reference analytical gases 
directly from compressed gas cylinders that meet the specifications of 
Sec.  1065.750. We recommend using a FID analyzer or a PMD/MPD 
O2 analyzer because of their inherent linearity. Operate this 
analyzer consistent with how you would operate it during an emission 
test. Connect a span gas to the gas-divider inlet. Use the gas-division 
system to divide the span gas with purified air or nitrogen. Select gas 
divisions that you typically use. Use a selected gas division as the 
measured value. Use the analyzer response divided by the span gas 
concentration as the reference gas-division value. Because the 
instrument response is not absolutely constant, sample and record values 
of xrefi for 30 seconds and use the arithmetic mean of the values xref, 
as the reference value. Refer to Sec.  1065.602 for an example of 
calculating arithmetic mean.
    (ii) Using good engineering judgment and gas divider manufacturer 
recommendations, use one or more reference flow meters to verify the 
measured flow rates of the gas divider.
    (7) Continuous constituent concentration. For reference values, use 
a series of gas cylinders of known gas concentration or use a gas-
division system that is known to be linear with a span gas. Gas 
cylinders, gas-division systems, and span gases that you use for 
reference values must meet the specifications of Sec.  1065.750.

[[Page 891]]

[GRAPHIC] [TIFF OMITTED] TR13JY05.021


    Effective Date Note: At 73 FR 37302, June 30, 2008, Sec.  1065.307 
was amended by revising paragraphs (b),(c)(6), (c)(13), and Table 1 and 
adding paragraphs (d)(8) and (e) before the ndwly revised table, 
effective July 7, 2008. For the convenience of the user, the added and 
revised text is set forth as follows:



Sec.  1065.307  Linearity verification.

                                * * * * *

    (b) Performance requirements. If a measurement system does not meet 
the applicable linearity criteria in Table 1 of this section, correct 
the deficiency by re-calibrating, servicing, or replacing components as 
needed. Repeat the linearity verification after correcting the 
deficiency to ensure that the measurement system meets the linearity 
criteria. Before you may use a measurement system that does not meet 
linearity criteria, you must demonstrate to us that the deficiency does 
not adversely affect your ability to demonstrate compliance with the 
applicable standards.
    (c) * * *
    (6) For all measured quantities, use instrument manufacturer 
recommendations and

[[Page 892]]

good engineering judgment to select reference values, yrefi, 
that cover a range of values that you expect would prevent extrapolation 
beyond these values during emission testing. We recommend selecting a 
zero reference signal as one of the reference values of the linearity 
verification. For stand-alone pressure and temperature linearity 
verifications, we recommend at least three reference values. For all 
other linearity verifications select at least ten reference values.

                                * * * * *

    (13) Use the arithmetic means, yi, and reference values, 
yrefi, to calculate least-squares linear regression 
parameters and statistical values to compare to the minimum performance 
criteria specified in Table 1 of this section. Use the calculations 
described in Sec.  1065.602. Using good engineering judgment, you may 
weight the results of individual data pairs (i.e., (yrefi, 
yi)), in the linear regression calculations.
    (d) * * *
    (8) Temperature. You may perform the linearity verification for 
temperature measurement systems with thermocouples, RTDs, and 
thermistors by removing the sensor from the system and using a simulator 
in its place. Use a NIST-traceable simulator that is independently 
calibrated and, as appropriate, cold-junction compensated. The simulator 
uncertainty scaled to temperature must be less than 0.5% of 
Tmax. If you use this option, you must use sensors that the 
supplier states are accurate to better than 0.5% of Tmax 
compared with their standard calibration curve.
    (e) Measurement systems that require linearity verification. Table 1 
of this section indicates measurement systems that require linearity 
verifications, subject to the following provisions:
    (1) Perform a linearity verification more frequently based on the 
instrument manufacturer's recommendation or good engineering judgment.
    (2) The expression ``min'' refers to the minimum reference value 
used during the linearity verification. Note that this value may be zero 
or a negative value depending on the signal.
    (3) The expression ``max'' generally refers to the maximum reference 
value used during the linearity verification. For example for gas 
dividers, xmax is the undivided, undiluted, span gas 
concentration. The following are special cases where ``max'' refers to a 
different value:
    (i) For linearity verification with a PM balance, mmax 
refers to the typical mass of a PM filter.
    (ii) For linearity verification of torque, Tmax refers to 
the manufacturer's specified engine torque peak value of the lowest 
torque engine to be tested.
    (4) The specified ranges are inclusive. For example, a specified 
range of 0.98-1.02 for a1 means 0.98<=a1<=1.02.
    (5) These linearity verifications are optional for systems that pass 
the flow-rate verification for diluted exhaust as described in Sec.  
1065.341 (the propane check) or for systems that agree within 2% based on a chemical balance of carbon or oxygen of 
the intake air, fuel, and exhaust.
    (6) You must meet the a1 criteria for these quantities 
only if the absolute value of the quantity is required, as opposed to a 
signal that is only linearly proportional to the actual value.
    (7) The following provisions apply for stand-alone temperature 
measurements:
    (i) The following temperature linearity checks are required:
    (A) Air intake.
    (B) Aftertreatment bed(s), for engines tested with aftertreatment 
devices subject to cold-start testing.
    (C) Dilution air for PM sampling, including CVS, double-dilution, 
and partial-flow systems.
    (D) PM sample, if applicable.
    (E) Chiller sample, for gaseous sampling systems that use chillers 
to dry samples.
    (ii) The following temperature linearity checks are required only if 
specified by the engine manufacturer:
    (A) Fuel inlet.
    (B) Air outlet to the test cell's charge air cooler air outlet, for 
engines tested with a laboratory heat exchanger that simulates an 
installed charge air cooler.
    (C) Coolant inlet to the test cell's charge air cooler, for engines 
tested with a laboratory heat exchanger that simulates an installed 
charge air cooler.
    (D) Oil in the sump/pan.
    (E) Coolant before the thermostat, for liquid-cooled engines.
    (8) The following provisions apply for stand-alone pressure 
measurements:
    (i) The following pressure linearity checks are required:
    (A) Air intake restriction.
    (B) Exhaust back pressure.
    (C) Barometer.
    (D) CVS inlet gage pressure.
    (E) Chiller sample, for gaseous sampling systems that use chillers 
to dry samples.
    (ii) The following pressure linearity checks are required only if 
specified by the engine manufacturer:
    (A) The test cell's charge air cooler and interconnecting pipe 
pressure drop, for turbo-charged engines tested with a laboratory heat 
exchanger that simulates an installed charge air cooler.
    (B) Fuel outlet.

[[Page 893]]



                                  Table 1 of Sec.   1065.307.--Measurement Systems That Require Linearity Verifications
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                        Linearity criteria
                                                   Minimum verification  -------------------------------------------------------------------------------
       Measurement system           Quantity            frequency         [verbarlm]xmin(a1-1)+a0
                                                                                 [verbarlm]             a1                SEE                 r \2\
--------------------------------------------------------------------------------------------------------------------------------------------------------
Engine speed...................  fn............  Within 370 days before   <=0.05 % fnmax.........    0.98-1.02  <=2 % [middot] fnmax...  =0.9
                                                  testing.                                                                                90
Engine torque..................  T.............  Within 370 days before   <=1 % [middot] Tmax....    0.98-1.02  <=2 % [middot] Tmax....  =0.9
                                                  testing.                                                                                90
Electrical work................  W.............  Within 370 days before   <=1 % [middot] Tmax....    0.98-1.02  <=2 % [middot] Tmax....  =0.9
                                                  testing.                                                                                90
Fuel flow rate.................  m.............  Within 370 days before   <=1 % [middot] mmax....    0.98-1.02  <=2 % [middot] mmax....  =0.9
                                                  testing d.                                                                              90
Intake-air flow rate...........  n.............  Within 370 days before   <=1 % [middot] nmax....    0.98-1.02  <=2 % [middot] nmax....  =0.9
                                                  testing.                                                                                90
Dilution air flow rate.........  n.............  Within 370 days before   <=1 % [middot] nmax....    0.98-1.02  <=2 % [middot] nmax....  =0.9
                                                  testing.                                                                                90
Diluted exhaust flow rate......  n.............  Within 370 days before   <=1 % [middot] nmax....    0.98-1.02  <=2 % [middot] nmax....  =0.9
                                                  testing.                                                                                90
Raw exhaust flow rate..........  n.............  Within 185 days before   <=1 % [middot] nmax....    0.98-1.02  <=2 % [middot] nmax....  =0.9
                                                  testing.                                                                                90
Batch sampler flow rates.......  n.............  Within 370 days before   <=1 % [middot] nmax....    0.98-1.02  <=2 % [middot] nmax....  =0.9
                                                  testing.                                                                                90
Gas dividers...................  x/xspan.......  Within 370 days before   <=0.5 % [middot] xmax..    0.98-1.02  <=2 % [middot] xmax....  =0.9
                                                  testing.                                                                                90
Gas analyzers for laboratory     x.............  Within 35 days before    <=0.5 % [middot] xmax..    0.99-1.01  <=1 % [middot] xmax....  =0.9
 testing.                                         testing.                                                                                98
Gas analyzers for field testing  x.............  Within 35 days before    <=1 % [middot] xmax....    0.99-1.01  <=1 % [middot] xmax....  =0.9
                                                  testing.                                                                                98
PM balance.....................  m.............  Within 370 days before   <=1 % [middot] mmax....    0.99-1.01  <=1 % [middot] mmax....  =0.9
                                                  testing.                                                                                98
Stand-alone pressures..........  p.............  Within 370 days before   <=1 % [middot] pmax....    0.99-1.01  <=1 % [middot] pmax....  =0.9
                                                  testing.                                                                                98
Analog-to-digital conversion of  T.............  Within 370 days before   <=1 % [middot] Tmax....    0.99-1.01  <=1 % [middot] Tmax....  =0.9
 stand-alone temperature                          testing.                                                                                98
 signals.
--------------------------------------------------------------------------------------------------------------------------------------------------------


[[Page 894]]



Sec.  1065.308  Continuous gas analyzer system-response and updating-recording verification.

    (a) Scope and frequency. Perform this verification after installing 
or replacing a gas analyzer that you use for continuous sampling. Also 
perform this verification if you reconfigure your system in a way that 
would change system response. For example, perform this verification if 
you add a significant volume to the transfer lines by increasing their 
length or adding a filter; or if you change the frequency at which you 
sample and record gas-analyzer concentrations.
    (b) Measurement principles. This test verifies that the updating and 
recording frequencies match the overall system response to a rapid 
change in the value of concentrations at the sample probe. Gas analyzer 
systems must be optimized such that their overall response to a rapid 
change in concentration is updated and recorded at an appropriate 
frequency to prevent loss of information.
    (c) System requirements. To demonstrate acceptable updating and 
recording with respect to the system's overall response, use good 
engineering judgment to select one of the following criteria that your 
system must meet:
    (1) The product of the mean rise time and the frequency at which the 
system records an updated concentration must be at least 5, and the 
product of the mean fall time and the frequency at which the system 
records an updated concentration must be at least 5. This criteria makes 
no assumption regarding the frequency content of changes in emission 
concentrations during emission testing; therefore, it is valid for any 
testing.
    (2) The frequency at which the system records an updated 
concentration must be at least 5 Hz. This criteria assumes that the 
frequency content of significant changes in emission concentrations 
during emission testing do not exceed 1 Hz.
    (3) You may use other criteria if we approve the criteria in 
advance.
    (4) For PEMS, you do not have to meet this criteria if your PEMS 
meets the overall PEMS check in Sec.  1065.920.
    (d) Procedure. Use the following procedure to verify the response of 
a continuous gas analyzer system:
    (1) Instrument setup. Follow the analyzer system manufacturer's 
start-up and operating instructions. Adjust the system as needed to 
optimize performance.
    (2) Equipment setup. Using minimal gas transfer line lengths between 
all connections, connect a zero-air source to one inlet of a fast-acting 
3-way valve (2 inlets, 1 outlet). Using a gas divider, equally blend an 
NO-CO-CO2-C3H8-CH4 (balance 
N2) span gas with a span gas of NO2. Connect the 
gas divider outlet to the other inlet of the 3-way valve. Connect the 
valve outlet to an overflow at the gas analyzer system's probe or to an 
overflow fitting between the probe and transfer line to all the 
analyzers being verified.
    (3) Data collection. (i) Switch the valve to flow zero gas.
    (ii) Allow for stabilization, accounting for transport delays and 
the slowest instrument's full response.
    (iii) Start recording data at the frequency used during emission 
testing. Each recorded value must be a unique updated concentration 
measured by the analyzer; you may not use interpolation to increase the 
number of recorded values.
    (iv) Switch the valve to flow the blended span gases.
    (v) Allow for transport delays and the slowest instrument's full 
response.
    (vi) Repeat the steps in paragraphs (d)(3)(i) through (v) of this 
section to record seven full cycles, ending with zero gas flowing to the 
analyzers.
    (vii) Stop recording.
    (e) Performance evaluation. (1) If you chose to demonstrate 
compliance with paragraph (c)(1) of this section, use the data from 
paragraph (d)(3) of this section to calculate the mean rise time, 
T10-90, and mean fall time, T90-10, for each of 
the analyzers. Multiply these times (in seconds) by their respective 
recording frequencies in Hertz (1/second). The value for each result 
must be at least 5. If the value is less than 5, increase the recording 
frequency or adjust the flows or design of the sampling system to 
increase the rise time and

[[Page 895]]

fall time as needed. You may also configure digital filters to increase 
rise and fall times.
    (2) If a measurement system fails the criterion in paragraph (e)(1) 
of this section, ensure that signals from the system are updated and 
recorded at a frequency of at least 5 Hz.
    (3) If a measurement system fails the criteria in paragraphs (e)(1) 
and (2) of this section, you may use the continuous analyzer system only 
if the deficiency does not adversely affect your ability to show 
compliance with the applicable standards.

    Effective Date Note: At 73 FR 37303, June 30, 2008, Sec.  1065.308 
was revised, effective July 7, 2008. For the convenience of the user, 
the revised text is set forth as follows:



Sec.  1065.308  Continuous gas analyzer system-response and updating-
          recording verification--general.

    This section describes a general verification procedure for 
continuous gas analyzer system response and update recording. See Sec.  
1065.309 for verification procedures that apply for systems or 
components involving H2O correction.
    (a) Scope and frequency. Perform this verification after installing 
or replacing a gas analyzer that you use for continuous sampling. Also 
perform this verification if you reconfigure your system in a way that 
would change system response. For example, perform this verification if 
you add a significant volume to the transfer lines by increasing their 
length or adding a filter; or if you reduce the frequency at which you 
sample and record gas-analyzer concentrations. You do not have to 
perform this verification for gas analyzer systems used only for 
discrete-mode testing.
    (b) Measurement principles. This test verifies that the updating and 
recording frequencies match the overall system response to a rapid 
change in the value of concentrations at the sample probe. Gas analyzer 
systems must be optimized such that their overall response to a rapid 
change in concentration is updated and recorded at an appropriate 
frequency to prevent loss of information. This test also verifies that 
continuous gas analyzer systems meet a minimum response time.
    (c) System requirements. To demonstrate acceptable updating and 
recording with respect to the system's overall response, use good 
engineering judgment to select one of the following criteria that your 
system must meet:
    (1) The product of the mean rise time and the frequency at which the 
system records an updated concentration must be at least 5, and the 
product of the mean fall time and the frequency at which the system 
records an updated concentration must be at least 5. This criterion 
makes no assumption regarding the frequency content of changes in 
emission concentrations during emission testing; therefore, it is valid 
for any testing. In any case the mean rise time and the mean fall time 
must be no more than 10 seconds.
    (2) The frequency at which the system records an updated 
concentration must be at least 5 Hz. This criterion assumes that the 
frequency content of significant changes in emission concentrations 
during emission testing do not exceed 1 Hz. In any case the mean rise 
time and the mean fall time must be no more than 10 seconds.
    (3) You may use other criteria if we approve the criteria in 
advance.
    (4) You may meet the overall PEMS verification in Sec.  1065.920 
instead of the verification in this section for field testing with PEMS.
    (d) Procedure. Use the following procedure to verify the response of 
a continuous gas analyzer system:
    (1) Instrument setup. Follow the analyzer system manufacturer's 
start-up and operating instructions. Adjust the system as needed to 
optimize performance.
    (2) Equipment setup. We recommend using minimal lengths of gas 
transfer lines between all connections and fast-acting three-way valves 
(2 inlets, 1 outlet) to control the flow of zero and blended span gases 
to the analyzers. You may use a gas mixing or blending device to equally 
blend an NO-CO-CO2-C3H8-CH4, 
balance N2 span gas with a span gas of NO2, 
balance purified synthetic air. Standard binary span gases may also be 
used, where applicable, in place of blended NO-CO-CO2-
C3H8-CH4, balance N2 span 
gas, but separate response tests must then be run for each analyzer. In 
designing your experimental setup, avoid pressure pulsations due to 
stopping the flow through the gas-blending device. Note that you may 
omit any of these gas constituents if they are not relevant to your 
analyzers for this verification.
    (3) Data collection. (i) Start the flow of zero gas.
    (ii) Allow for stabilization, accounting for transport delays and 
the slowest instrument's full response.
    (iii) Start recording data at the frequency used during emission 
testing. Each recorded value must be a unique updated concentration 
measured by the analyzer; you may not use interpolation to increase the 
number of recorded values.
    (iv) Switch the flow to allow the blended span gases to flow to the 
analyzer.
    (v) Allow for transport delays and the slowest instrument's full 
response.
    (vi) Repeat the steps in paragraphs (d)(3)(i) through (v) of this 
section to record seven full cycles, ending with zero gas flowing to the 
analyzers.

[[Page 896]]

    (vii) Stop recording.
    (e) Performance evaluation. (1) If you chose to demonstrate 
compliance with paragraph (c)(1) of this section, use the data from 
paragraph (d)(3) of this section to calculate the mean rise time, 
t10-90, and mean fall time, t10-90, for each of 
the analyzers. Multiply these times (in seconds) by their respective 
recording frequencies in Hertz (1/second). The value for each result 
must be at least 5. If the value is less than 5, increase the recording 
frequency or adjust the flows or design of the sampling system to 
increase the rise time and fall time as needed. You may also configure 
digital filters to increase rise and fall times. The mean rise time and 
mean fall time must be no greater than 10 seconds.
    (2) If a measurement system fails the criterion in paragraph (e)(1) 
of this section, ensure that signals from the system are updated and 
recorded at a frequency of at least 5 Hz. In any case, the mean rise 
time and mean fall time must be no greater than 10 seconds.
    (3) If a measurement system fails the criteria in paragraphs (e)(1) 
and (2) of this section, you may use the continuous analyzer system only 
if the deficiency does not adversely affect your ability to show 
compliance with the applicable standards.



Sec.  1065.309  Continuous gas analyzer uniform response verification.

    (a) Scope and frequency. If you use more than one continuous gas 
analyzer to quantify a gaseous constituent, you must perform this 
verification. For example, if you determine NMHC as the difference 
between continuous THC and CH4 measurements, you must perform 
this verification on your NMHC measurement system. As another example if 
you determine NOX as the sum of separate continuous 
measurements of NO and NO2, you must perform this 
verification on your NOX measurement system. Also, you must 
perform this verification if you use one continuous analyzer to apply an 
interference compensation algorithm to another continuous gas analyzer. 
Perform this verification after initial installation or major 
maintenance. Also perform this verification if you reconfigure your 
system in a way that would change system response. For example, perform 
this verification if you add a significant volume to the transfer lines 
by increasing their length or by adding a filter; or if you change the 
frequency at which you sample and record gas-analyzer concentrations.
    (b) Measurement principles. This procedure verifies the time-
alignment and uniform response of combined continuous gas measurements.
    (c) System requirements. Demonstrate that combined continuous 
concentration measurements have a uniform rise and fall during a 
simultaneous to a step change in both concentrations. During a system 
response to a rapid change in multiple gas concentrations, demonstrate 
that the t50 times of all combined analyzers all occur at the 
same recorded second of data or between the same two recorded seconds of 
data.
    (d) Procedure. Use the following procedure to verify the response of 
a continuous gas analyzer system:
    (1) Instrument setup. Follow the analyzer system manufacturer's 
start-up and operating instructions. Adjust the system as needed to 
optimize performance.
    (2) Equipment setup. Using minimal gas transfer line lengths between 
all connections, connect a zero-air source to the inlet of a 100 [deg]C 
heated line. Connect the heated line outlet to one inlet of a 100 [deg]C 
heated fast-acting 3-way valve (2 inlets, 1 outlet). Using a gas 
divider, equally blend an NO-CO-CO2-
C3H8-CH4 (balance N2) span 
gas with a span gas of NO2 (balance N2). Connect 
the gas divider outlet to the inlet of a 50 [deg]C heated line. Connect 
the heated line outlet to the inlet of a 50 [deg]C gas bubbler filled 
with distilled water. Connect the bubbler outlet to another heated line 
at 100 [deg]C. Connect the outlet of the 100 [deg]C line to the other 
inlet of the 3-way valve. Connect the valve outlet to an overflow at the 
gas analyzer system's probe or to an overflow fitting between the probe 
and transfer line to all the analyzers being verified.
    (3) Data collection. (i) Switch the valve to flow zero gas.
    (ii) Allow for stabilization, accounting for transport delays and 
the slowest instrument's full response.
    (iii) Start recording data at the frequency used during emission 
testing.
    (iv) Switch the valve to flow span gas.
    (v) Allow for transport delays and the slowest instrument's full 
response.
    (vi) Repeat the steps in paragraphs (d)(3)(i) through (v) of this 
section to

[[Page 897]]

record seven full cycles, ending with zero gas flowing to the analyzers.
    (vii) Stop recording.
    (e) Performance evaluations. Perform the following evaluations:
    (1) Uniform response evaluation. (i) Calculate the mean rise time, 
t10-90, mean fall time, t90-10 for each analyzer.
    (ii) Determine the maximum mean rise and fall times for the slowest 
responding analyzer in each combination of continuous analyzer signals 
that you use to determine a single emission concentration.
    (iii) If the maximum rise time or fall time is greater than one 
second, verify that all other gas analyzers combined with it have mean 
rise and fall times of at least 75% of that analyzer's response.
    (iv) If any analyzer has shorter rise or fall times, disperse that 
signal so that it better matches the rise and fall times of the slowest 
signal with which it is combined. We recommend that you perform 
dispersion using SAE 2001-01-3536 (incorporated by reference in Sec.  
1065.1010) as a guide.
    (v) Repeat this verification after optimizing your systems to ensure 
that you dispersed signals correctly. If after repeated attempts at 
dispersing signals your system still fails this verification, you may 
use the continuous analyzer system if the deficiency does not adversely 
affect your ability to show compliance with the applicable standards.
    (2) Time alignment evaluation. (i) After all signals are adjusted to 
meet the uniform response evaluation, determine the second at which--or 
the two seconds between which--each analyzer crossed the midpoint of its 
response, t50.
    (ii) Verify that all combined gas analyzer signals are time-aligned 
such that all of their t50 times occurred at the same second 
or between the same two seconds in the recorded data.
    (iii) If your system fails to meet this criterion, you may change 
the time alignment of your system and retest the system completely. If 
after changing the time alignment of your system, some of the 
t50 times still are not aligned, take corrective action by 
dispersing analyzer signals that have the shortest rise and fall times.
    (iv) If some t50 times are still not aligned after 
repeated attempts at dispersion and time alignment, you may use the 
continuous analyzer system if the deficiency does not adversely affect 
your ability to show compliance with the applicable standards.

    Effective Date Note: At 73 FR 37304, June 30, 2008, Sec.  1065.309 
was revised, effective July 7, 2008. For the convenience of the user, 
the revised text is set forth as follows:



Sec.  1065.309  Continuous gas analyzer system-response and updating-
          recording verification--with humidified-response verification.

    This section describes a verification procedure for continuous gas 
analyzer system response and update recording for systems or components 
involving H2O correction. See Sec.  1065.308 for verification 
procedures that apply for systems not involving humidification.
    (a) Scope and frequency. Perform this verification to determine a 
continuous gas analyzer's response, where one analyzer's response is 
compensated by another's to quantify a gaseous emission. For this check 
we consider water vapor a gaseous constituent. You do not have to 
perform this verification for batch gas analyzer systems or for 
continuous analyzer systems that are only used for discrete-mode 
testing. Perform this verification after initial installation (i.e. test 
cell commissioning). The verification in this section is required for 
initial installation of systems or components involving H2O 
correction. For later verifications, you may use the procedures 
specified in Sec.  1065.308, as long as your system includes no 
replacement components involving H2O correction that have 
never been verified using the procedures in this section.
    (b) Measurement principles. This procedure verifies the time-
alignment and uniform response of continuously combined gas 
measurements. For this procedure, ensure that all compensation 
algorithms and humidity corrections are turned on.
    (c) System requirements. Demonstrate that continuously combined 
concentration measurements have a uniform rise and fall during a system 
response to a rapid change in multiple gas concentrations. You must meet 
one of the following criteria:
    (1) The product of the mean rise time and the frequency at which the 
system records an updated concentration must be at least 5, and the 
product of the mean fall time and the frequency at which the system 
records an updated concentration must be at least 5. This criterion 
makes no assumption regarding the frequency content of changes in 
emission concentrations during emission testing; therefore, it is valid 
for any testing.

[[Page 898]]

In no case may the mean rise time or the mean fall time be more than 10 
seconds.
    (2) The frequency at which the system records an updated 
concentration must be at least 5 Hz. This criterion assumes that the 
frequency content of significant changes in emission concentrations 
during emission testing do not exceed 1 Hz. In no case may the mean rise 
time or the mean fall time be more than 10 seconds.
    (3) You may use other criteria if we approve them in advance.
    (4) You may meet the overall PEMS verification in Sec.  1065.920 
instead of the verification in this section for field testing with PEMS.
    (d) Procedure. Use the following procedure to verify the response of 
a continuous gas analyzer system:
    (1) Instrument setup. Follow the analyzer system manufacturer's 
start-up and operating instructions. Adjust the system as needed to 
optimize performance.
    (2) Equipment setup. We recommend using minimal lengths of gas 
transfer lines between all connections and fast-acting three-way valves 
(2 inlets, 1 outlet) to control the flow of zero and blended span gases 
to the analyzers. You may use a gas blending or mixing device to equally 
blend a span gas of NO-CO-CO2-C3H8-
CH4, balance N2, with a span gas of 
NO2, balance purified synthetic air. Standard binary span 
gases may be used, where applicable, in place of blended NO-CO-
CO2-C3H8-CH4, balance 
N2 span gas, but separate response tests must then be run for 
each analyzer. In designing your experimental setup, avoid pressure 
pulsations due to stopping the flow through the gas blending device. 
Span gases must be humidified before entering the analyzer; however, you 
may not humidify NO2 span gas by passing it through a sealed 
humidification vessel that contains water. We recommend humidifying your 
NO-CO-CO2-C3H8-CH4, balance 
N2 blended gas by flowing the gas mixture through a sealed 
vessel that humidifies the gas by bubbling it through distilled water 
and then mixing the gas with dry NO2 gas, balance purified 
synthetic air. If your system does not use a sample dryer to remove 
water from the sample gas, you must humidify your span gas by flowing 
the gas mixture through a sealed vessel that humidifies the gas to the 
highest sample dewpoint that you estimate during emission sampling by 
bubbling it through distilled water. If your system uses a sample dryer 
during testing that has passed the sample dryer verification check in 
Sec.  1065.342, you may introduce the humidified gas mixture downstream 
of the sample dryer by bubbling it through distilled water in a sealed 
vessel at (25  10) [deg]C, or a temperature 
greater than the dewpoint determined in Sec.  1065.145(d)(2). In all 
cases, maintain the humidified gas temperature downstream of the vessel 
at least 5 [deg]C above its local dewpoint in the line. We recommend 
that you heat all gas transfer lines and valves located downstream of 
the vessel as needed to avoid condensation. Note that you may omit any 
of these gas constituents if they are not relevant to your analyzers for 
this verification. If any of your gas constituents are not susceptible 
to water compensation, you may perform the response check for these 
analyzers without humidification.
    (3) Data collection. (i) Start the flow of zero gas.
    (ii) Allow for stabilization, accounting for transport delays and 
the slowest instrument's full response.
    (iii) Start recording data at the frequency used during emission 
testing. Each recorded value must be a unique updated concentration 
measured by the analyzer; you may not use interpolation to increase the 
number of recorded values.
    (iv) Switch the flow to allow the blended span gases to flow to the 
analyzers.
    (v) Allow for transport delays and the slowest instrument's full 
response.
    (vi) Repeat the steps in paragraphs (d)(3)(i) through (v) of this 
section to record seven full cycles, ending with zero gas flowing to the 
analyzers.
    (vii) Stop recording.
    (e) Performance evaluations. (1) If you chose to demonstrate 
compliance with paragraph (c)(1) of this section, use the data from 
paragraph (d)(3) of this section to calculate the mean rise time, 
t10-90, and mean fall time, tS90-10, for each of 
the analyzers. Multiply these times (in seconds) by their respective 
recording frequencies in Hz (1/second). The value for each result must 
be at least 5. If the value is less than 5, increase the recording 
frequency or adjust the flows or design of the sampling system to 
increase the rise time and fall time as needed. You may also configure 
digital filters to increase rise and fall times. In no case may the mean 
rise time or mean fall time be greater than 10 seconds.
    (2) If a measurement system fails the criterion in paragraph (e)(1) 
of this section, ensure that signals from the system are updated and 
recorded at a frequency of at least 5 Hz. In no case may the mean rise 
time or mean fall time be greater than 10 seconds.
    (3) If a measurement system fails the criteria in paragraphs (e)(1) 
and (2) of this section, you may use the continuous analyzer system only 
if the deficiency does not adversely affect your ability to show 
compliance with the applicable standards.

         Measurement of Engine Parameters and Ambient Conditions



Sec.  1065.310  Torque calibration.

    (a) Scope and frequency. Calibrate all torque-measurement systems 
including dynamometer torque measurement

[[Page 899]]

transducers and systems upon initial installation and after major 
maintenance. Use good engineering judgment to repeat the calibration. 
Follow the torque transducer manufacturer's instructions for linearizing 
your torque sensor's output. We recommend that you calibrate the torque-
measurement system with a reference force and a lever arm.
    (b) Recommended procedure. (1) Reference force quantification. Use 
either a set of dead-weights or a reference meter such as strain gage or 
a proving ring to quantify the reference force, NIST-traceable within 
0.5% uncertainty.
    (2) Lever-arm length quantification. Quantify the lever arm length, 
NIST-traceable within 0.5% uncertainty. The lever 
arm's length must be measured from the centerline of the dynamometer to 
the point at which the reference force is measured. The lever arm must 
be perpendicular to gravity (i.e., horizontal), and it must be 
perpendicular to the dynamometer's rotational axis. Balance the lever 
arm's torque or quantify its net hanging torque, NIST-traceable within 
1% uncertainty, and account for it as part of the 
reference torque.
    (c) Dead-weight calibration. This technique applies a known force by 
hanging known weights at a known distance along a lever arm. Make sure 
the weights' lever arm is perpendicular to gravity (i.e., horizontal) 
and perpendicular to the dynamometer's rotational axis. Apply at least 
six calibration-weight combinations for each applicable torque-measuring 
range, spacing the weight quantities about equally over the range. 
Oscillate or rotate the dynamometer during calibration to reduce 
frictional static hysteresis. Determine each weight's force by 
multiplying its NIST-traceable mass by the local acceleration of Earth's 
gravity (using this equation: force = mass [middot] acceleration). The 
local acceleration of gravity, ag, at your latitude, longitude, and 
elevation may be determined by entering position and elevation data into 
the U.S. National Oceanographic and Atmospheric Administration's surface 
gravity prediction Web site at http://www.ngs.noaa.gov/cgi-bin/grav--
pdx.prl. If this Web site is unavailable, you may use the equation in 
Sec.  1065.630, which returns the local acceleration of gravity based on 
a given latitude. In this case, calculate the reference torque as the 
weights' reference force multiplied by the lever arm reference length 
(using this equation: torque = force [middot] lever arm length).
    (d) Strain gage or proving ring calibration. This technique applies 
force either by hanging weights on a lever arm (these weights and their 
lever arm length are not used) or by operating the dynamometer at 
different torques. Apply at least six force combinations for each 
applicable torque-measuring range, spacing the force quantities about 
equally over the range. Oscillate or rotate the dynamometer during 
calibration to reduce frictional static hysteresis. In this case, the 
reference torque is determined by multiplying the reference meter force 
output by its effective lever-arm length, which you measure from the 
point where the force measurement is made to the dynamometer's 
rotational axis. Make sure you measure this length perpendicular to 
gravity (i.e., horizontal) and perpendicular to the dynamometer's 
rotational axis.

    Effective Date Note: At 73 FR 37304, June 30, 2008, Sec.  1065.310 
was amended by revising paragraph (d), effective July 7, 2008. For the 
convenience of the user, the revised text is set forth as follows:



Sec.  1065.310  Torque calibration.

                                * * * * *

    (d) Strain gage or proving ring calibration. This technique applies 
force either by hanging weights on a lever arm (these weights and their 
lever arm length are not used as part of the reference torque 
determination) or by operating the dynamometer at different torques. 
Apply at least six force combinations for each applicable torque-
measuring range, spacing the force quantities about equally over the 
range. Oscillate or rotate the dynamometer during calibration to reduce 
frictional static hysteresis. In this case, the reference torque is 
determined by multiplying the force output from the reference meter 
(such as a strain gage or proving ring) by its effective lever-arm 
length, which you measure from the point where the force measurement is 
made to the dynamometer's rotational axis. Make sure you measure this 
length perpendicular to the

[[Page 900]]

reference meter's measurement axis and perpendicular to the 
dynamometer's rotational axis.



Sec.  1065.315  Pressure, temperature, and dewpoint calibration.

    (a) Calibrate instruments for measuring pressure, temperature, and 
dewpoint upon initial installation. Follow the instrument manufacturer's 
instructions and use good engineering judgment to repeat the 
calibration, as follows:
    (1) Pressure. We recommend temperature-compensated, digital-
pneumatic, or deadweight pressure calibrators, with data-logging 
capabilities to minimize transcription errors. We recommend using 
calibration reference quantities that are NIST-traceable within 0.5% 
uncertainty.
    (2) Temperature. We recommend digital dry-block or stirred-liquid 
temperature calibrators, with datalogging capabilities to minimize 
transcription errors. We recommend using calibration reference 
quantities that are NIST-traceable within 0.5% uncertainty.
    (3) Dewpoint. We recommend a minimum of three different temperature-
equilibrated and temperature-monitored calibration salt solutions in 
containers that seal completely around the dewpoint sensor. We recommend 
using calibration reference quantities that are NIST-traceable within 
0.5% uncertainty.
    (b) You may remove system components for off-site calibration. We 
recommend specifying calibration reference quantities that are NIST-
traceable within 0.5% uncertainty.

    Effective Date Note: At 73 FR 37305, June 30, 2008, Sec.  1065.315 
was amended by revising (a)(2), effective July 7, 2008. For the 
convenience of the user, the revised text is set forth as follows:



Sec.  1065.315  Pressure, temperature, and dewpoint calibration.

    (a) * * *
    (2) Temperature. We recommend digital dry-block or stirred-liquid 
temperature calibrators, with data logging capabilities to minimize 
transcription errors. We recommend using calibration reference 
quantities that are NIST-traceable within 0.5% uncertainty. You may 
perform the linearity verification for temperature measurement systems 
with thermocouples, RTDs, and thermistors by removing the sensor from 
the system and using a simulator in its place. Use a NIST-traceable 
simulator that is independently calibrated and, as appropriate, cold-
junction compensated. The simulator uncertainty scaled to temperature 
must be less than 0.5% of Tmax. If you use this option, you 
must use sensors that the supplier states are accurate to better than 
0.5% of Tmax compared with their standard calibration curve.

                                * * * * *

                        Flow-Related Measurements



Sec.  1065.320  Fuel-flow calibration.

    (a) Calibrate fuel-flow meters upon initial installation. Follow the 
instrument manufacturer's instructions and use good engineering judgment 
to repeat the calibration.
    (b) You may also develop a procedure based on a chemical balance of 
carbon or oxygen in engine exhaust.
    (c) You may remove system components for off-site calibration. When 
installing a flow meter with an off-site calibration, we recommend that 
you consider the effects of the tubing configuration upstream and 
downstream of the flow meter. We recommend specifying calibration 
reference quantities that are NIST-traceable within 0.5% uncertainty.



Sec.  1065.325  Intake-flow calibration.

    (a) Calibrate intake-air flow meters upon initial installation. 
Follow the instrument manufacturer's instructions and use good 
engineering judgment to repeat the calibration. We recommend using a 
calibration subsonic venturi, ultrasonic flow meter or laminar flow 
element. We recommend using calibration reference quantities that are 
NIST-traceable within 0.5% uncertainty.
    (b) You may remove system components for off-site calibration. When 
installing a flow meter with an off-site calibration, we recommend that 
you consider the effects of the tubing configuration upstream and 
downstream of the flow meter. We recommend specifying calibration 
reference quantities that are NIST-traceable within 0.5% uncertainty.
    (c) If you use a subsonic venturi or ultrasonic flow meter for 
intake flow

[[Page 901]]

measurement, we recommend that you calibrate it as described in Sec.  
1065.340.



Sec.  1065.330  Exhaust-flow calibration.

    (a) Calibrate exhaust-flow meters upon initial installation. Follow 
the instrument manufacturer's instructions and use good engineering 
judgment to repeat the calibration. We recommend that you use a 
calibration subsonic venturi or ultrasonic flow meter and simulate 
exhaust temperatures by incorporating a heat exchanger between the 
calibration meter and the exhaust-flow meter. If you can demonstrate 
that the flow meter to be calibrated is insensitive to exhaust 
temperatures, you may use other reference meters such as laminar flow 
elements, which are not commonly designed to withstand typical raw 
exhaust temperatures. We recommend using calibration reference 
quantities that are NIST-traceable within 0.5% uncertainty.
    (b) You may remove system components for off-site calibration. When 
installing a flow meter with an off-site calibration, we recommend that 
you consider the effects of the tubing configuration upstream and 
downstream of the flow meter. We recommend specifying calibration 
reference quantities that are NIST-traceable within 0.5% uncertainty.
    (c) If you use a subsonic venturi or ultrasonic flow meter for raw 
exhaust flow measurement, we recommend that you calibrate it as 
described in Sec.  1065.340.



Sec.  1065.340  Diluted exhaust flow (CVS) calibration.

    (a) Overview. This section describes how to calibrate flow meters 
for diluted exhaust constant-volume sampling (CVS) systems.
    (b) Scope and frequency. Perform this calibration while the flow 
meter is installed in its permanent position. Perform this calibration 
after you change any part of the flow configuration upstream or 
downstream of the flow meter that may affect the flow-meter calibration. 
Perform this calibration upon initial CVS installation and whenever 
corrective action does not resolve a failure to meet the diluted exhaust 
flow verification (i.e., propane check) in Sec.  1065.341.
    (c) Reference flow meter. Calibrate a CVS flow meter using a 
reference flow meter such as a subsonic venturi flow meter, a long-
radius ASME/NIST flow nozzle, a smooth approach orifice, a laminar flow 
element, a set of critical flow venturis, or an ultrasonic flow meter. 
Use a reference flow meter that reports quantities that are NIST-
traceable within 1% uncertainty. Use this 
reference flow meter's response to flow as the reference value for CVS 
flow-meter calibration.
    (d) Configuration. Do not use an upstream screen or other 
restriction that could affect the flow ahead of the reference flow 
meter, unless the flow meter has been calibrated with such a 
restriction.
    (e) PDP calibration. Calibrate a positive-displacement pump (PDP) to 
determine a flow-versus-PDP speed equation that accounts for flow 
leakage across sealing surfaces in the PDP as a function of PDP inlet 
pressure. Determine unique equation coefficients for each speed at which 
you operate the PDP. Calibrate a PDP flow meter as follows:
    (1) Connect the system as shown in Figure 1 of this section.
    (2) Leaks between the calibration flow meter and the PDP must be 
less than 0.3% of the total flow at the lowest calibrated flow point; 
for example, at the highest restriction and lowest PDP-speed point.
    (3) While the PDP operates, maintain a constant temperature at the 
PDP inlet within 2% of the mean absolute inlet 
temperature, Tin.
    (4) Set the PDP speed to the first speed point at which you intend 
to calibrate.
    (5) Set the variable restrictor to its wide-open position.
    (6) Operate the PDP for at least 3 min to stabilize the system. 
Continue operating the PDP and record the mean values of at least 30 
seconds of sampled data of each of the following quantities:
    (i) The mean flow rate of the reference flow meter, nref. This may 
include several measurements of different quantities, such as reference 
meter pressures and temperatures, for calculating nref.

[[Page 902]]

    (ii) The mean temperature at the PDP inlet, Tin.
    (iii) The mean static absolute pressure at the PDP inlet, pin.
    (iv) The mean static absolute pressure at the PDP outlet, pout.
    (v) The mean PDP speed, fnPDP.
    (7) Incrementally close the restrictor valve to decrease the 
absolute pressure at the inlet to the PDP, pin.
    (8) Repeat the steps in paragraphs (e)(6) and (7) of this section to 
record data at a minimum of six restrictor positions reflecting the full 
range of possible in-use pressures at the PDP inlet.
    (9) Calibrate the PDP by using the collected data and the equations 
in Sec.  1065.640.
    (10) Repeat the steps in paragraphs (e)(6) through (9) of this 
section for each speed at which you operate the PDP.
    (11) Use the equations in Sec.  1065.642 to determine the PDP flow 
equation for emission testing.
    (12) Verify the calibration by performing a CVS verification (i.e., 
propane check) as described in Sec.  1065.341.
    (13) Do not use the PDP below the lowest inlet pressure tested 
during calibration.
    (f) CFV calibration. Calibrate a critical-flow venturi (CFV) to 
verify its discharge coefficient, Cd, at the lowest expected static 
differential pressure between the CFV inlet and outlet. Calibrate a CFV 
flow meter as follows:
    (1) Connect the system as shown in Figure 1 of this section.
    (2) Start the blower downstream of the CFV.
    (3) While the CFV operates, maintain a constant temperature at the 
CFV inlet within 2% of the mean absolute inlet 
temperature, Tin.
    (4) Leaks between the calibration flow meter and the CFV must be 
less than 0.3 % of the total flow at the highest restriction.
    (5) Set the variable restrictor to its wide-open position.
    (6) Operate the CFV for at least 3 min to stabilize the system. 
Continue operating the CFV and record the mean values of at least 30 
seconds of sampled data of each of the following quantities:
    (i) The mean flow rate of the reference flow meter, nref. This may 
include several measurements of different quantities, such as reference 
meter pressures and temperatures, for calculating nref.
    (ii) Optionally, the mean dewpoint of the calibration air, Tdew. See 
Sec.  1065.640 for permissible assumptions.
    (iii) The mean temperature at the venturi inlet, Tin.
    (iv) The mean static absolute pressure at the venturi inlet, pin.
    (v) The mean static differential pressure between the CFV inlet and 
the CFV outlet, [Delta]pCFV.
    (7) Incrementally close the restrictor valve to decrease the 
absolute pressure at the inlet to the CFV, pin.
    (8) Repeat the steps in paragraphs (f)(6) and (7) of this section to 
record mean data at a minimum of ten restrictor positions, such that you 
test the fullest practical range of [Delta]pCFV expected during testing. 
We do not require that you remove calibration components or CVS 
components to calibrate at the lowest possible restrictions.
    (9) Determine Cd and the lowest allowable [Delta]pCFV as described 
in Sec.  1065.640.
    (10) Use Cd to determine CFV flow during an emission test. Do not 
use the CFV below the lowest allowed [Delta]pCFV, as 
determined in Sec.  1065.640.
    (11) Verify the calibration by performing a CVS verification (i.e., 
propane check) as described in Sec.  1065.341.
    (12) If your CVS is configured to operate more than one CFV at a 
time in parallel, calibrate your CVS by one of the following:
    (i) Calibrate every combination of CFVs according to this section 
and Sec.  1065.640. Refer to Sec.  1065.642 for instructions on 
calculating flow rates for this option.
    (ii) Calibrate each CFV according to this section and Sec.  
1065.640. Refer to Sec.  1065.642 for instructions on calculating flow 
rates for this option.
    (g) SSV calibration. Calibrate a subsonic venturi (SSV) to determine 
its calibration coefficient, Cd , for the expected range of inlet 
pressures. Calibrate an SSV flow meter as follows:
    (1) Connect the system as shown in Figure 1 of this section.
    (2) Start the blower downstream of the SSV.

[[Page 903]]

    (3) Leaks between the calibration flow meter and the SSV must be 
less than 0.3 % of the total flow at the highest restriction.
    (4) While the SSV operates, maintain a constant temperature at the 
SSV inlet within 2 % of the mean absolute inlet 
temperature, Tin.
    (5) Set the variable restrictor or variable-speed blower to a flow 
rate greater than the greatest flow rate expected during testing. You 
may not extrapolate flow rates beyond calibrated values, so we recommend 
that you make sure the Reynolds number, Re#, at the SSV throat at the 
greatest calibrated flow rate is greater than the maximum Re# expected 
during testing.
    (6) Operate the SSV for at least 3 min to stabilize the system. 
Continue operating the SSV and record the mean of at least 30 seconds of 
sampled data of each of the following quantities:
    (i) The mean flow rate of the reference flow meter, nref. This may 
include several measurements of different quantities, such as reference 
meter pressures and temperatures, for caculating nref.
    (ii) Optionally, the mean dewpoint of the calibration air, Tdew. See 
Sec.  1065.640 for permissible assumptions.
    (iii) The mean temperature at the venturi inlet, Tin .
    (iv) The mean static absolute pressure at the venturi inlet, pin.
    (v) Static differential pressure between the static pressure at the 
venturi inlet and the static pressure at the venturi throat, 
[Delta]pSSV.
    (7) Incrementally close the restrictor valve or decrease the blower 
speed to decrease the flow rate.
    (8) Repeat the steps in paragraphs (g)(6) and (7) of this section to 
record data at a minimum of ten flow rates.
    (9) Determine a functional form of Cd versus Re# by using the 
collected data and the equations in Sec.  1065.640.
    (10) Verify the calibration by performing a CVS verification (i.e., 
propane check) as described in Sec.  1065.341 using the new Cd versus 
Re# equation.
    (11) Use the SSV only between the minimum and maximum calibrated 
flow rates.
    (12) Use the equations in Sec.  1065.642 to determine SSV flow 
during a test.
    (h) Ultrasonic flow meter calibration. [Reserved]

[[Page 904]]

[GRAPHIC] [TIFF OMITTED] TR13JY05.016


[[Page 905]]



    Effective Date Note: At 73 FR 37305, June 30, 2008, Sec.  1065.340 
was amended by revising paragraphs (f)(5), (f)(6)ii), (f)(7), (f)(9), 
(f)(10, (g)(6)(i) and Figure 1, effective July 7, 2008. For the 
convenience of the user, therevised text is set forth as follows:



Sec.  1065.340  Diluted exhaust flow (CVS) calibration.

                                * * * * *

    (f) * * *
    (5) Set the variable restrictor to its wide-open position. Instead 
of a variable restrictor, you may alternately vary the pressure 
downstream of the CFV by varying blower speed or by introducing a 
controlled leak. Note that some blowers have limitations on nonloaded 
conditions.
    (6) * * *
    (ii) The mean dewpoint of the calibration air, Tdew. See 
Sec.  1065.640 for permissible assumptions during emission measurements.

                                * * * * *

    (7) Incrementally close the restrictor valve or decrease the 
downstream pressure to decrease the differential pressure across the 
CFV,[Delta]pCFV.

                                * * * * *

    (9) Determine Cd and the lowest allowable pressure ratio, 
r, according to Sec.  1065.640.
    (10) Use Cd to determine CFV flow during an emission 
test. Do not use the CFV below the lowest allowed r, as determined in 
Sec.  1065.640.

                                * * * * *

    (g) * * *
    (6) * * *
    (i) The mean flow rate of the reference flow meter,nref. 
This may include several measurements of different quantities, such as 
reference meter pressures and temperatures, for calculating 
nref.

                                * * * * *

[[Page 906]]

[GRAPHIC] [TIFF OMITTED] TR06MY08.020


[[Page 907]]





Sec.  1065.341  CVS and batch sampler verification (propane check).

    (a) A propane check serves as a CVS verification to determine if 
there is a discrepancy in measured values of diluted exhaust flow. A 
propane check also serves as a batch-sampler verification to determine 
if there is a discrepancy in a batch sampling system that extracts a 
sample from a CVS, as described in paragraph (g) of this section. Using 
good engineering judgment and safe practices, this check may be 
performed using a gas other than propane, such as CO2 or CO. 
A failed propane check might indicate one or more problems that may 
require corrective action, as follows:
    (1) Incorrect analyzer calibration. Re-calibrate, repair, or replace 
the FID analyzer.
    (2) Leaks. Inspect CVS tunnel, connections, fasteners, and HC 
sampling system, and repair or replace components.
    (3) Poor mixing. Perform the verification as described in this 
section while traversing a sampling probe across the tunnel's diameter, 
vertically and horizontally. If the analyzer response indicates any 
deviation exceeding 2% of the mean measured 
concentration, consider operating the CVS at a higher flow rate or 
installing a mixing plate or orifice to improve mixing.
    (4) Hydrocarbon contamination in the sample system. Perform the 
hydrocarbon-contamination verification as described in Sec.  1065.520.
    (5) Change in CVS calibration. Perform an in-situ calibration of the 
CVS flow meter as described in Sec.  1065.340.
    (6) Other problems with the CVS or sampling verification hardware or 
software.Inspect the CVS system, CVS verification hardware, and software 
for discrepancies.
    (b) A propane check uses either a reference mass or a reference flow 
rate of C3H8 as a tracer gas in a CVS. Note that 
if you use a reference flow rate, account for any non-ideal gas behavior 
of C3H8 in the reference flow meter. Refer to 
Sec.  1065.640 and Sec.  1065.642, which describe how to calibrate and 
use certain flow meters. Do not use any ideal gas assumptions in Sec.  
1065.640 and Sec.  1065.642. The propane check compares the calculated 
mass of injected C3H8 using HC measurements and 
CVS flow rate measurements with the reference value.
    (c) Prepare for the propane check as follows:
    (1) If you use a reference mass of C3H8 
instead of a reference flow rate, obtain a cylinder charged with 
C3H8. Determine the reference cylinder's mass of 
C3H8 within 0.5% of the 
amount of C3H8 that you expect to use.
    (2) Select appropriate flow rates for the CVS and 
C3H8.
    (3) Select a C3H8 injection port in the CVS. 
Select the port location to be as close as practical to the location 
where you introduce engine exhaust into the CVS. Connect the 
C3H8 cylinder to the injection system.
    (4) Operate and stabilize the CVS.
    (5) Preheat or precool any heat exchangers in the sampling system.
    (6) Allow heated and cooled components such as sample lines, 
filters, chillers, and pumps to stabilize at operating temperature.
    (7) You may purge the HC sampling system during stabilization.
    (8) If applicable, perform a vacuum side leak verification of the HC 
sampling system as described in Sec.  1065.345.
    (9) You may also conduct any other calibrations or verifications on 
equipment or analyzers.
    (d) Zero, span, and verify contamination of the HC sampling system, 
as follows:
    (1) Select the lowest HC analyzer range that can measure the 
C3H8 concentration expected for the CVS and 
C3H8 flow rates.
    (2) Zero the HC analyzer using zero air introduced at the analyzer 
port.
    (3) Span the HC analyzer using C3H8 span gas 
introduced at the analyzer port.
    (4) Overflow zero air at the HC probe or into a fitting between the 
HC probe and the transfer line.
    (5) Measure the stable HC concentration of the HC sampling system as 
overflow zero air flows. For batch HC measurement, fill the batch 
container (such as a bag) and measure the HC overflow concentration.
    (6) If the overflow HC concentration exceeds 2 [micro]mol/mol, do 
not proceed

[[Page 908]]

until contamination is eliminated. Determine the source of the 
contamination and take corrective action, such as cleaning the system or 
replacing contaminated portions.
    (7) When the overflow HC concentration does not exceed 2 [micro]mol/
mol, record this value as xHCpre and use it to correct for HC 
contamination as described in Sec.  1065.660.
    (e) Perform the propane check as follows:
    (1) For batch HC sampling, connect clean storage media, such as 
evacuated bags.
    (2) Operate HC measurement instruments according to the instrument 
manufacturer's instructions.
    (3) If you will correct for dilution air background concentrations 
of HC, measure and record background HC in the dilution air.
    (4) Zero any integrating devices.
    (5) Begin sampling, and start any flow integrators.
    (6) Release the contents of the C3H8 reference 
cylinder at the rate you selected. If you use a reference flow rate of 
C3H8, start integrating this flow rate.
    (7) Continue to release the cylinder's contents until at least 
enough C3H8 has been released to ensure accurate 
quantification of the reference C3H8 and the 
measured C3H8.
    (8) Shut off the C3H8 reference cylinder and 
continue sampling until you have accounted for time delays due to sample 
transport and analyzer response.
    (9) Stop sampling and stop any integrators.
    (f) Perform post-test procedure as follows:
    (1) If you used batch sampling, analyze batch samples as soon as 
practical.
    (2) After analyzing HC, correct for contamination and background.
    (3) Calculate total C3H8 mass based on your 
CVS and HC data as described in Sec.  1065.650 and Sec.  1065.660, using 
the molar mass of C3H8, MC3H8, instead the 
effective molar mass of HC, MHC.
    (4) If you use a reference mass, determine the cylinder's propane 
mass within 0.5% and determine the 
C3H8 reference mass by subtracting the empty 
cylinder propane mass from the full cylinder propane mass.
    (5) Subtract the reference C3H8 mass from the 
calculated mass. If this difference is within 2.0 
% of the reference mass, the CVS passes this verification. If not, take 
corrective action as described in paragraph (a) of this section.
    (g) Batch sampler verification. You may repeat the propane check to 
verify a batch sampler, such as a PM secondary dilution system.
    (1) Configure the HC sampling system to extract a sample near the 
location of the batch sampler's storage media (such as a PM filter). If 
the absolute pressure at this location is too low to extract an HC 
sample, you may sample HC from the batch sampler pump's exhaust. Use 
caution when sampling from pump exhaust because an otherwise acceptable 
pump leak downstream of a batch sampler flow meter will cause a false 
failure of the propane check.
    (2) Repeat the propane check described in this section, but sample 
HC from the batch sampler.
    (3) Calculate C3H8 mass, taking into account 
any secondary dilution from the batch sampler.
    (4) Subtract the reference C3H8 mass from the 
calculated mass. If this difference is within 5% 
of the reference mass, the batch sampler passes this verification. If 
not, take corrective action as described in paragraph (a) of this 
section.

    Effective Date Note: At 73 FR 37307, June 30, 2008, Sec.  1065.341 
was amended by revising paragraph (d) introductory text; (d)(7), and 
(g), introductory text, effective July 7, 2008. For the convenience of 
the user, the revised text is set forth as follows:



Sec.  1065.341  CVS and batch sampler verification (propane check).

                                * * * * *

    (d) If you performed the vacuum-side leak verification of the HC 
sampling system as described in paragraph (c)(8) of this section, you 
may use the HC contamination procedure in Sec.  1065.520(g) to verify HC 
contamination. Otherwise, zero, span, and verify contamination of the HC 
sampling system, as follows:

                                * * * * *

    (7) When the overflow HC concentration does not exceed 2 [micro]mol/
mol, record this value

[[Page 909]]

as xTHCinit and use it to correct for HC contamination as 
described in Sec.  1065.660.

                                * * * * *

    (g) You may repeat the propane check to verify a batch sampler, such 
as a PM secondary dilution system.



Sec.  1065.342  Sample dryer verification.

    (a) Scope and frequency. If you use a sample dryer as allowed in 
Sec.  1065.145(d)(2) to remove water from the sample gas, verify the 
performance upon installation, after major maintenance, for thermal 
chiller. For osmotic membrane dryers, verify the performance upon 
installation, after major maintenance, and within 35 days of testing.
    (b) Measurement principles. Water can inhibit an analyzer's ability 
to properly measure the exhaust component of interest and thus is 
sometimes removed before the sample gas reaches the analyzer. For 
example water can negatively interfere with a CLD's NOX 
response through collisional quenching and can positively interfere with 
an NDIR analyzer by causing a response similar to CO.
    (c) System requirements. The sample dryer must meet the 
specifications as determined in Sec.  1065.145(d)(2) for dewpoint, 
Tdew, and absolute pressure, ptotal, downstream of 
the osmotic-membrane dryer or thermal chiller.
    (d) Sample dryer verification procedure. Use the following method to 
determine sample dryer performance, or use good engineering judgment to 
develop a different protocol:
    (1) Use PTFE or stainless steel tubing to make necessary 
connections.
    (2) Humidify N2 or purified air by bubbling it through 
distilled water in a sealed vessel that humidifies the gas to the 
highest sample dewpoint that you estimate during emission sampling.
    (3) Introduce the humidified gas upstream of the sample dryer.
    (4) Downstream of the vessel, maintain the humidified gas 
temperature at least 5 [deg]C above its dewpoint.
    (5) Measure the humidified gas dewpoint, Tdew, and 
pressure, ptotal, as close as possible to the inlet of the 
sample dryer to verify the dewpoint is the highest that you estimated 
during emission sampling.
    (6) Measure the humidified gas dewpoint, Tdew, and 
pressure, ptotal, as close as possible to the outlet of the 
sample dryer.
    (7) The sample dryer meets the verification if the results of 
paragraph (d)(6) of this section are less than the dew point 
corresponding to the sample dryer specifications as determined in Sec.  
1065.145(d)(2) plus 2 [deg]C or if the mole fraction from (d)(6) is less 
than the corresponding sample dryer specifications plus 0.002 mol/mol.
    (e) Alternate sample dryer verification procedure. The following 
method may be used in place of the sample dryer verification procedure 
in (d) of this section. If you use a humidity sensor for continuous 
monitoring of dewpoint at the sample dryer outlet you may skip the 
performance check in Sec.  1065.342(d), but you must make sure that the 
dryer outlet humidity is below the minimum values used for quench, 
interference, and compensation checks.

[73 FR 37307, June 30, 2008]

    Effective Date Note: At 73 FR 37307, June 30, 2008, a new Sec.  
1065.342 was added, effective July 7, 2008.



Sec.  1065.345  Vacuum-side leak verification.

    (a) Scope and frequency. Upon initial sampling system installation, 
after major maintenance, and before each test according to subpart F of 
this part for laboratory tests and according to subpart J of this part 
for field tests, verify that there are no significant vacuum-side leaks 
using one of the leak tests described in this section.
    (b) Measurement principles. A leak may be detected either by 
measuring a small amount of flow when there should be zero flow, or by 
detecting the dilution of a known concentration of span gas when it 
flows through the vacuum side of a sampling system.
    (c) Low-flow leak test. Test a sampling system for low-flow leaks as 
follows:
    (1) Seal the probe end of the system by taking one of the following 
steps:
    (i) Cap or plug the end of the sample probe.
    (ii) Disconnect the transfer line at the probe and cap or plug the 
transfer line.
    (iii) Close a leak-tight valve in-line between a probe and transfer 
line.

[[Page 910]]

    (2) Operate all vacuum pumps. After stabilizing, verify that the 
flow through the vacuum-side of the sampling system is less than 0.5 % 
of the system's normal in-use flow rate. You may estimate typical 
analyzer and bypass flows as an approximation of the system's normal in-
use flow rate.
    (d) Dilution-of-span-gas leak test. Test any analyzer, other than a 
FID, for dilution of span gas as follows, noting that this configuration 
requires an overflow span gas system:
    (1) Prepare a gas analyzer as you would for emission testing.
    (2) Supply span gas to the analyzer port and verify that it measures 
the span gas concentration within its expected measurement accuracy and 
repeatability.
    (3) Route overflow span gas to one of the following locations in the 
sampling system:
    (i) The end of the sample probe.
    (ii) Disconnect the transfer line at the probe connection, and 
overflow the span gas at the open end of the transfer line.
    (iii) A three-way valve installed in-line between a probe and its 
transfer line, such as a system overflow zero and span port.
    (4) Verify that the measured overflow span gas concentration is 
within the measurement accuracy and repeatability of the analyzer. A 
measured value lower than expected indicates a leak, but a value higher 
than expected may indicate a problem with the span gas or the analyzer 
itself. A measured value higher than expected does not indicate a leak.

    Effective Date Note: At 73 FR 37307, June 30, 2008, Sec.  1065.345 
was revised, effective July 7, 2008. For the convenience of the user, 
the revised text is set forth as follows:



Sec.  1065.345  Vacuum-side leak verification.

    (a) Scope and frequency. Verify that there are no significant 
vacuum-side leaks using one of the leak tests described in this section 
upon initial sampling system installation, after maintenance such as 
pre-filter changes, and within eight hours before each duty-cycle 
sequence. This verification does not apply to any full-flow portion of a 
CVS dilution system.
    (b) Measurement principles. A leak may be detected either by 
measuring a small amount of flow when there should be zero flow, or by 
detecting the dilution of a known concentration of span gas when it 
flows through the vacuum side of a sampling system.
    (c) Low-flow leak test. Test a sampling system for low-flow leaks as 
follows:
    (1) Seal the probe end of the system by taking one of the following 
steps:
    (i) Cap or plug the end of the sample probe.
    (ii) Disconnect the transfer line at the probe and cap or plug the 
transfer line.
    (iii) Close a leak-tight valve located in the sample transfer line 
within 92 cm of the probe.
    (2) Operate all vacuum pumps. After stabilizing, verify that the 
flow through the vacuum-side of the sampling system is less than 0.5% of 
the system's normal in-use flow rate. You may estimate typical analyzer 
and bypass flows as an approximation of the system's normal in-use flow 
rate.
    (d) Dilution-of-span-gas leak test. You may use any gas analyzer for 
this test. If you use a FID for this test, correct for any HC 
contamination in the sampling system according to Sec.  1065.660. To 
avoid misleading results from this test, we recommend using only 
analyzers that have a repeatability of 0.5% or better at the span gas 
concentration used for this test. Perform a vacuum-side leak test as 
follows:
    (1) Prepare a gas analyzer as you would for emission testing.
    (2) Supply span gas to the analyzer port and verify that it measures 
the span gas concentration within its expected measurement accuracy and 
repeatability.
    (3) Route overflow span gas to one of the following locations in the 
sampling system:
    (i) The end of the sample probe.
    (ii) Disconnect the transfer line at the probe connection, and 
overflow the span gas at the open end of the transfer line.
    (iii) A three-way valve installed in-line between a probe and its 
transfer line, such as a system overflow zero and span port.
    (4) Verify that the measured overflow span gas concentration is 
within  0.5% of the span gas concentration. A 
measured value lower than expected indicates a leak, but a value higher 
than expected may indicate a problem with the span gas or the analyzer 
itself. A measured value higher than expected does not indicate a leak.
    (e) Vacuum-decay leak test. To perform this test you must apply a 
vacuum to the vacuum-side volume of your sampling system and then 
observe the leak rate of your system as a decay in the applied vacuum. 
To perform this test you must know the vacuum-side volume of your 
sampling system to within  10% of its true volume. 
For this test you must also use measurement instruments that meet the 
specifications of subpart C of this part and of this subpart D. Perform 
a vacuum-decay leak test as follows:

[[Page 911]]

    (1) Seal the probe end of the system as close to the probe opening 
as possible by taking one of the following steps:
    (i) Cap or plug the end of the sample probe.
    (ii) Disconnect the transfer line at the probe and cap or plug the 
transfer line.
    (iii) Close a leak-tight valve in-line between a probe and transfer 
line.
    (2) Operate all vacuum pumps. Draw a vacuum that is representative 
of normal operating conditions. In the case of sample bags, we recommend 
that you repeat your normal sample bag pump-down procedure twice to 
minimize any trapped volumes.
    (3) Turn off the sample pumps and seal the system. Measure and 
record the absolute pressure of the trapped gas and optionally the 
system absolute temperature. Wait long enough for any transients to 
settle and long enough for a leak at 0.5% to have caused a pressure 
change of at least 10 times the resolution of the pressure transducer, 
then again record the pressure and optionally temperature.
    (4) Calculate the leak flow rate based on an assumed value of zero 
for pumped-down bag volumes and based on known values for the sample 
system volume, the initial and final pressures, optional temperatures, 
and elapsed time. Using the calculations specified in 1065.644, verify 
that the vacuum-decay leak flow rate is less than 0.5% of the system's 
normal in-use flow rate.

                   CO and CO2 Measurements



Sec.  1065.350  H[bdi2]O interference verification for CO[bdi2] NDIR analyzers.

    (a) Scope and frequency. If you measure CO2 using an NDIR 
analyzer, verify the amount of H2O interference after initial 
analyzer installation and after major maintenance.
    (b) Measurement principles. H2O can interfere with an 
NDIR analyzer's response to CO2.
    If the NDIR analyzer uses compensation algorithms that utilize 
measurements of other gases to meet this interference verification, 
simultaneously conduct these other measurements to test the compensation 
algorithms during the analyzer interference verification.
    (c) System requirements. A CO2 NDIR analyzer must have an 
H2O interference that is within 2% of 
the flow-weighted mean CO2 concentration expected at the 
standard, though we strongly recommend a lower interference that is 
within 1%.
    (d) Procedure. Perform the interference verification as follows:
    (1) Start, operate, zero, and span the CO2 NDIR analyzer 
as you would before an emission test.
    (2) Create a water-saturated test gas by bubbling zero air that 
meets the specifications in Sec.  1065.750 through distilled water in a 
sealed vessel at (25 10) [deg]C.
    (3) Introduce the water-saturated test gas upstream of any sample 
dryer, if one is used during testing.
    (4) Allow time for the analyzer response to stabilize. Stabilization 
time may include time to purge the transfer line and to account for 
analyzer response.
    (5) While the analyzer measures the sample's concentration, record 
30 seconds of sampled data. Calculate the arithmetic mean of this data. 
The analyzer meets the interference verification if this value is within 
2% of the flow-weighted mean concentration of 
CO2 expected at the standard.
    (e) Exceptions. The following exceptions apply:
    (1) You may omit this verification if you can show by engineering 
analysis that for your CO2 sampling system and your emission-
calculation procedures, the H2O interference for your 
CO2 NDIR analyzer always affects your brake-specific emission 
results within 0.5% of each of the applicable 
standards.
    (2) You may use a CO2 NDIR analyzer that you determine 
does not meet this verification, as long as you try to correct the 
problem and the measurement deficiency does not adversely affect your 
ability to show that engines comply with all applicable emission 
standards.

    Effective Date Note: At 73 FR 37308, June 30, 2008, Sec.  1065.355 
was amended by revising paragraphs (c) and (d), effective July 7, 2008. 
For the convenience of the user, the revised text is set forth as 
follows:



Sec.  1065.350  H2O interference verification for CO2 NDIR analyzers.

                                * * * * *

    (c) System requirements. A CO2 NDIR analyzer must have an 
H2O interference that is within (0.0 0.4) mmol/mol, though we strongly recommend a lower 
interference that is within (0.0 0.2) mmol/mol.

[[Page 912]]

    (d) Procedure. Perform the interference verification as follows:
    (1) Start, operate, zero, and span the CO2 NDIR analyzer 
as you would before an emission test.
    (2) Create a humidified test gas by bubbling zero air that meets the 
specifications in Sec.  1065.750 through distilled water in a sealed 
vessel. If the sample is not passed through a dryer, control the vessel 
temperature to generate an H2O level at least as high as the 
maximum expected during testing. If the sample is passed through a dryer 
during testing, control the vessel temperature to generate an 
H2O level at least as high as the level determined in Sec.  
1065.145(d)(2).
    (3) Introduce the humidified test gas into the sample system. You 
may introduce it downstream of any sample dryer, if one is used during 
testing.
    (4) Measure the humidified test gas dewpoint, Tdew, and 
pressure, ptotal, as close as possible to the inlet of the 
analyzer.
    (5) Downstream of the vessel, maintain the humidified test gas 
temperature at least 5 [deg]C above its dewpoint.
    (6) Allow time for the analyzer response to stabilize. Stabilization 
time may include time to purge the transfer line and to account for 
analyzer response.
    (7) While the analyzer measures the sample's concentration, record 
30 seconds of sampled data. Calculate the arithmetic mean of this data. 
The analyzer meets the interference verification if this value is within 
(0 0.4) mmol/mol.



Sec.  1065.355  H[bdi2]O and CO[bdi2] interference verification for CO NDIR analyzers.

    (a) Scope and frequency. If you measure CO using an NDIR analyzer, 
verify the amount of H2O and CO2 interference 
after initial analyzer installation and after major maintenance.
    (b) Measurement principles. H2O and CO2 can 
positively interfere with an NDIR analyzer by causing a response similar 
to CO. If the NDIR analyzer uses compensation algorithms that utilize 
measurements of other gases to meet this interference verification, 
simultaneously conduct these other measurements to test the compensation 
algorithms during the analyzer interference verification.
    (c) System requirements. A CO NDIR analyzer must have combined 
H2O and CO2 interference that is within 2 % of the flow-weighted mean concentration of CO 
expected at the standard, though we strongly recommend a lower 
interference that is within 1%.
    (d) Procedure. Perform the interference verification as follows:
    (1) Start, operate, zero, and span the CO NDIR analyzer as you would 
before an emission test.
    (2) Create a water-saturated CO2 test gas by bubbling a 
CO2 span gas through distilled water in a sealed vessel at 
(25 10) [deg]C.
    (3) Introduce the water-saturated CO2 test gas upstream 
of any sample dryer, if one is used during testing.
    (4) Allow time for the analyzer response to stabilize. Stabilization 
time may include time to purge the transfer line and to account for 
analyzer response.
    (5) While the analyzer measures the sample's concentration, record 
its output for 30 seconds. Calculate the arithmetic mean of this data.
    (6) Multiply this mean value by the ratio of expected CO2 
to span gas CO2 concentration. In other words, estimate the 
flow-weighted mean dry concentration of CO2 expected during 
testing, and then divide this value by the concentration of 
CO2 in the span gas used for this verification. Then multiply 
this ratio by the mean value recorded during this verification.
    (7) The analyzer meets the interference verification if the result 
of paragraph (d)(6) of this section is within 2 % 
of the flow-weighted mean concentration of CO expected at the standard.
    (e) Exceptions. The following exceptions apply:
    (1) You may omit this verification if you can show by engineering 
analysis that for your CO sampling system and your emission calculations 
procedures, the combined CO2 and H2O interference 
for your CO NDIR analyzer always affects your brake-specific CO emission 
results within 0.5 % of the applicable CO 
standard.
    (2) You may use a CO NDIR analyzer that you determine does not meet 
this verification, as long as you try to correct the problem and the 
measurement deficiency does not adversely affect your ability to show 
that engines comply with all applicable emission standards.

    Effective Date Note: At 73 FR 37308, June 30, 2008, Sec.  1065.355 
was amended by revising paragraph (d), effective July 7, 2008. For the

[[Page 913]]

convenience of the user, the revised text is set forth as follows:



Sec.  1065.355  H2O and CO2 interference verification for CO NDIR 
          analyzers.

                                * * * * *

    (d) Procedure. Perform the interference verification as follows:
    (1) Start, operate, zero, and span the CO NDIR analyzer as you would 
before an emission test.
    (2) Create a humidified CO2 test gas by bubbling a 
CO2 span gas through distilled water in a sealed vessel. If 
the sample is not passed through a dryer, control the vessel temperature 
to generate an H2O level at least as high as the maximum 
expected during testing. If the sample is passed through a dryer during 
testing, control the vessel temperature to generate an H2O 
level at least as high as the level determined in Sec.  1065.145(d)(2). 
Use a CO2 span gas concentration at least as high as the 
maximum expected during testing.
    (3) Introduce the humidified CO2 test gas into the sample 
system. You may introduce it downstream of any sample dryer, if one is 
used during testing.
    (4) Measure the humidified CO2 test gas dewpoint, 
Tdew, and pressure, ptotal, as close as possible 
to the inlet of the analyzer.
    (5) Downstream of the vessel, maintain the humidified gas 
temperature at least 5 [deg]C above its dewpoint.
    (6) Allow time for the analyzer response to stabilize. Stabilization 
time may include time to purge the transfer line and to account for 
analyzer response.
    (7) While the analyzer measures the sample's concentration, record 
its output for 30 seconds. Calculate the arithmetic mean of this data.
    (8) The analyzer meets the interference verification if the result 
of paragraph (d)(7) of this section meets the tolerance in paragraph (c) 
of this section.
    (9) You may also run interference procedures for CO2 and 
H2O separately. If the CO2 and H2O 
levels used are higher than the maximum levels expected during testing, 
you may scale down each observed interference value by multiplying the 
observed interference by the ratio of the maximum expected concentration 
value to the actual value used during this procedure. You may run the 
separate interference procedures concentrations of H2O (down 
to 0.025 mol/mol H2O content) that are lower than the maximum 
levels expected during testing, but you must scale up the observed 
H2O interference by multiplying the observed interference by 
the ratio of the maximum expected H2O concentration value to 
the actual value used during this procedure. The sum of the two scaled 
interference values must meet the tolerance in paragraph (c) of this 
section.

                                * * * * *

                        Hydrocarbon Measurements



Sec.  1065.360  FID optimization and verification.

    (a) Scope and frequency. For all FID analyzers perform the following 
steps:
    (1) Calibrate a FID upon initial installation. Repeat the 
calibration as needed using good engineering judgment.
    (2) Optimize a FID's response to various hydrocarbons after initial 
analyzer installation and after major maintenance.
    (3) Determine a FID's methane (CH4) response factor after 
initial analyzer installation and after major maintenance.
    (4) Verify methane (CH4) response within 185 days before 
testing.
    (b) Calibration. Use good engineering judgment to develop a 
calibration procedure, such as one based on the FID-analyzer 
manufacturer's instructions and recommended frequency for calibrating 
the FID. Alternately, you may remove system components for off-site 
calibration. Calibrate using C3H8 calibration 
gases that meet the specifications of Sec.  1065.750. We recommend FID 
analyzer zero and span gases that contain approximately the flow-
weighted mean concentration of O2 expected during testing. If 
you use a FID to measure methane (CH4) downstream of a 
nonmethane cutter, you may calibrate that FID using CH4 
calibration gases with the cutter. Regardless of the calibration gas 
composition, calibrate on a carbon number basis of one (C1). 
For example, if you use a C3H8 span gas of 
concentration 200 [micro]mol/mol, span the FID to respond with a value 
of 600 [micro]mol/mol.
    (c) FID response optimization. Use good engineering judgment for 
initial instrument start-up and basic operating adjustment using FID 
fuel and zero air. Heated FIDs must be within their required operating 
temperature ranges. Optimize FID response at the most common analyzer 
range expected during emission testing. Optimization involves adjusting 
flows and pressures

[[Page 914]]

of FID fuel, burner air, and sample to minimize response variations to 
various hydrocarbon species in the exhaust. Use good engineering 
judgment to trade off peak FID response to propane calibration gases to 
achieve minimal response variations to different hydrocarbon species. 
For an example of trading off response to propane for relative responses 
to other hydrocarbon species, see SAE 770141 (incorporated by reference 
in Sec.  1065.1010). Determine the optimum flow rates for FID fuel, 
burner air, and sample and record them for future reference.
    (d) CH4 response factor determination. Since FID analyzers generally 
have a different response to CH4 versus 
C3H8, determine each FID analyzer's CH4 
response factor, RFCH4, after FID optimization. Use the most recent 
RFCH4 measured according to this section in the calculations for HC 
determination described in Sec.  1065.660 to compensate for 
CH4 response. Determine RFCH4 as follows, noting that you do 
not determine RFCH4 for FIDs that are calibrated and spanned using 
CH4 with a nonmethane cutter:
    (1) Select a C3H8 span gas that meets the 
specifications of Sec.  1065.750. Record the C3H8 
concentration of the gas.
    (2) Select a CH4 span gas that meets the specifications 
of Sec.  1065.750. Record the CH4 concentration of the gas.
    (3) Start and operate the FID analyzer according to the 
manufacturer's instructions.
    (4) Confirm that the FID analyzer has been calibrated using 
C3H8. Calibrate on a carbon number basis of one 
(C1). For example, if you use a C3H8 
span gas of concentration 200 [micro]mol/mol, span the FID to respond 
with a value of 600 [micro]mol/mol.
    (5) Zero the FID with a zero gas that you use for emission testing.
    (6) Span the FID with the C3H8 span gas that 
you selected under paragraph (d)(1) of this section.
    (7) Introduce at the sample port of the FID analyzer, the 
CH4 span gas that you selected under paragraph (d)(2) of this 
section.
    (8) Allow time for the analyzer response to stabilize. Stabilization 
time may include time to purge the analyzer and to account for its 
response.
    (9) While the analyzer measures the CH4 concentration, 
record 30 seconds of sampled data. Calculate the arithmetic mean of 
these values.
    (10) Divide the mean measured concentration by the recorded span 
concentration of the CH4 calibration gas. The result is the 
FID analyzer's response factor for CH4, RFCH4.
    (e) FID methane (CH4) response verification. If the value of 
RFCH4 from paragraph (d) of this section is within 5.0% of its most recent previously determined value, the 
FID passes the methane response verification. For example, if the most 
recent previous value for RFCH4 was 1.05 and it changed by +0.05 to 
become 1.10 or it changed by -0.05 to become 1.00, either case would be 
acceptable because +4.8% is less than +5.0%.
    (1) Verify that the pressures and flow rates of FID fuel, burner 
air, and sample are each within 0.5% of their most 
recent previously recorded values, as described in paragraph (c) of this 
section. You may adjust these flow rates as necessary. Determine a new 
RFCH4 as described in paragraph (d) of this section.
    (2) If RFCH4 is still not within 5.0% of its 
most recently determined value after adjusting flow rates, re-optimize 
the FID response as described in paragraph (c) of this section.
    (3) Determine a new RFCH4 as described in paragraph (d) of this 
section. Use this new value of RFCH4 in the calculations for HC 
determination, as described in Sec.  1065.660.

    Effective Date Note: At 73 FR 37308, June 30, 2008, Sec.  1065.360 
was revised, effective July 7, 2008. For the convenience of the user, 
the revised text is set forth as follows:



Sec.  1065.360  FID optimization and verification.

    (a) Scope and frequency. For all FID analyzers, calibrate the FID 
upon initial installation. Repeat the calibration as needed using good 
engineering judgment. For a FID that measures THC, perform the following 
steps:
    (1) Optimize the response to various hydrocarbons after initial 
analyzer installation and after major maintenance as described in 
paragraph (c) of this section.
    (2) Determine the methane (CH4) response factor after 
initial analyzer installation and after major maintenance as described 
in paragraph (d) of this section.

[[Page 915]]

    (3) Verify the methane (CH4) response within 185 days 
before testing as described in paragraph (e) of this section.
    (b) Calibration. Use good engineering judgment to develop a 
calibration procedure, such as one based on the FID-analyzer 
manufacturer's instructions and recommended frequency for calibrating 
the FID. Alternately, you may remove system components for off-site 
calibration. For a FID that measures THC, calibrate using 
C3H8 calibration gases that meet the 
specifications of Sec.  1065.750. For a FID that measures 
CH4, calibrate using CH4 calibration gases that 
meet the specifications of Sec.  1065.750. We recommend FID analyzer 
zero and span gases that contain approximately the flow-weighted mean 
concentration of O2 expected during testing. If you use a FID 
to measure methane (CH4) downstream of a nonmethane cutter, 
you may calibrate that FID using CH4 calibration gases with 
the cutter. Regardless of the calibration gas composition, calibrate on 
a carbon number basis of one (C1). For example, if you use a 
C3H8 span gas of concentration 200 [micro]mol/mol, 
span the FID to respond with a value of 600 [micro]mol/mol. As another 
example, if you use a CH4 span gas with a concentration of 
200 [micro]mol/mol, span the FID to respond with a value of 200 
[micro]mol/mol.
    (c) THC FID response optimization. This procedure is only for FID 
analyzers that measure THC. Use good engineering judgment for initial 
instrument start-up and basic operating adjustment using FID fuel and 
zero air. Heated FIDs must be within their required operating 
temperature ranges. Optimize FID response at the most common analyzer 
range expected during emission testing. Optimization involves adjusting 
flows and pressures of FID fuel, burner air, and sample to minimize 
response variations to various hydrocarbon species in the exhaust. Use 
good engineering judgment to trade off peak FID response to propane 
calibration gases to achieve minimal response variations to different 
hydrocarbon species. For an example of trading off response to propane 
for relative responses to other hydrocarbon species, see SAE 770141 
(incorporated by reference in Sec.  1065.1010). Determine the optimum 
flow rates and/or pressures for FID fuel, burner air, and sample and 
record them for future reference.
    (d) THC FID CH4 response factor determination. This procedure is 
only for FID analyzers that measure THC. Since FID analyzers generally 
have a different response to CH4 versus 
C3H8, determine each THC FID analyzer's 
CH4 response factor, RFCH4[THC-FID], after FID 
optimization. Use the most recent RFCH4[THC-FID] measured 
according to this section in the calculations for HC determination 
described in Sec.  1065.660 to compensate for CH4 response. 
Determine RFCH4[THC-FID] as follows, noting that you do not 
determine RFCH4[THC-FID] for FIDs that are calibrated and 
spanned using CH4 with a nonmethane cutter:
    (1) Select a C3H8 span gas concentration that 
you use to span your analyzers before emission testing. Use only span 
gases that meet the specifications of Sec.  1065.750. Record the 
C3H8 concentration of the gas.
    (2) Select a CH4 span gas concentration that you use to 
span your analyzers before emission testing. Use only span gases that 
meet the specifications of Sec.  1065.750. Record the CH4 
concentration of the gas.
    (3) Start and operate the FID analyzer according to the 
manufacturer's instructions.
    (4) Confirm that the FID analyzer has been calibrated using 
C3H8. Calibrate on a carbon number basis of one 
(C1). For example, if you use a C3H8 
span gas of concentration 200 [micro]mol/mol, span the FID to respond 
with a value of 600 [micro]mol/mol.
    (5) Zero the FID with a zero gas that you use for emission testing.
    (6) Span the FID with the C3H8 span gas that 
you selected under paragraph (d)(1) of this section.
    (7) Introduce at the sample port of the FID analyzer, the 
CH4 span gas that you selected under paragraph (d)(2) of this 
section.
    (8) Allow time for the analyzer response to stabilize. Stabilization 
time may include time to purge the analyzer and to account for its 
response.
    (9) While the analyzer measures the CH4 concentration, 
record 30 seconds of sampled data. Calculate the arithmetic mean of 
these values.
    (10) Divide the mean measured concentration by the recorded span 
concentration of the CH4 calibration gas. The result is the 
FID analyzer's response factor for CH4, 
RFCH4[THC-FID].
    (e) THC FID methane (CH4) response verification. This procedure is 
only for FID analyzers that measure THC. If the value of 
RFCH4[THC-FID] from paragraph (d) of this section is within 
5.0% of its most recent previously determined 
value, the THC FID passes the methane response verification. For 
example, if the most recent previous value for RFCH4[THC-FID] 
was 1.05 and it changed by 0.05 to become 1.10 or 
it changed by -0.05 to become 1.00, either case would be acceptable 
because 4.8% is less than 5.0%. Verify RFCH4[THC-FID] as follows:
    (1) First verify that the flow rates and/or pressures of FID fuel, 
burner air, and sample are each within 0.5% of 
their most recent previously recorded values, as described in paragraph 
(c) of this section. You may adjust these flow rates as necessary. Then 
determine the RFCH4[THC-FID] as described in paragraph (d) of 
this section and verify that it is within the tolerance specified in 
this paragraph (e).

[[Page 916]]

    (2) If RFCH4[THC-FID] is is not within the tolerance 
specified in this paragraph (e), re-optimize the FID response as 
described in paragraph (c) of this section.
    (3) Determine a new RFCH4[THC-FID] as described in 
paragraph (d) of this section. Use this new value of 
RFCH4[THC-FID] in the calculations for HC determination, as 
described in Sec.  1065.660.



Sec.  1065.362  Non-stoichiometric raw exhaust FID O[bdi2] interference verification.

    (a) Scope and frequency. If you use FID analyzers for raw exhaust 
measurements from engines that operate in a non-stoichiometric mode of 
combustion (e.g., compression-ignition, lean-burn), verify the amount of 
FID O2 interference upon initial installation and after major 
maintenance.
    (b) Measurement principles. Changes in O2 concentration 
in raw exhaust can affect FID response by changing FID flame 
temperature. Optimize FID fuel, burner air, and sample flow to meet this 
verification. Verify FID performance with the compensation algorithms 
for FID O2 interference that you have active during an 
emission test.
    (c) System requirements. Any FID analyzer used during testing must 
meet the FID O2 interference verification according to the 
procedure in this section.
    (d) Procedure. Determine FID O2 interference as follows:
    (1) Select two span reference gases that meet the specifications in 
Sec.  1065.750 and contain C3H8 near 100% of span 
for HC. You may use CH4 span reference gases for FIDs 
calibrated on CH4 with a nonmethane cutter. Select the two 
balance gas concentrations such that the concentrations of O2 
and N2 represent the minimum and maximum O2 
concentrations expected during testing.
    (2) Confirm that the FID analyzer meets all the specifications of 
Sec.  1065.360.
    (3) Start and operate the FID analyzer as you would before an 
emission test. Regardless of the FID burner's air source during testing, 
use zero air as the FID burner's air source for this verification.
    (4) Zero the FID analyzer using the zero gas used during emission 
testing.
    (5) Span the FID analyzer using the span gas used during emission 
testing.
    (6) Check the zero response of the FID analyzer using the zero gas 
used during emission testing. If the mean zero response of 30 seconds of 
sampled data is within 0.5% of the span reference 
value used in paragraph (d)(5) of this section, then proceed to the next 
step; otherwise restart the procedure at paragraph (d)(4) of this 
section.
    (7) Check the analyzer response using the span gas that has the 
minimum concentration of O2 expected during testing. Record 
the mean response of 30 seconds of stabilized sample data as 
xO2minHC.
    (8) Check the zero response of the FID analyzer using the zero gas 
used during emission testing. If the mean zero response of 30 seconds of 
stabilized sample data is within 0.5% of the span 
reference value used in paragraph (d)(5) of this section, then proceed 
to the next step; otherwise restart the procedure at paragraph (d)(4) of 
this section.
    (9) Check the analyzer response using the span gas that has the 
maximum concentration of O2 expected during testing. Record 
the mean response of 30 seconds of stabilized sample data as 
xO2maxHC.
    (10) Check the zero response of the FID analyzer using the zero gas 
used during emission testing. If the mean zero response of 30 seconds of 
stabilized sample data is within 0.5% of the span 
reference value used in paragraph (d)(5) of this section, then proceed 
to the next step; otherwise restart the procedure at paragraph (d)(4) of 
this section.
    (11) Calculate the percent difference between xO2maxHC 
and its reference gas concentration. Calculate the percent difference 
between xO2minHC and its reference gas concentration. 
Determine the maximum percent difference of the two. This is the 
O2 interference.
    (12) If the O2 interference is within 1.5%, then the FID passes the O2 interference 
check; otherwise perform one or more of the following to address the 
deficiency:
    (i) Select zero and span gases for emission testing that contain 
higher or lower O2 concentrations.
    (ii) Adjust FID burner air, fuel, and sample flow rates. Note that 
if you adjust these flow rates to meet the O2 interference 
verification, you must re-verify with the adjusted flow rates that

[[Page 917]]

the FID meets the CH4 response factor verification according 
to Sec.  1065.360.
    (iii) Repair or replace the FID.
    (iv) Demonstrate that the deficiency does not adversely affect your 
ability to demonstrate compliance with the applicable emission 
standards.

    Effective Date Note: At 73 FR 37309, June 30, 2008, Sec.  1065.362 
was amended by revising paragraph (d), effective July 7, 2008. For the 
convenience of the user, the revised text is set forth as follows:



Sec.  1065.362  Non-stoichiometric raw exhaust FID O2 interference 
          verification.

                                * * * * *

    (d) Procedure. Determine FID O2 interference as follows, 
noting that you may use one or more gas dividers to create the reference 
gas concentrations that are required to perform this verification:
    (1) Select three span reference gases that contain a 
C3H8 concentration that you use to span your 
analyzers before emission testing. Use only span gases that meet the 
specifications of Sec.  1065.750. You may use CH4 span 
reference gases for FIDs calibrated on CH4 with a nonmethane 
cutter. Select the three balance gas concentrations such that the 
concentrations of O2 and N2 represent the minimum, 
maximum, and average O2 concentrations expected during 
testing. The requirement for using the average O2 
concentration can be removed if you choose to calibrate the FID with 
span gas balanced with the average expected oxygen concentration.
    (2) Confirm that the FID analyzer meets all the specifications of 
Sec.  1065.360.
    (3) Start and operate the FID analyzer as you would before an 
emission test. Regardless of the FID burner's air source during testing, 
use zero air as the FID burner's air source for this verification.
    (4) Zero the FID analyzer using the zero gas used during emission 
testing.
    (5) Span the FID analyzer using a span gas that you use during 
emission testing.
    (6) Check the zero response of the FID analyzer using the zero gas 
used during emission testing. If the mean zero response of 30 seconds of 
sampled data is within 0.5% of the span reference 
value used in paragraph (d)(5) of this section, then proceed to the next 
step; otherwise restart the procedure at paragraph (d)(4) of this 
section.
    (7) Check the analyzer response using the span gas that has the 
minimum concentration of O2 expected during testing. Record 
the mean response of 30 seconds of stabilized sample data as 
xO2minHC.
    (8) Check the zero response of the FID analyzer using the zero gas 
used during emission testing. If the mean zero response of 30 seconds of 
stabilized sample data is within 0.5% of the span 
reference value used in paragraph (d)(5) of this section, then proceed 
to the next step; otherwise restart the procedure at paragraph (d)(4) of 
this section.
    (9) Check the analyzer response using the span gas that has the 
average concentration of O2 expected during testing. Record 
the mean response of 30 seconds of stabilized sample data as 
xO2avgHC.
    (10) Check the zero response of the FID analyzer using the zero gas 
used during emission testing. If the mean zero response of 30 seconds of 
stabilized sample data is within 0.5% of the span 
reference value used in paragraph (d)(5) of this section, proceed to the 
next step; otherwise restart the procedure at paragraph (d)(4) of this 
section.
    (11) Check the analyzer response using the span gas that has the 
maximum concentration of O2 expected during testing. Record 
the mean response of 30 seconds of stabilized sample data as 
xO2maxHC.
    (12) Check the zero response of the FID analyzer using the zero gas 
used during emission testing. If the mean zero response of 30 seconds of 
stabilized sample data is within 0.5% of the span 
reference value used in paragraph (d)(5) of this section, then proceed 
to the next step; otherwise restart the procedure at paragraph (d)(4) of 
this section.
    (13) Calculate the percent difference between xO2maxHC 
and its reference gas concentration. Calculate the percent difference 
between xO2avgHC and its reference gas concentration. 
Calculate the percent difference between xO2minHC and its 
reference gas concentration. Determine the maximum percent difference of 
the three. This is the O2 interference.
    (14) If the O2 interference is within 2%, the FID passes the O2 interference 
verification; otherwise perform one or more of the following to address 
the deficiency:
    (i) Repeat the verification to determine if a mistake was made 
during the procedure.
    (ii) Select zero and span gases for emission testing that contain 
higher or lower O2 concentrations and repeat the 
verification.
    (iii) Adjust FID burner air, fuel, and sample flow rates. Note that 
if you adjust these flow rates on a THC FID to meet the O2 
interference verification, you have reset RFCH4 for the next 
RFCH4 verification according to Sec.  1065.360. Repeat the 
O2 interference verification after adjustment and determine 
RFCH4.
    (iv) Repair or replace the FID and repeat the O2 
interference verification.
    (v) Demonstrate that the deficiency does not adversely affect your 
ability to demonstrate compliance with the applicable emission 
standards.

[[Page 918]]



Sec.  1065.365  Nonmethane cutter penetration fractions.

    (a) Scope and frequency. If you use a FID analyzer and a nonmethane 
cutter (NMC) to measure methane (CH4), determine the 
nonmethane cutter's penetration fractions of methane, PFCH4, and ethane, 
PFC2H6. Perform this verification after installing the nonmethane 
cutter. Repeat this verification within 185 days of testing to verify 
that the catalytic activity of the cutter has not deteriorated. Note 
that because nonmethane cutters can deteriorate rapidly and without 
warning if they are operated outside of certain ranges of gas 
concentrations and outside of certain temperature ranges, good 
engineering judgment may dictate that you determine a nonmethane 
cutter's penetration fractions more frequently.
    (b) Measurement principles. A nonmethane cutter is a heated catalyst 
that removes nonmethane hydrocarbons from the exhaust stream before the 
FID analyzer measures the remaining hydrocarbon concentration. An ideal 
nonmethane cutter would have PFCH4 of 1.000, and the penetration 
fraction for all other hydrocarbons would be 0.000, as represented by 
PFC2H6. The emission calculations in Sec.  1065.660 use this section's 
measured values of PFCH4 and PFC2H6 to account for less than ideal NMC 
performance.
    (c) System requirements. We do not limit NMC penetration fractions 
to a certain range. However, we recommend that you optimize a nonmethane 
cutter by adjusting its temperature to achieve PFCH4  0.95 
and PFC2H6 < 0.02 as determined by paragraphs (d) and (e) of this 
section, as applicable. If we use a nonmethane cutter for testing, it 
will meet this recommendation. If adjusting NMC temperature does not 
result in achieving both of these specifications simultaneously, we 
recommend that you replace the catalyst material.
    Use the most recently determined penetration values from this 
section to calculate HC emissions according to Sec.  1065.660 and Sec.  
1065.665 as applicable.
    (d) Procedure for a FID calibrated with the NMC. If your FID 
arrangement is such that a FID is always calibrated to measure 
CH4 with the NMC, then span that FID with the NMC cutter 
using a CH4 span gas, set that FID's CH4 
penetration fraction, PFCH4, equal to 1.0 for all emission calculations, 
and determine its ethane (C2H6) penetration 
fraction, PFC2H6. as follows:
    (1) Select a CH4 gas mixture and a 
C2H6 analytical gas mixture and ensure that both 
mixtures meet the specifications of Sec.  1065.750. Select a 
CH4 concentration that you would use for spanning the FID 
during emission testing and select a C2H6 
concentration that is typical of the peak NMHC concentration expected at 
the hydrocarbon standard or equal to THC analyzer's span value.
    (2) Start, operate, and optimize the nonmethane cutter according to 
the manufacturer's instructions, including any temperature optimization.
    (3) Confirm that the FID analyzer meets all the specifications of 
Sec.  1065.360.
    (4) Start and operate the FID analyzer according to the 
manufacturer's instructions.
    (5) Zero and span the FID with the cutter and use CH4 
span gas to span the FID with the cutter. Note that you must span the 
FID on a C1 basis. For example, if your span gas has a 
CH4 reference value of 100 [micro]/mol, the correct FID 
response to that span gas is 100 [micro]/mol because there is one carbon 
atom per CH4 molecule.
    (6) Introduce the C2H6 analytical gas mixture 
upstream of the nonmethane cutter.
    (7) Allow time for the analyzer response to stabilize. Stabilization 
time may include time to purge the nonmethane cutter and to account for 
the analyzer's response.
    (8) While the analyzer measures a stable concentration, record 30 
seconds of sampled data. Calculate the arithmetic mean of these data 
points.
    (9) Divide the mean by the reference value of 
C2H6, converted to a C1 basis. The 
result is the C2H6 penetration fraction, PFC2H6. 
Use this penetration fraction and the CH4 penetration 
fraction, which is set equal to 1.0, in emission calculations according 
to Sec.  1065.660 or Sec.  1065.665, as applicable.
    (e) Procedure for a FID calibrated by bypassing the NMC. If you use 
a FID with an NMC that is calibrated by bypassing the NMC, determine 
penetration fractions as follows:

[[Page 919]]

    (1) Select CH4 and C2H6 analytical 
gas mixtures that meet the specifications of Sec.  1065.750 with the 
CH4 concentration typical of its peak concentration expected 
at the hydrocarbon standard and the C2H6 
concentration typical of the peak total hydrocarbon (THC) concentration 
expected at the hydrocarbon standard or the THC analyzer span value.
    (2) Start and operate the nonmethane cutter according to the 
manufacturer's instructions, including any temperature optimization.
    (3) Confirm that the FID analyzer meets all the specifications of 
Sec.  1065.360.
    (4) Start and operate the FID analyzer according to the 
manufacturer's instructions.
    (5) Zero and span the FID as you would during emission testing. Span 
the FID by bypassing the cutter and by using C3H8 
span gas to span the FID. Note that you must span the FID on a 
C1 basis. For example, if your span gas has a propane 
reference value of 100 [micro]/mol, the correct FID response to that 
span gas is 300 [micro]/mol because there are three carbon atoms per 
C3H8 molecule.
    (6) Introduce the C2H6 analytical gas mixture 
upstream of the nonmethane cutter.
    (7) Allow time for the analyzer response to stabilize. Stabilization 
time may include time to purge the nonmethane cutter and to account for 
the analyzer's response.
    (8) While the analyzer measures a stable concentration, record 30 
seconds of sampled data. Calculate the arithmetic mean of these data 
points.
    (9) Reroute the flow path to bypass the nonmethane cutter, introduce 
the C2H6 analytical gas mixture to the bypass, and 
repeat the steps in paragraphs (e)(7) through (8) of this section.
    (10) Divide the mean C2H6 concentration 
measured through the nonmethane cutter by the mean concentration 
measured after bypassing the nonmethane cutter. The result is the 
C2H6 penetration fraction, PFC2H6. Use this 
penetration fraction according to Sec.  1065.660 or Sec.  1065.665, as 
applicable.
    (11) Repeat the steps in paragraphs (e)(6) through (10) of this 
section, but with the CH4 analytical gas mixture instead of 
C2H6. The result will be the CH4 
penetration fraction, PFCH4. Use this penetration fraction according to 
Sec.  1065.660 or Sec.  1065.665, as applicable.

    Effective Date Note: At 73 FR 37310, June 30, 2008, Sec.  1065.365 
was revised, effective July 7, 2008. For the convenience of the user, 
the revised text is set forth as follows:



Sec.  1065.365  Nonmethane cutter penetration fractions.

    (a) Scope and frequency. If you use a FID analyzer and a nonmethane 
cutter (NMC) to measure methane (CH4), determine the 
nonmethane cutter's penetration fractions of methane, PFCH4, 
and ethane, PFC2H6. As detailed in this section, these 
penetration fractions may be determined as a combination of NMC 
penetration fractions and FID analyzer response factors, depending on 
your particular NMC and FID analyzer configuration. Perform this 
verification after installing the nonmethane cutter. Repeat this 
verification within 185 days of testing to verify that the catalytic 
activity of the cutter has not deteriorated. Note that because 
nonmethane cutters can deteriorate rapidly and without warning if they 
are operated outside of certain ranges of gas concentrations and outside 
of certain temperature ranges, good engineering judgment may dictate 
that you determine a nonmethane cutter's penetration fractions more 
frequently.
    (b) Measurement principles. A nonmethane cutter is a heated catalyst 
that removes nonmethane hydrocarbons from an exhaust sample stream 
before the FID analyzer measures the remaining hydrocarbon 
concentration. An ideal nonmethane cutter would have a methane 
penetration fraction, PFCH4, of 1.000, and the penetration 
fraction for all other nonmethane hydrocarbons would be 0.000, as 
represented by PFC2H6. The emission calculations in Sec.  
1065.660 use the measured values from this verification to account for 
less than ideal NMC performance.
    (c) System requirements. We do not limit NMC penetration fractions 
to a certain range. However, we recommend that you optimize a nonmethane 
cutter by adjusting its temperature to achieve a PFCH4 
0.85 and a PFC2H6 <0.02, as determined by 
paragraphs (d), (e), or (f) of this section, as applicable. If we use a 
nonmethane cutter for testing, it will meet this recommendation. If 
adjusting NMC temperature does not result in achieving both of these 
specifications simultaneously, we recommend that you replace the 
catalyst material. Use the most recently determined penetration values 
from this section to calculate HC emissions according to Sec.  1065.660 
and Sec.  1065.665 as applicable.
    (d) Procedure for a FID calibrated with the NMC. The method 
described in this paragraph (d) is recommended over the procedures 
specified in paragraphs (e) and (f) of this section. If your FID 
arrangement is such that a FID is always calibrated to measure

[[Page 920]]

CH4 with the NMC, then span that FID with the NMC using a 
CH4 span gas, set the product of that FID's CH4 
response factor and CH4 penetration fraction, 
RFPFCH4[NMC-FID], equal to 1.0 for all emission calculations, 
and determine its combined ethane (C2H6) response 
factor and penetration fraction, RFPFC2H6[NMC-FID] as 
follows:
    (1) Select a CH4 gas mixture and a 
C2H6 analytical gas mixture and ensure that both 
mixtures meet the specifications of Sec.  1065.750. Select a 
CH4 concentration that you would use for spanning the FID 
during emission testing and select a C2H6 
concentration that is typical of the peak NMHC concentration expected at 
the hydrocarbon standard or equal to THC analyzer's span value.
    (2) Start, operate, and optimize the nonmethane cutter according to 
the manufacturer's instructions, including any temperature optimization.
    (3) Confirm that the FID analyzer meets all the specifications of 
Sec.  1065.360.
    (4) Start and operate the FID analyzer according to the 
manufacturer's instructions.
    (5) Zero and span the FID with the cutter and use CH4 
span gas to span the FID with the cutter. Note that you must span the 
FID on a C1 basis. For example, if your span gas has a 
CH4 reference value of 100 [micro]mol/mol, the correct FID 
response to that span gas is 100 [micro]mol/mol because there is one 
carbon atom per CH4 molecule.
    (6) Introduce the C2H6 analytical gas mixture 
upstream of the nonmethane cutter.
    (7) Allow time for the analyzer response to stabilize. Stabilization 
time may include time to purge the nonmethane cutter and to account for 
the analyzer's response.
    (8) While the analyzer measures a stable concentration, record 30 
seconds of sampled data. Calculate the arithmetic mean of these data 
points.
    (9) Divide the mean by the reference value of 
C2H6, converted to a C1 basis. The 
result is the C2H6 combined response factor and 
penetration fraction, RFPFC2H6[NMC-FID]. Use this combined 
response factor and penetration fraction and the product of the 
CH4 response factor and CH4 penetration fraction, 
RFPFCH4[NMC-FID], set to 1.0 in emission calculations 
according to Sec.  1065.660(b)(2)(i) or Sec.  1065.665, as applicable.
    (e) Procedure for a FID calibrated with propane, bypassing the NMC. 
If you use a FID with an NMC that is calibrated with propane, 
C3H8, by bypassing the NMC, determine its 
penetration fractions, PFC2H6[NMC-FID] and 
PFCH4[NMC-FID], as follows:
    (1) Select CH4 and C2H6 analytical 
gas mixtures that meet the specifications of Sec.  1065.750 with the 
CH4 concentration typical of its peak concentration expected 
at the hydrocarbon standard and the C2H6 
concentration typical of the peak total hydrocarbon (THC) concentration 
expected at the hydrocarbon standard or the THC analyzer span value.
    (2) Start and operate the nonmethane cutter according to the 
manufacturer's instructions, including any temperature optimization.
    (3) Confirm that the FID analyzer meets all the specifications of 
Sec.  1065.360.
    (4) Start and operate the FID analyzer according to the 
manufacturer's instructions.
    (5) Zero and span the FID as you would during emission testing. Span 
the FID by bypassing the cutter and by using C3H8 
span gas to span the FID. Note that you must span the FID on a 
C1 basis. For example, if your span gas has a propane 
reference value of 100 [micro]mol/mol, the correct FID response to that 
span gas is 300 [micro]mol/mol because there are three carbon atoms per 
C3H8 molecule.
    (6) Introduce the C2H6 analytical gas mixture 
upstream of the nonmethane cutter at the same point the zero gas was 
introduced.
    (7) Allow time for the analyzer response to stabilize. Stabilization 
time may include time to purge the nonmethane cutter and to account for 
the analyzer's response.
    (8) While the analyzer measures a stable concentration, record 30 
seconds of sampled data. Calculate the arithmetic mean of these data 
points.
    (9) Reroute the flow path to bypass the nonmethane cutter, introduce 
the C2H6 analytical gas mixture to the bypass, and 
repeat the steps in paragraphs (e)(7) through (8) of this section.
    (10) Divide the mean C2H6 concentration 
measured through the nonmethane cutter by the mean concentration 
measured after bypassing the nonmethane cutter. The result is the 
C2H6 penetration fraction, 
PFC2H6[NMC-FID]. Use this penetration fraction according to 
Sec.  1065.660(b)(2)(ii) or Sec.  1065.665, as applicable.
    (11) Repeat the steps in paragraphs (e)(6) through (10) of this 
section, but with the CH4 analytical gas mixture instead of 
C2H6. The result will be the CH4 
penetration fraction, PFCH4[NMC-FID]. Use this penetration 
fraction according to Sec.  1065.660(b)(2)(ii) or Sec.  1065.665, as 
applicable.
    (f) Procedure for a FID calibrated with methane, bypassing the NMC. 
If you use a FID with an NMC that is calibrated with methane, 
CH4, by bypassing the NMC, determine its combined ethane 
(C2H6) response factor and penetration fraction, 
RFPFC2H6[NMC-FID], as well as its CH4 penetration 
fraction, PFCH4[NMC-FID], as follows:
    (1) Select CH4 and C2H6 analytical 
gas mixtures that meet the specifications of Sec.  1065.750, with the 
CH4 concentration typical of its peak concentration expected 
at the hydrocarbon standard and the C2H6 
concentration typical of the peak total hydrocarbon (THC) concentration 
expected at the hydrocarbon standard or the THC analyzer span value.

[[Page 921]]

    (2) Start and operate the nonmethane cutter according to the 
manufacturer's instructions, including any temperature optimization.
    (3) Confirm that the FID analyzer meets all the specifications of 
Sec.  1065.360.
    (4) Start and operate the FID analyzer according to the 
manufacturer's instructions.
    (5) Zero and span the FID as you would during emission testing. Span 
the FID with CH4 span gas by bypassing the cutter. Note that 
you must span the FID on a C1 basis. For example, if your 
span gas has a methane reference value of 100 [micro]mol/mol, the 
correct FID response to that span gas is 100 [micro]mol/mol because 
there is one carbon atom per CH4 molecule.
    (6) Introduce the C2H6 analytical gas mixture 
upstream of the nonmethane cutter at the same point the zero gas was 
introduced.
    (7) Allow time for the analyzer response to stabilize. Stabilization 
time may include time to purge the nonmethane cutter and to account for 
the analyzer's response.
    (8) While the analyzer measures a stable concentration, record 30 
seconds of sampled data. Calculate the arithmetic mean of these data 
points.
    (9) Reroute the flow path to bypass the nonmethane cutter, introduce 
the C2H6 analytical gas mixture to the bypass, and 
repeat the steps in paragraphs (e)(7) and (8) of this section.
    (10) Divide the mean C2H6 concentration 
measured through the nonmethane cutter by the mean concentration 
measured after bypassing the nonmethane cutter. The result is the 
C2H6 combined response factor and penetration 
fraction, RFPFC2H6[NMC-FID]. Use this combined response 
factor and penetration fraction according to Sec.  1065.660(b)(2)(iii) 
or Sec.  1065.665, as applicable.
    (11) Repeat the steps in paragraphs (e)(6) through (10) of this 
section, but with the CH4 analytical gas mixture instead of 
C2H6. The result will be the CH4 
penetration fraction, PFCH4[NMC-FID]. Use this penetration 
fraction according to Sec.  1065.660(b)(2)(iii) or Sec.  1065.665, as 
applicable.

                       NOX Measurements



Sec.  1065.370  CLD CO[bdi2] and H[bdi2]O quench verification.

    (a) Scope and frequency. If you use a CLD analyzer to measure 
NOX, verify the amount of H2O and CO2 
quench after installing the CLD analyzer and after major maintenance.
    (b) Measurement principles. H2O and CO2 can 
negatively interfere with a CLD's NOX response by collisional 
quenching, which inhibits the chemiluminescent reaction that a CLD 
utilizes to detect NOX. The calculations in Sec.  1065.672 
for H2O quench account for the water vapor in humidified NO 
span gas. The procedure and the calculations scale the quench results to 
the water vapor and CO2 concentrations expected during 
testing. If the CLD analyzer uses quench compensation algorithms that 
utilize H2O and/or CO2 measurement instruments, 
use these instruments to measure H2O and/or CO2 
and evaluate quench with the compensation algorithms applied.
    (c) System requirements. A CLD analyzer must have a combined 
H2O and CO2 quench of 2% or 
less, though we strongly recommend a quench of 1% 
or less. Combined quench is the sum of the CO2 quench 
determined as described in paragraph (d) of this section, plus the 
H2O quench determined in paragraph (e) of this section.
    (d) CO2 quench verification procedure. Use the following method to 
determine CO2 quench, or use good engineering judgment to 
develop a different protocol:
    (1) Use PTFE tubing to make necessary connections.
    (2) Connect a pressure-regulated CO2 span gas to one of 
the inlets of a three-way valve made of 300 series stainless steel. Use 
a CO2 span gas that meets the specifications of Sec.  
1065.750 and attempt to use a concentration that is approximately twice 
the maximum CO2 concentration expected to enter the CLD 
sample port during testing, if available.
    (3) Connect a pressure-regulated purified N2 gas to the 
valve's other inlet. Use a purified N2 gas that meets the 
specifications of Sec.  1065.750.
    (4) Connect the valve's single outlet to the balance-gas port of a 
gas divider that meets the specifications in Sec.  1065.248.
    (5) Connect a pressure-regulated NO span gas to the span-port of the 
gas divider. Use an NO span gas that meets the specifications of Sec.  
1065.750. Attempt to use an NO concentration that is approximately twice 
the maximum NO concentration expected during testing, if available.
    (6) Configure the gas divider such that nearly equal amounts of the 
span gas and balance gas are blended with each other. Apply viscosity 
corrections

[[Page 922]]

as necessary to appropriately ensure correct gas division.
    (7) While flowing balance and span gases through the gas divider, 
stabilize the CO2 concentration downstream of the gas divider 
and measure the CO2 concentration with an NDIR analyzer that 
has been prepared for emission testing. Record this concentration, 
xCO2meas, and use it in the quench verification calculations 
in Sec.  1065.675.
    (8) Measure the NO concentration downstream of the gas divider. If 
the CLD has an operating mode in which it detects NO-only, as opposed to 
total NOX, operate the CLD in the NO-only operating mode. 
Record this concentration, xNO,CO2, and use it in the quench 
verification calculations in Sec.  1065.675.
    (9) Switch the three-way valve so 100% purified N2 flows 
to the gas divider's balance-port inlet. Monitor the CO2 at 
the gas divider's outlet until its concentration stabilizes at zero.
    (10) Measure NO concentration at the gas divider's outlet. Record 
this value, xNO,N2, and use it in the quench verification 
calculations in Sec.  1065.675.
    (11) Use the values recorded according to this paragraph (d) of this 
section and paragraph (e) of this section to calculate quench as 
described in Sec.  1065.675.
    (e) H2O quench verification procedure. Use the following method to 
determine H2O quench, or use good engineering judgment to 
develop a different protocol:
    (1) Use PTFE tubing to make necessary connections.
    (2) If the CLD has an operating mode in which it detects NO-only, as 
opposed to total NOX, operate the CLD in the NO-only 
operating mode.
    (3) Measure an NO calibration span gas that meets the specifications 
of Sec.  1065.750 and is near the maximum concentration expected during 
testing. Record this concentration, xNOdry.
    (4) Humidify the gas by bubbling it through distilled water in a 
sealed vessel. We recommend that you humidify the gas to the highest 
sample dewpoint that you estimate during emission sampling. Regardless 
of the humidity during this test, the quench verification calculations 
in Sec.  1065.675 scale the recorded quench to the highest dewpoint that 
you expect entering the CLD sample port during emission sampling.
    (5) If you do not use any sample dryer for NOX during 
emissions testing, record the vessel water temperature as 
Tdew, and its pressure as ptotal and use these 
values according to Sec.  1065.645 to calculate the amount of water 
entering the CLD sample port, xH2Omeas. If you do use a 
sample dryer for NOX during emissions testing, measure the 
humidity of the sample just upstream of the CLD sample port and use the 
measured humidity according to Sec.  1065.645 to calculate the amount of 
water entering the CLD sample port, xH2Omeas.
    (6) To prevent subsequent condensation, make sure that any 
humidified sample will not be exposed to temperatures lower than 
Tdew during transport from the sealed vessel's outlet to the 
CLD. We recommend using heated transfer lines.
    (7) Introduce the humidified sample upstream of any sample dryer, if 
one is used.
    (8) Use the CLD to measure the NO concentration of the humidified 
span gas and record this value, xNOwet.
    (9) Use the recorded values from this paragraph (e) to calculate the 
quench as described in Sec.  1065.675.
    (10) Use the values recorded according to this paragraph (e) of this 
section and paragraph (d) of this section to calculate quench as 
described in Sec.  1065.675.
    (f) Corrective action. If the sum of the H2O quench plus 
the CO2 quench is not within 2%, take 
corrective action by repairing or replacing the analyzer. Before using a 
CLD for emission testing, demonstrate that the corrective action 
resulted in a value within 2% combined quench.
    (g) Exceptions. The following exceptions apply:
    (1) You may omit this verification if you can show by engineering 
analysis that for your NOX sampling system and your emission 
calculations procedures, the combined CO2 and H2O 
interference for your NOX CLD analyzer always affects your 
brake-specific NOX emission results within no more than 
1.0% of the applicable NOX standard.
    (2) You may use a NOX CLD analyzer that you determine 
does not meet this verification, as long as you try to correct the 
problem and the measurement

[[Page 923]]

deficiency does not adversely affect your ability to show that engines 
comply with all applicable emission standards.

    Effective Date Note: At 73 FR 37311, June 30, 2008, Sec.  1065.370 
was amended by revising paragraphs (d), (e), and (g)(1), effective July 
7, 2008. For the convenience of the user, the revised text is set forth 
as follows:



Sec.  1065.370  CLD CO2 and H2O quench verification.

                                * * * * *

    (d) CO2 quench verification procedure. Use the following 
method to determine CO2 quench, or use good engineering 
judgment to develop a different protocol:
    (1) Use PTFE or stainless steel tubing to make necessary 
connections.
    (2) Connect a pressure-regulated CO2 span gas to the port 
of a gas divider that meets the specifications in Sec.  1065.248 at the 
appropriate time. Use a CO2 span gas that meets the 
specifications of Sec.  1065.750 and attempt to use a concentration that 
is approximately twice the maximum CO2 concentration expected 
to enter the CLD sample port during testing, if available.
    (3) Connect a pressure-regulated purified N2 gas to the 
port of a gas divider that meets the specifications in Sec.  1065.248 at 
the appropriate time. Use a purified N2 gas that meets the 
specifications of Sec.  1065.750.
    (4) Connect a pressure-regulated NO span gas to the port of the gas 
divider that meets the specifications in Sec.  1065.248. Use an NO span 
gas that meets the specifications of Sec.  1065.750. Attempt to use an 
NO concentration that is approximately twice the maximum NO 
concentration expected during testing, if available.
    (5) Configure the gas divider such that nearly equal amounts of the 
span gas and balance gas are blended with each other. Apply viscosity 
corrections as necessary to appropriately ensure correct gas division.
    (6) While flowing NO and CO2 through the gas divider, 
stabilize the CO2 concentration downstream of the gas divider 
and measure the CO2 concentration with an NDIR analyzer that 
has been prepared for emission testing. You may alternatively determine 
the CO2 concentration from the gas divider cut-point, 
applying viscosity correction as necessary to ensure accurate gas 
division. Record this concentration, xCO2meas, and use it in 
the quench verification calculations in Sec.  1065.675.
    (7) Measure the NO concentration downstream of the gas divider. If 
the CLD has an operating mode in which it detects NO-only, as opposed to 
total NOX, operate the CLD in the NO-only operating mode. 
Record this concentration, xNO,CO2, and use it in the quench 
verification calculations in Sec.  1065.675.
    (8) Switch the flow of CO2 off and start the flow of 100% 
purified N2 to the inlet port of the gas divider. Monitor the 
CO2 at the gas divider's outlet until its concentration 
stabilizes at zero.
    (9) Measure NO concentration at the gas divider's outlet. Record 
this value, xNO,N2, and use it in the quench verification 
calculations in Sec.  1065.675.
    (10) Use the values recorded according to this paragraph (d) of this 
section and paragraph (e) of this section to calculate quench as 
described in Sec.  1065.675.
    (e) H2O quench verification procedure. Use the following method to 
determine H2O quench, or use good engineering judgment to develop a 
different protocol:
    (1) Use PTFE or stainless steel tubing to make necessary 
connections.
    (2) If the CLD has an operating mode in which it detects NO-only, as 
opposed to total NOX, operate the CLD in the NO-only 
operating mode.
    (3) Measure an NO calibration span gas that meets the specifications 
of Sec.  1065.750 and is near the maximum concentration expected during 
testing. Record this concentration, xNOdry.
    (4) Humidify the NO span gas by bubbling it through distilled water 
in a sealed vessel. If the sample is not passed through a dryer, control 
the vessel temperature to generate an H2O level at least as high as the 
maximum expected during testing. If the sample is passed through a dryer 
during testing, control the vessel temperature to generate an 
H2O level at least as high as the level determined in Sec.  
1065.145(d)(2). We recommend that you humidify the gas to the highest 
sample dewpoint that you estimate at the CLD inlet during emission 
sampling. Regardless of the humidity during this test, the quench 
verification calculations in Sec.  1065.675 scale the recorded quench to 
the highest dewpoint expected for flow entering the CLD sample port 
during emission sampling.
    (5) Introduce the humidified NO test gas into the sample system. You 
may introduce it downstream of any sample dryer, if one is used during 
testing.
    (6) Measure the humidified gas dewpoint, Tdew, and pressure, ptotal, 
as close as possible to the analyzer inlet.
    (7) Downstream of the vessel, maintain the humidified NO test gas 
temperature at least 5 [deg]C above its dewpoint.
    (8) Allow time for the analyzer response to stabilize. Stabilization 
time may include time to purge the transfer line and to account for 
analyzer response.
    (9) While the analyzer measures the sample's concentration, record 
the analyzer's output for 30 seconds. Calculate the arithmetic mean of 
these data. This mean is xNOmeas.

[[Page 924]]

    (10) Set xNOwet equal to xNOmeas from paragraph (e)(9) of this 
section.
    (11) Use xNOwet to calculate the quench according to Sec.  1065.675.

                                * * * * *

    (g) * * *
    (1) You may omit this verification if you can show by engineering 
analysis that for your NOX sampling system and your emission 
calculations procedures, the combined CO2 and H2O interference for your 
NOX CLD analyzer always affects your brake-specific 
NOX emission results within no more than 1.0% of the applicable NOX standard.

                                * * * * *



Sec.  1065.372  NDUV analyzer HC and H[bdi2]O interference verification.

    (a) Scope and frequency. If you measure NOX using an NDUV 
analyzer, verify the amount of H2O and hydrocarbon 
interference after initial analyzer installation and after major 
maintenance.
    (b) Measurement principles. Hydrocarbons and H2O can 
positively interfere with an NDUV analyzer by causing a response similar 
to NOX. If the NDUV analyzer uses compensation algorithms 
that utilize measurements of other gases to meet this interference 
verification, simultaneously conduct such measurements to test the 
algorithms during the analyzer interference verification.
    (c) System requirements. A NOX NDUV analyzer must have 
combined H2O and HC interference within 2% of the flow-weighted mean concentration of 
NOX expected at the standard, though we strongly recommend 
keeping interference within 1%.
    (d) Procedure. Perform the interference verification as follows:
    (1) Start, operate, zero, and span the NOX NDUV analyzer 
according to the instrument manufacturer's instructions.
    (2) We recommend that you extract engine exhaust to perform this 
verification. Use a CLD that meets the specifications of subpart C of 
this part to quantify NOX in the exhaust. Use the CLD 
response as the reference value. Also measure HC in the exhaust with a 
FID analyzer that meets the specifications of subpart C of this part. 
Use the FID response as the reference hydrocarbon value.
    (3) Upstream of any sample dryer, if one is used during testing, 
introduce the engine exhaust to the NDUV analyzer.
    (4) Allow time for the analyzer response to stabilize. Stabilization 
time may include time to purge the transfer line and to account for 
analyzer response.
    (5) While all analyzers measure the sample's concentration, record 
30 seconds of sampled data, and calculate the arithmetic means for the 
three analyzers.
    (6) Subtract the CLD mean from the NDUV mean.
    (7) Multiply this difference by the ratio of the flow-weighted mean 
HC concentration expected at the standard to the HC concentration 
measured during the verification. The analyzer meets the interference 
verification of this section if this result is within 2% of the HC concentration expected at the standard.
    (e) Exceptions. The following exceptions apply:
    (1) You may omit this verification if you can show by engineering 
analysis that for your NOX sampling system and your emission 
calculations procedures, the combined HC and H2O interference 
for your NOX NDUV analyzer always affects your brake-specific 
NOX emission results by less than 0.5% of the applicable 
NOX standard.
    (2) You may use a NOX NDUV analyzer that you determine 
does not meet this verification, as long as you try to correct the 
problem and the measurement deficiency does not adversely affect your 
ability to show that engines comply with all applicable emission 
standards.

    Effective Date Note: At 73 FR 37312, June 30, 2008, Sec.  1065.372 
was amended by revising paragraphs (d)(7) and (e)(1), effective July 7, 
2008. For the convenience of the user, the revised text is set forth as 
follows:



Sec.  1065.372  NDUV analyzer HC and H2O interference 
          verification.

                                * * * * *

    (d) * * *
    (7) Multiply this difference by the ratio of the flow-weighted mean 
HC concentration

[[Page 925]]

expected at the standard to the HC concentration measured during the 
verification. The analyzer meets the interference verification of this 
section if this result is within 2% of the 
NOX concentration expected at the standard.
    (e) * * *
    (1) You may omit this verification if you can show by engineering 
analysis that for your NOX sampling system and your emission 
calculations procedures, the combined HC and H2O interference 
for your NOX NDUV analyzer always affects your brake-specific 
NOX emission results by less than 0.5% of the applicable 
NOX standard.

                                * * * * *



Sec.  1065.376  Chiller NO[bdi2] penetration.

    (a) Scope and frequency. If you use a chiller to dry a sample 
upstream of a NOX measurement instrument, but you don't use 
an NO2-to-NO converter upstream of the chiller, you must 
perform this verification for chller NO2 penetration. Perform 
this verification after initial installation and after major 
maintenance.
    (b) Measurement principles. A chiller removes water, which can 
otherwise interfere with a NOX measurement. However, liquid 
water in an improperly designed chiller can remove NO2 from 
the sample. If a chiller is used without an NO2-to-NO 
converter upstream, it could therefore remove NO2 from the 
sample prior NOX measurement.
    (c) System requirements. A chiller must allow for measuring at least 
95% of the total NO2 at the maximum expected concentration of 
NO2.
    (d) Procedure. Use the following procedure to verify chiller 
performance:
    (1) Instrument setup. Follow the analyzer and chiller manufacturers' 
start-up and operating instructions. Adjust the analyzer and chiller as 
needed to optimize performance.
    (2) Equipment setup. Connect an ozonator's inlet to a zero-air or 
oxygen source and connect its outlet to one port of a three-way tee 
fitting. Connect an NO span gas to another port of the tee. Connect a 
heated line at 100 [deg]C to the last port, and connect a heated three-
way tee to the other end of the line. Connect a dewpoint generator, set 
at a dewpoint of 50 [deg]C, to one end of a heated line at 100 [deg]C. 
Connect the other end of the line to the heated tee and connect a third 
100 [deg]C heated line to the chiller inlet. Provide an overflow vent 
line at the chiller inlet.
    (3) Adjustments. For the following adjustment steps, set the 
analyzer to measure only NO (i.e., NO mode), or only read the NO channel 
of the analyzer:
    (i) With the dewpoint generator and the ozonator off, adjust the NO 
and zero-gas flows so the NO concentration at the analyzer is at least 
two times the peak total NOX concentration expected during 
testing at the standard. Verify that gas is flowing out of the overflow 
vent line.
    (ii) Turn on the dewpoint generator and adjust its flow so the NO 
concentration at the analyzer is at least at the peak total 
NOX concentration expected during testing at the standard. 
Verify that gas is flowing out of the overflow vent line.
    (iii) Turn on the ozonator and adjust the ozonator so the NO 
concentration measured by the analyzer decreases by the same amount as 
the maximum concentration of NO2 expected during testing. 
This ensures that the ozonator is generating NO2 at the 
maximum concentration expected during testing.
    (4) Data collection. Maintain the ozonator adjustment in paragraph 
(d)(3) of this section, and keep the NOX analyzer in the NO 
only mode or only read the NO channel of the analyzer.
    (i) Allow for stabilization, accounting only for transport delays 
and instrument response.
    (ii) Calculate the mean of 30 seconds of sampled data from the 
analyzer and record this value as NOref.
    (iii) Switch the analyzer to the total NOX mode, (that 
is, sum the NO and NO2 channels of the analyzer) and allow 
for stabilization, accounting only for transport delays and instrument 
response.
    (iv) Calculate the mean of 30 seconds of sampled data from the 
analyzer and record this value as NOxmeas.
    (v) Turn off the ozonator and allow for stabilization, accounting 
only for transport delays and instrument response.
    (vi) Calculate the mean of 30 seconds of sampled data from the 
analyzer and record this value as NOxref.
    (5) Performance evaluation. Divide the quantity of 
(NOxmeas-NOref) by the

[[Page 926]]

quantity of (NOxref-NOref). If the result is less 
than 95%, repair or replace the chiller.
    (e) Exceptions. The following exceptions apply:
    (1) You may omit this verification if you can show by engineering 
analysis that for your NOX sampling system and your emission 
calculations procedures, the chiller always affects your brake-specific 
NOX emission results by less than 0.5% of the applicable 
NOX standard.
    (2) You may use a chiller that you determine does not meet this 
verification, as long as you try to correct the problem and the 
measurement deficiency does not adversely affect your ability to show 
that engines comply with all applicable emission standards.

    Effective Date Note: At 73 FR 37312, June 30, 2008, Sec.  1065.376 
was revised, effective July 7, 2008. For the convenience of the user, 
the revised text is set forth as follows:



Sec.  1065.376  Chiller NO2 penetration.

    (a) Scope and frequency. If you use a chiller to dry a sample 
upstream of a NOX measurement instrument, but you don't use 
an NO2-to-NO converter upstream of the chiller, you must perform this 
verification for chiller NO2 penetration. Perform this verification 
after initial installation and after major maintenance.
    (b) Measurement principles. A chiller removes water, which can 
otherwise interfere with a NOX measurement. However, liquid 
water remaining in an improperly designed chiller can remove NO2 from 
the sample. If a chiller is used without an NO2-to-NO converter 
upstream, it could remove NO2 from the sample prior NOX 
measurement.
    (c) System requirements. A chiller must allow for measuring at least 
95% of the total NO2 at the maximum expected concentration of NO2.
    (d) Procedure. Use the following procedure to verify chiller 
performance:
    (1) Instrument setup. Follow the analyzer and chiller manufacturers' 
start-up and operating instructions. Adjust the analyzer and chiller as 
needed to optimize performance.
    (2) Equipment setup and data collection. (i) Zero and span the total 
NOX gas analyzer(s) as you would before emission testing.
    (ii) Select an NO2 calibration gas, balance gas of dry air, that has 
an NO2 concentration within 5% of the maximum NO2 
concentration expected during testing.
    (iii) Overflow this calibration gas at the gas sampling system's 
probe or overflow fitting. Allow for stabilization of the total 
NOX response, accounting only for transport delays and 
instrument response.
    (iv) Calculate the mean of 30 seconds of recorded total 
NOX data and record this value as xNOXref.
    (v) Stop flowing the NO2 calibration gas.
    (vi) Next saturate the sampling system by overflowing a dewpoint 
generator's output, set at a dewpoint of 50 [deg]C, to the gas sampling 
system's probe or overflow fitting. Sample the dewpoint generator's 
output through the sampling system and chiller for at least 10 minutes 
until the chiller is expected to be removing a constant rate of water.
    (vii) Immediately switch back to overflowing the NO2 calibration gas 
used to establish xNOxref. Allow for stabilization of the 
total NOX response, accounting only for transport delays and 
instrument response. Calculate the mean of 30 seconds of recorded total 
NOX data and record this value as xNOxmeas.
    (viii) Correct xNOxmeas to xNOxdry based upon 
the residual water vapor that passed through the chiller at the 
chiller's outlet temperature and pressure.
    (3) Performance evaluation. If xNOxdry is less than 95% 
of xNOxref, repair or replace the chiller.
    (e) Exceptions. The following exceptions apply:
    (1) You may omit this verification if you can show by engineering 
analysis that for your NOX sampling system and your emission 
calculations procedures, the chiller always affects your brake-specific 
NOX emission results by less than 0.5% of the applicable 
NOX standard.
    (2) You may use a chiller that you determine does not meet this 
verification, as long as you try to correct the problem and the 
measurement deficiency does not adversely affect your ability to show 
that engines comply with all applicable emission standards.



Sec.  1065.378  NO[bdi2]-to-NO converter conversion verification.

    (a) Scope and frequency. If you use an analyzer that measures only 
NO to determine NOX, you must use an NO2-to-NO 
converter upstream of the analyzer. Perform this verification after 
installing the converter, after major maintenance and within 35 days 
before an emission test. This verification must be repeated at this 
frequency to verify that the catalytic activity of the NO2-
to-NO converter has not deteriorated.
    (b) Measurement principles. An NO2-to-NO converter allows 
an analyzer that measures only NO to determine total NOX by 
converting the NO2 in exhaust to NO.

[[Page 927]]

    (c) System requirements. An NO2-to-NO converter must 
allow for measuring at least 95% of the total NO2 at the 
maximum expected concentration of NO2.
    (d) Procedure. Use the following procedure to verify the performance 
of a NO2-to-NO converter:
    (1) Instrument setup. Follow the analyzer and NO2-to-NO 
converter manufacturers' start-up and operating instructions. Adjust the 
analyzer and converter as needed to optimize performance.
    (2) Equipment setup. Connect an ozonator's inlet to a zero-air or 
oxygen source and connect its outlet to one port of a 4-way cross 
fitting. Connect an NO span gas to another port. Connect the 
NO2-to-NO converter inlet to another port, and connect an 
overflow vent line to the last port.
    (3) Adjustments. Take the following steps to make adjustments:
    (i) With the NO2-to-NO converter in the bypass mode 
(i.e., NO mode) and the ozonator off, adjust the NO and zero-gas flows 
so the NO concentration at the analyzer is at the peak total 
NOX concentration expected during testing. Verify that gas is 
flowing out of the overflow vent.
    (ii) With the NO2-to-NO converter still in the bypass 
mode, turn on the ozonator and adjust the ozonator so the NO 
concentration measured by the analyzer decreases by the same amount as 
maximum concentration of NO2 expected during testing. This 
ensures that the ozonator is generating NO2 at the maximum 
concentration expected during testing.
    (4) Data collection. Maintain the ozonator adjustment in paragraph 
(d)(3) of this section, and keep the NOX analyzer in the NO 
only mode (i.e., bypass the NO2-to-NO converter).
    (i) Allow for stabilization, accounting only for transport delays 
and instrument response.
    (ii) Calculate the mean of 30 seconds of sampled data from the 
analyzer and record this value as NOref.
    (iii) Switch the analyzer to the total NOX mode (that is, 
sample with the NO2-to-NO converter) and allow for 
stabilization, accounting only for transport delays and instrument 
response.
    (iv) Calculate the mean of 30 seconds of sampled data from the 
analyzer and record this value as NOxmeas.
    (v) Turn off the ozonator and allow for stabilization, accounting 
only for transport delays and instrument response.
    (vi) Calculate the mean of 30 seconds of sampled data from the 
analyzer and record this value as NOxref.
    (5) Performance evaluation. Divide the quantity of 
(NOxmeas-NOref) by the quantity of 
(NOxref-NOref). If the result is less than 95%, 
repair or replace the NO2-to-NO converter.
    (e) Exceptions. The following exceptions apply:
    (1) You may omit this verification if you can show by engineering 
analysis that for your NOX sampling system and your emission 
calculations procedures, the converter always affects your brake-
specific NOX emission results by less than 0.5% of the 
applicable NOX standard.
    (2) You may use a converter that you determine does not meet this 
verification, as long as you try to correct the problem and the 
measurement deficiency does not adversely affect your ability to show 
that engines comply with all applicable emission standards.

    Effective Date Note: At 73 FR 37313, June 30, 2008, Sec.  1065.378 
was amended by revising paragraphs (d) and (e)(1), effective July 7, 
2008. For the convenience of the user, the revised text is set forth as 
follows:



Sec.  1065.378  NO2-to-NO converter conversion verification.

                                * * * * *

    (d) Procedure. Use the following procedure to verify the performance 
of a NO2-to-NO converter:
    (1) Instrument setup. Follow the analyzer and NO2-to-NO converter 
manufacturers' start-up and operating instructions. Adjust the analyzer 
and converter as needed to optimize performance.
    (2) Equipment setup. Connect an ozonator's inlet to a zero-air or 
oxygen source and connect its outlet to one port of a three-way tee 
fitting. Connect an NO span gas to another port, and connect the NO2-to-
NO converter inlet to the last port.
    (3) Adjustments and data collection. Perform this check as follows:
    (i) Set ozonator air off, turn ozonator power off, and set the 
analyzer to NO mode.

[[Page 928]]

Allow for stabilization, accounting only for transport delays and 
instrument response.
    (ii) Use an NO concentration that is representative of the peak 
total NOX concentration expected during testing. The NO2 
content of the gas mixture shall be less than 5% of the NO 
concentration. Record the concentration of NO by calculating the mean of 
30 seconds of sampled data from the analyzer and record this value as 
xNOref.
    (iii) Turn on the ozonator O2 supply and adjust the 
O2 flow rate so the NO indicated by the analyzer is about 10 
percent less than xNOref. Record the concentration of NO by 
calculating the mean of 30 seconds of sampled data from the analyzer and 
record this value as xNO+O2mix.
    (iv) Switch the ozonator on and adjust the ozone generation rate so 
the NO measured by the analyzer is 20 percent of xNOref, 
while maintaining at least 10 percent unreacted NO. Record the 
concentration of NO by calculating the mean of 30 seconds of sampled 
data from the analyzer and record this value as xNOmeas.
    (v) Switch the NOX analyzer to NOX mode and 
measure total NOX. Record the concentration of NOX 
by calculating the mean of 30 seconds of sampled data from the analyzer 
and record this value as xNOxmeas.
    (vi) Switch off the ozonator but maintain gas flow through the 
system. The NOX analyzer will indicate the NOX in 
the NO + O2 mixture. Record the concentration of 
NOX by calculating the mean of 30 seconds of sampled data 
from the analyzer and record this value as xNOx+O2mix.
    (vii) Turn off the ozonator O2 supply. The NOX 
analyzer will indicate the NOX in the original NO-in-
N2 mixture. Record the concentration of NOX by 
calculating the mean of 30 seconds of sampled data from the analyzer and 
record this value as xNOxref. This value should be no more 
than 5 percent above the xNOref value.
    (4) Performance evaluation. Calculate the efficiency of the 
NOX converter efficiency by substituting the concentrations 
obtained into the following equation:
[GRAPHIC] [TIFF OMITTED] TR06MY08.021

    (5) If the result is less than 95%, repair or replace the 
NO2-to-NO converter.
    (e) * * *
    (1) You may omit this verification if you can show by engineering 
analysis that for your NOX sampling system and your emission 
calculations procedures, the converter always affects your brake-
specific NOX emission results by less than 0.5% of the 
applicable NOX standard.

                                * * * * *

                             PM Measurements



Sec.  1065.390  PM balance verifications and weighing process verification.

    (a) Scope and frequency. This section describes three verifications. 
The first verification requires an independent verification of PM 
balance performance, and this must be performed within 370 days before 
emission testing. The second verification requires zeroing and spanning 
the balance, and this must be performed within 12 h before weighing. The 
third verification requires comparing a current mass determination of 
pooled reference samples with the previous mass determination of the 
pooled reference samples. This verification must be performed within 12 
h before weighing.
    (b) Independent verification. Have the balance manufacturer (or a 
representative approved by the balance manufacturer) verify the balance 
performance within 370 days of testing.
    (c) Zeroing and spanning. You must verify balance performance by 
zeroing and spanning it with at least one calibration weight, and any 
weights you use must that meet the specifications in Sec.  1065.790 to 
perform this verification.
    (1) Use a manual procedure in which you zero the balance and span 
the balance with at least one calibration weight. If you normally use 
mean values by repeating the weighing process to improve the accuracy 
and precision of PM measurements, use the same process to verify balance 
performance.
    (2) You may use an automated procedure to verify balance 
performance. For example many balances have internal calibration weights 
that are used

[[Page 929]]

automatically to verify balance performance. Note that if you use 
internal balance weights, the weights must meet the specifications in 
Sec.  1065.790 to perform this verification.
    (d) Reference sample weighing. You must also verify the PM-weighing 
environment and weighing process by weighing reference PM sample media. 
Repeated weighing of a reference mass must return the same value within 
10 [micro]g or 10% of the 
net PM mass expected at the standard (if known), whichever is higher. 
Perform this verification as follows:
    (1) Keep at least two samples of unused PM sample media in the PM-
stabilization environment. Use these as references. If you collect PM 
with filters, select unused filters of the same material and size for 
use as references. You may periodically replace references, using good 
engineering judgment.
    (2) Stabilize references in the PM stabilization environment. 
Consider references stabilized if they have been in the PM-stabilization 
environment for a minimum of 30 min, and the PM-stabilization 
environment has been within the specifications of Sec.  1065.190(d) for 
at least the preceding 60 min.
    (3) Exercise the balance several times with a reference sample. We 
recommend weighing ten samples without recording the values.
    (4) Zero and span the balance.
    (5) Weigh each of the reference samples and record their masses. We 
recommend using substitution weighing as described in Sec.  1065.590(j). 
If you normally use mean values by repeating the weighing process to 
improve the accuracy and precision of PM measurements, use the same 
process to measure reference masses.
    (6) Record the balance environment dewpoint, ambient temperature, 
and atmospheric pressure.
    (7) Use the recorded ambient conditions to correct results for 
buoyancy as described in Sec.  1065.690. Record the buoyancy-corrected 
mass of each of the references.
    (8) Subtract each of the reference's buoyancy-corrected masses from 
the most recent previous determinations of their masses.
    (9) If the mean of the reference's masses changes by more than that 
allowed under paragraph (d) of this section, then invalidate all PM 
results that were determined between the two times that the reference 
masses were determined.

    Effective Date Note: At 73 FR 37313, June 30, 2008, Sec.  1065.390 
was revised, effective July 7, 2008. For the convenience of the user, 
the revised text is set forth as follows:



Sec.  1065.390  PM balance verifications and weighing process 
          verification.

    (a) Scope and frequency. This section describes three verifications.
    (1) Independent verification of PM balance performance within 370 
days before weighing any filter.
    (2) Zero and span the balance within 12 h before weighing any 
filter.
    (3) Verify that the mass determination of reference filters before 
and after a filter weighing session are less than a specified tolerance.
    (b) Independent verification. Have the balance manufacturer (or a 
representative approved by the balance manufacturer) verify the balance 
performance within 370 days of testing.
    (c) Zeroing and spanning. You must verify balance performance by 
zeroing and spanning it with at least one calibration weight, and any 
weights you use must that meet the specifications in Sec.  1065.790 to 
perform this verification.
    (1) Use a manual procedure in which you zero the balance and span 
the balance with at least one calibration weight. If you normally use 
mean values by repeating the weighing process to improve the accuracy 
and precision of PM measurements, use the same process to verify balance 
performance.
    (2) You may use an automated procedure to verify balance 
performance. For example many balances have internal calibration weights 
that are used automatically to verify balance performance. Note that if 
you use internal balance weights, the weights must meet the 
specifications in Sec.  1065.790 to perform this verification.
    (d) Reference sample weighing. Verify all mass readings during a 
weighing session by weighing reference PM sample media (e.g., filters) 
before and after a weighing session. A weighing session may be as short 
as desired, but no longer than 80 hours, and may include both pre-test 
and post-test mass readings. We recommend that weighing sessions be 
eight hours or less. Successive mass determinations of each reference PM 
sample media (e.g., filter) must return the same value within 10 [micro]g or 10% of the net PM 
mass expected at the standard (if known), whichever is higher. If 
successive reference

[[Page 930]]

PM sample media (e.g., filter) weighing events fail this criterion, 
invalidate all individual test media (e.g., filter) mass readings 
occurring between the successive reference media (e.g., filter) mass 
determinations. You may reweigh these media (e.g., filter) in another 
weighing session. If you invalidate a pre-test media (e.g., filter) mass 
determination, that test interval is void. Perform this verification as 
follows:
    (1) Keep at least two samples of unused PM sample media (e.g., 
filters) in the PM-stabilization environment. Use these as references. 
If you collect PM with filters, select unused filters of the same 
material and size for use as references. You may periodically replace 
references, using good engineering judgment.
    (2) Stabilize references in the PM stabilization environment. 
Consider references stabilized if they have been in the PM-stabilization 
environment for a minimum of 30 min, and the PM-stabilization 
environment has been within the specifications of Sec.  1065.190(d) for 
at least the preceding 60 min.
    (3) Exercise the balance several times with a reference sample. We 
recommend weighing ten samples without recording the values.
    (4) Zero and span the balance. Using good engineering judgment, 
place a test mass such as a calibration weight on the balance, then 
remove it. After spanning, confirm that the balance returns to a zero 
reading within the normal stabilization time.
    (5) Weigh each of the reference media (e.g., filters) and record 
their masses. We recommend using substitution weighing as described in 
Sec.  1065.590(j). If you normally use mean values by repeating the 
weighing process to improve the accuracy and precision of the reference 
media (e.g., filter) mass, you must use mean values of sample media 
(e.g., filter) masses.
    (6) Record the balance environment dewpoint, ambient temperature, 
and atmospheric pressure.
    (7) Use the recorded ambient conditions to correct results for 
buoyancy as described in Sec.  1065.690. Record the buoyancy-corrected 
mass of each of the references.
    (8) Subtract each reference media's (e.g., filter's) buoyancy-
corrected reference mass from its previously measured and recorded 
buoyancy-corrected mass.
    (9) If any of the reference filters' observed mass changes by more 
than that allowed under this paragraph, you must invalidate all PM mass 
determinations made since the last successful reference media (e.g., 
filter) mass validation. You may discard reference PM media (e.g., 
filters) if only one one of the filter's mass changes by more than the 
allowable amount and you can positively identify a special cause for 
that filter's mass change that would not have affected other in-process 
filters. Thus, the validation can be considered a success. In this case, 
you do not have to include the contaminated reference media when 
determining compliance with paragraph (d)(10) of this section, but the 
affected reference filter must be immediately discarded and replaced 
prior to the next weighing session.
    (10) If any of the reference masses change by more than that allowed 
under this paragraph (d), invalidate all PM results that were determined 
between the two times that the reference masses were determined. If you 
discarded reference PM sample media according to paragraph (d)(9) of 
this section, you must still have at least one reference mass difference 
that meets the criteria in this paragraph (d). Otherwise, you must 
invalidate all PM results that were determined between the two times 
that the reference media (e.g., filters) masses were determined.



Sec.  1065.395  Inertial PM balance verifications.

    This section describes how to verify the performance of an inertial 
PM balance.
    (a) Independent verification. Have the balance manufacturer (or a 
representative approved by the balance manufacturer) verify the inertial 
balance performance within 370 days before testing.
    (b) Other verifications. Perform other verifications using good 
engineering judgment and instrument manufacturer recommendations.



        Subpart E_Engine Selection, Preparation, and Maintenance



Sec.  1065.401  Test engine selection.

    While all engine configurations within a certified engine family 
must comply with the applicable standards in the standard-setting part, 
you need not test each configuration for certification.
    (a) Select an engine configuration within the engine family for 
testing, as follows:
    (1) Test the engine that we specify, whether we issue general 
guidance or give you specific instructions.
    (2) If we do not tell you which engine to test, follow any 
instructions in the standard-setting part.
    (3) If we do not tell you which engine to test and the standard-
setting part does not include specifications for selecting test engines, 
use good engineering judgment to select the engine configuration within 
the engine family

[[Page 931]]

that is most likely to exceed an emission standard.
    (b) In the absence of other information, the following 
characteristics are appropriate to consider when selecting the engine to 
test:
    (1) Maximum fueling rates.
    (2) Maximum loads.
    (3) Maximum in-use speeds.
    (4) Highest sales volume.
    (c) For our testing, we may select any engine configuration within 
the engine family.



Sec.  1065.405  Test engine preparation and maintenance.

    (a) If you are testing an emission-data engine for certification, 
make sure it is built to represent production engines. This includes 
governors that you normally install on production engines. If you do not 
install governors on production engines, simulate a governor that is 
representative of a governor that others will install on your production 
engines.
    (b) Run the test engine, with all emission-control systems 
operating, long enough to stabilize emission levels. Unless otherwise 
specified in the standard-setting part, you may consider emission levels 
stable without measurement if you accumulate 12 h of operation for a 
spark-ignition engine or 125 h for a compression-ignition engine. If the 
engine needs more or less operation to stabilize emission levels, record 
your reasons and the methods for doing this, and give us these records 
if we ask for them. To ensure consistency between low-hour engines and 
deterioration factors, you must use the same stabilization procedures 
for all emission-data engines within an engine family.
    (c) Record any maintenance, modifications, parts changes, diagnostic 
or emissions testing and document the need for each event. You must 
provide this information if we request it.
    (d) For accumulating operating hours on your test engines, select 
engine operation that represents normal in-use operation for the engine 
family.
    (e) If your engine will be used in a vehicle equipped with a 
canister for storing evaporative hydrocarbons for eventual combustion in 
the engine, attach a canister to the engine before running an emission 
test. You may request to omit using an evaporative canister during 
testing if you can show that it would not affect your ability to show 
compliance with the applicable emission standards. You do not have to 
accumulate engine operation before emission testing with an installed 
canister. Prior to an emission test, use the following steps to attach a 
canister to your engine:
    (1) Use a canister and plumbing arrangement that represents the in-
use configuration of the largest capacity canister in all expected 
applications.
    (2) Use a canister that is fully loaded with fuel vapors.
    (3) Connect the canister's purge port to the engine.
    (4) Plug the canister port that is normally connected to the fuel 
tank.

    Effective Date Note: At 73 FR 37314, June 30, 2008, Sec.  1065.405 
was revised, effective July 7, 2008. For the convenience of the user, 
the revised text is set forth as follows:



Sec.  1065.405  Test engine preparation and maintenance.

    This part 1065 describes how to test engines for a variety of 
purposes, including certification testing, production-line testing, and 
in-use testing. Depending on which type of testing is being conducted, 
different preparation and maintenance requirements apply for the test 
engine.
    (a) If you are testing an emission-data engine for certification, 
make sure it is built to represent production engines. This includes 
governors that you normally install on production engines. Production 
engines should also be tested with their installed governors. If you do 
not install governors on production engines, simulate a governor that is 
representative of a governor that others will install on your production 
engines.
    (b) Testing generally occurs only after the test engine has 
undergone a stabilization step (or in-use operation). If the engine has 
not already been stabilized, run the test engine, with all emission 
control systems operating, long enough to stabilize emission levels. 
Note that you must generally use the same stabilization procedures for 
emission-data engines for which you apply the same deterioration factors 
so low-hour emission-data engines are consistent with the low-hour 
engine used to develop the deterioration factor.
    (1) Unless otherwise specified in the standard-setting part, you may 
consider emission levels stable without measurement after 50 h of 
operation. If the engine needs less operation to stabilize emission 
levels, record your reasons and the methods for doing this,

[[Page 932]]

and give us these records if we ask for them. If the engine will be 
tested for certification as a low-hour engine, see the standard-setting 
part for limits on testing engines to establish low-hour emission 
levels.
    (2) You may stabilize emissions from a catalytic exhaust 
aftertreatment device by operating it on a different engine, consistent 
with good engineering judgment. Note that good engineering judgment 
requires that you consider both the purpose of the test and how your 
stabilization method will affect the development and application of 
deterioration factors. For example, this method of stabilization is 
generally not appropriate for production engines. We may also allow you 
to stabilize emissions from a catalytic exhaust aftertreatment device by 
operating it on an engine-exhaust simulator.
    (c) Record any maintenance, modifications, parts changes, diagnostic 
or emissions testing and document the need for each event. You must 
provide this information if we request it.
    (d) For accumulating operating hours on your test engines, select 
engine operation that represents normal in-use operation for the engine 
family.
    (e) If your engine will be used in a vehicle equipped with a 
canister for storing evaporative hydrocarbons for eventual combustion in 
the engine and the test sequence involves a cold-start or hot-start duty 
cycle, attach a canister to the engine before running an emission test. 
You may omit using an evaporative canister for any hot-stabilized duty 
cycles. You may request to omit using an evaporative canister during 
testing if you can show that it would not affect your ability to show 
compliance with the applicable emission standards. You may operate the 
engine without an installed canister for service accumulation. Prior to 
an emission test, use the following steps to attach a canister to your 
engine:
    (1) Use a canister and plumbing arrangement that represents the in-
use configuration of the largest capacity canister in all expected 
applications.
    (2) Use a canister that is fully loaded with fuel vapors.
    (3) Connect the canister's purge port to the engine.
    (4) Plug the canister port that is normally connected to the fuel 
tank.



Sec.  1065.410  Maintenance limits for stabilized test engines.

    (a) After you stabilize the test engine's emission levels, you may 
do maintenance as allowed by the standard-setting part. However, you may 
not do any maintenance based on emission measurements from the test 
engine (i.e., unscheduled maintenance).
    (b) For any critical emission-related maintenance--other than what 
we specifically allow in the standard-setting part--you must completely 
test an engine for emissions before and after doing any maintenance that 
might affect emissions, unless we waive this requirement.
    (c) Keep a record of the inspection and update your application to 
document any changes as a result of the inspection. You may use 
equipment, instruments, or tools to identify bad engine components. Any 
equipment, instruments, or tools used for scheduled maintenance on 
emission data engines must be available to dealerships and other service 
outlets.
    (d) You may adjust or repair an emission-data engine as long as you 
document these changes in your application.
    (e) If we determine that a part failure, system malfunction, or 
associated repairs have made the engine's emission controls 
unrepresentative of production engines, you may no longer use it as an 
emission-data. Also, if your test engine has a major mechanical failure 
that requires you to take it apart, you may no longer use it as an 
emission-data engine.

    Effective Date Note: At 73 FR 37314, June 30, 2008, Sec.  1065.410 
was amended by revising paragraphs (c) and (d), effective July 7, 2008. 
For the convenience of the user, the revised text is set forth as 
follows:



Sec.  1065.410  Maintenance limits for stabilized test engines.

                                * * * * *

    (c) Keep a record of the inspection and update your application to 
document any changes as a result of the inspection. You may use 
equipment, instruments, or engineering grade tools to identify bad 
engine components. Any equipment, instruments, or tools used for 
scheduled maintenance on emission data engines must be representative of 
what is planned to be available to dealerships and other service 
outlets.
    (d) If we determine that a part failure, system malfunction, or 
associated repairs have made the engine's emission controls 
unrepresentative of production engines, you may no longer use it as an 
emission-data engine. Also, if your test engine has a major mechanical 
failure that requires you to take it

[[Page 933]]

apart, you may no longer use it as an emission-data engine.

                                * * * * *



Sec.  1065.415  Durability demonstration.

    If the standard-setting part requires durability testing, you must 
accumulate service in a way that represents how you expect the engine to 
operate in use. You may accumulate service hours using an accelerated 
schedule, such as through continuous operation or by using duty cycles 
that are more aggressive than in-use operation.
    (a) Maintenance. The following limits apply to the maintenance that 
we allow you to do on an emission-data engine:
    (1) You may perform scheduled maintenance that you recommend to 
operators, but only if it is consistent with the standard-setting part's 
restrictions.
    (2) You may perform additional maintenance only as specified in 
Sec.  1065.410 or allowed by the standard-setting part.
    (3) We may approve additional maintenance to your durability engine 
if all the following occur:
    (i) Something clearly malfunctions--such as persistent misfire, 
engine stall, overheating, fluid leaks, or loss of oil pressure--and 
needs maintenance or repair.
    (ii) You provide us an opportunity to verify the extent of the 
malfunction before you do the maintenance.
    (b) Emission measurements. Perform emission tests following the 
provisions of the standard setting part and this part, as applicable. 
Perform emission tests to determine deterioration factors consistent 
with good engineering judgment. Evenly space any tests between the first 
and last test points throughout the durability period, unless we approve 
otherwise.

    Effective Date Note: At 73 FR 37315, June 30, 2008, Sec.  1065.415 
was amended by revising the introductory text and removing paragraph 
(a)(3), effective July 7, 2008. For the convenience of the user, the 
revised text is set forth as follows:



Sec.  1065.415  Durability demonstration.

    If the standard-setting part requires durability testing, you must 
accumulate service in a way that represents how you expect the engine to 
operate in use. You may accumulate service hours using an accelerated 
schedule, such as through continuous operation or by using duty cycles 
that are more aggressive than in-use operation, subject to any pre-
approval requirements established in the applicable standard-setting 
part.

                                * * * * *



         Subpart F_Performing an Emission Test in the Laboratory

    Effective Date Note: At 73 FR 37315, June 30, 2008, the heading to 
subpart F of part 1065 was revised, effective July 7, 2008. For the 
convenience of the user, the revised text is set forth below.

Subpart F--Performing an Emission Test Over Specified Duty Cycles



Sec.  1065.501  Overview.

    (a) Use the procedures detailed in this subpart to measure engine 
emissions in a laboratory setting. This section describes how to:
    (1) Map your engine by recording specified speed and torque data, as 
measured from the engine's primary output shaft.
    (2) Transform normalized duty cycles into reference duty cycles for 
your engine by using an engine map.
    (3) Prepare your engine, equipment, and measurement instruments for 
an emission test.
    (4) Perform pre-test procedures to verify proper operation of 
certain equipment and analyzers.
    (5) Record pre-test data.
    (6) Start or restart the engine and sampling systems.
    (7) Sample emissions throughout the duty cycle.
    (8) Record post-test data.
    (9) Perform post-test procedures to verify proper operation of 
certain equipment and analyzers.
    (10) Weigh PM samples.
    (b) A laboratory emission test generally consists of measuring 
emissions and other parameters while an engine follows one or more duty 
cycles that are specified in the standard-setting part. There are two 
general types of duty cycles:
    (1) Transient cycles. Transient duty cycles are typically specified 
in the

[[Page 934]]

standard-setting part as a second-by-second sequence of speed commands 
and torque (or power) commands. Operate an engine over a transient cycle 
such that the speed and torque of the engine's primary output shaft 
follows the target values. Proportionally sample emissions and other 
parameters and use the calculations in subpart G of this part to 
calculate emissions. Start a transient test according to the standard-
setting part, as follows:
    (i) A cold-start transient cycle where you start to measure 
emissions just before starting a cold engine.
    (ii) A hot-start transient cycle where you start to measure 
emissions just before starting a warmed-up engine.
    (iii) A hot running transient cycle where you start to measure 
emissions after an engine is started, warmed up, and running.
    (2) Steady-state cycles. Steady-state duty cycles are typically 
specified in the standard-setting part as a list of discrete operating 
points (modes), where each operating point has one value of a speed 
command and one value of a torque (or power) command. Ramped-modal 
cycles for steady-state testing also list test times for each mode and 
ramps of speed and torque to follow between modes. Start a steady-state 
cycle as a hot running test, where you start to measure emissions after 
an engine is started, warmed up and running. You may run a steady-state 
duty cycle as a discrete-mode cycle or a ramped-modal cycle, as follows:
    (i) Discrete-mode cycles. Before emission sampling, stabilize an 
engine at the first discrete mode. Sample emissions and other parameters 
for that mode and then stop emission sampling. Record mean values for 
that mode, and then stabilize the engine at the next mode. Continue to 
sample each mode discretely and calculate weighted emission results 
according to the standard-setting part.
    (ii) Ramped-modal cycles. Perform ramped-modal cycles similar to the 
way you would perform transient cycles, except that ramped-modal cycles 
involve mostly steady-state engine operation. Perform a ramped-modal 
cycle as a sequence of second-by-second speed commands and torque (or 
power) commands. Proportionally sample emissions and other parameters 
during the cycle and use the calculations in subpart G of this part to 
calculate emissions.
    (c) Other subparts in this part identify how to select and prepare 
an engine for testing (subpart E), how to perform the required engine 
service accumulation (subpart E), and how to calculate emission results 
(subpart G).
    (d) Subpart J of this part describes how to perform field testing.

    Effective Date Note: At 73 FR 37315, June 30, 2008, Sec.  1065.501 
was amended by revising paragraphs (a) introductory text, (a)(1), and 
(b), effective July 7, 2008. For the convenience of the user, the 
revised text is set forth as follows:



Sec.  1065.501  Overview.

    (a) Use the procedures detailed in this subpart to measure engine 
emissions over a specified duty cycle. Refer to subpart J of this part 
for field test procedures that describe how to measure emissions during 
in-use engine operation. This section describes how to:
    (1) Map your engine, if applicable, by recording specified speed and 
torque data, as measured from the engine's primary output shaft.

                                * * * * *

    (b) An emission test generally consists of measuring emissions and 
other parameters while an engine follows one or more duty cycles that 
are specified in the standard-setting part. There are two general types 
of duty cycles:
    (1) Transient cycles. Transient duty cycles are typically specified 
in the standard-setting part as a second-by-second sequence of speed 
commands and normalized torque (or power) commands. Operate an engine 
over a transient cycle such that the speed and torque of the engine's 
primary output shaft follows the target values. Proportionally sample 
emissions and other parameters and use the calculations in subpart G of 
this part to calculate emissions. Start a transient test according to 
the standard-setting part, as follows:
    (i) A cold-start transient cycle where you start to measure 
emissions just before starting an engine that has not been warmed up.
    (ii) A hot-start transient cycle where you start to measure 
emissions just before starting a warmed-up engine.
    (iii) A hot running transient cycle where you start to measure 
emissions after an engine is started, warmed up, and running.

[[Page 935]]

    (2) Steady-state cycles. Steady-state duty cycles are typically 
specified in the standard-setting part as a list of discrete operating 
points (modes or notches), where each operating point has one value of a 
normalized speed command and one value of a normalized torque (or power) 
command. Ramped-modal cycles for steady-state testing also list test 
times for each mode and transition times between modes where speed and 
torque are linearly ramped between modes, even for cycles with % power. 
Start a steady-state cycle as a hot running test, where you start to 
measure emissions after an engine is started, warmed up and running. You 
may run a steady-state duty cycle as a discrete-mode cycle or a ramped-
modal cycle, as follows:
    (i) Discrete-mode cycles. Before emission sampling, stabilize an 
engine at the first discrete mode. Sample emissions and other parameters 
for that mode and then stop emission sampling. Record mean values for 
that mode, and then stabilize the engine at the next mode. Continue to 
sample each mode discretely and calculate weighted emission results 
according to the standard-setting part.
    (ii) Ramped-modal cycles. Perform ramped-modal cycles similar to the 
way you would perform transient cycles, except that ramped-modal cycles 
involve mostly steady-state engine operation. Generate a ramped-modal 
duty cycle as a sequence of second-by-second (1 Hz) reference speed and 
torque points. Run the ramped-modal duty cycle in the same manner as a 
transient cycle and use the 1 Hz reference speed and torque values to 
validate the cycle, even for cycles with % power. Proportionally sample 
emissions and other parameters during the cycle and use the calculations 
in subpart G of this part to calculate emissions.

                                * * * * *



Sec.  1065.510  Engine mapping.

    (a) Scope and frequency. An engine map is a data set that consists 
of a series of paired data points that represent the maximum brake 
torque versus engine speed, measured at the engine's primary output 
shaft. Map your engine while it is connected to a dynamometer. Configure 
any auxiliary work inputs and outputs such as hybrid, turbo-compounding, 
or thermoelectric systems to represent their in-use configurations, and 
use the same configuration for emission testing. See Figure 1 of Sec.  
1065.210. This may involve configuring initial states of charge and 
rates and times of auxiliary-work inputs and outputs. We recommend that 
you contact the Designated Compliance Officer before testing to 
determine how you should configure any auxiliary-work inputs and 
outputs. Use the most recent engine map to transform a normalized duty 
cycle from the standard-setting part to a reference duty cycle specific 
to your engine. Normalized duty cycles are specified in the standard-
setting part. You may update an engine map at any time by repeating the 
engine-mapping procedure. You must map or re-map an engine before a test 
if any of the following apply:
    (1) If you have not performed an initial engine map.
    (2) If the atmospheric pressure near the engine's air inlet is not 
within 5 kPa of the atmospheric pressure recorded 
at the time of the last engine map.
    (3) If the engine or emission-control system has undergone changes 
that might affect maximum torque performance. This includes changing the 
configuration of auxiliary work inputs and outputs.
    (4) If you capture an incomplete map on your first attempt or you do 
not complete a map within the specified time tolerance. You may repeat 
mapping as often as necessary to capture a complete map within the 
specified time.
    (b) Mapping variable-speed engines. Map variable-speed engines as 
follows:
    (1) Record the atmospheric pressure.
    (2) Warm up the engine by operating it. We recommend operating the 
engine at any speed and at approximately 75% of the its expected maximum 
power. Continue the warm-up until either the engine coolant, block, or 
head absolute temperature is within 2% of its mean 
value for at least 2 min or until the engine thermostat controls engine 
temperature.
    (3) Operate the engine at its warm idle speed.
    (4) Set operator demand to maximum and control engine speed at (95 
1)% of its warm idle speed for at least 15 
seconds. For engines with reference duty cycles whose lowest speed is 
greater than warm idle speed, you may start the map at (95 1)% of the lowest reference speed.
    (5) Perform one of the following:

[[Page 936]]

    (i) For any engine subject only to steady-state duty cycles (i.e., 
discrete-mode or ramped-modal), you may perform an engine map by using 
discrete speeds. Select at least 20 evenly spaced setpoints between warm 
idle and the highest speed above maximum mapped power at which (50 to 
75)% of maximum power occurs. If this highest speed is unsafe or 
unrepresentative (e.g, for ungoverned engines), use good engineering 
judgment to map up to the maximum safe speed or the maximum 
representative speed. At each setpoint, stabilize speed and allow torque 
to stabilize. Record the mean speed and torque at each setpoint. We 
recommend that you stabilize an engine for at least 15 seconds at each 
setpoint and record the mean feedback speed and torque of the last (4 to 
6) seconds. Use linear interpolation to determine intermediate speeds 
and torques. Use this series of speeds and torques to generate the power 
map as described in paragraph (e) of this section.
    (ii) For any variable-speed engine, you may perform an engine map by 
using a continuous sweep of speed by continuing to record the mean 
feedback speed and torque at 1 Hz or more frequently and increasing 
speed at a constant rate such that it takes (4 to 6) min to sweep from 
95% of warm idle to the highest speed above maximum power at which (50 
to 75)% of maximum power occurs. If this highest speed is unsafe or 
unrepresentative (e.g, for ungoverned engines), use good engineering 
judgment to map up to the maximum safe speed or the maximum 
representative speed. Stop recording after you complete the sweep. From 
the series of mean speed and maximum torque values, use linear 
interpolation to determine intermediate values. Use this series of 
speeds and torques to generate the power map as described in paragraph 
(e) of this section.
    (c) Negative torque mapping. If your engine is subject to a 
reference duty cycle that specifies negative torque values, generate a 
motoring map by any of the following procedures:
    (1) Multiply the positive torques from your map by -40%. Use linear 
interpolation to determine intermediate values.
    (2) Map the amount of negative torque required to motor the engine 
by repeating paragraph (b) of this section with minimum operator demand.
    (3) Determine the amount of negative torque required to motor the 
engine at the following two points: At warm idle and at the highest 
speed above maximum power at which (50 to 75)% of maximum power occurs. 
If this highest speed is unsafe or unrepresentative (e.g, for ungoverned 
engines), use good engineering judgment to map up to the maximum safe 
speed or the maximum representative speed. Operate the engine at these 
two points at minimum operator demand. Use linear interpolation to 
determine intermediate values.
    (d) Mapping constant-speed engines. For constant-speed engines, 
generate a map as follows:
    (1) Record the atmospheric pressure.
    (2) Warm up the engine by operating it. We recommend operating the 
engine at approximately 75% of the engine's expected maximum power. 
Continue the warm-up until either the engine coolant, block, or head 
absolute temperature is within 2% of its mean 
value for at least 2 min or until the engine thermostat controls engine 
temperature.
    (3) You may operate the engine with a production constant-speed 
governor or simulate a constant-speed governor by controlling engine 
speed with an operator demand control system described in Sec.  
1065.110. Use either isochronous or speed-droop governor operation, as 
appropriate.
    (4) With the governor or simulated governor controlling speed using 
operator demand, operate the engine at no-load governed speed (at high 
speed, not low idle) for at least 15 seconds.
    (5) Record at 1 Hz the mean of feedback speed and torque. Use the 
dynamometer to increase torque at a constant rate. Unless the standard-
setting part specifies otherwise, complete the map such that it takes (2 
to 4) min to sweep from no-load governed speed to the lowest speed below 
maximum mapped power at which the engine develops (85-95)% of maximum 
mapped power. You may map your engine to lower speeds. Stop recording 
after you complete the sweep. Use this series of speeds and torques to 
generate the

[[Page 937]]

power map as described in paragraph (e) of this section.
    (e) Power mapping. For all engines, create a power-versus-speed map 
by transforming torque and speed values to corresponding power values. 
Use the mean values from the recorded map data. Do not use any 
interpolated values. Multiply each torque by its corresponding speed and 
apply the appropriate conversion factors to arrive at units of power 
(kW).
    (f) Measured and declared test speeds and torques. You may use test 
speeds and torques that you declare instead of measured speeds and 
torques if you declare them before engine mapping and they meet the 
criteria in this paragraph (f). Otherwise, you must use measured speed 
and torque.
    (1) Measured speeds and torques. Determine the applicable measured 
speeds and torques according to Sec.  1065.610:
    (i) Measured maximum test speed for variable-speed engines.
    (ii) Measured maximum test torque for constant-speed engines.
    (iii) Measured ``A'', ``B'', and ``C'' speeds for steady-state 
tests.
    (iv) Measured intermediate speed for steady-state tests.
    (2) Required declared speeds. You must declare the following speeds:
    (i) Warmed-up, low-idle speed for variable-speed engines. Declare 
this speed in a way that is representative of in-use operation. For 
example, if your engine is typically connected to an automatic 
transmission or a hydrostatic transmission, declare this speed at the 
idle speed at which your engine operates when the transmission is 
engaged.
    (ii) Warmed-up, no-load, high-idle speed for constant-speed engines.
    (3) Optional declared speeds. You may declare an enhanced idle speed 
according to Sec.  1065.610. You may use a declared value for any of the 
following as long as the declared value is within (97.5 to 102.5)% of 
its corresponding measured value:
    (i) Measured maximum test speed for variable-speed engines.
    (ii) Measured intermediate speed for steady-state tests.
    (iii) Measured ``A'', ``B'', and ``C'' speeds for steady-state 
tests.
    (4) Declared torques. You may declare an enhanced idle torque 
according to Sec.  1065.610. You may declare maximum test torque as long 
as it is within (95 to 100)% of the measured value.
    (g) Other mapping procedures. You may use other mapping procedures 
if you believe the procedures specified in this section are unsafe or 
unrepresentative for your engine. Any alternate techniques must satisfy 
the intent of the specified mapping procedures, which is to determine 
the maximum available torque at all engine speeds that occur during a 
duty cycle. Report any deviations from this section's mapping 
procedures.

    Effective Date Note: At 73 FR 37315, June 30, 2008, Sec.  1065.510 
was revised, effective July 7, 2008. For the convenience of the user, 
the revised text is set forth as follows:



Sec.  1065.510  Engine mapping.

    (a) Applicability, scope, and frequency. An engine map is a data set 
that consists of a series of paired data points that represent the 
maximum brake torque versus engine speed, measured at the engine's 
primary output shaft. Map your engine if the standard-setting part 
requires engine mapping to generate a duty cycle for your engine 
configuration. Map your engine while it is connected to a dynamometer or 
other device that can absorb work output from the engine's primary 
output shaft according to Sec.  1065.110. Configure any auxiliary work 
inputs and outputs such as hybrid, turbo-compounding, or thermoelectric 
systems to represent their in-use configurations, and use the same 
configuration for emission testing. See Figure 1 of Sec.  1065.210. This 
may involve configuring initial states of charge and rates and times of 
auxiliary-work inputs and outputs. We recommend that you contact the 
Designated Compliance Officer before testing to determine how you should 
configure any auxiliary-work inputs and outputs. Use the most recent 
engine map to transform a normalized duty cycle from the standard-
setting part to a reference duty cycle specific to your engine. 
Normalized duty cycles are specified in the standard-setting part. You 
may update an engine map at any time by repeating the engine-mapping 
procedure. You must map or re-map an engine before a test if any of the 
following apply:
    (1) If you have not performed an initial engine map.
    (2) If the atmospheric pressure near the engine's air inlet is not 
within  5 kPa of the atmospheric pressure recorded 
at the time of the last engine map.
    (3) If the engine or emission-control system has undergone changes 
that might affect

[[Page 938]]

maximum torque performance. This includes changing the configuration of 
auxiliary work inputs and outputs.
    (4) If you capture an incomplete map on your first attempt or you do 
not complete a map within the specified time tolerance. You may repeat 
mapping as often as necessary to capture a complete map within the 
specified time.
    (b) Mapping variable-speed engines. Map variable-speed engines as 
follows:
    (1) Record the atmospheric pressure.
    (2) Warm up the engine by operating it. We recommend operating the 
engine at any speed and at approximately 75% of its expected maximum 
power. Continue the warm-up until the engine coolant, block, or head 
absolute temperature is within  2% of its mean 
value for at least 2 min or until the engine thermostat controls engine 
temperature.
    (3) Operate the engine at its warm idle speed.
    (i) For engines with a low-speed governor, set the operator demand 
to minimum, use the dynamometer or other loading device to target a 
torque of zero on the engine's primary output shaft, and allow the 
engine to govern the speed. Measure this warm idle speed; we recommend 
recording at least 30 values of speed and using the mean of those 
values.
    (ii) For engines without a low-speed governor, set the dynamometer 
to target a torque of zero on the engine's primary output shaft, and 
manipulate the operator demand to control the speed to target the 
manufacturer-declared value for the lowest engine speed possible with 
minimum load (also known as manufacturer-declared warm idle speed).
    (iii) For all variable-speed engines (with or without a low-speed 
governor), if a nonzero idle torque is representative of in-use 
operation, you may target the manufacturer-declared idle torque. If you 
measure the warm idle speed with the manufacturer-declared torque at 
this step, you may omit the speed measurement in paragraph (b)(6) of 
this section.
    (4) Set operator demand to maximum and control engine speed at (95 
 1) % of its warm idle speed determined above for 
at least 15 seconds. For engines with reference duty cycles whose lowest 
speed is greater than warm idle speed, you may start the map at (95 
 1) % of the lowest reference speed.
    (5) Perform one of the following:
    (i) For any engine subject only to steady-state duty cycles (i.e., 
discrete-mode or ramped-modal), you may perform an engine map by using 
discrete speeds. Select at least 20 evenly spaced setpoints between warm 
idle and the highest speed above maximum mapped power at which (50 to 
75)% of maximum power occurs. If this highest speed is unsafe or 
unrepresentative (e.g., for ungoverned engines), use good engineering 
judgment to map up to the maximum safe speed or the maximum 
representative speed. At each setpoint, stabilize speed and allow torque 
to stabilize. Record the mean speed and torque at each setpoint. We 
recommend that you stabilize an engine for at least 15 seconds at each 
setpoint and record the mean feedback speed and torque of the last (4 to 
6) seconds. Use linear interpolation to determine intermediate speeds 
and torques. Use this series of speeds and torques to generate the power 
map as described in paragraph (e) of this section.
    (ii) For any variable-speed engine, you may perform an engine map by 
using a continuous sweep of speed by continuing to record the mean 
feedback speed and torque at 1 Hz or more frequently and increasing 
speed at a constant rate such that it takes (4 to 6) min to sweep from 
95% of warm idle to the highest speed above maximum power at which (50 
to 75)% of maximum power occurs. If this highest speed is unsafe or 
unrepresentative (e.g., for ungoverned engines), use good engineering 
judgment to map up to the maximum safe speed or the maximum 
representative speed. Stop recording after you complete the sweep. From 
the series of mean speed and maximum torque values, use linear 
interpolation to determine intermediate values. Use this series of 
speeds and torques to generate the power map as described in paragraph 
(e) of this section.
    (6) For engines with a low-speed governor, if a nonzero idle torque 
is representative of in-use operation, operate the engine at warm idle 
with the manufacturer-declared idle torque. Set the operator demand to 
minimum, use the dynamometer to target the declared idle torque, and 
allow the engine to govern the speed. Measure this speed and use it as 
the warm idle speed for cycle generation in Sec.  1065.512. We recommend 
recording at least 30 values of speed and using the mean of those 
values. You may map the idle governor at multiple load levels and use 
this map to determine the measured warm idle speed at the declared idle 
torque.
    (c) Negative torque mapping. If your engine is subject to a 
reference duty cycle that specifies negative torque values (i.e., engine 
motoring), generate a motoring map by any of the following procedures:
    (1) Multiply the positive torques from your map by -40%. Use linear 
interpolation to determine intermediate values.
    (2) Map the amount of negative torque required to motor the engine 
by repeating paragraph (b) of this section with minimum operator demand.
    (3) Determine the amount of negative torque required to motor the 
engine at the following two points near the ends of the engine's speed 
range. Operate the engine at

[[Page 939]]

these two points at minimum operator demand. Use linear interpolation to 
determine intermediate values.
    (i) Low-speed point. For engines without a low-speed governor, 
determine the amount of negative torque at warm idle speed. For engines 
with a low-speed governor, motor the engine above warm idle speed so the 
governor is inactive and determine the amount of negative torque at that 
speed.
    (ii) High-speed point. For engines without a high-speed governor, 
determine the amount of negative torque at the maximum safe speed or the 
maximum representative speed. For engines with a high-speed governor, 
determine the amount of negative torque at a speed at or above 
nhi per Sec.  1065.610(c)(2).
    (d) Mapping constant-speed engines. For constant-speed engines, 
generate a map as follows:
    (1) Record the atmospheric pressure.
    (2) Warm up the engine by operating it. We recommend operating the 
engine at approximately 75% of the engine's expected maximum power. 
Continue the warm-up until the engine coolant, block, or head absolute 
temperature is within 2% of its mean value for at 
least 2 min or until the engine thermostat controls engine temperature.
    (3) You may operate the engine with a production constant-speed 
governor or simulate a constant-speed governor by controlling engine 
speed with an operator demand control system described in Sec.  
1065.110. Use either isochronous or speed-droop governor operation, as 
appropriate.
    (4) With the governor or simulated governor controlling speed using 
operator demand, operate the engine at no-load governed speed (at high 
speed, not low idle) for at least 15 seconds.
    (5) Record at 1 Hz the mean of feedback speed and torque. Use the 
dynamometer to increase torque at a constant rate. Unless the standard-
setting part specifies otherwise, complete the map such that it takes (2 
to 4) min to sweep from no-load governed speed to the lowest speed below 
maximum mapped power at which the engine develops (85-95)% of maximum 
mapped power. You may map your engine to lower speeds. Stop recording 
after you complete the sweep. Use this series of speeds and torques to 
generate the power map as described in paragraph (e) of this section.
    (e) Power mapping. For all engines, create a power-versus-speed map 
by transforming torque and speed values to corresponding power values. 
Use the mean values from the recorded map data. Do not use any 
interpolated values. Multiply each torque by its corresponding speed and 
apply the appropriate conversion factors to arrive at units of power 
(kW). Interpolate intermediate power values between these power values, 
which were calculated from the recorded map data.
    (f) Measured and declared test speeds and torques. You must select 
test speeds and torques for cycle generation as required in this 
paragraph (f). ``Measured'' values are either directly measured during 
the engine mapping process or they are determined from the engine map. 
``Declared'' values are specified by the manufacturer. When both 
measured and declared values are available, you may use declared test 
speeds and torques instead of measured speeds and torques if they meet 
the criteria in this paragraph (f). Otherwise, you must use measured 
speeds and torques derived from the engine map.
    (1) Measured speeds and torques. Determine the applicable speeds and 
torques for the duty cycles you will run:
    (i) Measured maximum test speed for variable-speed engines according 
to Sec.  1065.610.
    (ii) Measured maximum test torque for constant-speed engines 
according to Sec.  1065.610.
    (iii) Measured ``A'', ``B'', and ``C'' speeds for variable-speed 
engines according to Sec.  1065.610.
    (iv) Measured intermediate speed for variable-speed engines 
according to Sec.  1065.610.
    (v) For variable-speed engines with a low-speed governor, measure 
warm idle speed according to Sec.  1065.510(b) and use this speed for 
cycle generation in Sec.  1065.512. For engines with no low-speed 
governor, instead use the manufacturer-declared warm idle speed.
    (2) Required declared speeds. You must declare the lowest engine 
speed possible with minimum load (i.e., manufacturer-declared warm idle 
speed). This is applicable only to variable-speed engines with no low-
speed governor. For engines with no low-speed governor, the declared 
warm idle speed is used for cycle generation in Sec.  1065.512. Declare 
this speed in a way that is representative of in-use operation. For 
example, if your engine is typically connected to an automatic 
transmission or a hydrostatic transmission, declare this speed at the 
idle speed at which your engine operates when the transmission is 
engaged.
    (3) Optional declared speeds. You may use declared speeds instead of 
measured speeds as follows:
    (i) You may use a declared value for maximum test speed for 
variable-speed engines if it is within (97.5 to 102.5)% of the 
corresponding measured value. You may use a higher declared speed if the 
length of the ``vector'' at the declared speed is within 2.0% of the 
length of the ``vector'' at the measured value. The term vector refers 
to the square root of the sum of normalized engine speed squared and the 
normalized full-load power (at that speed) squared, consistent with the 
calculations in Sec.  1065.610.
    (ii) You may use a declared value for intermediate, ``A'', ``B'', or 
``C'' speeds for steady-state tests if the declared value is within

[[Page 940]]

(97.5 to 102.5)% of the corresponding measured value.
    (4) Required declared torques. If a nonzero idle or minimum torque 
is representative of in-use operation, you must declare the appropriate 
torque as follows:
    (i) For variable-speed engines, declare a warm idle torque that is 
representative of in-use operation. For example, if your engine is 
typically connected to an automatic transmission or a hydrostatic 
transmission, declare the torque that occurs at the idle speed at which 
your engine operates when the transmission is engaged. Use this value 
for cycle generation. You may use multiple warm idle torques and 
associated idle speeds in cycle generation for representative testing. 
For example, for cycles that start the engine and begin with idle, you 
may start a cycle in idle with the transmission in neutral with zero 
torque and later switch to a different idle with the transmission in 
drive with the Curb-Idle Transmission Torque (CITT). For variable-speed 
engines intended primarily for propulsion of a vehicle with an automatic 
transmission where that engine is subject to a transient duty cycle with 
idle operation, you must declare a CITT. You must specify a CITT based 
on typical applications at the mean of the range of idle speeds you 
specify at stabilized temperature conditions.
    (ii) For constant-speed engines, declare a warm minimum torque that 
is representative of in-use operation. For example, if your engine is 
typically connected to a machine that does not operate below a certain 
minimum torque, declare this torque and use it for cycle generation.
    (5) Optional declared torques. For constant-speed engines you may 
declare a maximum test torque. You may use the declared value for cycle 
generation if it is within (95 to 100)% of the measured value.
    (g) Other mapping procedures. You may use other mapping procedures 
if you believe the procedures specified in this section are unsafe or 
unrepresentative for your engine. Any alternate techniques you use must 
satisfy the intent of the specified mapping procedures, which is to 
determine the maximum available torque at all engine speeds that occur 
during a duty cycle. Identify any deviations from this section's mapping 
procedures when you submit data to us.



Sec.  1065.512  Duty cycle generation.

    (a) The standard-setting part defines applicable duty cycles in a 
normalized format. A normalized duty cycle consists of a sequence of 
paired values for speed and torque or for speed and power.
    (b) Transform normalized values of speed, torque, and power using 
the following conventions:
    (1) Engine speed for variable-speed engines. For variable-speed 
engines, normalized speed may be expressed as a percentage between idle 
speed and maximum test speed, fntest, or speed may be expressed by 
referring to a defined speed by name, such as warm idle,'' 
``intermediate speed,'' or ``A,'' ``B,'' or ``C'' speed. Section 
1065.610 describes how to transform these normalized values into a 
sequence of reference speeds, fnref. Note that the cycle-validation 
criteria in Sec.  1065.514 allow an engine to govern itself at its in-
use idle speed. This allowance permits you to test engines with 
enhanced-idle devices and to simulate the effects of transmissions such 
as automatic transmissions.
    (2) Engine torque for variable-speed engines. For variable-speed 
engines, normalized torque is expressed as a percentage of the mapped 
torque at the corresponding reference speed. Section 1065.610 describes 
how to transform normalized torques into a sequence of reference 
torques, Tref. Section 1065.610 also describes under what conditions you 
may command Tref greater than the reference torque you calculated from a 
normalized duty cycle. This provision permits you to command Tref values 
representing curb-idle transmission torque (CITT).
    (3) Engine torque for constant-speed engines. For constant-speed 
engines, normalized torque is expressed as a percentage of maximum test 
torque, Ttest. Section 1065.610 describes how to transform normalized 
torques into a sequence of reference torques, Tref. Section 1065.610 
also describes under what conditions you may command Tref greater than 0 
N[middot]m when a normalized duty cycle specifies a 0% torque command.
    (4) Engine power. For all engines, normalized power is expressed as 
a percentage of mapped power at maximum test speed, fntest. Section 
1065.610 describes how to transform these normalized values into a 
sequence of reference powers, Pref. You may convert these reference 
powers to reference speeds and torques for operator demand and 
dynamometer control.

[[Page 941]]

    (c) For variable-speed engines, command reference speeds and torques 
sequentially to perform a duty cycle. Issue speed and torque commands at 
a frequency of at least 5 Hz for transient cycles and at least 1 Hz for 
steady-state cycles (i.e., discrete-mode and ramped-modal). For 
transient cycles, linearly interpolate between the 1 Hz reference values 
specified in the standard-setting part to determine the 5 Hz reference 
speeds and torques. During an emission test, record the 1 Hz mean values 
of the reference speeds and torques and the feedback speeds and torques. 
Use these recorded values to calculate cycle-validation statistics and 
total work.
    (d) For constant-speed engines, operate the engine with the same 
production governor you used to map the engine in Sec.  1065.525 or 
simulate the in-use operation of a governor the same way you simulated 
it to map the engine in Sec.  1065.525. Command reference torque values 
sequentially to perform a duty cycle. Issue torque commands at a 
frequency of at least 5 Hz for transient cycles and at least 1 Hz for 
steady-state cycles (i.e, discrete-mode, ramped-modal). For transient 
cycles, linearly interpolate between the 1 Hz reference values specified 
in the standard-setting part to determine the 5 Hz reference torque 
values. During an emission test, record the 1 Hz mean values of the 
reference torques and the feedback speeds and torques. Use these 
recorded values to calculate cycle-validation statistics and total work.
    (e) You may perform practice duty cycles with the test engine to 
optimize operator demand and dynamometer controls to meet the cycle-
validation criteria specified in Sec.  1065.514.

    Effective Date Note: At 73 FR 37317, June 30, 2008, Sec.  1065.512 
was revised, effective July 7, 2008. For the convenience of the user, 
the revised text is set forth as follows:



Sec.  1065.512  Duty cycle generation.

    (a) Generate duty cycles according to this section if the standard-
setting part requires engine mapping to generate a duty cycle for your 
engine configuration. The standard-setting part generally defines 
applicable duty cycles in a normalized format. A normalized duty cycle 
consists of a sequence of paired values for speed and torque or for 
speed and power.
    (b) Transform normalized values of speed, torque, and power using 
the following conventions:
    (1) Engine speed for variable-speed engines. For variable-speed 
engines, normalized speed may be expressed as a percentage between warm 
idle speed, fnidle, and maximum test speed, 
fntest, or speed may be expressed by referring to a defined 
speed by name, such as ``warm idle,'' ``intermediate speed,'' or ``A,'' 
``B,'' or ``C'' speed. Section 1065.610 describes how to transform these 
normalized values into a sequence of reference speeds, fnref. 
Running duty cycles with negative or small normalized speed values near 
warm idle speed may cause low-speed idle governors to activate and the 
engine torque to exceed the reference torque even though the operator 
demand is at a minimum. In such cases, we recommend controlling the 
dynamometer so it gives priority to follow the reference torque instead 
of the reference speed and let the engine govern the speed. Note that 
the cycle-validation criteria in Sec.  1065.514 allow an engine to 
govern itself. This allowance permits you to test engines with enhanced-
idle devices and to simulate the effects of transmissions such as 
automatic transmissions. For example, an enhanced-idle device might be 
an idle speed value that is normally commanded only under cold-start 
conditions to quickly warm up the engine and aftertreatment devices. In 
this case, negative and very low normalized speeds will generate 
reference speeds below this higher enhanced idle speed and we recommend 
controlling the dynamometer so it gives priority to follow the reference 
torque, controlling the operator demand so it gives priority to follow 
reference speed and let the engine govern the speed when the operator 
demand is at minimum.
    (2) Engine torque for variable-speed engines. For variable-speed 
engines, normalized torque is expressed as a percentage of the mapped 
torque at the corresponding reference speed. Section 1065.610 describes 
how to transform normalized torques into a sequence of reference 
torques, Tref. Section 1065.610 also describes special 
requirements for modifying transient duty cycles for variable-speed 
engines intended primarily for propulsion of a vehicle with an automatic 
transmission. Section 1065.610 also describes under what conditions you 
may command Tref greater than the reference torque you 
calculated from a normalized duty cycle. This provision permits you to 
command Tref values that are limited by a declared minimum 
torque. For any negative torque commands, command minimum operator 
demand and use the dynamometer to control engine speed to the reference 
speed, but if reference speed is so low that the idle governor 
activates, we recommend using the dynamometer to control torque to zero, 
CITT, or a declared minimum torque as appropriate. Note

[[Page 942]]

that you may omit power and torque points during motoring from the 
cycle-validation criteria in Sec.  1065.514. Also, use the maximum 
mapped torque at the minimum mapped speed as the maximum torque for any 
reference speed at or below the minimum mapped speed.
    (3) Engine torque for constant-speed engines. For constant-speed 
engines, normalized torque is expressed as a percentage of maximum test 
torque, Ttest. Section 1065.610 describes how to transform 
normalized torques into a sequence of reference torques, 
Tref. Section 1065.610 also describes under what conditions 
you may command Tref greater than the reference torque you 
calculated from the normalized duty cycle. This provision permits you to 
command Tref values that are limited by a declared minimum 
torque.
    (4) Engine power. For all engines, normalized power is expressed as 
a percentage of mapped power at maximum test speed, fntest, 
unless otherwise specified by the standard-setting part. Section 
1065.610 describes how to transform these normalized values into a 
sequence of reference powers, Pref. Convert these reference 
powers to corresponding torques for operator demand and dynamometer 
control. Use the reference speed associated with each reference power 
point for this conversion. As with cycles specified with % torque, issue 
torque commands more frequently and linearly interpolate between these 
reference torque values generated from cycles with % power.
    (5) Ramped-modal cycles. For ramped modal cycles, generate reference 
speed and torque values at 1 Hz and use this sequence of points to run 
the cycle and validate it in the same manner as with a transient cycle. 
During the transition between modes, linearly ramp the denormalized 
reference speed and torque values between modes to generate reference 
points at 1 Hz. Do not linearly ramp the normalized reference torque 
values between modes and then denormalize them. Do not linearly ramp 
normalized or denormalized reference power points. These cases will 
produce nonlinear torque ramps in the denormalized reference torques. If 
the speed and torque ramp runs through a point above the engine's torque 
curve, continue to command the reference torques and allow the operator 
demand to go to maximum. Note that you may omit power and either torque 
or speed points from the cycle-validation criteria under these 
conditions as specified in Sec.  1065.514.
    (c) For variable-speed engines, command reference speeds and torques 
sequentially to perform a duty cycle. Issue speed and torque commands at 
a frequency of at least 5 Hz for transient cycles and at least 1 Hz for 
steady-state cycles (i.e., discrete-mode and ramped-modal). Linearly 
interpolate between the 1 Hz reference values specified in the standard-
setting part to determine more frequently issued reference speeds and 
torques. During an emission test, record the feedback speeds and torques 
at a frequency of at least 5 Hz for transient cycles and at least 1 Hz 
for steady-state cycles. For transient cycles, you may record the 
feedback speeds and torques at lower frequencies (as low as 1 Hz) if you 
record the average value over the time interval between recorded values. 
Calculate the average values based on feedback values updated at a 
frequency of at least 5 Hz. Use these recorded values to calculate 
cycle-validation statistics and total work.
    (d) For constant-speed engines, operate the engine with the same 
production governor you used to map the engine in Sec.  1065.510 or 
simulate the in-use operation of a governor the same way you simulated 
it to map the engine in Sec.  1065.510. Command reference torque values 
sequentially to perform a duty cycle. Issue torque commands at a 
frequency of at least 5 Hz for transient cycles and at least 1 Hz for 
steady-state cycles (i.e., discrete-mode, ramped-modal). Linearly 
interpolate between the 1 Hz reference values specified in the standard-
setting part to determine more frequently issued reference torque 
values. During an emission test, record the feedback speeds and torques 
at a frequency of at least 5 Hz for transient cycles and at least 1 Hz 
for steady-state cycles. For transient cycles, you may record the 
feedback speeds and torques at lower frequencies (as low as 1 Hz) if you 
record the average value over the time interval between recorded values. 
Calculate the average values based on feedback values updated at a 
frequency of at least 5 Hz. Use these recorded values to calculate 
cycle-validation statistics and total work.
    (e) You may perform practice duty cycles with the test engine to 
optimize operator demand and dynamometer controls to meet the cycle-
validation criteria specified in Sec.  1065.514.



Sec.  1065.514  Cycle-validation criteria.

    This section describes how to determine if the engine's operation 
during the test adequately matched the reference duty cycle. This 
section applies only to speed, torque, and power from the engine's 
primary output shaft. Other work inputs and outputs are not subject to 
cycle-validation criteria. For any data required in this section, use 
the duty cycle reference and feedback values that you recorded during a 
test interval.
    (a) Testing performed by EPA. Our tests must meet the specifications 
of paragraph (g) of this section, unless we determine that failing to 
meet the

[[Page 943]]

specifications is related to engine performance rather than to 
shortcomings of the dynamometer or other laboratory equipment.
    (b) Testing performed by manufacturers. Emission tests that meet the 
specifications of paragraph (g) of this section satisfy the standard-
setting part's requirements for duty cycles. You may ask to use a 
dynamometer or other laboratory equipment that cannot meet those 
specifications. We will approve your request as long as using the 
alternate equipment does not affect your ability to show compliance with 
the applicable emission standards.
    (c) Time-alignment. Because time lag between feedback values and the 
reference values may bias cycle-validation results, you may advance or 
delay the entire sequence of feedback engine speed and torque pairs to 
synchronize them with the reference sequence.
    (d) Calculating work. Before calculating work values, omit any 
points recorded during engine cranking and starting. Cranking and 
starting includes any time when an engine starter is engaged, any time 
when the engine is motored with a dynamometer for the sole purpose of 
starting the engine, and any time during operation before reaching idle 
speed. See Sec.  1065.525(a) and (b) for more information about engine 
cranking. After omitting points recorded during engine cranking and 
starting, but before omitting any points under paragraph (e) of this 
section, calculate total work, W, based on the feedback values and 
reference work, Wref, based on the reference values, as described in 
Sec.  1065.650.
    (e) Omitting additional points. Besides engine cranking, you may 
omit additional points from cycle-validation statistics as described in 
the following table:

   Table 1 of Sec.   1065.514--Permissible Criteria for Omitting Points From Duty-Cycle Regression Statistics
----------------------------------------------------------------------------------------------------------------
   When operator demand is at its. . .           you may omit. . .                       if. . .
----------------------------------------------------------------------------------------------------------------
            For reference duty cycles that are specified in terms of speed and torque (fnref, Tref).
----------------------------------------------------------------------------------------------------------------
minimum..................................  power and torque............  Tref < 0% (motoring).
minimum..................................  power and speed.............  fnref = 0% (idle) and Tref = 0% (idle)
                                                                          and Tref-(2% [middot] Tmax mapped) < T
                                                                          < Tref + (2% [middot] Tmax mapped).
minimum..................................  power and either torque or    fn > fnref or T > Tref but not if fn >
                                            speed.                        fnref and T > Tref.
maximum..................................  power and either torque or    fn < fnref or T < Tref but not if fn <
                                            speed.                        fnef and T < Tref.
----------------------------------------------------------------------------------------------------------------
             For reference duty cycles that are specified in terms of speed and power (fnref, Pref).
----------------------------------------------------------------------------------------------------------------
minimum..................................  power and torque............  Pref < 0% (motoring).
minimum..................................  power and speed.............  fnref = 0% (idle) and Pref = 0 % (idle)
                                                                          and Pref - (2% [middot] Pmax mapped) <
                                                                          P < Pref + (2% [middot] Pmax mapped).
minimum..................................  power and either torque or    fn > fnref or P > Pref but not if fn >
                                            speed.                        fnref and P > Pref.
maximum..................................  power and either torque or    fn < fnref or P < Pref but not if fn <
                                            speed.                        fnef and P = 0.970.....  = 0.850.....  = 0.910.
----------------------------------------------------------------------------------------------------------------


    Effective Date Note: At 73 FR 37318, June 30, 2008, Sec.  1065.514 
was revised, effective July 7, 2008. For the convenience of the user, 
the revised text is set forth as follows:



Sec.  1065.514  Cycle-validation criteria for operation over specified 
          duty cycles.

    Validate the execution of your duty cycle according to this section 
unless the standard-setting part specifies otherwise. This section 
describes how to determine if the engine's operation during the test 
adequately matched the reference duty cycle. This section applies only 
to speed, torque, and power from the engine's primary output shaft. 
Other work inputs and outputs are not subject to cycle-validation 
criteria. You must compare the original reference duty cycle points 
generated as described in Sec.  1065.512 to the corresponding feedback 
values recorded during the test. You may compare reference duty cycle 
points recorded during the test to the corresponding feedback values 
recorded during the test as long as the recorded reference values match 
the original points generated in Sec.  1065.512. The number of points in 
the validation regression are based on the number of points in the 
original reference duty cycle generated in Sec.  1065.512. For example 
if the original cycle has 1199 reference points at 1 Hz, then the 
regression will have up to 1199 pairs of reference and feedback values 
at the corresponding moments in the test. The feedback speed and torque 
signals may be filtered--either in real-time while the test is run or 
afterward in the analysis program. Any filtering that is used on the 
feedback signals used for cycle validation must also be used for 
calculating work. Feedback signals for control loops may use different 
filtering.
    (a) Testing performed by EPA. Our tests must meet the specifications 
of paragraph (f) of this section, unless we determine that failing to 
meet the specifications is related to engine performance rather than to 
shortcomings of the dynamometer or other laboratory equipment.
    (b) Testing performed by manufacturers. Emission tests that meet the 
specifications of paragraph (f) of this section satisfy the standard-
setting part's requirements for duty cycles. You may ask to use a 
dynamometer or other laboratory equipment that cannot meet those 
specifications. We will approve your request as long as using the 
alternate equipment does not adversely affect your ability to show 
compliance with the applicable emission standards.
    (c) Time-alignment. Because time lag between feedback values and the 
reference values may bias cycle-validation results, you may advance or 
delay the entire sequence of feedback engine speed and torque pairs to 
synchronize them with the reference sequence. If you advance or delay 
feedback signals for cycle validation, you must make the same adjustment 
for calculating work. You may use linear interpolation between 
successive recorded feedback signals to time shift an amount that is a 
fraction of the recording period.
    (d) Omitting additional points. Besides engine cranking, you may 
omit additional points from cycle-validation statistics as described in 
the following table:

   Table 1 of Sec.   1065.514.--Permissible Criteria for Omitting Points From Duty-Cycle Regression Statistics
----------------------------------------------------------------------------------------------------------------
  When operator demand is at its . . .         you may omit . . .                       if . . .
----------------------------------------------------------------------------------------------------------------
For reference duty cycles that are specified in terms of speed and torque (fnref, Tref):
----------------------------------------------------------------------------------------------------------------
minimum.................................  power and torque...........  Tref < 0% (motoring).
minimum.................................  power and speed............  fnref = 0% (idle speed) and Tref = 0%
                                                                        (idle torque) and Tref-(2% [middot] Tmax
                                                                        mapped) < T < Tref + (2% [middot] Tmax
                                                                        mapped).
minimum.................................  power and either torque or   fn > fnref or T > Tref but not if fn >
                                           speed.                       (fnref [middot] 102%) and T > Tref + (2%
                                                                        [middot] Tmax, mapped).

[[Page 945]]

 
maximum.................................  power and either torque or   fn < fnref or T < Tref but not if fn <
                                           speed.                       (fnref [middot] 98%) and T < Tref-(2%
                                                                        [middot] Tmax, mapped).
----------------------------------------------------------------------------------------------------------------
For reference duty cycles that are specified in terms of speed and power (fnref, Pref):
----------------------------------------------------------------------------------------------------------------
minimum.................................  power and torque...........  < Pref < 0% (motoring).
minimum.................................  power and speed............  fnref = 0% (idle speed) and Pref = 0%
                                                                        (idle power) and Pref-(2% [middot] Pmax
                                                                        mapped) fnref or P > Pref but not if fn >
                                           speed.                       (fnref [middot] 102%) and P > Pref + (2%
                                                                        [middot] Pmax mapped).
maximum.................................  power and either torque or   fn < fnref or P < Pref but not if fn <
                                           speed.                       (fnref [middot] 98%) and P < Pref-(2%
                                                                        [middot] Pmax mapped).
----------------------------------------------------------------------------------------------------------------

    (e) Statistical parameters. Use the remaining points to calculate 
regression statistics described in Sec.  1065.602. Round calculated 
regression statistics to the same number of significant digits as the 
criteria to which they are compared. Refer to Table 2 of Sec.  1065.514 
for the default criteria and refer to the standard-setting part to 
determine if there are other criteria for your engine. Calculate the 
following regression statistics:
    (1) Slopes for feedback speed, a1fn, feedback torque, 
a1T, and feedback power a1P.
    (2) Intercepts for feedback speed, a0fn, feedback torque, 
a0T, and feedback power a0P.
    (3) Standard estimates of error for feedback speed, 
SEEfn, feedback torque, SEET, and feedback power 
SEEP.
    (4) Coefficients of determination for feedback speed, 
r\2\fn, feedback torque, r\2\T, and feedback power 
r\2\P.
    (f) Cycle-validation criteria. Unless the standard-setting part 
specifies otherwise, use the following criteria to validate a duty 
cycle:
    (1) For variable-speed engines, apply all the statistical criteria 
in Table 2 of this section.
    (2) For constant-speed engines, apply only the statistical criteria 
for torque in Table 2 of this section.
    (3) For discrete-mode steady-state testing, apply cycle-validation 
criteria using one of the following approaches:
    (i) Treat the sampling periods from the series of test modes as a 
continuous sampling period, analogous to ramped-modal testing and apply 
statistical criteria as described in paragraph (f)(1) or (2) of this 
section.
    (ii) Evaluate each mode separately to validate the duty cycle. For 
variable-speed engines, all speed values measured during the sampling 
period for each mode would need to stay within a tolerance of 2 percent 
of the reference value, and all load values would need to stay within a 
tolerance of 2 percent or  0.27 N[middot]m of the 
reference value, whichever is greater. Also, the mean speed value during 
the sampling period for each mode would need to be within 1 percent of 
the reference value, and the mean load value would need to stay within 1 
percent or  0.12 N[middot]m of the reference 
value, whichever is greater. The same torque criteria apply for 
constant-speed engines but the speed criteria do not apply.

              Table 2 of Sec.   1065.514.--Default Statistical Criteria for Validating Duty Cycles
----------------------------------------------------------------------------------------------------------------
              Parameter                         Speed                    Torque                   Power
----------------------------------------------------------------------------------------------------------------
Slope, a1............................  0.950 <= a1 <= 1.030...  0.830 <= a1 <= 1.030...  0.830 <= a1 <= 1.030.
Absolute value of intercept,           <= 10% of warm idle....  <= 2.0% of maximum       <= 2.0% of maximum
 [verbarlm]a0[verbarlm].                                         mapped torque.           mapped power.
Standard error of estimate, SEE......  <= 5.0% of maximum test  <= 10% of maximum        <= 10% of maximum
                                        speed.                   mapped torque.           mapped power.
Coefficient of determination, r \2\..  = 0.970.....  = 0.850.....  = 0.910.
----------------------------------------------------------------------------------------------------------------



Sec.  1065.520  Pre-test verification procedures and pre-test data collection.

    (a) If your engine must comply with a PM standard, follow the 
procedures for PM sample preconditioning and tare weighing according to 
Sec.  1065.590.
    (b) Unless the standard-setting part specifies different values, 
verify that ambient conditions are within the following tolerances 
before the test:
    (1) Ambient temperature of (20 to 30) [deg] C.

[[Page 946]]

    (2) Atmospheric pressure of (80.000 to 103.325) kPa and within 
5% of the value recorded at the time of the last 
engine map.
    (3) Dilution air as specified in Sec.  1065.140(b).
    (c) You may test engines at any intake-air humidity, and we may test 
engines at any intake-air humidity.
    (d) Verify that auxiliary-work inputs and outputs are configured as 
they were during engine mapping, as described inSec.  1065.510(a).
    (e) You may perform a final calibration of the speed, torque, and 
proportional-flow control systems, which may include performing practice 
duty cycles.
    (f) You may perform the following recommended procedure to 
precondition sampling systems:
    (1) Start the engine and use good engineering judgment to bring it 
to 100% torque at any speed above its peak-torque speed.
    (2) Operate any dilution systems at their expected flow rates. 
Prevent aqueous condensation in the dilution systems.
    (3) Operate any PM sampling systems at their expected flow rates.
    (4) Sample PM for at least 10 min using any sample media. You may 
change sample media during preconditioning. You may discard 
preconditioning samples without weighing them.
    (5) You may purge any gaseous sampling systems during 
preconditioning.
    (6) You may conduct calibrations or verifications on any idle 
equipment or analyzers during preconditioning.
    (7) Proceed with the test sequence described in Sec.  
1065.530(a)(1).
    (g) After the last practice or preconditioning cycle before an 
emission test, verify the amount of contamination in the HC sampling 
system as follows:
    (1) Select the HC analyzer range for measuring the flow-weighted 
mean concentration expected at the HC standard.
    (2) Zero the HC analyzer at the analyzer zero or sample port. Note 
that FID zero and span balance gases may be any combination of purified 
air or purified nitrogen that meets the specifications of Sec.  
1065.750. We recommend FID analyzer zero and span gases that contain 
approximately the flow-weighted mean concentration of O2 
expected during testing.
    (3) Span the HC analyzer using span gas introduced at the analyzer 
span or sample port. Span on a carbon number basis of one 
(C1). For example, if you use a C3H8 
span gas of concentration 200 [micro]mol/mol, span the FID to respond 
with a value of 600 [micro]mol/mol.
    (4) Overflow zero gas at the HC probe or into a fitting between the 
HC probe and its transfer line.
    (5) Measure the HC concentration in the sampling system, as follows:
    (i) For continuous sampling, record the mean HC concentration as 
overflow zero air flows.
    (ii) For batch sampling, fill the sample medium and record its mean 
HC concentration.
    (6) Record this value as the initial HC concentration, xHCinit, and 
use it to correct measured values as described in Sec.  1065.660.
    (7) If xHCinit exceeds the greatest of the following values, 
determine the source of the contamination and take corrective action, 
such as purging the system during an additional preconditioning cycle or 
replacing contaminated portions:
    (i) 2% of the flow-weighted mean concentration expected at the 
standard.
    (ii) 2% of the flow-weighted mean concentration measured during 
testing.
    (iii) For any compression-ignition engines, any two-stroke spark 
ignition engines, or 4-stroke spark-ignition engines that are less than 
19 kW, 2 [micro]mol/mol.
    (8) If corrective action does not resolve the deficiency, you may 
request to use the contaminated system as an alternate procedure under 
Sec.  1065.10.

    Effective Date Note: At 73 FR 37320, June 30, 2008, Sec.  1065.520 
was revised, effective July 7, 2008. For the convenience of the user, 
the revised text is set forth as follows:



Sec.  1065.520  Pre-test verification procedures and pre-test data 
          collection.

    (a) If your engine must comply with a PM standard, follow the 
procedures for PM sample preconditioning and tare weighing according to 
Sec.  1065.590.
    (b) Unless the standard-setting part specifies different tolerances, 
verify that ambient conditions are within the following tolerances 
before the test:

[[Page 947]]

    (1) Ambient temperature of (20 to 30) [deg]C.
    (2) Atmospheric pressure of (80.000 to 103.325) kPa and within 
 5 kPa of the value recorded at the time of the 
last engine map.
    (3) Dilution air conditions as specified in Sec.  1065.140, except 
in cases where you preheat your CVS before a cold start test.
    (c) You may test engines at any intake-air humidity, and we may test 
engines at any intake-air humidity.
    (d) Verify that auxiliary-work inputs and outputs are configured as 
they were during engine mapping, as described inSec.  1065.510(a).
    (e) You may perform a final calibration of the speed, torque, and 
proportional-flow control systems, which may include performing practice 
duty cycles.
    (f) You may perform the following recommended procedure to 
precondition sampling systems:
    (1) Start the engine and use good engineering judgment to bring it 
to one of the following:
    (i) 100% torque at any speed above its peak-torque speed.
    (ii) 100% operator demand.
    (2) Operate any dilution systems at their expected flow rates. 
Prevent aqueous condensation in the dilution systems.
    (3) Operate any PM sampling systems at their expected flow rates.
    (4) Sample PM for at least 10 min using any sample media. You may 
change sample media during preconditioning. You may discard 
preconditioning samples without weighing them.
    (5) You may purge any gaseous sampling systems during 
preconditioning.
    (6) You may conduct calibrations or verifications on any idle 
equipment or analyzers during preconditioning.
    (7) Proceed with the test sequence described in Sec.  
1065.530(a)(1).
    (g) Verify the amount of nonmethane contamination in the exhaust and 
background HC sampling systems within eight hours of starting each duty-
cycle sequence for laboratory tests. You may verify the contamination of 
a background HC sampling system by reading the last bag fill and purge 
using zero gas. For any NMHC measurement system that involves separately 
measuring methane and subtracting it from a THC measurement, verify the 
amount of THC contamination using only the THC analyzer response. There 
is no need to operate any separate methane analyzer for this 
verification, however you may measure and correct for THC contamination 
in the CH4 sample train for the cases where NMHC is 
determined by subtracting CH4 from THC, using an NMC as 
configured in Sec.  1065.365(d), (e), and (f); and the calculations in 
Sec.  1065.660(b)(2). Perform this verification as follows:
    (1) Select the HC analyzer range for measuring the flow-weighted 
mean concentration expected at the HC standard.
    (2) Zero the HC analyzer at the analyzer zero or sample port. Note 
that FID zero and span balance gases may be any combination of purified 
air or purified nitrogen that meets the specifications of Sec.  
1065.750. We recommend FID analyzer zero and span gases that contain 
approximately the flow-weighted mean concentration of O2 expected during 
testing.
    (3) Span the HC analyzer using span gas introduced at the analyzer 
span or sample port. Span on a carbon number basis of one 
(C1). For example, if you use a C3H8 
span gas of concentration 200 [micro]mol/mol, span the FID to respond 
with a value of 600 [micro]mol/mol.
    (4) Overflow zero gas at the HC probe or into a fitting between the 
HC probe and its transfer line.
    (5) Measure the THC concentration in the sampling and background 
systems as follows:
    (i) For continuous sampling, record the mean THC concentration as 
overflow zero air flows.
    (ii) For batch sampling, fill the sample medium (e.g., filter) and 
record its mean THC concentration.
    (iii) For the background system, record the mean THC concentration 
of the last fill and purge.
    (6) Record this value as the initial THC concentration, 
xTHC[THC-FID]init, and use it to correct measured values as 
described in Sec.  1065.660.
    (7) If any of the xTHC[THC-FID]init values exceed the 
greatest of the following values, determine the source of the 
contamination and take corrective action, such as purging the system 
during an additional preconditioning cycle or replacing contaminated 
portions:
    (i) 2% of the flow-weighted mean wet, net concentration expected at 
the HC (THC or NMHC) standard.
    (ii) 2% of the flow-weighted mean wet, net concentration of HC (THC 
or NMHC) measured during testing.
    (iii) 2 [micro]mol/mol.
    (8) If corrective action does not resolve the deficiency, you may 
request to use the contaminated system as an alternate procedure under 
Sec.  1065.10.



Sec.  1065.525  Engine starting, restarting, and shutdown.

    (a) Start the engine using one of the following methods:
    (1) Start the engine as recommended in the owners manual using a 
production starter motor and adequately charged battery or a suitable 
power supply.
    (2) Use the dynamometer to start the engine. To do this, motor the 
engine within 25% of its typical in-use cranking 
speed. Stop cranking within 1 second of starting the engine.

[[Page 948]]

    (b) If the engine does not start after 15 seconds of cranking, stop 
cranking and determine why the engine failed to start, unless the owners 
manual or the service-repair manual describes the longer cranking time 
as normal.
    (c) Respond to engine stalling with the following steps:
    (1) If the engine stalls during warm-up before emission sampling 
begins, restart the engine and continue warm-up.
    (2) If the engine stalls during preconditioning before emission 
sampling begins, restart the engine and restart the preconditioning 
sequence.
    (3) If the engine stalls at any time after emission sampling begins 
for a transient test or ramped-modal cycle test, the test is void.
    (4) If the engine stalls at any time after emission sampling begins 
for a discrete mode in a discrete-mode duty cycle test, void the test or 
perform the following steps to continue the test:
    (i) Restart the engine.
    (ii) Use good engineering judgment to restart the test sequence 
using the appropriate steps in Sec.  1065.530(b)
    (iii) Precondition the engine at the previous discrete mode for a 
similar amount of time compared with how long it was initially run.
    (iv) Advance to the mode at which the engine stalled and continue 
with the duty cycle as specified in the standard-setting part.
    (v) Complete the remainder of the test according to the requirements 
in this subpart.
    (d) Shut down the engine according to the manufacturer's 
specifications.

    Effective Date Note: At 73 FR 37320, June 30, 2008, Sec.  1065.525 
was revised, effective July 7, 2008. For the convenience of the user, 
the revised text is set forth as follows:



Sec.  1065.525  Engine starting, restarting, shutdown, and optional 
          repeating of void discrete modes.

    (a) Start the engine using one of the following methods:
    (1) Start the engine as recommended in the owners manual using a 
production starter motor or air-start system and either an adequately 
charged battery, a suitable power supply, or a suitable compressed air 
source.
    (2) Use the dynamometer to start the engine. To do this, motor the 
engine within 25% of its typical in-use cranking 
speed. Stop cranking within 1 second of starting the engine.
    (b) If the engine does not start after 15 seconds of cranking, stop 
cranking and determine why the engine failed to start, unless the owners 
manual or the service-repair manual describes the longer cranking time 
as normal.
    (c) Respond to engine stalling with the following steps:
    (1) If the engine stalls during warm-up before emission sampling 
begins, restart the engine and continue warm-up.
    (2) If the engine stalls during preconditioning before emission 
sampling begins, restart the engine and restart the preconditioning 
sequence.
    (3) If the engine stalls at any time after emission sampling begins 
for a transient test or ramped-modal cycle test, the test is void.
    (4) Except as described in paragraph (d) of this section, void the 
test if the engine stalls at any time after emission sampling begins.
    (d) If emission sampling is interrupted during one of the modes of a 
discrete-mode test, you may void the results only for that individual 
mode and perform the following steps to continue the test:
    (1) If the engine has stalled, restart the engine.
    (2) Use good engineering judgment to restart the test sequence using 
the appropriate steps in Sec.  1065.530(b).
    (3) Precondition the engine by operating at the previous mode for 
approximately the same amount of time it operated at that mode for the 
last emission measurement.
    (4) Advance to the mode at which the engine stalled and continue 
with the duty cycle as specified in the standard-setting part.
    (5) Complete the remainder of the test according to the requirements 
in this subpart.
    (e) Shut down the engine according to the manufacturer's 
specifications.



Sec.  1065.530  Emission test sequence.

    (a) Time the start of testing as follows:
    (1) Perform one of the following if you precondition sampling 
systems as described in Sec.  1065.520(f):
    (i) For cold-start duty cycles, shut down the engine. Unless the 
standard-setting part specifies that you may only perform a natural 
engine cooldown, you may perform a forced engine cooldown. Use good 
engineering judgment to set up systems to send cooling air across the 
engine, to send cool oil through the engine lubrication system, to 
remove heat from coolant through the engine cooling system, and to 
remove heat from an exhaust aftertreatment system. In the case of a 
forced aftertreatment cooldown, good engineering judgment would indicate

[[Page 949]]

that you not start flowing cooling air until the aftertreatment system 
has cooled below its catalytic activation temperature. For platinum-
group metal catalysts, this temperature is about 200 [deg]C. Once the 
aftertreatment system has naturally cooled below its catalytic 
activation temperature, good engineering judgment would indicate that 
you use clean air with a temperature of at least 15 [deg]C, and direct 
the air through the aftertreatment system in the normal direction of 
exhaust flow. Do not use any cooling procedure that results in 
unrepresentative emissions (see Sec.  1065.10(c)(1)). You may start a 
cold-start duty cycle when the temperatures of an engine's lubricant, 
coolant, and aftertreatment systems are all between (20 and 30) [deg]C.
    (ii) For hot-start emission measurements, shut down the engine. 
Start a hot-start duty cycle within 20 min of engine shutdown.
    (iii) For testing that involves hot-stabilized emission 
measurements, such as any steady-state testing, you may continue to 
operate the engine at fntest and 100% torque if that is the first 
operating point. Otherwise, operate the engine at warm, idle or the 
first operating point of the duty cycle. In any case, start the emission 
test within 10 min after you complete the preconditioning procedure.
    (2) For all other testing, perform one of the following:
    (i) For cold-start duty cycles, prepare the engine according to 
paragraph (a)(1)(i) of this section.
    (ii) For hot-start emission measurements, first operate the engine 
at any speed above peak-torque speed and at (65 to 85) % of maximum 
mapped power until either the engine coolant, block, or head absolute 
temperature is within 2% of its mean value for at 
least 2 min or until the engine thermostat controls engine temperature. 
Shut down the engine. Start the duty cycle within 20 min of engine 
shutdown.
    (iii) For testing that involves hot-stabilized emission 
measurements, bring the engine either to warm idle or the first 
operating point of the duty cycle. Start the test within 10 min of 
achieving temperature stability. Determine temperature stability either 
as the point at which the engine coolant, block, or head absolute 
temperature is within 2% of its mean value for at 
least 2 min, or as the point at which the engine thermostat controls 
engine temperature.
    (b) Take the following steps before emission sampling begins:
    (1) For batch sampling, connect clean storage media, such as 
evacuated bags or tare-weighed filters.
    (2) Start all measurement instruments according to the instrument 
manufacturer's instructions and using good engineering judgment.
    (3) Start dilution systems, sample pumps, cooling fans, and the 
data-collection system.
    (4) Pre-heat or pre-cool heat exchangers in the sampling system to 
within their operating temperature tolerances for a test.
    (5) Allow heated or cooled components such as sample lines, filters, 
chillers, and pumps to stabilize at their operating temperatures.
    (6) Verify that there are no significant vacuum-side leaks according 
to Sec.  1065.345.
    (7) Adjust the sample flow rates to desired levels, using bypass 
flow, if desired.
    (8) Zero or re-zero any electronic integrating devices, before the 
start of any test interval.
    (9) Select gas analyzer ranges. You may use analyzers that 
automatically switch ranges during a test only if switching is performed 
by changing the span over which the digital resolution of the instrument 
is applied. During a test you may not switch the gains of an analyzer's 
analog operational amplifier(s).
    (10) Zero and span all continuous analyzers using NIST-traceable 
gases that meet the specifications of Sec.  1065.750. Span FID analyzers 
on a carbon number basis of one (1), C1. For example, if you 
use a C3H8 span gas of concentration 200 
[micro]mol/mol, span the FID to respond with a value of 600 [micro]mol/
mol.
    (11) We recommend that you verify gas analyzer response after 
zeroing and spanning by flowing a calibration gas that has a 
concentration near one-half of the span gas concentration. Based on the 
results and good engineering judgment, you may decide whether or not

[[Page 950]]

to re-zero, re-span, or re-calibrate a gas analyzer before starting a 
test.
    (12) If you correct for dilution air background concentrations of 
engine exhaust constituents, start measuring and recording background 
concentrations.
    (c) Start testing as follows:
    (1) If an engine is already running and warmed up, and starting is 
not part of the duty cycle, perform the following for the various duty 
cycles.
    (i) Transient and steady-state ramped-modal cycles. Simultaneously 
start running the duty cycle, sampling exhaust gases, recording data, 
and integrating measured values.
    (ii) Steady-state discrete-mode cycles. Control speed and torque to 
the first mode in the test cycle. Follow the instructions in the 
standard-setting part to determine how long to stabilize engine 
operation at each mode and how long to sample emissions at each mode.
    (2) If engine starting is part of the duty cycle, initiate data 
logging, sampling of exhaust gases, and integrating measured values 
before attempting to start the engine. Initiate the duty cycle when the 
engine starts.
    (d) At the end of the test interval, continue to operate all 
sampling and dilution systems to allow the sampling system's response 
time to elapse. Then stop all sampling and recording, including the 
recording of background samples. Finally, stop any integrating devices 
and indicate the end of the duty cycle in the recorded data.
    (e) Shut down the engine if you have completed testing or if it is 
part of the duty cycle.
    (f) If testing involves another duty cycle after a soak period with 
the engine off, start a timer when the engine shuts down, and repeat the 
steps in paragraphs (b) through (e) of this section as needed.
    (g) Take the following steps after emission sampling is complete:
    (1) For any proportional batch sample, such as a bag sample or PM 
sample, verify that proportional sampling was maintained according to 
Sec.  1065.545. Void any samples that did not maintain proportional 
sampling according to Sec.  1065.545.
    (2) Place any used PM samples into covered or sealed containers and 
return them to the PM-stabilization environment. Follow the PM sample 
post-conditioning and total weighing procedures in Sec.  1065.595.
    (3) As soon as practical after the duty cycle is complete but no 
later than 30 minutes after the duty cycle is complete, perform the 
following:
    (i) Zero and span all batch gas analyzers.
    (ii) Analyze any gaseous batch samples, including background 
samples.
    (4) After quantifying exhaust gases, verify drift as follows:
    (i) For batch and continuous gas analyzers, record the mean analyzer 
value after stabilizing a zero gas to the analyzer. Stabilization may 
include time to purge the analyzer of any sample gas, plus any 
additional time to account for analyzer response.
    (ii) Record the mean analyzer value after stabilizing the span gas 
to the analyzer. Stabilization may include time to purge the analyzer of 
any sample gas, plus any additional time to account for analyzer 
response.
    (iii) Use these data to validate and correct for drift as described 
in Sec.  1065.550.
    (h) Determine whether or not the test meets the cycle-validation 
criteria in Sec.  1065.514.
    (1) If the criteria void the test, you may retest using the same 
denormalized duty cycle, or you may re-map the engine, denormalize the 
reference duty cycle based on the new map and retest the engine using 
the new denormalized duty cycle.
    (2) If the criteria void the test for a constant-speed engine only 
during commands of maximum test torque, you may do the following:
    (i) Determine the first and last feedback speeds at which maximum 
test torque was commanded.
    (ii) If the last speed is greater than or equal to 90% of the first 
speed, the test is void. You may retest using the same denormalized duty 
cycle, or you may re-map the engine, denormalize the reference duty 
cycle based on the new map and retest the engine using the new 
denormalized duty cycle.
    (iii) If the last speed is less than 90% of the first speed, reduce 
maximum test torque by 5%, and proceed as follows:

[[Page 951]]

    (A) Denormalize the entire duty cycle based on the reduced maximum 
test torque according to Sec.  1065.512.
    (B) Retest the engine using the denormalized test cycle that is 
based on the reduced maximum test torque.
    (C) If your engine still fails the cycle criteria, reduce the 
maximum test torque by another 5% of the original maximum test torque.
    (D) If your engine fails after repeating this procedure four times, 
such that your engine still fails after you have reduced the maximum 
test torque by 20% of the original maximum test torque, notify us and we 
will consider specifying a more appropriate duty cycle for your engine 
under the provisions of Sec.  1065.10(c).

    Effective Date Note: At 73 FR 37321, June 30, 2008, Sec.  1065.530 
was revised, effective July 7, 2008. For the convenience of the user, 
the revised text is set forth as follows:



Sec.  1065.530  Emission test sequence.

    (a) Time the start of testing as follows:
    (1) Perform one of the following if you precondition sampling 
systems as described in Sec.  1065.520(f):
    (i) For cold-start duty cycles, shut down the engine. Unless the 
standard-setting part specifies that you may only perform a natural 
engine cooldown, you may perform a forced engine cooldown. Use good 
engineering judgment to set up systems to send cooling air across the 
engine, to send cool oil through the engine lubrication system, to 
remove heat from coolant through the engine cooling system, and to 
remove heat from any exhaust aftertreatment systems. In the case of a 
forced aftertreatment cooldown, good engineering judgment would indicate 
that you not start flowing cooling air until the aftertreatment system 
has cooled below its catalytic activation temperature. For platinum-
group metal catalysts, this temperature is about 200 [deg]C. Once the 
aftertreatment system has naturally cooled below its catalytic 
activation temperature, good engineering judgment would indicate that 
you use clean air with a temperature of at least 15 [deg]C, and direct 
the air through the aftertreatment system in the normal direction of 
exhaust flow. Do not use any cooling procedure that results in 
unrepresentative emissions (see Sec.  1065.10(c)(1)). You may start a 
cold-start duty cycle when the temperatures of an engine's lubricant, 
coolant, and aftertreatment systems are all between (20 and 30) [deg]C.
    (ii) For hot-start emission measurements, shut down the engine. 
Start the hot-start duty cycle as specified in the standard-setting 
part.
    (iii) For testing that involves hot-stabilized emission 
measurements, such as any steady-state testing, you may continue to 
operate the engine at maximum test speed and 100% torque if that is the 
first operating point. Otherwise, operate the engine at warm idle or the 
first operating point of the duty cycle. In any case, start the emission 
test within 10 min after you complete the preconditioning procedure.
    (2) If you do not precondition sampling systems, perform one of the 
following:
    (i) For cold-start duty cycles, prepare the engine according to 
paragraph (a)(1)(i) of this section.
    (ii) For hot-start emission measurements, first operate the engine 
at any speed above peak-torque speed and at (65 to 85)% of maximum 
mapped power until either the engine coolant, block, or head absolute 
temperature is within 2% of its mean value for at 
least 2 min or until the engine thermostat controls engine temperature. 
Shut down the engine. Start the duty cycle within 20 min of engine 
shutdown.
    (iii) For testing that involves hot-stabilized emission 
measurements, bring the engine either to warm idle or the first 
operating point of the duty cycle. Start the test within 10 min of 
achieving temperature stability. Determine temperature stability either 
as the point at which the engine coolant, block, or head absolute 
temperature is within 2% of its mean value for at 
least 2 min, or as the point at which the engine thermostat controls 
engine temperature.
    (b) Take the following steps before emission sampling begins:
    (1) For batch sampling, connect clean storage media, such as 
evacuated bags or tare-weighed filters.
    (2) Start all measurement instruments according to the instrument 
manufacturer's instructions and using good engineering judgment.
    (3) Start dilution systems, sample pumps, cooling fans, and the 
data-collection system.
    (4) Pre-heat or pre-cool heat exchangers in the sampling system to 
within their operating temperature tolerances for a test.
    (5) Allow heated or cooled components such as sample lines, filters, 
chillers, and pumps to stabilize at their operating temperatures.
    (6) Verify that there are no significant vacuum-side leaks according 
to Sec.  1065.345.
    (7) Adjust the sample flow rates to desired levels, using bypass 
flow, if desired.
    (8) Zero or re-zero any electronic integrating devices, before the 
start of any test interval.
    (9) Select gas analyzer ranges. You may automatically or manually 
switch gas analyzer ranges during a test only if switching is performed 
by changing the span over which the digital resolution of the instrument 
is applied. During a test you may not

[[Page 952]]

switch the gains of an analyzer's analog operational amplifier(s).
    (10) Zero and span all continuous analyzers using NIST-traceable 
gases that meet the specifications of Sec.  1065.750. Span FID analyzers 
on a carbon number basis of one (1), C1. For example, if you 
use a C3H8 span gas of concentration 200 
[micro]mol/mol, span the FID to respond with a value of 600 [micro]mol/
mol. Span FID analyzers consistent with the determination of their 
respective response factors, RF, and penetration fractions, PF, 
according to Sec.  1065.365.
    (11) We recommend that you verify gas analyzer responses after 
zeroing and spanning by sampling a calibration gas that has a 
concentration near one-half of the span gas concentration. Based on the 
results and good engineering judgment, you may decide whether or not to 
re-zero, re-span, or re-calibrate a gas analyzer before starting a test.
    (12) If you correct for dilution air background concentrations of 
engine exhaust constituents, start measuring and recording background 
concentrations.
    (13) Drain any condensate from the intake air system and close any 
intake air condensate drains that are not normally open during in-use 
operation.
    (c) Start testing as follows:
    (1) If an engine is already running and warmed up, and starting is 
not part of the duty cycle, perform the following for the various duty 
cycles:
    (i) Transient and steady-state ramped-modal cycles. Simultaneously 
start running the duty cycle, sampling exhaust gases, recording data, 
and integrating measured values.
    (ii) Steady-state discrete-mode cycles. Control the engine operation 
to match the first mode in the test cycle. This will require controlling 
engine speed and load, engine load, or other operator demand settings, 
as specified in the standard-setting part. Follow the instructions in 
the standard-setting part to determine how long to stabilize engine 
operation at each mode, how long to sample emissions at each mode, and 
how to transition between modes.
    (2) If engine starting is part of the duty cycle, initiate data 
logging, sampling of exhaust gases, and integrating measured values 
before attempting to start the engine. Initiate the duty cycle when the 
engine starts.
    (d) At the end of each test interval, continue to operate all 
sampling and dilution systems to allow the sampling system's response 
time to elapse. Then stop all sampling and recording, including the 
recording of background samples. Finally, stop any integrating devices 
and indicate the end of the duty cycle in the recorded data.
    (e) Shut down the engine if you have completed testing or if it is 
part of the duty cycle.
    (f) If testing involves another duty cycle after a soak period with 
the engine off, start a timer when the engine shuts down, and repeat the 
steps in paragraphs (b) through (e) of this section as needed.
    (g) Take the following steps after emission sampling is complete:
    (1) For any proportional batch sample, such as a bag sample or PM 
sample, verify that proportional sampling was maintained according to 
Sec.  1065.545. Void any samples that did not maintain proportional 
sampling according to Sec.  1065.545.
    (2) Place any used PM samples into covered or sealed containers and 
return them to the PM-stabilization environment. Follow the PM sample 
post-conditioning and total weighing procedures in Sec.  1065.595.
    (3) As soon as practical after the duty cycle is complete, or during 
the soak period if practical, perform the following:
    (i) Zero and span all batch gas analyzers no later than 30 minutes 
after the duty cycle is complete, or during the soak period if 
practical.
    (ii) Analyze any conventional gaseous batch samples no later than 30 
minutes after the duty cycle is complete, or during the soak period if 
practical.
    (iii) Analyze background samples no later than 60 minutes after the 
duty cycle is complete.
    (iv) Analyze non-conventional gaseous batch samples, such as ethanol 
(NMCHE) as soon as practical using good engineering judgment.
    (4) After quantifying exhaust gases, verify drift as follows:
    (i) For batch and continuous gas anlyzers, record the mean analyzer 
value after stabilizing a zero gas to the analyzer. Stabilization may 
include time to purge the analyzer of any sample gas, plus any 
additional time to account for analyzer response.
    (ii) Record the mean analyzer value after stabilizing the span gas 
to the analyzer. Stabilization may include time to purge the analyzer of 
any sample gas, plus any additional time to account for analyzer 
response.
    (iii) Use these data to validate and correct for drift as described 
in Sec.  1065.550.
    (h) Unless the standard-setting part specifies otherwise, determine 
whether or not the test meets the cycle-validation criteria in Sec.  
1065.514.
    (1) If the criteria void the test, you may retest using the same 
denormalized duty cycle, or you may re-map the engine, denormalize the 
reference duty cycle based on the new map and retest the engine using 
the new denormalized duty cycle.
    (2) If the criteria void the test for a constant-speed engine only 
during commands of maximum test torque, you may do the following:

[[Page 953]]

    (i) Determine the first and last feedback speeds at which maximum 
test torque was commanded.
    (ii) If the last speed is greater than or equal to 90% of the first 
speed, the test is void. You may retest using the same denormalized duty 
cycle, or you may re-map the engine, denormalize the reference duty 
cycle based on the new map and retest the engine using the new 
denormalized duty cycle.
    (iii) If the last speed is less than 90% of the first speed, reduce 
maximum test torque by 5%, and proceed as follows:
    (A) Denormalize the entire duty cycle based on the reduced maximum 
test torque according to Sec.  1065.512.
    (B) Retest the engine using the denormalized test cycle that is 
based on the reduced maximum test torque.
    (C) If your engine still fails the cycle criteria, reduce the 
maximum test torque by another 5% of the original maximum test torque.
    (D) If your engine fails after repeating this procedure four times, 
such that your engine still fails after you have reduced the maximum 
test torque by 20% of the original maximum test torque, notify us and we 
will consider specifying a more appropriate duty cycle for your engine 
under the provisions of Sec.  1065.10(c).
    (i) [Reserved]
    (j) Measure and record ambient temperature, pressure, and humidity, 
as appropriate.



Sec.  1065.545  Validation of proportional flow control for batch sampling.

    For any proportional batch sample such as a bag or PM filter, 
demonstrate that proportional sampling was maintained using one of the 
following, noting that you may omit up to 5% of the total number of data 
points as outliers:
    (a) For any pair of flow meters, use the 1 Hz (or more frequently) 
recorded sample and total flow rates with the statistical calculations 
in Sec.  1065.602. Determine the standard error of the estimate, SEE, of 
the sample flow rate versus the total flow rate. For each test interval, 
demonstrate that SEE was less than or equal to 3.5% of the mean sample 
flow rate.
    (b) For any pair of flow meters, use the 1 Hz (or more frequently) 
recorded sample and total flow rates to demonstrate that each flow rate 
was constant within 2.5% of its respective mean or 
target flow rate. You may use the following options instead of recording 
the respective flow rate of each type of meter:
    (1) Critical-flow venturi option. For critical-flow venturis, you 
may use the 1 Hz (or more frequently) recorded venturi-inlet conditions. 
Demonstrate that the flow density at the venturi inlet was constant 
within 2.5% of the mean or target density over 
each test interval. For a CVS critical-flow venturi, you may demonstrate 
this by showing that the absolute temperature at the venturi inlet was 
constant within 4% of the mean or target absolute 
temperature over each test interval.
    (2) Positive-displacement pump option. You may use the 1 Hz (or more 
frequently) recorded pump-inlet conditions. Demonstrate that the density 
at the pump inlet was constant within 2.5% of the 
mean or target density over each test interval. For a CVS pump, you may 
demonstrate this by showing that the absolute temperature at the pump 
inlet was constant within 2% of the mean or target 
absolute temperature over each test interval.
    (c) Using good engineering judgment, demonstrate with an engineering 
analysis that the proportional-flow control system inherently ensures 
proportional sampling under all circumstances expected during testing. 
For example, you might use CFVs for both sample flow and total flow and 
demonstrate that they always have the same inlet pressures and 
temperatures and that they always operate under critical-flow 
conditions.

    Effective Date Note: At 73 FR 37322, June 30, 2008, Sec.  1065.545 
was revised, effective July 7, 2008. For the convenience of the user, 
the revised text is set forth as follows:



Sec.  1065.545  Validation of proportional flow control for batch 
          sampling and minimum dilution ratio for PM batch sampling.

    For any proportional batch sample such as a bag or PM filter, 
demonstrate that proportional sampling was maintained using one of the 
following, noting that you may omit up to 5% of the total number of data 
points as outliers:
    (a) For any pair of flow meters, use recorded sample and total flow 
rates, where total flow rate means the raw exhaust flow rate for raw 
exhaust sampling and the dilute exhaust flow rate for CVS sampling, or 
their 1 Hz means with the statistical calculations in Sec.  1065.602. 
Determine the standard error of the estimate, SEE, of the sample flow 
rate versus the total flow rate. For each test interval, demonstrate 
that SEE was less than

[[Page 954]]

or equal to 3.5% of the mean sample flow rate.
    (b) For any pair of flow meters, use recorded sample and total flow 
rates, where total flow rate means the raw exhaust flow rate for raw 
exhaust sampling and the dilute exhaust flow rate for CVS sampling, or 
their 1 Hz means to demonstrate that each flow rate was constant within 
2.5% of its respective mean or target flow rate. 
You may use the following options instead of recording the respective 
flow rate of each type of meter:
    (1) Critical-flow venturi option. For critical-flow venturis, you 
may use recorded venturi-inlet conditions or their 1 Hz means. 
Demonstrate that the flow density at the venturi inlet was constant 
within 2.5% of the mean or target density over 
each test interval. For a CVS critical-flow venturi, you may demonstrate 
this by showing that the absolute temperature at the venturi inlet was 
constant within 4% of the mean or target absolute 
temperature over each test interval.
    (2) Positive-displacement pump option. You may use recorded pump-
inlet conditions or their 1 Hz means. Demonstrate that the flow density 
at the pump inlet was constant within 2.5% of the 
mean or target density over each test interval. For a CVS pump, you may 
demonstrate this by showing that the absolute temperature at the pump 
inlet was constant within 2% of the mean or target 
absolute temperature over each test interval.
    (c) Using good engineering judgment, demonstrate with an engineering 
analysis that the proportional-flow control system inherently ensures 
proportional sampling under all circumstances expected during testing. 
For example, you might use CFVs for both sample flow and total flow and 
demonstrate that they always have the same inlet pressures and 
temperatures and that they always operate under critical-flow 
conditions.
    (d) Use measured or calculated flows and/or tracer gas 
concentrations (e.g., CO2) to determine the minimum dilution ratio for 
PM batch sampling over the test interval.



Sec.  1065.550  Gas analyzer range validation, drift validation, and drift correction.

    (a) Range validation. If an analyzer operated above 100% of its 
range at any time during the test, perform the following steps:
    (1) For batch sampling, re-analyze the sample using the lowest 
analyzer range that results in a maximum instrument response below 100%. 
Report the result from the lowest range from which the analyzer operates 
below 100% of its range for the entire test.
    (2) For continuous sampling, repeat the entire test using the next 
higher analyzer range. If the analyzer again operates above 100% of its 
range, repeat the test using the next higher range. Continue to repeat 
the test until the analyzer operates at less than 100% of its range for 
the entire test.
    (b) Drift validation and drift correction. Calculate two sets of 
brake-specific emission results. Calculate one set using the data before 
drift correction and the other set after correcting all the data for 
drift according to Sec.  1065.672. Use the two sets of brake-specific 
emission results as follows:
    (1) If the difference between the corrected and uncorrected brake-
specific emissions are within 4% of the 
uncorrected results for all regulated emissions, the test is validated 
for drift. If not, the entire test is void.
    (2) If the test is validated for drift, you must use only the drift-
corrected emission results when reporting emissions, unless you 
demonstrate to us that using the drift-corrected results adversely 
affects your ability to demonstrate whether or not your engine complies 
with the applicable standards.

    Effective Date Note: At 73 FR 37322, June 30, 2008, Sec.  1065.550 
was revised, effective July 7, 2008. For the convenience of the user, 
the revised text is set forth as follows:



Sec.  1065.550  Gas analyzer range validation, drift validation, and 
          drift correction.

    (a) Range validation. If an analyzer operated above 100% of its 
range at any time during the test, perform the following steps:
    (1) For batch sampling, re-analyze the sample using the lowest 
analyzer range that results in a maximum instrument response below 100%. 
Report the result from the lowest range from which the analyzer operates 
below 100% of its range.
    (2) For continuous sampling, repeat the entire test using the next 
higher analyzer range. If the analyzer again operates above 100% of its 
range, repeat the test using the next higher range. Continue to repeat 
the test until the analyzer always operates at less than 100% of its 
range.
    (b) Drift validation and drift correction. Calculate two sets of 
brake-specific emission results. Calculate one set using the data before 
drift correction and calculate the other set after correcting all the 
data for drift according to Sec.  1065.672. Use the two sets of brake-
specific emission results as follows:
    (1) This test is validated for drift if, for each regulated 
pollutant, the difference between the uncorrected and the corrected 
brake-specific emission values is within 4% of the 
uncorrected results or applicable

[[Page 955]]

standard, whichever is greater. If not, the entire test is void.
    (2) If the test is validated for drift, you must use only the drift-
corrected emission results when reporting emissions, unless you 
demonstrate to us that using the drift-corrected results adversely 
affects your ability to demonstrate that your engine complies with the 
applicable standards.



Sec.  1065.590  PM sample preconditioning and tare weighing.

    Before an emission test, take the following steps to prepare PM 
samples and equipment for PM measurements:
    (a) Make sure the balance and PM-stabilization environments meet the 
periodic verifications in Sec.  1065.390.
    (b) Visually inspect unused sample media (such as filters) for 
defects.
    (c) To handle PM samples, use electrically grounded tweezers or a 
grounding strap, as described in Sec.  1065.190.
    (d) Place unused sample media in one or more containers that are 
open to the PM-stabilization environment. If you are using filters, you 
may place them in the bottom half of a filter cassette.
    (e) Stabilize sample media in the PM-stabilization environment. 
Consider an unused sample medium stabilized as long as it has been in 
the PM-stabilization environment for a minimum of 30 min, during which 
the PM-stabilization environment has been within the specifications of 
Sec.  1065.190.
    (f) Weigh the sample media automatically or manually, as follows:
    (1) For automatic weighing, follow the automation system 
manufacturer's instructions to prepare samples for weighing. This may 
include placing the samples in a special container.
    (2) For manual weighing, use good engineering judgment to determine 
if substitution weighing is necessary to show that an engine meets the 
applicable standard. You may follow the substitution weighing procedure 
in paragraph (j) of this section, or you may develop your own procedure.
    (g) Correct the measured weight for buoyancy as described in Sec.  
1065.690. These buoyancy-corrected values are the tare masses of the PM 
samples.
    (h) You may repeat measurements to determine mean masses. Use good 
engineering judgment to exclude outliers and calculate mean mass values.
    (i) If you use filters as sample media, load unused filters that 
have been tare-weighed into clean filter cassettes and place the loaded 
cassettes in a covered or sealed container before taking them to the 
test cell for sampling. We recommend that you keep filter cassettes 
clean by periodically washing or wiping them with a compatible solvent 
applied using a lint-free cloth. Depending upon your cassette material, 
ethanol (C2H5OH) might be an acceptable solvent. 
Your cleaning frequency will depend on your engine's level of PM and HC 
emissions.
    (j) Substitution weighing involves measurement of a reference weight 
before and after each weighing of a PM sample. While substitution 
weighing requires more measurements, it corrects for a balance's zero-
drift and it relies on balance linearity only over a small range. This 
is most advantageous when quantifying net PM masses that are less than 
0.1% of the sample medium's mass. However, it may not be advantageous 
when net PM masses exceed 1% of the sample medium's mass. The following 
steps are an example of substitution weighing:
    (1) Use electrically grounded tweezers or a grounding strap, as 
described in Sec.  1065.190.
    (2) Use a static neutralizer as described in Sec.  1065.190 to 
minimize static electric charge on any object before it is placed on the 
balance pan.
    (3) Place on the balance pan a metal calibration weight that has a 
similar mass to that of the sample medium and meets the specifications 
for calibration weights in Sec.  1065.790. If you use filters, the 
weight's mass should be about (80 to 100) mg for typical 47 mm diameter 
filters.
    (4) Record the stable balance reading, then remove the calibration 
weight.
    (5) Weigh an unused sample, record the stable balance reading and 
record the balance environment's dewpoint, ambient temperature, and 
atmospheric pressure.
    (6) Reweigh the calibration weight and record the stable balance 
reading.
    (7) Calculate the arithmetic mean of the two calibration-weight 
readings that you recorded immediately before and after weighing the 
unused sample.

[[Page 956]]

Subtract that mean value from the unused sample reading, then add the 
true mass of the calibration weight as stated on the calibration-weight 
certificate. Record this result. This is the unused sample's tare weight 
without correcting for buoyancy.
    (8) Repeat these substitution-weighing steps for the remainder of 
your unused sample media.
    (9) Follow the instructions given in paragraphs (g) through (i) of 
this section.

    Effective Date Note: At 73 FR 37323, June 30, 2008, Sec.  1065.590 
was revised, effective July 7, 2008. For the convenience of the user, 
the revised text is set forth as follows:



Sec.  1065.590  PM sampling media (e.g., filters) preconditioning and 
          tare weighing.

    Before an emission test, take the following steps to prepare PM 
sampling media (e.g., filters) and equipment for PM measurements:
    (a) Make sure the balance and PM-stabilization environments meet the 
periodic verifications in Sec.  1065.390.
    (b) Visually inspect unused sample media (e.g., filters) for defects 
and discard defective media.
    (c) To handle PM sampling media (e.g., filters), use electrically 
grounded tweezers or a grounding strap, as described in Sec.  1065.190.
    (d) Place unused sample media (e.g., filters) in one or more 
containers that are open to the PM-stabilization environment. If you are 
using filters, you may place them in the bottom half of a filter 
cassette.
    (e) Stabilize sample media (e.g., filters) in the PM-stabilization 
environment. Consider an unused sample medium stabilized as long as it 
has been in the PM-stabilization environment for a minimum of 30 min, 
during which the PM-stabilization environment has been within the 
specifications of Sec.  1065.190.
    (f) Weigh the sample media (e.g., filters) automatically or 
manually, as follows:
    (1) For automatic weighing, follow the automation system 
manufacturer's instructions to prepare samples for weighing. This may 
include placing the samples in a special container.
    (2) For manual weighing, use good engineering judgment to determine 
if substitution weighing is necessary to show that an engine meets the 
applicable standard. You may follow the substitution weighing procedure 
in paragraph (j) of this section, or you may develop your own procedure.
    (g) Correct the measured mass of each sample medium (e.g., filter) 
for buoyancy as described in Sec.  1065.690. These buoyancy-corrected 
values are subsequently subtracted from the post-test mass of the 
corresponding sample media (e.g., filters) and collected PM to determine 
the mass of PM emitted during the test.
    (h) You may repeat measurements to determine the mean mass of each 
sample medium (e.g., filter). Use good engineering judgment to exclude 
outliers from the calculation of mean mass values.
    (i) If you use filters as sample media, load unused filters that 
have been tare-weighed into clean filter cassettes and place the loaded 
cassettes in a clean, covered or sealed container before removing them 
from the stabilization environment for transport to the test site for 
sampling. We recommend that you keep filter cassettes clean by 
periodically washing or wiping them with a compatible solvent applied 
using a lint-free cloth. Depending upon your cassette material, ethanol 
(C2H5OH) might be an acceptable solvent. Your cleaning frequency will 
depend on your engine's level of PM and HC emissions.
    (j) Substitution weighing involves measurement of a reference weight 
before and after each weighing of PM sampling media (e.g., filters). 
While substitution weighing requires more measurements, it corrects for 
a balance's zero-drift and it relies on balance linearity only over a 
small range. This is most advantageous when quantifying net PM masses 
that are less than 0.1% of the sample medium's mass. However, it may not 
be advantageous when net PM masses exceed 1% of the sample medium's 
mass. If you utilize substitution weighing, it must be used for both 
pre-test and post-test weighing. The same substitution weight must be 
used for both pre-test and post-test weighing. Correct the mass of the 
substitution weight for buoyancy if the density of the substitution 
weight is less than 2.0 g/cm\3\. The following steps are an example of 
substitution weighing:
    (1) Use electrically grounded tweezers or a grounding strap, as 
described in Sec.  1065.190.
    (2) Use a static neutralizer as described in Sec.  1065.190 to 
minimize static electric charge on any object before it is placed on the 
balance pan.
    (3) Select a substitution weight that meets the requirements for 
calibration weights found in Sec.  1065.790. The substitution weight 
must also have the same density as the weight you use to span the 
microbalance, and be similar in mass to an unused sample medium (e.g., 
filter). A 47 mm PTFE membrane filter will typically have a mass in the 
range of 80 to 100 mg.
    (4) Record the stable balance reading, then remove the calibration 
weight.
    (5) Weigh an unused sample medium (e.g., a new filter), record the 
stable balance reading and record the balance environment's dewpoint, 
ambient temperature, and atmospheric pressure.
    (6) Reweigh the calibration weight and record the stable balance 
reading.

[[Page 957]]

    (7) Calculate the arithmetic mean of the two calibration-weight 
readings that you recorded immediately before and after weighing the 
unused sample. Subtract that mean value from the unused sample reading, 
then add the true mass of the calibration weight as stated on the 
calibration-weight certificate. Record this result. This is the unused 
sample's tare weight without correcting for buoyancy.
    (8) Repeat these substitution-weighing steps for the remainder of 
your unused sample media.
    (9) Once weighing is completed, follow the instructions given in 
paragraphs (g) through (i) of this section.



Sec.  1065.595  PM sample post-conditioning and total weighing.

    (a) Make sure the weighing and PM-stabilization environments have 
met the periodic verifications in Sec.  1065.390.
    (b) In the PM-stabilization environment, remove PM samples from 
sealed containers. If you use filters, you may remove them from their 
cassettes before or after stabilization. When you remove a filter from a 
cassette, separate the top half of the cassette from the bottom half 
using a cassette separator designed for this purpose.
    (c) To handle PM samples, use electrically grounded tweezers or a 
grounding strap, as described in Sec.  1065.190.
    (d) Visually inspect PM samples. If PM ever contacts the transport 
container, cassette assembly, filter-separator tool, tweezers, static 
neutralizer, balance, or any other surface, void the measurements 
associated with that sample and clean the surface it contacted.
    (e) To stabilize PM samples, place them in one or more containers 
that are open to the PM-stabilization environment, which is described in 
Sec.  1065.190. A PM sample is stabilized as long as it has been in the 
PM-stabilization environment for one of the following durations, during 
which the stabilization environment has been within the specifications 
of Sec.  1065.190:
    (1) If you expect that a filter's total surface concentration of PM 
will be greater than about 0.473 mm/mm\2\, expose the filter to the 
stabilization environment for at least 60 minutes before weighing.
    (2) If you expect that a filter's total surface concentration of PM 
will be less than about 0.473 mm/mm\2\, expose the filter to the 
stabilization environment for at least 30 minutes before weighing.
    (3) If you are unsure of a filter's total surface concentration of 
PM, expose the filter to the stabilization environment for at least 60 
minutes before weighing.
    (f) Repeat the procedures in Sec.  1065.590(f) through (i) to weigh 
used PM samples. Refer to a sample's post-test mass, after correcting 
for buoyancy, as its total mass.
    (g) Subtract each buoyancy-corrected tare mass from its respective 
buoyancy-corrected total mass. The result is the net PM mass, mPM. Use 
mPM in emission calculations in Sec.  1065.650.

    Effective Date Note: At 73 FR 37323, June 30, 2008, Sec.  1065.595 
was revised, effective July 7, 2008. For the convenience of the user, 
the revised text is set forth as follows:



Sec.  1065.595  PM sample post-conditioning and total weighing.

    After testing is complete, return the sample media (e.g., filters) 
to the weighing and PM-stabilization environments.
    (a) Make sure the weighing and PM-stabilization environments meet 
the ambient condition specifications in Sec.  1065.190(e)(1). If those 
specifications are not met, leave the test sample media (e.g., filters) 
covered until proper conditions have been met.
    (b) In the PM-stabilization environment, remove PM samples from 
sealed containers. If you use filters, you may remove them from their 
cassettes before or after stabilization. We recommend always removing 
the top portion of the cassette before stabilization. When you remove a 
filter from a cassette, separate the top half of the cassette from the 
bottom half using a cassette separator designed for this purpose.
    (c) To handle PM samples, use electrically grounded tweezers or a 
grounding strap, as described in Sec.  1065.190.
    (d) Visually inspect the sampling media (e.g., filters) and 
collected particulate. If either the sample media (e.g., filters) or 
particulate sample appear to have been compromised, or the particulate 
matter contacts any surface other than the filter, the sample may not be 
used to determine particulate emissions. In the case of contact with 
another surface, clean the affected surface before continuing.
    (e) To stabilize PM samples, place them in one or more containers 
that are open to the PM-stabilization environment, as described in Sec.  
1065.190. If you expect that a sample medium's (e.g., filter's) total 
surface concentration of PM will be less than 400 [micro]g, assuming a 
38 mm diameter filter stain area, expose

[[Page 958]]

the filter to a PM-stabilization environment meeting the specifications 
of Sec.  1065.190 for at least 30 minutes before weighing. If you expect 
a higher PM concentration or do not know what PM concentration to 
expect, expose the filter to the stabilization environment for at least 
60 minutes before weighing. Note that 400 [micro]g on sample media 
(e.g., filters) is an approximate net mass of 0.07 g/kW[middot]hr for a 
hot-start test with compression-ignition engines tested according to 40 
CFR part 86, subpart N, or 50 mg/mile for light-duty vehicles tested 
according to 40 CFR part 86, subpart B.
    (f) Repeat the procedures in Sec.  1065.590(f) through (i) to 
determine post-test mass of the sample media (e.g., filters).
    (g) Subtract each buoyancy-corrected tare mass of the sample medium 
(e.g., filter) from its respective buoyancy-corrected mass. The result 
is the net PM mass, mPM. Use mPM in emission 
calculations in Sec.  1065.650.



              Subpart G_Calculations and Data Requirements



Sec.  1065.601  Overview.

    (a) This subpart describes how to--
    (1) Use the signals recorded before, during, and after an emission 
test to calculate brake-specific emissions of each regulated 
constituent.
    (2) Perform calculations for calibrations and performance checks.
    (3) Determine statistical values.
    (b) You may use data from multiple systems to calculate test results 
for a single emission test, consistent with good engineering judgment. 
You may not use test results from multiple emission tests to report 
emissions. We allow weighted means where appropriate. You may discard 
statistical outliers, but you must report all results.
    (c) You may use any of the following calculations instead of the 
calculations specified in this subpart G:
    (1) Mass-based emission calculations prescribed by the International 
Organization for Standardization (ISO), according to ISO 8178.
    (2) Other calculations that you show are equivalent to within 0.1% of the brake-specific emission results determined 
using the calculations specified in this subpart G.

    Effective Date Note: At 73 FR 37324, June 30, 2008, Sec.  1065.601 
was amended by revising pargraph (c)(1), effective July 7, 2008. For the 
convenience of the user, the revised text is set forth as follows:



Sec.  1065.601  Overview.

                                * * * * *

    (c) * * *
    (1) Mass-based emission calculations prescribed by the International 
Organization for Standardization (ISO), according to ISO 8178, except 
the following:
    (i) ISO 8178-1 Section 14.4, NOX Correction for Humidity 
and Temperature. See Sec.  1065.670 for approved methods for humidity 
corrections.
    (ii) ISO 8178-1 Section 15.1, Particulate Correction Factor for 
Humidity.

                                * * * * *



Sec.  1065.602  Statistics.

    (a) Overview. This section contains equations and example 
calculations for statistics that are specified in this part. In this 
section we use the letter ``y'' to denote a generic measured quantity, 
the superscript over-bar ``-`` to denote an arithmetic mean, 
and the subscript ``ref'' to denote the reference quantity 
being measured.
    (b) Arithmetic mean. Calculate an arithmetic mean, y, as follows:
    [GRAPHIC] [TIFF OMITTED] TR13JY05.022
    
Example:

N = 3
y1 = 10.60
y2 = 11.91
yN = y3 = 11.09
[GRAPHIC] [TIFF OMITTED] TR13JY05.023

y = 11.20

    (c) Standard deviation. Calculate the standard deviation for a non-
biased (e.g., N-1) sample, [sigma], as follows:
[GRAPHIC] [TIFF OMITTED] TR13JY05.024

Example:

N = 3
y1 = 10.60
y2 = 11.91

[[Page 959]]

yN = y3 = 11.09
y = 11.20
[GRAPHIC] [TIFF OMITTED] TR13JY05.025

[sigma]y = 0.6619

    (d) Root mean square. Calculate a root mean square, rmsy, 
as follows:
[GRAPHIC] [TIFF OMITTED] TR13JY05.026

Example:

N = 3
y1 = 10.60
y2 = 11.91
yN = y3 = 11.09
[GRAPHIC] [TIFF OMITTED] TR13JY05.027

rmsy = 11.21

    (e) Accuracy. Calculate an accuracy, as follows, noting that the yi 
are arithmetic means, each determined by repeatedly measuring one sample 
of a single reference quantity, yref:
[GRAPHIC] [TIFF OMITTED] TR13JY05.028

Example:

yref = 1800.0
N = 10
[GRAPHIC] [TIFF OMITTED] TR13JY05.029

accuracy = [bond] 1800.0 - 1802.5 [bond]
accuracy = 2.5

    (f) t-test. Determine if your data passes a t-test by using the 
following equations and tables:
    (1) For an unpaired t-test, calculate the t statistic and its number 
of degrees of freedom, [nu], as follows:
[GRAPHIC] [TIFF OMITTED] TR13JY05.030

[GRAPHIC] [TIFF OMITTED] TR13JY05.031

Example:

yref = 1205.3
y = 1123.8
[sigma]ref = 9.399
[sigma]y = 10.583
Nref = 11
N= 7
[GRAPHIC] [TIFF OMITTED] TR13JY05.032

t = 16.63
[sigma]ref = 9.399
[sigma]y = 10.583
Nref = 11
N = 7

[[Page 960]]

[GRAPHIC] [TIFF OMITTED] TR13JY05.033

[nu] = 11.76

    (2) For a paired t-test, calculate the t statistic and its number of 
degrees of freedom, [nu], as follows, noting that the [epsi]i are the 
errors (e.g., differences) between each pair of yrefi and yi:
[GRAPHIC] [TIFF OMITTED] TR13JY05.034

Example:

[epsi] = -0.12580
N = 16
[sigma][epsi] = 0.04837
[GRAPHIC] [TIFF OMITTED] TR13JY05.035

t = 10.403
[nu] = N - 1

Example:

N = 16
[nu] = 16 - 1
[nu] = 15

    (3) Use Table 1 of this section to compare t to the tcrit 
values tabulated versus the number of degrees of freedom. If t is less 
than tcrit, then t passes the t-test.

 Table 1 of Sec.   1065.602--Critical t Values Versus Number of Degrees
                          of Freedom, [nu] \1\
------------------------------------------------------------------------
                                                         Confidence
                       [nu]                        ---------------------
                                                       90%        95%
------------------------------------------------------------------------
1.................................................      6.314     12.706
2.................................................      2.920      4.303
3.................................................      2.353      3.182
4.................................................      2.132      2.776
5.................................................      2.015      2.571
6.................................................      1.943      2.447
7.................................................      1.895      2.365
8.................................................      1.860      2.306
9.................................................      1.833      2.262
10................................................      1.812      2.228
11................................................      1.796      2.201
12................................................      1.782      2.179
13................................................      1.771      2.160
14................................................      1.761      2.145
15................................................      1.753      2.131
16................................................      1.746      2.120
18................................................      1.734      2.101
20................................................      1.725      2.086
22................................................      1.717      2.074
24................................................      1.711      2.064
26................................................      1.706      2.056
28................................................      1.701      2.048
30................................................      1.697      2.042
35................................................      1.690      2.030
40................................................      1.684      2.021
50................................................      1.676      2.009
70................................................      1.667      1.994
100...............................................      1.660      1.984
1000+.............................................      1.645      1.960
------------------------------------------------------------------------
\1\ Use linear interpolation to establish values not shown here.

    (g) F-test. Calculate the F statistic as follows:
    [GRAPHIC] [TIFF OMITTED] TR13JY05.036
    
Example:
[GRAPHIC] [TIFF OMITTED] TR13JY05.037

[GRAPHIC] [TIFF OMITTED] TR13JY05.038


[[Page 961]]


[GRAPHIC] [TIFF OMITTED] TR13JY05.039

F = 1.268

    (1) For a 90% confidence F-test, use Table 2 of this section to 
compareF to the Fcrit90 values tabulated versus (N-1) and 
(Nref-1). If F is less than Fcrit90, then F passes 
the F-test at 90% confidence.
    (2) For a 95% confidence F-test, use Table 3 of this section to 
compare F to the Fcrit95 values tabulated versus (N-1) and 
(Nref-1). If F is less than Fcrit95, then F passes 
the F-test at 95% confidence.

[[Page 962]]

[GRAPHIC] [TIFF OMITTED] TR13JY05.017


[[Page 963]]


[GRAPHIC] [TIFF OMITTED] TR13JY05.018

    (h) Slope. Calculate a least-squares regression slope, 
a1y, as follows:

[[Page 964]]

[GRAPHIC] [TIFF OMITTED] TR13JY05.040

Example:

N = 6000
y1 = 2045.8
y = 1051.1
yref 1 = 2045.0
yref = 1055.3
[GRAPHIC] [TIFF OMITTED] TR13JY05.041

a1y = 1.0110

    (i) Intercept. Calculate a least-squares regression intercept, 
a0y, as follows:
[GRAPHIC] [TIFF OMITTED] TR13JY05.042

Example:

y = 1050.1
a1y = 1.0110
yref = 1055.3
a0y = 1050.1 - (1.0110 [middot] 1055.3)
a0y = -16.8083

    (j) Standard estimate of error. Calculate a standard estimate of 
error, SEE, as follows:
[GRAPHIC] [TIFF OMITTED] TR13JY05.043

Example:

N = 6000
y1 = 2045.8
a0y = -16.8083
a1y = 1.0110
yrefi= 2045.0
[GRAPHIC] [TIFF OMITTED] TR13JY05.044

SEEy = 5.348

    (k) Coefficient of determination. Calculate a coefficient of 
determination, r\2\, as follows:

[[Page 965]]

[GRAPHIC] [TIFF OMITTED] TR13JY05.045

Example:

N = 6000
y1 = 2045.8
a0y = -16.8083
a1y = 1.0110
yrefi = 2045.0
y = 1480.5
[GRAPHIC] [TIFF OMITTED] TR13JY05.046

[GRAPHIC] [TIFF OMITTED] TR13JY05.174

    (l) Flow-weighted mean concentration. In some sections of this part, 
you may need to calculate a flow-weighted mean concentration to 
determine the applicability of certain provisions. A 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 of each recorded concentration 
times its respective exhaust molar flow rate, divided by the sum of the 
recorded flow rate values. 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. You 
might already expect a certain flow-weighted mean concentration of an 
emission at its standard based on previous testing with similar engines 
or testing with similar equipment and instruments. If you need to 
estimate your expected flow-weighted mean concentration of an emission 
at its standard, we recommend using the following examples as a guide 
for how to estimate the flow-weighted mean concentration expected at the 
standard. Note that these examples are not exact and that they contain 
assumptions that are not always valid. Use good engineering judgement to 
determine if you can use similar assumptions.
    (1) To estimate the flow-weighted mean raw exhaust NOX 
concentration from a turbocharged heavy-duty compression-ignition engine 
at a NOX standard of 2.5 g/(kW[middot]hr), you may do the 
following:
    (i) Based on your engine design, approximate a map of maximum torque 
versus speed and use it with the applicable normalized duty cycle in the 
standard-setting part to generate a reference duty cycle as described in 
Sec.  1065.610. Calculate the total reference work, Wref, as 
described in Sec.  1065.650. Divide the reference work by the duty 
cycle's time interval, [Delta]tdutycycle, to determine mean 
reference power, Pref.
    (ii) Based on your engine design, estimate maximum power, 
Pmax, the design speed at maximum power, fnmax, 
the design maximum intake manifold boost pressure, pinmax, 
and temperature, Tinmax. Also, estimate a mean fraction of 
power that is lost due to friction and pumping, Pfrict. Use 
this information along with the engine displacement volume, 
Vdisp, an approximate volumetric efficiency, 
[eta]V, and the number of engine strokes per power stroke (2-
stroke or 4-stroke), Nstroke to estimate the maximum raw 
exhaust molar flow rate, nexhmax.
    (iii) Use your estimated values as described in the following 
example calculation:

[[Page 966]]

[GRAPHIC] [TIFF OMITTED] TR13JY05.047

[GRAPHIC] [TIFF OMITTED] TR13JY05.048

Example:

eNOX = 2.5 g/(kW [middot] hr)
Wref = 11.883 kW [middot] hr
MNOX = 46.0055 g/mol = 46.0055 [middot] 10-6 g/
[micro]mol
[Delta]tdutycycle = 20 min = 1200 s
Pref = 35.65 kW
Pfrict = 15%
Pmax = 125 kW

pmax = 300 kPa = 300000 Pa
Vdisp = 3.011 = 0.0030 m\3\
fnmax = 2800 rev/min = 46.67 rev/s
Nstroke = 4 1/rev
[eta]V = 0.9
R = 8.314472 J/(mol[middot]K)
Tmax = 348.15 K
[GRAPHIC] [TIFF OMITTED] TR13JY05.049

nexhmax = 6.53 mol/s
[GRAPHIC] [TIFF OMITTED] TR13JY05.050

xexp = 189.4 [micro]mol/mol

    (2) To estimate the flow-weighted mean NMHC concentration in a CVS 
from a naturally aspirated nonroad spark-ignition engine at an NMHC 
standard of 0.5 g/(kW[middot]hr), you may do the following:
    (i) Based on your engine design, approximate a map of maximum torque 
versus speed and use it with the applicable normalized duty cycle in the 
standard-setting part to generate a reference duty cycle as described in 
Sec.  1065.610. Calculate the total reference work, Wref, as 
described in Sec.  1065.650.
    (ii) Multiply your CVS total molar flow rate by the time interval of 
the duty cycle, [Delta]tdutycycle. The result is the total 
diluted exhaust flow of the ndexh.
    (iii) Use your estimated values as described in the following 
example calculation:
[GRAPHIC] [TIFF OMITTED] TR13JY05.051

Example:

eNMHC = 1.5 g/(kW[middot]hr)
Wref = 5.389 kW[middot]hr
MNMHC = 13.875389 g/mol = 13.875389 [middot] 10-6 
g/[micro]mol
ndexh = 6.021 mol/s
[Delta]tdutycycle = 30 min = 1800 s
[GRAPHIC] [TIFF OMITTED] TR13JY05.052

xNMHC = 53.8 [micro]mol/mol

    Effective Date Note: At 73 FR 37324, June 30, 2008, Sec.  1065.602 
was amended by revising

[[Page 967]]

paragraphs (f)(3) before the table, and (l) introductory text, effective 
July 7, 2008. For the convenience of the user, the revised text is set 
forth as follows:



Sec.  1065.602  Statistics.

                                * * * * *

    (f) * * *
    (3) Use Table 1 of this section to compare t to the tcrit 
values tabulated versus the number of degrees of freedom. If t is less 
than tcrit, then t passes the t-test. The Microsoft Excel 
software package contains a TINV function that returns results 
equivalent to Sec.  1065.602 Table 1 and may be used in place of Table 
1.

                                * * * * *

    (l) Flow-weighted mean concentration. In some sections of this part, 
you may need to calculate a flow-weighted mean concentration to 
determine the applicability of certain provisions. A 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 of each recorded concentration 
times its respective exhaust molar flow rate, divided by the sum of the 
recorded flow rate values. 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. You 
might already expect a certain flow-weighted mean concentration of an 
emission at its standard based on previous testing with similar engines 
or testing with similar equipment and instruments. If you need to 
estimate your expected flow-weighted mean concentration of an emission 
at its standard, we recommend using the following examples as a guide 
for how to estimate the flow-weighted mean concentration expected at the 
standard. Note that these examples are not exact and that they contain 
assumptions that are not always valid. Use good engineering judgment to 
determine if you can use similar assumptions.

                                * * * * *



Sec.  1065.610  Duty cycle generation.

    This section describes how to generate duty cycles that are specific 
to your engine, based on the normalized duty cycles in the standard-
setting part. During an emission test, use a duty cycle that is specific 
to your engine to command engine speed, torque, and power, as 
applicable, using an engine dynamometer and an engine operator demand. 
Paragraph (a) of this section describes how to ``normalize'' your 
engine's map to determine the maximum test speed and torque for your 
engine. The rest of this section describes how to use these values to 
``denormalize'' the duty cycles in the standard-setting parts, which are 
all published on a normalized basis. Thus, the term ``normalized'' in 
paragraph (a) of this section refers to different values than it does in 
the rest of the section.
    (a) Maximum test speed, fntest. This section generally applies to 
duty cycles for variable-speed engines. For constant-speed engines 
subject to duty cycles that specify normalized speed commands, use the 
no-load governed speed as the measured fntest. This is the 
highest engine speed where an engine outputs zero torque. For variable-
speed engines, determine the measured fntest from the power-
versus-speed map, generated according to Sec.  1065.510, as follows:
    (1) Based on the map, determine maximum power, Pmax, and 
the speed at which maximum power occurred, fnPmax. Divide 
every recorded power by Pmax and divide every recorded speed 
by fnPmax. The result is a normalized power-versus-speed map. 
Your measured fntest is the speed at which the sum of the 
squares of normalized speed and power is maximum, as follows:
[GRAPHIC] [TIFF OMITTED] TR13JY05.053

Where:

fntest = maximum test speed.
i = an indexing variable that represents one recorded value of an engine 
map.
fnnormi = an engine speed normalized by dividing it by 
fnPmax.
Pnormi = an engine power normalized by dividing it by 
Pmax.


[[Page 968]]


Example:

(fnnorm1 = 1.002, Pnorm1 = 0.978, fn1 = 
2359.71)
(fnnorm2 = 1.004, Pnorm2 = 0.977, fn2 = 
2364.42)
(fnnorm3 = 1.006, Pnorm3 = 0.974, fn3 = 
2369.13)
(fnnorm1\2\ + Pnorm1\2\) = (1.002\2\ + 0.978\2\) = 
1.960
(fnnorm1\2\ + Pnorm1\2\) = (1.004\2\ + 0.977\2\) = 
1.963
(fnnorm1\2\ + Pnorm1\2\) = (1.006\2\ + 0.974\2\) = 
1.961
maximum = 1.963 at i = 2
fntest = 2364.42 rev/min

    (2) For variable-speed engines, transform normalized speeds to 
reference speeds according to paragraph (c) of this section by using the 
measured maximum test speed determined according to paragraph (a)(1) of 
this section--or use your declared maximum test speed, as allowed in 
Sec.  1065.510.
    (3) For constant-speed engines, transform normalized speeds to 
reference speeds according to paragraph (c) of this section by using the 
measured no-load governed--speed or use your declared maximum test 
speed, as allowed in Sec.  1065.510.
    (b) Maximum test torque, Ttest. For constant-speed 
engines, determine the measured Ttest from the power-versus-
speed map, generated according to Sec.  1065.510, as follows:
    (1) Based on the map, determine maximum power, Pmax, and 
the speed at which maximum power occurs, fnPmax. Divide every 
recorded power by Pmax and divide every recorded speed by 
fnPmax. The result is a normalized power-versus-speed map. 
Your measured Ttest is the speed at which the sum of the 
squares of normalized speed and power is maximum, as follows:
[GRAPHIC] [TIFF OMITTED] TR13JY05.054

Where:

Ttest = maximum test torque.

Example:

(fnnorm1 = 1.002, Pnorm1 = 0.978, T1 = 
722.62 N [middot] m)
(fnnorm2 = 1.004, Pnorm2 = 0.977, T2 = 
720.44 N [middot] m)
(fnnorm3 = 1.006, Pnorm3 = 0.974, T3 = 
716.80 N [middot] m)
(fnnorm1\2\ + Pnorm1\2\) = (1.0022 + 
0.9782) = 1.960
(fnnorm1\2\ + Pnorm1\2\) = (1.004\2\ + 0.977\2\) = 
1.963
(fnnorm1\2\ + Pnorm1\2\) = (1.006\2\ + 0.974\2\) = 
1.961
maximum = 1.963 at i = 2
Ttest = 720.44 Nm

    (2) Transform normalized torques to reference torques according to 
paragraph (d) of this section by using the measured maximum test torque 
determined according to paragraph (b)(1) of this section--or use your 
declared maximum test torque, as allowed in Sec.  1065.510.
    (c) Generating reference speed values from normalized duty cycle 
speeds. Transform normalized speed values to reference values as 
follows:
    (1) % speed. If your normalized duty cycle specifies % speed values, 
use your declared warm idle speed and your maximum test speed to 
transform the duty cycle, as follows:
[GRAPHIC] [TIFF OMITTED] TR13JY05.055

Example:

% speed = 85 %
fntest = 2364 rev/min
fnidle = 650 rev/min
fnref = 85 % [middot] (2364 650 ) + 650
fnref = 2107 rev/min

    (2) A, B, and C speeds. If your normalized duty cycle specifies 
speeds as A, B, or C values, use your power-versus-speed curve to 
determine the lowest speed below maximum power at which 50 % of maximum 
power occurs. Denote this value as nlo. Also determine the 
highest speed above maximum power at which 70 % of maximum power occurs. 
Denote this value as nhi Use nhi and 
nlo to calculate reference values for A, B, or C speeds as 
follows:

[[Page 969]]

[GRAPHIC] [TIFF OMITTED] TR13JY05.056

Example:

nlo = 1005 rev/min
nhi = 2385 rev/min
fnrefA = 0.25 [middot] (2385 1005) + 1005
fnrefB = 0.50 [middot] (2385 1005) + 1005
fnrefC = 0.75 [middot] (2385 1005) + 1005
fnrefA = 1350 rev/min
fnrefB = 1695 rev/min
fnrefC = 2040 rev/min

    (3) Intermediate speed. If your normalized duty cycle specifies a 
speed as ``intermediate speed,'' use your torque-versus-speed curve to 
determine the speed at which maximum torque occurs. This is peak torque 
speed. Identify your reference intermediate speed as one of the 
following values:
    (i) Peak torque speed if it is between (60 and 75) % of maximum test 
speed.
    (ii) 60% of maximum test speed if peak torque speed is less than 60% 
of maximum test speed.
    (iii) 75% of maximum test speed if peak torque speed is greater than 
75% of maximum test speed.
    (d) Generating reference torques from normalized duty-cycle torques. 
Transform normalized torques to reference torques using your map of 
maximum torque versus speed.
    (1) Reference torque for variable-speed engines. For a given speed 
point, multiply the corresponding % torque by the maximum torque at that 
speed, according to your map. Linearly interpolate mapped torque values 
to determine torque between mapped speeds. The result is the reference 
torque for each speed point.
    (2) Reference torque for constant-speed engines. Multiply a % torque 
value by your maximum test torque. The result is the reference torque 
for each point. Note that if your constant-speed engine is subject to 
duty cycles that specify normalized speed commands, use the provisions 
of paragraph (d)(1) of this section to transform your normalized torque 
values.
    (3) Permissible deviations for any engine. If your engine does not 
operate below a certain minimum torque under normal in-use conditions, 
you may use a declared minimum torque as the reference value instead of 
any value denormalized to be less than the declared value. For example, 
if your engine is connected to an automatic transmission, it may have a 
minimum torque called curb idle transmission torque (CITT). In this 
case, at idle conditions (i.e., 0% speed, 0% torque), you may use CITT 
as a reference value instead of 0 N[middot]m.
    (e) Generating reference power values from normalized duty cycle 
powers. Transform normalized power values to reference speed and power 
values using your map of maximum power versus speed.
    (1) First transform normalized speed values into reference speed 
values. For a given speed point, multiply the corresponding % power by 
the maximum test power defined in the standard-setting part. The result 
is the reference power for each speed point. You may calculate a 
corresponding reference torque for each point and command that reference 
torque instead of a reference power.
    (2) If your engine does not operate below a certain power under 
normal in-use conditions, you may use a declared minimum power as the 
reference value instead of any value denormalized to be less than the 
declared value. For example, if your engine is directly connected to a 
propeller, it may have a minimum power called idle power. In this case, 
at idle conditions (i.e., 0%

[[Page 970]]

speed, 0% power), you may use a corresponding idle power as a reference 
power instead of 0 kW.

    Effective Date Note: At 73 FR 37324, June 30, 2008, Sec.  1065.610 
was revised, effective July 7, 2008. For the convenience of the user, 
the revised text is set forth as follows:



Sec.  1065.610  Duty cycle generation.

    This section describes how to generate duty cycles that are specific 
to your engine, based on the normalized duty cycles in the standard-
setting part. During an emission test, use a duty cycle that is specific 
to your engine to command engine speed, torque, and power, as 
applicable, using an engine dynamometer and an engine operator demand. 
Paragraph (a) of this section describes how to ``normalize'' your 
engine's map to determine the maximum test speed and torque for your 
engine. The rest of this section describes how to use these values to 
``denormalize'' the duty cycles in the standard-setting parts, which are 
all published on a normalized basis. Thus, the term ``normalized'' in 
paragraph (a) of this section refers to different values than it does in 
the rest of the section.
    (a) Maximum test speed, fntest. This section generally 
applies to duty cycles for variable-speed engines. For constant-speed 
engines subject to duty cycles that specify normalized speed commands, 
use the no-load governed speed as the measured fntest. This 
is the highest engine speed where an engine outputs zero torque. For 
variable-speed engines, determine the measured fntest from 
the power-versus-speed map, generated according to Sec.  1065.510, as 
follows:
    (1) Based on the map, determine maximum power, Pmax, and 
the speed at which maximum power occurred, fnPmax. Divide 
every recorded power by Pmax and divide every recorded speed 
by fnPmax. The result is a normalized power-versus-speed map. 
Your measured fntest is the speed at which the sum of the 
squares of normalized speed and power is maximum, as follows:

fntest = fni at the maximum of 
(fnnormi\2\ + Pnormi\2\)

Eq. 1065.610-1

Where:

fntest = maximum test speed.
i = an indexing variable that represents one recorded value of an engine 
          map.
fnnormi = an engine speed normalized by dividing it by 
          fnPmax.
Pnormi = an engine power normalized by dividing it by 
          Pmax.

Example:

(fnnorm1 = 1.002, Pnorm1 = 0.978, fn1 = 
          2359.71)
(fnnorm2 = 1.004, Pnorm2 = 0.977, fn2 = 
          2364.42)
(fnnorm3 = 1.006, Pnorm3 = 0.974, fn3 = 
          2369.13)
(fnnorm12 + Pnorm1\2\) = (1.002\2\ + 
          0.978\2\) = 1.960
(fnnorm2\2\ + Pnorm2\2\) = (1.004\2\ + 0.977\2\) = 
          1.963
(fnnorm3\2\ + Pnorm3\2\) = (1.006\2\ + 0.974\2\) = 
          1.961
maximum = 1.963 at i = 2
fntest = 2364.42 rev/min

    (2) For variable-speed engines, transform normalized speeds to 
reference speeds according to paragraph (c) of this section by using the 
measured maximum test speed determined according to paragraph (a)(1) of 
this section--or use your declared maximum test speed, as allowed in 
Sec.  1065.510.
    (3) For constant-speed engines, transform normalized speeds to 
reference speeds according to paragraph (c) of this section by using the 
measured no-load governed speed--or use your declared maximum test 
speed, as allowed in Sec.  1065.510.
    (b) Maximum test torque, Ttest. For constant-speed 
engines, determine the measured Ttest from the power-versus-
speed map, generated according to Sec.  1065.510, as follows:
    (1) Based on the map, determine maximum power, Pmax, and 
the speed at which maximum power occurs, fnPmax. Divide every 
recorded power by Pmax and divide every recorded speed by 
fnPmax. The result is a normalized power-versus-speed map. 
Your measured Ttest is the torque at which the sum of the 
squares of normalized speed and power is maximum, as follows:

Ttest = Ti at the maximum of 
(fnnormi\2\ + Pnormi\2\)

Eq. 1065.610-2

Where:

Ttest = maximum test torque.

Example:
(fnnorm1 = 1.002, Pnorm1 = 0.978, T1 = 
          722.62 N[middot]m)
(fnnorm2 = 1.004, Pnorm2 = 0.977, T2 = 
          720.44 N[middot]m)
(fnnorm3 = 1.006, Pnorm3 = 0.974, T3 = 
          716.80 N[middot]m)
(fnnorm1\2\ + Pnorm1\2\) = (1.002\2\ + 0.978\2\) = 
          1.960
(fnnorm1\2\ + Pnorm1\2\) = (1.004\2\ + 0.977\2\) = 
          1.963
(fnnorm1\2\ + Pnorm1\2\) = (1.006\2\ + 0.974\2\) = 
          1.961
maximum = 1.963 at i = 2
Ttest = 720.44 N[middot]m

    (2) Transform normalized torques to reference torques according to 
paragraph (d) of this section by using the measured maximum test torque 
determined according to paragraph (b)(1) of this section--or use your 
declared maximum test torque, as allowed in Sec.  1065.510.
    (c) Generating reference speed values from normalized duty cycle 
speeds. Transform normalized speed values to reference values as 
follows:
    (1) % speed. If your normalized duty cycle specifies % speed values, 
use your warm idle speed and your maximum test speed to transform the 
duty cycle, as follows:

fnref = % speed [middot] (fntest - 
fnidle) + fnidle

Eq. 1065.610-3

Example:

% speed = 85%
fntest = 2364 rev/min
fnidle = 650 rev/min

[[Page 971]]

fnref = 85% [middot] (2364-650 ) + 650
fnref = 2107 rev/min

    (2) A, B, and C speeds. If your normalized duty cycle specifies 
speeds as A, B, or C values, use your power-versus-speed curve to 
determine the lowest speed below maximum power at which 50% of maximum 
power occurs. Denote this value as nlo. Take nlo 
to be warm idle speed if all power points at speeds below the maximum 
power speed are higher than 50% of maximum power. Also determine the 
highest speed above maximum power at which 70% of maximum power occurs. 
Denote this value as nhi. If all power points at speeds above 
the maximum power speed are higher than 70% of maximum power, take 
nhi to be the declared maximum safe engine speed or the 
declared maximum representative engine speed, whichever is lower. Use 
nhi and nlo to calculate reference values for A, 
B, or C speeds as follows:
fnrefA = 0.25 [middot] (nhi - nlo) + 
nlo

Eq. 1065.610-4

fnrefB = 0.50 [middot] (nhi - nnlo) + 
nlo

Eq. 1065.610-5
fnrefC = 0.75 [middot] (nhi - nlo) + 
nlo
Eq. 1065.610-6

Example:

nlo = 1005 rev/min
nhi = 2385 rev/min
fnrefA = 0.25 [middot] (2385-1005) + 1005
fnrefB = 0.50 [middot] (2385-1005) + 1005
fnrefC = 0.75 [middot] (2385-1005) + 1005
fnrefA = 1350 rev/min
fnrefB = 1695 rev/min
fnrefC = 2040 rev/min

    (3) Intermediate speed. If your normalized duty cycle specifies a 
speed as ``intermediate speed,'' use your torque-versus-speed curve to 
determine the speed at which maximum torque occurs. This is peak torque 
speed. Identify your reference intermediate speed as one of the 
following values:
    (i) Peak torque speed if it is between (60 and 75)% of maximum test 
speed.
    (ii) 60% of maximum test speed if peak torque speed is less than 60% 
of maximum test speed.
    (iii) 75% of maximum test speed if peak torque speed is greater than 
75% of maximum test speed.
    (d) Generating reference torques from normalized duty-cycle torques. 
Transform normalized torques to reference torques using your map of 
maximum torque versus speed.
    (1) Reference torque for variable-speed engines. For a given speed 
point, multiply the corresponding % torque by the maximum torque at that 
speed, according to your map. If your engine is subject to a reference 
duty cycle that specifies negative torque values (i.e., engine 
motoring), use negative torque for those motoring points (i.e., the 
motoring torque). If you map negative torque as allowed under Sec.  
1065.510 (c)(2) and the low-speed governor activates, resulting in 
positive torques, you may replace those positive motoring mapped torques 
with negative values between zero and the largest negative motoring 
torque. For both maximum and motoring torque maps, linearly interpolate 
mapped torque values to determine torque between mapped speeds. If the 
reference speed is below the minimum mapped speed (i.e., 95% of idle 
speed or 95% of lowest required speed, whichever is higher), use the 
mapped torque at the minimum mapped speed as the reference torque. The 
result is the reference torque for each speed point.
    (2) Reference torque for constant-speed engines. Multiply a % torque 
value by your maximum test torque. The result is the reference torque 
for each point.
    (3) Required deviations. We require the following deviations for 
variable-speed engines intended primarily for propulsion of a vehicle 
with an automatic transmission where that engine is subject to a 
transient duty cycle with idle operation. These deviations are intended 
to produce a more representative transient duty cycle for these 
applications. For steady-state duty cycles or transient duty cycles with 
no idle operation, these requirements do not apply. Idle points for 
steady state duty cycles of such engines are to be run at conditions 
simulating neutral or park on the transmission.
    (i) Zero-percent speed is the warm idle speed measured according to 
Sec.  1065.510(b)(6) with CITT applied, i.e., measured warm idle speed 
in drive.
    (ii) If the cycle begins with a set of contiguous idle points (zero-
percent speed, and zero-percent torque), leave the reference torques set 
to zero for this initial contiguous idle segment. This is to represent 
free idle operation with the transmission in neutral or park at the 
start of the transient duty cycle, after the engine is started. If the 
initial idle segment is longer than 24 s, change the reference torques 
for the remaining idle points in the initial contiguous idle segment to 
CITT (i.e., change idle points corresponding to 25 s to the end of the 
initial idle segment to CITT). This is to represent shifting the 
transmission to drive.
    (iii) For all other idle points, change the reference torque to 
CITT. This is to represent the transmission operating in drive.
    (iv) If the engine is intended primarily for automatic transmissions 
with a Neutral-When-Stationary feature that automatically shifts the 
transmission to neutral after the vehicle is stopped for a designated 
time and automatically shifts back to drive when the operator increases 
demand (i.e., pushes the accelerator pedal), change the reference torque 
back to zero for idle points in drive after the designated time.
    (v) For all points with normalized speed at or below zero percent 
and reference torque

[[Page 972]]

from zero to CITT, set the reference torque to CITT. This is to provide 
smoother torque references below idle speed.
    (vi) For motoring points, make no changes.
    (vii) For consecutive points with reference torques from zero to 
CITT that immediately follow idle points, change their reference torques 
to CITT. This is to provide smooth torque transition out of idle 
operation. This does not apply if the Neutral-When-Stationary feature is 
used and the transmission has shifted to neutral.
    (viii) For consecutive points with reference torque from zero to 
CITT that immediately precede idle points, change their reference 
torques to CITT. This is to provide smooth torque transition into idle 
operation.
    (4) Permissible deviations for any engine. If your engine does not 
operate below a certain minimum torque under normal in-use conditions, 
you may use a declared minimum torque as the reference value instead of 
any value denormalized to be less than the declared value. For example, 
if your engine is connected to a hydrostatic transmission and it has a 
minimum torque even when all the driven hydraulic actuators and motors 
are stationary and the engine is at idle, then you may use this declared 
minimum torque as a reference torque value instead of any reference 
torque value generated under paragraph (d)(1) or (2) of this section 
that is between zero and this declared minimum torque.
    (e) Generating reference power values from normalized duty cycle 
powers. Transform normalized power values to reference speed and power 
values using your map of maximum power versus speed.
    (1) First transform normalized speed values into reference speed 
values. For a given speed point, multiply the corresponding % power by 
the mapped power at maximum test speed, fntest, unless 
specified otherwise by the standard-setting part. The result is the 
reference power for each speed point, Pref. Convert these 
reference powers to corresponding torques for operator demand and 
dynamometer control and for duty cycle validation per 1065.514. Use the 
reference speed associated with each reference power point for this 
conversion. As with cycles specified with % torque, linearly interpolate 
between these reference torque values generated from cycles with % 
power.
    (2) Permissible deviations for any engine. If your engine does not 
operate below a certain power under normal in-use conditions, you may 
use a declared minimum power as the reference value instead of any value 
denormalized to be less than the declared value. For example, if your 
engine is directly connected to a propeller, it may have a minimum power 
called idle power. In this case, you may use this declared minimum power 
as a reference power value instead of any reference power value 
generated per paragraph (e)(1) of this section that is from zero to this 
declared minimum power.



Sec.  1065.630  1980 international gravity formula.

    The acceleration of Earth's gravity, ag, varies depending 
on your location. Calculate ag at your latitude, as follows:
[GRAPHIC] [TIFF OMITTED] TR13JY05.059

Where:

[thetas] = Degrees north or south latitude.

Example:

[thetas] = 45[deg]
ag = 9.7803267715 [middot] (1+
5.2790414 [middot] 10-3 [middot] sin\2\ (45) +
2.32718 [middot] 10-5 [middot]sin \4\ (45) +
1.262 [middot] 10-7 [middot]sin \6\ (45) +
7 [middot] 10-10 [middot]sin \8\ (45)
ag = 9.8178291229 m/s\2\



Sec.  1065.640  Flow meter calibration calculations.

    This section describes the calculations for calibrating various flow 
meters. After you calibrate a flow meter using these calculations, use 
the calculations described in Sec.  1065.642 to calculate flow during an 
emission test. Paragraph (a) of this section first describes how to 
convert reference flow meter outputs for use in the calibration 
equations, which are presented on a molar basis. The remaining 
paragraphs describe the calibration calculations that are specific to 
certain types of flow meters.
    (a) Reference meter conversions. The calibration equations in this 
section use molar flow rate, nref, as a reference quantity. If your 
reference meter outputs a flow rate in a different quantity, such as 
standard volume rate, Vstdref, actual volume rate, Vactref, or mass 
rate, mref, convert your reference meter output to a molar flow rate 
using the following equations, noting that while values for volume rate, 
mass rate, pressure, temperature, and molar mass may change during an 
emission test,

[[Page 973]]

you should ensure that they are as constant as practical for each 
individual set point during a flow meter calibration:
[GRAPHIC] [TIFF OMITTED] TR13JY05.060

Where:

nref = reference molar flow rate.
Vstdref = reference volume flow rate, corrected to a standard 
pressure and a standard temperature.
Vactref = reference volume flow rate at the actual pressure 
and temperature of the flow rate.
mref = reference mass flow.
Pstd = standard pressure.
Pact = actual pressure of the flow rate.
Tstd = standard temperature.
Tact = actual temperature of the flow rate.
R = molar gas constant.
Mmix = molar mass of the flow rate.

Example 1:

Vstdref = 1000.00 ft\3\/min = 0.471948 m/s
P = 29.9213 in Hg @ 32 [deg]F = 101325 Pa
T = 68.0 [deg]F = 293.15 K
R = 8.314472 J/(mol[middot]K)
[GRAPHIC] [TIFF OMITTED] TR13JY05.061

nref = 19.169 mol/s

Example 2:

mref = 17.2683 kg/min = 287.805 g/s
Mmix = 28.7805 g/mol
[GRAPHIC] [TIFF OMITTED] TR13JY05.062

nref =10.0000 mol/s

    (b) PDP calibration calculations. For each restrictor position, 
calculate the following values from the mean values determined in Sec.  
1065.340, as follows:
    (1) PDP volume pumped per revolution, Vrev (m\3\/rev):
    [GRAPHIC] [TIFF OMITTED] TR13JY05.063
    
Example:

nref = 25.096 mol/s
R = 8.314472 J/(mo[middot]lK)
Tin = 299.5 K
Pin = 98290 Pa
fnPDP = 1205.1 rev/min = 20.085 rev/s
[GRAPHIC] [TIFF OMITTED] TR13JY05.064

Vrev = 0.03166 m\3\/rev

    (2) PDP slip correction factor, Ks (s/rev):
    [GRAPHIC] [TIFF OMITTED] TR13JY05.065
    
Example:

fnPDP = 1205.1 rev/min = 20.085 rev/s
Pout = 100.103 kPa
Pin= 98.290 kPa
[GRAPHIC] [TIFF OMITTED] TR13JY05.066

Ks = 0.006700 s/rev

    (3) Perform a least-squares regression of PDP volume pumped per 
revolution, Vrev, versus PDP slip correction factor, 
Ks, by calculating slope, a1, and intercept, 
a0, as described in Sec.  1065.602.
    (4) Repeat the procedure in paragraphs (b)(1) through (3) of this 
section for every speed that you run your PDP.
    (5) The following example illustrates these calculations:

       Table 1 of Sec.   1065.640--Example of PDP Calibration Data
------------------------------------------------------------------------
                      f8nPDP                            a1         a0
------------------------------------------------------------------------
755.0.............................................      50.43      0.056
987.6.............................................      49.86     -0.013

[[Page 974]]

 
1254.5............................................      48.54      0.028
1401.3............................................      47.30     -0.061
------------------------------------------------------------------------

    (6) For each speed at which you operate the PDP, use the 
corresponding slope, a1, and intercept, a0, to 
calculate flow rate during emission testing as described in Sec.  
1065.642.
    (c) Venturi governing equations and permissible assumptions. This 
section describes the governing equations and permissible assumptions 
for calibrating a venturi and calculating flow using a venturi. Because 
a subsonic venturi (SSV) and a critical-flow venturi (CFV) both operate 
similarly, their governing equations are nearly the same, except for the 
equation describing their pressure ratio, r (i.e., rSSV 
versus rCFV). These governing equations assume one-
dimensional isentropic inviscid compressible flow of an ideal gas. In 
paragraph (c)(4) of this section, we describe other assumptions that you 
may make, depending upon how you conduct your emission tests. If we do 
not allow you to assume that the measured flow is an ideal gas, the 
governing equations include a first-order correction for the behavior of 
a real gas; namely, the compressibility factor, Z. If good engineering 
judgment dictates using a value other than Z=1, you may either use an 
appropriate equation of state to determine values of Z as a function of 
measured pressures and temperatures, or you may develop your own 
calibration equations based on good engineering judgment. Note that the 
equation for the flow coefficient, Cf, is based on the ideal 
gas assumption that the isentropic exponent, [gamma], is equal to the 
ratio of specific heats, Cp/Cv. If good 
engineering judgment dictates using a real gas isentropic exponent, you 
may either use an appropriate equation of state to determine values of 
[gamma] as a function of measured pressures and temperatures, or you may 
develop your own calibration equations based on good engineering 
judgment. Calculate molar flow rate, n, as follows:
[GRAPHIC] [TIFF OMITTED] TR13JY05.067

Where:

Cd = Discharge coefficient, as determined in paragraph (c)(1) 
of this section.
Cf = Flow coefficient, as determined in paragraph (c)(2) of 
this section.
At = Venturi throat cross-sectional area.
pin = Venturi inlet absolute static pressure.
Z = Compressibility factor.
Mmix = Molar mass of gas mixture.
R = Molar gas constant.
Tin = Venturi inlet absolute temperature.

    (1) Using the data collected in Sec.  1065.340, calculate Cd using 
the following equation:
[GRAPHIC] [TIFF OMITTED] TR13JY05.068

Where:

nref = A reference molar flow rate.

    (2) Determine Cf using one of the following methods:
    (i) For CFV flow meters only, determine CfCFV from the 
following table based on your values for [bgr] and [gamma], using linear 
interpolation to find intermediate values:

[[Page 975]]



 Table 2 of Sec.   1065.640--CfCFV versus [bgr] and [gamma] for CFV Flow
                                 Meters
------------------------------------------------------------------------
                                  CfCFV
-------------------------------------------------------------------------
                                                             [gamma]dexh
                                                 [gamma]exh       =
                     [bgr]                        =  1.385    [gamma]air
                                                               =  1.399
------------------------------------------------------------------------
0.000..........................................      0.6822      0.6846
0.400..........................................      0.6857      0.6881
0.500..........................................      0.6910      0.6934
0.550..........................................      0.6953      0.6977
0.600..........................................      0.7011      0.7036
0.625..........................................      0.7047      0.7072
0.650..........................................      0.7089      0.7114
0.675..........................................      0.7137      0.7163
0.700..........................................      0.7193      0.7219
0.720..........................................      0.7245      0.7271
0.740..........................................      0.7303      0.7329
0.760..........................................      0.7368      0.7395
0.770..........................................      0.7404      0.7431
0.780..........................................      0.7442      0.7470
0.790..........................................      0.7483      0.7511
0.800..........................................      0.7527      0.7555
0.810..........................................      0.7573      0.7602
0.820..........................................      0.7624      0.7652
0.830..........................................      0.7677      0.7707
0.840..........................................      0.7735      0.7765
0.850..........................................      0.7798      0.7828
------------------------------------------------------------------------

    (ii) For any CFV or SSV flow meter, you may use the following 
equation to calculate Cf:
[GRAPHIC] [TIFF OMITTED] TR13JY05.069

Where:

[gamma] = isentropic exponent. For an ideal gas, this is the ratio of 
specific heats of the gas mixture, Cp/Cv.
r = Pressure ratio, as determined in paragraph (c)(3) of this section.
[bgr] = Ratio of venturi throat to inlet diameters.

    (3) Calculate r as follows:
    (i) For SSV systems only, calculate rSSV using the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR13JY05.070

Where:

[Delta]pSSV = Differential static pressure; venturi inlet 
minus venturi throat.

    (ii) For CFV systems only, calculate rCFV iteratively using the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR13JY05.071

    (4) You may make any of the following simplifying assumptions of the 
governing equations, or you may use good engineering judgment to develop 
more appropriate values for your testing:
    (i) For emission testing over the full ranges of raw exhaust, 
diluted exhaust and dilution air, you may assume that the gas mixture 
behaves as an ideal gas: Z=1.
    (ii) For the full range of raw exhaust you may assume a constant 
ratio of specific heats of [gamma] =1.385.
    (iii) For the full range of diluted exhaust and air (e.g., 
calibration air or dilution air), you may assume a constant ratio of 
specific heats of [gamma] = 1.399.

[[Page 976]]

    (iv) For the full range of diluted exhaust and air, you may assume 
the molar mass of the mixture is a function only of the amount of water 
in the dilution air or calibration air, xH2O, determined as 
described in Sec.  1065.645, as follows:
[GRAPHIC] [TIFF OMITTED] TR13JY05.072

Example:

Mair = 28.96559 g/mol
xH2O = 0.0169 mol/mol
MH2O = 18.01528 g/mol
Mmix = 28.96559 [middot] (1 0.0169) + 18.01528 [middot] 
0.0169
Mmix = 28.7805 g/mol

    (v) For the full range of diluted exhaust and air, you may assume a 
constant molar mass of the mixture, Mmix, for all calibration 
and all testing as long as your assumed molar mass differs no more than 
1% from the estimated minimum and maximum molar 
mass during calibration and testing. You may assume this, using good 
engineering judgment, if you sufficiently control the amount of water in 
calibration air and in dilution air or if you remove sufficient water 
from both calibration air and dilution air. The following table gives 
examples of permissible ranges of dilution air dewpoint versus 
calibration air dewpoint:

Table 3 of Sec.   1065.640--Examples of Dilution Air and Calibration Air
           Dewpoints at Which you May Assume a Constant Mmix.
------------------------------------------------------------------------
                                      assume the      for the following
                                       following       ranges of Tdew
If calibration Tdew ([deg]C) is...   constant Mmix     ([deg]C) during
                                      (g/mol)...     emission tests \a\
------------------------------------------------------------------------
dry...............................        28.96559  dry to 18.
0.................................        28.89263  dry to 21.
5.................................        28.86148  dry to 22.
10................................        28.81911  dry to 24.
15................................        28.76224  dry to 26.
20................................        28.68685  -8 to 28.
25................................        28.58806  12 to 31.
30................................        28.46005  23 to 34.
------------------------------------------------------------------------
\a\ Range valid for all calibration and emission testing over the
  atmospheric pressure range (80.000 to 103.325) kPa.

    (5) The following example illustrates the use of the governing 
equations to calculate the discharge coefficient, Cd of an 
SSV flow meter at one reference flow meter value. Note that calculating 
Cd for a CFV flow meter would be similar, except that 
Cf would be determined from Table 1 of this section or 
calculated iteratively using values of [bgr] and [gamma] as described in 
paragraph (c)(2) of this section.

Example:

nref = 57.625 mol/s
Z = 1
Mmix = 28.7805 g/mol = 0.0287805 kg/mol
R = 8.314472 J/(mol[middot]K)
Tin = 298.15 K
At = 0.01824 m\2\
pin = 99132.0 Pa
[gamma] = 1.399
[beta] = 0.8
[Delta]p = 2.312 kPa
[GRAPHIC] [TIFF OMITTED] TR13JY05.073

[GRAPHIC] [TIFF OMITTED] TR13JY05.074

Cf = 0.274

[[Page 977]]

[GRAPHIC] [TIFF OMITTED] TR13JY05.075

Cd = 0.981

    (d) SSV calibration. Perform the following steps to calibrate an SSV 
flow meter:
    (1) Calculate the Reynolds number, Re#, for each reference molar 
flow rate, using the throat diameter of the venturi, dt. 
Because the dynamic viscosity, [micro], is needed to compute Re#, you 
may use your own fluid viscosity model to determine [micro] for your 
calibration gas (usually air), using good engineering judgment. 
Alternatively, you may use the Sutherland three-coefficient viscosity 
model to approximate [micro], as shown in the following sample 
calculation for Re#:
[GRAPHIC] [TIFF OMITTED] TR13JY05.076

Where, using the Sutherland three-coefficient viscosity model:
[GRAPHIC] [TIFF OMITTED] TR13JY05.077

Where:

[micro] = Dynamic viscosity of calibration gas.
[micro]0 = Sutherland reference viscosity.
T0 = Sutherland reference temperature.
S = Sutherland constant.

                                   Table 3 of Sec.   1065.640--Sutherland Three-Coefficient Viscosity Model Parameters
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                        Temp range within 2%      Pressure limit  kPa
                                                                   [middot] s)                                  error  K
--------------------------------------------------------------------------------------------------------------------------------------------------------
Air........................................................      1.716 [middot] 10-5      273      111              170 to 1900                  <= 1800
CO2........................................................      1.370 [middot] 10-5      273      222              190 to 1700                  <= 3600
H2O........................................................       1.12 [middot] 10-5      350     1064              360 to 1500                 <= 10000
O2.........................................................      1.919 [middot] 10-5      273      139              190 to 2000                  <= 2500
N2.........................................................      1.663 [middot] 10-5      273      107              100 to 1500                  <= 1600
--------------------------------------------------------------------------------------------------------------------------------------------------------
\a\ Use tabulated parameters only for the pure gases, as listed. Do not combine parameters in calculations to calculate viscosities of gas mixtures.

Example:

[micro]0 = 1.7894 [middot] 10-5 kg/(m[middot]s)
T0 = 273.11 K
S = 110.56 K
[GRAPHIC] [TIFF OMITTED] TR13JY05.078

[micro] = 1.916 [middot] 10-5 kg/(m[middot]s)
Mmix = 28.7805 g/mol
nref = 57.625 mol/s
dt = 152.4 mm
Tin = 298.15 K
[GRAPHIC] [TIFF OMITTED] TR13JY05.079

Re# = 7.2317 [middot] 10\5\

    (2) Create an equation for Cd versus Re#, using paired 
values of (Re#, Cd). For

[[Page 978]]

the equation, you may use any mathematical expression, including a 
polynomial or a power series. The following equation is an example of a 
commonly used mathematical expression for relating Cd and 
Re#:
[GRAPHIC] [TIFF OMITTED] TR13JY05.080

    (3) Perform a least-squares regression analysis to determine the 
best-fit coefficients to the equation and calculate the equation's 
regression statistics, SEE and r\2\, according to Sec.  1065.602.
    (4) If the equation meets the criteria of SEE <= 0.5% [middot] 
nrefmax and r\2\ = 0.995, you may use the equation 
to determine Cd for emission tests, as described in Sec.  
1065.642.
    (5) If the SEE and r\2\ criteria are not met, you may use good 
engineering judgment to omit calibration data points to meet the 
regression statistics. You must use at least seven calibration data 
points to meet the criteria.
    (6) If omitting points does not resolve outliers, take corrective 
action. For example, select another mathematical expression for the 
Cd versus Re# equation, check for leaks, or repeat the 
calibration process. If you must repeat the process, we recommend 
applying tighter tolerances to measurements and allowing more time for 
flows to stabilize.
    (7) Once you have an equation that meets the regression criteria, 
you may use the equation only to determine flow rates that are within 
the range of the reference flow rates used to meet the Cd 
versus Re# equation's regression criteria.
    (e) CFV calibration. Some CFV flow meters consist of a single 
venturi and some consist of multiple venturis, where different 
combinations of venturis are used to meter different flow rates. For CFV 
flow meters that consist of multiple venturis, either calibrate each 
venturi independently to determine a separate discharge coefficient, 
Cd, for each venturi, or calibrate each combination of 
venturis as one venturi. In the case where you calibrate a combination 
of venturis, use the sum of the active venturi throat areas as 
At, the sum of the active venturi throat diameters as 
dt, and the ratio of venturi throat to inlet diameters as the 
ratio of the sum of the active venturi throat diameters to the diameter 
of the common entrance to all of the venturis. To determine the 
Cd for a single venturi or a single combination of venturis, 
perform the following steps:
    (1) Use the data collected at each calibration set point to 
calculate an individual Cd for each point using Eq. 1065.640-
4.
    (2) Calculate the mean and standard deviation of all the 
Cd values according to Eqs. 1065.602-1 and 1065.602-2.
    (3) If the standard deviation of all the Cd values is 
less than or equal to 0.3% of the mean Cd, then use the mean 
Cd in Eq 1065.642-6, and use the CFV only down to the lowest 
[Delta]pCFV measured during calibration.
    (4) If the standard deviation of all the Cd values 
exceeds 0.3% of the mean Cd, omit the Cd values 
corresponding to the data point collected at the lowest 
[Delta]pCFV measured during calibration.
    (5) If the number of remaining data points is less than seven, take 
corrective action by checking your calibration data or repeating the 
calibration process. If you repeat the calibration process, we recommend 
checking for leaks, applying tighter tolerances to measurements and 
allowing more time for flows to stabilize.
    (6) If the number of remaining Cd values is seven or 
greater, recalculate the mean and standard deviation of the remaining 
Cd values.
    (7) If the standard deviation of the remaining Cd values 
is less than or equal to 0.3 % of the mean of the remaining 
Cd, use that mean Cd in Eq 1065.642-6, and use the 
CFV values only down to the lowest [Delta]pCFV associated 
with the remaining Cd.
    (8) If the standard deviation of the remaining Cd still 
exceeds 0.3% of the mean of the remaining Cd values, repeat 
the steps in paragraph (e) (4) through (8) of this section.

    Effective Date Note: At 73 FR 37326, June 30, 2008, Sec.  1065.640 
was amended by revising paragraphs (a) and (e) and redesignating the 
second ``Table 3'' as ``Table 4'', effective July 7, 2008. For the 
convenience of the user, the revised text is set forth as follows:

[[Page 979]]



Sec.  1065.640  Flow meter calibration calculations.

                                * * * * *

    (a) Reference meter conversions. The calibration equations in this 
section use molar flow rate, nref, as a reference quantity. 
If your reference meter outputs a flow rate in a different quantity, 
such as standard volume rate, Vstdref, actual volume rate, 
Vactref, or mass rate, mref, convert your 
reference meter output to a molar flow rate using the following 
equations, noting that while values for volume rate, mass rate, 
pressure, temperature, and molar mass may change during an emission 
test, you should ensure that they are as constant as practical for each 
individual set point during a flow meter calibration:
[GRAPHIC] [TIFF OMITTED] TR06MY08.022

Where:
Nref = reference molar flow rate.
Vstdref = reference volume flow rate, corrected to a standard 
          pressure and a standard temperature.
Vactref = reference volume flow rate at the actual pressure 
          and temperature of the flow rate.
Nref = reference mass flow.
pstd = standard pressure.
pact = actual pressure of the flow rate.
Tstd = standard temperature.
Tact = actual temperature of the flow rate.
R = molar gas constant.
Mmix = molar mass of the flow rate.

Example 1:

Vstdref = 1000.00 ft\3\/min = 0.471948 m\3\/s
p = 29.9213 in Hg @ 32 [deg]F = 101325 Pa
T = 68.0 [deg]F = 293.15 K
R = 8.314472 J/(mol [middot] K)
[GRAPHIC] [TIFF OMITTED] TR06MY08.023

Nref = 19.169 mol/s

Example 2:

Mref = 17.2683 kg/min = 287.805 g/s
Mmix = 28.7805 g/mol
[GRAPHIC] [TIFF OMITTED] TR06MY08.024

    nref = 10.0000 mol/s

    (e) CFV calibration. Some CFV flow meters consist of a single 
venturi and some consist of multiple venturis, where different 
combinations of venturis are used to meter different flow rates. For CFV 
flow meters that consist of multiple venturis, either calibrate each 
venturi independently to determine a separate discharge coefficient, Cd, 
for each venturi, or calibrate each combination of venturis as one 
venturi. In the case where you calibrate a combination of venturis, use 
the sum of the active venturi throat areas as At, the square root of the 
sum of the squares of the active venturi throat diameters as dt, and the 
ratio of the venturi throat to inlet diameters as the ratio of the 
square root of the sum of the active venturi throat diameters (dt) to 
the diameter of the common entrance to all of the venturis (D). To 
determine the Cd for a single venturi or a single combination of 
venturis, perform the following steps:
    (1) Use the data collected at each calibration set point to 
calculate an individual Cd for each point using Eq. 1065.640-4.
    (2) Calculate the mean and standard deviation of all the Cd values 
according to Eqs. 1065.602-1 and 1065.602-2.
    (3) If the standard deviation of all the Cd values is less than or 
equal to 0.3% of the mean Cd, use the mean Cd in Eq. 1065.642-6, and use 
the CFV only down to the lowest r measured during calibration using the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR06MY08.025

    (4) If the standard deviation of all the Cd values exceeds 0.3% of 
the mean Cd, omit the Cd values corresponding to the data point 
collected at the lowest r measured during calibration.
    (5) If the number of remaining data points is less than seven, take 
corrective action by checking your calibration data or repeating the 
calibration process. If you repeat the calibration process, we recommend 
checking for leaks, applying tighter tolerances to measurements and 
allowing more time for flows to stabilize.
    (6) If the number of remaining Cd values is seven or greater, 
recalculate the mean and standard deviation of the remaining Cd values.
    (7) If the standard deviation of the remaining Cd values is less 
than or equal to 0.3% of the mean of the remaining Cd, use that mean Cd 
in Eq. 1065.642-6, and use the CFV values

[[Page 980]]

only down to the lowest r associated with the remaining Cd.
    (8) If the standard deviation of the remaining Cd still exceeds 0.3% 
of the mean of the remaining Cd values, repeat the steps in paragraph 
(e)(4) through (8) of this section.



Sec.  1065.642  SSV, CFV, and PDP molar flow rate calculations.

    This section describes the equations for calculating molar flow 
rates from various flow meters. After you calibrate a flow meter 
according to Sec.  1065.640, use the calculations described in this 
section to calculate flow during an emission test.
    (a) PDP molar flow rate. Based upon the speed at which you operate 
the PDP for a test interval, select the corresponding slope, 
a1, and intercept, a0, as calculated in Sec.  
1065.640, to calculate molar flow rate, n, as follows:
[GRAPHIC] [TIFF OMITTED] TR13JY05.081

Where:
[GRAPHIC] [TIFF OMITTED] TR13JY05.082

Example:

a1 = 50.43
fnPDP = 755.0 rev/min = 12.58 rev/s
pout = 99950 Pa
pin = 98575 Pa
a0 = 0.056
R = 8.314472 J/(mol[middot]K)
Tin = 323.5 K
Cp = 1000 (J/m\3\)/kPa
Ct = 60 s/min
[GRAPHIC] [TIFF OMITTED] TR13JY05.083

Vrev = 0.06389 m\3\/rev
[GRAPHIC] [TIFF OMITTED] TR13JY05.084

n = 29.464 mol/s

    (b) SSV molar flow rate. Based on the Cd versus Re# 
equation you determined according to Sec.  1065.640, calculate SSV molar 
flow rate, n during an emission test as follows:
[GRAPHIC] [TIFF OMITTED] TR13JY05.085

Example:

At = 0.01824 m\2\
pin = 99132 Pa
Z = 1
Mmix = 28.7805 g/mol = 0.0287805 kg/mol
R = 8.314472 J/(mol[middot]K)
Tin = 298.15 K
Re# = 7.232[middot]10\5\
[gamma] = 1.399
[beta] = 0.8
[Delta]p = 2.312 kPa

Using Eq. 1065.640-6,

rssv = 0.997

Using Eq. 1065.640-5,

Cf = 0.274

Using Eq. 1065.640-4,

Cd = 0.990
[GRAPHIC] [TIFF OMITTED] TR13JY05.086


[[Page 981]]


n= 58.173 mol/s

    (c) CFV molar flow rate. Some CFV flow meters consist of a single 
venturi and some consist of multiple venturis, where different 
combinations of venturis are used to meter different flow rates. If you 
use multiple venturis and you calibrated each venturi independently to 
determine a separate discharge coefficient, Cd, for each 
venturi, calculate the individual molar flow rates through each venturi 
and sum all their flow rates to determine n. If you use multiple 
venturis and you calibrated each combination of venturis, calculate n 
using the sum of the active venturi throat areas as At, the 
sum of the active venturi throat diameters as dt, and the 
ratio of venturi throat to inlet diameters as the ratio of the sum of 
the active venturi throat diameters to the diameter of the common 
entrance to all of the venturis. To calculate the molar flow rate 
through one venturi or one combination of venturis, use its respective 
mean Cd and other constants you determined according to Sec.  
1065.640 and calculate its molar flow rate n during an emission test, as 
follows:
[GRAPHIC] [TIFF OMITTED] TR13JY05.087

Example:
Cd = 0.985
Cf = 0.7219
At = 0.00456 m\2\
pin = 98836 Pa
Z = 1
Mmix = 28.7805 g/mol = 0.0287805 kg/mol
R = 8.314472 J/(mol[middot]K)
Tin = 378.15 K
n = 0.985[middot]0.712
[GRAPHIC] [TIFF OMITTED] TR13JY05.088

n = 33.690 mol/s

    Effective Date Note: At 73 FR 37327, June 30, 2008, Sec.  1065.642 
was amended by revising paragraph (b), effective July 7, 2008. For the 
convenience of the user, the revised text is set forth as follows:



Sec.  1065.642  SSV, CFV, and PDP molar flow rate calculations.

                                * * * * *

    (b) SSV molar flow rate. Based on the Cd versus 
Re equation you determined according to Sec.  
1065.640, calculate SSV molar flow rate, n during an emission test as 
follows:
[GRAPHIC] [TIFF OMITTED] TR06MY08.026

Example:

At = 0.01824 m\2\
pin = 99132 Pa
Z = 1
Mmix = 28.7805 g/mol = 0.0287805 kg/mol
R = 8.314472 J/(mol[middot]K)
Tin = 298.15 K
Re = 7.232[middot]10\\
y = 1.399
[beta] = 0.8
[Delta]p = 2.312 kPa
Using Eq. 1065.640-7,
rssv = 0.997
Using Eq. 1065.640-6,
Cf = 0.274
Using Eq. 1065.640-5,
Cd = 0.990
[GRAPHIC] [TIFF OMITTED] TR06MY08.027


[[Page 982]]


n= 58.173 mol/s

                                * * * * *



Sec.  1065.644  Vacuum-decay leak rate.

    This section describes how to calculate the leak rate of a vacuum-
decay leak verification, which is described in Sec.  1065.345(e). Use 
Eq. 1065.644-1 to calculate the leak rate, nleak, and compare it to the 
criterion specified in Sec.  1065.345(e).
[GRAPHIC] [TIFF OMITTED] TR06MY08.028

Where:

Vvac = geometric volume of the vacuum-side of the sampling 
          system.
R = molar gas constant.
p2 = Vacuum-side absolute pressure at time t2.
T2 = Vacuum-side absolute temperature at time t2.
p1 = Vacuum-side absolute pressure at time t\1\.
T1 = Vacuum-side absolute temperature at time t1.
t2 = time at completion of vacuum-decay leak verification 
          test.
t1 = time at start of vacuum-decay leak verification test.

Example:

Vvac = 2.0000 L = 0.00200 m\3\
R = 8.314472 J/(mol[middot]K)
p2 = 50.600 kPa = 50600 Pa
T2 = 293.15 K
p1 = 25.300 kPa = 25300 Pa
T1 = 293.15 K
t2 = 10:57:35 AM
t1 = 10:56:25 AM
[GRAPHIC] [TIFF OMITTED] TR06MY08.029


[73 FR 37327, June 30, 2008]

    Effective Date Note: At 73 FR 37327, June 30, 2008, Sec.  1065.644 
was added, effective July 7, 2008.



Sec.  1065.645  Amount of water in an ideal gas.

    This section describes how to determine the amount of water in an 
ideal gas, which you need for various performance verifications and 
emission calculations. Use the equation for the vapor pressure of water 
in paragraph (a) of this section or another appropriate equation and, 
depending on whether you measure dewpoint or relative humidity, perform 
one of the calculations in paragraph (b) or (c) of this section.
    (a) Vapor pressure of water. Calculate the vapor pressure of water 
for a given saturation temperature condition, Tsat, as 
follows, or use good engineering judgment to use a different 
relationship of the vapor pressure of water to a given saturation 
temperature condition:
    (1) For humidity measurements made at ambient temperatures from (0 
to 100) [deg]C, or for humidity measurements made over super-cooled 
water at ambient temperatures from (-50 to 0) [deg]C, use the following 
equation:

[[Page 983]]

[GRAPHIC] [TIFF OMITTED] TR13JY05.089

Where:

pH20 = vapor pressure of water at saturation temperature 
condition, kPa.
Tsat = saturation temperature of water at measured 
conditions, K.

Example:

Tsat = 9.5 [deg]C
Tdsat= 9.5 + 273.15 = 282.65 K
[GRAPHIC] [TIFF OMITTED] TR13JY05.090

-log10(PH20) = -0.074297
pH20 = 10\0.074297\ = 1.1866 kPa

    (2) For humidity measurements over ice at ambient temperatures from 
(-100 to 0) [deg]C, use the following equation:
[GRAPHIC] [TIFF OMITTED] TR13JY05.091

Example:

Tice = -15.4 [deg]C
Tice = -15.4 + 273.15 = 257.75 K
[GRAPHIC] [TIFF OMITTED] TR13JY05.092

-log10(pH20) = -0.79821
PH20 = 10\0.074297\ = 0.15941 kPa

    (b) Dewpoint. If you measure humidity as a dewpoint, determine the 
amount of water in an ideal gas, xH20, as follows:
[GRAPHIC] [TIFF OMITTED] TR13JY05.093

Where:

xH20 = amount of water in an ideal gas.
pH20 = water vapor pressure at the measured dewpoint, 
Tsat = Tdew.
pabs = wet static absolute pressure at the location of your 
dewpoint measurement.

Example:

Pabs = 99.980 kPa
Tsat = Tdew = 9.5 [deg]C

Using Eq. 1065.645-2,

PH20 = 1.1866 kPa
xH2O = 1.1866/99.980
xH2O = 0.011868 mol/mol

    (c) Relative humidity. If you measure humidity as a relative 
humidity, RH%,

[[Page 984]]

determine the amount of water in an ideal gas, xH20, as 
follows:
[GRAPHIC] [TIFF OMITTED] TR13JY05.094

Where:

xH20 = amount of water in an ideal gas.
RH% = relative humidity.
PH20 = water vapor pressure at 100% relative humidity at the 
location of your relative humidity measurement, Tsat = 
Tamb.
Pabs = wet static absolute pressure at the location of your 
relative humidity measurement.

Example:

RH% = 50.77%
Pabs = 99.980 kPa
Tsat = Tamb = 20 [deg]C

Using Eq. 1065.645-2,

PH20 = 2.3371 kPa
xH2O = (50.77% [middot] 2.3371)/99.980
xH2O = 0.011868 mol/mol

    Effective Date Note: At 73 FR 37327, June 30, 2008, Sec.  1065.645 
was revised, effective July 7, 2008. For the convenience of the user, 
the revised text is set forth as follows:



Sec.  1065.645  Amount of water in an ideal gas.

    This section describes how to determine the amount of water in an 
ideal gas, which you need for various performance verifications and 
emission calculations. Use the equation for the vapor pressure of water 
in paragraph (a) of this section or another appropriate equation and, 
depending on whether you measure dewpoint or relative humidity, perform 
one of the calculations in paragraph (b) or (c) of this section.
    (a) Vapor pressure of water. Calculate the vapor pressure of water 
for a given saturation temperature condition, Tsat, as 
follows, or use good engineering judgment to use a different 
relationship of the vapor pressure of water to a given saturation 
temperature condition:
    (1) For humidity measurements made at ambient temperatures from (0 
to 100) [deg]C, or for humidity measurements made over super-cooled 
water at ambient temperatures from (-50 to 0) [deg]C, use the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR06MY08.030

Where:

pH20 = vapor pressure of water at saturation temperature 
          condition, kPa.
Tsat = saturation temperature of water at measured 
          conditions, K.
Example:

Tsat = 9.5 [deg]C
Tdsat= 9.5 + 273.15 = 282.65 K
[GRAPHIC] [TIFF OMITTED] TR06MY08.112

-log10(pH20) = -0.073974
pH20 = 100.073974 = 1.18569 kPa

    (2) For humidity measurements over ice at ambient temperatures from 
(-100 to 0) [deg]C, use the following equation:

[[Page 985]]

[GRAPHIC] [TIFF OMITTED] TR06MY08.031

Example:

Tice = -15.4 [deg]C
Tice = -15.4 + 273.15 = 257.75 K
[GRAPHIC] [TIFF OMITTED] TR06MY08.032

-log10(pH2O) =-0.79821
pH2O = 100.79821 = 0.15914 kPa

    (b) Dewpoint. If you measure humidity as a dewpoint, determine the 
amount of water in an ideal gas, xH2O, as follows:
[GRAPHIC] [TIFF OMITTED] TR06MY08.033

Where:

xH2O = amount of water in an ideal gas.
pH2O = water vapor pressure at the measured dewpoint, 
          Tsat = Tdew.
pabs = wet static absolute pressure at the location of your 
          dewpoint measurement.
Example:
pabs = 99.980 kPa
Tsat = Tdew = 9.5 [deg]C
Using Eq. 1065.645-2,
pH2O = 1.18489 kPa
xH2O = 1.18489/99.980
xH2O = 0.011851 mol/mol

    (c) Relative humidity. If you measure humidity as a relative 
humidity, RH %, determine the amount of water in an ideal gas, 
xH2O, as follows:
[GRAPHIC] [TIFF OMITTED] TR06MY08.034

Where:

xH2O = amount of water in an ideal gas.
RH % = relative humidity.
pH2O = water vapor pressure at 100% relative humidity at the 
          location of your relative humidity measurement, 
          Tsat = Tamb.
pabs = wet static absolute pressure at the location of your 
          relative humidity measurement.
Example:
RH % = 50.77%
pabs = 99.980 kPa
Tsat = Tamb = 20 [deg]C
Using Eq. 1065.645-2,
pH2O = 2.3371 kPa
xH2O = (50.77% [middot]2.3371)/99.980
xH2O = 0.011868 mol/mol



Sec.  1065.650  Emission calculations.

    (a) General. Calculate brake-specific emissions over each test 
interval in a duty cycle. Refer to the standard-setting part for any 
calculations you might need to determine a composite result, such as a 
calculation that weights and sums the results of individual test 
intervals in a duty cycle. We specify three alternative ways to 
calculate brake-specific emissions, as follows:
    (1) For any testing, you may calculate the total mass of emissions, 
as described in paragraph (b) of this section, and divide it by the 
total work generated over the test interval, as described in paragraph 
(c) of this section, using the following equation:
[GRAPHIC] [TIFF OMITTED] TR13JY05.095

Example:

mNOX = 64.975 g
W = 25.783 kW[middot]hr
eNOX = 64.975/25.783
eNOX = 2.520 g/(kW[middot]hr)

    (2) For discrete-mode steady-state testing, you may calculate the 
ratio of emission mass rate to power, as described in paragraph (d) of 
this section, using the following equation:
[GRAPHIC] [TIFF OMITTED] TR13JY05.096

    (3) For field testing, you may calculate the ratio of total mass to 
total work, where these individual values are determined as described in 
paragraph (e) of this section. You may also use this approach for 
laboratory testing, consistent with good engineering judgment. This is a 
special case in which you use a signal linearly proportional

[[Page 986]]

to raw exhaust molar flow rate to determine a value proportional to 
total emissions. You then use the same linearly proportional signal to 
determine total work using a chemical balance of fuel, intake air, and 
exhaust as described in Sec.  1065.655, plus information about your 
engine's brake-specific fuel consumption. Under this method, flow meters 
need not meet accuracy specifications, but they must meet the applicable 
linearity and repeatability specifications in subpart D or subpart J of 
this part. The result is a brake-specific emission value calculated as 
follows:
[GRAPHIC] [TIFF OMITTED] TR13JY05.097

Example:

m = 805.5  g
w = 52.102  kW[middot]hr
eCO = 805.5/52.102
eCO = 2.520 g/(kW[middot]hr)

    (b) Total mass of emissions. To calculate the total mass of an 
emission, multiply a concentration by its respective flow. For all 
systems, make preliminary calculations as described in paragraph (b)(1) 
of this section, then use the method in paragraphs (b)(2) through (4) of 
this section that is appropriate for your system. Calculate the total 
mass of emissions as follows:
    (1) Concentration corrections. Perform the following sequence of 
preliminary calculations on recorded concentrations:
    (i) Correct all concentrations measured on a ``dry'' basis to a 
``wet'' basis, including dilution air background concentrations, as 
described in Sec.  1065.659.
    (ii) Calculate all HC concentrations, including dilution air 
background concentrations, as described in Sec.  1065.660.
    (iii) For emission testing with an oxygenated fuel, calculate any HC 
concentrations, including dilution air background concentrations, as 
described in Sec.  1065.665. See subpart I of this part for testing with 
oxygenated fuels.
    (iv) Correct the total mass of NOX based on intake-air 
humidity as described in Sec.  1065.670.
    (v) Calculate brake-specific emissions before and after correcting 
for drift, including dilution air background concentrations, according 
to Sec.  1065.672.
    (2) Continuous sampling. For continuous sampling, you must 
frequently record a continuously updated concentration signal. You may 
measure this concentration from a changing flow rate or a constant flow 
rate (including discrete-mode steady-state testing), as follows:
    (i) Varying flow rate. If you continuously sample from a changing 
exhaust flow rate, synchronously multiply it by the flow rate of the 
flow from which you extracted it. We consider the following to be 
examples of changing flows that require a continuous multiplication of 
concentration times molar flow rate: Raw exhaust, exhaust diluted with a 
constant flow rate of dilution air, and CVS dilution with a CVS flow 
meter that does not have an upstream heat exchanger or electronic flow 
control. Account for dispersion and time alignment as described in Sec.  
1065.201. This multiplication results in the flow rate of the emission 
itself. Integrate the emission flow rate over a test interval to 
determine the total emission. If the total emission is a molar quantity, 
convert this quantity to a mass by multiplying it by its molar mass, M. 
The result is the mass of the emission, m. Calculate m for continuous 
sampling with variable flow using the following equations:
[GRAPHIC] [TIFF OMITTED] TR13JY05.098

Example:

MNMHC = 13.875389 g/mol
N = 1200
xNMHC1 = 84.5 [micro]mol/mol = 84.5 [middot] 10-6 
mol/mol
xNMHC2 = 86.0 [micro]mol/mol = 86.0 [middot] 10-6 
mol/mol
nexh1 = 2.876 mol/s
nexh2 = 2.224 mol/s
frecord = 1 Hz

Using Eq. 1065.650-5,

[Delta]t = 1/1 = 1 s
mNMHC = 13.875389 [middot] (84.5 [middot] 10-6 
[middot] 2.876 + 86.0 [middot] 10-6 [middot]2.224 + ... + 
xNMHC1200 [middot] nexh) [middot] 1
mNMHC = 25.23 g

    (ii) Constant flow rate. If you continuously sample from a constant 
exhaust flow rate, calculate the mean concentration recorded over the 
test interval and treat the mean as a batch sample, as described in 
paragraph (b)(3)(ii)

[[Page 987]]

of this section. We consider the following to be examples of constant 
exhaust flows: CVS diluted exhaust with a CVS flow meter that has either 
an upstream heat exchanger, electronic flow control, or both.
    (3) Batch sampling. For batch sampling, the concentration is a 
single value from a proportionally extracted batch sample (such as a 
bag, filter, impinger, or cartridge). In this case, multiply the mean 
concentration of the batch sample by the total flow from which the 
sample was extracted. You may calculate total flow by integrating a 
changing flow rate or by determining the mean of a constant flow rate, 
as follows:
    (i) Varying flow rate. If you collect a batch sample from a changing 
exhaust flow rate, extract a sample proportional to the changing exhaust 
flow rate. We consider the following to be examples of changing flows 
that require proportional sampling: Raw exhaust, exhaust diluted with a 
constant flow rate of dilution air, and CVS dilution with a CVS flow 
meter that does not have an upstream heat exchanger or electronic flow 
control. Integrate the flow rate over a test interval to determine the 
total flow from which you extracted the proportional sample. Multiply 
the mean concentration of the batch sample by the total flow from which 
the sample was extracted. If the total emission is a molar quantity, 
convert this quantity to a mass by multiplying it by its molar mass, M. 
The result is the mass of the emission, m. In the case of PM emissions, 
where the mean PM concentration is already in units of mass per mole of 
sample, MPM, simply multiply it by the total flow. The result 
is the total mass of PM, mPM. Calculate m for batch sampling 
with variable flow using the following equation:
[GRAPHIC] [TIFF OMITTED] TR13JY05.099

Example:

MNOX = 46.0055 g/mol
N = 9000
xNOX = 85.6 [micro]mol/mol = 85.6 [middot] 10-6 
mol/mol
ndexhl = 25.534 mol/s
ndexh2 = 26.950 mol/s
frecord = 5 Hz

Using Eq. 1065.650-5,

[Delta]t = 1/5 = 0.2
mNOX = 46.0055 [middot] 85.6 [middot] 10-6 
[middot] (25.534 + 26.950 + ... +nexh9000) [middot] 0.2
mNOX = 4.201 g

    (ii) Constant flow rate. If you batch sample from a constant exhaust 
flow rate, extract a sample at a constant flow rate. We consider the 
following to be examples of constant exhaust flows: CVS diluted exhaust 
with a CVS flow meter that has either an upstream heat exchanger, 
electronic flow control, or both. Determine the mean molar flow rate 
from which you extracted the constant flow rate sample. Multiply the 
mean concentration of the batch sample by the mean molar flow rate of 
the exhaust from which the sample was extracted, and multiply the result 
by the time of the test interval. If the total emission is a molar 
quantity, convert this quantity to a mass by multiplying it by its molar 
mass, M. The result is the mass of the emission, m. In the case of PM 
emissions, where the mean PM concentration is already in units of mass 
per mole of sample MPM, simply multiply it by the total flow, 
and the result is the total mass of PM, mPM, Calculate m for 
sampling with constant flow using the following equations:
[GRAPHIC] [TIFF OMITTED] TR13JY05.100

and for PM or any other analysis of a batch sample that yields a mass 
per mole of sample,
[GRAPHIC] [TIFF OMITTED] TR13JY05.101

Example:

MPM = 144.0 [micro]g/mol = 144.0 [middot] 10-6 g/
mol
ndexh = 57.692 mol/s
[Delta]t = 1200 s
mPM = 144.0 [middot] 10-6 [middot] 57.692 [middot] 
1200
mPM = 9.9692 g

    (4) Additional provisions for diluted exhaust sampling; continuous 
or batch. The following additional provisions apply for sampling 
emissions from diluted exhaust:
    (i) For sampling with a constant dilution ratio (DR) of air flow 
versus exhaust flow (e.g., secondary dilution for PM sampling), 
calculate m using the following equation:
[GRAPHIC] [TIFF OMITTED] TR13JY05.102

Example:


[[Page 988]]


mPMdil = 6.853 g
DR = 5:1
mPM = 6.853 [middot] (5 + 1)
mPM = 41.118 g

    (ii) For continuous or batch sampling, you may measure background 
emissions in the dilution air. You may then subtract the measured 
background emissions, as described in Sec.  1065.667.
    (c) Total work. To calculate total work, multiply the feedback 
engine speed by its respective feedback torque. Integrate the resulting 
value for power over a test interval. Calculate total work as follows:
[GRAPHIC] [TIFF OMITTED] TR13JY05.103

[GRAPHIC] [TIFF OMITTED] TR13JY05.104

Example:

N = 9000
fn1 = 1800.2 rev/min
fn2 = 1805.8 rev/min
T1 = 177.23 N[middot]m
T2 = 175.00 N[middot]m
Crev = 2 [middot] [pi] rad/rev
Ct1 = 60 s/min
Cp = 1000 (N[middot]m)/kW
frecord = 5 Hz
Ct2 = 3600 s/hr
[GRAPHIC] [TIFF OMITTED] TR13JY05.105

P1 = 33.41 kW
P2 = 33.09 kW

Using Eq. 1065.650-5,

[Delta]t = 1/5 = 0.2 s
[GRAPHIC] [TIFF OMITTED] TR13JY05.106

W = 16.875 kW[middot]hr

    (d) Steady-state mass rate divided by power. To determine steady-
state brake-specific emissions for a test interval as described in 
paragraph (a)(2) of this section, calculate the mean steady-state mass 
rate of the emission, m, and the mean steady-state power, P, as follows:
    (1) To calculate, m, multiply its mean concentration, x, by its 
corresponding mean molar flow rate, n. If the result is a molar flow 
rate, convert this quantity to a mass rate by multiplying it by its 
molar mass, M. The result is the mean mass rate of the emission, 
mPM. In the case of PM emissions, where the mean PM 
concentration is already in units of mass per mole of sample, 
MPM, simply multiply it by the mean molar flow rate, n. The 
result is the mass rate of PM, mPM. Calculate m using the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR13JY05.107

    (2) Calculate P using the following equation:
    [GRAPHIC] [TIFF OMITTED] TR13JY05.108
    
    (3) Ratio of mass and work. Divide emission mass rate by power to 
calculate a brake-specific emission result as described in paragraph 
(a)(2) of this section.
    (4) Example. The following example shows how to calculate mass of 
emissions using mean mass rate and mean power:

MCO = 28.0101 g/mol
xCO = 12.00 mmol/mol = 0.01200 mol/mol
n = 1.530 mol/s
fn = 3584.5 rev/min = 375.37 rad/s
T = 121.50 N[middot]m
m = 28.0101[middot]0.01200[middot]1.530
m = 0.514 g/s
P = 121.5[middot]375.37
P = 45607 W = 45.607 kW
eCO = 0.514/45.61
eCO = 0.0113 g/(kW[middot]hr)

    (e) Ratio of total mass of emissions to total work. To determine 
brake-specific emissions for a test interval as described in paragraph 
(a)(3) of this section, calculate a value proportional to the total mass 
of each emission. Divide each proportional value by a value that is 
similarly proportional to total work.
    (1) Total mass. To determine a value proportional to the total mass 
of an emission, determine total mass as described in paragraph (b) of 
this section, except substitute for the molar flow rate, n, or the total 
flow, n, with a signal that is linearly proportional to molar flow rate, 
n, or linearly proportional to total flow, n, as follows:

[[Page 989]]

[GRAPHIC] [TIFF OMITTED] TR13JY05.109

    (2) Total work. To calculate a value proportional to total work over 
a test interval, integrate a value that is proportional to power. Use 
information about the brake-specific fuel consumption of your engine, 
efuel, to convert a signal proportional to fuel flow rate to 
a signal proportional to power. To determine a signal proportional to 
fuel flow rate, divide a signal that is proportional to the mass rate of 
carbon products by the fraction of carbon in your fuel, wc. 
For your fuel, you may use a measured wc or you may use the 
default values in Table 1 of Sec.  1065.655. Calculate the mass rate of 
carbon from the amount of carbon and water in the exhaust, which you 
determine with a chemical balance of fuel, intake air, and exhaust as 
described in Sec.  1065.655. In the chemical balance, you must use 
concentrations from the flow that generated the signal proportional to 
molar flow rate, n, in paragraph (e)(1) of this section. Calculate a 
value proportional to total work as follows:
[GRAPHIC] [TIFF OMITTED] TR13JY05.110

Where:
[GRAPHIC] [TIFF OMITTED] TR13JY05.111

    (3) Divide the value proportional to total mass by the value 
proportional to total work to determine brake-specific emissions, as 
described in paragraph (a)(3) of this section.
    (4) The following example shows how to calculate mass of emissions 
using proportional values:

N = 3000
frecord = 5 Hz
efuel = 285 g/(kW[middot]hr)
wfuel = 0.869 g/g
Mc = 12.0107 g/mol
n1 = 3.922 mol/s = 14119.2 mol/hr
xCproddry1 = 91.634 mmol/mol = 0.091634 mol/mol
xH2O1 = 27.21 mmol/mol = 0.02721 mol/mol

Using 1065.650-5,

[Delta]t = 0.2 s
[GRAPHIC] [TIFF OMITTED] TR13JY05.112

W = 5.09  (kW[middot]hr)

    (f) Rounding. Round emission values only after all calculations are 
complete and the result is in g/(kW[middot]hr) or units equivalent to 
the units of the standard, such as g/(hp[middot]hr). See the definition 
of ``Round'' in Sec.  1065.1001.

    Effective Date Note: At 73 FR 37328, June 30, 2008,, Sec.  1065.650 
was revised, effective July 7, 2008. For the convenience of the user, 
the revised text is set forth as follows:



Sec.  1065.650  Emission calculations.

    (a) General. Calculate brake-specific emissions over each test 
interval in a duty cycle. Refer to the standard-setting part for any 
calculations you might need to determine a composite result, such as a 
calculation that weights and sums the results of individual test 
intervals in a duty cycle. For summations of continuous signals, each 
indexed value (i.e., ``i'') represents (or approximates) the mean value 
of the parameter for its respective time interval, delta-t.
    (b) We specify three alternative ways to calculate brake-specific 
emissions, as follows:
    (1) For any testing, you may calculate the total mass of emissions, 
as described in paragraph (c) of this section, and divide it by the 
total work generated over the test interval, as described in paragraph 
(d) of this section, using the following equation:


[[Page 990]]


[GRAPHIC] [TIFF OMITTED] TR06MY08.035

Example:
mNOx = 64.975 g
W = 25.783 kW[middot]hr
eNOx = 64.975/25.783
eNOx = 2.520 g/(kW[middot]hr)

    (2) For discrete-mode steady-state testing, you may calculate the 
ratio of emission mass rate to power, as described in paragraph (e) of 
this section, using the following equation:
[GRAPHIC] [TIFF OMITTED] TR06MY08.036

    (3) For field testing, you may calculate the ratio of total mass to 
total work, where these individual values are determined as described in 
paragraph (f) of this section. You may also use this approach for 
laboratory testing, consistent with good engineering judgment. This is a 
special case in which you use a signal linearly proportional to raw 
exhaust molar flow rate to determine a value proportional to total 
emissions. You then use the same linearly proportional signal to 
determine total work using a chemical balance of fuel, intake air, and 
exhaust as described in Sec.  1065.655, plus information about your 
engine's brake-specific fuel consumption. Under this method, flow meters 
need not meet accuracy specifications, but they must meet the applicable 
linearity and repeatability specifications in subpart D or subpart J of 
this part. The result is a brake-specific emission value calculated as 
follows:
[GRAPHIC] [TIFF OMITTED] TR06MY08.037

Example:

m = 805.5 g
W = 52.102 kW[middot]hr
eCO = 805.5/52.102
eCO = 2.520 g/(kW[middot]hr)

    (c) Total mass of emissions. To calculate the total mass of an 
emission, multiply a concentration by its respective flow. For all 
systems, make preliminary calculations as described in paragraph (c)(1) 
of this section, then use the method in paragraphs (c)(2) through (4) of 
this section that is appropriate for your system. Calculate the total 
mass of emissions as follows:
    (1) Concentration corrections. Perform the following sequence of 
preliminary calculations on recorded concentrations:
    (i) Correct all THC and CH4 concentrations, including 
continuous readings, sample bags readings, and dilution air background 
readings, for initial contamination, as described in Sec.  1065.660(a).
    (ii) Correct all concentrations measured on a ``dry'' basis to a 
``wet'' basis, including dilution air background concentrations, as 
described in Sec.  1065.659.
    (iii) Calculate all THC and NMHC concentrations, including dilution 
air background concentrations, as described in Sec.  1065.660.
    (iv) For emission testing with an oxygenated fuel, calculate any HC 
concentrations, including dilution air background concentrations, as 
described in Sec.  1065.665. See subpart I of this part for testing with 
oxygenated fuels.
    (v) Correct all the NOX concentrations, including 
dilution air background concentrations, for intake-air humidity as 
described in Sec.  1065.670.
    (vi) Compare the background corrected mass of NMHC to background 
corrected mass of THC. If the background corrected mass of NMHC is 
greater than 0.98 times the background corrected mass of THC, take the 
background corrected mass of NMHC to be 0.98 times the background 
corrected mass of THC. If you omit the NMHC calculations as described in 
Sec.  1065.660(b)(1), take the background corrected mass of NMHC to be 
0.98 times the background corrected mass of THC.
    (vii) Calculate brake-specific emissions before and after correcting 
for drift, including dilution air background concentrations, according 
to Sec.  1065.672.
    (2) Continuous sampling. For continuous sampling, you must 
frequently record a continuously updated concentration signal. You may 
measure this concentration from a changing flow rate or a constant flow 
rate (including discrete-mode steady-state testing), as follows:
    (i) Varying flow rate. If you continuously sample from a changing 
exhaust flow rate, time align and then multiply concentration 
measurements by the flow rate from which you extracted it. Use good 
engineering judgment to time align flow and concentration data to match 
t50 rise or fall times to within 1 s. 
We consider the following to be examples of changing flows that require 
a continuous multiplication of concentration times molar flow rate: raw 
exhaust, exhaust diluted with a constant flow rate of dilution air, and 
CVS dilution with a CVS flowmeter that does not have an upstream heat 
exchanger or electronic flow control. This multiplication results in the 
flow rate of the emission itself. Integrate the emission flow rate over 
a test interval to determine the total emission. If the total emission 
is a molar quantity, convert this quantity to a mass by multiplying it 
by its molar mass, M. The result is the mass of the emission, m. 
Calculate m for continuous sampling with variable flow using the 
following equations:

[[Page 991]]

[GRAPHIC] [TIFF OMITTED] TR06MY08.038

Where:

[GRAPHIC] [TIFF OMITTED] TR06MY08.039

Example:

MNMHC = 13.875389 g/mol
N = 1200
xNMHC1 = 84.5 [micro]mol/mol = 84.5 [middot] 10-6 
          mol/mol
xNMHC2 = 86.0 [micro]mol/mol = 86.0 [middot] 10-6 
          mol/mol
nexh1 = 2.876 mol/s
nexh2 = 2.224 mol/s
frecord = 1 Hz
Using Eq. 1065.650-5,
[Delta]t = 1/1 =1 s
mNMHC = 13.875389 [middot] (84.5 [middot] 10-6 
          [middot] 2.876 + 86.0 [middot] 10-6 [middot] 2.224 
          + ... + xNMHC1200 [middot] nexh) 
          [middot] 1
mNMHC = 25.53 g

    (ii) Constant flow rate. If you continuously sample from a constant 
exhaust flow rate, use the same emission calculations described in 
paragraph (c)(2)(i) of this section or calculate the mean or flow-
weighted concentration recorded over the test interval and treat the 
mean as a batch sample, as described in paragraph (c)(3)(ii) of this 
section. We consider the following to be examples of constant exhaust 
flows: CVS diluted exhaust with a CVS flowmeter that has either an 
upstream heat exchanger, electronic flow control, or both.
    (3) Batch sampling. For batch sampling, the concentration is a 
single value from a proportionally extracted batch sample (such as a 
bag, filter, impinger, or cartridge). In this case, multiply the mean 
concentration of the batch sample by the total flow from which the 
sample was extracted. You may calculate total flow by integrating a 
changing flow rate or by determining the mean of a constant flow rate, 
as follows:
    (i) Varying flow rate. If you collect a batch sample from a changing 
exhaust flow rate, extract a sample proportional to the changing exhaust 
flow rate. We consider the following to be examples of changing flows 
that require proportional sampling: Raw exhaust, exhaust diluted with a 
constant flow rate of dilution air, and CVS dilution with a CVS 
flowmeter that does not have an upstream heat exchanger or electronic 
flow control. Integrate the flow rate over a test interval to determine 
the total flow from which you extracted the proportional sample. 
Multiply the mean concentration of the batch sample by the total flow 
from which the sample was extracted. If the total emission is a molar 
quantity, convert this quantity to a mass by multiplying it by its molar 
mass, M. The result is the mass of the emission, m. In the case of PM 
emissions, where the mean PM concentration is already in units of mass 
per mole of sample, MPM, simply multiply it by the total 
flow. The result is the total mass of PM, mPM. Calculate m 
for batch sampling with variable flow using the following equation:
[GRAPHIC] [TIFF OMITTED] TR06MY08.040

Example:

MNOx = 46.0055 g/mol
N = 9000
xNOx = 85.6 [micro]mol/mol = 85.6 [middot] 
          10-6 mol/mol
ndexh1 = 25.534 mol/s
ndexh2 = 26.950 mol/s
frecord = 5 Hz
Using Eq. 1065.650-5,
[Delta]t = 1/5 = 0.2
mNOx = 46.0055 [middot] 85.6 [middot] 10-6 
          [middot] (25.534 + 26.950 + ... + nexh9000) 
          [middot] 0.2
mNOx = 4.201 g

    (ii) Constant flow rate. If you batch sample from a constant exhaust 
flow rate, extract a sample at a proportional or constant flow rate. We 
consider the following to be examples of constant exhaust flows: CVS 
diluted exhaust with a CVS flow meter that has either an upstream heat 
exchanger, electronic flow control, or both. Determine the mean molar 
flow rate from which you extracted the constant flow rate sample. 
Multiply the mean concentration of the batch sample by the mean molar 
flow rate of the exhaust from which the sample was extracted, and 
multiply the result by the time of the test interval. If the total 
emission is a molar quantity, convert this quantity to a mass by 
multiplying it by its molar mass, M. The result is the mass of the 
emission, m. In the case of PM emissions, where the mean PM 
concentration is already in units of mass per mole of sample, 
MPM, simply multiply it by the total flow, and the result is 
the total mass of PM, mPM. Calculate m for sampling with 
constant flow using the following equations:
[GRAPHIC] [TIFF OMITTED] TR06MY08.041


and for PM or any other analysis of a batch sample that yields a mass 
per mole of sample,
[GRAPHIC] [TIFF OMITTED] TR06MY08.042

Example:

MPM = 144.0 [micro]g/mol = 144.0 [middot] 10-6 g/
          mol
ndexh = 57.692 mol/s
[Delta]t = 1200 s
mPM = 144.0 [middot] 10-6 [middot] 57.692 [middot] 
          1200
mPM = 9.9692 g
    (4) Additional provisions for diluted exhaust sampling; continuous 
or batch. The following additional provisions apply for sampling 
emissions from diluted exhaust:

[[Page 992]]

    (i) For sampling with a constant dilution ratio (DR) of diluted 
exhaust versus exhaust flow (e.g., secondary dilution for PM sampling), 
calculate m using the following equation:
[GRAPHIC] [TIFF OMITTED] TR06MY08.043

Example:

mPMdil = 6.853 g
DR = 6:1
mPM = 6.853 [middot] (6)
mPM = 41.118 g

    (ii) For continuous or batch sampling, you may measure background 
emissions in the dilution air. You may then subtract the measured 
background emissions, as described in Sec.  1065.667.
    (d) Total work. To calculate total work from the engine's primary 
output shaft, numerically integrate feedback power over a test interval. 
Before integrating, adjust the speed and torque data for the time 
alignment used in Sec.  1065.514(c). Any advance or delay used on the 
feedback signals for cycle validation must also be used for calculating 
work. Account for work of accessories according to Sec.  1065.110. 
Exclude any work during cranking and starting. Exclude work during 
actual motoring operation (negative feedback torques), unless the engine 
was connected to one or more energy storage devices. Examples of such 
energy storage devices include hybrid powertrain batteries and hydraulic 
accumulators, like the ones illustrated in Figure 1 of Sec.  1065.210. 
Exclude any work during reference zero-load idle periods (0% speed or 
idle speed with 0 N[middot]m reference torque). Note, that there must be 
two consecutive reference zero load idle points to establish a period 
where this applies. Include work during idle points with simulated 
minimum torque such as Curb Idle Transmissions Torque (CITT) for 
automatic transmissions in ``drive''. The work calculation method 
described in paragraphs (b)(1) though (7) of this section meets these 
requirements using rectangular integration. You may use other logic that 
gives equivalent results. For example, you may use a trapezoidal 
integration method as described in paragraph (b)(8) of this section.
    (1) Time align the recorded feedback speed and torque values by the 
amount used in Sec.  1065.514(c).
    (2) Calculate shaft power at each point during the test interval by 
multiplying all the recorded feedback engine speeds by their respective 
feedback torques.
    (3) Adjust (reduce) the shaft power values for accessories according 
to Sec.  1065.110.
    (4) Set all power values during any cranking or starting period to 
zero. See Sec.  1065.525 for more information about engine cranking.
    (5) Set all negative power values to zero, unless the engine was 
connected to one or more energy storage devices. If the engine was 
tested with an energy storage device, leave negative power values 
unaltered.
    (6) Set all power values to zero during idle periods with a 
corresponding reference torque of 0 N[middot]m.
    (7) Integrate the resulting values for power over the test interval. 
Calculate total work as follows:
[GRAPHIC] [TIFF OMITTED] TR06MY08.044

[GRAPHIC] [TIFF OMITTED] TR06MY08.045

Example:

N = 9000
fn1 = 1800.2 rev/min
fn2 = 1805.8 rev/min
T1 = 177.23 N[middot]m
T2 = 175.00 N[middot]m
Crev = 2 [middot] [pi] rad/rev
Ct1 = 60 s/min
Cp = 1000 (N[middot]m[middot]rad/s)/kW
frecord = 5 Hz
Ct2 = 3600 s/hr
[GRAPHIC] [TIFF OMITTED] TR06MY08.046

P1 = 33.41 kW
P2 = 33.09 kW
Using Eq. 1065.650-5,
[Delta]t = \1/5\ = 0.2 s
[GRAPHIC] [TIFF OMITTED] TR06MY08.047

W = 16.875 kW[middot]hr

    (8) You may use a trapezoidal integration method instead of the 
rectangular integration described in this paragraph (b). To do this, you 
must integrate the fraction of work between points where the torque is 
positive. You may assume that speed and torque are linear between data 
points. You may not set negative values to zero before running the 
integration.
    (e) Steady-state mass rate divided by power. To determine steady-
state brake-specific emissions for a test interval as described in 
paragraph (b)(2) of this section, calculate the mean steady-state mass 
rate of the emission, m, and the mean steady-state power, P as follows:
    (1) To calculate m, multiply its mean concentration, x, by its 
corresponding mean molar flow rate, n. If the result is a molar flow 
rate, convert this quantity to a mass rate by multiplying it by its 
molar mass, M. The result is the mean mass rate of the emission, m. In 
the case of PM emissions, where the mean PM concentration is already in

[[Page 993]]

units of mass per mole of sample, MPM, simply multiply it by 
the mean molar flow rate, n. The result is the mass rate of PM, 
mPM. Calculate m using the following equation:
[GRAPHIC] [TIFF OMITTED] TR06MY08.048

    (2) Calculate P using the following equation:
    [GRAPHIC] [TIFF OMITTED] TR06MY08.049
    
    (3) Divide emission mass rate by power to calculate a brake-specific 
emission result as described in paragraph (b)(2) of this section.
    (4) The following example shows how to calculate mass of emissions 
using mean mass rate and mean power:


MCO = 28.0101 g/mol

xCO = 12.00 mmol/mol = 0.01200 mol/mol

n = 1.530 mol/s

fn = 3584.5 rev/min = 375.37 rad/s

T = 121.50 N[middot]m

m = 28.0101[middot]0.01200[middot]1.530

m = 0.514 g/s = 1850.4 g/hr

P = 121.5[middot]375.37

P = 45607

W = 45.607 kW

eCO = 1850.4/45.61

eCO = 40.57 g/(kW[middot]hr)

    (f) Ratio of total mass of emissions to total work. To determine 
brake-specific emissions for a test interval as described in paragraph 
(b)(3) of this section, calculate a value proportional to the total mass 
of each emission. Divide each proportional value by a value that is 
similarly proportional to total work.
    (1) Total mass. To determine a value proportional to the total mass 
of an emission, determine total mass as described in paragraph (c) of 
this section, except substitute for the molar flow rate, n, or the total 
flow, n, with a signal that is linearly proportional to molar flow rate, 
n, or linearly proportional to total flow, n as follows:
[GRAPHIC] [TIFF OMITTED] TR06MY08.050

    (2) Total work. To calculate a value proportional to total work over 
a test interval, integrate a value that is proportional to power. Use 
information about the brake-specific fuel consumption of your engine, 
efuel, to convert a signal proportional to fuel flow rate to 
a signal proportional to power. To determine a signal proportional to 
fuel flow rate, divide a signal that is proportional to the mass rate of 
carbon products by the fraction of carbon in your fuel, wc.. 
For your fuel, you may use a measured wc or you may use the 
default values in Table 1 of Sec.  1065.655. Calculate the mass rate of 
carbon from the amount of carbon and water in the exhaust, which you 
determine with a chemical balance of fuel, intake air, and exhaust as 
described in Sec.  1065.655. In the chemical balance, you must use 
concentrations from the flow that generated the signal proportional to 
molar flow rate, n, in paragraph (e)(1) of this section. Calculate a 
value proportional to total work as follows:
[GRAPHIC] [TIFF OMITTED] TR06MY08.051

Where:
[GRAPHIC] [TIFF OMITTED] TR06MY08.052

    (3) Brake-specific emissions. Divide the value proportional to total 
mass by the value proportional to total work to determine brake-specific 
emissions, as described in paragraph (b)(3) of this section.
    (4) Example. The following example shows how to calculate mass of 
emissions using proportional values:

N = 3000
frecord = 5 Hz
efuel = 285 g/(kW.hr)
wfuel = 0.869 g/g
Mc = 12.0107 g/mol
n1 = 3.922 mol/s = 14119.2 mol/hr
xCcombdry1 = 91.634 mmol/mol = 0.091634 mol/mol
xH2Oexh1 = 27.21 mmol/mol = 0.02721 mol/mol

Using Eq. 1065.650-5,
[Delta]t = 0.2 s


[[Page 994]]


[GRAPHIC] [TIFF OMITTED] TR06MY08.053

W = 5.09 (kW[middot]hr)

    (g) Rounding. Round emission values only after all calculations are 
complete and the result is in g/(kW[middot]hr) or units equivalent to 
the units of the standard, such as g/(hp[middot]hr). See the definition 
of ``Round'' in Sec.  1065.1001.



Sec.  1065.655  Chemical balances of fuel, intake air, and exhaust.

    (a) General. Chemical balances of fuel, intake air, and exhaust may 
be used to calculate flows, the amount of water in their flows, and the 
wet concentration of constituents in their flows. With one flow rate of 
either fuel, intake air, or exhaust, you may use chemical balances to 
determine the flows of the other two. For example, you may use chemical 
balances along with either intake air or fuel flow to determine raw 
exhaust flow.
    (b) Procedures that require chemical balances. We require chemical 
balances when you determine the following:
    (1) A value proportional to total work, W, when you choose to 
determine brake-specific emissions as described in Sec.  1065.650(e).
    (2) The amount of water in a raw or diluted exhaust flow, 
xH2O, when you do not measure the amount of water to correct 
for the amount of water removed by a sampling system. Correct for 
removed water according to Sec.  1065.659(c)(2).
    (3) The flow-weighted mean fraction of dilution air in diluted 
exhaust xdil, when you do not measure dilution air flow to 
correct for background emissions as described inSec.  1065.667(c). Note 
that if you use chemical balances for this purpose, you are assuming 
that your exhaust is stoichiometric, even if it is not.
    (c) Chemical balance procedure. The calculations for a chemical 
balance involve a system of equations that require iteration. We 
recommend using a computer to solve this system of equations. You must 
guess the initial values of up to three quantities: the amount of water 
in the measured flow, xH2O, fraction of dilution air in 
diluted exhaust, xdil, and the amount of products on a 
C1 basis per dry mole of dry measured flow, 
xCproddry. For each emission concentration, x, and amount of 
water xH2O, you must determine their completely dry 
concentrations. xdry and xH2Odry. You must also 
use your fuel's atomic hydrogen-to-carbon ratio, [alpha], and oxygen-to-
carbon ratio, [beta]. For your fuel, you may measure [alpha] and [beta] 
or you may use the default values in Table 1 of Sec.  1065.650. Use the 
following steps to complete a chemical balance:
    (1) Convert your measured concentrations such as, 
xCO2meas, xNOmeas, and xH2Oint, to dry 
concentrations by dividing them by one minus the amount of water present 
during their respective measurements; for example: xH2OxCO2, 
xH2OxNO, and xH2Oint. If the amount of water 
present during a ``wet'' measurement is the same as the unknown amount 
of water in the exhaust flow, xH2O, iteratively solve for 
that value in the system of equations. If you measure only total 
NOX and not NO and NO2 separately, use good 
engineering judgement to estimate a split in your total NOX 
concentration between NO and NO2 for the chemical balances. 
For example, if you measure emissions from a stoichiometric spark-
ignition engine, you may assume all NOX is NO. For a 
compression-ignition engine, you may assume that your molar 
concentration of NOX, xNOX, is 75% NO and 25% 
NO2 For NO2 storage aftertreatment systems, you 
may assume xNOX is 25% NO and 75% NO2. Note that 
for calculating the mass of NOX emissions, you must use the 
molar mass of NO2 for the effective molar mass of all 
NOX species, regardless of the actual NO2 fraction 
of NOX.
    (2) Enter the equations in paragraph (c)(4) of this section into a 
computer program to iteratively solve for xH2O and 
xCproddry. If you measure raw exhaust flow, set 
xdil equal to zero. If you

[[Page 995]]

measure diluted exhaust flow, iteratively solve for xdil. Use 
good engineering judgment to guess initial values for xH2O, 
xCproddry, and xdil. We recommend guessing an 
initial amount of water that is about twice the amount of water in your 
intake or dilution air. We recommend guessing an initial value of 
xCproddry as the sum of your measured CO2, CO, and 
THC values. If you measure diluted exhaust, we also recommend guessing 
an initial xdil between 0.75 and 0.95, such as 0.8. Iterate 
values in the system of equations until the most recently updated 
guesses are all within 1% of their respective most 
recently calculated values.
    (3) Use the following symbols and subscripts in the equations for 
this paragraph (c):

xH2O = Amount of water in measured flow.
xH2Odry = Amount of water per dry mole of measured flow.
xCproddry = Amount of carbon products on a C1 
basis per dry mole of measured flow.
xdil = Fraction of dilution air in measured flow, assuming 
stoichiometric exhaust; or xdil = excess air for raw exhaust.
xprod/intdry = Amount of dry stoichiometric products per dry 
mole of intake air.
xO2proddry = Amount of oxygen products on an O2 
basis per dry mole of measured flow.
x[emission]dry = Amount of emission per dry mole of measured 
flow.
x[emission]meas = Amount of emission in measured flow.
xH2O[emission]meas = Amount of water at emission-detection 
location. Measure or estimate these values according to Sec.  
1065.145(d)(2).
xH2Oint = Amount of water in the intake air, based on a 
humidity measurement of intake air.
xH2Odil = Amount of water in dilution air, based on a 
humidity measurement of intake air.
xO2airdry = Amount of oxygen per dry mole of air. Use 
xO2airdry= 0.209445 mol/mol.
xCO2airdry = Amount of carbon dioxide per dry mole of air. 
Use xCO2airdry = 375 [micro]mol/mol.
[alpha] = Atomic hydrogen-to-carbon ratio in fuel.
[beta] = Atomic oxygen-to-carbon ratio in fuel.

    (4) Use the following equations to iteratively solve for 
xH2O and xCproddry:
[GRAPHIC] [TIFF OMITTED] TR13JY05.113

[GRAPHIC] [TIFF OMITTED] TR13JY05.114

[GRAPHIC] [TIFF OMITTED] TR13JY05.115

[GRAPHIC] [TIFF OMITTED] TR13JY05.116

[GRAPHIC] [TIFF OMITTED] TR13JY05.117

[GRAPHIC] [TIFF OMITTED] TR13JY05.118

[GRAPHIC] [TIFF OMITTED] TR13JY05.119

[GRAPHIC] [TIFF OMITTED] TR13JY05.120

[GRAPHIC] [TIFF OMITTED] TR13JY05.121


[[Page 996]]


[GRAPHIC] [TIFF OMITTED] TR13JY05.122

[GRAPHIC] [TIFF OMITTED] TR13JY05.123

[GRAPHIC] [TIFF OMITTED] TR13JY05.124

[GRAPHIC] [TIFF OMITTED] TR13JY05.125

    (5) The following example is a solution for xH2O and 
xCproddry using the equations in paragraph (c)(4) of this 
section:
[GRAPHIC] [TIFF OMITTED] TR13JY05.126

[GRAPHIC] [TIFF OMITTED] TR13JY05.127

[GRAPHIC] [TIFF OMITTED] TR13JY05.128


[[Page 997]]


[GRAPHIC] [TIFF OMITTED] TR13JY05.129


 Table 1 of Sec.   1065.655--Default values of atomic hydrogen-to-carbon ratio, [alpha], atomic oxygen-to-carbon
                      ratio, [beta] and carbon mass fraction of fuel, WC, for various fuels
----------------------------------------------------------------------------------------------------------------
                                                                                                  Carbon mass
                    Fuel                        Atomic hydrogen and oxygen-to-carbon ratios      concentration,
                                                             CH[alpha] O[beta]                       WCg/g
----------------------------------------------------------------------------------------------------------------
Gasoline...................................  CH1.85O0                                                      0.866
2 Diesel..........................  CH1.80O0                                                      0.869
1 Diesel..........................  CH1.93O0                                                      0.861
Liquified Petroleum Gas....................  CH2.64O0                                                      0.819
Natural gas................................  CH3.78O0.016                                                  0.747
Ethanol....................................  CH3O0.5                                                       0.521
Methanol...................................  CH4O1                                                         0.375
----------------------------------------------------------------------------------------------------------------

    (d) Calculated raw exhaust molar flow rate from measured intake air 
molar flow rate or fuel mass flow rate. You may calculate the raw 
exhaust molar flow rate from which you sampled emissions, 
nexh, based on the measured intake air molar flow rate, 
nint, or the measured fuel mass flow rate, mfuel, 
and the values calculated using the chemical balance in paragraph (c) of 
this section. Solve for the chemical balance in paragraph (c) of this 
section at the same frequency that you update and record nint 
or mfuel.
    (1) Crankcase flow rate. You may calculate raw exhaust flow based on 
nint or mfuel only if at least one of the 
following is true about your crankcase emission flow rate:
    (i) Your test engine has a production emission-control system with a 
closed crankcase that routes crankcase flow back to the intake air, 
downstream of your intake air flow meter.
    (ii) During emission testing you route open crankcase flow to the 
exhaust according to Sec.  1065.130(g).
    (iii) You measure open crankcase emissions and flow, and you add the 
masses of crankcase emissions to your brake-specific emission 
calculations.
    (iv) Using emission data or an engineering analysis, you can show 
that neglecting the flow rate of open crankcase emissions does not 
adversely affect your ability to demonstrate compliance with the 
applicable standards.
    (2) Intake air molar flow rate calculation. Based on 
nint, calculate nexh as follows:
[GRAPHIC] [TIFF OMITTED] TR13JY05.132

Where:

nexh= raw exhaust molar flow rate from which you measured 
emissions.
nint =intake air molar flow rate including humidity in intake 
air.

Example:

nint= 3.780 mol/s
xH20int = 16.930 mmol/mol = 0.016930 mol/mol
xprod/intdry = 0.93382 mol/mol
xH20dry = 130.16 mmol/mol = 0.13016 mol/mol
xdil = 0.20278 mol/mol

[[Page 998]]

[GRAPHIC] [TIFF OMITTED] TR13JY05.133

nexh = 4.919 mol/s

    (3) Fuel mass flow rate calculation. Based on mfuel, 
calculate nexh as follows:
[GRAPHIC] [TIFF OMITTED] TR13JY05.134

Where:

nexh= raw exhaust molar flow rate from which you measured 
emissions.
mfuel= intake air molar flow rate including humidity in 
intake air.

Example:

mfuel= 6.023 g/s
wC = 0.869 g/g
MC = 12.0107 g/mol
xCproddry = 125.58 mmol/mol = 0.12558 mol/mol
xH20dry = 130.16 mmol/mol = 0.13016 mol/mol
xdil = 0.20278 mol/mol
[GRAPHIC] [TIFF OMITTED] TR13JY05.135

nexh = 4.919 mol/s

    Effective Date Note: At 73 FR 37331, June 30, 2008, , Sec.  1065.655 
was revised, effective July 7, 2008. For the convenience of the user, 
the revised text is set forth as follows:



Sec.  1065.655  Chemical balances of fuel, intake air, and exhaust.

    (a) General. Chemical balances of fuel, intake air, and exhaust may 
be used to calculate flows, the amount of water in their flows, and the 
wet concentration of constituents in their flows. With one flow rate of 
either fuel, intake air, or exhaust, you may use chemical balances to 
determine the flows of the other two. For example, you may use chemical 
balances along with either intake air or fuel flow to determine raw 
exhaust flow.
    (b) Procedures that require chemical balances. We require chemical 
balances when you determine the following:
    (1) A value proportional to total work, W, when you choose to 
determine brake-specific emissions as described in Sec.  1065.650(e).
    (2) The amount of water in a raw or diluted exhaust flow, 
xH2Oexh, when you do not measure the amount of water to 
correct for the amount of water removed by a sampling system. Correct 
for removed water according to Sec.  1065.659(c)(2).
    (3) The flow-weighted mean fraction of dilution air in diluted 
exhaust, xdil/exh, when you do not measure dilution air flow 
to correct for background emissions as described in Sec.  1065.667(c). 
Note that if you use chemical balances for this purpose, you are 
assuming that your exhaust is stoichiometric, even if it is not.
    (c) Chemical balance procedure. The calculations for a chemical 
balance involve a system of equations that require iteration. We 
recommend using a computer to solve this system of equations. You must 
guess the initial values of up to three quantities: The amount of water 
in the measured flow, xH2Oexh, fraction of dilution air in 
diluted exhaust, xdil/exh, and the amount of products on a 
C1 basis per dry mole of dry measured flow, 
xCcombdry. You may use time-weighted mean values of 
combustion air humidity and dilution air humidity in the chemical 
balance; as long as your combustion air and dilution air humidities 
remain within tolerances of  0.0025 mol/mol of 
their respective mean values over the test interval. For each emission 
concentration, x, and amount of water, xH2Oexh, you must 
determine their completely dry concentrations, xdry and 
xH2Oexhdry. You must also use your fuel's atomic hydrogen-to-
carbon ratio, [alpha], and oxygen-to-carbon

[[Page 999]]

ratio, [beta]. For your fuel, you may measure [alpha] and [beta] or you 
may use the default values in Table 1 of Sec.  1065.650. Use the 
following steps to complete a chemical balance:
    (1) Convert your measured concentrations such as, 
xCO2meas, xNOmeas, and xH2Oint, to dry 
concentrations by dividing them by one minus the amount of water present 
during their respective measurements; for 
example:xH2OxCO2meas, xH2OxNOmeas, and 
xH2Oint. If the amount of water present during a ``wet'' 
measurement is the same as the unknown amount of water in the exhaust 
flow, xH2Oexh, iteratively solve for that value in the system 
of equations. If you measure only total NOX and not NO and 
NO2 separately, use good engineering judgment to estimate a 
split in your total NOX concentration between NO and 
NO2 for the chemical balances. For example, if you measure 
emissions from a stoichiometric spark-ignition engine, you may assume 
all NOX is NO. For a compression-ignition engine, you may 
assume that your molar concentration of NOX, xNOx, 
is 75% NO and 25% NO2. For NO2 storage 
aftertreatment systems, you may assume xNOx is 25% NO and 75% 
NO2. Note that for calculating the mass of NOX 
emissions, you must use the molar mass of NO2 for the 
effective molar mass of all NOX species, regardless of the 
actual NO2 fraction of NOX.
    (2) Enter the equations in paragraph (c)(4) of this section into a 
computer program to iteratively solve for xH2Oexh, 
xCcombdry, and xdil/exh. Use good engineering 
judgment to guess initial values for xH2Oexh, 
xCcombdry, and xdil/exh. We recommend guessing an 
initial amount of water that is about twice the amount of water in your 
intake or dilution air. We recommend guessing an initial value of 
xCcombdry as the sum of your measured CO2, CO, and 
THC values. We also recommend guessing an initial xdil/exh 
between 0.75 and 0.95, such as 0.8. Iterate values in the system of 
equations until the most recently updated guesses are all within  1% of their respective most recently calculated values.
    (3) Use the following symbols and subscripts in the equations for 
this paragraph (c):

xdil/exh = Amount of dilution gas or excess air per mole of 
          exhaust.
xH2Oexh = Amount of water in exhaust per mole of exhaust.
xCcombdry = Amount of carbon from fuel in the exhaust per 
          mole of dry exhaust.
xH2Oexhdry = Amount of water in exhaust per dry mole of dry 
          exhaust.
xprod/intdry = Amount of dry stoichiometric products per dry 
          mole of intake air.
xdil/exhdry = Amount of dilution gas and/or excess 
          air per mole of dry exhaust.
xint/exhdry = Amount of intake air required to produce actual 
          combustion products per mole of dry (raw or diluted) exhaust.
xraw/exhdry = Amount of undiluted exhaust, without excess 
          air, per mole of dry (raw or diluted) exhaust.
xO2int = Amount of intake air O2 per mole of 
          intake air.
xCO2intdry = Amount of intake air CO2 per mole of 
          dry intake air. You may use xCO2intdry = 375 
          [micro]mol/mol, but we recommend measuring the actual 
          concentration in the intake air.
xH2Ointdry = Amount of intake air H2O per mole of 
          dry intake air.
xCO2int = Amount of intake air CO2 per mole of 
          intake air.
xCO2dil = Amount of dilution gas CO2 per mole of 
          dilution gas.
xCO2dildry = Amount of dilution gas CO2 per mole 
          of dry dilution gas. If you use air as diluent, you may use 
          xCO2dildry = 375 [micro]mol/mol, but we recommend 
          measuring the actual concentration in the intake air.
xH2Odildry = Amount of dilution gas H2O per mole 
          of dry dilution gas.
xH2Odil = Amount of dilution gas H2O per mole of 
          dilution gas.
x[emission]meas = Amount of measured emission in the sample 
          at the respective gas analyzer.
x[emission]dry = Amount of emission per dry mole of dry 
          sample.
xH2O[emission]meas = Amount of water in sample at emission-
          detection location. Measure or estimate these values according 
          to Sec.  1065.145(d)(2).
xH2Oint = Amount of water in the intake air, based on a 
          humidity measurement of intake air.
[alpha] = Atomic hydrogen-to-carbon ratio in fuel.
[beta] = Atomic oxygen-to-carbon ratio in fuel.

    (4) Use the following equations to iteratively solve for 
xdil/exh, xH2Oexh, and xCcombdry:
[GRAPHIC] [TIFF OMITTED] TR06MY08.054

[GRAPHIC] [TIFF OMITTED] TR06MY08.055

[GRAPHIC] [TIFF OMITTED] TR06MY08.056


[[Page 1000]]


[GRAPHIC] [TIFF OMITTED] TR06MY08.057

[GRAPHIC] [TIFF OMITTED] TR06MY08.058

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[[Page 1001]]


    (5) The following example is a solution for xdil/exh, 
xH2Oexh, and xCcombdry using the equations in 
paragraph (c)(4) of this section:
[GRAPHIC] [TIFF OMITTED] TR06MY08.071

[GRAPHIC] [TIFF OMITTED] TR06MY08.072

[GRAPHIC] [TIFF OMITTED] TR06MY08.073

[GRAPHIC] [TIFF OMITTED] TR06MY08.074

[GRAPHIC] [TIFF OMITTED] TR06MY08.075

[GRAPHIC] [TIFF OMITTED] TR06MY08.076

[GRAPHIC] [TIFF OMITTED] TR06MY08.077

[GRAPHIC] [TIFF OMITTED] TR06MY08.078

[GRAPHIC] [TIFF OMITTED] TR06MY08.079

[GRAPHIC] [TIFF OMITTED] TR06MY08.080

[GRAPHIC] [TIFF OMITTED] TR06MY08.081

[GRAPHIC] [TIFF OMITTED] TR06MY08.082

[GRAPHIC] [TIFF OMITTED] TR06MY08.083


[[Page 1002]]


[GRAPHIC] [TIFF OMITTED] TR06MY08.084

[GRAPHIC] [TIFF OMITTED] TR06MY08.085

[GRAPHIC] [TIFF OMITTED] TR06MY08.086

[GRAPHIC] [TIFF OMITTED] TR06MY08.087

[alpha] = 1.8
[beta] = 0.05

Table 1 of Sec.   1065.655.--Default Values of Atomic Hydrogen-to-Carbon Ratio, [alpha], Atomic Oxygen-to-Carbon
                     Ratio, [beta], and Carbon Mass Fraction of Fuel, wC, for Various Fuels
----------------------------------------------------------------------------------------------------------------
                                                                                                   Carbon mass
                      Fuel                           Atomic  hydrogen and  oxygen-to-carbon      concentration,
                                                            ratios  CH[alpha]O[beta]                 wC  g/g
----------------------------------------------------------------------------------------------------------------
Gasoline........................................  CH1.85O0                                                 0.866
2 Diesel...............................  CH1.80O0                                                 0.869
1 Diesel...............................  CH1.93O0                                                 0.861
Liquified Petroleum Gas.........................  CH2.64O0                                                 0.819
Natural gas.....................................  CH3.78O0.016                                             0.747
Ethanol.........................................  CH3O0.5                                                  0.521
Methanol........................................  CH4O1                                                    0.375
----------------------------------------------------------------------------------------------------------------

    (d) Calculated raw exhaust molar flow rate from measured intake air 
molar flow rate or fuel mass flow rate. You may calculate the raw 
exhaust molar flow rate from which you sampled emissions, 
nexh, based on the measured intake air molar flow rate, 
nint, or the measured fuel mass flow rate, nfuel, 
and the values calculated using the chemical balance in paragraph (c) of 
this section. Note that the chemical balance must be based on raw 
exhaust gas concentrations. Solve for the chemical balance in paragraph 
(c) of this section at the same frequency that you update and record 
nintor nfuel.
    (1) Crankcase flow rate. If engines are not subject to crankcase 
controls under the standard-setting part, you may calculate raw exhaust 
flow based on nintor nfuel using one of the 
following:
    (i) You may measure flow rate through the crankcase vent and 
subtract it from the calculated exhaust flow.
    (ii) You may estimate flow rate through the crankcase vent by 
engineering analysis as long as the uncertainty in your calculation does 
not adversely affect your ability to show that your engines comply with 
applicable emission standards.
    (iii) You may assume your crankcase vent flow rate is zero.
    (2) Intake air molar flow rate calculation. Based on 
nint, calculate nexh as follows:
[GRAPHIC] [TIFF OMITTED] TR06MY08.088

Where:

nexh = raw exhaust molar flow rate from which you measured 
          emissions.
nint = intake air molar flow rate including humidity in 
          intake air.

Example:

nint = 3.780 mol/s
xint/exhdry = 0.69021 mol/mol
xraw/exhdry = 1.10764 mol/mol
xH20exhdry = 107.64 mmol/mol = 0.10764 mol/mol

[[Page 1003]]

[GRAPHIC] [TIFF OMITTED] TR06MY08.089

nexh = 6.066 mol/s

    (3) Fuel mass flow rate calculation. Based on mfuel, 
calculate nexh as follows:
[GRAPHIC] [TIFF OMITTED] TR06MY08.090

Where:

nexh = raw exhaust molar flow rate from which you measured 
          emissions.
mfuel = fuel flow rate including humidity in intake air.

Example:

mfuel = 7.559 g/s
wC = 0.869 g/g
MC = 12.0107 g/mol
xCcombdry = 99.87 mmol/mol = 0.09987 mol/mol
xH20exhdry = 107.64 mmol/mol = 0.10764 mol/mol
[GRAPHIC] [TIFF OMITTED] TR06MY08.091

nexh = 6.066 mol/s



Sec.  1065.659  Removed water correction.

    (a) If you remove water upstream of a concentration measurement, x, 
or upstream of a flow measurement, n, correct for the removed water. 
Perform this correction based on the amount of water at the 
concentration measurement, xH2O[emission]meas, and at the 
flow meter, xH2O, whose flow is used to determine the 
concentration's total mass over a test interval.
    (b) Downstream of where you removed water, you may determine the 
amount of water remaining by any of the following:
    (1) Measure the dewpoint and absolute pressure downstream of the 
water removal location and calculate the amount of water remaining as 
described in Sec.  1065.645.
    (2) When saturated water vapor conditions exist at a given location, 
you may use the measured temperature at that location as the dewpoint 
for the downstream flow. If we ask, you must demonstrate how you know 
that saturated water vapor conditions exist. Use good engineering 
judgment to measure the temperature at the appropriate location to 
accurately reflect the dewpoint of the flow.
    (3) You may also use a nominal value of absolute pressure based on 
an alarm setpoint, a pressure regulator setpoint, or good engineering 
judgment.
    (c) For a corresponding concentration or flow measurement where you 
did not remove water, you may determine the amount of initial water by 
any of the following:
    (1) Use any of the techniques described in paragraph (b) of this 
section.
    (2) If the measurement comes from raw exhaust, you may determine the 
amount of water based on intake-air humidity, plus a chemical balance of 
fuel, intake air and exhaust as described in Sec.  1065.655.
    (3) If the measurement comes from diluted exhaust, you may determine 
the amount of water based on intake-air humidity, dilution air humidity, 
and a chemical balance of fuel, intake air, and exhaust as described in 
Sec.  1065.655.
    (d) Perform a removed water correction to the concentration 
measurement using the following equation:

[[Page 1004]]

[GRAPHIC] [TIFF OMITTED] TR13JY05.136

Example:

xCOmeas = 29.0 [micro]mol/mol
xH2OxCOmeas = 8.601 mmol/mol = 0.008601 mol/mol
xH2O = 34.04 mmol/mol = 0.03404 mol/mol
[GRAPHIC] [TIFF OMITTED] TR13JY05.137

xCO = 28.3 [micro]mol/mol

    Effective Date Note: At 73 FR 37335, June 30, 2008, Sec.  1065.659 
was revised, effective July 7, 2008. For the convenience of the user, 
the revised text is set forth as follows:



Sec.  1065.659  Removed water correction.

    (a) If you remove water upstream of a concentration measurement, x, 
or upstream of a flow measurement, n, correct for the removed water. 
Perform this correction based on the amount of water at the 
concentration measurement, xH2O[emission]meas, and at the 
flow meter, xH2Oexh, whose flow is used to determine the 
concentration's total mass over a test interval.
    (b) When using continuous analyzers downstream of a sample dryer for 
transient and ramped-modal testing, you must correct for removed water 
using signals from other continuous analyzers. When using batch 
analyzers downstream of a sample dryer, you must correct for removed 
water by using signals either from other batch analyzers or from the 
flow-weighted average concentrations from continuous analyzers. 
Downstream of where you removed water, you may determine the amount of 
water remaining by any of the following:
    (1) Measure the dewpoint and absolute pressure downstream of the 
water removal location and calculate the amount of water remaining as 
described in Sec.  1065.645.
    (2) When saturated water vapor conditions exist at a given location, 
you may use the measured temperature at that location as the dewpoint 
for the downstream flow. If we ask, you must demonstrate how you know 
that saturated water vapor conditions exist. Use good engineering 
judgment to measure the temperature at the appropriate location to 
accurately reflect the dewpoint of the flow. Note that if you use this 
option and the water correction in paragraph (d) of this section results 
in a corrected value that is greater than the measured value, your 
saturation assumption is invalid and you must determine the water 
content according to paragraph (b)(1) of this section.
    (3) You may also use a nominal value of absolute pressure based on 
an alarm set point, a pressure regulator set point, or good engineering 
judgment.
    (4) Set xH2O[emission]meas equal to that of the measured 
upstream humidity condition if it is lower than the dryer saturation 
conditions.
    (c) For a corresponding concentration or flow measurement where you 
did not remove water, you may determine the amount of initial water by 
any of the following:
    (1) Use any of the techniques described in paragraph (b) of this 
section.
    (2) If the measurement comes from raw exhaust, you may determine the 
amount of water based on intake-air humidity, plus a chemical balance of 
fuel, intake air and exhaust as described in Sec.  1065.655.
    (3) If the measurement comes from diluted exhaust, you may determine 
the amount of water based on intake-air humidity, dilution air humidity, 
and a chemical balance of fuel, intake air, and exhaust as described in 
Sec.  1065.655.
    (d) Perform a removed water correction to the concentration 
measurement using the following equation:
[GRAPHIC] [TIFF OMITTED] TR06MY08.092


[[Page 1005]]


Example:

xCOmeas = 29.0 [micro]mol/mol
xH2OCOmeas = 8.601 mmol/mol = 0.008601 mol/mol
xH2Oexh = 34.04 mmol/mol = 0.03404 mol/mol
[GRAPHIC] [TIFF OMITTED] TR06MY08.093

xCO = 28.3 [micro]mol/mol



Sec.  1065.660  THC and NMHC determination.

    (a) THC determination. If we require you to determine THC emissions, 
calculate xTHC using the initial THC contamination 
concentration xTHCinit from Sec.  1065.520 as follows:
[GRAPHIC] [TIFF OMITTED] TR13JY05.138

Example:

xTHCuncor = 150.3 [micro]mol/mol
xTHCinit = 1.1 [micro]mol/mol
xTHCcor = 150.3 - 1.1
xTHCcor = 149.2 [micro]mol/mol

    (b) NMHC determination. Use one of the following to determine NMHC 
emissions, xNMHC.
    (1) Report xNMHC as 0.98 [middot] xTHC if you 
did not measure CH4, or if the result of paragraph (b)(2) or 
(3) of this section is greater than the result using this paragraph 
(b)(1).
    (2) For nonmethane cutters, calculate xNMHC using the 
nonmethane cutter's penetration fractions (PF) of CH4 and 
C2H6 from Sec.  1065.365, and using the initial 
NMHC contamination concentration xNMHCinit from Sec.  
1065.520 as follows:
[GRAPHIC] [TIFF OMITTED] TR13JY05.139

Where:

xNMHC = concentration of NMHC.
PFCH4 = nonmethane cutter CH4 penetration 
fraction, according to Sec.  1065.365.
xTHC = concentration of THC, as measured by the THC FID.
RFCH4 = response factor of THC FID to CH4, 
according to Sec.  1065.360.
xCH4 = concentration of methane, as measured downstream of 
the nonmethane cutter.
PFC2H6 = nonmethane cutter CH4 penetration 
fraction, according to Sec.  1065.365.
xNMHCinit = initial NMHC contamination concentration, 
according to Sec.  1065.520.

Example:

PFCH4 = 0.990
xTHC = 150.3 [micro]mol/mol
RFCH4 = 1.05
xCH4 = 20.5 [micro]mol/mol
PFC2H6 = 0.020
xNMHCinit = 1.1 [micro]mol/mol
[GRAPHIC] [TIFF OMITTED] TR13JY05.140

xNMHC = 130.1 [micro]mol/mol

    (3) For a gas chromatograph, calculate xNMHC using the 
THC analyzer's response factor (RF) for CH4, from Sec.  
1065.360, and using the initial NMHC contamination concentration 
xNMHCinit from Sec.  1065.520 as follows:
[GRAPHIC] [TIFF OMITTED] TR13JY05.141

Example:

xTHC = 145.6 [micro]mol/mol
RFCH4 = 0.970
xCH4 = 18.9 [micro]mol/mol
xNMHCinit = 1.1 [micro]mol/mol
xNMHC = 145.6 - 0.970 [middot] 18.9 - 1.1
xNMHC = 126.2 [micro]mol/mol

    Effective Date Note: At 73 FR 37336, June 30, 2008, Sec.  1065.660 
was revised, effective July

[[Page 1006]]

7, 2008. For the convenience of the user, the revised text is set forth 
as follows:



Sec.  1065.660  THC and NMHC determination.

    (a) THC determination and THC/CH4 initial contamination corrections. 
(1) If we require you to determine THC emissions, calculate 
xTHC[THC-FID] using the initial THC contamination 
concentration xTHC[THC-FID]init from Sec.  1065.520 as 
follows:
[GRAPHIC] [TIFF OMITTED] TR06MY08.094

Example:

xTHCuncor = 150.3 [micro]mol/mol
xTHCinit = 1.1 [micro]mol/mol
xTHCcor = 150.3 - 1.1
xTHCcor = 149.2 [micro]mol/mol

    (2) For the NMHC determination described in paragraph (b) of this 
section, correct xTHC[THC-FID] for initial HC contamination 
using Eq. 1065.660-1. You may correct for initial contamination of the 
CH4 sample train using Eq. 1065.660-1, substituting in 
CH4 concentrations for THC.
    (b) NMHC determination. Use one of the following to determine NMHC 
concentration, xNMHC:
    (1) If you do not measure CH4, you may determine NMHC 
concentrations as described in Sec.  1065.650(c)(1)(vi).
    (2) For nonmethane cutters, calculate xNMHC using the 
nonmethane cutter's penetration fractions (PF) of CH4 and 
C2H6 from Sec.  1065.365, and using the HC 
contamination and wet-to-dry corrected THC concentration 
xTHC[THC-FID]cor as determined in paragraph (a) of this 
section.
    (i) Use the following equation for penetration fractions determined 
using an NMC configuration as outlined in Sec.  1065.365(d):
[GRAPHIC] [TIFF OMITTED] TR06MY08.095

Where:

xNMHC = concentration of NMHC.
xTHC[THC-FID]cor = concentration of THC, HC contamination and 
          dry-to-wet corrected, as measured by the THC FID during 
          sampling while bypassing the NMC.
xTHC[NMC-FID] = concentration of THC, HC contamination 
          (optional) and dry-to-wet corrected, as measured by the THC 
          FID during sampling through the NMC.
RFCH4[THC-FID] = response factor of THC FID to 
          CH4, according to Sec.  1065.360(d).
RFPFC2H6[NMC-FID] = nonmethane cutter combined ethane 
          response factor and penetration fraction, according to Sec.  
          1065.365(d).

Example:

xTHC[THC-FID]cor = 150.3 [micro]mol/mol
xTHC[NMC-FID] = 20.5 [micro]mol/mol
RFPFC2H6[NMC-FID] = 0.019
RFCH4[THC-FID] = 1.05
[GRAPHIC] [TIFF OMITTED] TR06MY08.096

xNMHC = 130.4 [micro]mol/mol

    (ii) For penetration fractions determined using an NMC configuration 
as outlined in Sec.  1065.365(e), use the following equation:
[GRAPHIC] [TIFF OMITTED] TR06MY08.097


[[Page 1007]]


Where:

xNMHC = concentration of NMHC.
xTHC[THC-FID]cor = concentration of THC, HC contamination and 
          dry-to-wet corrected, as measured by the THC FID during 
          sampling while bypassing the NMC.
PFCH4[NMC-FID] = nonmethane cutter CH4 penetration 
          fraction, according to Sec.  1065.365(e).
xTHC[NMC-FID] = concentration of THC, HC contamination 
          (optional) and dry-to-wet corrected, as measured by the THC 
          FID during sampling through the NMC.
PFC2H6[NMC-FID] = nonmethane cutter ethane penetration 
          fraction, according to Sec.  1065.365(e).

Example:

xTHC[THC-FID]cor = 150.3 [micro]mol/mol
PFCH4[NMC-FID] = 0.990
xTHC[NMC-FID] = 20.5 [micro]mol/mol
PFC2H6[NMC-FID] = 0.020
[GRAPHIC] [TIFF OMITTED] TR06MY08.098

xNMHC = 132.3 [micro]mol/mol

    (iii) For penetration fractions determined using an NMC 
configuration as outlined in Sec.  1065.365(f), use the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR06MY08.099

Where:

xNMHC = concentration of NMHC.
xTHC[THC-FID]cor = concentration of THC, HC contamination and 
          dry-to-wet corrected, as measured by the THC FID during 
          sampling while bypassing the NMC.
PFCH4[NMC-FID] = nonmethane cutter CH4 penetration 
          fraction, according to Sec.  1065.365(f).
xTHC[NMC-FID] = concentration of THC, HC contamination 
          (optional) and dry-to-wet corrected, as measured by the THC 
          FID during sampling through the NMC.
RFPFC2H6[NMC-FID] = nonmethane cutter CH4 combined 
          ethane response factor and penetration fraction, according to 
          Sec.  1065.365(f).
RFCH4[THC-FID] = response factor of THC FID to 
          CH4, according to Sec.  1065.360(d).

Example:

xTHC[THC-FID]cor = 150.3 [micro]mol/mol
PFCH4[NMC-FID] = 0.990
xTHC[NMC-FID] = 20.5 [micro]mol/mol
RFPFC2H6[NMC-FID] = 0.019
RFCH4[THC-FID] = 0.980
[GRAPHIC] [TIFF OMITTED] TR06MY08.100

xNMHC = 132.5 [micro]mol/mol

    (3) For a gas chromatograph, calculate xNMHC using the 
THC analyzer's response factor (RF) for CH4, from Sec.  
1065.360, and the HC contamination and wet-to-dry corrected initial THC 
concentration xTHC[THC-FID]cor as determined in section (a) 
above as follows:
[GRAPHIC] [TIFF OMITTED] TR06MY08.101

Where:

xNMHC = concentration of NMHC.
xTHC[THC-FID]cor = concentration of THC, HC contamination and 
          dry-to-wet corrected, as measured by the THC FID.
xCH4 = concentration of CH4, HC contamination 
          (optional) and dry-to-wet corrected, as measured by the gas 
          chromatograph FID.
RFCH4[THC-FID] = response factor of THC-FID to 
          CH4.

Example:

xTHC[THC-FID][cor = 145.6 [micro]mol/mol
RFCH4[THC-FID] = 0.970
xCH4 = 18.9 [micro]mol/mol
xNMHC = 145.6-0.970 [middot] 18.9
xNMHC = 127.3 [micro]mol/mol



Sec.  1065.665  THCE and NMHCE determination.

    (a) If you measured an oxygenated hydrocarbon's mass concentration 
(per mole of exhaust), first calculate its molar concentration by 
dividing its mass concentration by the effective molar mass of the 
oxygenated hydrocarbon, then multiply each oxygenated

[[Page 1008]]

hydrocarbon's molar concentration by its respective number of carbon 
atoms per molecule. Add these C1-equivalent molar 
concentrations to the molar concentration of NOTHC. The result is the 
molar concentration of THCE. Calculate THCE concentration using the 
following equations:
[GRAPHIC] [TIFF OMITTED] TR13JY05.142

[GRAPHIC] [TIFF OMITTED] TR13JY05.143

[GRAPHIC] [TIFF OMITTED] TR13JY05.144

Where:

xOHCi = The C1-equivalent concentration of 
oxygenated species i in diluted exhaust.
xTHC = The C1-equivalent FID response to NOTHC and 
all OHC in diluted exhaust.
RFOHCi = The response factor of the FID to species i relative 
to propane on a C1-equivalent basis.
C# = the mean number of carbon atoms in the particular compound.

    (b) If we require you to determine NMHCE, use the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR13JY05.145

    (c) The following example shows how to determine NMHCE emissions 
based on ethanol (C2H5OH) and methanol 
(CH3OH) molar concentrations, and acetaldehyde 
(C2H4O) and formaldehyde (HCHO) as mass 
concentrations:

xNMHC = 127.3 [micro]mol/mol
xC2H5OH = 100.8 [micro]mol/mol
xCH3OH = 25.5 [micro]mol/mol
MexhC2H4O = 0.841 mg/mol
MexhHCHO = 39.0 [micro]g/mol
MC2H4O = 44.05256 g/mol
MHCHO = 30.02598 g/mol
xC2H4O = 0.841/44.05256 1000
xC2H4O = 19.1 [micro]mol/mol
xHCHO = 39/30.02598
xHCHO = 1.3 [micro]mol/mol
xNMHCE = 127.3 + 2 100.8 + 25.5 + 2 19.1 + 1.3
xNMHCE = 393.9 [micro]mol/mol

    Effective Date Note: At 73 FR 37337, June 30, 2008, Sec.  1065.665 
was revised, effective July 7, 2008. For the convenience of the user, 
the revised text is set forth as follows:



Sec.  1065.665  THCE and NMHCE determination.

    (a) If you measured an oxygenated hydrocarbon's mass concentration, 
first calculate its molar concentration in the exhaust sample stream 
from which the sample was taken (raw or diluted exhaust), and convert 
this into a C1-equivalent molar concentration. Add these 
C1-equivalent molar concentrations to the molar concentration 
of NOTHC. The result is the molar concentration of THCE. Calculate THCE 
concentration using the following equations, noting that equation 
1065.665-3 is only required if you need to convert your OHC 
concentration from mass to moles:
[GRAPHIC] [TIFF OMITTED] TR06MY08.102


[[Page 1009]]


[GRAPHIC] [TIFF OMITTED] TR06MY08.103

[GRAPHIC] [TIFF OMITTED] TR06MY08.104

Where:

xTHCE = The C1-equivalent sum of the concentration 
          of carbon mass contributions of non-oxygenated hydrocarbons, 
          alcohols, and aldehydes.
xNOTHC = The C1-equivalent sum of the 
          concentration of nonoxygenated THC.
xOHCi = The C1-equivalent concentration of 
          oxygenated species i in diluted exhaust, not corrected for 
          initial contamination.
xOHCi-init = The C1-equivalent 
          concentration of the initial system contamination (optional) 
          of oxygenated species i, dry-to-wet corrected.
xTHC[THC-FID]cor = The C1-equivalent response to 
          NOTHC and all OHC in diluted exhaust, HC contamination and 
          dry-to-wet corrected, as measured by the THC-FID.
RFOHCi[THC-FID] = The response factor of the FID 
          to species i relative to propane on a C1-equivalent 
          basis.
C = The mean number of carbon atoms in the 
          particular compound.
Mdexh = The molar mass of diluted exhaust as determined in 
          Sec.  1065.340.
mdexhOHCi = The mass of oxygenated species i in dilute 
          exhaust.
MOHCi = The C1-equivalent molecular weight of 
          oxygenated species i.
mdexh = The mass of diluted exhaust.
ndexhOHCi = The number of moles of oxygenated species i in 
          total diluted exhaust flow.
ndexh = The total diluted exhaust flow.

    (b) If we require you to determine NMHCE, use the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR06MY08.105

Where:

xNMHCE = The C1-equivalent sum of the 
          concentration of carbon mass contributions of non-oxygenated 
          NMHC, alcohols, and aldehydes.
RFCH4[THC-FID] = response factor of THC-FID to 
          CH4.
xCH4 = concentration of CH4, HC contamination 
          (optional) and dry-to-wet corrected, as measured by the gas 
          chromatograph FID.

    (c) The following example shows how to determine NMHCE emissions 
based on ethanol (C2H5OH), methanol 
(CH3OH), acetaldehyde (C2H4O), and 
formaldehyde (HCHO) as C1-equivalent molar concentrations:

xTHC[THC-FID]cor = 145.6 [micro]mol/mol
xCH4 = 18.9 [micro]mol/mol
xC2H5OH = 100.8 [micro]mol/mol
xCH3OH = 1.1 [micro]mol/mol
xC2H4O = 19.1 [micro]mol/mol
xHCHO = 1.3 [micro]mol/mol
RFCH4[THC-FID] = 1.07
RFC2H5OH[THC-FID] = 0.76
RFCH3OH[THC-FID] = 0.74
RFH2H4O[THC-FID] = 0.50
RFHCHO[THC-FID] = 0.0
xNMHCE = xTHC[THC-FID]cor-(xC2H5OH 
[middot] RFC2H5OH[THC-FID] + xCH3OH [middot] 
RFCH3OH[THC-FID] + xC2H4O [middot] 
RFC2H4O[THC-FID] + xHCHO [middot] 
RFHCHO[THC-FID] + xC2H5OH + xCH3OH + 
xC2H4O + xHCHO-(RFCH4[THC-FID] [middot] 
xCH4)
xNMHCE = 145.6-(100.8 [middot] 0.76 + 1.1 [middot] 0.74 + 
19.1 [middot] 0.50 + 1.3 [middot] 0) + 100.8 + 1.1 + 19.1 + 1.3-(1.07 
[middot] 18.9)
xNMHCE = 160.71 [micro]mol/mol



Sec.  1065.667  Dilution air background emission correction.

    (a) To determine the mass of background emissions to subtract from a 
diluted exhaust sample, first determine the total flow of dilution air, 
ndil, over the test interval. This may be a measured quantity 
or a quantity calculated from the diluted exhaust flow and the

[[Page 1010]]

flow-weighted mean fraction of dilution air in diluted exhaust, 
xdil. Multiply the total flow of dilution air by the mean 
concentration of a background emission. This may be a time-weighted mean 
or a flow-weighted mean (e.g., a proportionally sampled background). The 
product of ndil and the mean concentration of a background 
emission is the total amount of a background emission. If this is a 
molar quantity, convert it to a mass by multiplying it by its molar 
mass, M. The result is the mass of the background emission, m. In the 
case of PM, where the mean PM concentration is already in units of mass 
per mole of sample, MPM, multiply it by the total amount of 
dilution air, and the result is the total background mass of PM, 
mPM. Subtract total background masses from total mass to 
correct for background emissions.
    (b) You may determine the total flow of dilution air by a direct 
flow measurement. In this case, calculate the total mass of background 
as described in Sec.  1065.650(b), using the dilution air flow, 
ndil . Subtract the background mass from the total mass. Use 
the result in brake-specific emission calculations.
    (c) You may determine the total flow of dilution air from the total 
flow of diluted exhaust and a chemical balance of the fuel, intake air, 
and exhaust as described in Sec.  1065.655. In this case, calculate the 
total mass of background as described in Sec.  1065.650(b), using the 
total flow of diluted exhaust, ndexh, then multiply this 
result by the flow-weighted mean fraction of dilution air in diluted 
exhaust, xdil. Calculate xdil using flow-weighted 
mean concentrations of emissions in the chemical balance, as described 
in Sec.  1065.655. You may assume that your engine operates 
stoichiometrically, even if it is a lean-burn engine, such as a 
compression-ignition engine. Note that for lean-burn engines this 
assumption could result in an error in emission calculations. This error 
could occur because the chemical balances in Sec.  1065.655 correct 
excess air passing through a lean-burn engine as if it was dilution air. 
If an emission concentration expected at the standard is about 100 times 
its dilution air background concentration, this error is negligible. 
However, if an emission concentration expected at the standard is 
similar to its background concentration, this error could be 
significant. If this error might affect your ability to show that your 
engines comply with applicable standards, we recommend that you remove 
background emissions from dilution air by HEPA filtration, chemical 
adsorption, or catalytic scrubbing. You might also consider using a 
partial-flow dilution technique such as a bag mini-diluter, which uses 
purified air as the dilution air.
    (d) The following is an example of using the flow-weighted mean 
fraction of dilution air in diluted exhaust, xdil, and the 
total mass of background emissions calculated using the total flow of 
diluted exhaust, ndexh, as described in Sec.  1065.650(b) :
[GRAPHIC] [TIFF OMITTED] TR13JY05.146

Example:

MNOx = 46.0055 g/mol
xbkgnd = 0.05 [micro]mol/mol = 0.05[middot]10-6 
mol/mol
ndexh = 23280.5 mol
xdil = 0.843
mbkgndNOxdexh = 46.0055 [middot] 0.05 [middot] 
10-6 [middot] 23280.5
mbkgndNOxdexh = 0.0536 g
mbkgndNOx = 0.843 [middot] 0.0536
mbkgndNOx = 0.0452 g

    Effective Date Note: At 73 FR 37338, June 30, 2008, Sec.  1065.667 
was amended by by revising paragraph (b), effective July 7, 2008. For 
the convenience of the user, the revised text is set forth as follows:

[[Page 1011]]



Sec.  1065.667  Dilution air background emission correction.

                                * * * * *

    (b) You may determine the total flow of dilution air by a direct 
flow measurement. In this case, calculate the total mass of background 
as described in Sec.  1065.650(b), using the dilution air flow, 
ndil. Subtract the background mass from the total mass. Use 
the result in brake-specific emission calculations.

                                * * * * *



Sec.  1065.670  NOX intake-air humidity and temperature corrections.

    See the standard-setting part to determine if you may correct 
NOX emissions for the effects of intake-air humidity or 
temperature. Use the NOX intake-air humidity and temperature 
corrections specified in the standard-setting part instead of the 
NOX intake-air humidity correction specified in this part 
1065. If the standard-setting part allows correcting NOX 
emissions for intake-air humidity according to this part 1065, first 
apply any NOX corrections for background emissions and water 
removal from the exhaust sample, then correct NOX 
concentrations for intake-air humidity using one of the following 
approaches:
    (a) Correct for intake-air humidity using the following equation:
    [GRAPHIC] [TIFF OMITTED] TR13JY05.148
    
Example:

xNOxuncor = 700.5 [micro]mol/mol
xH2O = 0.022 mol/mol
xNOxcor = 700.5 [middot] (9.953 [middot] 0.022 + 0.832)
xNOxcor = 736.2 [micro]mol/mol

    (b) Develop your own correction, based on good engineering judgment.

    Effective Date Note: At 73 FR 33738, June 30, 2008, Sec.  1065.670 
was amended by revising the introductory text, effective July 7, 2008. 
For the convenience of the user, the revised text is set forth as 
follows:



Sec.  1065.670  NOX intake-air humidity and temperature corrections.

    See the standard-setting part to determine if you may correct 
NOX emissions for the effects of intake-air humidity or 
temperature. Use the NOX intake-air humidity and temperature 
corrections specified in the standard-setting part instead of the 
NOX intake-air humidity correction specified in this part 
1065. If the standard-setting part does not prohibit correcting 
NOX emissions for intake-air humidity according to this part 
1065, first apply any NOX corrections for background 
emissions and water removal from the exhaust sample, then correct 
NOX concentrations for intake-air humidity. You may use a 
time-weighted mean combustion air humidity to calculate this correction 
if your combustion air humidity remains within a tolerance of  0.0025 mol/mol of the mean value over the test 
interval. For intake-air humidity correction, use one of the following 
approaches:



Sec.  1065.672  Drift correction.

    (a) Scope and frequency. Perform the calculations in this section to 
determine if gas analyzer drift invalidates the results of a test 
interval. If drift does not invalidate the results of a test interval, 
correct that test interval's gas analyzer responses for drift according 
to this section. Use the drift-corrected gas analyzer responses in all 
subsequent emission calculations. Note that the acceptable threshold for 
gas analyzer drift over a test interval is specified in Sec.  1065.550 
for both laboratory testing and field testing.
    (b) Correction principles. The calculations in this section utilize 
a gas analyzer's responses to reference zero and span concentrations of 
analytical gases, as determined sometime before and after a test 
interval. The calculations correct the gas analyzer's responses that 
were recorded during a test interval. The correction is based on an 
analyzer's mean responses to reference zero and span gases, and it is 
based on the reference concentrations of the zero and span gases 
themselves. Validate and correct for drift as follows:
    (c) Drift validation. After applying all the other corrections--
except drift correction--to all the gas analyzer signals, calculate 
brake-specific emissions according to Sec.  1065.650. Then correct all

[[Page 1012]]

gas analyzer signals for drift according to this section. Recalculate 
brake-specific emissions using all of the drift-corrected gas analyzer 
signals. Validate and report the brake-specific emission results before 
and after drift correction according to Sec.  1065.550.
    (d) Drift correction. Correct all gas analyzer signals as follows:
    (1) Correct each recorded concentration, xi, for 
continuous sampling or for batch sampling, x.
    (2) Correct for drift using the following equation:
    [GRAPHIC] [TIFF OMITTED] TR13JY05.149
    
Where:

xidriftcorrected = concentration corrected for drift.
xrefzero = reference concentration of the zero gas, which is 
usually zero unless known to be otherwise.
xrefspan = reference concentration of the span gas.
xprespan = pre-test interval gas analyzer response to the 
span gas concentration.
xpostspan = post-test interval gas analyzer response to the 
span gas concentration.
xi or x = concentration recorded during test, before drift 
correction.
xprezero = pre-test interval gas analyzer response to the 
zero gas concentration.
xpostzero = post-test interval gas analyzer response to the 
zero gas concentration.

Example:

xrefzero = 0 [micro]mol/mol
xrefspan = 1800.0 [micro]mol/mol
xprespan = 1800.5 [micro]mol/mol
xpostspan = 1695.8 [micro]mol/mol
xi or x = 435.5 [micro]mol/mol
xprezero = 0.6 [micro]mol/mol
xpostzero = -5.2 [micro]mol/mol
[GRAPHIC] [TIFF OMITTED] TR13JY05.150

xidriftcorrected = 450.8 [micro]mol/mol

    (3) For any pre-test interval concentrations, use concentrations 
determined most recently before the test interval. For some test 
intervals, the most recent pre-zero or pre-span might have occurred 
before one or more previous test intervals.
    (4) For any post-test interval concentrations, use concentrations 
determined most recently after the test interval. For some test 
intervals, the most recent post-zero or post-span might have occurred 
after one or more subsequent test intervals.
    (5) If you do not record any pre-test interval analyzer response to 
the span gas concentration, xprespan, set xprespan 
equal to the reference concentration of the span gas:

xprespan = xrefspan.

    (6) If you do not record any pre-test interval analyzer response to 
the zero gas concentration, xprezero, set xprezero 
equal to the reference concentration of the zero gas:

xprezero = xrefzero.

    (7) Usually the reference concentration of the zero gas, 
xrefzero, is zero: xrefzero = 0 [micro]mol/mol. 
However, in some cases you might you know that xrefzero has a 
non-zero concentration. For example, if you zero a CO2 
analyzer using ambient air, you may use the default ambient air 
concentration of CO2, which is 375 [micro]mol/mol. In this 
case, xrefzero = 375 [micro]mol/mol. Note that when you zero 
an analyzer using a non-zero xrefzero, you must set the 
analyzer to output the actual xrefzero concentration. For 
example, if xrefzero = 375 [micro]mol/mol, set the analyzer 
to output a value of 375 [micro]mol/mol when the zero gas is flowing to 
the analyzer.

[[Page 1013]]



Sec.  1065.675  CLD quench verification calculations.

    Perform CLD quench-check calculations as follows:
    (a) Calculate the amount of water in the span gas, 
xH2Ospan, assuming complete saturation at the span-gas 
temperature.
    (b) Estimate the expected amount of water and CO2 in the 
exhaust you sample, xH2Oexp and xCO2exp, 
respectively, by considering the maximum expected amounts of water in 
combustion air, fuel combustion products, and dilution air 
concentrations (if applicable).
    (c) Calculate water quench as follows:
    [GRAPHIC] [TIFF OMITTED] TR13JY05.151
    
Where:

quench = amount of CLD quench.
xNOdry = measured concentration of NO upstream of a bubbler, 
according to Sec.  1065.370.
xNOwet = measured concentration of NO downstream of a 
bubbler, according to Sec.  1065.370.
xH2Oexp = expected maximum amount of water entering the CLD 
sample port during emission testing.
xH2Omeas = measured amount of water entering the CLD sample 
port during the quench verification specified in Sec.  1065.370.
xNO,CO2 = measured concentration of NO when NO span gas is 
blended with CO2 span gas, according to Sec.  1065.370.
xNO,N2 = measured concentration of NO when NO span gas is 
blended with N2 span gas, according to Sec.  1065.370.
xCO2exp = expected maximum amount of CO2 entering 
the CLD sample port during emission testing.
xCO2meas = measured amount of CO2 entering the CLD 
sample port during the quench verification specified in Sec.  1065.370.

Example:

xNOdry = 1800.0 [micro]mol/mol
xNOwet = 1760.5 [micro]mol/mol
xH2Oexp = 0.030 mol/mol
xH2Omeas = 0.017 mol/mol
xNO,CO2 = 1480.2 [micro]mol/mol
xNO,N2 = 1500.8 [micro]mol/mol
xCO2exp = 2.00%
xCO2meas = 3.00%
[GRAPHIC] [TIFF OMITTED] TR13JY05.152

quench = -0.00888 - 0.00915 = -1.80%

    Effective Date Note: At 73 FR 33738, June 30, 2008, Sec.  1065.675 
was revised, effective July 7, 2008. For the convenience of the user, 
the revised text is set forth as follows:



Sec.  1065.675  CLD quench verification calculations.

    Perform CLD quench-check calculations as follows:
    (a) Calculate the amount of water in the span gas, 
xH2Ospan, assuming complete saturation at the span-gas 
temperature.
    (b) Estimate the expected amount of water and CO2 in the 
exhaust you sample, xH2Oexp and xCO2exp, 
respectively, by considering the maximum expected amounts of water in 
combustion air, fuel combustion products, and dilution air 
concentrations (if applicable).
    (c) Set xH2Oexp equal to xH2Omeas if you are 
using a sample dryer that passes the sample dryer verification check in 
Sec.  1065.342.
    (d) Calculate water quench as follows:


[[Page 1014]]


[GRAPHIC] [TIFF OMITTED] TR06MY08.106

Where:

quench = amount of CLD quench.
xNOdry = measured concentration of NO upstream of a bubbler, 
          according to Sec.  1065.370.
xNOwet = measured concentration of NO downstream of a 
          bubbler, according to Sec.  1065.370.
xH2Oexp = expected maximum amount of water entering the CLD 
          sample port during emission testing.
xH2Omeas = measured amount of water entering the CLD sample 
          port during the quench verification specified in Sec.  
          1065.370.
xNO,CO2 = measured concentration of NO when NO span gas is 
          blended with CO2 span gas, according to Sec.  
          1065.370.
xNO,N2 = measured concentration of NO when NO span gas is 
          blended with N2 span gas, according to Sec.  
          1065.370.
xCO2exp = expected maximum amount of CO2 entering 
          the CLD sample port during emission testing.
xCO2meas = measured amount of CO2 entering the CLD 
          sample port during the quench verification specified in Sec.  
          1065.370.

Example:

xNOdry = 1800.0 [micro]mol/mol
xNOwet = 1760.5 [micro]mol/mol
xH2Oexp = 0.030 mol/mol
xH2Omeas = 0.017 mol/mol
xNO,CO2 = 1480.2 [micro]mol/mol
xNO,N2 = 1500.8 [micro]mol/mol
xCO2exp = 2.00%
xCO2meas = 3.00%
[GRAPHIC] [TIFF OMITTED] TR06MY08.107

quench = -0.00888-0.00915 = -1.80%



Sec.  1065.690  Buoyancy correction for PM sample media.

    (a) General. Correct PM sample media for their buoyancy in air if 
you weigh them on a balance. The buoyancy correction depends on the 
sample media density, the density of air, and the density of the 
calibration weight used to calibrate the balance. The buoyancy 
correction does not account for the buoyancy of the PM itself, because 
the mass of PM typically accounts for only (0.01 to 0.10)% of the total 
weight. A correction to this small fraction of mass would be at the most 
0.010%.
    (b) PM sample media density. Different PM sample media have 
different densities. Use the known density of your sample media, or use 
one of the densities for some common sampling media, as follows:
    (1) For PTFE-coated borosilicate glass, use a sample media density 
of 2300 kg/m\3\.
    (2) For PTFE membrane (film) media with an integral support ring of 
polymethylpentene that accounts for 95% of the media mass, use a sample 
media density of 920 kg/m\3\.
    (3) For PTFE membrane (film) media with an integral support ring of 
PTFE, use a sample media density of 2144 kg/m\3\.
    (c) Air density. Because a PM balance environment must be tightly 
controlled to an ambient temperature of (22 1) 
[deg]C and a dewpoint of (9.5 1) [deg]C, air 
density is primarily function of atmospheric pressure. We therefore 
specify a buoyancy correction that is only a function of atmospheric 
pressure. Using good engineering judgment, you

[[Page 1015]]

may develop and use your own buoyancy correction that includes the 
effects of temperature and dewpoint on density in addition to the effect 
of atmospheric pressure.
    (d) Calibration weight density. Use the stated density of the 
material of your metal calibration weight. The example calculation in 
this section uses a density of 8000 kg/m\3\, but you should know the 
density of your weight from the calibration weight supplier or the 
balance manufacturer if it is an internal weight.
    (e) Correction calculation. Correct the PM sample media for buoyancy 
using the following equations:
[GRAPHIC] [TIFF OMITTED] TR13JY05.153

Where:

mcor = PM mass corrected for buoyancy.
muncor = PM mass uncorrected for buoyance.
[rho]air = density of air in balance environment.
[rho]weight = density of calibration weight used to span 
balance.
[rho]media = density of PM sample media, such as a filter.
[GRAPHIC] [TIFF OMITTED] TR13JY05.154

Where:

[rho]abs = absolute pressure in balance environment.
Mmix = molar mass of air in balance environment.
R = molar gas constant.
Tamb = absolute ambient temperature of balance environment.

Example:

pabs = 99.980 kPa
Tsat = Tdew = 9.5 [deg]C

Using Eq. 1065.645-2,

pH20 = 1.1866 kPa

Using Eq. 1065.645-3,

xH2O = 0.011868 mol/mol

Using Eq. 1065.640-8,

Mmix = 28.83563 g/mol
R = 8.314472 J/(mol[middot]K)
Tamb = 20 [deg]C
[GRAPHIC] [TIFF OMITTED] TR13JY05.155

[rho]air = 1.18282 kg/m\3\
muncorr = 100.0000 mg
[rho]weight = 8000 kg/m\3\
[rho]media = 920 kg/m\3\
[GRAPHIC] [TIFF OMITTED] TR13JY05.156

mcor = 100.1139 mg

    Effective Date Note: At 73 FR 37339, June 30, 2008, Sec.  1065.690 
was amended by revising paragraph (e), effective July 7, 2008. For the 
convenience of the user, the revised text is set forth as follows:



Sec.  1065.690  Buoyancy correction for PM sample media.

                                * * * * *

    (e) Correction calculation. Correct the PM sample media for buoyancy 
using the following equations:
[GRAPHIC] [TIFF OMITTED] TR06MY08.108



[[Page 1016]]


Where:
mcor = PM mass corrected for buoyancy.
muncor = PM mass uncorrected for buoyancy.
[rho]air = density of air in balance environment.
[rho]weight = density of calibration weight used to span 
          balance.
[rho]media = density of PM sample media, such as a filter.

[GRAPHIC] [TIFF OMITTED] TR06MY08.109


Where:
pabs = absolute pressure in balance environment.
Mmix = molar mass of air in balance environment.
R = molar gas constant.
Tamb = absolute ambient temperature of balance environment.

Example:
pabs = 99.980 kPa
Tsat = Tdew = 9.5 [deg]C
Using Eq. 1065.645-2,
pH20 = 1.1866 kPa
Using Eq. 1065.645-3,
xH2O = 0.011868 mol/mol
Using Eq. 1065.640-9,
Mmix = 28.83563 g/mol
R = 8.314472 J/(mol [middot] K)
Tamb = 20 [deg]C
[GRAPHIC] [TIFF OMITTED] TR06MY08.110

[rho]air = 1.18282 kg/m\3\
muncorr = 100.0000 mg
[rho]weight = 8000 kg/m\3\
[rho]media = 920 kg/m\3\
[GRAPHIC] [TIFF OMITTED] TR06MY08.111

mcor 100.1139 mg



Sec.  1065.695  Data requirements.

    (a) To determine the information we require from engine tests, refer 
to the standard-setting part and request from your Designated Compliance 
Officer the format used to apply for certification or demonstrate 
compliance. We may require different information for different purposes, 
such as for certification applications, approval requests for alternate 
procedures, selective enforcement audits, laboratory audits, production-
line test reports, and field-test reports.
    (b) See the standard-setting part and Sec.  1065.25 regarding 
recordkeeping.
    (c) We may ask you the following about your testing, and we may ask 
you for other information as allowed under the Act:
    (1) What approved alternate procedures did you use? For example:
    (i) Partial-flow dilution for proportional PM.
    (ii) CARB test procedures.
    (iii) ISO test procedures.
    (2) What laboratory equipment did you use? For example, the make, 
model, and description of the following:
    (i) Engine dynamometer and operator demand.
    (ii) Probes, dilution, transfer lines, and sample preconditioning 
components.
    (iii) Batch storage media (such as the bag material or PM filter 
material).
    (3) What measurement instruments did you use? For example, the make, 
model, and description of the following:
    (i) Speed and torque instruments.
    (ii) Flow meters.
    (iii) Gas analyzers.
    (iv) PM balance.
    (4) When did you conduct calibrations and performance checks and 
what were the results? For example, the dates and results of the 
following:
    (i) Linearity checks.
    (ii) Interference checks.
    (iii) Response checks.
    (iv) Leak checks.
    (v) Flow meter checks.
    (5) What engine did you test? For example, the following:
    (i) Manufacturer.
    (ii) Family name on engine label.
    (iii) Model.
    (iv) Model year.
    (v) Identification number.
    (6) How did you prepare and configure your engine for testing? 
Consider the following examples:
    (i) Dates, hours, duty cycle and fuel used for service accumulation.
    (ii) Dates and description of scheduled and unscheduled maintenance.
    (iii) Allowable pressure range of intake restriction.
    (iv) Allowable pressure range of exhaust restriction.

[[Page 1017]]

    (v) Charge air cooler volume.
    (vi) Charge air cooler outlet temperature, specified engine 
conditions and location of temperature measurement.
    (vii) Fuel temperature and location of measurement.
    (viii) Any aftertreatment system configuration and description.
    (ix) Any crankcase ventilation configuration and description (e.g., 
open, closed, PCV, crankcase scavenged).
    (7) How did you test your engine? For example:
    (i) Constant speed or variable speed.
    (ii) Mapping procedure (step or sweep).
    (iii) Continuous or batch sampling for each emission.
    (iv) Raw or dilute sampling; any dilution-air background sampling.
    (v) Duty cycle and test intervals.
    (vi) Cold-start, hot-start, warmed-up running.
    (vii) Absolute pressure, temperature, and dewpoint of intake and 
dilution air.
    (viii) Simulated engine loads, curb idle transmission torque value.
    (ix) Warm-idle speed value and any enhanced-idle speed value.
    (x) Simulated vehicle signals applied during testing.
    (xi) Bypassed governor controls during testing.
    (xii) Date, time, and location of test (e.g., dynamometer laboratory 
identification).
    (xiii) Cooling medium for engine and charge air.
    (xiv) Operating temperatures of coolant, head, and block.
    (xv) Natural or forced cool-down and cool-down time.
    (xvi) Canister loading.
    (8) How did you validate your testing? For example, results from the 
following:
    (i) Duty cycle regression statistics for each test interval.
    (ii) Proportional sampling.
    (iii) Drift.
    (iv) Reference PM sample media in PM-stabilization environment.
    (9) How did you calculate results? For example, results from the 
following:
    (i) Drift correction.
    (ii) Noise correction.
    (iii) ``Dry-to-wet'' correction.
    (iv) NMHC, CH4, and contamination correction.
    (v) NOX humidity correction.
    (vi) Brake-specific emission formulation--total mass divided by 
total work, mass rate divided by power, or ratio of mass to work.
    (vii) Rounding emission results.
    (10) What were the results of your testing? For example:
    (i) Maximum mapped power and speed at maximum power.
    (ii) Maximum mapped torque and speed at maximum torque.
    (iii) For constant-speed engines: no-load governed speed.
    (iv) For constant-speed engines: test torque.
    (v) For variable-speed engines: maximum test speed.
    (vi) Speed versus torque map.
    (vii) Speed versus power map.
    (viii) Brake-specific emissions over the duty cycle and each test 
interval.
    (ix) Brake-specific fuel consumption.
    (11) What fuel did you use? For example:
    (i) Fuel that met specifications of subpart H of this part.
    (ii) Alternate fuel.
    (iii) Oxygenated fuel.
    (12) How did you field test your engine? For example:
    (i) Data from paragraphs (c)(1), (3), (4), (5), and (9) of this 
section.
    (ii) Probes, dilution, transfer lines, and sample preconditioning 
components.
    (iii) Batch storage media (such as the bag material or PM filter 
material).
    (iv) Continuous or batch sampling for each emission.
    (v) Raw or dilute sampling; any dilution air background sampling.
    (vi) Cold-start, hot-start, warmed-up running.
    (vii) Intake and dilution air absolute pressure, temperature, 
dewpoint.
    (viii) Curb idle transmission torque value.
    (ix) Warm idle speed value, any enhanced idle speed value.
    (x) Date, time, and location of test (e.g., identify the testing 
laboratory).
    (xi) Proportional sampling validation.
    (xii) Drift validation.
    (xiii) Operating temperatures of coolant, head, and block.

[[Page 1018]]

    (xiv) Vehicle make, model, model year, identification number.

    Effective Date Note: At 73 FR 37339, June 30, 2008, Sec.  1065.695 
was amended by revising paragraph (c)(7)(ix), effective July 7, 2008. 
For the convenience of the user, the revised text is set forth as 
follows:



Sec.  1065.695  Data requirements.

                                * * * * *

    (c) * * *
    (7) * * *
    (ix) Warm-idle speed value.

                                * * * * *



    Subpart H_Engine Fluids, Test Fuels, Analytical Gases and Other 
                          Calibration Standards



Sec.  1065.701  General requirements for test fue ls.

    (a) General. For all emission measurements, use test fuels that meet 
the specifications in this subpart, unless the standard-setting part 
directs otherwise. Section 1065.10(c)(1) does not apply with respect to 
test fuels. Note that the standard-setting parts generally require that 
you design your emission controls to function properly when using 
commercially available fuels, even if they differ from the test fuel.
    (b) Fuels meeting alternate specifications. We may allow you to use 
a different test fuel (such as California Phase 2 gasoline) if you show 
us that using it does not affect your ability to comply with all 
applicable emission standards using commercially available fuels.
    (c) Fuels not specified in this subpart. If you produce engines that 
run on a type of fuel (or mixture of fuels) that we do not specify in 
this subpart, you must get our written approval to establish the 
appropriate test fuel. You must show us all the following things before 
we can specify a different test fuel for your engines:
    (1) Show that this type of fuel is commercially available.
    (2) Show that your engines will use only the designated fuel in 
service.
    (3) Show that operating the engines on the fuel we specify would 
unrepresentatively increase emissions or decrease durability.
    (d) Fuel specifications. The fuel parameters specified in this 
subpart depend on measurement procedures that are incorporated by 
reference. For any of these procedures, you may instead rely upon the 
procedures identified in 40 CFR part 80 for measuring the same 
parameter. For example, we may identify different reference procedures 
for measuring gasoline parameters in 40 CFR 80.46.
    (e) Service accumulation and field testing fuels. If we do not 
specify a service-accumulation or field-testing fuel in the standard-
setting part, use an appropriate commercially available fuel such as 
those meeting minimum ASTM specifications from the following table:

           Table 1 of Sec.   1065.701--Specifications for Service-Accumulation and Field-Testing Fuels
----------------------------------------------------------------------------------------------------------------
               Fuel type                          Subcategory                    ASTM specification \1\
----------------------------------------------------------------------------------------------------------------
Diesel................................  Light distillate and light      D975-04c
                                         blends with residual.
                                        Middle distillate.............  D6751-03a
                                        Biodiesel (B100)..............  D6985-04a
Gasoline..............................  Motor vehicle and minor         D4814-04b
                                         oxygenate blends.
                                        Ethanol (Ed75-85).............  D5798-99
                                        Methanol (M70-M85)............  D5797-96
Aviation fuel.........................  Aviation gasoline.............  D910-04a
                                        Gas turbine...................  D1655-04a
                                        Jet B wide cut................  D6615-04a
Gas turbine fuel......................  General.......................  D2880-03
----------------------------------------------------------------------------------------------------------------
\1\ All ASTM specifications are incorporated by reference in Sec.   1065.1010.


    Effective Date Note: At 73 FR 37339, July 7, 2008, Sec.  1065.701 
was amended by revising paragraphs (b),(c),and (e), effective July 7, 
2008. For the convenience of the user, the revised text is set forth as 
follows:



Sec.  1065.701  General requirements for test fuels.

                                * * * * *

[[Page 1019]]

    (b) Fuels meeting alternate specifications. We may allow you to use 
a different test fuel (such as California Phase 2 gasoline) if it does 
not affect your ability to show that your engines would comply with all 
applicable emission standards using the fuel specified in this subpart.
    (c) Fuels not specified in this subpart. If you produce engines that 
run on a type of fuel (or mixture of fuels) that we do not specify in 
this subpart, you must get our written approval to establish the 
appropriate test fuel. See the standard-setting part for provisions 
related to fuels and fuel mixtures not specified in this subpart.
    (1) For engines designed to operate on a single fuel, we will 
generally allow you to use the fuel if you show us all the following 
things are true:
    (i) Show that your engines will use only the designated fuel in 
service.
    (ii) Show that this type of fuel is commercially available.
    (iii) Show that operating the engines on the fuel we specify would 
be inappropriate, as in the following examples:
    (A) The engine will not run on the specified fuel.
    (B) The engine or emission controls will not be durable or work 
properly when operating with the specified fuel.
    (C) The measured emission results would otherwise be substantially 
unrepresentative of in-use emissions.
    (2) For engines that are designed to operate on different fuel 
types, the provisions of paragraphs (c)(1)(ii) and (iii) of this section 
apply with respect to each fuel type.
    (3) For engines that are designed to operate on different fuel types 
as well as continuous mixtures of those fuels, we may require you to 
test with either the worst-case fuel mixture or the most representative 
fuel mixture, unless the standard-setting part specifies otherwise.

                                * * * * *

    (e) Service accumulation and field testing fuels. If we do not 
specify a service-accumulation or field-testing fuel in the standard-
setting part, use an appropriate commercially available fuel such as 
those meeting minimum specifications from the following table:

              Table 1 of Sec.   1065.701.--Examples of Service-Accumulation and Field-Testing Fuels
----------------------------------------------------------------------------------------------------------------
             Fuel category                        Subcategory                    Reference procedure \1\
----------------------------------------------------------------------------------------------------------------
                                        Light distillate and light      ASTM D975-07b.
                                         blends with residual.
Diesel................................  Middle distillate.............  ASTM D6751-07b.
                                        Biodiesel (B100)..............  ASTM D6985-04a.
Intermediate and residual fuel........  All...........................  See Sec.   1065.705.
Gasoline..............................  Motor vehicle gasoline........  ASTM D4814-07a.
                                        Minor oxygenated gasoline       ASTM D4814-07a.
                                         blends.
Alcohol...............................  Ethanol (Ed75-85).............  ASTM D5798-07.
                                        Methanol (M70-M85)............  ASTM D5797-07.
Aviation fuel.........................  Aviation gasoline.............  ASTM D910-07.
                                        Gas turbine...................  ASTM D1655-07e01.
                                        Jet B wide cut................  ASTM D6615-06.
Gas turbine fuel......................  General.......................  ASTM D2880-03.
----------------------------------------------------------------------------------------------------------------
\1\ ASTM specifications are incorporated by reference in Sec.   1065.1010.



Sec.  1065.703  Distillate diesel fuel.

    (a) Distillate diesel fuels for testing must be clean and bright, 
with pour and cloud points adequate for proper engine operation.
    (b) There are three grades of 2 diesel fuel specified for 
use as a test fuel. See the standard-setting part to determine which 
grade to use. If the standard-setting part does not specify which grade 
to use, use good engineering judgment to select the grade that 
represents the fuel on which the engines will operate in use. The three 
grades are specified in Table 1 of this section.
    (c) You may use the following nonmetallic additives with distillate 
diesel fuels:
    (1) Cetane improver.
    (2) Metal deactivator.
    (3) Antioxidant, dehazer.
    (4) Rust inhibitor.
    (5) Pour depressant.
    (6) Dye.
    (7) Dispersant.
    (8) Biocide.

[[Page 1020]]



                 Table 1 of Sec.   1065.703--Test Fuel Specifications for Distillate Diesel Fuel
----------------------------------------------------------------------------------------------------------------
                                                 Ultra low                                         Reference
             Item                   Units          sulfur        Low sulfur      High sulfur     procedure \1\
----------------------------------------------------------------------------------------------------------------
Cetane Number.................  .............  40-50          40-50            40-50           ASTM D 613-03b
Distillation range:
    Initial boiling point.....  [deg]C.......  171-204        171-204          171-204         ASTM D 86-04b
    10 pct. point.............  [deg]C.......  204-238        204-238          204-238
    50 pct. point.............  [deg]C.......  243-282        243-282          243-282
    90 pct. point.............  [deg]C.......  293-332        293-332          293-332
    Endpoint..................  [deg]C.......  321-366        321-366          321-366
Gravity.......................  [deg]API.....  32-37          32-37            32-37           ASTM D 287-92
Total sulfur..................  mg/kg........  7-15           300-500          2000-4000       ASTM D 2622-03
Aromatics, minimum. (Remainder  g/kg.........  100            100              100             ASTM D 5186-03
 shall be paraffins,
 naphthalenes, and olefins).
Flashpoint, min...............  [deg]C.......  54             54               54              ASTM D 93-02a
Viscosity.....................  cSt..........  2.0-3.2        2.0-3.2          2.0-3.2         ASTM D 445-04
----------------------------------------------------------------------------------------------------------------
\1\ All ASTM procedures are incorporated by reference in Sec.   1065.1010. See Sec.   1065.701(d) for other
  allowed procedures.


    Effective Date Note: At 73 FR 37340, June 30, 2008, Sec.  1065.703 
was amended by revising Table 1, effective July 7, 2008. For the 
convenience of the user, the revised text is set forth as follows:



Sec.  1065.703  Distillate diesel fuel.

                                * * * * *

                Table 1 of Sec.   1065.703.--Test Fuel Specifications for Distillate Diesel Fuel
----------------------------------------------------------------------------------------------------------------
                                                       Ultra low                             Reference procedure
               Item                      Units           sulfur     Low sulfur  High sulfur          \1\
----------------------------------------------------------------------------------------------------------------
Cetane Number....................  40-50............        40-50        40-50   ASTM D613-
                                                                                        05.
Distillation range...............   [deg]C..........
    Initial boiling point........  171-204..........      171-204      171-204    ASTM D86-
                                                                                       07a.
    10 pct. point................  204-238..........      204-238      204-238
    50 pct. point................  243-282..........      243-282      243-282
    90 pct. point................  293-332..........      293-332      293-332
    Endpoint.....................  321-366..........      321-366      321-366
Gravity..........................  [deg] API........        32-37        32-37        32-37  ASTM D4052-96e01.
Total sulfur.....................  mg/kg............         7-15      300-500    2000-4000  ASTM D2622-07.
Aromatics, min. (Remainder shall   g/kg.............          100          100          100  ASTM D5186-03.
 be paraffins, naphthalenes, and
 olefins).
Flashpoint, min..................   [deg]C..........           54           54           54  ASTM D93-07.
Kinematic Viscosity..............  cSt..............      2.0-3.2      2.0-3.2      2.0-3.2  ASTM D445-06.
----------------------------------------------------------------------------------------------------------------
\1\ ASTM procedures are incorporated by reference in Sec.   1065.1010. See Sec.   1065.701(d) for other allowed
  procedures.



Sec.  1065.705  Residual and intermediate residual fuel.

    This section describes the specifications for fuels meeting the 
definition of residual fuel in 40 CFR 80.2, including fuels marketed as 
intermediate fuel. Residual fuels for service accumulation and any 
testing must meet the following specifications:
    (a) The fuel must be a commercially available fuel that is 
representative of the fuel that will be used by the engine in actual 
use.
    (b) The fuel must meet the specifications for one of the categories 
in the following table:

[[Page 1021]]



                            Table 1 of Sec.   1065.705.--Service Accumulation and Test Fuel Specifications for Residual Fuel
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                    Category ISO-F-
        Characteristic              Unit      ------------------------------------------------------------------------------------------   Test method
                                                RMA 30   RMB 30   RMD 80  RME 180  RMF 180  RMG 380  RMH 380  RMK 380  RMH 700  RMK 700   reference \1\
--------------------------------------------------------------------------------------------------------------------------------------------------------
Density at 15 [deg]C, max....  kg/m \3\......    960.0    975.0    980.0        991.0
                                        991.0            1010.0    991.0   1010.0      ISO
                                                                                   3675 or
                                                                                       ISO
                                                                                    12185:
                                                                                     1996/
                                                                                       Cor
                                                                                    1:2001
                                                                                      (see
                                                                                      also
                                                                                       ISO
                                                                                   8217:20
                                                                                     05(E)
                                                                                     7.1).
--------------------------------------------------------------------------------------------------------------------------------------------------------
Kinematic viscosity at 50      cSt...........        30.0           80.0        180.0
 [deg]C, max.
                                        380.0
                                             700.0                   ISO
                                                                 3104:19
                                                                  94/Cor
                                                                 1:1997.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Flash point, min.............   [deg]C.......         60              60         60
                                          60
                                              60                     ISO
                                                                    2719
                                                                    (see
                                                                    also
                                                                     ISO
                                                                 8217:20
                                                                   05(E)
                                                                   7.2).
--------------------------------------------------------------------------------------------------------------------------------------------------------
Pour point (upper):
--------------------------------------------------------------------------------------------------------------------------------------------------------
    Winter quality, max......   [deg]C.......        0       24       30         30
                                          30
                                              30                     ISO
                                                                   3016.
--------------------------------------------------------------------------------------------------------------------------------------------------------
    Summer quality, max......  6.............       24       30         30
                                          30
                                              30                     ISO
                                                                   3016.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Carbon residue, max..........  (kg/kg)%......         10              14       15       20       18       22              22             ISO 10370:1993/
                                                                                                                                          Cor 1:1996.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Ash, max.....................  (kg/kg)%......        0.10           0.10     0.10     0.15        0.15
                                             0.15                    ISO
                                                                   6245.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Water, max...................  (m\3\/m\3\)%..         0.5            0.5         0.5
                                         0.5
                                              0.5                    ISO
                                                                   3733.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Sulfur, max..................  (kg/kg)%......        3.50           4.00        4.50
                                         4.50
                                             4.50                    ISO
                                                                 8754 or
                                                                     ISO
                                                                  14596:
                                                                   1998/
                                                                     Cor
                                                                  1:1999
                                                                    (see
                                                                    also
                                                                     ISO
                                                                 8217:20
                                                                   05(E)
                                                                   7.3).
--------------------------------------------------------------------------------------------------------------------------------------------------------
Vanadium, max................  mg/kg.........         150            350      200      500      300      600             600             ISO 14597 or IP
                                                                                                                                          501 or IP 470
                                                                                                                                          (see also ISO
                                                                                                                                          8217:2005(E)
                                                                                                                                          7.8).
--------------------------------------------------------------------------------------------------------------------------------------------------------

[[Page 1022]]

 
Total sediment potential, max  (kg/kg)%......        0.10           0.10        0.10
                                         0.10
                                             0.10                    ISO
                                                                 10307-2
                                                                    (see
                                                                    also
                                                                     ISO
                                                                 8217:20
                                                                   05(E)
                                                                   7.6).
--------------------------------------------------------------------------------------------------------------------------------------------------------
Aluminium plus silicon, max..  mg/kg.........         80              80         80
                                          80
                                              80                     ISO
                                                                   10478
                                                                   or IP
                                                                  501 or
                                                                  IP 470
                                                                    (see
                                                                    also
                                                                     ISO
                                                                 8217:20
                                                                   05(E)
                                                                   7.9).
--------------------------------------------------------------------------------------------------------------------------------------------------------
Used lubricating oil (ULO),    ..............    Fuel shall be free of ULO. We consider a fuel to be free of ULO if one or more of the   IP 501 or IP
 max.                                          elements zinc, phosphorus, or calcium is at or below the specified limits. We consider a   470 (see ISO
                                                        fuel to contain ULO if all three elements exceed the specified limits.            8217:2005(E)
                                                                                                                                          7.7).
                                                                                                                                         IP 501 or IP
                                                                                                                                          500 (see ISO
                                                                                                                                          8217:2005(E)
                                                                                                                                          7.7).
                                                                                                                                         IP 501 or IP
                                                                                                                                          470 (see ISO
                                                                                                                                          8217:2005(E)
                                                                                                                                          7.7).
                               mg/kg.........                                             15
Zinc.........................                                                 15
Phosphorus...................                                                 15
Calcium......................                                                 30
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ ISO procedures are incorporated by reference in Sec.   1065.1010. See Sec.   1065.701(d) for other allowed procedures.


[[Page 1023]]


[73 FR 37340, June 30, 2008]

    Effective Date Note: At 73 FR 37340, June 30, 2008, Sec.  1065.705 
was added, effective July 7, 2008.



Sec.  1065.710  Gasoline.

    (a) Gasoline for testing must have octane values that represent 
commercially available fuels for the appropriate application.
    (b) There are two grades of gasoline specified for use as a test 
fuel. If the standard-setting part requires testing with fuel 
appropriate for low temperatures, use the test fuel specified for low-
temperature testing. Otherwise, use the test fuel specified for general 
testing. The two grades are specified in Table 1 of this section.

                        Table 1 of Sec.   1065.710--Test Fuel Specifications for Gasoline
----------------------------------------------------------------------------------------------------------------
                                                                           Low-temperature        Reference
              Item                      Units          General testing         testing          procedure \1\
----------------------------------------------------------------------------------------------------------------
Distillation Range:
  Initial boiling point.........  [deg]C...........  24-35 \2\.........  24-36.............  ASTM D 86-04b
  10% point.....................  [deg]C...........  49-57.............  37-48.............
  50% point.....................  [deg]C...........  93-110............  82-101............
  90% point.....................  [deg]C...........  149-163...........  158-174...........
  End point.....................  [deg]C...........  Maximum, 213......  Maximum, 212......
Hydrocarbon composition:
  1. Olefins....................  mm\3\/m\3\.......  Maximum, 100,000..  Maximum, 175,000..  ASTM D 1319-03
  2. Aromatics..................  mm\3\/m\3\.......  Maximum, 350,000..  Maximum, 304,000..
  3. Saturates..................  mm\3\/m\3\.......  Remainder.........  Remainder.........
Lead (organic)..................  g/liter..........  Maximum, 0.013....  Maximum, 0.013....  ASTM D 3237-02
Phosphorous.....................  g/liter..........  Maximum, 0.0013...  Maximum, 0.005....  ASTM D 3231-02
Total sulfur....................  mg/kg............  Maximum, 80.......  Maximum, 80.......  ASTM D 1266-98
Volatility (Reid Vapor Pressure)  kPa..............  60.0-63.4 \2,3\...  77.2-81.4.........  ASTM D 323-99a
----------------------------------------------------------------------------------------------------------------
\1\ All ASTM procedures are incorporated by reference in Sec.   1065.1010. See Sec.   1065.701(d) for other
  allowed procedures.
\2\ For testing at altitudes above 1 219 m, the specified volatility range is (52 to 55) kPa and the specified
  initial boiling point range is (23.9 to 40.6) [deg]C.
\3\ For testing unrelated to evaporative emissions, the specified range is (55 to 63) kPa.


    Effective Date Note: At 73 FR 37341, June 30, 2008, Sec.  1065.710 
was amended by revising Table 1, effective July 7, 2008. For the 
convenience of the user, the revised text is set forth as follows:



Sec.  1065.710  Gasoline.

                                * * * * *

                        Table 1 of Sec.   1065.710.--Test Fuel Specifications for Gasoline
----------------------------------------------------------------------------------------------------------------
                                                                       Low-temperature     Reference  procedure
              Item                     Units        General testing        testing                 \1\
----------------------------------------------------------------------------------------------------------------
Distillation Range:
    Initial boiling point......   [deg]C.........  24-35 \2\........  24-36............
    10% point..................   [deg]C.........  49-57............  37-48............  ASTM D86-07a.
    50% point..................   [deg]C.........  93-110...........  82-101...........
    90% point..................   [deg]C.........  149-163..........  158-174..........
    End point..................   [deg]C.........  Maximum, 213.....  Maximum, 212.....
Hydrocarbon composition:
    Olefins....................  m\3\/m\3\.......  Maximum, 0.10....  Maximum, 0.175...  ASTM D1319-03.
    Aromatics..................  Maximum, 0.35...  Maximum, 0.304...
    Saturates..................  Remainder.......  Remainder........
Lead (organic).................  g/liter.........  Maximum, 0.013...  Maximum, 0.013...  ASTM
                                                                                         D3237-06e01.
Phosphorous....................  g/liter.........  Maximum, 0.0013..  Maximum, 0.005...  ASTM D3231-07.
Total sulfur...................  mg/kg...........  Maximum, 80......  Maximum, 80......  ASTM D2622-07.
Volatility (Reid Vapor           kPa.............  60.0-63.4 2, 3...  77.2-81.4........  ASTM D5191-07.
 Pressure).
----------------------------------------------------------------------------------------------------------------
\1\ ASTM procedures are incorporated by reference in Sec.   1065.1010. See Sec.   1065.701(d) for other allowed
  procedures.
\2\ For testing at altitudes above 1,219 m, the specified volatility range is (52.0 to 55.2) kPa and the
  specified initial boiling point range is (23.9 to 40.6) [deg]C.
\3\ For testing unrelated to evaporative emissions, the specified range is (55.2 to 63.4) kPa.


[[Page 1024]]



Sec.  1065.715  Natural gas.

    (a) Natural gas for testing must meet the specifications in the 
following table:

  Table 1 of Sec.   1065.715--Test Fuel Specifications for Natural Gas
------------------------------------------------------------------------
             Item                               Value\1\
------------------------------------------------------------------------
1. Methane, CH4..............  Minimum, 0.87 mol/mol.
2. Ethane, C2H6..............  Maximum, 0.055 mol/mol.
3. Propane, C3H8.............  Maximum, 0.012 mol/mol.
4. Butane, C4H10.............  Maximum, 0.0035 mol/mol.
5. Pentane, C5H12............  Maximum, 0.0013 mol/mol.
6. C6 and higher.............  Maximum, 0.001 mol/mol.
7. Oxygen....................  Maximum, 0.001 mol/mol.
8. Inert gases (sum of CO2     Maximum, 0.051 mol/mol.
 and N2).
------------------------------------------------------------------------
\1\ All parameters are based on the reference procedures in ASTM D 1945-
  03 (incorporated by reference in Sec.   1065.1010). See Sec.
  1065.701(d) for other allowed procedures.

    (b) At ambient conditions, natural gas must have a distinctive odor 
detectable down to a concentration in air not more than one-fifth the 
lower flammable limit.

    Effective Date Note: At 73 FR 37342, June 30, 2008, Sec.  1065.715 
was revised, effective July 7, 2008. For the convenience of the user, 
the revised text is set forth as follows:



Sec.  1065.715  Natural gas.

    (a) Except as specified in paragraph (b) of this section, natural 
gas for testing must meet the specifications in the following table:

  Table 1 of Sec.   1065.715.--Test Fuel Specifications for Natural Gas
------------------------------------------------------------------------
                  Item                              Value \1\
------------------------------------------------------------------------
Methane, CH4...........................  Minimum, 0.87 mol/mol.
Ethane, C2H6...........................  Maximum, 0.055 mol/mol.
Propane, C3H8..........................  Maximum, 0.012 mol/mol.
Butane, C4H10..........................  Maximum, 0.0035 mol/mol.
Pentane, C5H12.........................  Maximum, 0.0013 mol/mol.
C6 and higher..........................  Maximum, 0.001 mol/mol.
Oxygen.................................  Maximum, 0.001 mol/mol.
Inert gases (sum of CO2 and N2)........  Maximum, 0.051 mol/mol.
------------------------------------------------------------------------
\1\ All parameters are based on the reference procedures in ASTM D1945-
  03 (incorporated by reference in Sec.   1065.1010). See Sec.
  1065.701(d) for other allowed procedures.

    (b) In certain cases you may use test fuel not meeting the 
specifications in paragraph (a) of this section, as follows:
    (1) You may use fuel that your in-use engines normally use, such as 
pipeline natural gas.
    (2) You may use fuel meeting alternate specifications if the 
standard-setting part allows it.
    (3) You may ask for approval to use fuel that does not meet the 
specifications in paragraph (a) of this section, but only if using the 
fuel would not adversely affect your ability to demonstrate compliance 
with the applicable standards.
    (c) When we conduct testing using natural gas, we will use fuel that 
meets the specifications in paragraph (a) of this section.
    (d) At ambient conditions, natural gas must have a distinctive odor 
detectable down to a concentration in air not more than one-fifth the 
lower flammable limit.



Sec.  1065.720  Liquefied petroleum gas.

    (a) Liquefied petroleum gas for testing must meet the specifications 
in the following table:

                Table 1 of Sec.   1065.720--Test Fuel Specifications for Liquefied Petroleum Gas
----------------------------------------------------------------------------------------------------------------
                Item                            Value                         Reference Procedure\1\
----------------------------------------------------------------------------------------------------------------
1. Propane, C3H8...................  Minimum, 0.85 m\3\/m\3\....  ASTM D 2163-91
2. Vapor pressure at 38 [deg]C.....  Maximum, 1400 kPa..........  ASTM D 1267-02 or 2598-02 \2\

[[Page 1025]]

 
3. Volatility residue evaporated     Maximum, -38 [deg]C........  ASTM D 1837-02a
 temperature, 35 [deg]C).
4. Butanes.........................  Maximum, 0.05 m\3\/m\3\....  ASTM D 2163-91
5. Butenes.........................  Maximum, 0.02 m\3\/m\3\....  ASTM D 2163-91
6. Pentenes and heavier............  Maximum, 0.005 m\3\/m\3\...  ASTM D 2163-91
7. Propene.........................  Maximum, 0.1 m\3\/m\3\.....  ASTM D 2163-91
8. Residual matter (residue on       Maximum, 0.05 ml pass \3\..  ASTM D 2158-04
 evap. of 100) ml oil stain
 observ.).
9. Corrosion, copper strip.........  Maximum, No. 1.............  ASTM D 1838-03
10. Sulfur.........................  Maximum, 80 mg/kg..........  ASTM D 2784-98
11. Moisture content...............  pass.......................  ASTM D 2713-91
----------------------------------------------------------------------------------------------------------------
\1\ All ASTM procedures are incorporated by reference in Sec.   1065.1010. See Sec.   1065.701(d) for other
  allowed procedures.
\2\ If these two test methods yield different results, use the results from ASTM D 1267-02.
\3\ The test fuel must not yield a persistent oil ring when you add 0.3 ml of solvent residue mixture to a
  filter paper in 0.1 ml increments and examine it in daylight after two minutes.

    (b) At ambient conditions, liquefied petroleum gas must have a 
distinctive odor detectable down to a concentration in air not more than 
one-fifth the lower flammable limit.

    Effective Date Note: At 73 FR 37342, June 30, 2008, Sec.  1065.720 
was revised, effective July 7, 2008. For the convenience of the user, 
the revised text is set forth as follows:



Sec.  1065.720  Liquefied petroleum gas.

    (a) Except as specified in paragraph (b) of this section, liquefied 
petroleum gas for testing must meet the specifications in the following 
table:

   Table 1 of Sec.   1065.720.--Test Fuel Specifications for Liquefied
                              Petroleum Gas
------------------------------------------------------------------------
                                                           Reference
              Item                       Value           procedure \1\
------------------------------------------------------------------------
Propane, C3H8...................  Minimum, 0.85 m\3\/ ASTM D2163-05.
                                   m\3\.
Vapor pressure at 38 [deg]C.....  Maximum, 1400 kPa.  ASTM D1267-02 or
                                                       2598-02\2\.
Volatility residue (evaporated    Maximum, -38        ASTM D1837-02a.
 temperature, 35 [deg]C).          [deg]C.
Butanes.........................  Maximum, 0.05 m\3\/ ASTM D2163-05.
                                   m\3\.
Butenes.........................  Maximum, 0.02 m\3\/ ASTM D2163-05.
                                   m\3\.
Pentenes and heavier............  Maximum, 0.005      ASTM D2163-05.
                                   m\3\/m\3\.
Propene.........................  Maximum, 0.1 m\3\/  ASTM D2163-05.
                                   m\3\.
Residual matter (residue on       Maximum, 0.05 ml    ASTM D2158-05.
 evap. of 100 ml oil stain         pass\3\.
 observ.).
Corrosion, copper strip.........  Maximum, No. 1....  ASTM D1838-07.
Sulfur..........................  Maximum, 80 mg/kg.  ASTM D2784-06.
Moisture content................  pass..............  ASTM D2713-91.
------------------------------------------------------------------------
\1\ ASTM procedures are incorporated by reference in Sec.   1065.1010.
  See Sec.   1065.701(d) for other allowed procedures.
\2\ If these two test methods yield different results, use the results
  from ASTM D1267-02.
\3\ The test fuel must not yield a persistent oil ring when you add 0.3
  ml of solvent residue mixture to a filter paper in 0.1 ml increments
  and examine it in daylight after two minutes.

    (b) In certain cases you may use test fuel not meeting the 
specifications in paragraph (a) of this section, as follows:
    (1) You may use fuel that your in-use engines normally use, such as 
commercial-quality liquefied petroleum gas.
    (2) You may use fuel meeting alternate specifications if the 
standard-setting part allows it.
    (3) You may ask for approval to use fuel that does not meet the 
specifications in paragraph (a) of this section, but only if using the 
fuel would not adversely affect your ability to demonstrate compliance 
with the applicable standards.
    (c) When we conduct testing using liquefied petroleum gas, we will 
use fuel that meets the specifications in paragraph (a) of this section.
    (d) At ambient conditions, liquefied petroleum gas must have a 
distinctive odor detectable down to a concentration in air not more than 
one-fifth the lower flammable limit.



Sec.  1065.740  Lubricants.

    (a) Use commercially available lubricating oil that represents the 
oil that will be used in your engine in use.
    (b) You may use lubrication additives, up to the levels that the 
additive manufacturer recommends.

[[Page 1026]]



Sec.  1065.745  Coolants.

    (a) You may use commercially available antifreeze mixtures or other 
coolants that will be used in your engine in use.
    (b) For laboratory testing of liquid-cooled engines, you may use 
water with or without rust inhibitors.
    (c) For coolants allowed in paragraphs (a) and (b) of this section, 
you may use rust inhibitors and additives required for lubricity, up to 
the levels that the additive manufacturer recommends.



Sec.  1065.750  Analytical gases.

    Analytical gases must meet the accuracy and purity specifications of 
this section, unless you can show that other specifications would not 
affect your ability to show that your engines comply with all applicable 
emission standards.
    (a) Subparts C, D, F, and J of this part refer to the following gas 
specifications:
    (1) Use purified gases to zero measurement instruments and to blend 
with calibration gases. Use gases with contamination no higher than the 
highest of the following values in the gas cylinder or at the outlet of 
a zero-gas generator:
    (i) 2% contamination, measured relative to the flow-weighted mean 
concentration expected at the standard. For example, if you would expect 
a flow-weighted CO concentration of 100.0 mmol/mol, then you would be 
allowed to use a zero gas with CO contamination less than or equal to 
2.000 mmol/mol.
    (ii) Contamination as specified in the following table:

                      Table 1 of Sec.   1065.750--General Specifications for Purified Gases
----------------------------------------------------------------------------------------------------------------
               Constituent                       Purified air \1\                    Purified N2 \1\
----------------------------------------------------------------------------------------------------------------
THC (C1 equivalent)......................  <0.05 [micro]mol/mol........  < 0.05 [micro]mol/mol
CO.......................................  <1 [micro]mol/mol...........  < 1 [micro]mol/mol
CO2......................................  < 10 [micro]mol/mol.........  < 10 [micro]mol/mol
O2.......................................  0.205 to 0.215 mol/mol......  < 2 [micro]mol/mol
NOX......................................  < 0.02 [micro]mol/mol.......  < 0.02 [micro]mol/mol
----------------------------------------------------------------------------------------------------------------
\1\ We do not require these levels of purity to be NIST-traceable.

    (2) Use the following gases with a FID analyzer:
    (i) FID fuel. Use FID fuel with an H2 concentration of 
(0.400 0.004) mol/mol, balance He. Make sure the 
mixture contains no more than 0.05 [micro]mol/mol THC.
    (ii) FID burner air. Use FID burner air that meets the 
specifications of purified air in paragraph (a)(1) of this section. For 
field testing, you may use ambient air.
    (iii) FID zero gas. Zero flame-ionization detectors with purified 
gas that meets the specifications in paragraph (a)(1) of this section, 
except that the purified gas O2 concentration may be any 
value. Note that FID zero balance gases may be any combination of 
purified air and purified nitrogen. We recommend FID analyzer zero gases 
that contain approximately the flow-weighted mean concentration of 
O2 expected during testing.
    (iv) FID propane span gas. Span and calibrate THC FID with span 
concentrations of propane, C3H8. Calibrate on a 
carbon number basis of one (C1). For example, if you use a 
C3H8 span gas of concentration 200 [micro]mol/mol, 
span a FID to respond with a value of 600 [micro]mol/mol. Note that FID 
span balance gases may be any combination of purified air and purified 
nitrogen. We recommend FID analyzer span gases that contain 
approximately the flow-weighted mean concentration of O2 
expected during testing.
    (v) FID methane span gas. If you always span and calibrate a 
CH4 FID with a nonmethane cutter, then span and calibrate the 
FID with span concentrations of methane, CH4. Calibrate on a 
carbon number basis of one (C1). For example, if you use a 
CH4 span gas of concentration 200 [micro]mol/mol, span a FID 
to respond with a value of 200 [micro]mol/mol. Note that FID span 
balance gases may be any combination of purified air

[[Page 1027]]

and purified nitrogen. We recommend FID analyzer span gases that contain 
approximately the flow-weighted mean concentration of O2 
expected during testing.
    (3) Use the following gas mixtures, with gases traceable within 
1.0% of the NIST true value or other gas standards 
we approve:
    (i) CH4, balance purified synthetic air and/or 
N2 (as applicable).
    (ii) C2H6, balance purified synthetic air and/
or N2 (as applicable).
    (iii) C3H8, balance purified synthetic air 
and/or N2 (as applicable).
    (iv) CO, balance purified N2.
    (v) CO2, balance purified N2.
    (vi) NO, balance purified N2.
    (vii) NO2, balance purified N2.
    (viii) O2, balance purified N2.
    (ix) C3H8, CO, CO2, NO, balance 
purified N2.
    (x) C3H8, CH4, CO, CO2, 
NO, balance purified N2.
    (4) You may use gases for species other than those listed in 
paragraph (a)(3) of this section (such as methanol in air, which you may 
use to determine response factors), as long as they are traceable to 
within 1.0 % of the NIST true value or other 
similar standards we approve, and meet the stability requirements of 
paragraph (b) of this section.
    (5) You may generate your own calibration gases using a precision 
blending device, such as a gas divider, to dilute gases with purified 
N2 or purified synthetic air. If your gas dividers meet the 
specifications in Sec.  1065.248, and the gases being blended meet the 
requirements of paragraphs (a)(1) and (3) of this section, the resulting 
blends are considered to meet the requirements of this paragraph (a).
    (b) Record the concentration of any calibration gas standard and its 
expiration date specified by the gas supplier.
    (1) Do not use any calibration gas standard after its expiration 
date, except as allowed by paragraph (b)(2) of this section.
    (2) Calibration gases may be relabeled and used after their 
expiration date as follows:
    (i) Alcohol/carbonyl calibration gases used to determine response 
factors according to subpart I of this part may be relabeled as 
specified in subpart I of this part.
    (ii) Other gases may be relabeled and used after the expiration date 
only if we approve it in advance.
    (c) Transfer gases from their source to analyzers using components 
that are dedicated to controlling and transferring only those gases. For 
example, do not use a regulator, valve, or transfer line for zero gas if 
those components were previously used to transfer a different gas 
mixture. We recommend that you label regulators, valves, and transfer 
lines to prevent contamination. Note that even small traces of a gas 
mixture in the dead volume of a regulator, valve, or transfer line can 
diffuse upstream into a high-pressure volume of gas, which would 
contaminate the entire high-pressure gas source, such as a compressed-
gas cylinder.
    (d) To maintain stability and purity of gas standards, use good 
engineering judgment and follow the gas standard supplier's 
recommendations for storing and handling zero, span, and calibration 
gases. For example, it may be necessary to store bottles of condensable 
gases in a heated environment.

    Effective Date Note: At 73 FR 37343, June 30, 2008, Sec.  1065.750 
was amended by revising paragraph (a), effective July 7, 2008. For the 
convenience of the user, the revised text is set forth as follows:



Sec.  1065.750  Analytical Gases.

                                * * * * *

    (a) Subparts C, D, F, and J of this part refer to the following gas 
specifications:
    (1) Use purified gases to zero measurement instruments and to blend 
with calibration gases. Use gases with contamination no higher than the 
highest of the following values in the gas cylinder or at the outlet of 
a zero-gas generator:
    (i) 2% contamination, measured relative to the flow-weighted mean 
concentration expected at the standard. For example, if you would expect 
a flow-weighted CO concentration of 100.0 [micro]mol/mol, then you would 
be allowed to use a zero gas with CO contamination less than or equal to 
2.000 [micro]mol/mol.
    (ii) Contamination as specified in the following table:

[[Page 1028]]



                     Table 1 of Sec.   1065.750.--General Specifications for Purified Gases
----------------------------------------------------------------------------------------------------------------
           Constituent                   Purified synthetic air \1\                   Purified N2 \1\
----------------------------------------------------------------------------------------------------------------
THC (C1 equivalent)..............  < 0.05 [micro]mol/mol.................  < 0.05 [micro]mol/mol.
CO...............................  < 1 [micro]mol/mol....................  < 1 [micro]mol/mol.
CO2..............................  < 10 [micro]mol/mol...................  < 10 [micro]mol/mol.
O2...............................  0.205 to 0.215 mol/mol................  < 2 [micro]mol/mol.
NOX..............................  < 0.02 [micro]mol/mol.................  < 0.02 [micro]mol/mol.
----------------------------------------------------------------------------------------------------------------
\1\ We do not require these levels of purity to be NIST-traceable.

    (2) Use the following gases with a FID analyzer:
    (i) FID fuel. Use FID fuel with a stated H2 concentration 
of (0.39 to 0.41) mol/mol, balance He, and a stated total hydrocarbon 
concentration of 0.05 [micro]mol/mol or less.
    (ii) FID burner air. Use FID burner air that meets the 
specifications of purified air in paragraph (a)(1) of this section. For 
field testing, you may use ambient air.
    (iii) FID zero gas. Zero flame-ionization detectors with purified 
gas that meets the specifications in paragraph (a)(1) of this section, 
except that the purified gas O2 concentration may be any 
value. Note that FID zero balance gases may be any combination of 
purified air and purified nitrogen. We recommend FID analyzer zero gases 
that contain approximately the expected flow-weighted mean concentration 
of O2 in the exhaust sample during testing.
    (iv) FID propane span gas. Span and calibrate THC FID with span 
concentrations of propane, C3H8. Calibrate on a 
carbon number basis of one (C1). For example, if you use a 
C3H8 span gas of concentration 200 [micro]mol/mol, 
span a FID to respond with a value of 600 [micro]mol/mol. Note that FID 
span balance gases may be any combination of purified air and purified 
nitrogen. We recommend FID analyzer span gases that contain 
approximately the flow-weighted mean concentration of O2 
expected during testing. If the expected O2 concentration in 
the exhaust sample is zero, we recommend using a balance gas of purified 
nitrogen.
    (v) FID methane span gas. If you always span and calibrate a 
CH4 FID with a nonmethane cutter, then span and calibrate the 
FID with span concentrations of methane, CH4. Calibrate on a 
carbon number basis of one (C1). For example, if you use a 
CH4 span gas of concentration 200 [micro]mol/mol, span a FID 
to respond with a value of 200 [micro]mol/mol. Note that FID span 
balance gases may be any combination of purified air and purified 
nitrogen. We recommend FID analyzer span gases that contain 
approximately the expected flow-weighted mean concentration of 
O2 in the exhaust sample during testing. If the expected 
O2 concentration in the exhaust sample is zero, we recommend 
using a balance gas of purified nitrogen.
    (3) Use the following gas mixtures, with gases traceable within 
 1.0% of the NIST-accepted value or other gas 
standards we approve:
    (i) CH4, balance purified synthetic air and/or 
N2 (as applicable).
    (ii) C2H6, balance purified synthetic air and/
or N2 (as applicable).
    (iii) C3H8, balance purified synthetic air 
and/or N2 (as applicable).
    (iv) CO, balance purified N2.
    (v) CO2, balance purified N2.
    (vi) NO, balance purified N2.
    (vii) NO2, balance purified synthetic air.
    (viii) O2, balance purified N2.
    (ix) C3H8, CO, CO2, NO, balance 
purified N2.
    (x) C3H8, CH4, CO, CO2, 
NO, balance purified N2.
    (4) You may use gases for species other than those listed in 
paragraph (a)(3) of this section (such as methanol in air, which you may 
use to determine response factors), as long as they are traceable to 
within  3.0% of the NIST-accepted value or other 
similar standards we approve, and meet the stability requirements of 
paragraph (b) of this section.
    (5) You may generate your own calibration gases using a precision 
blending device, such as a gas divider, to dilute gases with purified 
N2 or purified synthetic air. If your gas dividers meet the 
specifications in Sec.  1065.248, and the gases being blended meet the 
requirements of paragraphs (a)(1) and (3) of this section, the resulting 
blends are considered to meet the requirements of this paragraph (a).



Sec.  1065.790  Mass standards.

    (a) PM balance calibration weights. Use PM balance calibration 
weights that are certified as NIST-traceable within 0.1 % uncertainty. 
Calibration weights may be certified by any calibration lab that 
maintains NIST-traceability. Make sure your lowest calibration weight 
has no greater than ten times the mass of an unused PM-sample medium.
    (b) Dynamometer calibration weights. [Reserved]

[[Page 1029]]



                 Subpart I_Testing With Oxygenated Fuels



Sec.  1065.801  Applicability.

    (a) This subpart applies for testing with oxygenated fuels. Unless 
the standard-setting part specifies otherwise, the requirements of this 
subpart do not apply for fuels that contain less than 25% oxygenated 
compounds by volume. For example, you generally do not need to follow 
the requirements of this subpart for tests performed using a fuel 
containing 10% ethanol and 90% gasoline, but you must follow these 
requirements for tests performed using a fuel containing 85% ethanol and 
15% gasoline.
    (b) Section 1065.805 applies for all other testing that requires 
measurement of any alcohols or carbonyls.
    (c) This subpart specifies sampling procedures and calculations that 
are different than those used for non-oxygenated fuels. All other test 
procedures of this part 1065 apply for testing with oxygenated fuels.



Sec.  1065.805  Sampling system.

    (a) Proportionally dilute engine exhaust, and use batch sampling 
collect flow-weighted dilute samples of the applicable alcohols and 
carbonyls at a constant flow rate. You may not use raw sampling for 
alcohols and carbonyls.
    (b) You may collect background samples for correcting dilution air 
for background concentrations of alcohols and carbonyls.
    (c) Maintain sample temperatures within the dilution tunnel, probes, 
and sample lines less than 121 [deg]C but high enough to prevent aqueous 
condensation up to the point where a sample is collected. The maximum 
temperature limit is intended to prevent chemical reaction of the 
alcohols and carbonyls. The lower temperature limit is intended to 
prevent loss of the alcohols and carbonyls by dissolution in condensed 
water. Use good engineering judgment to minimize the amount of time that 
the undiluted exhaust is outside this temperature range to the extent 
practical. We recommend that you minimize the length of exhaust tubing 
before dilution. Extended lengths of exhaust tubing may require 
preheating, insulation, and cooling fans to limit excursions outside 
this temperature range.
    (d) You may bubble a sample of the exhaust through water to collect 
alcohols for later analysis. You may also use a photo-acoustic analyzer 
to quantify ethanol and methanol in an exhaust sample.
    (e) Sample the exhaust through cartridges impregnated with 2,4-
dinitrophenylhydrazine to collect carbonyls for later analysis. If the 
standard-setting part specifies a duty cycle that has multiple test 
intervals (such as multiple engine starts or an engine-off soak phase), 
you may proportionally collect a single carbonyl sample for the entire 
duty cycle. For example, if the standard-setting part specifies a six-
to-one weighting of hot-start to cold-start emissions, you may collect a 
single carbonyl sample for the entire duty cycle by using a hot-start 
sample flow rate that is six times the cold-start sample flow rate.
    (f) You may sample alcohols or carbonyls using ``California Non-
Methane Organic Gas Test Procedures'' (incorporated by reference in 
Sec.  1065.1010). If you use this method, follow its calculations to 
determine the mass of the alcohol/carbonyl in the exhaust sample, but 
follow subpart G of this part for all other calculations.
    (g) Use good engineering judgment to sample other oxygenated 
hydrocarbon compounds in the exhaust.

    Effective Date Note: At 73 FR 37343, June 30, 2008, Sec.  1065.805 
was amended by revising paragraphs (a), (b), and (c), effective July 7, 
2008. For the convenience of the user, the revised text is set forth as 
follows:



Sec.  1065.805  Sampling system.

    (a) Dilute engine exhaust, and use batch sampling to collect 
proportional flow-weighted dilute samples of the applicable alcohols and 
carbonyls. You may not use raw sampling for alcohols and carbonyls.
    (b) You may collect background samples for correcting dilution air 
for background concentrations of alcohols and carbonyls.
    (c) Maintain sample temperatures within the dilution tunnel, probes, 
and sample lines high enough to prevent aqueous condensation up to the 
point where a sample is collected to prevent loss of the alcohols and 
carbonyls by dissolution in condensed water. Use good engineering 
judgment to ensure that surface reactions of alcohols and

[[Page 1030]]

carbonyls do not occur, as surface decomposition of methanol has been 
shown to occur at temperatures greater than 120 [deg]C in exhaust from 
methanol-fueled engines.

                                * * * * *



Sec.  1065.845  Response factor determination.

    Since FID analyzers generally have an incomplete response to 
alcohols and carbonyls, determine each FID analyzer's alcohol/carbonyl 
response factor (such as RFMeOH) after FID optimization. 
Formaldehyde response is assumed to be zero and does not need to be 
determined. Use the most recent alcohol/carbonyl response factors to 
compensate for alcohol/carbonyl response.
    (a) Determine the alcohol/carbonyl response factors as follows:
    (1) Select a C3H8 span gas that meets the 
specifications of Sec.  1065.750. Note that FID zero and span balance 
gases may be any combination of purified air or purified nitrogen that 
meets the specifications of Sec.  1065.750. We recommend FID analyzer 
zero and span gases that contain approximately the flow-weighted mean 
concentration of O2 expected during testing. Record the 
C3H8 concentration of the gas.
    (2) Select or prepare an alcohol/carbonyl calibration gas that meets 
the specifications of Sec.  1065.750 and has a concentration typical of 
the peak concentration expected at the hydrocarbon standard. Record the 
calibration concentration of the gas.
    (3) Start and operate the FID analyzer according to the 
manufacturer's instructions.
    (4) Confirm that the FID analyzer has been calibrated using 
C3H8. Calibrate on a carbon number basis of one 
(C1). For example, if you use a C3H8 
span gas of concentration 200 [micro]mol/mol, span the FID to respond 
with a value of 600 [micro]mol/mol.
    (5) Zero the FID. Note that FID zero and span balance gases may be 
any combination of purified air or purified nitrogen that meets the 
specifications of Sec.  1065.750. We recommend FID analyzer zero and 
span gases that contain approximately the flow-weighted mean 
concentration of O2 expected during testing.
    (6) Span the FID with the C3H8 span gas that 
you selected under paragraph (a)(1) of this section.
    (7) Introduce at the inlet of the FID analyzer the alcohol/carbonyl 
calibration gas that you selected under paragraph (a)(2) of this 
section.
    (8) Allow time for the analyzer response to stabilize. Stabilization 
time may include time to purge the analyzer and to account for its 
response.
    (9) While the analyzer measures the alcohol/carbonyl concentration, 
record 30 seconds of sampled data. Calculate the arithmetic mean of 
these values.
    (10) Divide the mean measured concentration by the recorded span 
concentration of the alcohol/carbonyl calibration gas. The result is the 
FID analyzer's response factor for alcohol/carbonyl, RFMeOH.
    (b) Alcohol/carbonyl calibration gases must remain within 2% of the labeled concentration. You must demonstrate 
the stability based on a quarterly measurement procedure with a 
precision of 2% percent or another method that we 
approve. Your measurement procedure may incorporate multiple 
measurements. If the true concentration of the gas changes deviates by 
more than 2%, but less than 10%, the gas may be relabeled with the new 
concentration.

    Effective Date Note: At 73 FR 37343, June 30, 2008, Sec.  1065.845 
was amended by revising the introductory text, effective July 7, 2008. 
For the convenience of the user, the revised text is set forth as 
follows:



Sec.  1065.845  Response factor determination.

    Since FID analyzers generally have an incomplete response to 
alcohols and carbonyls, determine each FID analyzer's alcohol/carbonyl 
response factor (such as RFMeOH) after FID optimization to 
subtract those responses from the FID reading. You are not required to 
determine the response factor for a compound unless you will subtract 
its response to compensate for a response. Formaldehyde response is 
assumed to be zero and does not need to be determined. Use the most 
recent alcohol/carbonyl response factors to compensate for alcohol/
carbonyl response.

                                * * * * *



Sec.  1065.850  Calculations.

    Use the calculations specified in Sec.  1065.665 to determine THCE 
or NMHCE.

[[Page 1031]]



    Subpart J_Field Testing and Portable Emission Measurement Systems



Sec.  1065.901  Applicability.

    (a) Field testing. This subpart specifies procedures for field-
testing engines to determine brake-specific emissions using portable 
emission measurement systems (PEMS). These procedures are designed 
primarily for in-field measurements of engines that remain installed in 
vehicles or equipment in the field. Field-test procedures apply to your 
engines only as specified in the standard-setting part.
    (b) Laboratory testing. You may optionally use PEMS for any 
laboratory testing, as long as the standard-setting part does not 
prohibit it for certain types of laboratory testing, subject to the 
following provisions:
    (1) Follow the laboratory test procedures specified in this part 
1065, according to Sec.  1065.905(e).
    (2) Do not apply any PEMS-related field-testing adjustments or 
``measurement allowances'' to laboratory emission results or standards.
    (3) Do not use PEMS for laboratory measurements if it prevents you 
from demonstrating compliance with the applicable standards. Some of the 
PEMS requirements in this part 1065 are less stringent than the 
corresponding laboratory requirements. Depending on actual PEMS 
performance, you might therefore need to account for some additional 
measurement uncertainty when using PEMS for laboratory testing. If we 
ask, you must show us by engineering analysis that any additional 
measurement uncertainty due to your use of PEMS for laboratory testing 
is offset by the extent to which your engine's emissions are below the 
applicable standards. For example, you might show that PEMS versus 
laboratory uncertainty represents 5% of the standard, but your engine's 
deteriorated emissions are at least 20% below the standard for each 
pollutant.

    Effective Date Note: At 73 FR 37344, June 30, 2008, Sec.  1065.901 
was amended by revising paragraphs (b) introductory text, and (b)(2), 
effective July 7, 2008. For the convenience of the user, the revised 
text is set forth as follows:



Sec.  1065.901  Applicability.

                                * * * * *

    (b) Laboratory testing. You may use PEMS for any testing in a 
laboratory or similar environment without restriction or prior approval 
if the PEMS meets all applicable specifications for laboratory testing. 
You may also use PEMS for any testing in a laboratory or similar 
environment if we approve it in advance, subject to the following 
provisions: * * *
    (2) Do not apply any PEMS-related field-testing adjustments or 
measurement allowances to laboratory emission results or standards.

                                * * * * *



Sec.  1065.905  General provisions.

    (a) General. Unless the standard-setting part specifies deviations 
from the provisions of this subpart, field testing and laboratory 
testing with PEMS must conform to the provisions of this subpart.
    (b) Field-testing scope. Field testing conducted under this subpart 
may include any normal in-use operation of an engine.
    (c) Field testing and the standard-setting part. This subpart J 
specifies procedures for field-testing various categories of engines. 
See the standard-setting part for specific provisions for a particular 
type of engine. Before using this subpart's procedures for field 
testing, read the standard-setting part to answer at least the following 
questions:
    (1) How many engines must I test in the field?
    (2) How many times must I repeat a field test on an individual 
engine?
    (3) How do I select vehicles for field testing?
    (4) What maintenance steps may I take before or between tests?
    (5) What data are needed for a single field test on an individual 
engine?
    (6) What are the limits on ambient conditions for field testing? 
Note that the ambient condition limits in Sec.  1065.520 do not apply 
for field testing.
    (7) Which exhaust constituents do I need to measure?
    (8) How do I account for crankcase emissions?
    (9) Which engine and ambient parameters do I need to measure?

[[Page 1032]]

    (10) How do I process the data recorded during field testing to 
determine if my engine meets field-testing standards? How do I determine 
individual test intervals? Note that ``test interval'' is defined in 
subpart K of this part 1065.
    (11) 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 
in-use operation?
    (12) Do any unique specifications apply for test fuels?
    (13) Do any special conditions invalidate parts of a field test or 
all of a field test?
    (14) Does any special ``measurement allowance'' apply to field-test 
emission results or standards, based on using PEMS for field-testing 
versus using laboratory equipment and instruments for laboratory 
testing?
    (15) Do results of initial field testing trigger any requirement for 
additional field testing or laboratory testing?
    (16) How do I report field-testing results?
    (d) Field testing and this part 1065. Use the following 
specifications for field testing:
    (1) Use the applicability and general provisions of subpart A of 
this part.
    (2) Use equipment specifications in Sec.  1065.101 and in the 
sections from Sec.  1065.140 to the end of subpart B of this part. 
Section 1065.910 specifies additional equipment specific to field 
testing.
    (3) Use measurement instruments in subpart C of this part, except as 
specified in Sec.  1065.915.
    (4) Use calibrations and verifications in subpart D of this part, 
except as specified in Sec.  1065.920. Section 1065.920 also specifies 
additional calibrations and verifications for field testing.
    (5) Use the provisions of the standard-setting part for selecting 
and maintaining engines in the field instead of the specifications in 
subpart E of this part.
    (6) Use the procedures in Sec. Sec.  1065.930 and 1065.935 to start 
and run a field test. If you use a gravimetric balance for PM, weigh PM 
samples according to Sec. Sec.  1065.590 and 1065.595.
    (7) Use the calculations in subpart G of this part to calculate 
emissions over each test interval. Note that ``test interval'' is 
defined in subpart K of this part 1065, and that the standard setting 
part indicates how to determine test intervals for your engine.
    Section 1065.940 specifies additional calculations for field 
testing. Use any calculations specified in the standard-setting part to 
determine if your engines meet the field-testing standards. The 
standard-setting part may also contain additional calculations that 
determine when further field testing is required.
    (8) Use a typical in-use fuel meeting the specifications of Sec.  
1065.701(d).
    (9) Use the lubricant and coolant specifications in Sec.  1065.740 
and Sec.  1065.745.
    (10) Use the analytical gases and other calibration standards in 
Sec.  1065.750 and Sec.  1065.790.
    (11) If you are testing with oxygenated fuels, use the procedures 
specified for testing with oxygenated fuels in subpart I of this part.
    (12) Apply the definitions and reference materials in subpart K of 
this part.
    (e) Laboratory testing using PEMS. Use the following specifications 
when using PEMS for laboratory testing:
    (1) Use the applicability and general provisions of subpart A of 
this part.
    (2) Use equipment specifications in subpart B of this part. Section 
1065.910 specifies additional equipment specific to testing with PEMS.
    (3) Use measurement instruments in subpart C of this part, except as 
specified in Sec.  1065.915.
    (4) Use calibrations and verifications in subpart D of this part, 
except as specified in Sec.  1065.920. Section 1065.920 also specifies 
additional calibration and verifications for PEMS.
    (5) Use the provisions of Sec.  1065.401 for selecting engines for 
testing. Use the provisions of subpart E of this part for maintaining 
engines, except as specified in the standard-setting part.
    (6) Use the procedures in subpart F of this part and in the 
standard-setting part to start and run a laboratory test.
    (7) Use the calculations in subpart G of this part to calculate 
emissions over the applicable duty cycle. Section 1065.940 specifies 
additional calculations for testing with PEMS.

[[Page 1033]]

    (8) Use a fuel meeting the specifications of subpart H of this part, 
as specified in the standard-setting part.
    (9) Use the lubricant and coolant specifications in Sec.  1065.740 
and Sec.  1065.745.
    (10) Use the analytical gases and other calibration standards in 
Sec.  1065.750 and Sec.  1065.790.
    (11) If you are testing with oxygenated fuels, use the procedures 
specified for testing with oxygenated fuels in subpart I of this part.
    (12) Apply the definitions and reference materials in subpart K of 
this part.
    (f) Summary. The following table summarizes the requirements of 
paragraphs (d) and (e) of this section:

  Table 1 of Sec.   1065.905--Summary of Testing Requirements That are
                 Specified Outside of This Subpart J \1\
------------------------------------------------------------------------
                                                      Applicability for
           Subpart              Applicability for    laboratory testing
                                  field testing           with PEMS
------------------------------------------------------------------------
A: Applicability and general  Use all.............  Use all.
 provisions.
B: Equipment for testing....  Use Sec.   1065.101   Use all. Sec.
                               and Sec.   1065.140   1065.910 specifies
                               through the end of    equipment specific
                               subpart B. Sec.       to laboratory
                               1065.910 specifies    testing with PEMS.
                               equipment specific
                               to field testing.
C: Measurement instruments..  Use all.............  Use all.
                              Sec.   1065.915       Sec.   1065.915
                               allows deviations.    allows deviations.
D: Calibrations and           Use all.............  Use all.
 verifications.
                              Sec.   1065.920       Sec.   1065.920
                               allows deviations,    allows deviations,
                               but also has          but also has
                               additional            additional
                               specifications.       specifications.
E: Test engine selection,     Do not use..........  Use all.
 maintenance, and durability. Use standard-setting
                               part.
F: Running an emission test   Use Sec.  Sec.        Use all.
 in the laboratory.            1065.590 and
                               1065.595 for PM.
                              Sec.   1065.930 and
                               Sec.   1065.935 to
                               start and run a
                               field test..
G: Calculations and data      Use all.............  Use all.
 requirements.
                              Use standard-setting  Use standard-setting
                               part.                 part.
                              Sec.   1065.940 has   Sec.   1065.940 has
                               additional            additional
                               calculation           calculation
                               instructions.         instructions.
H: Fuels, engine fluids,      Use fuels specified   Use fuels from
 analytical gases, and other   in Sec.               subpart H of this
 calibration materials.        1065.701(d).          part as specified
                                                     in standard-setting
                                                     part.
                              Use lubricant and     Use lubricant and
                               coolant               coolant
                               specifications in     specifications in
                               Sec.   1065.740 and   subpart H of this
                               Sec.   1065.745.      part.
                              Use analytical gas    Use analytical gas
                               specifications and    specifications and
                               other calibration     other calibration
                               standards in Sec.     standards in Sec.
                               1065.750 and Sec.     1065.750 and Sec.
                               1065.790.             1065.790.
I: Testing with oxygenated    Use all.............  Use all.
 fuels.
K: Definitions and reference  Use all.............  Use all.
 materials.
------------------------------------------------------------------------
\1\ Refer to paragraphs (d) and (e) of this section for complete
  specifications.


    Effective Date Note: At 73 FR 37344, June 30, 2008, Sec.  1065.905 
was amended by revising paragraphs (c)(14) and (e) introductory text, 
effective July 7, 2008. For the convenience of the user, the revised 
text is set forth as follows:



Sec.  1065.905  General provisions.

                                * * * * *

    (c) * * *
    (14) Does any special measurement allowance apply to field-test 
emission results or standards, based on using PEMS for field-testing 
versus using laboratory equipment and instruments for laboratory 
testing?

                                * * * * *

    (e) Laboratory testing using PEMS. You may use PEMS for testing in a 
laboratory as described in Sec.  1065.901(b). Use the following 
procedures and specifications when using PEMS for laboratory testing:

                                * * * * *



Sec.  1065.910  PEMS auxiliary equipment for field testing.

    For field testing you may use various types of auxiliary equipment 
to attach PEMS to a vehicle or engine and to power PEMS.
    (a) When you use PEMS, you will likely route engine exhaust to a 
raw-exhaust flow meter and sample probes. Route the engine exhaust as 
follows:

[[Page 1034]]

    (1) Flexible connections. Use short flexible connectors at the end 
of the engine's exhaust pipe.
    (i) You may use flexible connectors to enlarge or reduce the 
exhaust-pipe diameter to match that of your test equipment.
    (ii) Use flexible connectors that do not exceed a length of three 
times their largest inside diameter.
    (iii) Use four-ply silicone-fiberglass fabric with a temperature 
rating of at least 315 [deg]C for flexible connectors. You may use 
connectors with a spring-steel wire helix for support and you may use 
Nomex\TM\ coverings or linings for durability. You may also use any 
other material with equivalent permeation-resistance and durability, as 
long as it seals tightly around tailpipes and does not react with 
exhaust.
    (iv) Use stainless-steel hose clamps to seal flexible connectors to 
the outside diameter of tailpipes, or use clamps that seal equivalently.
    (v) You may use additional flexible connectors to connect to flow 
meters and sample probe locations.
    (2) Raw exhaust tubing. Use rigid 300 series stainless steel tubing 
to connect between flexible connectors. Tubing may be straight or bent 
to accommodate vehicle geometry. You may use ``T'' or ``Y'' fittings 
made of 300 series stainless steel tubing to join exhaust from multiple 
tailpipes, or you may cap or plug redundant tailpipes if the engine 
manufacturer recommends it.
    (3) Exhaust back pressure. Use connectors and tubing that do not 
increase back pressure so much that it exceeds the manufacturer's 
maximum specified exhaust restriction. You may verify this at the 
maximum exhaust flow rate by measuring back pressure at the 
manufacturer-specified location with your system connected. You may also 
perform an engineering analysis to verify proper back pressure, taking 
into account the maximum exhaust flow rate expected, the field test 
system's flexible connectors, and the tubing's characteristics for 
pressure drops versus flow.
    (b) For vehicles or other motive equipment, we recommend installing 
PEMS in the same location where passenger might sit. Follow PEMS 
manufacturer instructions for installing PEMS in vehicle cargo spaces, 
vehicle trailers, or externally such that PEMS is directly exposed to 
the outside environment. Locate PEMS where it will be subject to minimal 
sources of the following parameters:
    (1) Ambient temperature changes.
    (2) Ambient pressure changes.
    (3) Electromagnetic radiation.
    (4) Mechanical shock and vibration.
    (5) Ambient hydrocarbons--if using a FID analyzer that uses ambient 
air as FID burner air.
    (c) Mounting hardware. Use mounting hardware as required for 
securing flexible connectors, exhaust tubing, ambient sensors, and other 
equipment. Use structurally sound mounting points such as vehicle 
frames, trailer hitch receivers, and payload tie-down fittings. We 
recommend mounting hardware such as clamps, suction cups, and magnets 
that are specifically designed for vehicle applications. We also 
recommend considering mounting hardware such as commercially available 
bicycle racks, trailer hitches, and luggage racks.
    (d) Electrical power. Field testing may require portable electrical 
power to run your test equipment. Power your equipment, as follows:
    (1) You may use electrical power from the vehicle, up to the highest 
power level, such that all the following are true:
    (i) The vehicle power system is capable of safely supplying your 
power, such that your demand does not overload the vehicle's power 
system.
    (ii) The engine emissions do not change significantly when you use 
vehicle power.
    (iii) The power you demand does not increase output from the engine 
by more than 1% of its maximum power.
    (2) You may install your own portable power supply. For example, you 
may use batteries, fuel cells, a portable generator, or any other power 
supply to supplement or replace your use of vehicle power. However, you 
must not supply power to the vehicle's power system under any 
circumstances.

    Effective Date Note: At 73 FR 37344, June 30, 2008, Sec.  1065.910 
was revised, effective July 7,2008. For the convenience of the user, the 
revised text is set forth as follows:

[[Page 1035]]



Sec.  1065.910  PEMS auxiliary equipment for field testing.

    For field testing you may use various types of auxiliary equipment 
to attach PEMS to a vehicle or engine and to power PEMS.
    (a) When you use PEMS, you may route engine intake air or exhaust 
through a flow meter. Route the engine intake air or exhaust as follows:
    (1) Flexible connections. Use short flexible connectors where 
necessary.
    (i) You may use flexible connectors to enlarge or reduce the pipe 
diameters to match that of your test equipment.
    (ii) We recommend that you use flexible connectors that do not 
exceed a length of three times their largest inside diameter.
    (iii) We recommend that you use four-ply silicone-fiberglass fabric 
with a temperature rating of at least 315 [deg]C for flexible 
connectors. You may use connectors with a spring-steel wire helix for 
support and you may use NomexTM coverings or linings for 
durability. You may also use any other nonreactive material with 
equivalent permeation-resistance and durability, as long as it seals 
tightly.
    (iv) Use stainless-steel hose clamps to seal flexible connectors, or 
use clamps that seal equivalently.
    (v) You may use additional flexible connectors to connect to flow 
meters.
    (2) Tubing. Use rigid 300 series stainless steel tubing to connect 
between flexible connectors. Tubing may be straight or bent to 
accommodate vehicle geometry. You may use ``T'' or ``Y'' fittings made 
of 300 series stainless steel tubing to join multiple connections, or 
you may cap or plug redundant flow paths if the engine manufacturer 
recommends it.
    (3) Flow restriction. Use flowmeters, connectors, and tubing that do 
not increase flow restriction so much that it exceeds the manufacturer's 
maximum specified value. You may verify this at the maximum exhaust flow 
rate by measuring pressure at the manufacturer-specified location with 
your system connected. You may also perform an engineering analysis to 
verify an acceptable configuration, taking into account the maximum 
exhaust flow rate expected, the field test system's flexible connectors, 
and the tubing's characteristics for pressure drops versus flow.
    (b) For vehicles or other motive equipment, we recommend installing 
PEMS in the same location where a passenger might sit. Follow PEMS 
manufacturer instructions for installing PEMS in cargo spaces, engine 
spaces, or externally such that PEMS is directly exposed to the outside 
environment. We recommend locating PEMS where it will be subject to 
minimal sources of the following parameters:
    (1) Ambient temperature changes.
    (2) Ambient pressure changes.
    (3) Electromagnetic radiation.
    (4) Mechanical shock and vibration.
    (5) Ambient hydrocarbons--if using a FID analyzer that uses ambient 
air as FID burner air.
    (c) Use mounting hardware as required for securing flexible 
connectors, ambient sensors, and other equipment. Use structurally sound 
mounting points such as vehicle frames, trailer hitch receivers, 
walkspaces, and payload tie-down fittings. We recommend mounting 
hardware such as clamps, suction cups, and magnets that are specifically 
designed for your application. We also recommend considering mounting 
hardware such as commercially available bicycle racks, trailer hitches, 
and luggage racks where applicable.
    (d) Field testing may require portable electrical power to run your 
test equipment. Power your equipment, as follows:
    (1) You may use electrical power from the vehicle, equipment, or 
vessel, up to the highest power level, such that all the following are 
true:
    (i) The power system is capable of safely supplying power, such that 
the power demand for testing does not overload the power system.
    (ii) The engine emissions do not change significantly as a result of 
the power demand for testing.
    (iii) The power demand for testing does not increase output from the 
engine by more than 1% of its maximum power.
    (2) You may install your own portable power supply. For example, you 
may use batteries, fuel cells, a portable generator, or any other power 
supply to supplement or replace your use of vehicle power. You may 
connect an external power source directly to the vehicle's, vessel's, or 
equipment's power system; however, during a test interval (such as an 
NTE event) you must not supply power to the vehicle's power system in 
excess of 1% of the engine's maximum power.



Sec.  1065.915  PEMS instruments.

    (a) Instrument specifications. We recommend that you use PEMS that 
meet the specifications of subpart C of this part. For field testing of 
for laboratory testing with PEMS, the specifications in the following 
table apply instead of the specifications in Table 1 of Sec.  1065.205.

[[Page 1036]]



                                 Table 1 of Sec.   1065.915--Recommended Minimum PEMS Measurement Instrument Performance
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                       Measured        Rise time and   Recording update
           Measurement             quantity  symbol      fall time         frequency         Accuracy \1\        Repeatability \1\        Noise \1\
--------------------------------------------------------------------------------------------------------------------------------------------------------
Engine speed transducer..........  fn..............  1 s.............  1 Hz means......  5.0% of pt. or 1.0%   2.0% of pt. or 1.0%   0.5% of max.
                                                                                          of max.               of max
Engine torque estimator, BSFC      T or BSFC.......  1 s.............  1 Hz means......  8.0% of pt. or 5% of  2.0% of pt. or 1.0%   1.0% of max.
 (This is a signal from an                                                                max.                  of max
 engine's ECM).
General pressure transducer (not   p...............  5 s.............  1 Hz............  5.0% of pt. or 5.0%   2.0% of pt. or 0.5%   1.0% of max.
 a part of another instrument).                                                           of max.               of max
Atmospheric pressure meter.......  patmos..........  50 s............  0.1 Hz..........  250 Pa..............  200 Pa                100 Pa.
General temperature sensor (not a  T...............  5 s.............  1 Hz............  1.0% of pt. K or 5 K  0.5% of pt. K or 2 K  0.5% of max 0.5 K.
 part of another instrument).
General dewpoint sensor..........  Tdew............  50 s............  0.1 Hz..........  3 K.................  1 K                   1 K.
Exhaust flow meter...............  nb..............  1 s.............  1 Hz means......  5.0% of pt. or 3.0%   2.0% of pt            2.0% of max.
                                                                                          of max.
Dilution air, inlet air, exhaust,  nb..............  1 s.............  1 Hz means......  2.5% of pt. or 1.5%   1.25% of pt. or       1.0% of max.
 and sample flow meters.                                                                  of max.               0.75% of max
Continuous gas analyzer..........  x...............  5 s.............  1 Hz............  4.0% of pt. or 4.0%   2.0% of pt. or 2.0%   1.0% of max.
                                                                                          of meas.              of meas
Gravimetric PM balance...........  mPM.............  N/A.............  N/A.............  See Sec.   1065.790.  0.5 [micro]g          N/A
Inertial PM balance..............  mPM.............  5 s.............  1 Hz............  4.0% of pt. or 4.0%   2.0% of pt. or 2.0%   1.0% of max.
                                                                                          of meas.              of meas
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Accuracy, repeatability, and noise are all determined with the same collected data, as described in Sec.   1065.305, and based on absolute values.
  ``pt.'' refers to the overall flow-weighted mean value expected at the standard; ``max.'' refers to the peak value expected at the standard over any
  test interval, not the maximum of the instrument's range; ``meas'' refers to the actual flow-weighted mean measured over any test interval.

    (b) Redundant measurements. For all PEMS described in this subpart, 
you may use data from multiple instruments to calculate test results for 
a single test. If you use redundant systems, use good engineering 
judgment to use multiple measured values in calculations or to disregard 
individual measurements. Note that you must keep your results from all 
measurements, as described in Sec.  1065.25. This requirement applies 
whether or not you actually use the measurements in your calculations.
    (c) Field-testing ambient effects on PEMS. PEMS must be only 
minimally affected by ambient conditions such as temperature, pressure, 
humidity, physical orientation, mechanical shock and vibration, 
electromagnetic radiation, and ambient hydrocarbons. Follow the PEMS 
manufacturer's instructions for proper installation to isolate PEMS from 
ambient conditions that affect their performance. If a PEMS is 
inherently affected by ambient conditions that you cannot control, you 
must monitor those conditions and adjust the PEMS signals to compensate 
for the ambient effect. The standard-setting part may also specify the 
use of one or more field-testing adjustments or ``measurement 
allowances'' that you apply to results or standards to account for 
ambient effects on PEMS.
    (d) ECM signals. You may use signals from the engine's electronic 
control module (ECM) in place of values measured by individual 
instruments within a PEMS, subject to the following provisions:
    (1) Recording ECM signals. If your ECM updates a broadcast signal 
more frequently than 1 Hz, take one of the following steps:
    (i) Use PEMS to sample and record the signal's value more 
frequently--up to 5 Hz maximum. Calculate and record

[[Page 1037]]

the 1 Hz mean of the more frequently updated data.
    (ii) Use PEMS to electronically filter the ECM signals to meet the 
rise time and fall time specifications in Table 1 of this section. 
Record the filtered signal at 1 Hz.
    (2) Omitting ECM signals. Replace any discontinuous or irrational 
ECM data with linearly interpolated values from adjacent data.
    (3) Aligning ECM signals with other data. You must perform time-
alignment and dispersion of ECM signals, according to PEMS manufacturer 
instructions and using good engineering judgment.
    (4) ECM signals for determining test intervals. You may use any 
combination of ECM signals, with or without other measurements, to 
determine the start-time and end-time of a test interval.
    (5) ECM signals for determining brake-specific emissions. You may 
use any combination of ECM signals, with or without other measurements, 
to estimate engine speed, torque, and brake-specific fuel consumption 
(BSFC, in units of mass of fuel per kW-hr) for use in brake-specific 
emission calculations. We recommend that the overall performance of any 
speed, torque, or BSFC estimator should meet the performance 
specifications in Table 1 of this section. We recommend using one of the 
following methods:
    (i) Speed. Use the engine speed signal directly from the ECM. This 
signal is generally accurate and precise. You may develop your own speed 
algorithm based on other ECM signals.
    (ii) Torque. Use one of the following:
    (A) ECM torque. Use the engine-torque signal directly from the ECM, 
if broadcast. Determine if this signal is proportional to indicated 
torque or brake torque. If it is proportional to indicated torque, 
subtract friction torque from indicated torque and record the result as 
brake torque. Friction torque may be a separate signal broadcast from 
the ECM or you may have to determine it from laboratory data as a 
function of engine speed.
    (B) ECM %-load. Use the %-load signal directly from the ECM, if 
broadcast. Determine if this signal is proportional to indicated torque 
or brake torque. If it is proportional to indicated torque, subtract the 
minimum %-load value from the %-load signal. Multiply this result by the 
maximum brake torque at the corresponding engine speed. Maximum brake 
torque versus speed information is commonly published by the engine 
manufacturer.
    (C) Your algorithms. You may develop and use your own combination of 
ECM signals to determine torque.
    (iii) BSFC. Use one of the following:
    (A) Use ECM engine speed and ECM fuel flow signals to interpolate 
brake-specific fuel consumption data, which might be available from an 
engine laboratory as a function of ECM engine speed and ECM fuel 
signals.
    (B) Use a single BSFC value that approximates the BSFC value over a 
test interval (as defined in subpart K of this part). This value may be 
a nominal BSFC value for all engine operation determined over one or 
more laboratory duty cycles, or it may be any other BSFC that we 
approve. If you use a nominal BSFC, we recommend that you select a value 
based on the BSFC measured over laboratory duty cycles that best 
represent the range of engine operation that defines a test interval for 
field-testing.
    (C) You may develop and use your own combination of ECM signals to 
determine BSFC.
    (iv) Other ECM signals. You may ask to use other ECM signals for 
determining brake-specific emissions, such as ECM fuel flow or ECM air 
flow. We must approve the use of such signals in advance.
    (6) Permissible deviations. ECM signals may deviate from the 
specifications of this part 1065, but the expected deviation must not 
prevent you from demonstrating that you meet the applicable standards. 
For example, your emission results may be sufficiently below an 
applicable standard, such that the deviation would not significantly 
change the result. As another example, a very low engine-coolant 
temperature may define a logical statement that determines when a test 
interval may start. In this case, even if the ECM's sensor for detecting 
coolant temperature was not very accurate or repeatable, its output 
would never deviate so far as to significantly affect when a test 
interval may start.

[[Page 1038]]


    Effective Date Note: At 73 FR 37344, June 30, 2008, Sec.  1065.915 
was amended by revising paragraph (a) before the table and paragraphs 
(c), (d)(1) and (d)(5)(iii)(B), effective July 7, 2008. For the 
convenience of the user, the revised text is set forth as follows:



Sec.  1065.915  PEMS instruments.

    (a) Instrument specifications. We recommend that you use PEMS that 
meet the specifications of subpart C of this part. For unrestricted use 
of PEMS in a laboratory or similar environment, use a PEMS that meets 
the same specifications as each lab instrument it replaces. For field 
testing or for testing with PEMS in a laboratory or similar environment, 
under the provisions of Sec.  1065.905(b), the specifications in the 
following table apply instead of the specifications in Table 1 of Sec.  
1065.205.

                                * * * * *

    (c) Field-testing ambient effects on PEMS. We recommend that you use 
PEMS that are only minimally affected by ambient conditions such as 
temperature, pressure, humidity, physical orientation, mechanical shock 
and vibration, electromagnetic radiation, and ambient hydrocarbons. 
Follow the PEMS manufacturer's instructions for proper installation to 
isolate PEMS from ambient conditions that affect their performance. If a 
PEMS is inherently affected by ambient conditions that you cannot 
control, you may monitor those conditions and adjust the PEMS signals to 
compensate for the ambient effect. The standard-setting part may also 
specify the use of one or more field-testing adjustments or measurement 
allowances that you apply to results or standards to account for ambient 
effects on PEMS.
    (d) * * *
    (1) Recording ECM signals. If your ECM updates a broadcast signal 
more or less frequently than 1 Hz, process data as follows:
    (i) If your ECM updates a broadcast signal more frequently than 1 
Hz, use PEMS to sample and record the signal's value more frequently. 
Calculate and record the 1 Hz mean of the more frequently updated data.
    (ii) If your ECM updates a broadcast signal less frequently than 1 
Hz, use PEMS to sample and record the signal's value at the most 
frequent rate. Linearly interpolate between recorded values and record 
the interpolated values at 1 Hz.
    (iii) Optionally, you may use PEMS to electronically filter the ECM 
signals to meet the rise time and fall time specifications in Table 1 of 
this section. Record the filtered signal at 1 Hz.

                                * * * * *

    (5) * * *
    (iii) * * *
    (B) Use a single BSFC value that approximates the BSFC value over a 
test interval (as defined in subpart K of this part). This value may be 
a nominal BSFC value for all engine operation determined over one or 
more laboratory duty cycles, or it may be any other BSFC that you 
determine. If you use a nominal BSFC, we recommend that you select a 
value based on the BSFC measured over laboratory duty cycles that best 
represent the range of engine operation that defines a test interval for 
field-testing. You may use the methods of this paragraph (d)(5)(iii)(B) 
only if it does not adversely affect your ability to demonstrate 
compliance with applicable standards.

                                * * * * *



Sec.  1065.920  PEMS Calibrations and verifications.

    (a) Subsystem calibrations and verifications. Use all the applicable 
calibrations and verifications in subpart D of this part, including the 
linearity verifications in Sec.  1065.307, to calibrate and verify PEMS. 
Note that a PEMS does not have to meet the system-response 
specifications of Sec.  1065.308 if it meets the overall verification 
described in paragraph (b) of this section.
    (b) Overall verification. We require only that you maintain a record 
showing that the particular make, model, and configuration of your PEMS 
meets this verification. We recommend that you generate your own record 
to show that your specific PEMS meets this verification, but you may 
also rely on data and other information from the PEMS manufacturer. If 
you upgrade or change the configuration of your PEMS, your record must 
show that your new configuration meets this verification. The 
verification consists of operating an engine over a duty cycle in the 
laboratory and statistically comparing data generated and recorded by 
the PEMS with data simultaneously generated and recorded by laboratory 
equipment as follows:
    (1) Mount an engine on a dynamometer for laboratory testing. Prepare 
the laboratory and PEMS for emission testing, as described in this part, 
to get simultaneous measurements. We recommend selecting an engine with 
emission levels close to the applicable duty-cycle standards, if 
possible.
    (2) Select or create a duty cycle that has all the following 
characteristics:

[[Page 1039]]

    (i) Engine operation that represents normal in-use speeds, loads, 
and degree of transient activity. Consider using data from previous 
field tests to generate a cycle.
    (ii) A duration of (20 to 40) min.
    (iii) At least 50% of engine operating time must include at least 10 
valid test intervals for calculating emission levels for field testing. 
For example, for highway compression-ignition engines, select a duty 
cycle in which at least 50% of the engine operating time can be used to 
calculate valid NTE events.
    (3) Starting with a warmed-up engine, run a valid emission test with 
the duty cycle from paragraph (b)(2) of this section. The laboratory and 
PEMS must both meet applicable validation requirements, such as drift 
validation, hydrocarbon contamination validation, and proportional 
validation.
    (4) Determine the brake-specific emissions for each test interval 
for both laboratory and the PEMS measurements, as follows:
    (i) For both laboratory and PEMS measurements, use identical values 
to determine the beginning and end of each test interval.
    (ii) For both laboratory and PEMS measurements, use identical values 
to determine total work over each test interval.
    (iii) Apply any ``measurement allowance'' to the PEMS data. If the 
measurement allowance is normally added to the standard, subtract the 
measurement allowance from the PEMS brake-specific emission result.
    (iv) Round results to the same number of significant digits as the 
standard.
    (5) Repeat the engine duty cycle and calculations until you have at 
least 100 valid test intervals.
    (6) For each test interval and emission, subtract the lab result 
from the PEMS result.
    (7) If for each constituent, the PEMS passes this verification if 
any one of the following are true:
    (i) 91% or more of the differences are zero or less than zero.
    (ii) The entire set of test-interval results passes the 95% 
confidence alternate-procedure statistics for field testing (t-test and 
F-test) specified in subpart A of this part.

    Effective Date Note: At 73 FR 37345, June 30, 2008, Sec.  1065.920 
was amended by revising paragraphs (a), (b)(4)(iii), and (b)(7) 
introductory text, effective July 7, 2008. For the convenience of the 
user, the revised text is set forth as follows:



Sec.  1065.920  PEMS calibrations and verifications.

    (a) Subsystem calibrations and verifications. Use all the applicable 
calibrations and verifications in subpart D of this part, including the 
linearity verifications in Sec.  1065.307, to calibrate and verify PEMS. 
Note that a PEMS does not have to meet the system-response 
specifications of Sec.  1065.308 if it meets the overall verification 
described in paragraph (b) of this section. This section does not apply 
to ECM signals.
    (b) * * *
    (4) * * *
    (iii) If the standard-setting part specifies the use of a 
measurement allowance for field testing, also apply the measurement 
allowance during calibration using good engineering judgment. If the 
measurement allowance is normally added to the standard, this means you 
must subtract the measurement allowance from the measured PEMS brake-
specific emission result.

                                * * * * *

    (7) The PEMS passes this verification if any one of the following 
are true for each constituent:



Sec.  1065.925  PEMS preparation for field testing.

    Take the following steps to prepare PEMS for field testing:
    (a) Verify that ambient conditions at the start of the test are 
within the limits specified in the standard-setting part. Continue to 
monitor these values to determine if ambient conditions exceed the 
limits during the test.
    (b) Install a PEMS and any accessories needed to conduct a field 
test.
    (c) Power the PEMS and allow pressures, temperatures, and flows to 
stabilize to their operating set points.
    (d) Bypass or purge any gaseous sampling PEMS instruments with 
ambient air until sampling begins to prevent system contamination from 
excessive cold-start emissions.
    (e) Conduct calibrations and verifications.
    (f) Operate any PEMS dilution systems at their expected flow rates 
using a bypass.

[[Page 1040]]

    (g) If you use a gravimetric balance to determine whether an engine 
meets an applicable PM standard, follow the procedures for PM sample 
preconditioning and tare weighing as described in Sec.  1065.590. 
Operate the PM-sampling system at its expected flow rates using a 
bypass.
    (h) Verify the amount of contamination in the PEMS HC sampling 
system as follows:
    (1) Select the HC analyzers' ranges for measuring the maximum 
concentration expected at the HC standard.
    (2) Zero the HC analyzers using a zero gas introduced at the 
analyzer port. When zeroing the FIDs, use the FIDs' burner air that 
would be used for in-use measurements (generally either ambient air or a 
portable source of burner air).
    (3) Span the HC analyzers using span gas introduced at the analyzer 
port. When spanning the FIDs, use the FIDs' burner air that would be 
used in-use (for example, use ambient air or a portable source of burner 
air).
    (4) Overflow zero air at the HC probe or into a fitting between the 
HC probe and the transfer line.
    (5) Measure the HC concentration in the sampling system:
    (i) For continuous sampling, record the mean HC concentration as 
overflow zero air flows.
    (ii) For batch sampling, fill the sample medium and record its mean 
concentration.
    (6) Record this value as the initial HC concentration, xHCinit, and 
use it to correct measured values as described in Sec.  1065.660.
    (7) If the initial HC concentration exceeds the greater of the 
following values, determine the source of the contamination and take 
corrective action, such as purging the system or replacing contaminated 
portions:
    (i) 2% of the flow-weighted mean concentration expected at the 
standard or measured during testing.
    (ii) 2 [micro]mol/mol.
    (8) If corrective action does not resolve the deficiency, you use a 
contaminated HC system if it does not prevent you from demonstrating 
compliance with the applicable emission standards.

    Effective Date Note: At 73 FR 37345, June 30, 2008, Sec.  1065.925 
was amended by revising paragraph (h), effective July 7, 2008. For the 
convenience of the user, the revised text is set forth as follows:



Sec.  1065.925  PEMS preparation for field testing.

                                * * * * *

    (h) Verify the amount of contamination in the PEMS HC sampling 
system as follows:
    (1) Select the HC analyzers' ranges for measuring the maximum 
concentration expected at the HC standard.
    (2) Zero the HC analyzers using a zero gas or ambient air introduced 
at the analyzer port. When zeroing the FIDs, use the FIDs' burner air 
that would be used for in-use measurements (generally either ambient air 
or a portable source of burner air).
    (3) Span the HC analyzers using span gas introduced at the analyzer 
port. When spanning the FIDs, use the FIDs' burner air that would be 
used in-use (for example, use ambient air or a portable source of burner 
air).
    (4) Overflow zero or ambient air at the HC probe or into a fitting 
between the HC probe and the transfer line.
    (5) Measure the HC concentration in the sampling system:
    (i) For continuous sampling, record the mean HC concentration as 
overflow zero air flows.
    (ii) For batch sampling, fill the sample medium and record its mean 
concentration.
    (6) Record this value as the initial HC concentration, 
xTHCinit, and use it to correct measured values as described 
in Sec.  1065.660.
    (7) If the initial HC concentration exceeds the greater of the 
following values, determine the source of the contamination and take 
corrective action, such as purging the system or replacing contaminated 
portions:
    (i) 2% of the flow-weighted mean concentration expected at the 
standard or measured during testing.
    (ii) 2 [micro]mol/mol.
    (8) If corrective action does not resolve the deficiency, you may 
use a contaminated HC system if it does not prevent you from 
demonstrating compliance with the applicable emission standards.



Sec.  1065.930  Engine starting, restarting, and shutdown.

    Unless the standard-setting part specifies otherwise, start, 
restart, and shut down the test engine for field testing as follows:
    (a) Start or restart the engine as described in the owners manual.
    (b) If the engine does not start after 15 seconds of cranking, stop 
cranking and determine the reason it failed to

[[Page 1041]]

start. However, you may crank the engine longer than 15 seconds, as long 
as the owners manual or the service-repair manual describes the longer 
cranking time as normal.
    (c) Respond to engine stalling with the following steps:
    (1) If the engine stalls during a required warm-up before emission 
sampling begins, restart the engine and continue warm-up.
    (2) If the engine stalls at any other time after emission sampling 
begins, restart the engine and continue testing.
    (d) Shut down and restart the engine according to the manufacturer's 
specifications, as needed during normal operation in-use, but continue 
emission sampling until the field test is complete.



Sec.  1065.935  Emission test sequence for field testing.

    (a) Time the start of field testing as follows:
    (1) If the standard-setting part requires only hot-stabilized 
emission measurements, operate the engine in-use until the engine 
coolant, block, or head absolute temperature is within 10% of its mean value for the previous 2 min or until an 
engine thermostat controls engine temperature with coolant or air flow.
    (2) If the standard-setting part requires hot-start emission 
measurements, shut down the engine after at least 2 min at the 
temperature tolerance specified in paragraph (a)(1) of this section. 
Start the field test within 20 min of engine shutdown.
    (3) If the standard-setting part requires cold-start emission 
measurements, proceed to the steps specified in paragraph (b) of this 
section.
    (b) Take the following steps before emission sampling begins:
    (1) For batch sampling, connect clean storage media, such as 
evacuated bags or tare-weighed PM sample media.
    (2) Operate the PEMS according to the instrument manufacturer's 
instructions and using good engineering judgment.
    (3) Operate PEMS heaters, dilution systems, sample pumps, cooling 
fans, and the data-collection system.
    (4) Pre-heat or pre-cool PEMS heat exchangers in the sampling system 
to within their tolerances for operating temperatures.
    (5) Allow all other PEMS components such as sample lines, filters, 
and pumps to stabilize at operating temperature.
    (6) Verify that no significant vacuum-side leak exists in the PEMS, 
as described in Sec.  1065.345.
    (7) Adjust PEMS flow rates to desired levels, using bypass flow if 
applicable.
    (8) Zero and span all PEMS gas analyzers using NIST-traceable gases 
that meet the specifications of Sec.  1065.750.
    (c) Start testing as follows:
    (1) Before the start of the first test interval, zero or re-zero any 
PEMS electronic integrating devices, as needed.
    (2) If the engine is already running and warmed up and starting is 
not part of field testing, start the field test by simultaneously 
starting to sample exhaust, record engine and ambient data, and 
integrate measured values using a PEMS.
    (3) If engine starting is part of field testing, start field testing 
by simultaneously starting to sample from the exhaust system, record 
engine and ambient data, and integrate measured values using a PEMS. 
Then start the engine.
    (d) Continue the test as follows:
    (1) Continue to sample exhaust, record data and integrate measured 
values throughout normal in-use operation of the engine.
    (2) Between each test interval, zero or re-zero any electronic 
integrating devices, and reset batch storage media, as needed.
    (3) The engine may be stopped and started, but continue to sample 
emissions throughout the entire field test.
    (4) Conduct periodic verifications such as zero and span 
verifications on PEMS gas analyzers, as recommended by the PEMS 
manufacturer or as indicated by good engineering judgment. Results from 
these verifications will be used to calculate and correct for drift 
according to paragraph (g) of this section. Do not include data recorded 
during verifications in emission calculations.

[[Page 1042]]

    (5) You may periodically condition and analyze batch samples in-
situ, including PM samples; for example you may condition an inertial PM 
balance substrate if you use an inertial balance to measure PM.
    (6) You may have personnel monitoring and adjusting the PEMS during 
a test, or you may operate the PEMS unattended.
    (e) Stop testing as follows:
    (1) Continue sampling as needed to get an appropriate amount of 
emission measurement, according to the standard setting part. If the 
standard-setting part does not describe when to stop sampling, develop a 
written protocol before you start testing to establish how you will stop 
sampling. You may not determine when to stop testing based on measured 
values.
    (2) At the end of the field test, allow the sampling systems' 
response times to elapse and then stop sampling. Stop any integrators 
and indicate the end of the test cycle on the data-collection medium.
    (3) You may shut down the engine before or after you stop sampling.
    (f) For any proportional batch sample, such as a bag sample or PM 
sample, verify for each test interval whether or not proportional 
sampling was maintained according to Sec.  1065.545. Void the sample for 
any test interval that did not maintain proportional sampling according 
to Sec.  1065.545.
    (g) Take the following steps after emission sampling is complete:
    (1) As soon as practical after the emission sampling, analyze any 
gaseous batch samples.
    (2) If you used dilution air, either analyze background samples or 
assume that background emissions were zero. Refer to Sec.  1065.140 for 
dilution-air specifications.
    (3) After quantifying all exhaust gases, record mean analyzer values 
after stabilizing a zero gas to each analyzer, then record mean analyzer 
values after stabilizing the span gas to the analyzer. Stabilization may 
include time to purge an analyzer of any sample gas, plus any additional 
time to account for analyzer response. Use these recorded values to 
correct for drift as described in Sec.  1065.550.
    (4) Invalidate any test intervals that do not meet the range 
criteria in Sec.  1065.550. Note that it is acceptable that analyzers 
exceed 100% of their ranges when measuring emissions between test 
intervals, but not during test intervals. You do not have to retest an 
engine in the field if the range criteria are not met.
    (5) Invalidate any test intervals that do not meet the drift 
criterion in Sec.  1065.550. For test intervals that do meet the drift 
criterion, correct those test intervals for drift according to Sec.  
1065.672 and use the drift corrected results in emissions calculations.
    (6) Unless you weighed PM in-situ, such as by using an inertial PM 
balance, place any used PM samples into covered or sealed containers and 
return them to the PM-stabilization environment and weigh them as 
described in Sec.  1065.595.

    Effective Date Note: At 73 FR 37345, June 30, 2008, Sec.  1065.335 
was amended by revising paragraphs (e)(1) and (g)(5), effective July 7, 
2008. For the convenience of the user, the revised text is set forth as 
follows:



Sec.  1065.935  Emission test sequence for field testing.

                                * * * * *

    (e) * * *
    (1) Continue sampling as needed to get an appropriate amount of 
emission measurement, according to the standard setting part. If the 
standard-setting part does not describe when to stop sampling, develop a 
written protocol before you start testing to establish how you will stop 
sampling. You may not determine when to stop testing based on emission 
results.

                                * * * * *

    (g) * * *
    (5) Invalidate any test intervals that do not meet the drift 
criterion in Sec.  1065.550. For NMHC, invalidate any test intervals if 
the difference between the uncorrected and the corrected brake-specific 
NMHC emission values are within 10% of the 
uncorrected results or the applicable standard, whichever is greater. 
For test intervals that do meet the drift criterion, correct those test 
intervals for drift according to Sec.  1065.672 and use the drift 
corrected results in emissions calculations.

                                * * * * *

[[Page 1043]]



Sec.  1065.940  Emission calculations.

    Perform emission calculations as described in Sec.  1065.650 to 
calculate brake-specific emissions for each test interval using any 
applicable information and instructions in the standard-setting part.



          Subpart K_Definitions and Other Reference Information



Sec.  1065.1001  Definitions.

    The definitions in this section apply to this part. The definitions 
apply to all subparts unless we note otherwise. All undefined terms have 
the meaning the Act gives them. The definitions follow:
    300 series stainless steel means any stainless steel alloy with a 
Unified Numbering System for Metals and Alloys number designated from 
S30100 to S39000. For all instances in this part where we specify 300 
series stainless steel, such parts must also have a smooth inner-wall 
construction. We recommend an average roughness, Ra, no 
greater than 4 [micro]m.
    Accuracy means the absolute difference between a reference quantity 
and the arithmetic mean of ten mean measurements of that quantity. 
Determine instrument accuracy, repeatability, and noise from the same 
data set. We specify a procedure for determining accuracy in Sec.  
1065.305.
    Act means the Clean Air Act, as amended, 42 U.S.C. 7401-7671q.
    Adjustable parameter means any device, system, or element of design 
that someone can adjust (including those which are difficult to access) 
and that, if adjusted, may affect emissions or engine performance during 
emission testing or normal in-use operation. This includes, but is not 
limited to, parameters related to injection timing and fueling rate. In 
some cases, this may exclude a parameter that is difficult to access if 
it cannot be adjusted to affect emissions without significantly 
degrading engine performance, or if it will not be adjusted in a way 
that affects emissions during in-use operation.
    Aerodynamic diameter means the diameter of a spherical water droplet 
that settles at the same constant velocity as the particle being 
sampled.
    Aftertreatment means relating to a catalytic converter, particulate 
filter, or any other system, component, or technology mounted downstream 
of the exhaust valve (or exhaust port) whose design function is to 
decrease emissions in the engine exhaust before it is exhausted to the 
environment. Exhaust-gas recirculation (EGR) and turbochargers are not 
aftertreatment.
    Allowed procedures means procedures that we either specify in this 
part 1065 or in the standard-setting part or approve under Sec.  
1065.10.
    Alternate procedures means procedures allowed under Sec.  
1065.10(c)(7).
    Applicable standard means an emission standard to which an engine is 
subject; or a family emission limit to which an engine is certified 
under an emission credit program in the standard-setting part.
    Aqueous condensation means the precipitation of water-containing 
constituents from a gas phase to a liquid phase. Aqueous condensation is 
a function of humidity, pressure, temperature, and concentrations of 
other constituents such as sulfuric acid. These parameters vary as a 
function of engine intake-air humidity, dilution-air humidity, engine 
air-to-fuel ratio, and fuel composition--including the amount of 
hydrogen and sulfur in the fuel.
    Atmospheric pressure means the wet, absolute, atmospheric static 
pressure. Note that if you measure atmospheric pressure in a duct, you 
must ensure that there are negligible pressure losses between the 
atmosphere and your measurement location, and you must account for 
changes in the duct's static pressure resulting from the flow.
    Auto-ranging means a gas analyzer function that automatically 
changes the analyzer digital resolution to a larger range of 
concentrations as the concentration approaches 100% of the analyzer's 
current range. Auto-ranging does not mean changing an analog amplifier 
gain within an analyzer.
    Auxiliary emission-control device means any element of design that 
senses temperature, motive speed, engine RPM, transmission gear, or any

[[Page 1044]]

other parameter for the purpose of activating, modulating, delaying, or 
deactivating the operation of any part of the emission-control system.
    Brake power has the meaning given in the standard-setting part. If 
it is not defined in the standard-setting part, brake power means the 
usable power output of the engine, not including power required to fuel, 
lubricate, or heat the engine, circulate coolant to the engine, or to 
operate aftertreatment devices. If the engine does not power these 
accessories during a test, subtract the work required to perform these 
functions from the total work used in brake-specific emission 
calculations. Subtract engine fan work from total work only for air-
cooled engines.
    C1 equivalent (or basis) means a convention of expressing 
HC concentrations based on the total number of carbon atoms present, 
such that the C1 equivalent of a molar HC concentration 
equals the molar concentration multiplied by the mean number of carbon 
atoms in each HC molecule. For example, the C1 equivalent of 
10 [micro]mol/mol of propane (C3H8) is 30 
[micro]mol/mol. C1 equivalent molar values may be denoted as 
``ppmC'' in the standard-setting part.
    Calibration means the process of setting a measurement system's 
response so that its output agrees with a range of reference signals. 
Contrast with ``verification''.
    Certification means relating to the process of obtaining a 
certificate of conformity for an engine family that complies with the 
emission standards and requirements in the standard-setting part.
    Compression-ignition means relating to a type of reciprocating, 
internal-combustion engine that is not a spark-ignition engine.
    Confidence interval means the range associated with a probability 
that a quantity will be considered statistically equivalent to a 
reference quantity.
    Constant-speed engine means an engine whose certification is limited 
to constant-speed operation. Engines whose constant-speed governor 
function is removed or disabled are no longer constant-speed engines.
    Constant-speed operation means engine operation with a governor that 
automatically controls the operator demand to maintain engine speed, 
even under changing load. Governors do not always maintain speed exactly 
constant. Typically speed can decrease (0.1 to 10)% below the speed at 
zero load, such that the minimum speed occurs near the engine's point of 
maximum power.
    Coriolis meter means a flow-measurement instrument that determines 
the mass flow of a fluid by sensing the vibration and twist of specially 
designed flow tubes as the flow passes through them. The twisting 
characteristic is called the Coriolis effect. According to Newton's 
Second Law of Motion, the amount of sensor tube twist is directly 
proportional to the mass flow rate of the fluid flowing through the 
tube. See Sec.  1065.220.
    Designated Compliance Officer means the Manager, Engine Programs 
Group (6405-J), U.S. Environmental Protection Agency, 1200 Pennsylvania 
Ave., NW., Washington, DC 20460.
    Dewpoint means a measure of humidity stated as the equilibrium 
temperature at which water condenses under a given pressure from moist 
air with a given absolute humidity. Dewpoint is specified as a 
temperature in [deg]C or K, and is valid only for the pressure at which 
it is measured. See Sec.  1065.645 to determine water vapor mole 
fractions from dewpoints using the pressure at which the dewpoint is 
measured.
    Discrete-mode means relating to a discrete-mode type of steady-state 
test, as described in the standard-setting part.
    Dispersion means either:
    (1) The broadening and lowering of a signal due to any fluid 
capacitance, fluid mixing, or electronic filtering in a sampling system. 
(Note: To adjust a signal so its dispersion matches that of another 
signal, you may adjust the system's fluid capacitance, fluid mixing, or 
electronic filtering.)
    (2) The mixing of a fluid, especially as a result of fluid 
mechanical forces or chemical diffusion.
    Drift means the difference between a zero or calibration signal and 
the respective value reported by a measurement instrument immediately 
after it was used in an emission test, as long as

[[Page 1045]]

you zeroed and spanned the instrument just before the test.
    Duty cycle means a series of speed and torque values (or power 
values) that an engine must follow during a laboratory test. Duty cycles 
are specified in the standard-setting part. A single duty cycle may 
consist of one or more test intervals. For example, a duty cycle may be 
a ramped-modal cycle, which has one test interval; a cold-start plus 
hot-start transient cycle, which has two test intervals; or a discrete-
mode cycle, which has one test interval for each mode.
    Electronic control module means an engine's electronic device that 
uses data from engine sensors to control engine parameters.
    Emission-control system means any device, system, or element of 
design that controls or reduces the emissions of regulated pollutants 
from an engine.
    Emission-data engine means an engine that is tested for 
certification. This includes engines tested to establish deterioration 
factors.
    Emission-related maintenance means maintenance that substantially 
affects emissions or is likely to substantially affect emission 
deterioration.
    Engine means an engine to which this part applies.
    Engine family means a group of engines with similar emission 
characteristics throughout the useful life, as specified in the 
standard-setting part.
    Engine governed speed means the engine operating speed when it is 
controlled by the installed governor.
    Exhaust-gas recirculation means a technology that reduces emissions 
by routing exhaust gases that had been exhausted from the combustion 
chamber(s) back into the engine to be mixed with incoming air before or 
during combustion. The use of valve timing to increase the amount of 
residual exhaust gas in the combustion chamber(s) that is mixed with 
incoming air before or during combustion is not considered exhaust-gas 
recirculation for the purposes of this part.
    Fall time, t90-10, means the time interval of a 
measurement instrument's response after any step decrease to the input 
between the following points:
    (1) The point at which the response has fallen 10% of the total 
amount it will fall in response to the step change.
    (2) The point at which the response has fallen 90% of the total 
amount it will fall in response to the step change.
    Flow-weighted mean means 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 
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.
    Fuel type means a general category of fuels such as gasoline or LPG. 
There can be multiple grades within a single type of fuel, such as all-
season and winter-grade gasoline.
    Good engineering judgment means judgments made consistent with 
generally accepted scientific and engineering principles and all 
available relevant information. See 40 CFR 1068.5 for the administrative 
process we use to evaluate good engineering judgment.
    HEPA filter means high-efficiency particulate air filters that are 
rated to achieve a minimum initial particle-removal efficiency of 99.97% 
using ASTM F 1471-93 (incorporated by reference in Sec.  1065.1010).
    Hydraulic diameter means the diameter of a circle whose area is 
equal to the area of a noncircular cross section of tubing, including 
its wall thickness. The wall thickness is included only for the purpose 
of facilitating a simplified and nonintrusive measurement.
    Hydrocarbon (HC) means THC, THCE, NMHC, or NMHCE, as applicable. 
Hydrocarbon generally means the hydrocarbon group on which the emission 
standards are based for each type of fuel and engine.
    Identification number means a unique specification (for example, a 
model number/serial number combination) that allows someone to 
distinguish a

[[Page 1046]]

particular engine from other similar engines.
    Idle speed means the lowest engine speed with minimum load (greater 
than or equal to zero load), where an engine governor function controls 
engine speed. For engines without a governor function that controls idle 
speed, idle speed means the manufacturer-declared value for lowest 
engine speed possible with minimum load. Note that warm idle speed is 
the idle speed of a warmed-up engine.
    Intermediate test speed has the meaning given in Sec.  1065.610.
    Linearity means the degree to which measured values agree with 
respective reference values. Linearity is quantified using a linear 
regression of pairs of measured values and reference values over a range 
of values expected or observed during testing. Perfect linearity would 
result in an intercept, a0, equal to zero, a slope, a1, of one, a 
coefficient of determination, r\2\, of one, and a standard error of the 
estimate, SEE, of zero. The term ``linearity'' is not used in this part 
to refer to the shape of a measurement instrument's unprocessed response 
curve, such as a curve relating emission concentration to voltage 
output. A properly performing instrument with a nonlinear response curve 
will meet linearity specifications.
    Manufacturer has the meaning given in section 216(1) of the Act. In 
general, this term includes any person who manufactures an engine or 
vehicle for sale in the United States or otherwise introduces a new 
nonroad engine into commerce in the United States. This includes 
importers who import engines or vehicles for resale.
    Maximum test speed has the meaning given in Sec.  1065.610.
    Maximum test torque has the meaning given in Sec.  1065.610.
    NIST-traceable means relating to a standard value that can be 
related to NIST-stated references through an unbroken chain of 
comparisons, all having stated uncertainties, as specified in NIST 
Technical Note 1297 (incorporated by reference in Sec.  1065.1010). 
Allowable uncertainty limits specified for NIST-traceability refer to 
the propagated uncertainty specified by NIST. You may ask to use other 
internationally recognized standards that are equivalent to NIST 
standards.
    Noise means the precision of 30 seconds of updated recorded values 
from a measurement instrument as it quantifies a zero or reference 
value. Determine instrument noise, repeatability, and accuracy from the 
same data set. We specify a procedure for determining noise in Sec.  
1065.305.
    Nonmethane hydrocarbons (NMHC) means the sum of all hydrocarbon 
species except methane. Refer to Sec.  1065.660 for NMHC determination.
    Nonmethane hydrocarbon equivalent (NMHCE) means the sum of the 
carbon mass contributions of non-oxygenated nonmethane hydrocarbons, 
alcohols and aldehydes, or other organic compounds that are measured 
separately as contained in a gas sample, expressed as exhaust nonmethane 
hydrocarbon from petroleum-fueled engines. The hydrogen-to-carbon ratio 
of the equivalent hydrocarbon is 1.85:1.
    Nonroad means relating to nonroad engines.
    Nonroad engine has the meaning we give in 40 CFR 1068.30. In general 
this means all internal-combustion engines except motor vehicle engines, 
stationary engines, engines used solely for competition, or engines used 
in aircraft.
    Open crankcase emissions means any flow from an engine's crankcase 
that is emitted directly into the environment. Crankcase emissions are 
not ``open crankcase emissions'' if the engine is designed to always 
route all crankcase emissions back into the engine (for example, through 
the intake system or an aftertreatment system) such that all the 
crankcase emissions, or their products, are emitted into the environment 
only through the engine exhaust system.
    Operator demand means an engine operator's input to control engine 
output. The ``operator'' may be a person (i.e., manual), or a governor 
(i.e., automatic) that mechanically or electronically signals an input 
that demands engine output. Input may be from an accelerator pedal or 
signal, a throttle-control lever or signal, a fuel lever or signal, a 
speed lever or signal, or a governor setpoint or signal. Output means 
engine power, P, which is the product

[[Page 1047]]

of engine speed, fn, and engine torque, T.
    Oxides of nitrogen means compounds containing only nitrogen and 
oxygen as measured by the procedures specified in this part, except as 
specified in the standard-setting part. Oxides of nitrogen are expressed 
quantitatively as if the NO is in the form of NO2, such that 
you use an effective molar mass for all oxides of nitrogen equivalent to 
that of NO2.
    Oxygenated fuels means fuels composed of oxygen-containing 
compounds, such as ethanol or methanol. Testing engines that use 
oxygenated fuels generally requires the use of the sampling methods in 
subpart I of this part. However, you should read the standard-setting 
part and subpart I of this part to determine appropriate sampling 
methods.
    Partial pressure means the pressure, p, attributable to a single gas 
in a gas mixture. For an ideal gas, the partial pressure divided by the 
total pressure is equal to the constituent's molar concentration, x.
    Percent (%) means a representation of exactly 0.01. Significant 
digits for the product of % and another value are defined as follows:
    (1) Where we specify some percentage of a total value, the 
calculated value has the same number of significant digits as the total 
value. For example, 2% is exactly 0.02 and 2% of 101.3302 equals 
2.026604.
    (2) In other cases, determine the number of significant digits using 
the same method as you would use for determining the number of 
significant digits of a fractional value.
    Portable emission measurement system (PEMS) means a measurement 
system consisting of portable equipment that can be used to generate 
brake-specific emission measurements during field testing or laboratory 
testing.
    Precision means two times the standard deviation of a set of 
measured values of a single zero or reference quantity.
    Procedures means all aspects of engine testing, including the 
equipment specifications, calibrations, calculations and other protocols 
and specifications needed to measure emissions, unless we specify 
otherwise.
    Proving ring is a device used to measure static force based on the 
linear relationship between stress and strain in an elastic material. It 
is typically a steel alloy ring, and you measure the deflection (strain) 
of its diameter when a static force (stress) is applied across its 
diameter.
    PTFE means polytetrafluoroethylene, commonly known as Teflon\TM\.
    Ramped-modal means relating to a ramped-modal type of steady-state 
test, as described in the standard-setting part.
    Regression statistics means any of the set of statistics specified 
in Sec.  1065.602(i) through (l).
    Repeatability means the precision of ten mean measurements of a 
reference quantity. Determine instrument repeatability, accuracy, and 
noise from the same data set. We specify a procedure for determining 
repeatability in Sec.  1065.305.
    Revoke has the meaning given in 40 CFR 1068.30.
    Rise time, t10-90, means the time interval of a 
measurement instrument's response after any step increase to the input 
between the following points:
    (1) The point at which the response has risen 10% of the total 
amount it will rise in response to the step change.
    (2) The point at which the response has risen 90% of the total 
amount it will rise in response to the step change.
    Roughness (or average roughness, Ra) means the size of finely 
distributed vertical surface deviations from a smooth surface, as 
determined when traversing a surface. It is an integral of the absolute 
value of the roughness profile measured over an evaluation length.
    Round means to round numbers according to NIST SP 811 (incorporated 
by reference in Sec.  1065.1010), unless otherwise specified.
    Scheduled maintenance means adjusting, repairing, removing, 
disassembling, cleaning, or replacing components or systems periodically 
to keep a part or system from failing, malfunctioning, or wearing 
prematurely. It also may mean actions you expect are necessary to 
correct an overt indication of failure or malfunction for which

[[Page 1048]]

periodic maintenance is not appropriate.
    Shared atmospheric pressure meter means an atmospheric pressure 
meter whose output is used as the atmospheric pressure for an entire 
test facility that has more than one dynamometer test cell.
    Shared humidity measurement means a humidity measurement that is 
used as the humidity for an entire test facility that has more than one 
dynamometer test cell.
    Span means to adjust an instrument so that it gives a proper 
response to a calibration standard that represents between 75% and 100% 
of the maximum value in the instrument range or expected range of use.
    Spark-ignition 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.
    Special procedures means procedures allowed under Sec.  
1065.10(c)(2).
    Specified procedures means procedures we specify in this part 1065 
or the standard-setting part. Other procedures allowed or required by 
Sec.  1065.10(c) are not specified procedures.
    Standard deviation has the meaning given in Sec.  1065.602. Note 
this is the standard deviation for a non-biased sample.
    Standard-setting part means the part in the Code of Federal 
Regulations that defines emission standards for a particular engine. See 
Sec.  1065.1(a).
    Steady-state means relating to emission tests in which engine speed 
and load are held at a finite set of nominally constant values. Steady-
state tests are either discrete-mode tests or ramped-modal tests.
    Stoichiometric means relating to the particular ratio of air and 
fuel such that if the fuel were fully oxidized, there would be no 
remaining fuel or oxygen. For example, stoichiometric combustion in a 
gasoline-fueled engine typically occurs at an air-to-fuel mass ratio of 
about 14.7:1.
    Storage medium means a particulate filter, sample bag, or any other 
storage device used for batch sampling.
    Test engine means an engine in a test sample.
    Test interval means a duration of time over which you determine 
brake-specific emissions. For example, the standard-setting part may 
specify a complete laboratory duty cycle as a cold-start test interval, 
plus a hot-start test interval. As another example, a standard-setting 
part may specify a field-test interval, such as a ``not-to-exceed'' 
(NTE) event, as a duration of time over which an engine operates within 
a certain range of speed and torque. In cases where multiple test 
intervals occur over a duty cycle, the standard-setting part may specify 
additional calculations that weight and combine results to arrive at 
composite values for comparison against the applicable standards.
    Test sample means the collection of engines selected from the 
population of an engine family for emission testing.
    Tolerance means the interval in which 95% of a set of recorded 
values of a certain quantity must lie, with the remaining 5% of the 
recorded values deviating from the tolerance interval only due to 
measurement variability. Use the specified recording frequencies and 
time intervals to determine if a quantity is within the applicable 
tolerance. For parameters not subject to measurement variability, 
tolerance means an absolute allowable range.
    Total hydrocarbon (THC) means the combined mass of organic compounds 
measured by the specified procedure for measuring total hydrocarbon, 
expressed as a hydrocarbon with a hydrogen-to-carbon mass ratio of 
1.85:1.
    Total hydrocarbon equivalent (THCE) means the sum of the carbon mass 
contributions of non-oxygenated hydrocarbons, alcohols and aldehydes, or 
other organic compounds that are measured separately as contained in a 
gas sample, expressed as exhaust hydrocarbon from petroleum-fueled 
engines. The hydrogen-to-carbon ratio of the equivalent hydrocarbon is 
1.85:1.

[[Page 1049]]

    United States means the States, the District of Columbia, the 
Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana 
Islands, Guam, American Samoa, and the U.S. Virgin Islands.
    Useful life means the period during which a new engine is required 
to comply with all applicable emission standards. The standard-setting 
part defines the specific useful-life periods for individual engines.
    Variable-speed engine means an engine that is not a constant-speed 
engine.
    Vehicle means any vehicle, vessel, or type of equipment using 
engines to which this part applies. For purposes of this part, the term 
``vehicle'' may include nonmotive machines or equipment such as a pump 
or generator.
    Verification means to evaluate whether or not a measurement system's 
outputs agree with a range of applied reference signals to within one or 
more predetermined thresholds for acceptance. Contrast with 
``calibration''.
    We (us, our) means the Administrator of the Environmental Protection 
Agency and any authorized representatives.
    Zero means to adjust an instrument so it gives a zero response to a 
zero calibration standard, such as purified nitrogen or purified air for 
measuring concentrations of emission constituents.
    Zero gas means a gas that yields a zero response in an analyzer. 
This may either be purified nitrogen, purified air, a combination of 
purified air and purified nitrogen. For field testing, zero gas may 
include ambient air.

    Effective Date Note: At 73 FR 37346, June 30, 2008, Sec.  1065.1001 
was amended by revising the definitions for ``Designated Compliance 
Officer'', ``Regression statistics'' and ``Tolerance'' and adding 
definitions in alphabetical order for ``Dilution ratio'', ``Measurement 
allowance'', ``Mode'', ``NIST-accepted'', ``Recommend'', 
``Uncertainty'', and ``Work'', effective July 7, 2008. For the 
convenience of the user, the added and revised text is set forth as 
follows:



Sec.  1065.1001  Definitions.

                                * * * * *

    Designated Compliance Officer means the Director, Compliance and 
Innovative Strategies Division (6405-J), U.S. Environmental Protection 
Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460.

                                * * * * *

    Dilution ratio (DR) means the amount of diluted exhaust per amount 
of undiluted exhaust.

                                * * * * *

    Measurement allowance means a specified adjustment in the applicable 
emission standard or a measured emission value to reflect the relative 
quality of the measurement. See the standard-setting part to determine 
whether any measurement allowances apply for your testing. Measurement 
allowances generally apply only for field testing and are intended to 
account for reduced accuracy or precision that result from using field-
grade measurement systems.
    Mode means one of the following:
    (1) A distinct combination of engine speed and load for steady-state 
testing.
    (2) A continuous combination of speeds and loads specifying a 
transition during a ramped-modal test.
    (3) A distinct operator demand setting, such as would occur when 
testing locomotives or constant-speed engines.
    NIST-accepted means relating to a value that has been assigned or 
named by NIST.

                                * * * * *

    Recommend has the meaning given in Sec.  1065.201.
    Regression statistics means any of the regression statistics 
specified in Sec.  1065.602.

                                * * * * *

    Tolerance means the interval in which at least 95% of a set of 
recorded values of a certain quantity must lie. Use the specified 
recording frequencies and time intervals to determine if a quantity is 
within the applicable tolerance. The concept of tolerance is intended to 
address random variability. You may not take advantage of the tolerance 
specification to incorporate a bias into a measurement.

                                * * * * *

    Uncertainty means uncertainty with respect to NIST-traceability. See 
the definition of NIST-traceable in this section.

                                * * * * *

    Work has the meaning given in Sec.  1065.110.

                                * * * * *

[[Page 1050]]



Sec.  1065.1005  Symbols, abbreviations, acronyms, and units of measure.

    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 Sec.  1065.1010. See Sec.  
1065.25 for specific provisions related to these conventions. This 
section summarizes the way we use symbols, units of measure, and other 
abbreviations.
    (a) Symbols for quantities. This part uses the following symbols and 
units of measure for various quantities:

----------------------------------------------------------------------------------------------------------------
    Symbol            Quantity                Unit               Unit symbol               Base SI units
----------------------------------------------------------------------------------------------------------------
%.............  percent.............  0.01................  %...................  10-2
[alpha].......  atomic hydrogen to    mole per mole.......  mol/mol.............  1
                 carbon ratio.
A.............  area................  square meter........  m\2\................  m\2\
a0............  intercept of least
                 squares regression.
a1............  slope of least
                 squares regression.
[beta]........  ratio of diameters..  meter per meter.....  m/m.................  1
[beta]........  atomic oxygen to      mole per mole.......  mol/mol.............  1
                 carbon ratio.
C#............  number of carbon
                 atoms in a molecule.
D.............  diameter............  meter...............  m...................  m
DF............  dilution air          mole per mol........  mol/mol.............  1
                 fraction.
[egr].........  error between a
                 quantity and its
                 reference.
e.............  brake-specific basis  gram per kilowatt     g/(kW[middot]h).....  g[middot]3.6-
                                       hour.                                       1[middot]10\6\[middot]m-
                                                                                   2[middot]kg[middot]s\2\
F.............  F-test statistic....
f.............  frequency...........  hertz...............  Hz..................  s-1
fn............  rotational frequency  revolutions per       rev/min.............  2[middot]pi[middot]60-
                 (shaft).              minute.                                     1[middot]s-1
[gamma].......  ratio of specific     (joule per kilogram   (J/(kg[middot]K))/(J/ 1
                 heats.                kelvin) per (joule    (kg[middot]K)).
                                       per kilogram
                                       kelvin).
K.............  correction factor...  ....................  ....................  1
l.............  length..............  meter...............  m...................  m
[micro].......  viscosity, dynamic..  pascal second.......  Pa[middot]s.........  m-1[middot]kg[middot]s-1
M.............  molar mass\1\.......  gram per mole.......  g/mol...............  10-3[middot]kg[middot]mol-1
m.............  mass................  kilogram............  kg..................  kg
mb............  mass rate...........  kilogram per second.  kg/s................  kg[middot]s-1
[mu]..........  viscosity, kinematic  meter squared per     m\2\/s..............  m\2\[middot]s-1
                                       second.
N.............  total number in
                 series.
n.............  amount of substance.  mole................  mol.................  mol
nb............  amount of substance   mole per second.....  mol/s...............  mol[middot]s-1
                 rate.
P.............  power...............  kilowatt............  kW..................  10\3\[middot]m\2\[middot]kg[mi
                                                                                   ddot]s-3
PF............  penetration fraction
p.............  pressure............  pascal..............  Pa..................  m-1[middot]kg[middot]s-2
[rho].........  mass density........  kilogram per cubic    kg/m\3\.............  kg[middot]m-3
                                       meter.
r.............  ratio of pressures..  pascal per pascal...  Pa/Pa...............  1
r\2\..........  coefficient of
                 determination.
Ra............  average surface       micrometer..........  [micro]m............  m-6
                 roughness.
Re#...........  Reynolds number.....
RF............  response factor.....
[sigma].......  non-biased standard
                 deviation.
SEE...........  standard estimate of
                 error.
T.............  absolute temperature  kelvin..............  K...................  K
T.............  Celsius temperature.  degree Celsius......  [deg]C..............  K-273.15
T.............  torque (moment of     newton meter........  N[middot]m..........  m\2\[middot]kg[middot]s-2
                 force).
t.............  time................  second..............  s...................  s
[Delta]t......  time interval,        second..............  s...................  s
                 period, 1/frequency.
V.............  volume..............  cubic meter.........  m\3\................  m\3\
Vb............  volume rate.........  cubic meter per       m\3\/s..............  m\3\[middot]s-1
                                       second.
W.............  work................  kilowatt hour.......  kW[middot]h.........  3.6[middot]10-
                                                                                   6[middot]m\2\[middot]kg[middo
                                                                                   t]s-2
x.............  amount of substance   mole per mole.......  mol/mol.............  1
                 mole fraction \2\.
x8............  flow-weighted mean    mole per mole.......  mol/mol.............  1
                 concentration.
y.............  generic variable....
----------------------------------------------------------------------------------------------------------------
\1\ See paragraph (f)(2) of this section for the values to use for molar masses. Note that in the cases of NOX
  and HC, the regulations specify effective molar masses based on assumed speciation rather than actual
  speciation.
\2\ Note that mole fractions for THC, THCE, NMHC, NMHCE, and NOTHC are expressed on a C1 equivalent basis.


[[Page 1051]]

    (b) Symbols for chemical species. This part uses the following 
symbols for chemical species and exhaust constituents:

------------------------------------------------------------------------
              Symbol                              Species
------------------------------------------------------------------------
Ar...............................  argon.
C................................  carbon.
CH4..............................  methane.
C2H6.............................  ethane.
C3H8.............................  propane.
C4H10............................  butane
C5H12............................  pentane.
CO...............................  carbon monoxide.
CO2..............................  carbon dioxide.
H................................  atomic hydrogen
H2...............................  molecular hydrogen.
H2O..............................  water.
He...............................  helium.
\85\Kr...........................  krypton 85.
N2...............................  molecular nitrogen.
NMHC.............................  nonmethane hydrocarbon.
NMHCE............................  nonmethane hydrocarbon equivalent.
NO...............................  nitric oxide.
NO2..............................  nitrogen dioxide.
NOX..............................  oxides of nitrogen.
NOTHC............................  nonoxygenated hydrocarbon.
O2...............................  molecular oxygen.
OHC..............................  oxygenated hydrocarbon.
\210\Po..........................  polonium 210.
PM...............................  particulate mass.
S................................  sulfur.
THC..............................  total hydrocarbon.
ZrO2.............................  zirconium dioxide.
------------------------------------------------------------------------

    (c) Prefixes. This part uses the following prefixes to define a 
quantity:

------------------------------------------------------------------------
           Symbol                        Quantity                Value
------------------------------------------------------------------------
[micro]....................  micro...........................     10-\6\
m..........................  milli...........................     10-\3\
c..........................  centi...........................     10-\2\
k..........................  kilo............................      10\3\
M..........................  mega............................      10\6\
------------------------------------------------------------------------

    (d) Superscripts. This part uses the following superscripts to 
define a quantity:

------------------------------------------------------------------------
              Superscript                           Quantity
------------------------------------------------------------------------
overbar (such as y8)..................  arithmetic mean.
overdot (such as yb)..................  quantity per unit time.
------------------------------------------------------------------------

    (e) Subscripts. This part uses the following subscripts to define a 
quantity:

------------------------------------------------------------------------
            Subscript                             Quantity
------------------------------------------------------------------------
abs..............................  absolute quantity.
act..............................  actual condition.
air..............................  air, dry
atmos............................  atmospheric.
cal..............................  calibration quantity.
CFV..............................  critical flow venturi.
cor..............................  corrected quantity.
dil..............................  dilution air.
dexh.............................  diluted exhaust.
exh..............................  raw exhaust.
exp..............................  expected quantity.
i................................  an individual of a series.
idle.............................  condition at idle.
in...............................  quantity in.
init.............................  initial quantity, typically before an
                                    emission test.
j................................  an individual of a series.
max..............................  the maximum (i.e., peak) value
                                    expected at the standard over a test
                                    interval; not the maximum of an
                                    instrument range.
meas.............................  measured quantity.
out..............................  quantity out.
part.............................  partial quantity.
PDP..............................  positive-displacement pump.
ref..............................  reference quantity.
rev..............................  revolution.
sat..............................  saturated condition.
slip.............................  PDP slip.
span.............................  span quantity.
SSV..............................  subsonic venturi.
std..............................  standard condition.
test.............................  test quantity.
uncor............................  uncorrected quantity.
zero.............................  zero quantity.
------------------------------------------------------------------------

    (f) Constants. (1) This part uses the following constants for the 
composition of dry air:

------------------------------------------------------------------------
          Symbol                        Quantity               mol/mol
------------------------------------------------------------------------
xArair....................  amount of argon in dry air.....      0.00934
xCO2air...................  amount of carbon dioxide in dry     0.000375
                             air.
xN2air....................  amount of nitrogen in dry air..      0.78084
xO2air....................  amount of oxygen in dry air....     0.209445
------------------------------------------------------------------------

    (2) This part uses the following molar masses or effective molar 
masses of chemical species:

------------------------------------------------------------------------
                                                        g/mol (10-
       Symbol                  Quantity          3[middot]kg[middot]mol-
                                                            1)
------------------------------------------------------------------------
Mair................  molar mass of dry air \1\           28.96559
MAr.................  molar mass of argon......             39.948
MC..................  molar mass of carbon.....            12.0107
MCO.................  molar mass of carbon                 28.0101
                       monoxide.
MCO2................  molar mass of carbon                 44.0095
                       dioxide.
MH..................  molar mass of atomic                 1.00794
                       hydrogen.
MH2.................  molar mass of molecular              2.01588
                       hydrogen.
MH2O................  molar mass of water......           18.01528
MHe.................  molar mass of helium.....           4.002602
MN..................  molar mass of atomic                 14.0067
                       nitrogen.
MN2.................  molar mass of molecular              28.0134
                       nitrogen.
MNMHC...............  effective molar mass of            13.875389
                       nonmethane hydrocarbon
                       \2\.
MNMHCE..............  effective molar mass of            13.875389
                       nonmethane equivalent
                       hydrocarbon \2\.
MNOX................  effective molar mass of              46.0055
                       oxides of nitrogen \3\.
MO..................  molar mass of atomic                 15.9994
                       oxygen.
MO2.................  molar mass of molecular              31.9988
                       oxygen.
MC3H8...............  molar mass of propane....           44.09562
MS..................  molar mass of sulfur.....             32.065
MTHC................  effective molar mass of            13.875389
                       total hydrocarbon \2\.

[[Page 1052]]

 
MTHCE...............  effective molar mass of            13.875389
                       total hydrocarbon
                       equivalent \2\.
------------------------------------------------------------------------
\1\ See paragraph (f)(1) of this section for the composition of dry air.
\2\ The effective molar masses of THC, THCE, NMHC, and NMHCE are defined
  by an atomic hydrogen-to-carbon ratio, [alpha], of 1.85.
\3\ The effective molar mass of NOX is defined by the molar mass of
  nitrogen dioxide, NO2.

    (3) This part uses the following molar gas constant for ideal gases:

------------------------------------------------------------------------
                                                  J/(mol) [middot] K)
       Symbol                Quantity          (m\2\[middot]kg[middot]s-
                                                  2 mol-1[middot] K-1)
------------------------------------------------------------------------
R..................  molar gas constant......            8.314472
------------------------------------------------------------------------

    (4) This part uses the following ratios of specific heats for 
dilution air and diluted exhaust:

------------------------------------------------------------------------
                                                               [J/
                                                         (kg[middot]K)]/
         Symbol                      Quantity                   [J/
                                                          (kg[middot]K)]
------------------------------------------------------------------------
[gamma]air..............  ratio of specific heats for            1.399
                           intake air or dilution air.
[gamma]dil..............  ratio of specific heats for            1.399
                           diluted exhaust.
[gamma]exh..............  ratio of specific heats for            1.385
                           raw exhaust.
------------------------------------------------------------------------

    (g) Other acronyms and abbreviations. This part uses the following 
additional abbreviations and acronyms:

ASTM............................  American Society for Testing and
                                   Materials.
BMD.............................  bag mini-diluter.
BSFC............................  brake-specific fuel consumption.
CARB............................  California Air Resources Board.
CFR.............................  Code of Federal Regulations.
CFV.............................  critical-flow venturi.
CI..............................  compression-ignition.
CLD.............................  chemiluminescent detector.
CVS.............................  constant-volume sampler.
DF..............................  deterioration factor.
ECM.............................  electronic control module.
EFC.............................  electronic flow control.
EGR.............................  exhaust gas recirculation.
EPA.............................  Environmental Protection Agency.
FID.............................  flame-ionization detector.
IBP.............................  initial boiling point.
ISO.............................  International Organization for
                                   Standardization.
LPG.............................  liquefied petroleum gas.
NDIR............................  nondispersive infrared.
NDUV............................  nondispersive ultraviolet.
NIST............................  National Institute for Standards and
                                   Technology.
PDP.............................  positive-displacement pump.
PEMS............................  portable emission measurement system.
PFD.............................  partial-flow dilution.
PMP.............................  Polymethylpentene.
pt..............................  a single point at the mean value
                                   expected at the standard.
PTFE............................  polytetrafluoroethylene (commonly
                                   known as Teflon\TM\).
RE..............................  rounding error.
RMC.............................  ramped-modal cycle.
RMS.............................  root-mean square.
RTD.............................  resistive temperature detector.
SSV.............................  subsonic venturi.
SI..............................  spark-ignition.
UCL.............................  upper confidence limit.
UFM.............................  ultrasonic flow meter.
U.S.C...........................  United States Code.
------------------------------------------------------------------------


    Effective Date Note: At 73 FR 37346, June 30, 2008, Sec.  1065.1005 
was amended by revising paragraphs (a) and (g), effective July 7, 2008. 
For the convenience of the user, the revised text is set forth as 
follows:



Sec.  1065.1005  Symbols, abbreviations, acronyms, and units of measure.

                                * * * * *

    (a) Symbols for quantities. This part uses the following symbols and 
units of measure for various quantities:

----------------------------------------------------------------------------------------------------------------
      Symbol              Quantity                  Unit                 Unit symbol           Base SI units
----------------------------------------------------------------------------------------------------------------
%................  percent...............  0.01..................  %.....................  10	2
[alpha]..........  atomic hydrogen to      mole per mole.........  mol/mol...............  1
                    carbon ratio.
A................  area..................  square meter..........  m2....................  m2
A0...............  intercept of least
                    squares regression.
A1...............  slope of least squares
                    regression.
[beta]...........  ratio of diameters....  meter per meter.......  m/m...................  1
[beta]...........  atomic oxygen to        mole per mole.........  mol/mol...............  1
                    carbon ratio.
C#...............  number of carbon atoms
                    in a molecule.
d................  Diameter..............  meter.................  m.....................  m
DR...............  dilution ratio........  mole per mol..........  mol/mol...............  1
[egr]............  error between a
                    quantity and its
                    reference.
e................  brake-specific basis..  gram per kilowatt hour  g/(kW [middot] h).....  g [middot] 3.6	1
                                                                                            [middot] 10\6\
                                                                                            [middot] m	2
                                                                                            [middot] kg [middot]
                                                                                            s\2\
F................  F-test statistic......
f................  frequency.............  hertz.................  Hz....................  s	1
fn...............  rotational frequency    revolutions per minute  rev/min...............  2 [middot] pi
                    (shaft).                                                                [middot] 60	1
                                                                                            [middot] s	1
[gamma]..........  ratio of specific       (joule per kilogram     (J/(kg [middot] K))/(J/ 1
                    heats.                  kelvin) per (joule      (kg [middot] K)).
                                            per kilogram kelvin).
K................  correction factor.....  1.....................
l................  length................  meter.................  m.....................  m
[micro]..........  viscosity, dynamic....  pascal second.........  Pa[middot]s...........  m	1 [middot] kg
                                                                                            [middot] s	1
M................  molar mass\1\.........  gram per mole.........  g/mol.................  10	3 [middot] kg
                                                                                            [middot] mol	1

[[Page 1053]]

 
m................  mass..................  kilogram..............  kg....................  kg
m................  mass rate.............  kilogram per second...  kg/s..................  kg [middot] s	1
[nu].............  viscosity, kinematic..  meter squared per       m\2\/s................  m\2\ [middot] s	1
                                            second.
N................  total number in series
n................  amount of substance...  mole..................  mol...................  mol
n................  amount of substance     mole per second.......  mol/s.................  mol [middot] s	1
                    rate.
P................  power.................  kilowatt..............  kW....................  10\3\ [middot] m\2\
                                                                                            [middot] kg [middot]
                                                                                            s	3
PF...............  penetration fraction..
p................  pressure..............  pascal................  Pa....................  m	1 [middot] kg
                                                                                            [middot] s	2
[rho]............  mass density..........  kilogram per cubic      kg/m3.................  kg [middot] m	3
                                            meter.
r................  ratio of pressures....  pascal per pascal.....  Pa/Pa.................  1
R\2\.............  coefficient of
                    determination.
Ra...............  average surface         micrometer............  [micro]m..............  m	6
                    roughness.
Re#..............  Reynolds number.......
RF...............  response factor.......
RH%..............  relative humidity.....  0.01..................  %.....................  10	2
[sigma]..........  non-biased standard
                    deviation.
S................  Sutherland constant...  kelvin................  K.....................  K
SEE..............  standard estimate of
                    error.
T................  absolute temperature..  kelvin................  K.....................  K
T................  Celsius temperature...  degree Celsius........   [deg]C...............  K-273.15
T................  torque (moment of       newton meter..........  N [middot] m..........  m\2\ [middot] kg
                    force).                                                                 [middot] s	2
t................  time..................  second................  s.....................  s
[Delta]t.........  time interval, period,  second................  s.....................  s
                    1/frequency.
V................  volume................  cubic meter...........  m\3\..................  m\3\
V................  volume rate...........  cubic meter per second  m\3\/s................  m\3\ [middot] s	1
W................  work..................  kilowatt hour.........  kW [middot] h.........  3.6 [middot] 10	6
                                                                                            [middot] m\2\
                                                                                            [middot] kg [middot]
                                                                                            s	2
wc...............  carbon mass             gram per gram.........  g/g...................  1
                    concentration.
x................  amount of substance     mole per mole.........  mol/mol...............  (\1\)
                    mole fraction\2\.
x................  flow-weighted mean      mole per mole.........  mol/mol...............  1
                    concentration.
y................  generic variable......
----------------------------------------------------------------------------------------------------------------
\1\ See paragraph (f)(2) of this section for the values to use for molar masses. Note that in the cases of NOX
  and HC, the regulations specify effective molar masses based on assumed speciation rather than actual
  speciation.
\2\ Note that mole fractions for THC, THCE, NMHC, NMHCE, and NOTHC are expressed on a C1 equivalent basis.

                                * * * * *

    (g) Other acronyms and abbreviations. This part uses the following 
additional abbreviations and acronyms:

ASTM American Society for Testing and Materials
BMD bag mini-diluter
BSFC brake-specific fuel consumption
CARB California Air Resources Board
CFR Code of Federal Regulations
CFV critical-flow venturi
CI compression-ignition
CITT Curb Idle Transmission Torque
CLD chemiluminescent detector
CVS constant-volume sampler
DF deterioration factor
ECM electronic control module
EFC electronic flow control
EGR exhaust gas recirculation
EPA Environmental Protection Agency
FEL Family Emission Limit
FID flame-ionization detector
IBP initial boiling point
ISO International Organization for Standardization
LPG liquefied petroleum gas
NDIR nondispersive infrared
NDUV nondispersive ultraviolet
NIST National Institute for Standards and Technology
PDP positive-displacement pump
PEMS portable emission measurement system
PFD partial-flow dilution
PMP Polymethylpentene
pt. a single point at the mean value expected at the standard
PTFE polytetrafluoroethylene (commonly known as TeflonTM)
RE rounding error
RMC ramped-modal cycle
RMS root-mean square
RTD resistive temperature detector
SSV subsonic venturi
SI spark-ignition
UCL upper confidence limit
UFM ultrasonic flow meter
U.S.C. United States Code



Sec.  1065.1010  Reference materials.

    Documents listed in this section have been incorporated by reference 
into this part. The Director of the Federal Register approved the 
incorporation by reference as prescribed in 5 U.S.C. 552(a) and 1 CFR 
part 51. Anyone may inspect copies at the U.S. EPA, Air and Radiation 
Docket and Information Center, 1301 Constitution Ave., NW.,

[[Page 1054]]

Room B102, EPA West Building, Washington, DC 20460 or at the National 
Archives and Records Administration (NARA). For information on the 
availability of this material at NARA, call 202-741-6030, or go to: 
http://www.archives.gov/federal--register/code--of--federal--
regulations/ibr--locations.html.
    (a) ASTM material. Table 1 of this section lists material from the 
American Society for Testing and Materials that we have incorporated by 
reference. The first column lists the number and name of the material. 
The second column lists the sections of this part where we reference it. 
Anyone may purchase copies of these materials from the American Society 
for Testing and Materials, 100 Barr Harbor Dr., P.O. Box C700, West 
Conshohocken, PA 19428 or www.astm.com. Table 1 follows:

               Table 1 of Sec.   1065.1010--ASTM Materials
------------------------------------------------------------------------
            Document number and name               Part 1065 reference
------------------------------------------------------------------------
ASTM D 86-04b, Standard Test Method for               1065.703, 1065.710
 Distillation of Petroleum Products at
 Atmospheric Pressure..........................
ASTM D 93-02a, Standard Test Methods for Flash                  1065.703
 Point by Pensky-Martens Closed Cup Tester.....
ASTM D 287 92 (Reapproved 2000), Standard Test                  1065.703
 Method for API Gravity of Crude Petroleum and
 Petroleum Products (Hydrometer Method)........
ASTM D 323-99a, Standard Test Method for Vapor                  1065.710
 Pressure of Petroleum Products (Reid Method)..
ASTM D 445-04, Standard Test Method for                         1065.703
 Kinematic Viscosity of Transparent and Opaque
 Liquids (and the Calculation of Dynamic
 Viscosity)....................................
ASTM D 613-03b, Standard Test Method for Cetane                 1065.703
 Number of Diesel Fuel Oil.....................
ASTM D 910-04a, Standard Specification for                      1065.701
 Aviation Gasolines............................
ASTM D 975-04c, Standard Specification for                      1065.701
 Diesel Fuel Oils..............................
ASTM D 1266-98 (Reapproved 2003), Standard Test                 1065.710
 Method for Sulfur in Petroleum Products (Lamp
 Method).......................................
ASTM D 1267-02, Standard Test Method for Gage                   1065.720
 Vapor Pressure of Liquefied Petroleum (LP)
 Gases (LP-Gas Method).........................
ASTM D 1319-03, Standard Test Method for                        1065.710
 Hydrocarbon Types in Liquid Petroleum Products
 by Fluorescent Indicator Adsorption...........
ASTM D 1655-04a, Standard Specification for                     1065.701
 Aviation Turbine Fuels........................
ASTM D 1837-02a, Standard Test Method for                       1065.720
 Volatility of Liquefied Petroleum (LP) Gases..
ASTM D 1838-03, Standard Test Method for Copper                 1065.720
 Strip Corrosion by Liquefied Petroleum (LP)
 Gases.........................................
ASTM D 1945-03, Standard Test Method for                        1065.715
 Analysis of Natural Gas by Gas Chromatography.
ASTM D 2158-04, Standard Test Method for                        1065.720
 Residues in Liquefied Petroleum (LP) Gases....
ASTM D 2163-91 (Reapproved 1996), Standard Test                 1065.720
 Method for Analysis of Liquefied Petroleum
 (LP) Gases and Propene Concentrates by Gas
 Chromatography................................
ASTM D 2598-02, Standard Practice for                           1065.720
 Calculation of Certain Physical Properties of
 Liquefied Petroleum (LP) Gases from
 Compositional Analysis........................
ASTM D 2622-03, Standard Test Method for Sulfur                 1065.703
 in Petroleum Products by Wavelength Dispersive
 X-ray Fluorescence Spectrometry...............
ASTM D 2713-91 (Reapproved 2001), Standard Test                 1065.720
 Method for Dryness of Propane (Valve Freeze
 Method).......................................
ASTM D 2784-98 (Reapproved 2003), Standard Test                 1065.720
 Method for Sulfur in Liquefied Petroleum Gases
 (Oxy-Hydrogen Burner or Lamp).................
ASTM D 2880-03, Standard Specification for Gas                  1065.701
 Turbine Fuel Oils.............................
ASTM D 2986-95a (Reapproved 1999), Standard                     1065.170
 Practice for Evaluation of Air Assay Media by
 the Monodisperse DOP (Dioctyl Phthalate) Smoke
 Test..........................................
ASTM D 3231-02, Standard Test Method for                        1065.710
 Phosphorus in Gasoline........................
ASTM D 3237-02, Standard Test Method for Lead                   1065.710
 in Gasoline By Atomic Absorption Spectroscopy.
ASTM D 4814-04b, Standard Specification for                     1065.701
 Automotive Spark-Ignition Engine Fuel.........
ASTM D 5186-03, Standard Test Method for                        1065.703
 Determination of the Aromatic Content and
 Polynuclear Aromatic Content of Diesel Fuels
 and Aviation Turbine Fuels By Supercritical
 Fluid Chromatography..........................
ASTM D 5797-96 (Reapproved 2001), Standard                      1065.701
 Specification for Fuel Methanol (M70-M85) for
 Automotive Spark-Ignition Engines.............
ASTM D 5798-99 (Reapproved 2004), Standard                      1065.701
 Specification for Fuel Ethanol (Ed75-Ed85) for
 Automotive Spark-Ignition Engines.............
ASTM D 6615-04a, Standard Specification for Jet                 1065.701
 B Wide-Cut Aviation Turbine Fuel..............
ASTM D 6751-03a, Standard Specification for                     1065.701
 Biodiesel Fuel Blend Stock (B100) for Middle
 Distillate Fuels..............................
ASTM D 6985-04a, Standard Specification for                     1065.701
 Middle Distillate Fuel Oil Military Marine
 Applications..................................
ASTM F 1471-93 (Reapproved 2001), Standard Test                1065.1001
 Method for Air Cleaning Performance of a High-
 Efficiency Particulate Air Filter System......
------------------------------------------------------------------------


[[Page 1055]]

    (b) ISO material. Table 2 of this section lists material from the 
International Organization for Standardization that we have incorporated 
by reference. The first column lists the number and name of the 
material. The second column lists the section of this part where we 
reference it. Anyone may purchase copies of these materials from the 
International Organization for Standardization, Case Postale 56, CH-1211 
Geneva 20, Switzerland or www.iso.org. Table 2 follows:

               Table 2 of Sec.   1065.1010--ISO Materials
------------------------------------------------------------------------
            Document number and name               Part 1065 reference
------------------------------------------------------------------------
ISO 14644-1, Cleanrooms and associated                          1065.190
 controlled environments.......................
------------------------------------------------------------------------

    (c) NIST material. Table 3 of this section lists material from the 
National Institute of Standards and Technology that we have incorporated 
by reference. The first column lists the number and name of the 
material. The second column lists the section of this part where we 
reference it. Anyone may purchase copies of these materials from the 
Government Printing Office, Washington, DC 20402 or download them free 
from the Internet at www.nist.gov. Table 3 follows:

               Table 3 of Sec.   1065.1010. NIST Materials
------------------------------------------------------------------------
            Document number and name               Part 1065 reference
------------------------------------------------------------------------
NIST Special Publication 811, 1995 Edition,          1065.20, 1065.1001,
 Guide for the Use of the International System                 1065.1005
 of Units (SI), Barry N. Taylor, Physics
 Laboratory....................................
NIST Technical Note 1297, 1994 Edition,                        1065.1001
 Guidelines for Evaluating and Expressing the
 Uncertainty of NIST Measurement Results, Barry
 N. Taylor and Chris E. Kuyatt.................
------------------------------------------------------------------------

    (d) SAE material. Table 4 of this section lists material from the 
Society of Automotive Engineering that we have incorporated by 
reference. The first column lists the number and name of the material. 
The second column lists the sections of this part where we reference it. 
Anyone may purchase copies of these materials from the Society of 
Automotive Engineers, 400 Commonwealth Drive, Warrendale, PA 15096 or 
www.sae.org. Table 4 follows:

               Table 4 of Sec.   1065.1010. SAE Materials
------------------------------------------------------------------------
                                                              Part 1065
                  Document number and name                    reference
------------------------------------------------------------------------
``Optimization of Flame Ionization Detector for                 1065.360
 Determination of Hydrocarbon in Diluted Automotive
 Exhausts,'' Reschke Glen D., SAE 770141...................
``Relationships Between Instantaneous and Measured              1065.309
 Emissions in Heavy Duty Applications,'' Ganesan B. and
 Clark N. N., West Virginia University, SAE 2001-01-3536...
------------------------------------------------------------------------

    (e) California Air Resources Board material. Table 5 of this section 
lists material from the California Air Resources Board that we have 
incorporated by reference. The first column lists the number and name of 
the material. The second column lists the sections of this part where we 
reference it. Anyone may get copies of these materials from the 
California Air Resources Board 9528 Telstar Ave., El Monte, California 
91731. Table 5 follows:

[[Page 1056]]



  Table 5 of Sec.   1065.1010. California Air Resources Board Materials
------------------------------------------------------------------------
                                                              Part 1065
                  Document number and name                    reference
------------------------------------------------------------------------
``California Non-Methane Organic Gas Test Procedures,''         1065.805
 Amended July 30, 2002, Mobile Source Division, California
 Air Resources Board.......................................
------------------------------------------------------------------------


    Effective Date Note: At 73 FR 33747, June 30, 2008, Sec.  1065.1010 
was revised, effective July 7, 2008. For the convenience of the user, 
the revised text is set forth as follows:



Sec.  1065.1010  Reference materials.

    Documents listed in this section have been incorporated by reference 
into this part. The Director of the Federal Register approved the 
incorporation by reference as prescribed in 5 U.S.C. 552(a) and 1 CFR 
part 51. Anyone may inspect copies at the U.S. EPA, Air and Radiation 
Docket and Information Center, 1301 Constitution Ave., NW., Room B102, 
EPA West Building, Washington, DC 20460 or at the National Archives and 
Records Administration (NARA). For information on the availability of 
this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html.
    (a) ASTM material. Table 1 of this section lists material from the 
American Society for Testing and Materials that we have incorporated by 
reference. The first column lists the number and name of the material. 
The second column lists the sections of this part where we reference it. 
Anyone may purchase copies of these materials from the American Society 
for Testing and Materials, 100 Barr Harbor Dr., P.O. Box C700, West 
Conshohocken, PA 19428 or www.astm.com. Table 1 follows:

               Table 1 of Sec.   1065.1010.-ASTM Materials
------------------------------------------------------------------------
                                                              Part 1065
                   Document No. and name                      reference
------------------------------------------------------------------------
ASTM D86-07a, Standard Test Method for Distillation of         1065.703,
 Petroleum Products at Atmospheric Pressure................     1065.710
ASTM D93-07, Standard Test Methods for Flash Point by           1065.703
 Pensky-Martens Closed Cup Tester..........................
ASTM D445-06, Standard Test Method for Kinematic Viscosity      1065.703
 of Transparent and Opaque Liquids (and the Calculation of
 Dynamic Viscosity)........................................
ASTM D613-05, Standard Test Method for Cetane Number of         1065.703
 Diesel Fuel Oil...........................................
ASTM D910-07, Standard Specification for Aviation Gasolines     1065.701
ASTM D975-07b, Standard Specification for Diesel Fuel Oils.     1065.701
ASTM D1267-02 (Reapproved 2007), Standard Test Method for       1065.720
 Gage Vapor Pressure of Liquefied Petroleum (LP) Gases (LP-
 Gas Method)...............................................
ASTM D1319-03, Standard Test Method for Hydrocarbon Types       1065.710
 in Liquid Petroleum Products by Fluorescent Indicator
 Adsorption................................................
ASTM D1655-07e01, Standard Specification for Aviation           1065.701
 Turbine Fuels.............................................
ASTM D1837-02a (Reapproved 2007), Standard Test Method for      1065.720
 Volatility of Liquefied Petroleum (LP) Gases..............
ASTM D1838-07, Standard Test Method for Copper Strip            1065.720
 Corrosion by Liquefied Petroleum (LP) Gases...............
ASTM D1945-03, Standard Test Method for Analysis of Natural     1065.715
 Gas by Gas Chromatography.................................
ASTM D2158-05, Standard Test Method for Residues in             1065.720
 Liquefied Petroleum (LP) Gases............................
ASTM D2163-05, Standard Test Method for Analysis of             1065.720
 Liquefied Petroleum (LP) Gases and Propene Concentrates by
 Gas Chromatography........................................
ASTM D2598-02 (Reapproved 2007), Standard Practice for          1065.720
 Calculation of Certain Physical Properties of Liquefied
 Petroleum (LP) Gases from Compositional Analysis..........
ASTM D2622-07, Standard Test Method for Sulfur in Petroleum    1065.703,
 Products by Wavelength Dispersive X-ray Fluorescence           1065.710
 Spectrometry..............................................
ASTM D2713-91 (Reapproved 2001), Standard Test Method for       1065.720
 Dryness of Propane (Valve Freeze Method)..................
ASTM D2784-06, Standard Test Method for Sulfur in Liquefied     1065.720
 Petroleum Gases (Oxy-Hydrogen Burner or Lamp).............
ASTM D2880-03, Standard Specification for Gas Turbine Fuel      1065.701
 Oils......................................................
ASTM D2986-95a (Reapproved 1999), Standard Practice for         1065.170
 Evaluation of Air Assay Media by the Monodisperse DOP
 (Dioctyl Phthalate) Smoke Test............................
ASTM D3231-07, Standard Test Method for Phosphorus in           1065.710
 Gasoline..................................................
ASTM D3237-06e01, Standard Test Method for Lead in Gasoline     1065.710
 By Atomic Absorption Spectroscopy.........................
ASTM D4052-96e01 (Reapproved 2002), Standard Test Method        1065.703
 for Density and Relative Density of Liquids by Digital
 Density Meter.............................................
ASTM D4814-07a, Standard Specification for Automotive Spark-    1065.701
 Ignition Engine Fuel......................................
ASTM D5186-03, Standard Test Method for Determination of        1065.703
 the Aromatic Content and Polynuclear Aromatic Content of
 Diesel Fuels and Aviation Turbine Fuels By Supercritical
 Fluid Chromatography......................................
ASTM D5191-07, Standard Test Method for Vapor Pressure of       1065.710
 Petroleum Products (Mini Method)..........................
ASTM D5797-07, Standard Specification for Fuel Methanol         1065.701
 (M70-M85) for Automotive Spark-Ignition Engines...........
ASTM D5798-07, Standard Specification for Fuel Ethanol          1065.701
 (Ed75-Ed85) for Automotive Spark-Ignition Engines.........
ASTM D6615-06, Standard Specification for Jet B Wide-Cut        1065.701
 Aviation Turbine Fuel.....................................
ASTM D6751-07b, Standard Specification for Biodiesel Fuel       1065.701
 Blend Stock (B100) for Middle Distillate Fuels............

[[Page 1057]]

 
ASTM D6985-04a, Standard Specification for Middle               1065.701
 Distillate Fuel Oil--Military Marine Applications.........
ASTM F1471-93 (Reapproved 2001), Standard Test Method for      1065.1001
 Air Cleaning Performance of a High-Efficiency Particulate
 Air Filter System.........................................
------------------------------------------------------------------------

    (b) ISO material. Table 2 of this section lists material from the 
International Organization for Standardization that we have incorporated 
by reference. The first column lists the number and name of the 
material. The second column lists the section of this part where we 
reference it. Anyone may purchase copies of these materials from the 
International Organization for Standardization, Case Postale 56, CH-1211 
Geneva 20, Switzerland or www.iso.org. Table 2 follows:

               Table 2 of Sec.   1065.1010.--ISO Materials
------------------------------------------------------------------------
                                                              Part 1065
                   Document No. and name                      reference
------------------------------------------------------------------------
ISO 2719:2002, Determination of flash point--Pensky-Martens     1065.705
 closed cup method.........................................
ISO 3016:1994, Petroleum products--Determination of pour        1065.705
 point.....................................................
ISO 3104:1994/Cor 1:1997, Petroleum products--Transparent       1065.705
 and opaque liquids--Determination of kinematic viscosity
 and calculation of dynamic viscosity......................
ISO 3675:1998, Crude petroleum and liquid petroleum             1065.705
 products--Laboratory determination of density--Hydrometer
 method....................................................
ISO 3733:1999, Petroleum products and bituminous materials--    1065.705
 Determination of water--Distillation method...............
ISO 6245:2001, Petroleum products--Determination of ash....     1065.705
ISO 8217:2005, Petroleum products--Fuels (class F)--            1065.705
 Specifications of marine fuels............................
ISO 8754:2003, Petroleum products--Determination of sulfur      1065.705
 content--Energy-dispersive X-ray fluorescence spectrometry
ISO 10307-2:1993, Petroleum products--Total sediment in         1065.705
 residual fuel oils--Part 2: Determination using standard
 procedures for ageing.....................................
ISO 10370:1993/Cor 1:1996, Petroleum products--                 1065.705
 Determination of carbon residue--Micro method.............
ISO 10478:1994, Petroleum products--Determination of            1065.705
 aluminium and silicon in fuel oils--Inductively coupled
 plasma emission and atomic absorption spectroscopy methods
ISO 12185:1996/Cor 1:2001, Crude petroleum and petroleum        1065.705
 products--Determination of density--Oscillating U-tube
 method....................................................
ISO 14596:2007, Petroleum products--Determination of sulfur     1065.705
 content--Wavelength-dispersive X-ray fluorescence
 spectrometry..............................................
ISO 14597:1997, Petroleum products--Determination of            1065.705
 vanadium and nickel content--Wavelength-dispersive X-ray
 fluorescence spectrometry.................................
ISO 14644-1:1999, Cleanrooms and associated controlled          1065.190
 environments..............................................
------------------------------------------------------------------------

    (c) NIST material. Table 3 of this section lists material from the 
National Institute of Standards and Technology that we have incorporated 
by reference. The first column lists the number and name of the 
material. The second column lists the section of this part where we 
reference it. Anyone may purchase copies of these materials from the 
Government Printing Office, Washington, DC 20402 or download them free 
from the Internet at www.nist.gov. Table 3 follows:

              Table 3 of Sec.   1065.1010.--NIST Materials
------------------------------------------------------------------------
            Document No. and name                 Part 1065  reference
------------------------------------------------------------------------
ISONIST Special Publication 811, 1995          1065.20, 1065.1001,
 Edition, Guide for the Use of the              1065.1005
 International System of Units (SI), Barry N.
 Taylor, Physics Laboratory.
NIST Technical Note 1297, 1994 Edition,        1065.1001
 Guidelines for Evaluating and Expressing the
 Uncertainty of NIST Measurement Results,
 Barry N. Taylor and Chris E. Kuyatt.
------------------------------------------------------------------------

    (d) SAE material. Table 4 of this section lists material from the 
Society of Automotive Engineering that we have incorporated by 
reference. The first column lists the number and name of the material. 
The second column lists the sections of this part where we reference it. 
Anyone may purchase copies of these materials from the Society of 
Automotive Engineers, 400 Commonwealth

[[Page 1058]]

Drive, Warrendale, PA 15096 or www.sae.org. Table 4 follows:

               Table 4 of Sec.   1065.1010.--SAE Materials
------------------------------------------------------------------------
                                                              Part 1065
                   Document No. and name                      reference
------------------------------------------------------------------------
``Optimization of Flame Ionization Detector for                 1065.360
 Determination of Hydrocarbon in Diluted Automotive
 Exhausts,'' Reschke Glen D., SAE 770141...................
``Relationships Between Instantaneous and Measured              1065.309
 Emissions in Heavy Duty Applications,'' Ganesan B. and
 Clark N. N., West Virginia University, SAE 2001-01-3536...
------------------------------------------------------------------------

    (e) California Air Resources Board material. Table 5 of this section 
lists material from the California Air Resources Board that we have 
incorporated by reference. The first column lists the number and name of 
the material. The second column lists the sections of this part where we 
reference it. Anyone may get copies of these materials from the 
California Air Resources Board, 9528 Telstar Ave., El Monte, California 
91731. Table 5 follows:

 Table 5 of Sec.   1065.1010.--California Air Resources Board Materials
------------------------------------------------------------------------
                                                              Part 1065
                   Document No. and name                      reference
------------------------------------------------------------------------
``California Non-Methane Organic Gas Test Procedures,''         1065.805
 Amended July 30, 2002, Mobile Source Division, California
 Air Resources Board.......................................
------------------------------------------------------------------------

    (f) Institute of Petroleum material. Table 6 of this section lists 
the Institute of Petroleum standard test methods material from the 
Energy Institute that we have incorporated by reference. The first 
column lists the number and name of the material. The second column 
lists the section of this part where we reference it. Anyone may 
purchase copies of these materials from the Energy Institute, 61 New 
Cavendish Street , London, W1G 7AR, UK , +44 (0)20 7467 7100 or 
www.energyinst.org.uk. Table 6 follows:

     Table 6 of Sec.   1065.1010.--Institute of Petroleum Materials
------------------------------------------------------------------------
                                                              Part 1065
                   Document No. and name                      reference
------------------------------------------------------------------------
IP-470, Determination of aluminum, silicon, vanadium,           1065.705
 nickel, iron, calcium, zinc, and sodium in residual fuels
 by atomic absorption spectrometry.........................
IP-500, Determination of the phosphorus content of residual     1065.705
 fuels by ultra-violet spectrometry........................
IP-501, Determination of aluminum, silicon, vanadium,           1065.705
 nickel, iron, sodium, calcium, zinc and phosphorus in
 residual fuel oil by ashing, fusion and inductively
 coupled plasma emission spectrometry......................
------------------------------------------------------------------------



PART 1068_GENERAL COMPLIANCE PROVISIONS FOR NONROAD PROGRAMS--Table of Contents

          Subpart A_Applicability and Miscellaneous Provisions

Sec.
1068.1 Does this part apply to me?
1068.5 How must manufacturers apply good engineering judgment?
1068.10 What provisions apply to confidential information?
1068.15 Who is authorized to represent the Agency?
1068.20 May EPA enter my facilities for inspections?
1068.25 What information must I give to EPA?
1068.27 May EPA conduct testing with my production engines?
1068.30 What definitions apply to this part?
1068.35 What symbols, acronyms, and abbreviations does this part use?

          Subpart B_Prohibited Actions and Related Requirements

1068.101 What general actions does this regulation prohibit?
1068.105 What other provisions apply to me specifically if I manufacture 
          equipment needing certified engines?
1068.110 What other provisions apply to engines in service?

[[Page 1059]]

1068.115 When must manufacturers honor emission-related warranty claims?
1068.120 What requirements must I follow to rebuild engines?
1068.125 What happens if I violate the regulations?

                   Subpart C_Exemptions and Exclusions

1068.201 Does EPA exempt or exclude any engines from the prohibited 
          acts?
1068.210 What are the provisions for exempting test engines?
1068.215 What are the provisions for exempting manufacturer-owned 
          engines?
1068.220 What are the provisions for exempting display engines?
1068.225 What are the provisions for exempting engines for national 
          security?
1068.230 What are the provisions for exempting engines for export?
1068.235 What are the provisions for exempting engines used solely for 
          competition?
1068.240 What are the provisions for exempting new replacement engines?
1068.245 What temporary provisions address hardship due to unusual 
          circumstances?
1068.250 What are the provisions for extending compliance deadlines for 
          small-volume manufacturers under hardship?
1068.255 What are the provisions for exempting engines for hardship for 
          equipment manufacturers and secondary engine manufacturers?
1068.260 What are the provisions for temporarily exempting engines for 
          delegated final assembly?
1068.265 What provisions apply to engines that are conditionally 
          exempted from certification?

                            Subpart D_Imports

1068.301 Does this subpart apply to me?
1068.305 How do I get an exemption or exclusion for imported engines?
1068.310 What are the exclusions for imported engines?
1068.315 What are the permanent exemptions for imported engines?
1068.320 How must I label an imported engine with a permanent exemption?
1068.325 What are the temporary exemptions for imported engines?
1068.330 How do I import engines requiring further assembly?
1068.335 What are the penalties for violations?

                Subpart E_Selective Enforcement Auditing

1068.401 What is a selective enforcement audit?
1068.405 What is in a test order?
1068.410 How must I select and prepare my engines?
1068.415 How do I test my engines?
1068.420 How do I know when my engine family fails an SEA?
1068.425 What happens if one of my production-line engines exceeds the 
          emission standards?
1068.430 What happens if an engine family fails an SEA?
1068.435 May I sell engines from an engine family with a suspended 
          certificate of conformity?
1068.440 How do I ask EPA to reinstate my suspended certificate?
1068.445 When may EPA revoke my certificate under this subpart and how 
          may I sell these engines again?
1068.450 What records must I send to EPA?
1068.455 What records must I keep?

Appendix A to Subpart E of Part 1068--Plans for Selective Enforcement 
          Auditing

            Subpart F_Reporting Defects and Recalling Engines

1068.501 How do I report engine defects?
1068.505 How does the recall program work?
1068.510 How do I prepare and apply my remedial plan?
1068.515 How do I mark or label repaired engines?
1068.520 How do I notify affected owners?
1068.525 What records must I send to EPA?
1068.530 What records must I keep?
1068.535 How can I do a voluntary recall for emission-related problems?

                           Subpart G_Hearings

1068.601 What are the procedures for hearings?

Appendix I to Part 1068--Emission-Related Components
Appendix II to Part 1068--Emission-Related Parameters and Specifications

    Authority: 42 U.S.C. 7401-7671q.

    Source: 67 FR 68347, Nov. 8, 2002, unless otherwise noted.



          Subpart A_Applicability and Miscellaneous Provisions



Sec.  1068.1  Does this part apply to me?

    (a) The provisions of this part apply to everyone with respect to 
the following engines and to equipment using the following engines 
(including owners, operators, parts manufacturers, and persons 
performing maintenance).
    (1) Large nonroad spark-ignition engines we regulate under 40 CFR 
part 1048.
    (2) Recreational SI engines and vehicles that we regulate under 40 
CFR

[[Page 1060]]

part 1051 (such as snowmobiles and off-highway motorcycles).
    (3) Land-based nonroad diesel engines that we regulate under 40 CFR 
part 1039.
    (4) Stationary compression-ignition engines certified to the 
provisions of 40 CFR part 1039, as indicated under 40 CFR part 60, 
subpart IIII.
    (5) Stationary spark-ignition engines certified using provisions in 
40 CFR part 1048, as indicated under 40 CFR part 60, subpart JJJJ.
    (b) This part does not apply to any of the following engine or 
vehicle categories:
    (1) Light-duty motor vehicles (see 40 CFR part 86).
    (2) Heavy-duty motor vehicles and motor vehicle engines (see 40 CFR 
part 86).
    (3) Aircraft engines (see 40 CFR part 87).
    (4) Locomotive engines (see 40 CFR part 92).
    (5) Land-based nonroad diesel engines that we regulate under 40 CFR 
part 89.
    (6) Marine diesel engines (see 40 CFR parts 89 and 94)
    (7) Marine outboard and personal watercraft engines (see 40 CFR part 
91).
    (8) Small nonroad spark-ignition engines (see 40 CFR part 90).
    (c) For equipment subject to this part and regulated under 
equipment-based standards, interpret the term ``engine'' in this part to 
include equipment (see Sec.  1068.30).
    (d) Paragraph (a)(1) of this section identifies the parts of the CFR 
that define emission standards and other requirements for particular 
types of engines and vehicles. This part 1068 refers to each of these 
other parts generically as the ``standard-setting part.'' For example, 
40 CFR part 1051 is always the standard-setting part for snowmobiles. 
Follow the provisions of the standard-setting part if they are different 
than any of the provisions in this part.
    (e)(1) The provisions of Sec. Sec.  1068.30, 1068.310, and 1068.320 
apply for stationary spark-ignition engines built on or after January 1, 
2004, and for stationary compression-ignition engines built on or after 
January 1, 2006.
    (2) The provisions of Sec. Sec.  1068.30 and 1068.235 apply for the 
types of engines listed in paragraph (a) of this section beginning 
January 1, 2004, where they are used solely for competition.

[69 FR 39263, June 29, 2004, as amended at 71 FR 39185, July 11, 2006; 
73 FR 3613, Jan. 18, 2008]

    Effective Date Note: At 73 FR 37349, June 30, 2008, Sec.  1068.1 was 
amended by adding paragraphs (a)(6), and (a)(7), and revising paragraphs 
(b)(4) and (b)(6), effective July 7, 2008. For the convenience of the 
user, the added and revised text is set forth as follows:



Sec.  1068.1  Does this part apply to me?

    (a) * * *
    (6) Locomotives and locomotive engines we regulate under 40 CFR part 
1033.
    (7) Marine compression-ignition engines we regulate under 40 CFR 
part 1042.
    (b) * * *
    (4) Locomotives and locomotive engines we regulate under 40 CFR part 
92.

                                * * * * *

    (6) Marine diesel engines we regulate under 40 CFR part 89 or 94.

                                * * * * *



Sec.  1068.5  How must manufacturers apply good engineering judgment?

    (a) You must use good engineering judgment for decisions related to 
any requirements under this chapter. This includes your applications for 
certification, any testing you do to show that your certification, 
production-line, and in-use engines comply with requirements that apply 
to them, and how you select, categorize, determine, and apply these 
requirements.
    (b) If we send you a written request, you must give us a written 
description of the engineering judgment in question. Respond within 15 
working days of receiving our request unless we allow more time.
    (c) We may reject your decision if it is not based on good 
engineering judgment or is otherwise inconsistent with the requirements 
that apply, based on the following provisions:
    (1) We may suspend, revoke, or void a certificate of conformity if 
we determine you deliberately used incorrect information or overlooked 
important information, that you did not decide in good faith, or that 
your decision was not rational.
    (2) If we believe a different decision would better reflect good 
engineering

[[Page 1061]]

judgment, but none of the provisions of paragraph (c)(1) of this section 
apply, we will tell you of our concern (and its basis). You will have 30 
days to respond to our concerns, or more time if we agree that you need 
it to generate more information. After considering your information, we 
will give you a final ruling. If we conclude that you did not use good 
engineering judgment, we may reject your decision and apply the new 
ruling to similar situations as soon as possible.
    (d) We will tell you in writing of the conclusions we reach under 
paragraph (c) of this section and explain our reasons for them.
    (e) If you disagree with our conclusions, you may file a request for 
a hearing with the Designated Officer as described in subpart G of this 
part. In your request, specify your objections, include data or 
supporting analysis, and get your authorized representative's signature. 
If we agree that your request raises a substantial factual issue, we 
will hold the hearing according to subpart F of this part.

[69 FR 39263, June 29, 2004]



Sec.  1068.10  What provisions apply to confidential information?

    (a) Clearly show what you consider confidential by marking, 
circling, bracketing, stamping, or some other method.
    (b) We will store your confidential information as described in 40 
CFR part 2. Also, we will disclose it only as specified in 40 CFR part 
2. This applies both to any information you send us and to any 
information we collect from inspections, audits, or other site visits.
    (c) If you send us a second copy without the confidential 
information, we will assume it contains nothing confidential whenever we 
need to release information from it.
    (d) If you send us information without claiming it is confidential, 
we may make it available to the public without further notice to you, as 
described in 40 CFR 2.204.

[70 FR 40511, July 13, 2005]



Sec.  1068.15  Who is authorized to represent the Agency?

    (a) The Administrator of the Environmental Protection Agency or any 
official to whom the Administrator has delegated specific authority may 
represent the Agency. For more information, ask for a copy of the 
relevant sections of the EPA Delegation Manual from the Designated 
Officer.
    (b) The regulations in this part and in the standard-setting part 
have specific requirements describing how to get EPA approval before you 
take specific actions. These regulations also allow us to waive some 
specific requirements. For provisions or flexibilities that we address 
frequently, we may choose to provide detailed guidance in supplemental 
compliance instructions for manufacturers. Such instructions will 
generally state how they relate to the need for pre-approval. Unless we 
explicitly state so, you should not consider full compliance with the 
instructions to be equivalent to EPA approval.



Sec.  1068.20  May EPA enter my facilities for inspections?

    (a) We may inspect your engines, testing, manufacturing processes, 
engine storage facilities (including port facilities for imported 
engines or other relevant facilities), or records, as authorized by the 
Act, to enforce the provisions of this chapter. Inspectors will have 
authorizing credentials and will limit inspections to reasonable times--
usually, normal operating hours.
    (b) If we come to inspect, we may or may not have a warrant or court 
order.
    (1) If we do not have a warrant or court order, you may deny us 
entry.
    (2) If we have a warrant or court order, you must allow us to enter 
the facility and carry out the activities it describes.
    (c) We may seek a warrant or court order authorizing an inspection 
described in this section, whether or not we first tried to get your 
permission to inspect.
    (d) We may select any facility to do any of the following:
    (1) Inspect and monitor any aspect of engine manufacturing, 
assembly, storage, or other procedures, and any facilities where you do 
them.

[[Page 1062]]

    (2) Inspect and monitor any aspect of engine test procedures or 
test-related activities, including test engine selection, preparation, 
service accumulation, emission duty cycles, and maintenance and 
verification of your test equipment's calibration.
    (3) Inspect and copy records or documents related to assembling, 
storing, selecting, and testing an engine.
    (4) Inspect and photograph any part or aspect of engines and 
components you use for assembly.
    (e) You must give us reasonable help without charge during an 
inspection authorized by the Act. For example, you may need to help us 
arrange an inspection with the facility's managers, including clerical 
support, copying, and translation. You may also need to show us how the 
facility operates and answer other questions. If we ask in writing to 
see a particular employee at the inspection, you must ensure that he or 
she is present (legal counsel may accompany the employee).
    (f) If you have facilities in other countries, we expect you to 
locate them in places where local law does not keep us from inspecting 
as described in this section. We will not try to inspect if we learn 
that local law prohibits it, but we may suspend your certificate if we 
are not allowed to inspect.



Sec.  1068.25  What information must I give to EPA?

    If you are subject to the requirements of this part, we may require 
you to give us information to evaluate your compliance with any 
regulations that apply, as authorized by the Act. This includes the 
following things:
    (a) You must provide the information we require in this chapter.
    (b) You must establish and maintain records, perform tests, make 
reports and provide additional information that we may reasonably 
require under section 208 of the Act (42 U.S.C. 7542). This also applies 
to engines we exempt from emission standards or prohibited acts.

[69 FR 39264, June 29, 2004]



Sec.  1068.27  May EPA conduct testing with my production engines?

    If we request it, you must make a reasonable number of production-
line engines available for a reasonable time so we can test or inspect 
them for compliance with the requirements of this chapter.

[69 FR 39264, June 29, 2004]



Sec.  1068.30  What definitions apply to this part?

    The following definitions apply to this part. The definitions apply 
to all subparts unless we note otherwise. All undefined terms have the 
meaning the Act gives to them. The definitions follow:
    Act means the Clean Air Act, as amended, 42 U.S.C. 7401-7671q.
    Aftertreatment means relating to a catalytic converter, particulate 
filter, or any other system, component, or technology mounted downstream 
of the exhaust valve (or exhaust port) whose design function is to 
reduce emissions in the engine exhaust before it is exhausted to the 
environment. Exhaust-gas recirculation (EGR) is not aftertreatment.
    Aircraft means any vehicle capable of sustained air travel above 
treetop heights.
    Certificate holder means a manufacturer (including importers) with a 
currently valid certificate of conformity for at least one engine family 
in a given model year.
    Days means calendar days, including weekends and holidays.
    Defeat device means has the meaning given in the standard-setting 
part.
    Designated Officer means the Manager of the Engine Programs Group 
(6405-J), U.S. Environmental Protection Agency, 1200 Pennsylvania Ave., 
Washington, DC 20460.
    Emission-related defect means a defect in design, materials, or 
workmanship (in an emission-control device or vehicle component or 
system) that affects an emission-related component, parameter, or 
specification that is identified in Appendix I or Appendix II of this 
part. Using an incorrect emission-related component is an emission-
related defect.
    Engine means an engine to which this part applies. For equipment 
subject to this part and regulated under equipment-based standards, the 
term engine in this part shall be interpreted to include equipment.

[[Page 1063]]

    Engine-based means having emission standards in units of grams of 
pollutant per kilowatt-hour, and which apply to the engine. Emission 
standards are either engine-based or equipment-based.
    Engine manufacturer means the manufacturer that is subject to the 
certification requirements of the standard-setting part. For vehicles 
and equipment subject to this part and regulated under vehicle-based or 
equipment-based standards, the term engine manufacturer in this part 
includes vehicle and equipment manufacturers.
    Equipment means any vehicle, vessel, or other type of equipment that 
is subject to the requirements of this part, or that uses an engine that 
is subject to the requirements of this part.
    Equipment-based means having emission standards that apply to the 
equipment in which an engine is used, without regard to how the 
emissions are measured. Where equipment-based standards apply, we 
require that the equipment be certified, rather than just the engine. 
Emission standards are either engine-based or equipment-based.
    Equipment manufacturer means any company manufacturing a piece of 
equipment (such as a vehicle).
    Exempted means relating to an engine that is not required to meet 
otherwise applicable standards. Exempted engines must conform to 
regulatory conditions specified for an exemption in this part 1068 or in 
the standard-setting part. Exempted engines are deemed to be ``subject 
to'' the standards of the standard-setting part, even though they are 
not required to comply with the otherwise applicable requirements. 
Engines exempted with respect to a certain tier of standards may be 
required to comply with an earlier tier of standards as a condition of 
the exemption; for example, engines exempted with respect to Tier 3 
standards may be required to comply with Tier 1 or Tier 2 standards.
    Good engineering judgment means judgments made consistent with 
generally accepted scientific and engineering principles and all 
available relevant information. See 40 CFR 1068.5 for the administrative 
process we use to evaluate good engineering judgment.
    Manufacturer has the meaning given in section 216(1) of the Act (42 
U.S.C. 7550(1)). In general, this term includes any person who 
manufactures an engine or vehicle for sale in the United States or 
otherwise introduces a new engine or vehicle into commerce in the United 
States. This includes importers that import new engines or new equipment 
into the United States for resale. It also includes secondary engine 
manufacturers, as described in Sec.  1068.255.
    Motor vehicle has the meaning given in 40 CFR 85.1703(a).
    New has the meaning we give it in the standard-setting part.
    Nonroad engine means:
    (1) Except as discussed in paragraph (2) of this definition, a 
nonroad engine is any internal combustion engine:
    (i) In or on a piece of equipment that is self-propelled or serves a 
dual purpose by both propelling itself and performing another function 
(such as garden tractors, off-highway mobile cranes and bulldozers); or
    (ii) In or on a piece of equipment that is intended to be propelled 
while performing its function (such as lawnmowers and string trimmers); 
or
    (iii) That, by itself or in or on a piece of equipment, is portable 
or transportable, meaning designed to be and capable of being carried or 
moved from one location to another. Indicia of transportability include, 
but are not limited to, wheels, skids, carrying handles, dolly, trailer, 
or platform.
    (2) An internal combustion engine is not a nonroad engine if:
    (i) The engine is used to propel a motor vehicle, an aircraft, or 
equipment used solely for competition, or is subject to standards 
promulgated under section 202 of the Act (42 U.S.C. 7521); or
    (ii) The engine is regulated by a federal New Source Performance 
Standard promulgated under section 111 of the Act (42 U.S.C. 7411); or
    (iii) The engine otherwise included in paragraph (1)(iii) of this 
definition remains or will remain at a location for more than 12 
consecutive months or a shorter period of time for an engine located at 
a seasonal source. A location

[[Page 1064]]

is any single site at a building, structure, facility, or installation. 
Any engine (or engines) that replaces an engine at a location and that 
is intended to perform the same or similar function as the engine 
replaced will be included in calculating the consecutive time period. An 
engine located at a seasonal source is an engine that remains at a 
seasonal source during the full annual operating period of the seasonal 
source. A seasonal source is a stationary source that remains in a 
single location on a permanent basis (i.e., at least two years) and that 
operates at that single location approximately three months (or more) 
each year. This paragraph (2)(iii) does not apply to an engine after the 
engine is removed from the location.
    Operating hours means:
    (1) For engine storage areas or facilities, times during which 
people other than custodians and security personnel are at work near, 
and can access, a storage area or facility.
    (2) For other areas or facilities, times during which an assembly 
line operates or any of the following activities occurs:
    (i) Testing, maintenance, or service accumulation.
    (ii) Production or compilation of records.
    (iii) Certification testing.
    (iv) Translation of designs from the test stage to the production 
stage.
    (v) Engine manufacture or assembly.
    Piece of equipment means any vehicle, vessel, locomotive, aircraft, 
or other type of equipment using engines to which this part applies.
    Placed into service means used for its intended purpose.
    Reasonable technical basis means information that would lead a 
person familiar with engine design and function to reasonably believe a 
conclusion, related to compliance with the requirements of this part. 
For example, it would be reasonable to believe that parts performing the 
same function as the original parts (and to the same degree) would 
control emissions to the same degree as the original parts.
    Revoke means to terminate the certificate or an exemption for an 
engine family. If we revoke a certificate or exemption, you must apply 
for a new certificate or exemption before continuing to introduce the 
affected engines into commerce. This does not apply to engines you no 
longer possess.
    Standard-setting part means the part in the Code of Federal 
Regulations that defines emission standards for a particular engine (see 
Sec.  1068.1(a)). For example, the standard-setting part for non-
recreational spark-ignition engines over 19 kW is part 1048 of this 
chapter.
    Suspend means to temporarily discontinue the certificate or an 
exemption for an engine family. If we suspend a certificate, you may not 
introduce into commerce engines from that engine family unless we 
reinstate the certificate or approve a new one. If we suspend an 
exemption, you may not introduce into commerce engines that were 
previously covered by the exemption unless we reinstate the exemption.
    Ultimate purchaser means the first person who in good faith 
purchases a new nonroad engine or new piece of equipment for purposes 
other than resale.
    United States means the States, the District of Columbia, the 
Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana 
Islands, Guam, American Samoa, and the U.S. Virgin Islands.
    U.S.-directed production volume means the number of engine 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.
    We (us, our) means the Administrator of the Environmental Protection 
Agency and any authorized representatives.
    Void means to invalidate a certificate or an exemption ab initio. If 
we void a certificate, all the engines introduced into commerce under 
that engine family for that model year are considered noncompliant, and 
you are liable for each engine introduced into commerce under the 
certificate and may face civil or criminal penalties or both. This 
applies equally to all engines in the engine family, including engines 
introduced into commerce before we voided the certificate. If we void an 
exemption, all the engines introduced into commerce under that exemption 
are

[[Page 1065]]

considered uncertified (or nonconforming), and you are liable for each 
engine introduced into commerce under the exemption and may face civil 
or criminal penalties or both. You may not introduce into commerce any 
additional engines using the voided exemption.

[67 FR 68347, Nov. 8, 2002, as amended at 69 FR 39264, June 29, 2004; 70 
FR 40511, July 13, 2005]



Sec.  1068.35  What symbols, acronyms, and abbreviations does this part use?

    The following symbols, acronyms, and abbreviations apply to this 
part:

$ U.S. dollars.
CFR Code of Federal Regulations.
EPA Environmental Protection Agency.
U.S. United States.
U.S.C. United States Code.



          Subpart B_Prohibited Actions and Related Requirements



Sec.  1068.101  What general actions does this regulation prohibit?

    This section specifies actions that are prohibited and the maximum 
civil penalties that we can assess for each violation. The maximum 
penalty values listed in paragraphs (a) and (b) of this section are 
shown for calendar year 2004. As described in paragraph (e) of this 
section, maximum penalty limits for later years are set forth in 40 CFR 
part 19.
    (a) The following prohibitions and requirements apply to 
manufacturers of new engines and manufacturers of equipment containing 
these engines, except as described in subparts C and D of this part:
    (1) Introduction into commerce. You may not sell, offer for sale, or 
introduce or deliver into commerce in the United States or import into 
the United States any new engine or equipment after emission standards 
take effect for that engine or equipment, unless it has a valid 
certificate of conformity for its model year and the required label or 
tag. You also may not take any of the actions listed in the previous 
sentence with respect to any equipment containing an engine subject to 
this part's provisions, unless the engine has a valid and appropriate 
certificate of conformity and the required engine label or tag. For 
purposes of this paragraph (a)(1), an appropriate certificate of 
conformity is one that applies for the same model year as the model year 
of the equipment (except as allowed by Sec.  1068.105(a)), covers the 
appropriate category of engines (such as locomotive or CI marine), and 
conforms to all requirements specified for equipment in the standard-
setting part. The requirements of this paragraph (a)(1) also cover new 
engines you produce to replace an older engine in a piece of equipment, 
unless the engine qualifies for the replacement-engine exemption in 
Sec.  1068.240. We may assess a civil penalty up to $32,500 for each 
engine in violation.
    (2) Reporting and recordkeeping. This chapter requires you to record 
certain types of information to show that you meet our standards. You 
must comply with these requirements to make and maintain required 
records (including those described in Sec.  1068.501). You may not deny 
us access to your records or the ability to copy your records if we have 
the authority to see or copy them. Also, you must give us the required 
reports or information without delay. Failure to comply with the 
requirements of this paragraph is prohibited. We may assess a civil 
penalty up to $32,500 for each day you are in violation.
    (3) Testing and access to facilities. You may not keep us from 
entering your facility to test engines or inspect if we are authorized 
to do so. Also, you must perform the tests we require (or have the tests 
done for you). Failure to perform this testing is prohibited. We may 
assess a civil penalty up to $32,500 for each day you are in violation.
    (b) The following prohibitions apply to everyone with respect to the 
engines to which this part applies:
    (1) Tampering. You may not remove or disable a device or element of 
design that may affect an engine's emission levels. This restriction 
applies before and after the engine is placed in service. Section 
1068.120 describes how this applies to rebuilding engines. For a 
manufacturer or dealer, we may assess a civil penalty up to $32,500 for 
each engine in violation. For anyone else, we may assess a civil penalty 
up to $2,750

[[Page 1066]]

for each engine in violation. This prohibition does not apply in any of 
the following situations:
    (i) You need to repair an engine and you restore it to proper 
functioning when the repair is complete.
    (ii) You need to modify an engine to respond to a temporary 
emergency and you restore it to proper functioning as soon as possible.
    (iii) You modify a new engine that another manufacturer has already 
certified to meet emission standards and recertify it under your own 
engine family. In this case you must tell the original manufacturer not 
to include the modified engines in the original engine family.
    (2) Defeat devices. You may not knowingly manufacture, sell, offer 
to sell, or install, an engine part that bypasses, impairs, defeats, or 
disables the engine's control the emissions of any pollutant. We may 
assess a civil penalty up to $2,750 for each part in violation.
    (3) Stationary engines. For an engine that is excluded from any 
requirements of this chapter because it is a stationary engine, you may 
not move it or install it in any mobile equipment, except as allowed by 
the provisions of this chapter. You may not circumvent or attempt to 
circumvent the residence-time requirements of paragraph (2)(iii) of the 
nonroad engine definition in Sec.  1068.30. We may assess a civil 
penalty up to $32,500 for each day you are in violation.
    (4) Competition engines. For an uncertified engine or piece of 
equipment that is excluded or exempted from any requirements of this 
chapter because it is to be used solely for competition, you may not use 
it in a manner that is inconsistent with use solely for competition. We 
may assess a civil penalty up to $32,500 for each day you are in 
violation.
    (5) Importation. You may not import an uncertified engine or piece 
of equipment if it is defined to be new in the standard-setting part and 
it is built after emission standards start to apply in the United 
States. We may assess a civil penalty up to $32,500 for each day you are 
in violation. Note the following:
    (i) The definition of new is broad for imported engines; uncertified 
engines and equipment (including used engines and equipment) are 
generally considered to be new when imported.
    (ii) Engines that were originally manufactured before applicable EPA 
standards were in effect are generally not subject to emission 
standards.
    (6) Warranty. You must meet your obligation to honor your emission-
related warranty under Sec.  1068.115 and to fulfill any applicable 
responsibilities to recall engines under Sec.  1068.505. Failure to meet 
these obligations is prohibited. We may assess a civil penalty up to 
$32,500 for each engine in violation.
    (c) Exemptions from these prohibitions are described in subparts C 
and D of this part.
    (d) The standard-setting parts describe more requirements and 
prohibitions that apply to manufacturers (including importers) and 
others under this chapter.
    (e) The maximum penalty values listed in paragraphs (a) and (b) of 
this section are shown for calendar year 2002. Maximum penalty limits 
for later years may be adjusted based on the Consumer Price Index. The 
specific regulatory provisions for changing the maximum penalties, 
published in 40 CFR part 19, reference the applicable U.S. Code citation 
on which the prohibited action is based. The following table is shown 
here for informational purposes:

  Table 1 of Sec.   1068.101--Legal Citation for Specific Prohibitions for Determining Maximum Penalty Amounts
----------------------------------------------------------------------------------------------------------------
   Part 1068 regulatory citation of        General description of        U.S. Code citation for Clean Air Act
          prohibited action                     prohibition                            authority
----------------------------------------------------------------------------------------------------------------
Sec.   1068.101(a)(1)................  Introduction into commerce of  42 U.S.C. 7522(a)(1)
                                        an uncertified product.
----------------------------------------------------------------------------------------------------------------
Sec.   1068.101(a)(1)................  Failure to provide             42 U.S.C. 7522(a)(2)
                                        information.
----------------------------------------------------------------------------------------------------------------
Sec.   1068.101(a)(3)................  Denying access to facilities.  42 U.S.C. 7522(a)(2)
----------------------------------------------------------------------------------------------------------------

[[Page 1067]]

 
Sec.   1068.101(b)(1)................  Tampering with emission        42 U.S.C. 7522(a)(3)
                                        controls by a manufacturer
                                        or dealer.
                                       Tampering with emission
                                        controls by someone other
                                        than a manufacturer or
                                        dealer.
----------------------------------------------------------------------------------------------------------------
Sec.   1068.101(b)(2)................  Sale or use of a defeat        42 U.S.C. 7522(a)(3)
                                        device.
----------------------------------------------------------------------------------------------------------------
Sec.   1068.101(b)(3)................  Mobile use of a stationary     42 U.S.C. 7522(a)(1)
                                        engine.
----------------------------------------------------------------------------------------------------------------
Sec.   1068.101(b)(4)................  Noncompetitive use of an       42 U.S.C. 7522(a)(1)
                                        uncertified engine that is
                                        exempted for competition.
----------------------------------------------------------------------------------------------------------------
Sec.   1068.101(b)(5)................  Importation of an uncertified  42 U.S.C. 7522(a)(1)
                                        product.
----------------------------------------------------------------------------------------------------------------


[67 FR 68347, Nov. 8, 2002, as amended at 69 FR 39265, June 29, 2004; 70 
FR 40512, July 13, 2005]



Sec.  1068.105  What other provisions apply to me specifically if I manufacture equipment needing certified engines?

    This section describes general provisions that apply to equipment 
manufacturers. See the standard-setting part for any requirements that 
apply for certain applications.
    (a) Transitioning to new engine-based standards. If new emission 
standards apply in a given model year, your equipment in that model year 
must have engines that are certified to the new standards, except that 
you may use up your normal inventory of earlier engines that were built 
before the date of the new or changed standards. For example, if your 
normal inventory practice is to keep on hand a one-month supply of 
engines based on your upcoming production schedules, and a new tier of 
standard starts to apply for the 2015 model year, you may order engines 
based on your normal inventory requirements late in the engine 
manufacturer's 2014 model year and install those engines in your 
equipment, regardless of the date of installation. Also, if your model 
year starts before the end of the calendar year preceding new standards, 
you may use engines from the previous model year for those units you 
produce before January 1 of the year that new standards apply. If 
emission standards do not change in a given model year, you may continue 
to install engines from the previous model year without restriction. You 
may not circumvent the provisions of Sec.  1068.101(a)(1) by stockpiling 
engines that were built before new or changed standards take effect. 
Note that this allowance does not apply for equipment subject to 
equipment-based standards.
    (b) Installing engines. You must follow the engine manufacturer's 
emission-related installation instructions. For example, you may need to 
constrain where you place an exhaust aftertreatment device or integrate 
into your equipment models a device for sending visual or audible 
signals to the operator. Not meeting the manufacturer's emission-related 
installation instructions is a violation of Sec.  1068.101(b)(1).
    (c) Attaching a duplicate label. If you obscure the engine's label, 
you must do four things to avoid violating Sec.  1068.101(a)(1):
    (1) Send a request for duplicate labels in writing with your 
company's letterhead to the engine manufacturer. Include the following 
information in your request:
    (i) Identify the type of equipment and the specific engine and 
equipment models needing duplicate labels.
    (ii) Identify the engine family (from the original engine label).
    (iii) State the reason that you need a duplicate label for each 
equipment model.
    (iv) Identify the number of duplicate labels you will need.
    (2) Permanently attach the duplicate label to your equipment by 
securing it

[[Page 1068]]

to a part needed for normal operation and not normally requiring 
replacement. Make sure an average person can easily read it.
    (3) Destroy any unused duplicate labels if you find that you will 
not need them.
    (4) Keep the following records for at least eight years after the 
end of the model year identified on the engine label:
    (i) Keep a copy of your written request.
    (ii) Keep drawings or descriptions that show how you apply the 
duplicate labels to your equipment.
    (iii) Maintain a count of those duplicate labels you use and those 
you destroy.

[67 FR 68347, Nov. 8, 2002, as amended at 69 FR 39265, June 29, 2004; 70 
FR 40513, July 13, 2005]



Sec.  1068.110  What other provisions apply to engines in service?

    (a) Aftermarket parts and service. As the engine manufacturer, you 
may not require anyone to use your parts or service to maintain or 
repair an engine, unless we approve this in your application for 
certification. It is a violation of the Act for anyone to manufacture an 
engine or vehicle part if one of its main effects is to reduce the 
effectiveness of the emission controls. See Sec.  1068.101(b)(2).
    (b) Certifying aftermarket parts. As the manufacturer or rebuilder 
of an aftermarket engine part, you may--but are not required to--certify 
according to Sec.  85.2114 of this chapter that using the part will not 
cause engines to fail to meet emission standards. Whether you certify or 
not, you must keep any information showing how your parts or service 
affect emissions.
    (c) Compliance with standards. We may test engines and equipment to 
investigate compliance with emission standards and other requirements. 
We may also require the manufacturer to do this testing.
    (d) Defeat devices. We may test engines and equipment to investigate 
potential defeat devices. We may also require the manufacturer to do 
this testing. If we choose to investigate one of your designs, we may 
require you to show us that it does not have a defeat device. To do 
this, you may have to share with us information regarding test programs, 
engineering evaluations, design specifications, calibrations, on-board 
computer algorithms, and design strategies. It is a violation of the Act 
for anyone to make, install or use defeat devices. See Sec.  
1068.101(b)(2) and the standard-setting part.
    (e) Warranty and maintenance. Owners are responsible for properly 
maintaining their engines; however, owners may make warranty claims 
against the manufacturer for all expenses related to diagnosing and 
repairing or replacing emission-related parts, as described in Sec.  
1068.115. The warranty period begins when the engine is first placed 
into service. See the standard-setting part for specific requirements. 
It is a violation of the Act for anyone to disable emission controls; 
see Sec.  1068.101(b)(1) and the standard-setting part.

[67 FR 68347, Nov. 8, 2002, as amended at 69 FR 39266, June 29, 2004; 70 
FR 40513, July 13, 2005]



Sec.  1068.115  When must manufacturers honor emission-related warranty claims?

    Section 207(a) of the Clean Air Act (42 U.S.C. 7541(a)) requires 
certifying manufacturers to warrant to purchasers that their engines are 
designed, built, and equipped to conform at the time of sale to the 
applicable regulations for their full useful life, including a warranty 
that the engines are free from defects in materials and workmanship that 
would cause an engine to fail to conform to the applicable regulations 
during the specified warranty period. This section codifies the warranty 
requirements of section 207(a) without intending to limit these 
requirements.
    (a) As a certifying manufacturer, you may deny warranty claims only 
for failures that have been caused by the owner's or operator's improper 
maintenance or use, by accidents for which you have no responsibility, 
or by acts of God. For example, you would not need to honor warranty 
claims for failures that have been directly caused by the operator's 
abuse of an engine or the operator's use of the engine in a manner for 
which it was not designed, and are not attributable to you in any way.

[[Page 1069]]

    (b) As a certifying manufacturer, you may not deny emission-related 
warranty claims based on any of the following:
    (1) Maintenance or other service you or your authorized facilities 
performed.
    (2) Engine repair work that an operator performed to correct an 
unsafe, emergency condition attributable to you, as long as the operator 
tries to restore the engine to its proper configuration as soon as 
possible.
    (3) Any action or inaction by the operator unrelated to the warranty 
claim.
    (4) Maintenance that was performed more frequently than you specify.
    (5) Anything that is your fault or responsibility.
    (6) The use of any fuel that is commonly available where the engine 
operates, unless your written maintenance instructions state that this 
fuel would harm the engine's emission control system and operators can 
readily find the proper fuel.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40513, July 13, 2005]



Sec.  1068.120  What requirements must I follow to rebuild engines?

    (a) This section describes the steps to take when rebuilding engines 
to avoid violating the tampering prohibition in Sec.  1068.101(b)(1). 
These requirements apply to anyone rebuilding an engine subject to this 
part, but the recordkeeping requirements in paragraphs (j) and (k) of 
this section apply only to businesses.
    (b) The term ``rebuilding'' refers to a rebuild of an engine or 
engine system, including a major overhaul in which you replace the 
engine's pistons or power assemblies or make other changes that 
significantly increase the service life of the engine. It also includes 
replacing or rebuilding an engine's turbocharger or aftercooler or the 
engine's systems for fuel metering or electronic control so that it 
significantly increases the service life of the engine. For these 
provisions, rebuilding may or may not involve removing the engine from 
the equipment. Rebuilding does not normally include the following:
    (1) Scheduled emission-related maintenance that the standard-setting 
part allows during the useful life period (such as replacing fuel 
injectors).
    (2) Unscheduled maintenance that occurs commonly within the useful 
life period. For example, replacing a water pump is not rebuilding an 
engine.
    (c) For maintenance or service that is not rebuilding, you may not 
make changes that might increase emissions of any pollutant, but you do 
not need to keep any records.
    (d) If you rebuild an engine or engine system, you must have a 
reasonable technical basis for knowing that the rebuilt engine's 
emission-control system performs as well as, or better than, it performs 
in its certified configuration. Identify the model year of the resulting 
engine configuration. You have a reasonable basis if you meet two main 
conditions:
    (1) Install parts--new, used, or rebuilt--so a person familiar with 
engine design and function would reasonably believe that the engine with 
those parts will control emissions of all pollutants at least to the 
same degree as with the original parts. For example, it would be 
reasonable to believe that parts performing the same function as the 
original parts (and to the same degree) would control emissions to the 
same degree as the original parts.
    (2) Adjust parameters or change design elements only according to 
the original engine manufacturer's instructions. Or, if you differ from 
these instructions, you must have data or some other technical basis to 
show you should not expect in-use emissions to increase.
    (e) If the rebuilt engine remains installed or is reinstalled in the 
same piece of equipment, you must rebuild it to the original 
configuration or another certified configuration of the same or later 
model year.
    (f) If the rebuilt engine replaces another certified engine in a 
piece of equipment, you must rebuild it to a certified configuration of 
the same model year as, or a later model year than, the engine you are 
replacing.
    (g) Do not erase or reset emission-related codes or signals from 
onboard monitoring systems without diagnosing and responding 
appropriately to any diagnostic codes. This requirement

[[Page 1070]]

applies regardless of the manufacturer's reason for installing the 
monitoring system and regardless of its form or interface. Clear any 
codes from diagnostic systems when you return the rebuilt engine to 
service. Do not disable a diagnostic signal without addressing its 
cause.
    (h) When you rebuild an engine, check, clean, adjust, repair, or 
replace all emission-related components (listed in Appendix I of this 
part) as needed according to the original manufacturer's recommended 
practice. In particular, replace oxygen sensors, replace the catalyst if 
there is evidence of malfunction, clean gaseous fuel system components, 
and replace fuel injectors (if applicable), unless you have a reasonable 
technical basis for believing any of these components do not need 
replacement.
    (i) If you are installing an engine that someone else has rebuilt, 
check all emission-related components listed in Appendix I of this part 
as needed according to the original manufacturer's recommended practice.
    (j) Keep at least the following records:
    (1) Identify the hours of operation (or mileage, as appropriate) at 
time of rebuild.
    (2) Identify the work done on the engine or any emission-related 
control components, including a listing of parts and components you 
used.
    (3) Describe any engine parameter adjustments.
    (4) Identify any emission-related codes or signals you responded to 
and reset.
    (k) You must show us or send us your records if we ask for them. 
Keep records for at least two years after rebuilding an engine. Keep 
them in any format that allows us to readily review them.
    (1) You do not need to keep information that is not reasonably 
available through normal business practices. We do not expect you to 
have information that you cannot reasonably access.
    (2) You do not need to keep records of what other companies do.
    (3) You may keep records based on engine families rather than 
individual engines if that is the way you normally do business.

[67 FR 68347, Nov. 8, 2002, as amended at 69 FR 39266, June 29, 2004]



Sec.  1068.125  What happens if I violate the regulations?

    (a) Civil penalties and injunctions. We may bring a civil action to 
assess and recover civil penalties and/or enjoin and restrain violations 
in the United States District Court for the district where you allegedly 
violated a requirement, or the district where you live or have your main 
place of business. Actions to assess civil penalties or restrain 
violations of Sec.  1068.101 must be brought by and in the name of the 
United States. The selected court has jurisdiction to restrain 
violations and assess civil penalties.
    (1) To determine the amount of a civil penalty and reach a just 
conclusion, the court considers these main factors:
    (i) The seriousness of your violation.
    (ii) How much you benefitted or saved because of the violation.
    (iii) The size of your business.
    (iv) Your history of compliance with Title II of the Act (42 U.S.C. 
7401-7590).
    (v) What you did to remedy the violation.
    (vi) How the penalty will affect your ability to continue in 
business.
    (vii) Such other matters as justice may require.
    (2) Subpoenas for witnesses who must attend a district court in any 
district may apply to any other district.
    (b) Administrative penalties. Instead of bringing a civil action, we 
may assess administrative penalties if the total is less than $270,000 
against you individually. This maximum penalty may be greater if the 
Administrator and the Attorney General jointly determine that is 
appropriate for administrative penalty assessment, or if the limit is 
adjusted under 40 CFR part 19. No court may review such a determination. 
Before we assess an administrative penalty, you may ask for a hearing 
(subject to 40 CFR part 22). The Administrator may compromise or remit, 
with or without conditions, any administrative penalty that may be 
imposed under this section.

[[Page 1071]]

    (1) To determine the amount of an administrative penalty, we will 
consider the factors described in paragraph (a)(1) of this section.
    (2) An administrative order we issue under this paragraph (b) 
becomes final 30 days after we issue it, unless you ask for judicial 
review by that time (see paragraph (c) of this section). You may ask for 
review by any of the district courts listed in paragraph (a) of this 
section. Send the Administrator a copy of the filing by certified mail.
    (3) We will not pursue an administrative penalty for a particular 
violation if either of the following two conditions is true:
    (i) We are separately prosecuting the violation under this subpart.
    (ii) We have issued a final order for a violation, no longer subject 
to judicial review, for which you have already paid a penalty.
    (c) Judicial review. If you ask a court to review a civil or 
administrative penalty, we will file in the appropriate court within 30 
days of your request a certified copy or certified index of the record 
on which the court or the Administrator issued the order.
    (1) The judge may set aside or remand any order issued under this 
section only if one of the following is true:
    (i) Substantial evidence does not exist in the record, taken as a 
whole, to support finding a violation.
    (ii) The Administrator's assessment of the penalty is an abuse of 
discretion.
    (2) The judge may not add civil penalties unless our penalty is an 
abuse of discretion that favors you.
    (d) Effect of enforcement actions on other requirements. Our pursuit 
of civil or administrative penalties does not affect or limit our 
authority to enforce any provisions of this chapter.
    (e) Penalties. In any proceedings, the United States government may 
seek to collect civil penalties assessed under this section.
    (1) Once a penalty assessment is final, if you do not pay it, the 
Administrator will ask the Attorney General to bring a civil action in 
an appropriate district court to recover the money. We may collect 
interest from the date of the final order or final judgment at rates 
established by the Internal Revenue Code of 1986 (26 U.S.C. 6621(a)(2)). 
In this action to collect overdue penalties, the court will not review 
the validity, amount, and appropriateness of the penalty.
    (2) In addition, if you do not pay the full amount of a penalty on 
time, you must then pay more to cover interest, enforcement expenses 
(including attorney's fees and costs for collection), and a quarterly 
nonpayment penalty for each quarter you do not pay. The quarterly 
nonpayment penalty is 10 percent of your total penalties plus any unpaid 
nonpayment penalties from previous quarters.

[67 FR 68347, Nov. 8, 2002, as amended at 69 FR 39266, June 29, 2004; 70 
FR 40513, July 13, 2005]



                   Subpart C_Exemptions and Exclusions



Sec.  1068.201  Does EPA exempt or exclude any engines from the prohibited acts?

    We may exempt new engines from some or all of the prohibited acts or 
requirements of this part under provisions described in this subpart. We 
may exempt an engine already placed in service in the United States from 
the prohibition in Sec.  1068.101(b)(1) if the exemption for engines 
used solely for competition applies (see Sec.  1068.235). In addition, 
see Sec.  1068.1 and the standard-setting parts to determine if other 
engines are excluded from some or all of the regulations in this 
chapter.
    (a) This subpart identifies which engines qualify for exemptions and 
what information we need. We may ask for more information.
    (b) If you violate any of the terms, conditions, instructions, or 
requirements to qualify for an exemption, we may void the exemption.
    (c) If you use an exemption under this subpart, we may require you 
to add a permanent label to your exempted engines. You may ask us to 
modify these labeling requirements if it is appropriate for your engine.
    (d) If you produce engines we exempt under this subpart, we may 
require you to make and keep records, perform tests, make reports and 
provide information as needed to reasonably evaluate the validity of the 
exemption.

[[Page 1072]]

    (e) If you own or operate engines we exempt under this subpart, we 
may require you to provide information as needed to reasonably evaluate 
the validity of the exemption.
    (f) Subpart D of this part describes how we apply these exemptions 
to engines you import (or intend to import).
    (g) If you want to ask for an exemption or need more information, 
write to the Designated Officer.
    (h) You may ask us to modify the administrative requirements for the 
exemptions described in this subpart. We may approve your request if we 
determine that such approval is consistent with the intent of this part. 
For example, waivable administrative requirements might include some 
reporting requirements, but would not include any eligibility 
requirements or use restrictions.
    (i) If you want to take an action with respect to an exempted or 
excluded engine that is prohibited by the exemption or exclusion, such 
as selling it, you need to certify the engine. We will issue a 
certificate of conformity if you send us an application for 
certification showing that you meet all the applicable requirements from 
the standard-setting part and pay the appropriate fee. Also, in some 
cases, we may allow manufacturers to modify the engine as needed to make 
it identical to engines already covered by a certificate. We would base 
such an approval on our review of any appropriate documentation. These 
engines must have emission control information labels that accurately 
describe their status.

[67 FR 68347, Nov. 8, 2002, as amended at 69 FR 39266, June 29, 2004; 70 
FR 40513, July 13, 2005]



Sec.  1068.210  What are the provisions for exempting test engines?

    (a) We may exempt engines that are not exempted under other sections 
of this part that you will use for research, investigations, studies, 
demonstrations, or training.
    (b) Anyone may ask for a testing exemption.
    (c) If you are a certificate holder, you may request an exemption 
for engines you intend to include in test programs over a two-year 
period.
    (1) In your request, tell us the maximum number of engines involved 
and describe how you will make sure exempted engines are used only for 
this testing.
    (2) Give us the information described in paragraph (d) of this 
section if we ask for it.
    (d) If you are not a certificate holder do all of the following:
    (1) Show that the proposed test program has a valid purpose under 
paragraph (a) of this section.
    (2) Show you need an exemption to achieve the purpose of the test 
program (time constraints may be a basis for needing an exemption, but 
the cost of certification alone is not).
    (3) Estimate the duration of the proposed test program and the 
number of engines involved.
    (4) Allow us to monitor the testing.
    (5) Describe how you will ensure that you stay within this 
exemption's purposes. Address at least the following things:
    (i) The technical nature of the test.
    (ii) The test site.
    (iii) The duration and accumulated engine operation associated with 
the test.
    (iv) Ownership and control of the engines involved in the test.
    (v) The intended final disposition of the engines.
    (vi) How you will identify, record, and make available the engine 
identification numbers.
    (vii) The means or procedure for recording test results.
    (e) If we approve your request for a testing exemption, we will send 
you a letter or a memorandum for your signature describing the basis and 
scope of the exemption. The exemption does not take effect until we 
receive the signed letter or memorandum from you. It will also include 
any necessary terms and conditions, which normally require you to do the 
following:
    (1) Stay within the scope of the exemption.
    (2) Create and maintain adequate records that we may inspect.
    (3) Add a permanent, legible label, written in block letters in 
English, to a readily visible part of each exempted engine. This label 
must include at least the following items:

[[Page 1073]]

    (i) The label heading ``EMISSION CONTROL INFORMATION''.
    (ii) Your corporate name and trademark.
    (iii) Engine displacement, engine family identification (as 
applicable), and model year of the engine; or whom to contact for 
further information.
    (iv) The statement ``THIS ENGINE IS EXEMPT UNDER 40 CFR 1068.210 OR 
1068.215 FROM EMISSION STANDARDS AND RELATED REQUIREMENTS.''.
    (4) Tell us when the test program is finished.
    (5) Tell us the final disposition of the engines.
    (6) Send us a written confirmation that you meet the terms and 
conditions of this exemption.

[67 FR 68347, Nov. 8, 2002, as amended at69 FR 39267, June 29, 2004]



Sec.  1068.215  What are the provisions for exempting manufacturer-owned engines?

    (a) You are eligible for the exemption for manufacturer-owned 
engines only if you are a certificate holder.
    (b) An engine may be exempt without a request if it is a 
nonconforming engine under your ownership and control and you operate it 
to develop products, assess production methods, or promote your engines 
in the marketplace. You may not loan, lease, sell, or use the engine to 
generate revenue, either by itself or in a piece of equipment.
    (c) To use this exemption, you must do three things:
    (1) Establish, maintain, and keep adequately organized and indexed 
information on each exempted engine, including the engine identification 
number, the use of the engine on exempt status, and the final 
disposition of any engine removed from exempt status.
    (2) Let us access these records, as described in Sec.  1068.20.
    (3) Add a permanent, legible label, written in block letters in 
English, to a readily visible part of each exempted engine. This label 
must include at least the following items:
    (i) The label heading ``EMISSION CONTROL INFORMATION''.
    (ii) Your corporate name and trademark.
    (iii) Engine displacement, engine family identification (as 
applicable), and model year of the engine or whom to contact for further 
information.
    (iv) The statement ``THIS ENGINE IS EXEMPT UNDER 40 CFR 1068.210 OR 
1068.215 FROM EMISSION STANDARDS AND RELATED REQUIREMENTS.''.
    (iv) The statement ``THIS ENGINE IS EXEMPT UNDER 40 CFR 1068.215 
FROM EMISSION STANDARDS AND RELATED REQUIREMENTS.''.

[67 FR 68347, Nov. 8, 2002, as amended at 69 FR 39267, June 29, 2004]



Sec.  1068.220  What are the provisions for exempting display engines?

    (a) Anyone may request an exemption for display engines.
    (b) A nonconforming display engine will be exempted if it is used 
only for displays in the interest of a business or the general public. 
This exemption does not apply to engines displayed for private use, 
private collections, or any other purpose we determine is inappropriate 
for a display exemption.
    (c) You may operate the exempted engine, but only if we approve 
specific operation that is part of the display.
    (d) You may sell or lease the exempted engine only with our advance 
approval; you may not use it to generate revenue.
    (e) To use this exemption, you must add a permanent, legible label, 
written in block letters in English, to a readily visible part of each 
exempted engine. This label must include at least the following items:
    (1) The label heading ``EMISSION CONTROL INFORMATION''.
    (2) Your corporate name and trademark.
    (3) Engine displacement, engine family identification (as 
applicable), and model year of the engine or whom to contact for further 
information.
    (4) The statement ``THIS ENGINE IS EXEMPT UNDER 40 CFR 1068.220 FROM 
EMISSION STANDARDS AND RELATED REQUIREMENTS.''.
    (f) We may set other conditions for approval of this exemption.

[67 FR 68347, Nov. 8, 2002, as amended at 69 FR 39267, June 29, 2004]

[[Page 1074]]



Sec.  1068.225  What are the provisions for exempting engines for national security?

    (a) You are eligible for the exemption for national security only if 
you are a manufacturer.
    (b) Your engine is exempt without a request if you produce it for a 
piece of equipment owned or used by an agency of the federal government 
responsible for national defense, where the equipment has armor, 
permanently attached weaponry, or other substantial features typical of 
military combat.
    (c) You may request a national security exemption for engines not 
meeting the conditions of paragraph (b) of this section, as long as your 
request is endorsed by an agency of the federal government responsible 
for national defense. In your request, explain why you need the 
exemption.
    (d) Add a legible label, written in block letters in English, to 
each engine exempted under this section. The label must be permanently 
secured to a readily visible part of the engine needed for normal 
operation and not normally requiring replacement, such as the engine 
block. This label must include at least the following items:
    (1) The label heading ``EMISSION CONTROL INFORMATION''.
    (2) Your corporate name and trademark.
    (3) Engine displacement, engine family identification (as 
applicable), and model year of the engine or whom to contact for further 
information.
    (4) The statement ``THIS ENGINE HAS AN EXEMPTION FOR NATIONAL 
SECURITY UNDER 40 CFR 1068.225.''.

[67 FR 68347, Nov. 8, 2002, as amended at 69 FR 39267, June 29, 2004]



Sec.  1068.230  What are the provisions for exempting engines for export?

    (a) If you export a new engine to a country with emission standards 
identical to ours, we will not exempt it. These engines must comply with 
our certification requirements.
    (b) If you export an engine to a country with different emission 
standards or no emission standards, it is exempt from the prohibited 
acts in this part without a request. If you produce an exempt engine for 
export and it is sold or offered for sale to someone in the United 
States (except for export), we will void the exemption.
    (c) Label each exempted engine and shipping container with a label 
or tag showing the engine is not certified for sale or use in the United 
States. These labels need not be permanently attached to the engines. 
The label must include at least the statement ``THIS ENGINE IS SOLELY 
FOR EXPORT AND IS THEREFORE EXEMPT UNDER 40 CFR 1068.230 FROM U.S. 
EMISSION STANDARDS AND RELATED REQUIREMENTS.''.

[67 FR 68347, Nov. 8, 2002, as amended at 69 FR 39267, June 29, 2004]



Sec.  1068.235  What are the provisions for exempting engines used solely for competition?

    (a) New engines you produce that are used solely for competition are 
generally excluded from emission standards. See the standard-setting 
parts for specific provisions where applicable.
    (b) If you modify an engine after it has been placed into service in 
the United States so it will be used solely for competition, it is 
exempt without request. This exemption applies only to the prohibition 
in Sec.  1068.101(b)(1) and is valid only as long as the engine is used 
solely for competition.
    (c) If you modify an engine under paragraph (b) of this section, you 
must destroy the original emission label. If you loan, lease, sell, or 
give one of these engines to someone else, you must tell the new owner 
(or operator, if applicable) in writing that it may be used only for 
competition.

[67 FR 68347, Nov. 8, 2002, as amended at 69 FR 39267, June 29, 2004]



Sec.  1068.240  What are the provisions for exempting new replacement engines?

    (a) You are eligible for the exemption for new replacement engines 
only if you are a certificate holder.
    (b) The prohibitions in Sec.  1068.101(a)(1) do not apply to an 
engine if all the following conditions apply:
    (1) You produce a new engine to replace an engine already placed in 
service in a piece of equipment.
    (2) The engine being replaced was manufactured before the emission

[[Page 1075]]

standards that would otherwise apply to the new engine took effect.
    (3) You determine that you do not produce an engine certified to 
meet current requirements that has the appropriate physical or 
performance characteristics to repower the equipment. If the engine 
being replaced was made by a different company, you must make this 
determination also for engines produced by this other company.
    (4) You or your agent takes possession of the old engine or confirms 
that the engine has been destroyed.
    (5) You make the replacement engine in a configuration identical in 
all material respects to the engine being replaced (or that of another 
certified engine of the same or later model year). This requirement 
applies only if the old engine was certified to emission standards less 
stringent than those in effect when you produce the replacement engine.
    (c) If the engine being replaced was not certified to any emission 
standards under this chapter, add a permanent label with your corporate 
name and trademark and the following language:

THIS ENGINE DOES NOT COMPLY WITH U.S. EPA NONROAD EMISSION REQUIREMENTS. 
SELLING OR INSTALLING THIS ENGINE FOR ANY PURPOSE OTHER THAN TO REPLACE 
A NONROAD ENGINE BUILT BEFORE JANUARY 1, [Insert appropriate year 
reflecting when the earliest tier of standards began to apply to engines 
of that size and type] MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO 
CIVIL PENALTY.

    (d) If the engine being replaced was certified to emission standards 
less stringent than those in effect when you produce the replacement 
engine, add a permanent label with your corporate name and trademark and 
the following language:
THIS ENGINE COMPLIES WITH U.S. EPA NONROAD EMISSION REQUIREMENTS FOR 
[Insert appropriate year reflecting when the applicable tier of emission 
standards for the replaced engine began to apply] ENGINES UNDER 40 CFR 
1068.240. SELLING OR INSTALLING THIS ENGINE FOR ANY PURPOSE OTHER THAN 
TO REPLACE A NONROAD ENGINE BUILT BEFORE JANUARY 1, [Insert appropriate 
year reflecting when the next tier of emission standards began to apply] 
MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.

    (e) The provisions of this section may not be used to circumvent 
emission standards that apply to new engines under the standard-setting 
part.

[67 FR 68347, Nov. 8, 2002, as amended at 69 FR 39267, June 29, 2004; 70 
FR 40513, July 13, 2005]



Sec.  1068.245  What temporary provisions address hardship due to unusual circumstances?

    (a) After considering the circumstances, we may permit you to 
introduce into commerce engines or equipment that do not comply with 
emission-related requirements for a limited time if all the following 
conditions apply:
    (1) Unusual circumstances that are clearly outside your control and 
that could not have been avoided with reasonable discretion prevent you 
from meeting requirements from this chapter.
    (2) You exercised prudent planning and were not able to avoid the 
violation; you have taken all reasonable steps to minimize the extent of 
the nonconformity.
    (3) Not having the exemption will jeopardize the solvency of your 
company.
    (4) No other allowances are available under the regulations in this 
chapter to avoid the impending violation, including the provisions of 
Sec.  1068.250.
    (b) To apply for an exemption, you must send the Designated Officer 
a written request as soon as possible before you are in violation. In 
your request, show that you meet all the conditions and requirements in 
paragraph (a) of this section.
    (c) Include in your request a plan showing how you will meet all the 
applicable requirements as quickly as possible.
    (d) You must give us other relevant information if we ask for it.
    (e) We may include reasonable additional conditions on an approval 
granted under this section, including provisions to recover or otherwise 
address the lost environmental benefit or paying fees to offset any 
economic gain resulting from the exemption. For example, in the case of 
multiple tiers of emission standards, we may require

[[Page 1076]]

that you meet the standards from the previous tier.
    (f) Add a permanent, legible label, written in block letters in 
English, to a readily visible part of each engine exempted under this 
section. This label must include at least the following items:
    (1) The label heading ``EMISSION CONTROL INFORMATION''.
    (2) Your corporate name and trademark.
    (3) Engine displacement (in liters), rated power, and model year of 
the engine or whom to contact for further information.
    (4) One of the following statements:
    (i) If the engine does not meet any emission standards: ``THIS 
ENGINE IS EXEMPT UNDER 40 CFR 1068.245 FROM EMISSION STANDARDS AND 
RELATED REQUIREMENTS.''.
    (ii) If the engine meets alternate emission standards as a condition 
of an exemption under this section, we may specify a different statement 
to identify the alternate emission standards.

[67 FR 68347, Nov. 8, 2002, as amended at 69 FR 39268, June 29, 2004; 70 
FR 40513, July 13, 2005]



Sec.  1068.250  What are the provisions for extending compliance deadlines for small-volume manufacturers under hardship?

    (a) After considering the circumstances, we may extend the 
compliance deadline for you to meet new or revised emission standards, 
as long as you meet all the conditions and requirements in this section.
    (b) To be eligible for this exemption, you must qualify under the 
standard-setting part for special provisions for small businesses or 
small-volume manufacturers.
    (c) To apply for an extension, you must send the Designated Officer 
a written request. In your request, show that all the following 
conditions and requirements apply:
    (1) You have taken all possible business, technical, and economic 
steps to comply.
    (i) In the case of importers of engines produced by other companies, 
show that you attempted to find a manufacturer capable of supplying 
complying products as soon as you became aware of the applicable 
requirements, but were unable to do so.
    (ii) For all other manufacturers, show that the burden of compliance 
costs prevents you from meeting the requirements of this chapter.
    (2) Not having the exemption will jeopardize the solvency of your 
company.
    (3) No other allowances are available under the regulations in this 
chapter to avoid the impending violation.
    (d) In describing the steps you have taken to comply under paragraph 
(c)(1) of this section, include at least the following information:
    (1) Describe your business plan, showing the range of projects 
active or under consideration.
    (2) Describe your current and projected financial status, with and 
without the burden of complying fully with the applicable regulations in 
this chapter.
    (3) Describe your efforts to raise capital to comply with 
regulations in this chapter (this may not apply for importers).
    (4) Identify the engineering and technical steps you have taken or 
those you plan to take to comply with regulations in this chapter.
    (5) Identify the level of compliance you can achieve. For example, 
you may be able to produce engines that meet a somewhat less stringent 
emission standard than the regulations in this chapter require.
    (e) Include in your request a plan showing how you will meet all the 
applicable requirements as quickly as possible.
    (f) You must give us other relevant information if we ask for it.
    (g) An authorized representative of your company must sign the 
request and include the statement: ``All the information in this request 
is true and accurate, to the best of my knowledge.''.
    (h) Send your request for this extension at least nine months before 
the relevant deadline. If different deadlines apply to companies that 
are not small-volume manufacturers, do not send your request before the 
regulations in

[[Page 1077]]

question apply to the other manufacturers. Otherwise, do not send your 
request more than three years before the relevant deadline.
    (i) We may include reasonable requirements on an approval granted 
under this section, including provisions to recover or otherwise address 
the lost environmental benefit. For example, we may require that you 
meet a less stringent emission standard or buy and use available 
emission credits.
    (j) We will approve extensions of up to one model year. We may 
review and revise an extension as reasonable under the circumstances.
    (k) Add a permanent, legible label, written in block letters in 
English, to a readily visible part of each engine exempted under this 
section. This label must include at least the following items:
    (1) The label heading ``EMISSION CONTROL INFORMATION''.
    (2) Your corporate name and trademark.
    (3) Engine displacement (in liters), rated power, and model year of 
the engine or whom to contact for further information.
    (4) One of the following statements:
    (i) If the engine does not meet any emission standards: ``THIS 
ENGINE IS EXEMPT UNDER 40 CFR 1068.250 FROM EMISSION STANDARDS AND 
RELATED REQUIREMENTS.''.
    (ii) If the engine meets alternate emission standards as a condition 
of an exemption under this section, we may specify a different statement 
to identify the alternate emission standards.

[67 FR 68347, Nov. 8, 2002, as amended at 69 FR 39268, June 29, 2004; 70 
FR 40514, July 13, 2005]



Sec.  1068.255  What are the provisions for exempting engines for hardship for equipment manufacturers and secondary engine manufacturers?

    This section describes how, in unusual circumstances, we may exempt 
certain engines to prevent a hardship to an equipment manufacturer or a 
secondary engine manufacturer. This section does not apply to products 
that are subject to vehicle-based emission standards.
    (a) Equipment exemption. As an equipment manufacturer, you may ask 
for approval to produce exempted equipment for up to 12 months. We will 
generally limit this to the first year that new or revised emission 
standards apply. Send the Designated Officer a written request for an 
exemption before you are in violation. In your request, you must show 
you are not at fault for the impending violation and that you would face 
serious economic hardship if we do not grant the exemption. This 
exemption is not available under this paragraph (a) if you manufacture 
the engine you need for your own equipment or if complying engines are 
available from other engine manufacturers that could be used in your 
equipment, unless we allow it elsewhere in this chapter. We may impose 
other conditions, including provisions to use an engine meeting less 
stringent emission standards or to recover the lost environmental 
benefit. In determining whether to grant the exemptions, we will 
consider all relevant factors, including the following:
    (1) The number of engines to be exempted.
    (2) The size of your company and your ability to endure the 
hardship.
    (3) The amount of time you had to redesign your equipment to 
accommodate a complying engine.
    (4) Whether there was any breach of contract by an engine supplier.
    (5) The potential for market disruption.
    (b) Engine exemption. As an engine manufacturer, you may produce 
nonconforming engines for the equipment we exempt in paragraph (a) of 
this section. You do not have to request this exemption for your 
engines, but you must have written assurance from equipment 
manufacturers that they need a certain number of exempted engines under 
this section. Add a permanent, legible label, written in block letters 
in English, to a readily visible part of each exempted engine. This 
label must include at least the following items:
    (1) The label heading ``EMISSION CONTROL INFORMATION''.
    (2) Your corporate name and trademark.

[[Page 1078]]

    (3) Engine displacement (in liters), rated power, and model year of 
the engine or whom to contact for further information.
    (4) One of the following statements:
    (i) If the engine does not meet any emission standards: ``THIS 
ENGINE IS EXEMPT UNDER 40 CFR 1068.255 FROM EMISSION STANDARDS AND 
RELATED REQUIREMENTS.''.
    (ii) If the engine meets alternate emission standards as a condition 
of an exemption under this section, we may specify a different statement 
to identify the alternate emission standards.
    (c) Secondary engine manufacturers. As a secondary engine 
manufacturer, you may ask for approval to produce exempted engines under 
this section for up to 12 months. We may require you to certify your 
engines to compliance levels above the emission standards that apply. 
For example, the in the case of multiple tiers of emission standards, we 
may require you to meet the standards from the previous tier.
    (1) For the purpose of this section, a secondary engine manufacturer 
is a manufacturer that produces an engine by modifying an engine that is 
made by a different manufacturer for a different type of application. 
This includes, for example, automotive engines converted for use in 
industrial applications, or land-based engines converted for use in 
marine applications. This applies whether the secondary engine 
manufacturer is modifying a complete or partially complete engine and 
whether the engine was previously certified to emission standards or 
not. To be a secondary engine manufacturer, you must not be controlled 
by the manufacturer of the base engine (or by an entity that also 
controls the manufacturer of the base engine). In addition, equipment 
manufacturers that substantially modify engines become secondary engine 
manufacturers. For the purpose of this definition, ``substantially 
modify'' means changing an engine in a way that could change its 
emission characteristics.
    (2) The provisions in paragraph (a) of this section that apply to 
equipment manufacturers requesting an exemption apply equally to you, 
except that you may manufacture the engines. Before we can approve the 
exemption under this section, you must commit to a plan to make up the 
lost environmental benefit.
    (i) If you produce uncertified engines under this exemption, we will 
calculate the lost environmental benefit based on our best estimate of 
uncontrolled emission rates for your engines.
    (ii) If you produce engines under this exemption that are certified 
to a compliance level less stringent than the emission standards that 
would otherwise apply, we will calculate the lost environmental benefit 
based on the compliance level you select for your engines.
    (3) The labeling requirements in paragraph (b) of this section apply 
to your exempted engines; however, if you certify engines to specific 
compliance levels, state on the label the compliance levels that apply 
to each engine.

[67 FR 68347, Nov. 8, 2002, as amended at 69 FR 39268, June 29, 2004; 70 
FR 40514, July 13, 2005]



Sec.  1068.260  What are the provisions for temporarily exempting engines for delegated final assembly?

    (a) Shipping an engine separately from an aftertreatment component 
that you have specified as part of its certified configuration will not 
be a violation of the prohibitions in Sec.  1068.101(a)(1), if you do 
all the following:
    (1) Apply for and receive a certificate of conformity for the engine 
and its emission-control system before shipment.
    (2) Provide installation instructions in enough detail to ensure 
that the engine will be in its certified configuration if someone 
follows these instructions.
    (3) Have a contractual agreement with an equipment manufacturer 
obligating the equipment manufacturer to complete the final assembly of 
the engine so it is in its certified configuration when installed in the 
equipment. This agreement must also obligate the equipment manufacturer 
to provide the affidavits and cooperate with the audits required under 
paragraph (a)(6) of this section.
    (4) Include the cost of all aftertreatment components in the cost of 
the engine.

[[Page 1079]]

    (5) Ship the aftertreatment components directly to the equipment 
manufacturer, or arrange for separate shipment by the component 
manufacturer to the equipment manufacturer.
    (6) Take appropriate additional steps to ensure that all engines 
will be in their certified configuration when installed by the equipment 
manufacturer. At a minimum do the following:
    (i) Obtain annual affidavits from every equipment manufacturer to 
whom you sell engines under this section. Include engines that you sell 
through distributors or dealers. The affidavits must list the part 
numbers of the aftertreatment devices that equipment manufacturers 
install on each engine they purchase from you under this section.
    (ii) If you sell more than 50 engines per model year under this 
section, you must annually audit four equipment manufacturers to whom 
you sell engines under this section. To select individual equipment 
manufacturers, divide all the affected equipment manufacturers into 
quartiles based on the number of engines they buy from you; select a 
single equipment manufacturer from each quartile each model year. Vary 
the equipment manufacturers you audit from year to year, though you may 
repeat an audit in a later model year if you find or suspect that a 
particular equipment manufacturer is not properly installing 
aftertreatment devices. If you sell engines to fewer than 16 equipment 
manufacturers under the provisions of this section, you may instead set 
up a plan to audit each equipment manufacturer on average once every 
four model years. Audits must involve the assembling companies' 
facilities, procedures, and production records to monitor their 
compliance with your instructions, must include investigation of some 
assembled engines, and must confirm that the number of aftertreatment 
devices shipped were sufficient for the number of engines produced. 
Where an equipment manufacturer is not located in the United States, you 
may conduct the audit at a distribution or port facility in the United 
States. You must keep records of these audits for five years after the 
end of the model year and provide a report to us describing any 
uninstalled or improperly installed aftertreatment components. Send us 
these reports within 90 days of the audit, except as specified in 
paragraph (d) of this section.
    (iii) If you sell up to 50 engines per model year under this 
section, you must conduct audits as described in paragraph (a)(6)(ii) of 
this section or propose an alternative plan for ensuring that equipment 
manufacturers properly install aftertreatment devices.
    (iv) If you produce engines and use them to produce equipment under 
the provisions of this section, you must take steps to ensure that your 
facilities, procedures, and production records are set up to ensure 
compliance with the provisions of this section, but you may meet your 
auditing responsibilities under this paragraph (a)(6) by maintaining a 
database showing how you pair aftertreatment components with the 
appropriate engines.
    (7) Describe the following things in your application for 
certification:
    (i) How you plan to use the provisions of this section.
    (ii) A detailed plan for auditing equipment manufacturers, as 
described in paragraph (a)(6) of this section.
    (iii) All other steps you plan to take under paragraph (a)(6) of 
this section.
    (8) Keep records to document how many engines you produce under this 
exemption. Also, keep records to document your contractual agreements 
under paragraph (a)(3) of this section. Keep all these records for five 
years after the end of the model year and make them available to us upon 
request.
    (9) Make sure the engine has the emission control information label 
we require under the standard-setting part. Apply an additional 
temporary label or tag in a way that makes it unlikely that the engine 
will be installed in equipment other than in its certified 
configuration. The label or tag must identify the engine as incomplete 
and include a clear statement that failing to install the aftertreatment 
device, or otherwise bring the engine into its certified configuration, 
is a violation of federal law subject to civil penalty.
    (b) An engine you produce under this section becomes new when it is 
fully

[[Page 1080]]

assembled, except for aftertreatment devices, for the first time. Use 
this date to determine the engine's model year.
    (c) Once the equipment manufacturer takes possession of an engine 
exempted under this section, the exemption expires and the engine is 
subject to all the prohibitions in 40 CFR 1068.101.
    (d) You must notify us within 15 days if you find from an audit or 
another source that an equipment manufacturer has failed to meet its 
obligations under this section.
    (e) We may suspend, revoke, or void an exemption under this section, 
as follows:
    (1) We may suspend or revoke your exemption for the entire engine 
family if we determine that any of the engines are not in their 
certified configuration after installation in the equipment, or if you 
fail to comply with the requirements of this section. If we suspend or 
revoke the exemption for any of your engine families under this 
paragraph (d), this exemption will not apply for future certificates 
unless you demonstrate that the factors causing the nonconformity do not 
apply to the other engine families. We may suspend or revoke the 
exemption for shipments to a single facility where final assembly 
occurs.
    (2) We may void your exemption for the entire engine family if you 
intentionally submit false or incomplete information or fail to keep and 
provide to EPA the records required by this section.
    (f) You are liable for the in-use compliance of any engine that is 
exempt under this section.
    (g) It is a violation of the Act for any person to complete assembly 
of the exempted engine without complying fully with the installation 
instructions.
    (h) You may ask us to provide a temporary exemption to allow you to 
complete production of your engines at different facilities, as long as 
you maintain control of the engines until they are in their certified 
configuration. We may require you to take specific steps to ensure that 
such engines are in their certified configuration before reaching the 
ultimate purchaser. You may request an exemption under this paragraph 
(h) in your application for certification, or in a separate submission 
to the Designated Compliance Officer.

[69 FR 39268, June 29, 2004, as amended at 70 FR 40514, July 13, 2005]



Sec.  1068.265  What provisions apply to engines that are conditionally exempted from certification?

    Engines produced under an exemption for replacement engines (Sec.  
1068.240) or for hardship (Sec.  1068.245, Sec.  1068.250, or Sec.  
1068.255) may need to meet alternate emission standards as a condition 
of the exemption. The standard-setting part may similarly exempt engines 
from all certification requirements, or allow us to exempt engines from 
all certification requirements for certain cases, but require the 
engines to meet alternate standards. In these cases, all the following 
provisions apply:
    (a) Your engines must meet the alternate standards we specify in (or 
pursuant to) the exemption section, and all other requirements 
applicable to engines that are subject to such standards.
    (b) You need not apply for and receive a certificate for the exempt 
engines. However, you must comply with all the requirements and 
obligations that would apply to the engines if you had received a 
certificate of conformity for them, unless we specifically waive certain 
requirements.
    (c) You must have emission data from test engines using the 
appropriate procedures that demonstrate compliance with the alternate 
standards, unless the engines are identical in all material respects to 
engines that you have previously certified to standards that are the 
same as, or more stringent than, the alternate standards.
    (d) Unless we specify otherwise elsewhere in the standard-setting 
part, you must meet the labeling requirements in the standard-setting 
part, with the following exceptions:
    (1) Modify the engine-family designation by eliminating the 
character that identifies the model year.
    (2) See the provisions of the applicable exemption for appropriate 
language to replace the compliance statement otherwise required in the 
standard-setting part.

[[Page 1081]]

    (e) You may not generate emission credits for averaging, banking, or 
trading with engines meeting requirements under the provisions of this 
section.
    (f) Keep records to show that you meet the alternate standards, as 
follows:
    (1) If your exempted engines are identical to previously certified 
engines, keep your most recent application for certification for the 
certified engine family.
    (2) If you previously certified a similar engine family, but have 
modified the exempted engine in a way that changes it from its 
previously certified configuration, keep your most recent application 
for certification for the certified engine family, a description of the 
relevant changes, and any test data or engineering evaluations that 
support your conclusions.
    (3) If you have not previously certified a similar engine family, 
keep all the records we specify for the application for certification 
and any additional records the standard-setting part requires you to 
keep.
    (g) We may require you to send us an annual report of the engines 
you produce under this section.

[70 FR 40515, July 13, 2005]



                            Subpart D_Imports



Sec.  1068.301  Does this subpart apply to me?

    (a) This subpart applies to you if you import into the United States 
engines or equipment subject to our emission standards or equipment 
containing engines subject to our emission standards.
    (b) In general, engines that you import must be covered by a 
certificate of conformity unless they were built before emission 
standards started to apply. This subpart describes the limited cases 
where we allow importation of exempt or excluded engines.
    (c) The U.S. Customs Service may prevent you from importing an 
engine if you do not meet the requirements of this subpart. In addition, 
U.S. Customs Service regulations may contain other requirements for 
engines imported into the United States (see 19 CFR Chapter I).



Sec.  1068.305  How do I get an exemption or exclusion for imported engines?

    (a) Complete the appropriate EPA declaration form before importing 
any nonconforming engine. These forms are available on the Internet at 
http://www.epa.gov/OTAQ/imports/ or by phone at 734-214-4100.
    (b) If we ask for it, prepare a written request in which you do the 
following:
    (1) Give your name, address, telephone number, and taxpayer 
identification number.
    (2) Give the engine owner's name, address, telephone number, and 
taxpayer identification number.
    (3) Identify the make, model, identification number, and original 
production year of each engine.
    (4) Identify which exemption or exclusion in this subpart allows you 
to import a nonconforming engine and describe how your engine qualifies.
    (5) Tell us where you will keep your engines if you might need to 
store them until we approve your request.
    (6) Authorize us to inspect or test your engines as the Act allows.
    (c) We may ask for more information.
    (d) You may import the nonconforming engines you identify in your 
request if you get prior written approval from us. The U.S. Customs 
Service may require you to show them the approval letter. We may 
temporarily or permanently approve the exemptions or exclusions, as 
described in this subpart.
    (e) Meet the requirements specified for the appropriate exemption in 
this part or the standard-setting part, including any labeling 
requirements that apply.

[67 FR 68347, Nov. 8, 2002, as amended at 69 FR 39269, June 29, 2004; 70 
FR 40551, July 13, 2005]



Sec.  1068.310  What are the exclusions for imported engines?

    If you show us that your engines qualify under one of the paragraphs 
of this section, we will approve your request to import such excluded 
engines. You must have our approval to import an engine under paragraph 
(a) of this section. You may, but are not required to request our 
approval to import the engines under paragraph (b) or (c) of

[[Page 1082]]

this section. The following engines are excluded:
    (a) Engines used solely for competition. Engines that you 
demonstrate will be used solely for competition are excluded from the 
restrictions on imports in Sec.  1068.301(b), but only if they are 
properly labeled. See the standard-setting part for provisions related 
to this demonstration. Section 1068.101(b)(4) prohibits anyone from 
using these excluded engines for purposes other than competition.
    (b) Stationary engines. The definition of nonroad engine in 40 CFR 
1068.30 does not include certain engines used in stationary 
applications. Such engines may be subject to the standards of 40 CFR 
part 60. Engines that are excluded from the definition of nonroad engine 
in this part and not required to be certified to standards under 40 CFR 
part 60 are not subject to the restrictions on imports in Sec.  
1068.301(b), but only if they are properly labeled. Section 1068.101 
restricts the use of stationary engines for non-stationary purposes 
unless they are certified under 40 CFR Part 60 to the same standards 
that would apply to nonroad engines for the same model year.
    (c) Other engines. The standard-setting parts may exclude engines 
used in certain applications. For example, engines used in aircraft and 
very small engines used in hobby vehicles are generally excluded. 
Engines used in underground mining are excluded if they are regulated by 
the Mine Safety and Health Administration.

[67 FR 68347, Nov. 8, 2002, as amended at 69 FR 39269, June 29, 2004; 71 
FR 39185, July 11, 2006]



Sec.  1068.315  What are the permanent exemptions for imported engines?

    We may approve a permanent exemption from the restrictions on 
imports under Sec.  1039.301(b) under the following conditions:
    (a) National security exemption. You may import an engine under the 
national security exemption in Sec.  1068.225, but only if it is 
properly labeled.
    (b) Manufacturer-owned engine exemption. You may import a 
manufacturer-owned engine, as described in Sec.  1068.215.
    (c) Replacement engine exemption. You may import a nonconforming 
replacement engine as described in Sec.  1068.240. To use this 
exemption, you must be a certificate holder for an engine family we 
regulate under the same part as the replacement engine.
    (d) Extraordinary circumstances exemption. You may import a 
nonconforming engine if we grant hardship relief as described in Sec.  
1068.245.
    (e) Small-volume manufacturer exemption. You may import a 
nonconforming engine if we grant hardship relief for a small-volume 
manufacturer, as described in Sec.  1068.250.
    (f) Equipment-manufacturer hardship exemption. You may import a 
nonconforming engine if we grant an exemption for the transition to new 
or revised emission standards, as described in Sec.  1068.255.
    (g) Delegated-assembly exemption. You may import a nonconforming 
engine for final assembly under the provisions of Sec.  1068.260. 
However, this does not include the staged-assembly provisions of Sec.  
1068.260(h); see Sec.  1068.330 for importing incomplete engines.
    (h) [Reserved]
    (i) Identical configuration exemption. You may import a 
nonconforming engine if it is identical to certified engines produced by 
the same manufacturer, subject to the following provisions:
    (1) You may import only the following engines under this exemption:
    (i) Large nonroad spark-ignition engines (see part 1048 of this 
chapter).
    (ii) Recreational nonroad spark-ignition engines and equipment (see 
part 1051 of this chapter).
    (iii) Land-based nonroad diesel engines (see part 1039 of this 
chapter).
    (2) You must meet all the following criteria:
    (i) You have owned the engine for at least six months.
    (ii) You agree not to sell, lease, donate, trade, or otherwise 
transfer ownership of the engine for at least five years, or until the 
engine is eligible for the exemption in paragraph (g) of this section. 
During this period, the only acceptable way to dispose of the engine is 
to destroy or export it.
    (iii) You use data or evidence sufficient to show that the engine is 
in a configuration that is identical to an engine the original 
manufacturer has

[[Page 1083]]

certified to meet emission standards that apply at the time the 
manufacturer finished assembling or modifying the engine in question. If 
you modify the engine to make it identical, you must completely follow 
the original manufacturer's written instructions.
    (3) We will tell you in writing if we find the information 
insufficient to show that the engine is eligible for this exemption. In 
this case, we will not consider your request further until you address 
our concerns.
    (j) Ancient engine exemption. If you are not the original engine 
manufacturer, you may import a nonconforming engine that is subject to a 
standard-setting part and was first manufactured at least 21 years 
earlier, as long as it is still in its original configuration.

[67 FR 68347, Nov. 8, 2002, as amended at 69 FR 39269, June 29, 2004; 70 
FR 40515, July 13, 2005]



Sec.  1068.320  How must I label an imported engine with an exclusion or a permanent exemption?

    (a) For engines imported under Sec.  1068.310(a) or (b), you must 
place a permanent label or tag on each engine. If no specific label 
requirements in the standard-setting part apply for these engines, you 
must meet the following requirements:
    (1) Attach the label or tag in one piece so no one can remove it 
without destroying or defacing it.
    (2) Make sure it is durable and readable for the engine's entire 
life.
    (3) Secure it to a part of the engine needed for normal operation 
and not normally requiring replacement.
    (4) Write it in block letters in English.
    (5) Make it readily visible to the average person after the engine 
is installed in the equipment.
    (b) On the engine label or tag, do the following:
    (1) Include the heading ``EMISSION CONTROL INFORMATION''.
    (2) Include your full corporate name and trademark.
    (3) State the engine displacement (in liters) and rated power. If 
the engine's rated power is not established, state the approximate power 
rating accurately enough to allow a determination of which standards 
would otherwise apply.
    (4) State: ``THIS ENGINE IS EXEMPT FROM THE REQUIREMENTS OF 
[identify the part referenced in 40 CFR 1068.1(a) that would otherwise 
apply], AS PROVIDED IN [identify the paragraph authorizing the exemption 
(for example, ``40 CFR 1068.315(a)'')]. INSTALLING THIS ENGINE IN ANY 
DIFFERENT APPLICATION MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL 
PENALTY.''.

[67 FR 68347, Nov. 8, 2002, as amended at 69 FR 39269, June 29, 2004]



Sec.  1068.325  What are the temporary exemptions for imported engines?

    You may import engines under certain temporary exemptions, subject 
to the conditions in this section. We may ask the U.S. Customs Service 
to require a specific bond amount to make sure you comply with the 
requirements of this subpart. You may not sell or lease one of these 
engines while it is in the United States. You must eventually export the 
engine as we describe in this section unless you get a certificate of 
conformity for it or it qualifies for one of the permanent exemptions in 
Sec.  1068.315. Section 1068.330 specifies an additional temporary 
exemption allowing you to import certain engines you intend to modify.
    (a) Exemption for repairs or alterations. You may temporarily import 
a nonconforming engine under bond solely to repair or alter it or the 
equipment in which it is installed. You may operate the engine and 
equipment in the United States only as necessary to repair it, alter it, 
or ship it to or from the service location. Export the engine directly 
after servicing is complete.
    (b) Testing exemption. You may temporarily import a nonconforming 
engine under bond for testing if you follow the requirements of Sec.  
1068.210. You may operate the engine in the United States only to allow 
testing. This exemption expires one year after you import the engine, 
unless we approve an extension. The engine must be exported before the 
exemption expires.

[[Page 1084]]

    (c) Display exemption. You may temporarily import a nonconforming 
engine under bond for display, as described in Sec.  1068.220. This 
exemption expires one year after you import the engine, unless we 
approve your request for an extension. We may approve an extension of up 
to one more year for each request, but no more than three years in 
total. The engine must be exported by the time the exemption expires or 
directly after the display concludes, whichever comes first.
    (d) Export exemption. You may temporarily import a nonconforming 
engine to export it, as described in Sec.  1068.230. You may operate the 
engine in the United States only as needed to prepare it for export. 
Label the engine as described in Sec.  1068.230.
    (e) Diplomatic or military exemption. You may temporarily import 
nonconforming engines without bond if you represent a foreign government 
in a diplomatic or military capacity. In your request to the Designated 
Officer (see Sec.  1068.305), include either written confirmation from 
the U.S. State Department that you qualify for this exemption or a copy 
of your orders for military duty in the United States. We will rely on 
the State Department or your military orders to determine when your 
diplomatic or military status expires, at which time you must export 
your exempt engines.
    (f) Delegated assembly exemption. You may import a nonconforming 
engine for final assembly, as described in Sec.  1068.260.

[67 FR 68347, Nov. 8, 2002, as amended at 69 FR 39269, June 29, 2004; 70 
FR 40515, July 13, 2005]



Sec.  1068.330  How do I import engines requiring further assembly?

    This section allows you to import engines in configurations 
different than their final configuration. This exemption is temporary, 
as described in paragraph (d) of this section.
    (a) This section applies in the following cases:
    (1) You import a partially complete engine with the intent to 
manufacture complete engines for which you have either a certificate of 
conformity or an exemption that allows you to sell completed engines.
    (2) You import an uncertified complete engine with the intent to 
modify it for installation in an application different than its 
otherwise intended application (for example, you import a land-based 
engine to modify it for a marine application). In this case, to qualify 
for an exemption under this section, you need either a certificate of 
conformity or an exemption that allows you to sell completed engines.
    (3) You import a complete or partially complete engine to modify for 
an application for which emission standards do not apply.
    (4) You import a complete or partially complete engine for 
installation in equipment subject to equipment-based standards for which 
you have either a certificate of conformity or an exemption that allows 
you to sell the equipment.
    (b) You may request this exemption in an application for 
certification. Otherwise, send your request to the Designated Officer. 
Your request must include:
    (1) The name of the supplier of the partially complete engine, or 
the original manufacturer of the complete engine.
    (2) A description of the certificate or exemption that will apply to 
the engines in the final configuration, or an explanation why a 
certificate or exemption is not needed.
    (3) A brief description of how and where final assembly will be 
completed.
    (4) An unconditional statement that the engines will comply with all 
applicable regulations in their final configuration.
    (c) If we approve a temporary exemption for an engine, you may 
import it under the conditions in this section. If you are not a 
certificate holder, we may ask the U.S. Customs Service to require a 
specific bond amount to make sure you comply with the requirements of 
this subpart.
    (d) These provisions are intended only to allow you to import 
engines in the specific circumstances identified in this section, so any 
exemption under this section expires when you complete the assembly of 
the engine in its final configuration. If the engine in its final 
configuration is subject to emission

[[Page 1085]]

standards, then it must be covered by a certificate or a different 
exemption before you introduce it into commerce.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40516, July 13, 2005]



Sec.  1068.335  What are the penalties for violations?

    (a) All imported engines. Unless you comply with the provisions of 
this subpart, importation of nonconforming engines violates sections 203 
and 213(d) of the Act (42 U.S.C. 7522 and 7547(d)). You may then have to 
export the engines, or pay civil penalties, or both. The U.S. Customs 
Service may seize unlawfully imported engines.
    (b) Temporarily imported engines. If you do not comply with the 
provisions of this subpart for a temporary exemption under Sec.  
1068.325 or Sec.  1068.330, you may forfeit the total amount of the bond 
in addition to the sanctions we identify in paragraph (a) of this 
section. We will consider an engine to be exported if it has been 
destroyed or delivered to the U.S. Customs Service for export or other 
disposition under applicable Customs laws and regulations. EPA or the 
U.S. Customs Service may offer you a grace period to allow you to export 
a temporarily exempted engine without penalty after the exemption 
expires.

[67 FR 68347, Nov. 8, 2002, as amended at 69 FR 39270, June 29, 2004; 70 
FR 40516, July 13, 2005]



                Subpart E_Selective Enforcement Auditing



Sec.  1068.401  What is a selective enforcement audit?

    (a) We may conduct or require you to conduct emission tests on your 
production engines in a selective enforcement audit. This requirement is 
independent of any requirement for you to routinely test production-line 
engines.
    (b) If we send you a signed test order, you must follow its 
directions and the provisions of this subpart. We may tell you where to 
test the engines. This may be where you produce the engines or any other 
emission testing facility.
    (c) If we select one or more of your engine families for a selective 
enforcement audit, we will send the test order to the person who signed 
the application for certification or we will deliver it in person.
    (d) If we do not select a testing facility, notify the Designated 
Officer within one working day of receiving the test order where you 
will test your engines.
    (e) You must do everything we require in the audit without delay.

[69 FR 39270, June 29, 2004]



Sec.  1068.405  What is in a test order?

    (a) In the test order, we will specify the following things:
    (1) The engine family and configuration (if any) we have identified 
for testing.
    (2) The engine assembly plant, storage facility, or (if you import 
the engines) port facility from which you must select engines.
    (3) The procedure for selecting engines for testing, including a 
selection rate.
    (4) The test procedures, duty cycles, and test points, as 
appropriate, for testing the engines to show that they meet emission 
standards.
    (b) We may state that we will select the test engines.
    (c) We may identify alternate engine families or configurations for 
testing in case we determine the intended engines are not available for 
testing or if you do not produce enough engines to meet the minimum rate 
for selecting test engines.
    (d) We may include other directions or information in the test 
order.
    (e) We may ask you to show us that you meet any additional 
requirements that apply to your engines (closed crankcases, for 
example).
    (f) In anticipation of a potential audit, you may give us a list of 
your preferred engine families and the corresponding assembly plants, 
storage facilities, or (if you import the engines) port facilities from 
which we should select engines for testing. The information would apply 
only for a single model year, so it would be best to include this 
information in your application for certification. If you give us this 
list before we issue a test order, we will consider your 
recommendations, but we may select engines differently.

[[Page 1086]]

    (g) If you also do routine production-line testing with the selected 
engine family in the same time period, the test order will tell you what 
changes you might need to make in your production-line testing schedule.



Sec.  1068.410  How must I select and prepare my engines?

    (a) Selecting engines. Select engines as described in the test 
order. If you are unable to select test engines this way, you may ask us 
to approve an alternate plan, as long as you make the request before you 
start selecting engines.
    (b) Assembling engines. Produce and assemble test engines using your 
normal production and assembly process for that engine family.
    (1) Notify us directly if you make any change in your production, 
assembly, or quality control processes that might affect emissions 
between the time you receive the test order and the time you finish 
selecting test engines.
    (2) If you do not fully assemble engines at the specified location, 
we will describe in the test order how to select components to finish 
assembling the engines. Assemble these components onto the test engines 
using your documented assembly and quality control procedures.
    (c) Modifying engines. Once an engine is selected for testing, you 
may adjust, repair, prepare, or modify it or check its emissions only if 
one of the following is true:
    (1) You document the need for doing so in your procedures for 
assembling and inspecting all your production engines and make the 
action routine for all the engines in the engine family.
    (2) This subpart otherwise allows your action.
    (3) We approve your action in advance.
    (d) Engine malfunction. If an engine malfunction prevents further 
emission testing, ask us to approve your decision to either repair the 
engine or delete it from the test sequence.
    (e) Setting adjustable parameters. Before any test, we may adjust or 
require you to adjust any adjustable parameter to any setting within its 
physically adjustable range.
    (1) We may adjust or require you to adjust idle speed outside the 
physically adjustable range as needed until the engine has stabilized 
emission levels (see paragraph (f) of this section). We may ask you for 
information needed to establish an alternate minimum idle speed.
    (2) We may make or specify adjustments within the physically 
adjustable range by considering their effect on emission levels, as well 
as how likely it is someone will make such an adjustment with in-use 
engines.
    (f) Stabilizing emission levels. Before you test production-line 
engines, you may operate the engine to stabilize the emission levels. 
Using good engineering judgment, operate your engines in a way that 
represents the way production engines will be used. You may operate each 
engine for no more than the greater of two periods:
    (1) 50 hours.
    (2) The number of hours you operated your emission-data engine for 
certifying the engine family (see 40 CFR part 1065, subpart E).
    (g) Damage during shipment. If shipping an engine to a remote 
facility for testing under a selective enforcement audit makes necessary 
an adjustment or repair, you must wait until after the initial emission 
test to do this work. We may waive this requirement if the test would be 
impossible or unsafe, or if it would permanently damage the engine. 
Report to us, in your written report under Sec.  1068.450, all 
adjustments or repairs you make on test engines before each test.
    (h) Shipping engines. If you need to ship engines to another 
facility for testing, make sure the test engines arrive at the test 
facility within 24 hours after being selected. You may ask that we allow 
more time if you are unable to do this.
    (i) Retesting after invalid tests. You may retest an engine if you 
determine an emission test is invalid under the standard-setting part. 
Explain in your written report reasons for invalidating any test and the 
emission results from all tests. If you retest an engine and, within ten 
days after testing, ask to substitute results of the new tests for

[[Page 1087]]

the original ones, we will answer within ten days after we receive your 
information.
    (i) Retesting after invalid tests. You may retest an engine if you 
determine an emission test is invalid. Explain in your written report 
reasons for invalidating any test and the emission results from all 
tests. If you retest an engine and, within ten days after testing, ask 
to substitute results of the new tests for the original ones, we will 
answer within ten days after we receive your information.
    (j) Retesting after reaching a fail decision. You may retest your 
engines once a fail decision for the audit has been reached based on the 
first test on each engine under Sec.  1068.420(c). You may test each 
engine up to a total of three times, but you must perform the same 
number of tests on each engine. You may further operate the engine to 
stabilize emission levels before testing, subject to the provisions of 
paragraph (f) of this section. We may approve retesting at other times 
if you send us a request with satisfactory justification.

[67 FR 68347, Nov. 8, 2002, as amended at 69 FR 39270, June 29, 2004; 70 
FR 40516, July 13, 2005]



Sec.  1068.415  How do I test my engines?

    (a) Use the test procedures specified in the standard-setting part 
for showing that your engines meet emission standards. The test order 
will give further testing instructions.
    (b) If no test cells are available at a given facility, you may make 
alternate testing arrangements with our approval.
    (c) Test at least two engines in each 24-hour period (including void 
tests). However, if your projected U.S. nonroad engine sales within the 
engine family are less than 7,500 for the year, you may test a minimum 
of one engine per 24-hour period. If you request and justify it, we may 
approve a lower testing rate.
    (d) Accumulate service on test engines at a minimum rate of 6 hours 
per engine during each 24-hour period. The first 24-hour period for 
service accumulation begins when you finish preparing an engine for 
testing. The minimum service accumulation rate does not apply on 
weekends or holidays. You may ask us to approve a lower service 
accumulation rate. Plan your service accumulation to allow testing at 
the rate specified in paragraph (c) of this section. Select engine 
operation for accumulating operating hours on your test engines to 
represent normal in-use engine operation for the engine family.
    (e) Test engines in the same order you select them.

[67 FR 68347, Nov. 8, 2002, as amended at 69 FR 39270, June 29, 2004]



Sec.  1068.420  How do I know when my engine family fails an SEA?

    (a) A failed engine is one whose final deteriorated test results 
exceed an applicable emission standard for any regulated pollutant.
    (b) Continue testing engines until you reach a pass decision for all 
pollutants or a fail decision for one pollutant.
    (c) You reach a pass decision for the SEA requirements when the 
number of failed engines is less than or equal to the pass decision 
number in Appendix A to this subpart for the total number of engines 
tested. You reach a fail decision for the SEA requirements when the 
number of failed engines is greater than or equal to the fail decision 
number in Appendix A to this subpart for the total number of engines you 
test. An acceptable quality level of 40 percent is the basis for the 
pass or fail decision.
    (d) Consider test results in the same order as the engine testing 
sequence.
    (e) If you reach a pass decision for one pollutant, but need to 
continue testing for another pollutant, we will disregard these later 
test results for the pollutant with the pass decision.
    (f) Appendix A to this subpart lists multiple sampling plans. Use 
the sampling plan for the projected sales volume you reported in your 
application for the audited engine family.
    (g) We may choose to stop testing after any number of tests.
    (h) If we test some of your engines in addition to your own testing, 
we may decide not to include your test results as official data for 
those engines if there is substantial disagreement between your testing 
and our testing. We will reinstate your data as valid if you

[[Page 1088]]

show us that we made an error and your data are correct.
    (i) If we rely on our test data instead of yours, we will notify you 
in writing of our decision and the reasons we believe your facility is 
not appropriate for doing the tests we require under this subpart. You 
may request in writing that we consider your test results from the same 
facility for future testing if you show us that you have made changes to 
resolve the problem.



Sec.  1068.425  What happens if one of my production-line engines exceeds the emission standards?

    (a) If one of your production-line engines fails to meet one or more 
emission standards (see Sec.  1068.420), the certificate of conformity 
is automatically suspended for that engine. You must take the following 
actions before your certificate of conformity can cover that engine:
    (1) Correct the problem and retest the engine to show it complies 
with all emission standards.
    (2) Include in your written report a description of the test results 
and the remedy for each engine (see Sec.  1068.450).
    (b) You may at any time ask for a hearing to determine whether the 
tests and sampling methods were proper (see subpart G of this part).



Sec.  1068.430  What happens if an engine family fails an SEA?

    (a) We may suspend your certificate of conformity for an engine 
family if it fails the SEA under Sec.  1068.420. The suspension may 
apply to all facilities producing engines from an engine family, even if 
you find noncompliant engines only at one facility.
    (b) We will tell you in writing if we suspend your certificate in 
whole or in part. We will not suspend a certificate until at least 15 
days after the engine family fails the SEA. The suspension is effective 
when you receive our notice.
    (c) Up to 15 days after we suspend the certificate for an engine 
family, you may ask for a hearing to determine whether the tests and 
sampling methods were proper (see subpart G of this part). If we agree 
before a hearing that we used erroneous information in deciding to 
suspend the certificate, we will reinstate the certificate.



Sec.  1068.435  May I sell engines from an engine family with a suspended certificate of conformity?

    You may sell engines that you produce after we suspend the engine 
family's certificate of conformity only if one of the following occurs:
    (a) You test each engine you produce and show it complies with 
emission standards that apply.
    (b) We conditionally reinstate the certificate for the engine 
family. We may do so if you agree to recall all the affected engines and 
remedy any noncompliance at no expense to the owner if later testing 
shows that engines in the engine family still do not comply.



Sec.  1068.440  How do I ask EPA to reinstate my suspended certificate?

    (a) Send us a written report asking us to reinstate your suspended 
certificate. In your report, identify the reason for the SEA failure, 
propose a remedy, and commit to a date for carrying it out. In your 
proposed remedy include any quality control measures you propose to keep 
the problem from happening again.
    (b) Give us data from production-line testing showing that engines 
in the remedied engine family comply with all the emission standards 
that apply.



Sec.  1068.445  When may EPA revoke my certificate under this subpart and how may I sell these engines again?

    (a) We may revoke your certificate for an engine family in the 
following cases:
    (1) You do not meet the reporting requirements under this subpart.
    (2) Your engine family fails an SEA and your proposed remedy to 
address a suspended certificate is inadequate to solve the problem or 
requires you to change the engine's design or emission-control system.
    (b) To sell engines from an engine family with a revoked certificate 
of conformity, you must modify the engine family and then show it 
complies with the applicable requirements.
    (1) If we determine your proposed design change may not control 
emissions for the engine's full useful life, we will tell you within 
five working days after receiving your report. In this case we will 
decide whether production-line

[[Page 1089]]

testing will be enough for us to evaluate the change or whether you need 
to do more testing.
    (2) Unless we require more testing, you may show compliance by 
testing production-line engines as described in this subpart.
    (3) We will issue a new or updated certificate of conformity when 
you have met these requirements.

[67 FR 68347, Nov. 8, 2002, as amended at 69 FR 39270, June 29, 2004]



Sec.  1068.450  What records must I send to EPA?

    (a) Within 30 calendar days of the end of each audit, send us a 
report with the following information:
    (1) Describe any facility used to test production-line engines and 
state its location.
    (2) State the total U.S.-directed production volume and number of 
tests for each engine family.
    (3) Describe your test engines, including the engine family's 
identification and the engine's model year, build date, model number, 
identification number, and number of hours of operation before testing 
for each test engine.
    (4) Identify where you accumulated hours of operation on the engines 
and describe the procedure and schedule you used.
    (5) Provide the test number; the date, time and duration of testing; 
test procedure; initial test results before and after rounding; final 
test results; and final deteriorated test results for all tests. Provide 
the emission figures for all measured pollutants. Include information 
for both valid and invalid tests and the reason for any invalidation.
    (6) Describe completely and justify any nonroutine adjustment, 
modification, repair, preparation, maintenance, or test for the test 
engine if you did not report it separately under this subpart. Include 
the results of any emission measurements, regardless of the procedure or 
type of equipment.
    (7) Report on each failed engine as described in Sec.  1068.425.
    (b) We may ask you to add information to your written report, so we 
can determine whether your new engines conform with the requirements of 
this subpart.
    (c) An authorized representative of your company must sign the 
following statement:

    We submit this report under Sections 208 and 213 of the Clean Air 
Act. Our testing conformed completely with the requirements of 40 CFR 
part 1068. We have not changed production processes or quality-control 
procedures for the engine family in a way that might affect the emission 
control from production engines. All the information in this report is 
true and accurate, to the best of my knowledge. I know of the penalties 
for violating the Clean Air Act and the regulations. (Authorized Company 
Representative)

    (d) Send reports of your testing to the Designated Officer using an 
approved information format. If you want to use a different format, send 
us a written request with justification for a waiver.
    (e) We may post test results on publicly accessible databases and we 
will send copies of your reports to anyone from the public who asks for 
them. We will not release information about your sales or production 
volumes, which is all we will consider confidential.

[67 FR 68347, Nov. 8, 2002, as amended at 69 FR 39270, June 29, 2004]



Sec.  1068.455  What records must I keep?

    (a) We may review your records at any time, so it is important to 
keep required information readily available. Organize and maintain your 
records as described in this section.
    (b) Keep paper records for testing under this subpart for one full 
year after you complete all the testing required for the selective 
enforcement audit. For additional storage, you may use any format or 
media.
    (c) Keep a copy of the written reports described in Sec.  1068.450.
    (d) Keep the following additional records:
    (1) The names of supervisors involved in each test.
    (2) The name of anyone who authorizes adjusting, repairing, 
preparing, or modifying a test engine and the names of all supervisors 
who oversee this work.
    (3) If you shipped the engine for testing, the date you shipped it, 
the associated storage or port facility, and the date the engine arrived 
at the testing facility.

[[Page 1090]]

    (4) Any records related to your audit that are not in the written 
report.
    (5) A brief description of any significant events during testing not 
otherwise described in the written report or in this section.
    (e) If we ask, you must give us projected or actual production for 
an engine family. Include each assembly plant if you produce engines at 
more than one plant.
    (f) We may ask you to keep or send other information necessary to 
implement this subpart.



     Sec. Appendix A to Subpart E of Part 1068--Plans for Selective 
                          Enforcement Auditing

    The following tables describe sampling plans for selective 
enforcement audits, as described in Sec.  1068.420:

                                      Table A-1--Sampling Plan Code Letter
----------------------------------------------------------------------------------------------------------------
                                                                          Minimum number of tests      Maximum
              Projected engine family sales                Code letter ----------------------------   number of
                                                               \1\         To pass       To fail        tests
----------------------------------------------------------------------------------------------------------------
20 - 50.................................................           AA             3             5            20
20 - 99.................................................            A             4             6            30
100 - 299...............................................            B             5             6            40
300 - 499...............................................             C            5             6            50
500 +...................................................            D             5             6           60
----------------------------------------------------------------------------------------------------------------
\1\ A manufacturer may optionally use either the sampling plan for code letter ``AA'' or sampling plan for code
  letter ``A'' for Selective enforcement Audits of engine families with annual sales between 20 and 50 engines.
  Additionally, the manufacturer may switch between these plans during the audit.


                                           Table A-2--Sampling Plans for Different Engine Family Sales Volumes
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                     AA                     A                     B                     C                     D
                                           -------------------------------------------------------------------------------------------------------------
                 Stage \a\                     Pass       Fail       Pass       Fail       Pass       Fail       Pass       Fail       Pass       Fail
                                                              
--------------------------------------------------------------------------------------------------------------------------------------------------------
1.........................................
--------------------------------------------------------------------------------------------------------------------------------------------------------
2.........................................
--------------------------------------------------------------------------------------------------------------------------------------------------------
3.........................................         0
--------------------------------------------------------------------------------------------------------------------------------------------------------
4.........................................  .........  .........         0
--------------------------------------------------------------------------------------------------------------------------------------------------------
5.........................................         1          5          0   .........         0   .........         0   .........         0
--------------------------------------------------------------------------------------------------------------------------------------------------------
6.........................................         1          6          1          6          1          6          0          6          0          6
--------------------------------------------------------------------------------------------------------------------------------------------------------
7.........................................         2          6          1          7          1          7          1          7          1          7
--------------------------------------------------------------------------------------------------------------------------------------------------------
8.........................................         2          7          2          7          2          7          2          7          2          8
--------------------------------------------------------------------------------------------------------------------------------------------------------
9.........................................         3          7          2          8          2          8          2          8          2          8
--------------------------------------------------------------------------------------------------------------------------------------------------------
10........................................         3          8          3          8          3          8          3          9          3          9
--------------------------------------------------------------------------------------------------------------------------------------------------------
11........................................         4          8          3          8          3          9          3          9          3          9
--------------------------------------------------------------------------------------------------------------------------------------------------------
12........................................         4          9          4          9          4          9          4         10          4         10
--------------------------------------------------------------------------------------------------------------------------------------------------------
13........................................         5          9          5         10          4         10          4         10          4         10
--------------------------------------------------------------------------------------------------------------------------------------------------------
14........................................         5         10          5         10          5         10          5         11          5         11
--------------------------------------------------------------------------------------------------------------------------------------------------------
15........................................         6         10          6         11          5         11          5         11          5         11
--------------------------------------------------------------------------------------------------------------------------------------------------------
16........................................         6         10          6         11          6         12          6         12          6         12
--------------------------------------------------------------------------------------------------------------------------------------------------------
17........................................         7         10          7         12          6         12          6         12          6         12
--------------------------------------------------------------------------------------------------------------------------------------------------------
18........................................         8         10          7         12          7         13          7         13          7         13
--------------------------------------------------------------------------------------------------------------------------------------------------------

[[Page 1091]]

 
19........................................         8         10          8         13          8         13          7         13          7         13
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20........................................         9         10          8         13          8         14          8         14          8         14
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21........................................  .........  .........         9         14          9         14          8         14          8         14
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22........................................  .........  .........        10         14          9         15          9         15          9         15
--------------------------------------------------------------------------------------------------------------------------------------------------------
23........................................  .........  .........        10         15         10         15         10         15          9         15
--------------------------------------------------------------------------------------------------------------------------------------------------------
24........................................  .........  .........        11         15         10         16         10         16         10         16
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25........................................  .........  .........        11         16         11         16         11         16         11         16
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26........................................  .........  .........        12         16         11         17         11         17         11         17
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27........................................  .........  .........        12         17         12         17         12         17         12         17
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28........................................  .........  .........        13         17         12         18         12         18         12         18
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29........................................  .........  .........        14         17         13         18         13         18         13         19
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30........................................  .........  .........        16         17         13         19         13         19         13         19
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31........................................  .........  .........  .........  .........        14         19         14         19         14         20
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32........................................  .........  .........  .........  .........        14         20         14         20         14         20
--------------------------------------------------------------------------------------------------------------------------------------------------------
33........................................  .........  .........  .........  .........        15         20         15         20         15         21
--------------------------------------------------------------------------------------------------------------------------------------------------------
34........................................  .........  .........  .........  .........        16         21         15         21         15         21
--------------------------------------------------------------------------------------------------------------------------------------------------------
35........................................  .........  .........  .........  .........        16         21         16         21         16         22
--------------------------------------------------------------------------------------------------------------------------------------------------------
36........................................  .........  .........  .........  .........        17         22         16         22         16         22
--------------------------------------------------------------------------------------------------------------------------------------------------------
37........................................  .........  .........  .........  .........        17         22         17         22         17         23
--------------------------------------------------------------------------------------------------------------------------------------------------------
38........................................  .........  .........  .........  .........        18         22         18         23         17         23
--------------------------------------------------------------------------------------------------------------------------------------------------------
39........................................  .........  .........  .........  .........        18         22         18         23         18         24
--------------------------------------------------------------------------------------------------------------------------------------------------------
40........................................  .........  .........  .........  .........        21         22         19         24         18         24
--------------------------------------------------------------------------------------------------------------------------------------------------------
41........................................  .........  .........  .........  .........  .........  .........        19         24         19         25
--------------------------------------------------------------------------------------------------------------------------------------------------------
42........................................  .........  .........  .........  .........  .........  .........        20         25         19         26
--------------------------------------------------------------------------------------------------------------------------------------------------------
43........................................  .........  .........  .........  .........  .........  .........        20         25         20         26
--------------------------------------------------------------------------------------------------------------------------------------------------------
44........................................  .........  .........  .........  .........  .........  .........        21         26         21         27
--------------------------------------------------------------------------------------------------------------------------------------------------------
45........................................  .........  .........  .........  .........  .........  .........        21         27         21         27
--------------------------------------------------------------------------------------------------------------------------------------------------------
46........................................  .........  .........  .........  .........  .........  .........        22         27         22         28
--------------------------------------------------------------------------------------------------------------------------------------------------------
47........................................  .........  .........  .........  .........  .........  .........        22         27         22         28
--------------------------------------------------------------------------------------------------------------------------------------------------------
48........................................  .........  .........  .........  .........  .........  .........        23         27         23         29
--------------------------------------------------------------------------------------------------------------------------------------------------------
49........................................  .........  .........  .........  .........  .........  .........        23         27         23         29
--------------------------------------------------------------------------------------------------------------------------------------------------------

[[Page 1092]]

 
50........................................  .........  .........  .........  .........  .........  .........        26         27         24         30
--------------------------------------------------------------------------------------------------------------------------------------------------------
51........................................  .........  .........  .........  .........  .........  .........  .........  .........        24         30
--------------------------------------------------------------------------------------------------------------------------------------------------------
52........................................  .........  .........  .........  .........  .........  .........  .........  .........        25         31
--------------------------------------------------------------------------------------------------------------------------------------------------------
53........................................  .........  .........  .........  .........  .........  .........  .........  .........        25         31
--------------------------------------------------------------------------------------------------------------------------------------------------------
54........................................  .........  .........  .........  .........  .........  .........  .........  .........        26         32
--------------------------------------------------------------------------------------------------------------------------------------------------------
55........................................  .........  .........  .........  .........  .........  .........  .........  .........        26         32
--------------------------------------------------------------------------------------------------------------------------------------------------------
56........................................  .........  .........  .........  .........  .........  .........  .........  .........        27         33
--------------------------------------------------------------------------------------------------------------------------------------------------------
57........................................  .........  .........  .........  .........  .........  .........  .........  .........        27         33
--------------------------------------------------------------------------------------------------------------------------------------------------------
58........................................  .........  .........  .........  .........  .........  .........  .........  .........        28         33
--------------------------------------------------------------------------------------------------------------------------------------------------------
59........................................  .........  .........  .........  .........  .........  .........  .........  .........        28         33
--------------------------------------------------------------------------------------------------------------------------------------------------------
60                                          .........  .........  .........  .........  .........  .........  .........  .........        32        33
--------------------------------------------------------------------------------------------------------------------------------------------------------
\a\ Stage refers to the cumulative number of engines tested.



            Subpart F_Reporting Defects and Recalling Engines



Sec.  1068.501  How do I report engine defects?

    This section addresses your responsibility to investigate and report 
emission-related defects in design, materials, or workmanship. The 
provisions of this section do not limit your liability under this part 
or the Clean Air Act. For example, selling an engine that does not 
conform to your application for certification is a violation of Sec.  
1068.101(a)(1), independent of the requirements of this section.
    (a) General provisions. As an engine manufacturer, you must 
investigate in certain circumstances whether engines that have been 
introduced into commerce in the United States have incorrect, improperly 
installed, or otherwise defective emission-related components or 
systems. You must also send us reports as specified by this section.
    (1) This section addresses defects for any of the following 
emission-related components, or systems containing the following 
components:
    (i) Electronic control units, aftertreatment devices, fuel-metering 
components, EGR-system components, crankcase-ventilation valves, all 
components related to charge-air compression and cooling, and all 
sensors associated with any of these components.
    (ii) Any other component whose primary purpose is to reduce 
emissions.
    (iii) Any other component whose failure might increase emissions of 
any pollutant without significantly degrading engine performance.
    (2) The requirements of this section relate to defects in any of the 
components or systems identified in paragraph (a)(1) of this section if 
the defects might affect any of the parameters or specifications in 
Appendix II of this part or might otherwise affect an engine's emissions 
of any pollutant.
    (3) For the purposes of this section, defects do not include damage 
to emission-related components or systems (or maladjustment of 
parameters) caused by owners improperly maintaining or abusing their 
engines.
    (4) The requirements of this section do not apply to emission 
control information labels. Note however, that Sec.  1068.101(a)(1) 
prohibits the sale of engines without proper labels, which also applies 
to misprinted labels.

[[Page 1093]]

    (5) You must track the information specified in paragraph (b)(1) of 
this section. You must assess this data at least every three months to 
evaluate whether you exceed the thresholds specified in paragraphs (e) 
and (f) of this section. Where thresholds are based on a percentage of 
engines in the engine family, use actual sales figures for the whole 
model year when they become available. Use projected sales figures until 
the actual sales figures become available. You are not required to 
collect additional information other than that specified in paragraph 
(b)(1) of this section before reaching a threshold for an investigation 
specified in paragraph (e) of this section.
    (6) You may ask us to allow you to use alternate methods for 
tracking, investigating, reporting, and correcting emission-related 
defects. In your request, explain and demonstrate why you believe your 
alternate system will be at least as effective in the aggregate in 
tracking, identifying, investigating, evaluating, reporting, and 
correcting potential and actual emissions-related defects as the 
requirements in this section. In this case, provide all available data 
necessary to demonstrate why an alternate system is appropriate for your 
engines and how it will result in a system at least as effective as that 
required under this section.
    (7) If we determine that emission-related defects result in a 
substantial number of properly maintained and used engines not 
conforming to the regulations of this chapter during their useful life, 
we may order you to conduct a recall of your engines (see Sec.  
1068.505).
    (8) Send all reports required by this section to the Designated 
Officer.
    (9) This section distinguishes between defects and possible defects. 
A possible defect exists anytime there is an indication that an 
emission-related component or system might have a defect, as described 
in paragraph (b)(1) of this section.
    (b) Investigation of possible defects. Investigate possible defects 
as follows:
    (1) If the number of engines that have a possible defect, as defined 
by this paragraph (b)(1), exceeds a threshold specified in paragraph (e) 
of this section, you must conduct an investigation to determine if an 
emission-related component or system is actually defective. You must 
classify an engine component or system as having a possible defect if 
any of the following sources of information shows there is a significant 
possibility that a defect exists:
    (i) A warranty claim is submitted for the component, whether this is 
under your emission-related warranty or any other warranty.
    (ii) Your quality-assurance procedures suggest that a defect may 
exist.
    (iii) You receive any other information for which good engineering 
judgment would indicate the component or system may be defective, such 
as information from dealers, field-service personnel, hotline 
complaints, or engine diagnostic systems.
    (2) If the number of shipped replacement parts for any individual 
component is high enough that good engineering judgment would indicate a 
significant possibility that a defect exists, you must conduct an 
investigation to determine if it is actually defective. Note that this 
paragraph (b)(2) does not require data-tracking or recording provisions 
related to shipment of replacement parts.
    (3) Your investigation must be prompt, thorough, consider all 
relevant information, follow accepted scientific and engineering 
principles, and be designed to obtain all the information specified in 
paragraph (d) of this section.
    (4) Your investigation needs to consider possible defects that occur 
only within the useful life period, or within five years after the end 
of the model year, whichever is longer.
    (5) You must continue your investigation until you are able to show 
that there is no emission-related defect or you obtain all the 
information specified for a defect report in paragraph (d) of this 
section. Send us an updated defect report anytime you have significant 
additional information.
    (6) If a component with a possible defect is used in additional 
engine families or model years, you must investigate whether the 
component may be defective when used in these additional engine families 
or model years, and include these results in any defect report

[[Page 1094]]

you send under paragraph (c) of this section.
    (7) If your initial investigation concludes that the number of 
engines with a defect is fewer than any of the thresholds specified in 
paragraph (f) of this section, but other information later becomes 
available that may show that the number of engines with a defect exceeds 
a threshold, then you must resume your investigation. If you resume an 
investigation, you must include the information from the earlier 
investigation to determine whether to send a defect report.
    (c) Reporting defects. You must send us a defect report in either of 
the following cases:
    (1) Your investigation shows that the number of engines with a 
defect exceeds a threshold specified in paragraph (f) of this section. 
Send the defect report within 21 days after the date you identify this 
number of defective engines. See paragraph (h) of this section for 
reporting requirements that apply if the number of engines with a defect 
does not exceed any of the thresholds in paragraph (f) of this section.
    (2) You know there are emission-related defects for a component or 
system in a number of engines that exceeds a threshold specified in 
paragraph (f) of this section, regardless of how you obtain this 
information. Send the defect report within 21 days after you learn that 
the number of defects exceeds a threshold.
    (d) Contents of a defect report. Include the following information 
in a defect report:
    (1) Your corporate name and a person to contact regarding this 
defect.
    (2) A description of the defect, including a summary of any 
engineering analyses and associated data, if available.
    (3) A description of the engines that have the defect, including 
engine families, models, and range of production dates.
    (4) An estimate of the number and percentage of each class or 
category of affected engines that have the defect, and an explanation of 
how you determined this number. Describe any statistical methods you 
used under paragraph (g)(6) of this section.
    (5) An estimate of the defect's impact on emissions, with an 
explanation of how you calculated this estimate and a summary of any 
emission data demonstrating the impact of the defect, if available.
    (6) A description of your plan for addressing the defect or an 
explanation of your reasons for not believing the defects must be 
addressed.
    (e) Thresholds for conducting a defect investigation. You must begin 
a defect investigation based on the following number of engines that may 
have the defect:
    (1) For engines with maximum engine power at or below 560 kW:
    (i) For engine families with annual sales below 500 units: 50 or 
more engines.
    (ii) For engine families with annual sales from 500 to 50,000 units: 
more than 10.0 percent of the total number of engines in the engine 
family.
    (iii) For engine families with annual sales above 50,000 units: 
5,000 or more engines.
    (2) For engines with maximum engine power greater than 560 kW:
    (i) For engine families with annual sales below 250 units: 25 or 
more engines.
    (ii) For engine families with annual sales at or above 250 units: 
more than 10.0 percent of the total number of engines in the engine 
family.
    (f) Thresholds for filing a defect report. You must send a defect 
report based on the following number of engines that have the defect:
    (1) For engines with maximum engine power at or below 560 kW:
    (i) For engine families with annual sales below 1,000 units: 20 or 
more engines.
    (ii) For engine families with annual sales from 1,000 to 50,000 
units: more than 2.0 percent of the total number of engines in the 
engine family.
    (iii) For engine families with annual sales above 50,000 units: 
1,000 or more engines.
    (2) For engines with maximum engine power greater than 560 kW:
    (i) For engine families with annual sales below 150 units: 10 or 
more engines.

[[Page 1095]]

    (ii) For engine families with annual sales from 150 to 750 units: 15 
or more engines.
    (iii) For engine families with annual sales above 750 units: more 
than 2.0 percent of the total number of engines in the engine family.
    (g) How to count defects. (1) Track defects separately for each 
model year and engine family as much as possible. If information is not 
identifiable by model year or engine family, use good engineering 
judgment to evaluate whether you exceed a threshold in paragraph (e) or 
(f) of this section. Consider only your U.S.-directed production volume.
    (2) Within an engine family, track defects together for all 
components or systems that are the same in all material respects. If 
multiple companies separately supply a particular component or system, 
treat each company's component or system as unique.
    (3) If a possible defect is not attributed to any specific part of 
the engine, consider the complete engine a distinct component for 
evaluating whether you exceed a threshold in paragraph (e) of this 
section.
    (4) If you correct defects before they reach the ultimate purchaser 
as a result of your quality-assurance procedures, count these against 
the investigation thresholds in paragraph (e) of this section unless you 
routinely check every engine in the engine family. Do not count any 
corrected defects as actual defects under paragraph (f) of this section.
    (5) Use aggregated data from all the different sources identified in 
paragraph (b)(1) of this section to determine whether you exceed a 
threshold in paragraphs (e) and (f) of this section.
    (6) If information is readily available to conclude that the 
possible defects identified in paragraph (b)(1) of this section are 
actual defects, count these toward the reporting thresholds in paragraph 
(f) of this section.
    (7) During an investigation, use appropriate statistical methods to 
project defect rates for engines that you are not otherwise able to 
evaluate. For example, if 75 percent of the components replaced under 
warranty are available for evaluation, it would be appropriate to 
extrapolate known information on failure rates to the components that 
are unavailable for evaluation. Take steps as necessary to prevent bias 
in sampled data. Make adjusted calculations to take into account any 
bias that may remain.
    (h) Investigation reports. Once you trigger an investigation 
threshold under paragraph (e) of this section, you must report your 
progress and conclusions. In your reports, include the information 
specified in paragraph (d) of this section, or explain why the 
information is not relevant. Send us the following reports:
    (1) While you are investigating, send us mid-year and end-of-year 
reports to describe the methods you are using and the status of the 
investigation. Send these status reports no later than June 30 and 
December 31 of each year.
    (2) If you find that the number of components or systems with an 
emission-related defect exceeds a threshold specified in paragraph (f) 
of this section, send us a report describing your findings within 21 
days after the date you reach this conclusion.
    (3) If you find that the number of components or systems with an 
emission-related defect does not exceed any of the thresholds specified 
in paragraph (f) of this section, send us a final report supporting this 
conclusion. For example, you may exclude warranty claims that resulted 
from misdiagnosis and you may exclude defects caused by improper 
maintenance, improper use, or misfueling. Send this report within 21 
days after the date you reach this conclusion.
    (i) Future production. If you identify a design or manufacturing 
defect that prevents engines from meeting the requirements of this part, 
you must correct the defect as soon as possible for future production of 
engines in every family affected by the defect. This applies without 
regard to whether you are required to conduct a defect investigation or 
submit a defect report under this section.

[69 FR 39270, June 29, 2004]



Sec.  1068.505  How does the recall program work?

    (a) If we make a determination that a substantial number of properly 
maintained and used engines do not conform

[[Page 1096]]

to the regulations of this chapter during their useful life, you must 
submit a plan to remedy the nonconformity of your engines. We will 
notify you of our determination in writing. Our notice will identify the 
class or category of engines affected and describe how we reached our 
conclusion. If this happens, you must meet the requirements and follow 
the instructions in this subpart. You must remedy at your expense 
noncompliant engines that have been properly maintained and used, as 
described in Sec.  1068.510(a)(7). You may not transfer this expense to 
a dealer or equipment manufacturer through a franchise or other 
agreement.
    (b) You may ask for a hearing if you disagree with our determination 
(see subpart G of this part).
    (c) Unless we withdraw the determination of noncompliance, you must 
respond to it by sending a remedial plan to the Designated Officer by 
the later of these two deadlines:
    (1) Within 60 days after we notify you.
    (2) Within 60 days after a hearing.
    (d) Once you have sold an engine to the ultimate purchaser, we may 
inspect or test the engine only if he or she permits it, or if state or 
local inspection programs separately provide for it.
    (e) You may ask us to allow you to conduct your recall differently 
than specified in this subpart, consistent with section 207(c) of the 
Act (42 U.S.C. 7541(c)).
    (f) You may do a voluntary recall under Sec.  1068.535, unless we 
have made the determination described in Sec.  1068.535(a).
    (g) For purposes of recall, owner means someone who owns an engine 
affected by a remedial plan or someone who owns a piece of equipment 
that has one of these engines.

[67 FR 68347, Nov. 8, 2002, as amended at 69 FR 39272, June 29, 2004; 70 
FR 40516, July 13, 2005]



Sec.  1068.510  How do I prepare and apply my remedial plan?

    (a) In your remedial plan, describe all of the following:
    (1) The class or category of engines to be recalled, including the 
number of engines involved and the model year or other information 
needed to identify the engines.
    (2) The modifications, alterations, repairs, corrections, 
adjustments, or other changes you will make to correct the affected 
engines.
    (3) A brief description of the studies, tests, and data that support 
the effectiveness of the remedy you propose to use.
    (4) The instructions you will send to those who will repair the 
engines under the remedial plan.
    (5) How you will determine the owners' names and addresses.
    (6) How you will notify owners; include copies of any notification 
letters.
    (7) The proper maintenance or use you will specify, if any, as a 
condition to be eligible for repair under the remedial plan. Describe 
how these specifications meet the provisions of paragraph (e) of this 
section. Describe how the owners should show they meet your conditions.
    (8) The steps owners must take for you to do the repair. You may set 
a date or a range of dates, specify the amount of time you need, and 
designate certain facilities to do the repairs.
    (9) Which company (or group) you will assign to do or manage the 
repairs.
    (10) If your employees or authorized warranty agents will not be 
doing the work, state who will and describe their qualifications.
    (11) How you will ensure an adequate and timely supply of parts.
    (12) The effect of proposed changes on fuel consumption, 
driveability, and safety of the engines you will recall; include a brief 
summary of the information supporting these conclusions.
    (13) How you intend to label the engines you repair and where you 
will place the label on the engine (see Sec.  1068.515).
    (b) We may require you to add information to your remedial plan.
    (c) We may require you to test the proposed repair to show it will 
remedy the noncompliance.
    (d) Use all reasonable means to locate owners. We may require you to 
use government or commercial registration lists to get owners' names and 
addresses, so your notice will be effective.

[[Page 1097]]

    (e) The maintenance or use that you specify as a condition for 
eligibility under the remedial plan may include only things you can show 
would cause noncompliance. Do not require use of a component or service 
identified by brand, trade, or corporate name, unless we approved this 
approach with your original certificate of conformity. Also, do not 
place conditions on who maintained the engine.
    (f) We may require you to adjust your repair plan if we determine 
owners would be without their engines or equipment for an unreasonably 
long time.
    (g) We will tell you in writing within 15 days of receiving your 
remedial plan whether we have approved or disapproved it. We will 
explain our reasons for any disapproval.
    (h) Begin notifying owners within 15 days after we approve your 
remedial plan. If we hold a hearing, but do not change our position 
about the noncompliance, you must begin notifying owners within 60 days 
after we complete the hearing, unless we specify otherwise.

[67 FR 68347, Nov. 8, 2002, as amended at 69 FR 39273, June 29, 2004; 70 
FR 40516, July 13, 2005]



Sec.  1068.515  How do I mark or label repaired engines?

    (a) Attach a label to each engine you repair under the remedial 
plan. At your discretion, you may label or mark engines you inspect but 
do not repair.
    (b) Make the label from a durable material suitable for its planned 
location. Make sure no one can remove the label without destroying or 
defacing it.
    (c) On the label, designate the specific recall campaign and state 
where you repaired or inspected the engine.
    (d) We may waive or modify the labeling requirements if we determine 
they are overly burdensome.



Sec.  1068.520  How do I notify affected owners?

    (a) Notify owners by first class mail, unless we say otherwise. We 
may require you to use certified mail. Include the following in your 
notice:
    (1) State: ``The U.S. Environmental Protection Agency has determined 
that your engine may be emitting pollutants in excess of the Federal 
emission standards, as defined in Title 40 of the Code of Federal 
Regulations. These emission standards were established to protect the 
public health or welfare from air pollution''.
    (2) State that you (or someone you designate) will repair these 
engines at your expense.
    (3) If we approved maintenance and use conditions in your remedial 
plan, state that you will make these repairs only if owners show their 
engines meet the conditions for proper maintenance and use. Describe 
these conditions and how owners should prove their engines are eligible 
for repair.
    (4) Describe the components your repair will affect and say 
generally how you will repair the engines.
    (5) State that the engine, if not repaired, may fail an emission 
inspection test if state or local law requires one.
    (6) Describe any adverse effects on its performance or driveability 
that would be caused by not repairing the engine.
    (7) Describe any adverse effects on the functions of other engine 
components that would be caused by not repairing the engine.
    (8) Specify the date you will start the repairs, the amount of time 
you will need to do them, and where you will do them. Include any other 
information owners may need to know.
    (9) Include a self-addressed card that owners can mail back if they 
have sold the engine (or equipment in which the engine is installed); 
include a space for owners to write the name and address of a buyer.
    (10) State that owners should call you at a phone number you give to 
report any difficulty in obtaining repairs.
    (11) State: ``To ensure your full protection under the emission 
warranty on your engine by federal law, and your right to participate in 
future recalls, we recommend you have your engine serviced as soon as 
possible. We may consider your not servicing it to be improper 
maintenance''.
    (b) We may require you to add information to your notice or to send 
more notices.
    (c) You may not in any communication with owners or dealers say or 
imply that your noncompliance does

[[Page 1098]]

not exist or that it will not degrade air quality.



Sec.  1068.525  What records must I send to EPA?

    (a) Send us a copy of all communications related to the remedial 
plan you sent to dealers and others doing the repairs. Mail or e-mail us 
the information at the same time you send it to others.
    (b) From the time you begin to notify owners, send us a report 
within 25 days of the end of each calendar quarter. Send reports for six 
consecutive quarters or until all the engines are inspected, whichever 
comes first. In these reports, identify the following:
    (1) The range of dates you needed to notify owners.
    (2) The total number of notices sent.
    (3) The number of engines you estimate fall under the remedial plan 
(explain how you determined this number).
    (4) The cumulative number of engines you inspected under the 
remedial plan.
    (5) The cumulative number of these engines you found needed the 
specified repair.
    (6) The cumulative number of these engines you have repaired.
    (7) The cumulative number of engines you determined to be 
unavailable due to exportation, theft, retirement, or other reasons 
(specify).
    (8) The cumulative number of engines you disqualified for not being 
properly maintained or used.
    (c) If your estimated number of engines falling under the remedial 
plan changes, change the estimate in your next report and add an 
explanation for the change.
    (d) We may ask for more information.
    (e) We may waive reporting requirements or adjust the reporting 
schedule.
    (f) If anyone asks to see the information in your reports, we will 
follow the provisions of Sec.  1068.10 for handling confidential 
information.



Sec.  1068.530  What records must I keep?

    We may review your records at any time, so it is important that you 
keep required information readily available. Keep records associated 
with your recall campaign for three years after you send the last report 
we require under Sec.  1068.525(b). Organize and maintain your records 
as described in this section.
    (a) Keep a paper copy of the written reports described in Sec.  
1068.525.
    (b) Keep a record of the names and addresses of owners you notified. 
For each engine, state whether you did any of the following:
    (1) Inspected the engine.
    (2) Disqualified the engine for not being properly maintained or 
used.
    (3) Completed the prescribed repairs.
    (c) You may keep the records in paragraph (b) of this section in any 
form we can inspect, including computer databases.

[69 FR 39273, June 29, 2004]



Sec.  1068.535  How can I do a voluntary recall for emission-related problems?

    If we have made a determination that a substantial number of 
properly maintained and used engines do not conform to the regulations 
of this chapter during their useful life, you may not use a voluntary 
recall or other alternate means to meet your obligation to remedy the 
noncompliance. Thus, this section only applies where you learn that your 
engine family does not meet the requirements of this chapter and we have 
not made such a determination.
    (a) To do a voluntary recall under this section, first send the 
Designated Officer a plan, following the guidelines in Sec.  1068.510. 
Within 15 days, we will send you our comments on your plan.
    (b) Once we approve your plan, start notifying owners and carrying 
out the specified repairs.
    (c) From the time you start the recall campaign, send us a report 
within 25 days of the end of each calendar quarter, following the 
guidelines in Sec.  1068.525(b). Send reports for six consecutive 
quarters or until all the engines are inspected, whichever comes first.
    (d) Keep your reports and the supporting information as described in 
Sec.  1068.530.

[[Page 1099]]



                           Subpart G_Hearings



Sec.  1068.601  What are the procedures for hearings?

    If we agree to hold a hearing related to our decision to order a 
recall under Sec.  1068.505, we will hold the hearing according to the 
provisions of 40 CFR 85.1807. For any other issues, you may request an 
informal hearing, as described in 40 CFR 86.1853-01.



        Sec. Appendix I to Part 1068--Emission-Related Components

    This appendix specifies emission-related components that we refer to 
for describing such things as emission-related warranty or requirements 
related to rebuilding engines.

I. Emission-related components include any engine parts related to the 
          following systems:
    1. Air-induction system.
    2. Fuel system.
    3. Ignition system.
    4. Exhaust gas recirculation systems.
II. The following parts are also considered emission-related components:
    1. Aftertreatment devices.
    2. Crankcase ventilation valves.
    3. Sensors.
    4. Electronic control units.
III. Emission-related components also include any other part whose only 
          purpose is to reduce emissions or whose failure will increase 
          emissions without significantly degrading engine performance.

[69 FR 39273, June 29, 2004]



     Sec. Appendix II to Part 1068--Emission-Related Parameters and 
                             Specifications

    This appendix specifies emission-related parameters and 
specifications that we refer to for describing such things as emission-
related defects or requirements related to rebuilding engines.

I. Basic Engine Parameters--Reciprocating Engines.
    1. Compression ratio.
    2. Type of air aspiration (natural, Roots-blown, supercharged, 
turbocharged).
    3. Valves (intake and exhaust).
    a. Head diameter dimension.
    b. Valve lifter or actuator type and valve lash dimension.
    4. Camshaft timing.
    a. Valve opening--intake exhaust (degrees from top-dead center or 
bottom-dead center).
    b. Valve closing--intake exhaust (degrees from top-dead center or 
bottom-dead center).
    c. Valve overlap (degrees).
    5. Ports--two stroke engines (intake and/or exhaust).
    a. Flow area.
    b. Opening timing (degrees from top-dead center or bottom-dead 
center).
    c. Closing timing (degrees from top-dead center or bottom-dead 
center).
II. Intake Air System.
    1. Roots blower/supercharger/turbocharger calibration.
    2. Charge air cooling.
    a. Type (air-to-air; air-to-liquid).
    b. Type of liquid cooling (engine coolant, dedicated cooling 
system).
    c. Performance.
    3. Temperature control system calibration.
    4. Maximum allowable inlet air restriction.
III. Fuel System.
    1. General.
    a. Engine idle speed.
    b. Engine idle mixture.
    2. Carburetion.
    a. Air-fuel flow calibration.
    b. Idle mixture.
    c. Transient enrichment system calibration.
    d. Starting enrichment system calibration.
    e. Altitude compensation system calibration.
    f. Hot idle compensation system calibration.
    3. Fuel injection for spark-ignition engines.
    a. Control parameters and calibrations.
    b. Idle mixture.
    c. Fuel shutoff system calibration.
    d. Starting enrichment system calibration.
    e. Transient enrichment system calibration.
    f. Air-fuel flow calibration.
    g. Altitude compensation system calibration.
    h. Operating pressure(s).
    i. Injector timing calibration.
    4. Fuel injection for compression-ignition engines.
    a. Control parameters and calibrations.
    b. Transient enrichment system calibration.
    c. Air-fuel flow calibration.
    d. Altitude compensation system calibration.
    e. Operating pressure(s).
    f. Injector timing calibration.
IV. Ignition System for Spark-ignition Engines.
    1. Control parameters and calibration.
    2. Initial timing setting.
    3. Dwell setting.
    4. Altitude compensation system calibration.
    5. Spark plug voltage.
V. Engine Cooling System--thermostat calibration.
VI. Exhaust System--maximum allowable back pressure.

[[Page 1100]]

VII. System for Controlling Exhaust Emissions.
    1. Air injection system.
    a. Control parameters and calibrations.
    b. Pump flow rate.
    2. EGR system.
    a. Control parameters and calibrations.
    b. EGR valve flow calibration.
    3. Catalytic converter system.
    a. Active surface area.
    b. Volume of catalyst.
    c. Conversion efficiency.
    4. Backpressure.
VIII. System for Controlling Crankcase Emissions.
    1. Control parameters and calibrations.
    2. Valve calibrations.
IX. Auxiliary Emission Control Devices (AECD).
    1. Control parameters and calibrations.
    2. Component calibration(s).
X. System for Controlling Evaporative Emissions.
    1. Control parameters and calibrations.
    2. Fuel tank.
    a. Volume.
    b. Pressure and vacuum relief settings.
XI. Warning Systems Related to Emission Controls.
    1. Control parameters and calibrations.
    2. Component calibrations.

[[Page 1101]]



  CHAPTER IV--ENVIRONMENTAL PROTECTION AGENCY AND DEPARTMENT OF JUSTICE




  --------------------------------------------------------------------

     SUBCHAPTER A--ACCIDENTAL RELEASE PREVENTION REQUIREMENTS; RISK 
     MANAGEMENT PROGRAMS UNDER THE CLEAN AIR ACT SECTION 112(R)(7); 
        DISTRIBUTION OF OFF-SITE CONSEQUENCE ANALYSIS INFORMATION
Part                                                                Page
1400            Distribution of off-site consequence 
                    analysis information....................        1103

[[Page 1103]]



SUBCHAPTER A_ACCIDENTAL RELEASE PREVENTION REQUIREMENTS; RISK MANAGEMENT 
PROGRAMS UNDER THE CLEAN AIR ACT SECTION 112(r)(7); DISTRIBUTION OF OFF-
                  SITE CONSEQUENCE ANALYSIS INFORMATION


PART 1400_DISTRIBUTION OF OFF-SITE CONSEQUENCE ANALYSIS INFORMATION--Table of Contents

                            Subpart A_General

Sec.
1400.1 Purpose.
1400.2 Definitions.

                         Subpart B_Public Access

1400.3 Public access to paper copies of off-site consequence analysis 
          information.
1400.4 Vulnerable zone indicator system.
1400.5 Internet access to certain off-site consequence analysis data 
          elements.
1400.6 Enhanced local access.

    Subpart C_Access to Off-Site Consequence Analysis Information by 
                          Government Officials

1400.7 In general.
1400.8 Access to off-site consequence analysis information by Federal 
          Government officials.
1400.9 Access to off-site consequence analysis information by State and 
          local government officials.

                       Subpart D_Other Provisions

1400.10 Limitation on public dissemination.
1400.11 Limitation on dissemination to State and local government 
          officials.
1400.12 Qualified researchers.
1400.13 Read-only database.

    Authority: 42 U.S.C. 7412(r)(7)(H)(ii).

    Source: 65 FR 48131, Aug. 4, 2000, unless otherwise noted.



                            Subpart A_General



Sec.  1400.1  Purpose.

    Stationary sources subject to the Chemical Accident Prevention 
Provisions of 40 CFR part 68 are required to analyze the potential harm 
to public health and welfare of hypothetical chemical accidents and 
submit the results of their analyses to the U.S. Environmental 
Protection Agency as part of risk management plans. This part governs 
access by the public and by government officials to the portions of risk 
management plans containing the results of those analyses and certain 
related materials. This part also restricts dissemination of that 
information by government officials.



Sec.  1400.2  Definitions.

    For the purposes of this part:
    (a) Accidental release means an unanticipated emission of a 
regulated substance or other extremely hazardous substance into the 
ambient air from a stationary source.
    (b) Administrator means the Administrator of the U.S. Environmental 
Protection Agency or his or her designated representative.
    (c) Attorney General means the Attorney General of the United States 
or his or her designated representative.
    (d) Federal government official means--
    (1) An officer or employee of the United States; and
    (2) An officer or employee of an agent or contractor of the Federal 
government.
    (e) State or local government official means--
    (1) An officer or employee of a State or local government;
    (2) An officer or employee of an agent or contractor of a State or 
local government;
    (3) An individual affiliated with an entity that has been given, by 
a state or local government, responsibility for preventing, planning 
for, or responding to accidental releases, such as a member of a Local 
Emergency Planning Committee (LEPC) or a State Emergency Response 
Commission (SERC), or a paid or volunteer member of a fire or police 
department; or
    (4) An officer or employee or an agent or contractor of an entity 
described in paragraph (e)(3) of this section.
    (f) LEPC means a Local Emergency Planning Committee created under 
the Emergency Planning and Community Right-to-Know Act, 42 U.S.C. 11001 
et seq.

[[Page 1104]]

    (g) Member of the public or person means an individual.
    (h) Official use means an action of a Federal, State, or local 
government agency or an entity described in paragraph (e)(3) of this 
section intended to carry out a function relevant to preventing, 
planning for, or responding to accidental releases.
    (i) Off-site consequence analysis (OCA) information means sections 2 
through 5 of a risk management plan (consisting of an evaluation of one 
or more worst-case release scenarios or alternative release scenarios) 
for an identified facility and any electronic database created by the 
Administrator from those sections.
    (j) Off-site consequence analysis (OCA) data elements means the 
results of the off-site consequence analysis conducted by a stationary 
source pursuant to 40 CFR part 68, subpart B, when presented in a format 
different than sections 2 through 5 of a risk management plan or any 
Administrator-created electronic database.
    (k) Off-site consequence analysis (OCA) rankings means any statewide 
or national rankings of identified stationary sources derived from OCA 
information.
    (l) Qualified researcher means a researcher who receives OCA 
information pursuant to 42 U.S.C. 7412(r)(7)(H)(vii).
    (m) Related local government agencies means local government 
agencies, such as police, fire, emergency management, and planning 
departments, that are involved in chemical emergency planning, 
prevention, or response.
    (n) Related state government agencies means State government 
agencies, such as emergency management, environmental protection, 
health, and natural resources departments, that are involved in chemical 
emergency planning, prevention, or response.
    (o) Risk management plan (RMP) means a risk management plan 
submitted to the Administrator by an owner or operator of a stationary 
source pursuant to 40 CFR part 68, subpart G.
    (p) SERC means a State Emergency Response Commission created under 
the Emergency Planning and Community Right-to-Know Act, 42 U.S.C. 11001 
et seq.
    (q) State has the same meaning as provided in 42 U.S.C. 7602(d) (a 
state, the District of Columbia, the Commonwealth of Puerto Rico, the 
Virgin Islands, Guam, American Samoa, and the Commonwealth of the 
Northern Mariana Islands).
    (r) Stationary source has the same meaning as provided in 40 CFR 
part 68 subpart A, Sec.  68.3.
    (s) Vulnerable zone means the geographical area that could be 
affected by a worst-case or alternative scenario release from a 
stationary source, as indicated by the off-site consequence analysis 
reported by the stationary source in its risk management plan pursuant 
to the applicable requirements of 40 CFR Part 68. It is defined as a 
circle, the center of which is the stationary source and the radius of 
which is the ``distance-to-endpoint,'' or the distance a toxic or 
flammable cloud, overpressure, or radiant heat would travel after being 
released and before dissipating to the point that it no longer threatens 
serious short-term harm to people or the environment.



                         Subpart B_Public Access



Sec.  1400.3  Public access to paper copies of off-site consequence analysis information.

    (a) General. The Administrator and the Attorney General shall ensure 
that any member of the public has access to a paper copy of OCA 
information in the manner prescribed by this section.
    (b) Reading-room access. Paper copies of OCA information shall be 
available in at least 50 reading rooms geographically distributed across 
the United States and its territories. The reading rooms shall allow any 
person to read, but not remove or mechanically reproduce, a paper copy 
of OCA information, in accordance with paragraphs (c) through (g) of 
this section and procedures established by the Administrator and 
Attorney General.
    (c) Limited number. Any person shall be provided with access to a 
paper copy of the OCA information for up to 10 stationary sources 
located anywhere in the country, without geographical restriction, in a 
calendar month.
    (d) Additional access. Any person also shall be provided with access 
to a paper

[[Page 1105]]

copy of the OCA information for stationary sources located in the 
jurisdiction of the LEPC where the person lives or works and for any 
other stationary source that has a vulnerable zone that extends into 
that LEPC's jurisdiction.
    (e) Personal identification for access to OCA information without 
geographical restriction. Reading rooms established under this section 
shall provide a person with access to a paper copy of OCA information 
under paragraph (c) of this section only after a reading room 
representative has
    (1) Ascertained the person's identity by viewing photo 
identification issued by a Federal, State, or local government agency to 
the person; and
    (2) Obtained the person's signature on a sign-in sheet and a 
certification that the person has not received access to OCA information 
for more than 10 stationary sources for that calendar month.
    (f) Personal identification for access to local OCA information. 
Reading rooms established under this section shall provide a person with 
access to a paper copy of OCA information under paragraph (d) of this 
section only after a reading room representative has
    (1) Ascertained where the person lives or works by viewing 
appropriate documentation; and
    (2) Obtained the person's signature on a sign-in sheet.
    (g) Record keeping. Reading room personnel shall keep records of 
reading room use and certifications in accordance with procedures 
established by the Administrator and the Attorney General. These records 
shall be retained for no more than three years. Federal reading rooms 
will not index or otherwise manipulate the sign-in sheets according to 
individuals' names, except in accordance with the Privacy Act.



Sec.  1400.4  Vulnerable zone indicator system.

    (a) In general. The Administrator shall provide access to a 
computer-based indicator that shall inform any person located in any 
state whether an address specified by that person might be within the 
vulnerable zone of one or more stationary sources, according to the data 
reported in RMPs. The indicator also shall provide information about how 
to obtain further information.
    (b) Methods of access. The indicator shall be available on the 
Internet or by request made by telephone or by mail to the Administrator 
to operate the indicator for an address specified by the requestor. 
SERCs, LEPCs, and other related state or local government agencies are 
authorized and encouraged to operate the indicator as well.



Sec.  1400.5  Internet access to certain off-site consequence analysis data elements.

    The Administrator shall include only the following OCA data elements 
in the risk management plan database available on the Internet:
    (a) The concentration of the chemical (RMP Sections 2.1.b; 3.1.b);
    (b) The physical state of the chemical (RMP Sections 2.2; 3.2);
    (c) The statistical model used (RMP Sections 2.3; 3.3; 4.2; 5.2);
    (d) The endpoint used for flammables in the worst-case scenario (RMP 
Section 4.5);
    (e) The duration of the chemical release for the worst-case scenario 
(RMP Section 2.7);
    (f) The wind speed during the chemical release (RMP Sections 2.8; 
3.8);
    (g) The atmospheric stability (RMP Sections 2.9; 3.9);
    (h) The topography of the surrounding area (RMP Sections 2.10; 
3.10);
    (i) The passive mitigation systems considered (RMP Sections 2.15; 
3.15; 4.10; 5.10); and
    (j) The active mitigation systems considered (RMP Sections 3.16; 
5.11).



Sec.  1400.6  Enhanced local access.

    (a) OCA data elements. Consistent with 42 U.S.C. 
7412(r)(7)(H)(xii)(II), members of LEPCs and SERCs, and any other State 
or local government official, may convey to the public OCA data elements 
orally or in writing, as long as the data elements are not conveyed in 
the format of sections 2 through 5 of an RMP or any electronic database 
developed by the Administrator from those sections. Disseminating OCA 
data elements to the public

[[Page 1106]]

in a manner consistent with this provision does not violate 42 U.S.C. 
7412(r)(7)(H)(v) and is not punishable under federal law.
    (b) OCA information. (1) LEPCs and related local government agencies 
are authorized and encouraged to allow any member of the public to read, 
but not remove or mechanically copy, a paper copy of the OCA sections of 
RMPs (i.e., sections 2 through 5) for stationary sources located within 
the jurisdiction of the LEPC and for any other stationary source that 
has a vulnerable zone that extends into that jurisdiction.
    (2) LEPCs and related local government agencies that provide read-
only access to the OCA sections of RMPs under this paragraph (b) are not 
required to limit the number of stationary sources for which a person 
can gain access, ascertain a person's identity or place of residence or 
work, or keep records of public access provided.
    (3) SERCs and related state government agencies are authorized and 
encouraged to allow any person to read, but not remove or mechanically 
copy, a paper copy of the OCA sections of RMPs for the same stationary 
sources that the LEPC in whose jurisdiction the person lives or works 
would be authorized to make available to that person under paragraph 
(b)(1) of this section.
    (4) Any LEPC, SERC, or related local or State government agency that 
allows a person to read the OCA sections of RMPs in a manner consistent 
with this paragraph (b) shall not be in violation of 42 U.S.C. 
7412(r)(7)(H)(v) or any other provision of federal law.



    Subpart C_Access to Off-Site Consequence Analysis Information by 
                          Government Officials.



Sec.  1400.7  In general.

    The Administrator shall provide OCA information to government 
officials as provided in this subpart. Any OCA information provided to 
government officials shall be accompanied by a copy of the notice 
prescribed by 42 U.S.C. 7412(r)(7)(H)(vi).



Sec.  1400.8  Access to off-site consequence analysis information by Federal government officials.

    The Administrator shall provide any Federal government official with 
the OCA information requested by the official for official use. The 
Administrator shall provide the OCA information to the official in 
electronic form, unless the official specifically requests the 
information in paper form. The Administrator may charge a fee to cover 
the cost of copying OCA information in paper form.



Sec.  1400.9  Access to off-site consequence analysis information by State and local government officials.

    (a) The Administrator shall make available to any State or local 
government official for official use the OCA information for stationary 
sources located in the official's state.
    (b) The Administrator also shall make available to any State or 
local government official for official use the OCA information for 
stationary sources not located in the official's state, at the request 
of the official.
    (c) The Administrator shall provide OCA information to a State or 
local government official in electronic form, unless the official 
specifically requests the information in paper form. The Administrator 
may charge a fee to cover the cost of copying OCA information in paper 
form.
    (d) Any State or local government official is authorized to provide, 
for official use, OCA information relating to stationary sources located 
in the official's state to other State or local government officials in 
that state and to State or local government officials in a contiguous 
state.



                       Subpart D_Other Provisions



Sec.  1400.10  Limitation on public dissemination.

    Except as authorized by this part and by 42 U.S.C. 
7412(r)(7)(H)(v)(III), Federal, State, and local government officials, 
and qualified researchers are prohibited from disseminating OCA 
information and OCA rankings to the public. Violation of this provision 
subjects the violator to criminal liability as provided in 42 U.S.C. 
7412(r)(7)(H)(v)

[[Page 1107]]

and civil liability as provided in 42 U.S.C. 7413.



Sec.  1400.11  Limitation on dissemination to State and local government officials.

    Except as authorized by this part and by 42 U.S.C. 
7412(r)(7)(H)(v)(III), Federal, State, and local government officials, 
and qualified researchers are prohibited from disseminating OCA 
information to State and local government officials. Violation of this 
provision subjects the violator to civil liability as provided in 42 
U.S.C. 7413.



Sec.  1400.12  Qualified researchers.

    The Administrator is authorized to provide OCA information, 
including facility identification, to qualified researchers pursuant to 
a system developed and implemented under 42 U.S.C. 7412(r)(7)(H)(vii), 
in consultation with the Attorney General.



Sec.  1400.13  Read-only database.

    The Administrator is authorized to establish, pursuant to 42 U.S.C. 
7412(r)(7)(H)(viii), an information technology system that makes 
available to the public off-site consequence analysis information by 
means of a central database under the control of the Federal government 
that contains information that users may read, but that provides no 
means by which an electronic or mechanical copy of the information may 
be made.

[[Page 1109]]



               CHAPTER V--COUNCIL ON ENVIRONMENTAL QUALITY




  --------------------------------------------------------------------
Part                                                                Page
1500            Purpose, policy, and mandate................        1111
1501            NEPA and agency planning....................        1113
1502            Environmental impact statement..............        1117
1503            Commenting..................................        1124
1504            Predecision referrals to the Council of 
                    proposed Federal actions determined to 
                    be environmentally unsatisfactory.......        1125
1505            NEPA and agency decisionmaking..............        1127
1506            Other requirements of NEPA..................        1128
1507            Agency compliance...........................        1133
1508            Terminology and index.......................        1135
                Index to Parts 1500 Through 1508............        1140
1515            Freedom of Information Act procedures.......        1141
1516            Privacy Act implementation..................        1145
1517            Public meeting procedures of the Council on 
                    Environmental Quality...................        1147
1518            Office of Environmental Quality Management 
                    Fund....................................        1151

[[Page 1111]]



PART 1500_PURPOSE, POLICY, AND MANDATE--Table of Contents

Sec.
1500.1 Purpose.
1500.2 Policy.
1500.3 Mandate.
1500.4 Reducing paperwork.
1500.5 Reducing delay.
1500.6 Agency authority.

    Authority: NEPA, the Environmental Quality Improvement Act of 1970, 
as amended (42 U.S.C. 4371 et seq.), sec. 309 of the Clean Air Act, as 
amended (42 U.S.C. 7609) and E.O. 11514, Mar. 5, 1970, as amended by 
E.O. 11991, May 24, 1977).

    Source: 43 FR 55990, Nov. 28, 1978, unless otherwise noted.



Sec.  1500.1  Purpose.

    (a) The National Environmental Policy Act (NEPA) is our basic 
national charter for protection of the environment. It establishes 
policy, sets goals (section 101), and provides means (section 102) for 
carrying out the policy. Section 102(2) contains ``action-forcing'' 
provisions to make sure that federal agencies act according to the 
letter and spirit of the Act. The regulations that follow implement 
section 102(2). Their purpose is to tell federal agencies what they must 
do to comply with the procedures and achieve the goals of the Act. The 
President, the federal agencies, and the courts share responsibility for 
enforcing the Act so as to achieve the substantive requirements of 
section 101.
    (b) NEPA procedures must insure that environmental information is 
available to public officials and citizens before decisions are made and 
before actions are taken. The information must be of high quality. 
Accurate scientific analysis, expert agency comments, and public 
scrutiny are essential to implementing NEPA. Most important, NEPA 
documents must concentrate on the issues that are truly significant to 
the action in question, rather than amassing needless detail.
    (c) Ultimately, of course, it is not better documents but better 
decisions that count. NEPA's purpose is not to generate paperwork--even 
excellent paperwork--but to foster excellent action. The NEPA process is 
intended to help public officials make decisions that are based on 
understanding of environmental consequences, and take actions that 
protect, restore, and enhance the environment. These regulations provide 
the direction to achieve this purpose.



Sec.  1500.2  Policy.

    Federal agencies shall to the fullest extent possible:
    (a) Interpret and administer the policies, regulations, and public 
laws of the United States in accordance with the policies set forth in 
the Act and in these regulations.
    (b) Implement procedures to make the NEPA process more useful to 
decisionmakers and the public; to reduce paperwork and the accumulation 
of extraneous background data; and to emphasize real environmental 
issues and alternatives. Environmental impact statements shall be 
concise, clear, and to the point, and shall be supported by evidence 
that agencies have made the necessary environmental analyses.
    (c) Integrate the requirements of NEPA with other planning and 
environmental review procedures required by law or by agency practice so 
that all such procedures run concurrently rather than consecutively.
    (d) Encourage and facilitate public involvement in decisions which 
affect the quality of the human environment.
    (e) Use the NEPA process to identify and assess the reasonable 
alternatives to proposed actions that will avoid or minimize adverse 
effects of these actions upon the quality of the human environment.
    (f) Use all practicable means, consistent with the requirements of 
the Act and other essential considerations of national policy, to 
restore and enhance the quality of the human environment and avoid or 
minimize any possible adverse effects of their actions upon the quality 
of the human environment.



Sec.  1500.3  Mandate.

    Parts 1500 through 1508 of this title provide regulations applicable 
to and binding on all Federal agencies for implementing the procedural 
provisions of the National Environmental Policy Act of 1969, as amended 
(Pub. L. 91-190, 42 U.S.C. 4321 et seq.) (NEPA or the Act)

[[Page 1112]]

except where compliance would be inconsistent with other statutory 
requirements. These regulations are issued pursuant to NEPA, the 
Environmental Quality Improvement Act of 1970, as amended (42 U.S.C. 
4371 et seq.) section 309 of the Clean Air Act, as amended (42 U.S.C. 
7609) and Executive Order 11514, Protection and Enhancement of 
Environmental Quality (March 5, 1970, as amended by Executive Order 
11991, May 24, 1977). These regulations, unlike the predecessor 
guidelines, are not confined to sec. 102(2)(C) (environmental impact 
statements). The regulations apply to the whole of section 102(2). The 
provisions of the Act and of these regulations must be read together as 
a whole in order to comply with the spirit and letter of the law. It is 
the Council's intention that judicial review of agency compliance with 
these regulations not occur before an agency has filed the final 
environmental impact statement, or has made a final finding of no 
significant impact (when such a finding will result in action affecting 
the environment), or takes action that will result in irreparable 
injury. Furthermore, it is the Council's intention that any trivial 
violation of these regulations not give rise to any independent cause of 
action.



Sec.  1500.4  Reducing paperwork.

    Agencies shall reduce excessive paperwork by:
    (a) Reducing the length of environmental impact statements (Sec.  
1502.2(c)), by means such as setting appropriate page limits (Sec. Sec.  
1501.7(b)(1) and 1502.7).
    (b) Preparing analytic rather than encyclopedic environmental impact 
statements (Sec.  1502.2(a)).
    (c) Discussing only briefly issues other than significant ones 
(Sec.  1502.2(b)).
    (d) Writing environmental impact statements in plain language (Sec.  
1502.8).
    (e) Following a clear format for environmental impact statements 
(Sec.  1502.10).
    (f) Emphasizing the portions of the environmental impact statement 
that are useful to decisionmakers and the public (Sec. Sec.  1502.14 and 
1502.15) and reducing emphasis on background material (Sec.  1502.16).
    (g) Using the scoping process, not only to identify significant 
environmental issues deserving of study, but also to deemphasize 
insignificant issues, narrowing the scope of the environmental impact 
statement process accordingly (Sec.  1501.7).
    (h) Summarizing the environmental impact statement (Sec.  1502.12) 
and circulating the summary instead of the entire environmental impact 
statement if the latter is unusually long (Sec.  1502.19).
    (i) Using program, policy, or plan environmental impact statements 
and tiering from statements of broad scope to those of narrower scope, 
to eliminate repetitive discussions of the same issues (Sec. Sec.  
1502.4 and 1502.20).
    (j) Incorporating by reference (Sec.  1502.21).
    (k) Integrating NEPA requirements with other environmental review 
and consultation requirements (Sec.  1502.25).
    (l) Requiring comments to be as specific as possible (Sec.  1503.3).
    (m) Attaching and circulating only changes to the draft 
environmental impact statement, rather than rewriting and circulating 
the entire statement when changes are minor (Sec.  1503.4(c)).
    (n) Eliminating duplication with State and local procedures, by 
providing for joint preparation (Sec.  1506.2), and with other Federal 
procedures, by providing that an agency may adopt appropriate 
environmental documents prepared by another agency (Sec.  1506.3).
    (o) Combining environmental documents with other documents (Sec.  
1506.4).
    (p) Using categorical exclusions to define categories of actions 
which do not individually or cumulatively have a significant effect on 
the human environment and which are therefore exempt from requirements 
to prepare an environmental impact statement (Sec.  1508.4).
    (q) Using a finding of no significant impact when an action not 
otherwise excluded will not have a significant effect on the human 
environment and is therefore exempt from requirements to prepare an 
environmental impact statement (Sec.  1508.13).

[43 FR 55990, Nov. 29, 1978; 44 FR 873, Jan. 3, 1979]



Sec.  1500.5  Reducing delay.

    Agencies shall reduce delay by:

[[Page 1113]]

    (a) Integrating the NEPA process into early planning (Sec.  1501.2).
    (b) Emphasizing interagency cooperation before the environmental 
impact statement is prepared, rather than submission of adversary 
comments on a completed document (Sec.  1501.6).
    (c) Insuring the swift and fair resolution of lead agency disputes 
(Sec.  1501.5).
    (d) Using the scoping process for an early identification of what 
are and what are not the real issues (Sec.  1501.7).
    (e) Establishing appropriate time limits for the environmental 
impact statement process (Sec. Sec.  1501.7(b)(2) and 1501.8).
    (f) Preparing environmental impact statements early in the process 
(Sec.  1502.5).
    (g) Integrating NEPA requirements with other environmental review 
and consultation requirements (Sec.  1502.25).
    (h) Eliminating duplication with State and local procedures by 
providing for joint preparation (Sec.  1506.2) and with other Federal 
procedures by providing that an agency may adopt appropriate 
environmental documents prepared by another agency (Sec.  1506.3).
    (i) Combining environmental documents with other documents (Sec.  
1506.4).
    (j) Using accelerated procedures for proposals for legislation 
(Sec.  1506.8).
    (k) Using categorical exclusions to define categories of actions 
which do not individually or cumulatively have a significant effect on 
the human environment (Sec.  1508.4) and which are therefore exempt from 
requirements to prepare an environmental impact statement.
    (l) Using a finding of no significant impact when an action not 
otherwise excluded will not have a significant effect on the human 
environment (Sec.  1508.13) and is therefore exempt from requirements to 
prepare an environmental impact statement.



Sec.  1500.6  Agency authority.

    Each agency shall interpret the provisions of the Act as a 
supplement to its existing authority and as a mandate to view 
traditional policies and missions in the light of the Act's national 
environmental objectives. Agencies shall review their policies, 
procedures, and regulations accordingly and revise them as necessary to 
insure full compliance with the purposes and provisions of the Act. The 
phrase ``to the fullest extent possible'' in section 102 means that each 
agency of the Federal Government shall comply with that section unless 
existing law applicable to the agency's operations expressly prohibits 
or makes compliance impossible.



PART 1501_NEPA AND AGENCY PLANNING--Table of Contents

Sec.
1501.1 Purpose.
1501.2 Apply NEPA early in the process.
1501.3 When to prepare an environmental assessment.
1501.4 Whether to prepare an environmental impact statement.
1501.5 Lead agencies.
1501.6 Cooperating agencies.
1501.7 Scoping.
1501.8 Time limits.

    Authority: NEPA, the Environmental Quality Improvement Act of 1970, 
as amended (42 U.S.C. 4371 et seq.), sec. 309 of the Clean Air Act, as 
amended (42 U.S.C. 7609, and E.O. 11514 (Mar. 5, 1970, as amended by 
E.O. 11991, May 24, 1977).

    Source: 43 FR 55992, Nov. 29, 1978, unless otherwise noted.



Sec.  1501.1  Purpose.

    The purposes of this part include:
    (a) Integrating the NEPA process into early planning to insure 
appropriate consideration of NEPA's policies and to eliminate delay.
    (b) Emphasizing cooperative consultation among agencies before the 
environmental impact statement is prepared rather than submission of 
adversary comments on a completed document.
    (c) Providing for the swift and fair resolution of lead agency 
disputes.
    (d) Identifying at an early stage the significant environmental 
issues deserving of study and deemphasizing insignificant issues, 
narrowing the scope of the environmental impact statement accordingly.
    (e) Providing a mechanism for putting appropriate time limits on the 
environmental impact statement process.

[[Page 1114]]



Sec.  1501.2  Apply NEPA early in the process.

    Agencies shall integrate the NEPA process with other planning at the 
earliest possible time to insure that planning and decisions reflect 
environmental values, to avoid delays later in the process, and to head 
off potential conflicts. Each agency shall:
    (a) Comply with the mandate of section 102(2)(A) to ``utilize a 
systematic, interdisciplinary approach which will insure the integrated 
use of the natural and social sciences and the environmental design arts 
in planning and in decisionmaking which may have an impact on man's 
environment,'' as specified by Sec.  1507.2.
    (b) Identify environmental effects and values in adequate detail so 
they can be compared to economic and technical analyses. Environmental 
documents and appropriate analyses shall be circulated and reviewed at 
the same time as other planning documents.
    (c) Study, develop, and describe appropriate alternatives to 
recommended courses of action in any proposal which involves unresolved 
conflicts concerning alternative uses of available resources as provided 
by section 102(2)(E) of the Act.
    (d) Provide for cases where actions are planned by private 
applicants or other non-Federal entities before Federal involvement so 
that:
    (1) Policies or designated staff are available to advise potential 
applicants of studies or other information foreseeably required for 
later Federal action.
    (2) The Federal agency consults early with appropriate State and 
local agencies and Indian tribes and with interested private persons and 
organizations when its own involvement is reasonably foreseeable.
    (3) The Federal agency commences its NEPA process at the earliest 
possible time.



Sec.  1501.3  When to prepare an environmental assessment.

    (a) Agencies shall prepare an environmental assessment (Sec.  
1508.9) when necessary under the procedures adopted by individual 
agencies to supplement these regulations as described in Sec.  1507.3. 
An assessment is not necessary if the agency has decided to prepare an 
environmental impact statement.
    (b) Agencies may prepare an environmental assessment on any action 
at any time in order to assist agency planning and decisionmaking.



Sec.  1501.4  Whether to prepare an environmental impact statement.

    In determining whether to prepare an environmental impact statement 
the Federal agency shall:
    (a) Determine under its procedures supplementing these regulations 
(described in Sec.  1507.3) whether the proposal is one which:
    (1) Normally requires an environmental impact statement, or
    (2) Normally does not require either an environmental impact 
statement or an environmental assessment (categorical exclusion).
    (b) If the proposed action is not covered by paragraph (a) of this 
section, prepare an environmental assessment (Sec.  1508.9). The agency 
shall involve environmental agencies, applicants, and the public, to the 
extent practicable, in preparing assessments required by Sec.  
1508.9(a)(1).
    (c) Based on the environmental assessment make its determination 
whether to prepare an environmental impact statement.
    (d) Commence the scoping process (Sec.  1501.7), if the agency will 
prepare an environmental impact statement.
    (e) Prepare a finding of no significant impact (Sec.  1508.13), if 
the agency determines on the basis of the environmental assessment not 
to prepare a statement.
    (1) The agency shall make the finding of no significant impact 
available to the affected public as specified in Sec.  1506.6.
    (2) In certain limited circumstances, which the agency may cover in 
its procedures under Sec.  1507.3, the agency shall make the finding of 
no significant impact available for public review (including State and 
areawide clearinghouses) for 30 days before the agency makes its final 
determination whether to prepare an environmental impact statement and 
before the action may begin. The circumstances are:

[[Page 1115]]

    (i) The proposed action is, or is closely similar to, one which 
normally requires the preparation of an environmental impact statement 
under the procedures adopted by the agency pursuant to Sec.  1507.3, or
    (ii) The nature of the proposed action is one without precedent.



Sec.  1501.5  Lead agencies.

    (a) A lead agency shall supervise the preparation of an 
environmental impact statement if more than one Federal agency either:
    (1) Proposes or is involved in the same action; or
    (2) Is involved in a group of actions directly related to each other 
because of their functional interdependence or geographical proximity.
    (b) Federal, State, or local agencies, including at least one 
Federal agency, may act as joint lead agencies to prepare an 
environmental impact statement (Sec.  1506.2).
    (c) If an action falls within the provisions of paragraph (a) of 
this section the potential lead agencies shall determine by letter or 
memorandum which agency shall be the lead agency and which shall be 
cooperating agencies. The agencies shall resolve the lead agency 
question so as not to cause delay. If there is disagreement among the 
agencies, the following factors (which are listed in order of descending 
importance) shall determine lead agency designation:
    (1) Magnitude of agency's involvement.
    (2) Project approval/disapproval authority.
    (3) Expertise concerning the action's environmental effects.
    (4) Duration of agency's involvement.
    (5) Sequence of agency's involvement.
    (d) Any Federal agency, or any State or local agency or private 
person substantially affected by the absence of lead agency designation, 
may make a written request to the potential lead agencies that a lead 
agency be designated.
    (e) If Federal agencies are unable to agree on which agency will be 
the lead agency or if the procedure described in paragraph (c) of this 
section has not resulted within 45 days in a lead agency designation, 
any of the agencies or persons concerned may file a request with the 
Council asking it to determine which Federal agency shall be the lead 
agency.

A copy of the request shall be transmitted to each potential lead 
agency. The request shall consist of:
    (1) A precise description of the nature and extent of the proposed 
action.
    (2) A detailed statement of why each potential lead agency should or 
should not be the lead agency under the criteria specified in paragraph 
(c) of this section.
    (f) A response may be filed by any potential lead agency concerned 
within 20 days after a request is filed with the Council. The Council 
shall determine as soon as possible but not later than 20 days after 
receiving the request and all responses to it which Federal agency shall 
be the lead agency and which other Federal agencies shall be cooperating 
agencies.

[43 FR 55992, Nov. 29, 1978; 44 FR 873, Jan. 3, 1979]



Sec.  1501.6  Cooperating agencies.

    The purpose of this section is to emphasize agency cooperation early 
in the NEPA process. Upon request of the lead agency, any other Federal 
agency which has jurisdiction by law shall be a cooperating agency. In 
addition any other Federal agency which has special expertise with 
respect to any environmental issue, which should be addressed in the 
statement may be a cooperating agency upon request of the lead agency. 
An agency may request the lead agency to designate it a cooperating 
agency.
    (a) The lead agency shall:
    (1) Request the participation of each cooperating agency in the NEPA 
process at the earliest possible time.
    (2) Use the environmental analysis and proposals of cooperating 
agencies with jurisdiction by law or special expertise, to the maximum 
extent possible consistent with its responsibility as lead agency.
    (3) Meet with a cooperating agency at the latter's request.
    (b) Each cooperating agency shall:
    (1) Participate in the NEPA process at the earliest possible time.

[[Page 1116]]

    (2) Participate in the scoping process (described below in Sec.  
1501.7).
    (3) Assume on request of the lead agency responsibility for 
developing information and preparing environmental analyses including 
portions of the environmental impact statement concerning which the 
cooperating agency has special expertise.
    (4) Make available staff support at the lead agency's request to 
enhance the latter's interdisciplinary capability.
    (5) Normally use its own funds. The lead agency shall, to the extent 
available funds permit, fund those major activities or analyses it 
requests from cooperating agencies. Potential lead agencies shall 
include such funding requirements in their budget requests.
    (c) A cooperating agency may in response to a lead agency's request 
for assistance in preparing the environmental impact statement 
(described in paragraph (b)(3), (4), or (5) of this section) reply that 
other program commitments preclude any involvement or the degree of 
involvement requested in the action that is the subject of the 
environmental impact statement. A copy of this reply shall be submitted 
to the Council.



Sec.  1501.7  Scoping.

    There shall be an early and open process for determining the scope 
of issues to be addressed and for identifying the significant issues 
related to a proposed action. This process shall be termed scoping. As 
soon as practicable after its decision to prepare an environmental 
impact statement and before the scoping process the lead agency shall 
publish a notice of intent (Sec.  1508.22) in the Federal Register 
except as provided in Sec.  1507.3(e).
    (a) As part of the scoping process the lead agency shall:
    (1) Invite the participation of affected Federal, State, and local 
agencies, any affected Indian tribe, the proponent of the action, and 
other interested persons (including those who might not be in accord 
with the action on environmental grounds), unless there is a limited 
exception under Sec.  1507.3(c). An agency may give notice in accordance 
with Sec.  1506.6.
    (2) Determine the scope (Sec.  1508.25) and the significant issues 
to be analyzed in depth in the environmental impact statement.
    (3) Identify and eliminate from detailed study the issues which are 
not significant or which have been covered by prior environmental review 
(Sec.  1506.3), narrowing the discussion of these issues in the 
statement to a brief presentation of why they will not have a 
significant effect on the human environment or providing a reference to 
their coverage elsewhere.
    (4) Allocate assignments for preparation of the environmental impact 
statement among the lead and cooperating agencies, with the lead agency 
retaining responsibility for the statement.
    (5) Indicate any public environmental assessments and other 
environmental impact statements which are being or will be prepared that 
are related to but are not part of the scope of the impact statement 
under consideration.
    (6) Identify other environmental review and consultation 
requirements so the lead and cooperating agencies may prepare other 
required analyses and studies concurrently with, and integrated with, 
the environmental impact statement as provided in Sec.  1502.25.
    (7) Indicate the relationship between the timing of the preparation 
of environmental analyses and the agency's tentative planning and 
decisionmaking schedule.
    (b) As part of the scoping process the lead agency may:
    (1) Set page limits on environmental documents (Sec.  1502.7).
    (2) Set time limits (Sec.  1501.8).
    (3) Adopt procedures under Sec.  1507.3 to combine its environmental 
assessment process with its scoping process.
    (4) Hold an early scoping meeting or meetings which may be 
integrated with any other early planning meeting the agency has. Such a 
scoping meeting will often be appropriate when the impacts of a 
particular action are confined to specific sites.
    (c) An agency shall revise the determinations made under paragraphs 
(a) and (b) of this section if substantial changes are made later in the 
proposed

[[Page 1117]]

action, or if significant new circumstances or information arise which 
bear on the proposal or its impacts.



Sec.  1501.8  Time limits.

    Although the Council has decided that prescribed universal time 
limits for the entire NEPA process are too inflexible, Federal agencies 
are encouraged to set time limits appropriate to individual actions 
(consistent with the time intervals required by Sec.  1506.10). When 
multiple agencies are involved the reference to agency below means lead 
agency.
    (a) The agency shall set time limits if an applicant for the 
proposed action requests them: Provided, That the limits are consistent 
with the purposes of NEPA and other essential considerations of national 
policy.
    (b) The agency may:
    (1) Consider the following factors in determining time limits:
    (i) Potential for environmental harm.
    (ii) Size of the proposed action.
    (iii) State of the art of analytic techniques.
    (iv) Degree of public need for the proposed action, including the 
consequences of delay.
    (v) Number of persons and agencies affected.
    (vi) Degree to which relevant information is known and if not known 
the time required for obtaining it.
    (vii) Degree to which the action is controversial.
    (viii) Other time limits imposed on the agency by law, regulations, 
or executive order.
    (2) Set overall time limits or limits for each constituent part of 
the NEPA process, which may include:
    (i) Decision on whether to prepare an environmental impact statement 
(if not already decided).
    (ii) Determination of the scope of the environmental impact 
statement.
    (iii) Preparation of the draft environmental impact statement.
    (iv) Review of any comments on the draft environmental impact 
statement from the public and agencies.
    (v) Preparation of the final environmental impact statement.
    (vi) Review of any comments on the final environmental impact 
statement.
    (vii) Decision on the action based in part on the environmental 
impact statement.
    (3) Designate a person (such as the project manager or a person in 
the agency's office with NEPA responsibilities) to expedite the NEPA 
process.
    (c) State or local agencies or members of the public may request a 
Federal Agency to set time limits.



PART 1502_ENVIRONMENTAL IMPACT STATEMENT--Table of Contents

Sec.
1502.1 Purpose.
1502.2 Implementation.
1502.3 Statutory requirements for statements.
1502.4 Major Federal actions requiring the preparation of environmental 
          impact statements.
1502.5 Timing.
1502.6 Interdisciplinary preparation.
1502.7 Page limits.
1502.8 Writing.
1502.9 Draft, final, and supplemental statements.
1502.10 Recommended format.
1502.11 Cover sheet.
1502.12 Summary.
1502.13 Purpose and need.
1502.14 Alternatives including the proposed action.
1502.15 Affected environment.
1502.16 Environmental consequences.
1502.17 List of preparers.
1502.18 Appendix.
1502.19 Circulation of the environmental impact statement.
1502.20 Tiering.
1502.21 Incorporation by reference.
1502.22 Incomplete or unavailable information.
1502.23 Cost-benefit analysis.
1502.24 Methodology and scientific accuracy.
1502.25 Environmental review and consultation requirements.

    Authority: NEPA, the Environmental Quality Improvement Act of 1970, 
as amended (42 U.S.C. 4371 et seq.), sec. 309 of the Clean Air Act, as 
amended (42 U.S.C. 7609), and E.O. 11514 (Mar. 5, 1970, as amended by 
E.O. 11991, May 24, 1977).

    Source: 43 FR 55994, Nov. 29, 1978, unless otherwise noted.



Sec.  1502.1  Purpose.

    The primary purpose of an environmental impact statement is to serve 
as an action-forcing device to insure that the policies and goals 
defined in the

[[Page 1118]]

Act are infused into the ongoing programs and actions of the Federal 
Government. It shall provide full and fair discussion of significant 
environmental impacts and shall inform decisionmakers and the public of 
the reasonable alternatives which would avoid or minimize adverse 
impacts or enhance the quality of the human environment. Agencies shall 
focus on significant environmental issues and alternatives and shall 
reduce paperwork and the accumulation of extraneous background data. 
Statements shall be concise, clear, and to the point, and shall be 
supported by evidence that the agency has made the necessary 
environmental analyses. An environmental impact statement is more than a 
disclosure document. It shall be used by Federal officials in 
conjunction with other relevant material to plan actions and make 
decisions.



Sec.  1502.2  Implementation.

    To achieve the purposes set forth in Sec.  1502.1 agencies shall 
prepare environmental impact statements in the following manner:
    (a) Environmental impact statements shall be analytic rather than 
encyclopedic.
    (b) Impacts shall be discussed in proportion to their significance. 
There shall be only brief discussion of other than significant issues. 
As in a finding of no significant impact, there should be only enough 
discussion to show why more study is not warranted.
    (c) Environmental impact statements shall be kept concise and shall 
be no longer than absolutely necessary to comply with NEPA and with 
these regulations. Length should vary first with potential environmental 
problems and then with project size.
    (d) Environmental impact statements shall state how alternatives 
considered in it and decisions based on it will or will not achieve the 
requirements of sections 101 and 102(1) of the Act and other 
environmental laws and policies.
    (e) The range of alternatives discussed in environmental impact 
statements shall encompass those to be considered by the ultimate agency 
decisionmaker.
    (f) Agencies shall not commit resources prejudicing selection of 
alternatives before making a final decision (Sec.  1506.1).
    (g) Environmental impact statements shall serve as the means of 
assessing the environmental impact of proposed agency actions, rather 
than justifying decisions already made.



Sec.  1502.3  Statutory requirements for statements.

    As required by sec. 102(2)(C) of NEPA environmental impact 
statements (Sec.  1508.11) are to be included in every recommendation or 
report.
    On proposals (Sec.  1508.23).
    For legislation and (Sec.  1508.17).
    Other major Federal actions (Sec.  1508.18).
    Significantly (Sec.  1508.27).
    Affecting (Sec. Sec.  1508.3, 1508.8).
    The quality of the human environment (Sec.  1508.14).



Sec.  1502.4  Major Federal actions requiring the preparation of environmental impact statements.

    (a) Agencies shall make sure the proposal which is the subject of an 
environmental impact statement is properly defined. Agencies shall use 
the criteria for scope (Sec.  1508.25) to determine which proposal(s) 
shall be the subject of a particular statement. Proposals or parts of 
proposals which are related to each other closely enough to be, in 
effect, a single course of action shall be evaluated in a single impact 
statement.
    (b) Environmental impact statements may be prepared, and are 
sometimes required, for broad Federal actions such as the adoption of 
new agency programs or regulations (Sec.  1508.18). Agencies shall 
prepare statements on broad actions so that they are relevant to policy 
and are timed to coincide with meaningful points in agency planning and 
decisionmaking.
    (c) When preparing statements on broad actions (including proposals 
by more than one agency), agencies may find it useful to evaluate the 
proposal(s) in one of the following ways:
    (1) Geographically, including actions occurring in the same general 
location, such as body of water, region, or metropolitan area.
    (2) Generically, including actions which have relevant similarities, 
such

[[Page 1119]]

as common timing, impacts, alternatives, methods of implementation, 
media, or subject matter.
    (3) By stage of technological development including federal or 
federally assisted research, development or demonstration programs for 
new technologies which, if applied, could significantly affect the 
quality of the human environment. Statements shall be prepared on such 
programs and shall be available before the program has reached a stage 
of investment or commitment to implementation likely to determine 
subsequent development or restrict later alternatives.
    (d) Agencies shall as appropriate employ scoping (Sec.  1501.7), 
tiering (Sec.  1502.20), and other methods listed in Sec. Sec.  1500.4 
and 1500.5 to relate broad and narrow actions and to avoid duplication 
and delay.



Sec.  1502.5  Timing.

    An agency shall commence preparation of an environmental impact 
statement as close as possible to the time the agency is developing or 
is presented with a proposal (Sec.  1508.23) so that preparation can be 
completed in time for the final statement to be included in any 
recommendation or report on the proposal. The statement shall be 
prepared early enough so that it can serve practically as an important 
contribution to the decisionmaking process and will not be used to 
rationalize or justify decisions already made (Sec. Sec.  1500.2(c), 
1501.2, and 1502.2). For instance:
    (a) For projects directly undertaken by Federal agencies the 
environmental impact statement shall be prepared at the feasibility 
analysis (go-no go) stage and may be supplemented at a later stage if 
necessary.
    (b) For applications to the agency appropriate environmental 
assessments or statements shall be commenced no later than immediately 
after the application is received. Federal agencies are encouraged to 
begin preparation of such assessments or statements earlier, preferably 
jointly with applicable State or local agencies.
    (c) For adjudication, the final environmental impact statement shall 
normally precede the final staff recommendation and that portion of the 
public hearing related to the impact study. In appropriate circumstances 
the statement may follow preliminary hearings designed to gather 
information for use in the statements.
    (d) For informal rulemaking the draft environmental impact statement 
shall normally accompany the proposed rule.



Sec.  1502.6  Interdisciplinary preparation.

    Environmental impact statements shall be prepared using an inter-
disciplinary approach which will insure the integrated use of the 
natural and social sciences and the environmental design arts (section 
102(2)(A) of the Act). The disciplines of the preparers shall be 
appropriate to the scope and issues identified in the scoping process 
(Sec.  1501.7).



Sec.  1502.7  Page limits.

    The text of final environmental impact statements (e.g., paragraphs 
(d) through (g) of Sec.  1502.10) shall normally be less than 150 pages 
and for proposals of unusual scope or complexity shall normally be less 
than 300 pages.



Sec.  1502.8  Writing.

    Environmental impact statements shall be written in plain language 
and may use appropriate graphics so that decisionmakers and the public 
can readily understand them. Agencies should employ writers of clear 
prose or editors to write, review, or edit statements, which will be 
based upon the analysis and supporting data from the natural and social 
sciences and the environmental design arts.



Sec.  1502.9  Draft, final, and supplemental statements.

    Except for proposals for legislation as provided in Sec.  1506.8 
environmental impact statements shall be prepared in two stages and may 
be supplemented.
    (a) Draft environmental impact statements shall be prepared in 
accordance with the scope decided upon in the scoping process. The lead 
agency shall work with the cooperating agencies and shall obtain 
comments as required in part 1503 of this chapter. The draft statement 
must fulfill and satisfy to the fullest extent possible the requirements 
established for final statements

[[Page 1120]]

in section 102(2)(C) of the Act. If a draft statement is so inadequate 
as to preclude meaningful analysis, the agency shall prepare and 
circulate a revised draft of the appropriate portion. The agency shall 
make every effort to disclose and discuss at appropriate points in the 
draft statement all major points of view on the environmental impacts of 
the alternatives including the proposed action.
    (b) Final environmental impact statements shall respond to comments 
as required in part 1503 of this chapter. The agency shall discuss at 
appropriate points in the final statement any responsible opposing view 
which was not adequately discussed in the draft statement and shall 
indicate the agency's response to the issues raised.
    (c) Agencies:
    (1) Shall prepare supplements to either draft or final environmental 
impact statements if:
    (i) The agency makes substantial changes in the proposed action that 
are relevant to environmental concerns; or
    (ii) There are significant new circumstances or information relevant 
to environmental concerns and bearing on the proposed action or its 
impacts.
    (2) May also prepare supplements when the agency determines that the 
purposes of the Act will be furthered by doing so.
    (3) Shall adopt procedures for introducing a supplement into its 
formal administrative record, if such a record exists.
    (4) Shall prepare, circulate, and file a supplement to a statement 
in the same fashion (exclusive of scoping) as a draft and final 
statement unless alternative procedures are approved by the Council.



Sec.  1502.10  Recommended format.

    Agencies shall use a format for environmental impact statements 
which will encourage good analysis and clear presentation of the 
alternatives including the proposed action. The following standard 
format for environmental impact statements should be followed unless the 
agency determines that there is a compelling reason to do otherwise:
    (a) Cover sheet.
    (b) Summary.
    (c) Table of contents.
    (d) Purpose of and need for action.
    (e) Alternatives including proposed action (sections 102(2)(C)(iii) 
and 102(2)(E) of the Act).
    (f) Affected environment.
    (g) Environmental consequences (especially sections 102(2)(C)(i), 
(ii), (iv), and (v) of the Act).
    (h) List of preparers.
    (i) List of Agencies, Organizations, and persons to whom copies of 
the statement are sent.
    (j) Index.
    (k) Appendices (if any).

If a different format is used, it shall include paragraphs (a), (b), 
(c), (h), (i), and (j), of this section and shall include the substance 
of paragraphs (d), (e), (f), (g), and (k) of this section, as further 
described in Sec. Sec.  1502.11 through 1502.18, in any appropriate 
format.



Sec.  1502.11  Cover sheet.

    The cover sheet shall not exceed one page. It shall include:
    (a) A list of the responsible agencies including the lead agency and 
any cooperating agencies.
    (b) The title of the proposed action that is the subject of the 
statement (and if appropriate the titles of related cooperating agency 
actions), together with the State(s) and county(ies) (or other 
jurisdiction if applicable) where the action is located.
    (c) The name, address, and telephone number of the person at the 
agency who can supply further information.
    (d) A designation of the statement as a draft, final, or draft or 
final supplement.
    (e) A one paragraph abstract of the statement.
    (f) The date by which comments must be received (computed in 
cooperation with EPA under Sec.  1506.10).

The information required by this section may be entered on Standard Form 
424 (in items 4, 6, 7, 10, and 18).



Sec.  1502.12  Summary.

    Each environmental impact statement shall contain a summary which 
adequately and accurately summarizes the statement. The summary shall 
stress the major conclusions, areas of controversy (including issues 
raised by agencies and the public), and the issues to be resolved 
(including the choice

[[Page 1121]]

among alternatives). The summary will normally not exceed 15 pages.



Sec.  1502.13  Purpose and need.

    The statement shall briefly specify the underlying purpose and need 
to which the agency is responding in proposing the alternatives 
including the proposed action.



Sec.  1502.14  Alternatives including the proposed action.

    This section is the heart of the environmental impact statement. 
Based on the information and analysis presented in the sections on the 
Affected Environment (Sec.  1502.15) and the Environmental Consequences 
(Sec.  1502.16), it should present the environmental impacts of the 
proposal and the alternatives in comparative form, thus sharply defining 
the issues and providing a clear basis for choice among options by the 
decisionmaker and the public. In this section agencies shall:
    (a) Rigorously explore and objectively evaluate all reasonable 
alternatives, and for alternatives which were eliminated from detailed 
study, briefly discuss the reasons for their having been eliminated.
    (b) Devote substantial treatment to each alternative considered in 
detail including the proposed action so that reviewers may evaluate 
their comparative merits.
    (c) Include reasonable alternatives not within the jurisdiction of 
the lead agency.
    (d) Include the alternative of no action.
    (e) Identify the agency's preferred alternative or alternatives, if 
one or more exists, in the draft statement and identify such alternative 
in the final statement unless another law prohibits the expression of 
such a preference.
    (f) Include appropriate mitigation measures not already included in 
the proposed action or alternatives.



Sec.  1502.15  Affected environment.

    The environmental impact statement shall succinctly describe the 
environment of the area(s) to be affected or created by the alternatives 
under consideration. The descriptions shall be no longer than is 
necessary to understand the effects of the alternatives. Data and 
analyses in a statement shall be commensurate with the importance of the 
impact, with less important material summarized, consolidated, or simply 
referenced. Agencies shall avoid useless bulk in statements and shall 
concentrate effort and attention on important issues. Verbose 
descriptions of the affected environment are themselves no measure of 
the adequacy of an environmental impact statement.



Sec.  1502.16  Environmental consequences.

    This section forms the scientific and analytic basis for the 
comparisons under Sec.  1502.14. It shall consolidate the discussions of 
those elements required by sections 102(2)(C)(i), (ii), (iv), and (v) of 
NEPA which are within the scope of the statement and as much of section 
102(2)(C)(iii) as is necessary to support the comparisons. The 
discussion will include the environmental impacts of the alternatives 
including the proposed action, any adverse environmental effects which 
cannot be avoided should the proposal be implemented, the relationship 
between short-term uses of man's environment and the maintenance and 
enhancement of long-term productivity, and any irreversible or 
irretrievable commitments of resources which would be involved in the 
proposal should it be implemented. This section should not duplicate 
discussions in Sec.  1502.14. It shall include discussions of:
    (a) Direct effects and their significance (Sec.  1508.8).
    (b) Indirect effects and their significance (Sec.  1508.8).
    (c) Possible conflicts between the proposed action and the 
objectives of Federal, regional, State, and local (and in the case of a 
reservation, Indian tribe) land use plans, policies and controls for the 
area concerned. (See Sec.  1506.2(d).)
    (d) The environmental effects of alternatives including the proposed 
action. The comparisons under Sec.  1502.14 will be based on this 
discussion.
    (e) Energy requirements and conservation potential of various 
alternatives and mitigation measures.
    (f) Natural or depletable resource requirements and conservation 
potential of various alternatives and mitigation measures.

[[Page 1122]]

    (g) Urban quality, historic and cultural resources, and the design 
of the built environment, including the reuse and conservation potential 
of various alternatives and mitigation measures.
    (h) Means to mitigate adverse environmental impacts (if not fully 
covered under Sec.  1502.14(f)).

[43 FR 55994, Nov. 29, 1978; 44 FR 873, Jan. 3, 1979]



Sec.  1502.17  List of preparers.

    The environmental impact statement shall list the names, together 
with their qualifications (expertise, experience, professional 
disciplines), of the persons who were primarily responsible for 
preparing the environmental impact statement or significant background 
papers, including basic components of the statement (Sec. Sec.  1502.6 
and 1502.8). Where possible the persons who are responsible for a 
particular analysis, including analyses in background papers, shall be 
identified. Normally the list will not exceed two pages.



Sec.  1502.18  Appendix.

    If an agency prepares an appendix to an environmental impact 
statement the appendix shall:
    (a) Consist of material prepared in connection with an environmental 
impact statement (as distinct from material which is not so prepared and 
which is incorporated by reference (Sec.  1502.21)).
    (b) Normally consist of material which substantiates any analysis 
fundamental to the impact statement.
    (c) Normally be analytic and relevant to the decision to be made.
    (d) Be circulated with the environmental impact statement or be 
readily available on request.



Sec.  1502.19  Circulation of the environmental impact statement.

    Agencies shall circulate the entire draft and final environmental 
impact statements except for certain appendices as provided in Sec.  
1502.18(d) and unchanged statements as provided in Sec.  1503.4(c). 
However, if the statement is unusually long, the agency may circulate 
the summary instead, except that the entire statement shall be furnished 
to:
    (a) Any Federal agency which has jurisdiction by law or special 
expertise with respect to any environmental impact involved and any 
appropriate Federal, State or local agency authorized to develop and 
enforce environmental standards.
    (b) The applicant, if any.
    (c) Any person, organization, or agency requesting the entire 
environmental impact statement.
    (d) In the case of a final environmental impact statement any 
person, organization, or agency which submitted substantive comments on 
the draft.

If the agency circulates the summary and thereafter receives a timely 
request for the entire statement and for additional time to comment, the 
time for that requestor only shall be extended by at least 15 days 
beyond the minimum period.



Sec.  1502.20  Tiering.

    Agencies are encouraged to tier their environmental impact 
statements to eliminate repetitive discussions of the same issues and to 
focus on the actual issues ripe for decision at each level of 
environmental review (Sec.  1508.28). Whenever a broad environmental 
impact statement has been prepared (such as a program or policy 
statement) and a subsequent statement or environmental assessment is 
then prepared on an action included within the entire program or policy 
(such as a site specific action) the subsequent statement or 
environmental assessment need only summarize the issues discussed in the 
broader statement and incorporate discussions from the broader statement 
by reference and shall concentrate on the issues specific to the 
subsequent action. The subsequent document shall state where the earlier 
document is available. Tiering may also be appropriate for different 
stages of actions. (Section 1508.28).



Sec.  1502.21  Incorporation by reference.

    Agencies shall incorporate material into an environmental impact 
statement by reference when the effect will be to cut down on bulk 
without impeding agency and public review of the action. The 
incorporated material shall be cited in the statement and its content 
briefly described. No material

[[Page 1123]]

may be incorporated by reference unless it is reasonably available for 
inspection by potentially interested persons within the time allowed for 
comment. Material based on proprietary data which is itself not 
available for review and comment shall not be incorporated by reference.



Sec.  1502.22  Incomplete or unavailable information.

    When an agency is evaluating reasonably foreseeable significant 
adverse effects on the human environment in an environmental impact 
statement and there is incomplete or unavailable information, the agency 
shall always make clear that such information is lacking.
    (a) If the incomplete information relevant to reasonably foreseeable 
significant adverse impacts is essential to a reasoned choice among 
alternatives and the overall costs of obtaining it are not exorbitant, 
the agency shall include the information in the environmental impact 
statement.
    (b) If the information relevant to reasonably foreseeable 
significant adverse impacts cannot be obtained because the overall costs 
of obtaining it are exorbitant or the means to obtain it are not known, 
the agency shall include within the environmental impact statement:
    (1) A statement that such information is incomplete or unavailable; 
(2) a statement of the relevance of the incomplete or unavailable 
information to evaluating reasonably foreseeable significant adverse 
impacts on the human environment; (3) a summary of existing credible 
scientific evidence which is relevant to evaluating the reasonably 
foreseeable significant adverse impacts on the human environment, and 
(4) the agency's evaluation of such impacts based upon theoretical 
approaches or research methods generally accepted in the scientific 
community. For the purposes of this section, ``reasonably foreseeable'' 
includes impacts which have catastrophic consequences, even if their 
probability of occurrence is low, provided that the analysis of the 
impacts is supported by credible scientific evidence, is not based on 
pure conjecture, and is within the rule of reason.
    (c) The amended regulation will be applicable to all environmental 
impact statements for which a Notice of Intent (40 CFR 1508.22) is 
published in the Federal Register on or after May 27, 1986. For 
environmental impact statements in progress, agencies may choose to 
comply with the requirements of either the original or amended 
regulation.

[51 FR 15625, Apr. 25, 1986]



Sec.  1502.23  Cost-benefit analysis.

    If a cost-benefit analysis relevant to the choice among 
environmentally different alternatives is being considered for the 
proposed action, it shall be incorporated by reference or appended to 
the statement as an aid in evaluating the environmental consequences. To 
assess the adequacy of compliance with section 102(2)(B) of the Act the 
statement shall, when a cost-benefit analysis is prepared, discuss the 
relationship between that analysis and any analyses of unquantified 
environmental impacts, values, and amenities. For purposes of complying 
with the Act, the weighing of the merits and drawbacks of the various 
alternatives need not be displayed in a monetary cost-benefit analysis 
and should not be when there are important qualitative considerations. 
In any event, an environmental impact statement should at least indicate 
those considerations, including factors not related to environmental 
quality, which are likely to be relevant and important to a decision.



Sec.  1502.24  Methodology and scientific accuracy.

    Agencies shall insure the professional integrity, including 
scientific integrity, of the discussions and analyses in environmental 
impact statements. They shall identify any methodologies used and shall 
make explicit reference by footnote to the scientific and other sources 
relied upon for conclusions in the statement. An agency may place 
discussion of methodology in an appendix.

[[Page 1124]]



Sec.  1502.25  Environmental review and consultation requirements.

    (a) To the fullest extent possible, agencies shall prepare draft 
environmental impact statements concurrently with and integrated with 
environmental impact analyses and related surveys and studies required 
by the Fish and Wildlife Coordination Act (16 U.S.C. 661 et seq.), the 
National Historic Preservation Act of 1966 (16 U.S.C. 470 et seq.), the 
Endangered Species Act of 1973 (16 U.S.C. 1531 et seq.), and other 
environmental review laws and executive orders.
    (b) The draft environmental impact statement shall list all Federal 
permits, licenses, and other entitlements which must be obtained in 
implementing the proposal. If it is uncertain whether a Federal permit, 
license, or other entitlement is necessary, the draft environmental 
impact statement shall so indicate.



PART 1503_COMMENTING--Table of Contents

Sec.
1503.1 Inviting comments.
1503.2 Duty to comment.
1503.3 Specificity of comments.
1503.4 Response to comments.

    Authority: NEPA, the Environmental Quality Improvement Act of 1970, 
as amended (42 U.S.C. 4371 et seq.), sec. 309 of the Clean Air Act, as 
amended (42 U.S.C. 7609), and E.O. 11514 (Mar. 5, 1970, as amended by 
E.O. 11991, May 24, 1977).

    Source: 43 FR 55997, Nov. 29, 1978, unless otherwise noted.



Sec.  1503.1  Inviting comments.

    (a) After preparing a draft environmental impact statement and 
before preparing a final environmental impact statement the agency 
shall:
    (1) Obtain the comments of any Federal agency which has jurisdiction 
by law or special expertise with respect to any environmental impact 
involved or which is authorized to develop and enforce environmental 
standards.
    (2) Request the comments of:
    (i) Appropriate State and local agencies which are authorized to 
develop and enforce environmental standards;
    (ii) Indian tribes, when the effects may be on a reservation; and
    (iii) Any agency which has requested that it receive statements on 
actions of the kind proposed.

Office of Management and Budget Circular A-95 (Revised), through its 
system of clearinghouses, provides a means of securing the views of 
State and local environmental agencies. The clearinghouses may be used, 
by mutual agreement of the lead agency and the clearinghouse, for 
securing State and local reviews of the draft environmental impact 
statements.
    (3) Request comments from the applicant, if any.
    (4) Request comments from the public, affirmatively soliciting 
comments from those persons or organizations who may be interested or 
affected.
    (b) An agency may request comments on a final environmental impact 
statement before the decision is finally made. In any case other 
agencies or persons may make comments before the final decision unless a 
different time is provided under Sec.  1506.10.



Sec.  1503.2  Duty to comment.

    Federal agencies with jurisdiction by law or special expertise with 
respect to any environmental impact involved and agencies which are 
authorized to develop and enforce environmental standards shall comment 
on statements within their jurisdiction, expertise, or authority. 
Agencies shall comment within the time period specified for comment in 
Sec.  1506.10. A Federal agency may reply that it has no comment. If a 
cooperating agency is satisfied that its views are adequately reflected 
in the environmental impact statement, it should reply that it has no 
comment.



Sec.  1503.3  Specificity of comments.

    (a) Comments on an environmental impact statement or on a proposed 
action shall be as specific as possible and may address either the 
adequacy of the statement or the merits of the alternatives discussed or 
both.
    (b) When a commenting agency criticizes a lead agency's predictive 
methodology, the commenting agency should describe the alternative 
methodology which it prefers and why.

[[Page 1125]]

    (c) A cooperating agency shall specify in its comments whether it 
needs additional information to fulfill other applicable environmental 
reviews or consultation requirements and what information it needs. In 
particular, it shall specify any additional information it needs to 
comment adequately on the draft statement's analysis of significant 
site-specific effects associated with the granting or approving by that 
cooperating agency of necessary Federal permits, licenses, or 
entitlements.
    (d) When a cooperating agency with jurisdiction by law objects to or 
expresses reservations about the proposal on grounds of environmental 
impacts, the agency expressing the objection or reservation shall 
specify the mitigation measures it considers necessary to allow the 
agency to grant or approve applicable permit, license, or related 
requirements or concurrences.



Sec.  1503.4  Response to comments.

    (a) An agency preparing a final environmental impact statement shall 
assess and consider comments both individually and collectively, and 
shall respond by one or more of the means listed below, stating its 
response in the final statement. Possible responses are to:
    (1) Modify alternatives including the proposed action.
    (2) Develop and evaluate alternatives not previously given serious 
consideration by the agency.
    (3) Supplement, improve, or modify its analyses.
    (4) Make factual corrections.
    (5) Explain why the comments do not warrant further agency response, 
citing the sources, authorities, or reasons which support the agency's 
position and, if appropriate, indicate those circumstances which would 
trigger agency reappraisal or further response.
    (b) All substantive comments received on the draft statement (or 
summaries thereof where the response has been exceptionally voluminous), 
should be attached to the final statement whether or not the comment is 
thought to merit individual discussion by the agency in the text of the 
statement.
    (c) If changes in response to comments are minor and are confined to 
the responses described in paragraphs (a)(4) and (5) of this section, 
agencies may write them on errata sheets and attach them to the 
statement instead of rewriting the draft statement. In such cases only 
the comments, the responses, and the changes and not the final statement 
need be circulated (Sec.  1502.19). The entire document with a new cover 
sheet shall be filed as the final statement (Sec.  1506.9).



PART 1504_PREDECISION REFERRALS TO THE COUNCIL OF PROPOSED FEDERAL ACTIONS DETERMINED TO BE ENVIRONMENTALLY UNSATISFACTORY--Table of Contents

Sec.
1504.1 Purpose.
1504.2 Criteria for referral.
1504.3 Procedure for referrals and response.

    Authority: NEPA, the Environmental Quality Improvement Act of 1970, 
as amended (42 U.S.C. 4371 et seq.), sec. 309 of the Clean Air Act, as 
amended (42 U.S.C. 7609), and E.O. 11514 (Mar. 5, 1970, as amended by 
E.O. 11991, May 24, 1977).



Sec.  1504.1  Purpose.

    (a) This part establishes procedures for referring to the Council 
Federal interagency disagreements concerning proposed major Federal 
actions that might cause unsatisfactory environmental effects. It 
provides means for early resolution of such disagreements.
    (b) Under section 309 of the Clean Air Act (42 U.S.C. 7609), the 
Administrator of the Environmental Protection Agency is directed to 
review and comment publicly on the environmental impacts of Federal 
activities, including actions for which environmental impact statements 
are prepared. If after this review the Administrator determines that the 
matter is ``unsatisfactory from the standpoint of public health or 
welfare or environmental quality,'' section 309 directs that the matter 
be referred to the Council (hereafter ``environmental referrals'').
    (c) Under section 102(2)(C) of the Act other Federal agencies may 
make similar reviews of environmental impact statements, including 
judgments on the acceptability of anticipated environmental impacts. 
These reviews

[[Page 1126]]

must be made available to the President, the Council and the public.

[43 FR 55998, Nov. 29, 1978]



Sec.  1504.2  Criteria for referral.

    Environmental referrals should be made to the Council only after 
concerted, timely (as early as possible in the process), but 
unsuccessful attempts to resolve differences with the lead agency. In 
determining what environmental objections to the matter are appropriate 
to refer to the Council, an agency should weigh potential adverse 
environmental impacts, considering:
    (a) Possible violation of national environmental standards or 
policies.
    (b) Severity.
    (c) Geographical scope.
    (d) Duration.
    (e) Importance as precedents.
    (f) Availability of environmentally preferable alternatives.

[43 FR 55998, Nov. 29, 1978]



Sec.  1504.3  Procedure for referrals and response.

    (a) A Federal agency making the referral to the Council shall:
    (1) Advise the lead agency at the earliest possible time that it 
intends to refer a matter to the Council unless a satisfactory agreement 
is reached.
    (2) Include such advice in the referring agency's comments on the 
draft environmental impact statement, except when the statement does not 
contain adequate information to permit an assessment of the matter's 
environmental acceptability.
    (3) Identify any essential information that is lacking and request 
that it be made available at the earliest possible time.
    (4) Send copies of such advice to the Council.
    (b) The referring agency shall deliver its referral to the Council 
not later than twenty-five (25) days after the final environmental 
impact statement has been made available to the Environmental Protection 
Agency, commenting agencies, and the public. Except when an extension of 
this period has been granted by the lead agency, the Council will not 
accept a referral after that date.
    (c) The referral shall consist of:
    (1) A copy of the letter signed by the head of the referring agency 
and delivered to the lead agency informing the lead agency of the 
referral and the reasons for it, and requesting that no action be taken 
to implement the matter until the Council acts upon the referral. The 
letter shall include a copy of the statement referred to in (c)(2) of 
this section.
    (2) A statement supported by factual evidence leading to the 
conclusion that the matter is unsatisfactory from the standpoint of 
public health or welfare or environmental quality. The statement shall:
    (i) Identify any material facts in controversy and incorporate (by 
reference if appropriate) agreed upon facts,
    (ii) Identify any existing environmental requirements or policies 
which would be violated by the matter,
    (iii) Present the reasons why the referring agency believes the 
matter is environmentally unsatisfactory,
    (iv) Contain a finding by the agency whether the issue raised is of 
national importance because of the threat to national environmental 
resources or policies or for some other reason,
    (v) Review the steps taken by the referring agency to bring its 
concerns to the attention of the lead agency at the earliest possible 
time, and
    (vi) Give the referring agency's recommendations as to what 
mitigation alternative, further study, or other course of action 
(including abandonment of the matter) are necessary to remedy the 
situation.
    (d) Not later than twenty-five (25) days after the referral to the 
Council the lead agency may deliver a response to the Council, and the 
referring agency. If the lead agency requests more time and gives 
assurance that the matter will not go forward in the interim, the 
Council may grant an extension. The response shall:
    (1) Address fully the issues raised in the referral.
    (2) Be supported by evidence.
    (3) Give the lead agency's response to the referring agency's 
recommendations.
    (e) Interested persons (including the applicant) may deliver their 
views in writing to the Council. Views in support of the referral should 
be delivered

[[Page 1127]]

not later than the referral. Views in support of the response shall be 
delivered not later than the response.
    (f) Not later than twenty-five (25) days after receipt of both the 
referral and any response or upon being informed that there will be no 
response (unless the lead agency agrees to a longer time), the Council 
may take one or more of the following actions:
    (1) Conclude that the process of referral and response has 
successfully resolved the problem.
    (2) Initiate discussions with the agencies with the objective of 
mediation with referring and lead agencies.
    (3) Hold public meetings or hearings to obtain additional views and 
information.
    (4) Determine that the issue is not one of national importance and 
request the referring and lead agencies to pursue their decision 
process.
    (5) Determine that the issue should be further negotiated by the 
referring and lead agencies and is not appropriate for Council 
consideration until one or more heads of agencies report to the Council 
that the agencies' disagreements are irreconcilable.
    (6) Publish its findings and recommendations (including where 
appropriate a finding that the submitted evidence does not support the 
position of an agency).
    (7) When appropriate, submit the referral and the response together 
with the Council's recommendation to the President for action.
    (g) The Council shall take no longer than 60 days to complete the 
actions specified in paragraph (f)(2), (3), or (5) of this section.
    (h) When the referral involves an action required by statute to be 
determined on the record after opportunity for agency hearing, the 
referral shall be conducted in a manner consistent with 5 U.S.C. 557(d) 
(Administrative Procedure Act).

[43 FR 55998, Nov. 29, 1978; 44 FR 873, Jan. 3, 1979]



PART 1505_NEPA AND AGENCY DECISIONMAKING--Table of Contents

Sec.
1505.1 Agency decisionmaking procedures.
1505.2 Record of decision in cases requiring environmental impact 
          statements.
1505.3 Implementing the decision.

    Authority: NEPA, the Environmental Quality Improvement Act of 1970, 
as amended (42 U.S.C. 4371 et seq.), sec. 309 of the Clean Air Act, as 
amended (42 U.S.C. 7609), and E.O. 11514 (Mar. 5, 1970, as amended by 
E.O. 11991, May 24, 1977).

    Source: 43 FR 55999, Nov. 29, 1978, unless otherwise noted.



Sec.  1505.1  Agency decisionmaking procedures.

    Agencies shall adopt procedures (Sec.  1507.3) to ensure that 
decisions are made in accordance with the policies and purposes of the 
Act. Such procedures shall include but not be limited to:
    (a) Implementing procedures under section 102(2) to achieve the 
requirements of sections 101 and 102(1).
    (b) Designating the major decision points for the agency's principal 
programs likely to have a significant effect on the human environment 
and assuring that the NEPA process corresponds with them.
    (c) Requiring that relevant environmental documents, comments, and 
responses be part of the record in formal rulemaking or adjudicatory 
proceedings.
    (d) Requiring that relevant environmental documents, comments, and 
responses accompany the proposal through existing agency review 
processes so that agency officials use the statement in making 
decisions.
    (e) Requiring that the alternatives considered by the decisionmaker 
are encompassed by the range of alternatives discussed in the relevant 
environmental documents and that the decisionmaker consider the 
alternatives described in the environmental impact statement. If another 
decision document accompanies the relevant environmental documents to 
the decisionmaker, agencies are encouraged to make available to the 
public before the decision is made any part of that document that 
relates to the comparison of alternatives.

[[Page 1128]]



Sec.  1505.2  Record of decision in cases requiring environmental impact statements.

    At the time of its decision (Sec.  1506.10) or, if appropriate, its 
recommendation to Congress, each agency shall prepare a concise public 
record of decision. The record, which may be integrated into any other 
record prepared by the agency, including that required by OMB Circular 
A-95 (Revised), part I, sections 6(c) and (d), and part II, section 
5(b)(4), shall:
    (a) State what the decision was.
    (b) Identify all alternatives considered by the agency in reaching 
its decision, specifying the alternative or alternatives which were 
considered to be environmentally preferable. An agency may discuss 
preferences among alternatives based on relevant factors including 
economic and technical considerations and agency statutory missions. An 
agency shall identify and discuss all such factors including any 
essential considerations of national policy which were balanced by the 
agency in making its decision and state how those considerations entered 
into its decision.
    (c) State whether all practicable means to avoid or minimize 
environmental harm from the alternative selected have been adopted, and 
if not, why they were not. A monitoring and enforcement program shall be 
adopted and summarized where applicable for any mitigation.



Sec.  1505.3  Implementing the decision.

    Agencies may provide for monitoring to assure that their decisions 
are carried out and should do so in important cases. Mitigation (Sec.  
1505.2(c)) and other conditions established in the environmental impact 
statement or during its review and committed as part of the decision 
shall be implemented by the lead agency or other appropriate consenting 
agency. The lead agency shall:
    (a) Include appropriate conditions in grants, permits or other 
approvals.
    (b) Condition funding of actions on mitigation.
    (c) Upon request, inform cooperating or commenting agencies on 
progress in carrying out mitigation measures which they have proposed 
and which were adopted by the agency making the decision.
    (d) Upon request, make available to the public the results of 
relevant monitoring.



PART 1506_OTHER REQUIREMENTS OF NEPA--Table of Contents

Sec.
1506.1 Limitations on actions during NEPA process.
1506.2 Elimination of duplication with State and local procedures.
1506.3 Adoption.
1506.4 Combining documents.
1506.5 Agency responsibility.
1506.6 Public involvement.
1506.7 Further guidance.
1506.8 Proposals for legislation.
1506.9 Filing requirements.
1506.10 Timing of agency action.
1506.11 Emergencies.
1506.12 Effective date.

    Authority: NEPA, the Environmental Quality Improvement Act of 1970, 
as amended (42 U.S.C. 4371 et seq.), sec. 309 of the Clean Air Act, as 
amended (42 U.S.C. 7609), and E.O. 11514 (Mar. 5, 1970, as amended by 
E.O. 11991, May 24, 1977).

    Source: 43 FR 56000, Nov. 29, 1978, unless otherwise noted.



Sec.  1506.1  Limitations on actions during NEPA process.

    (a) Until an agency issues a record of decision as provided in Sec.  
1505.2 (except as provided in paragraph (c) of this section), no action 
concerning the proposal shall be taken which would:
    (1) Have an adverse environmental impact; or
    (2) Limit the choice of reasonable alternatives.
    (b) If any agency is considering an application from a non-Federal 
entity, and is aware that the applicant is about to take an action 
within the agency's jurisdiction that would meet either of the criteria 
in paragraph (a) of this section, then the agency shall promptly notify 
the applicant that the agency will take appropriate action to insure 
that the objectives and procedures of NEPA are achieved.
    (c) While work on a required program environmental impact statement 
is in progress and the action is not covered by an existing program 
statement,

[[Page 1129]]

agencies shall not undertake in the interim any major Federal action 
covered by the program which may significantly affect the quality of the 
human environment unless such action:
    (1) Is justified independently of the program;
    (2) Is itself accompanied by an adequate environmental impact 
statement; and
    (3) Will not prejudice the ultimate decision on the program. Interim 
action prejudices the ultimate decision on the program when it tends to 
determine subsequent development or limit alternatives.
    (d) This section does not preclude development by applicants of 
plans or designs or performance of other work necessary to support an 
application for Federal, State or local permits or assistance. Nothing 
in this section shall preclude Rural Electrification Administration 
approval of minimal expenditures not affecting the environment (e.g. 
long leadtime equipment and purchase options) made by non-governmental 
entities seeking loan guarantees from the Administration.



Sec.  1506.2  Elimination of duplication with State and local procedures.

    (a) Agencies authorized by law to cooperate with State agencies of 
statewide jurisdiction pursuant to section 102(2)(D) of the Act may do 
so.
    (b) Agencies shall cooperate with State and local agencies to the 
fullest extent possible to reduce duplication between NEPA and State and 
local requirements, unless the agencies are specifically barred from 
doing so by some other law. Except for cases covered by paragraph (a) of 
this section, such cooperation shall to the fullest extent possible 
include:
    (1) Joint planning processes.
    (2) Joint environmental research and studies.
    (3) Joint public hearings (except where otherwise provided by 
statute).
    (4) Joint environmental assessments.
    (c) Agencies shall cooperate with State and local agencies to the 
fullest extent possible to reduce duplication between NEPA and 
comparable State and local requirements, unless the agencies are 
specifically barred from doing so by some other law. Except for cases 
covered by paragraph (a) of this section, such cooperation shall to the 
fullest extent possible include joint environmental impact statements. 
In such cases one or more Federal agencies and one or more State or 
local agencies shall be joint lead agencies. Where State laws or local 
ordinances have environmental impact statement requirements in addition 
to but not in conflict with those in NEPA, Federal agencies shall 
cooperate in fulfilling these requirements as well as those of Federal 
laws so that one document will comply with all applicable laws.
    (d) To better integrate environmental impact statements into State 
or local planning processes, statements shall discuss any inconsistency 
of a proposed action with any approved State or local plan and laws 
(whether or not federally sanctioned). Where an inconsistency exists, 
the statement should describe the extent to which the agency would 
reconcile its proposed action with the plan or law.



Sec.  1506.3  Adoption.

    (a) An agency may adopt a Federal draft or final environmental 
impact statement or portion thereof provided that the statement or 
portion thereof meets the standards for an adequate statement under 
these regulations.
    (b) If the actions covered by the original environmental impact 
statement and the proposed action are substantially the same, the agency 
adopting another agency's statement is not required to recirculate it 
except as a final statement. Otherwise the adopting agency shall treat 
the statement as a draft and recirculate it (except as provided in 
paragraph (c) of this section).
    (c) A cooperating agency may adopt without recirculating the 
environmental impact statement of a lead agency when, after an 
independent review of the statement, the cooperating agency concludes 
that its comments and suggestions have been satisfied.
    (d) When an agency adopts a statement which is not final within the 
agency that prepared it, or when the action it assesses is the subject 
of a referral under part 1504, or when the statement's adequacy is the 
subject of

[[Page 1130]]

a judicial action which is not final, the agency shall so specify.



Sec.  1506.4  Combining documents.

    Any environmental document in compliance with NEPA may be combined 
with any other agency document to reduce duplication and paperwork.



Sec.  1506.5  Agency responsibility.

    (a) Information. If an agency requires an applicant to submit 
environmental information for possible use by the agency in preparing an 
environmental impact statement, then the agency should assist the 
applicant by outlining the types of information required. The agency 
shall independently evaluate the information submitted and shall be 
responsible for its accuracy. If the agency chooses to use the 
information submitted by the applicant in the environmental impact 
statement, either directly or by reference, then the names of the 
persons responsible for the independent evaluation shall be included in 
the list of preparers (Sec.  1502.17). It is the intent of this 
paragraph that acceptable work not be redone, but that it be verified by 
the agency.
    (b) Environmental assessments. If an agency permits an applicant to 
prepare an environmental assessment, the agency, besides fulfilling the 
requirements of paragraph (a) of this section, shall make its own 
evaluation of the environmental issues and take responsibility for the 
scope and content of the environmental assessment.
    (c) Environmental impact statements. Except as provided in 
Sec. Sec.  1506.2 and 1506.3 any environmental impact statement prepared 
pursuant to the requirements of NEPA shall be prepared directly by or by 
a contractor selected by the lead agency or where appropriate under 
Sec.  1501.6(b), a cooperating agency. It is the intent of these 
regulations that the contractor be chosen solely by the lead agency, or 
by the lead agency in cooperation with cooperating agencies, or where 
appropriate by a cooperating agency to avoid any conflict of interest. 
Contractors shall execute a disclosure statement prepared by the lead 
agency, or where appropriate the cooperating agency, specifying that 
they have no financial or other interest in the outcome of the project. 
If the document is prepared by contract, the responsible Federal 
official shall furnish guidance and participate in the preparation and 
shall independently evaluate the statement prior to its approval and 
take responsibility for its scope and contents. Nothing in this section 
is intended to prohibit any agency from requesting any person to submit 
information to it or to prohibit any person from submitting information 
to any agency.



Sec.  1506.6  Public involvement.

    Agencies shall:
    (a) Make diligent efforts to involve the public in preparing and 
implementing their NEPA procedures.
    (b) Provide public notice of NEPA-related hearings, public meetings, 
and the availability of environmental documents so as to inform those 
persons and agencies who may be interested or affected.
    (1) In all cases the agency shall mail notice to those who have 
requested it on an individual action.
    (2) In the case of an action with effects of national concern notice 
shall include publication in the Federal Register and notice by mail to 
national organizations reasonably expected to be interested in the 
matter and may include listing in the 102 Monitor. An agency engaged in 
rulemaking may provide notice by mail to national organizations who have 
requested that notice regularly be provided. Agencies shall maintain a 
list of such organizations.
    (3) In the case of an action with effects primarily of local concern 
the notice may include:
    (i) Notice to State and areawide clearinghouses pursuant to OMB 
Circular A-95 (Revised).
    (ii) Notice to Indian tribes when effects may occur on reservations.
    (iii) Following the affected State's public notice procedures for 
comparable actions.
    (iv) Publication in local newspapers (in papers of general 
circulation rather than legal papers).
    (v) Notice through other local media.
    (vi) Notice to potentially interested community organizations 
including small business associations.

[[Page 1131]]

    (vii) Publication in newsletters that may be expected to reach 
potentially interested persons.
    (viii) Direct mailing to owners and occupants of nearby or affected 
property.
    (ix) Posting of notice on and off site in the area where the action 
is to be located.
    (c) Hold or sponsor public hearings or public meetings whenever 
appropriate or in accordance with statutory requirements applicable to 
the agency. Criteria shall include whether there is:
    (1) Substantial environmental controversy concerning the proposed 
action or substantial interest in holding the hearing.
    (2) A request for a hearing by another agency with jurisdiction over 
the action supported by reasons why a hearing will be helpful. If a 
draft environmental impact statement is to be considered at a public 
hearing, the agency should make the statement available to the public at 
least 15 days in advance (unless the purpose of the hearing is to 
provide information for the draft environmental impact statement).
    (d) Solicit appropriate information from the public.
    (e) Explain in its procedures where interested persons can get 
information or status reports on environmental impact statements and 
other elements of the NEPA process.
    (f) Make environmental impact statements, the comments received, and 
any underlying documents available to the public pursuant to the 
provisions of the Freedom of Information Act (5 U.S.C. 552), without 
regard to the exclusion for interagency memoranda where such memoranda 
transmit comments of Federal agencies on the environmental impact of the 
proposed action. Materials to be made available to the public shall be 
provided to the public without charge to the extent practicable, or at a 
fee which is not more than the actual costs of reproducing copies 
required to be sent to other Federal agencies, including the Council.



Sec.  1506.7  Further guidance.

    The Council may provide further guidance concerning NEPA and its 
procedures including:
    (a) A handbook which the Council may supplement from time to time, 
which shall in plain language provide guidance and instructions 
concerning the application of NEPA and these regulations.
    (b) Publication of the Council's Memoranda to Heads of Agencies.
    (c) In conjunction with the Environmental Protection Agency and the 
publication of the 102 Monitor, notice of:
    (1) Research activities;
    (2) Meetings and conferences related to NEPA; and
    (3) Successful and innovative procedures used by agencies to 
implement NEPA.



Sec.  1506.8  Proposals for legislation.

    (a) The NEPA process for proposals for legislation (Sec.  1508.17) 
significantly affecting the quality of the human environment shall be 
integrated with the legislative process of the Congress. A legislative 
environmental impact statement is the detailed statement required by law 
to be included in a recommendation or report on a legislative proposal 
to Congress. A legislative environmental impact statement shall be 
considered part of the formal transmittal of a legislative proposal to 
Congress; however, it may be transmitted to Congress up to 30 days later 
in order to allow time for completion of an accurate statement which can 
serve as the basis for public and Congressional debate. The statement 
must be available in time for Congressional hearings and deliberations.
    (b) Preparation of a legislative environmental impact statement 
shall conform to the requirements of these regulations except as 
follows:
    (1) There need not be a scoping process.
    (2) The legislative statement shall be prepared in the same manner 
as a draft statement, but shall be considered the ``detailed statement'' 
required by statute; Provided, That when any of the following conditions 
exist both the draft and final environmental impact statement on the 
legislative proposal shall be prepared and circulated as provided by 
Sec. Sec.  1503.1 and 1506.10.
    (i) A Congressional Committee with jurisdiction over the proposal 
has a

[[Page 1132]]

rule requiring both draft and final environmental impact statements.
    (ii) The proposal results from a study process required by statute 
(such as those required by the Wild and Scenic Rivers Act (16 U.S.C. 
1271 et seq.) and the Wilderness Act (16 U.S.C. 1131 et seq.)).
    (iii) Legislative approval is sought for Federal or federally 
assisted construction or other projects which the agency recommends be 
located at specific geographic locations. For proposals requiring an 
environmental impact statement for the acquisition of space by the 
General Services Administration, a draft statement shall accompany the 
Prospectus or the 11(b) Report of Building Project Surveys to the 
Congress, and a final statement shall be completed before site 
acquisition.
    (iv) The agency decides to prepare draft and final statements.
    (c) Comments on the legislative statement shall be given to the lead 
agency which shall forward them along with its own responses to the 
Congressional committees with jurisdiction.



Sec.  1506.9  Filing requirements.

    (a) Environmental impact statements together with comments and 
responses shall be filed with the Environmental Protection Agency, 
attention Office of Federal Activities, EIS Filing Section, Ariel Rios 
Building (South Oval Lobby), Mail Code 2252-A, Room 7220, 1200 
Pennsylvania Ave., NW., Washington, DC 20460. This address is for 
deliveries by US Postal Service (including USPS Express Mail).
    (b) For deliveries in-person or by commercial express mail services, 
including Federal Express or UPS, the correct address is: US 
Environmental Protection Agency, Office of Federal Activities, EIS 
Filing Section, Ariel Rios Building (South Oval Lobby), Room 7220, 1200 
Pennsylvania Avenue, NW., Washington, DC 20004.
    (c) Statements shall be filed with the EPA no earlier than they are 
also transmitted to commenting agencies and made available to the 
public. EPA shall deliver one copy of each statement to the Council, 
which shall satisfy the requirement of availability to the President. 
EPA may issue guidelines to agencies to implement its responsibilities 
under this section and Sec.  1506.10.

[70 FR 41148, July 18, 2005]



Sec.  1506.10  Timing of agency action.

    (a) The Environmental Protection Agency shall publish a notice in 
the Federal Register each week of the environmental impact statements 
filed during the preceding week. The minimum time periods set forth in 
this section shall be calculated from the date of publication of this 
notice.
    (b) No decision on the proposed action shall be made or recorded 
under Sec.  1505.2 by a Federal agency until the later of the following 
dates:
    (1) Ninety (90) days after publication of the notice described above 
in paragraph (a) of this section for a draft environmental impact 
statement.
    (2) Thirty (30) days after publication of the notice described above 
in paragraph (a) of this section for a final environmental impact 
statement.

An exception to the rules on timing may be made in the case of an agency 
decision which is subject to a formal internal appeal. Some agencies 
have a formally established appeal process which allows other agencies 
or the public to take appeals on a decision and make their views known, 
after publication of the final environmental impact statement. In such 
cases, where a real opportunity exists to alter the decision, the 
decision may be made and recorded at the same time the environmental 
impact statement is published. This means that the period for appeal of 
the decision and the 30-day period prescribed in paragraph (b)(2) of 
this section may run concurrently. In such cases the environmental 
impact statement shall explain the timing and the public's right of 
appeal. An agency engaged in rulemaking under the Administrative 
Procedure Act or other statute for the purpose of protecting the public 
health or safety, may waive the time period in paragraph (b)(2) of this 
section and publish a decision on the final rule simultaneously with 
publication of the notice of the availability of the final environmental 
impact statement as described in paragraph (a) of this section.

[[Page 1133]]

    (c) If the final environmental impact statement is filed within 
ninety (90) days after a draft environmental impact statement is filed 
with the Environmental Protection Agency, the minimum thirty (30) day 
period and the minimum ninety (90) day period may run concurrently. 
However, subject to paragraph (d) of this section agencies shall allow 
not less than 45 days for comments on draft statements.
    (d) The lead agency may extend prescribed periods. The Environmental 
Protection Agency may upon a showing by the lead agency of compelling 
reasons of national policy reduce the prescribed periods and may upon a 
showing by any other Federal agency of compelling reasons of national 
policy also extend prescribed periods, but only after consultation with 
the lead agency. (Also see Sec.  1507.3(d).) Failure to file timely 
comments shall not be a sufficient reason for extending a period. If the 
lead agency does not concur with the extension of time, EPA may not 
extend it for more than 30 days. When the Environmental Protection 
Agency reduces or extends any period of time it shall notify the 
Council.

[43 FR 56000, Nov. 29, 1978; 44 FR 874, Jan. 3, 1979]



Sec.  1506.11  Emergencies.

    Where emergency circumstances make it necessary to take an action 
with significant environmental impact without observing the provisions 
of these regulations, the Federal agency taking the action should 
consult with the Council about alternative arrangements. Agencies and 
the Council will limit such arrangements to actions necessary to control 
the immediate impacts of the emergency. Other actions remain subject to 
NEPA review.



Sec.  1506.12  Effective date.

    The effective date of these regulations is July 30, 1979, except 
that for agencies that administer programs that qualify under section 
102(2)(D) of the Act or under section 104(h) of the Housing and 
Community Development Act of 1974 an additional four months shall be 
allowed for the State or local agencies to adopt their implementing 
procedures.
    (a) These regulations shall apply to the fullest extent practicable 
to ongoing activities and environmental documents begun before the 
effective date. These regulations do not apply to an environmental 
impact statement or supplement if the draft statement was filed before 
the effective date of these regulations. No completed environmental 
documents need be redone by reasons of these regulations. Until these 
regulations are applicable, the Council's guidelines published in the 
Federal Register of August 1, 1973, shall continue to be applicable. In 
cases where these regulations are applicable the guidelines are 
superseded. However, nothing shall prevent an agency from proceeding 
under these regulations at an earlier time.
    (b) NEPA shall continue to be applicable to actions begun before 
January 1, 1970, to the fullest extent possible.



PART 1507_AGENCY COMPLIANCE--Table of Contents

Sec.
1507.1 Compliance.
1507.2 Agency capability to comply.
1507.3 Agency procedures.

    Authority: NEPA, the Environmental Quality Improvement Act of 1970, 
as amended (42 U.S.C. 4371 et seq.), sec. 309 of the Clean Air Act, as 
amended (42 U.S.C. 7609), and E.O. 11514 (Mar. 5, 1970, as amended by 
E.O. 11991, May 24, 1977).

    Source: 43 FR 56002, Nov. 29, 1978, unless otherwise noted.



Sec.  1507.1  Compliance.

    All agencies of the Federal Government shall comply with these 
regulations. It is the intent of these regulations to allow each agency 
flexibility in adapting its implementing procedures authorized by Sec.  
1507.3 to the requirements of other applicable laws.



Sec.  1507.2  Agency capability to comply.

    Each agency shall be capable (in terms of personnel and other 
resources) of complying with the requirements enumerated below. Such 
compliance may include use of other's resources, but the using agency 
shall itself have sufficient capability to evaluate what others do for 
it. Agencies shall:

[[Page 1134]]

    (a) Fulfill the requirements of section 102(2)(A) of the Act to 
utilize a systematic, interdisciplinary approach which will insure the 
integrated use of the natural and social sciences and the environmental 
design arts in planning and in decisionmaking which may have an impact 
on the human environment. Agencies shall designate a person to be 
responsible for overall review of agency NEPA compliance.
    (b) Identify methods and procedures required by section 102(2)(B) to 
insure that presently unquantified environmental amenities and values 
may be given appropriate consideration.
    (c) Prepare adequate environmental impact statements pursuant to 
section 102(2)(C) and comment on statements in the areas where the 
agency has jurisdiction by law or special expertise or is authorized to 
develop and enforce environmental standards.
    (d) Study, develop, and describe alternatives to recommended courses 
of action in any proposal which involves unresolved conflicts concerning 
alternative uses of available resources. This requirement of section 
102(2)(E) extends to all such proposals, not just the more limited scope 
of section 102(2)(C)(iii) where the discussion of alternatives is 
confined to impact statements.
    (e) Comply with the requirements of section 102(2)(H) that the 
agency initiate and utilize ecological information in the planning and 
development of resource-oriented projects.
    (f) Fulfill the requirements of sections 102(2)(F), 102(2)(G), and 
102(2)(I), of the Act and of Executive Order 11514, Protection and 
Enhancement of Environmental Quality, Sec. 2.



Sec.  1507.3  Agency procedures.

    (a) Not later than eight months after publication of these 
regulations as finally adopted in the Federal Register, or five months 
after the establishment of an agency, whichever shall come later, each 
agency shall as necessary adopt procedures to supplement these 
regulations. When the agency is a department, major subunits are 
encouraged (with the consent of the department) to adopt their own 
procedures. Such procedures shall not paraphrase these regulations. They 
shall confine themselves to implementing procedures. Each agency shall 
consult with the Council while developing its procedures and before 
publishing them in the Federal Register for comment. Agencies with 
similar programs should consult with each other and the Council to 
coordinate their procedures, especially for programs requesting similar 
information from applicants. The procedures shall be adopted only after 
an opportunity for public review and after review by the Council for 
conformity with the Act and these regulations. The Council shall 
complete its review within 30 days. Once in effect they shall be filed 
with the Council and made readily available to the public. Agencies are 
encouraged to publish explanatory guidance for these regulations and 
their own procedures. Agencies shall continue to review their policies 
and procedures and in consultation with the Council to revise them as 
necessary to ensure full compliance with the purposes and provisions of 
the Act.
    (b) Agency procedures shall comply with these regulations except 
where compliance would be inconsistent with statutory requirements and 
shall include:
    (1) Those procedures required by Sec. Sec.  1501.2(d), 1502.9(c)(3), 
1505.1, 1506.6(e), and 1508.4.
    (2) Specific criteria for and identification of those typical 
classes of action:
    (i) Which normally do require environmental impact statements.
    (ii) Which normally do not require either an environmental impact 
statement or an environmental assessment (categorical exclusions (Sec.  
1508.4)).
    (iii) Which normally require environmental assessments but not 
necessarily environmental impact statements.
    (c) Agency procedures may include specific criteria for providing 
limited exceptions to the provisions of these regulations for classified 
proposals. They are proposed actions which are specifically authorized 
under criteria established by an Executive Order or statute to be kept 
secret in the interest of national defense or foreign policy and are in 
fact properly classified pursuant to such Executive Order or statute. 
Environmental assessments and environmental impact statements

[[Page 1135]]

which address classified proposals may be safeguarded and restricted 
from public dissemination in accordance with agencies' own regulations 
applicable to classified information. These documents may be organized 
so that classified portions can be included as annexes, in order that 
the unclassified portions can be made available to the public.
    (d) Agency procedures may provide for periods of time other than 
those presented in Sec.  1506.10 when necessary to comply with other 
specific statutory requirements.
    (e) Agency procedures may provide that where there is a lengthy 
period between the agency's decision to prepare an environmental impact 
statement and the time of actual preparation, the notice of intent 
required by Sec.  1501.7 may be published at a reasonable time in 
advance of preparation of the draft statement.



PART 1508_TERMINOLOGY AND INDEX--Table of Contents

Sec.
1508.1 Terminology.
1508.2 Act.
1508.3 Affecting.
1508.4 Categorical exclusion.
1508.5 Cooperating agency.
1508.6 Council.
1508.7 Cumulative impact.
1508.8 Effects.
1508.9 Environmental assessment.
1508.10 Environmental document.
1508.11 Environmental impact statement.
1508.12 Federal agency.
1508.13 Finding of no significant impact.
1508.14 Human environment.
1508.15 Jurisdiction by law.
1508.16 Lead agency.
1508.17 Legislation.
1508.18 Major Federal action.
1508.19 Matter.
1508.20 Mitigation.
1508.21 NEPA process.
1508.22 Notice of intent.
1508.23 Proposal.
1508.24 Referring agency.
1508.25 Scope.
1508.26 Special expertise.
1508.27 Significantly.
1508.28 Tiering.

    Authority: NEPA, the Environmental Quality Improvement Act of 1970, 
as amended (42 U.S.C. 4371 et seq.), sec. 309 of the Clean Air Act, as 
amended (42 U.S.C. 7609), and E.O. 11514 (Mar. 5, 1970, as amended by 
E.O. 11991, May 24, 1977).

    Source: 43 FR 56003, Nov. 29, 1978, unless otherwise noted.



Sec.  1508.1  Terminology.

    The terminology of this part shall be uniform throughout the Federal 
Government.



Sec.  1508.2  Act.

    Act means the National Environmental Policy Act, as amended (42 
U.S.C. 4321, et seq.) which is also referred to as ``NEPA.''



Sec.  1508.3  Affecting.

    Affecting means will or may have an effect on.



Sec.  1508.4  Categorical exclusion.

    Categorical exclusion means a category of actions which do not 
individually or cumulatively have a significant effect on the human 
environment and which have been found to have no such effect in 
procedures adopted by a Federal agency in implementation of these 
regulations (Sec.  1507.3) and for which, therefore, neither an 
environmental assessment nor an environmental impact statement is 
required. An agency may decide in its procedures or otherwise, to 
prepare environmental assessments for the reasons stated in Sec.  1508.9 
even though it is not required to do so. Any procedures under this 
section shall provide for extraordinary circumstances in which a 
normally excluded action may have a significant environmental effect.



Sec.  1508.5  Cooperating agency.

    Cooperating agency means any Federal agency other than a lead agency 
which has jurisdiction by law or special expertise with respect to any 
environmental impact involved in a proposal (or a reasonable 
alternative) for legislation or other major Federal action significantly 
affecting the quality of the human environment. The selection and 
responsibilities of a cooperating agency are described in Sec.  1501.6. 
A State or local agency of similar qualifications or, when the effects 
are on a reservation, an Indian Tribe, may by agreement with the lead 
agency become a cooperating agency.

[[Page 1136]]



Sec.  1508.6  Council.

    Council means the Council on Environmental Quality established by 
title II of the Act.



Sec.  1508.7  Cumulative impact.

    Cumulative impact is the impact on the environment which results 
from the incremental impact of the action when added to other past, 
present, and reasonably foreseeable future actions regardless of what 
agency (Federal or non-Federal) or person undertakes such other actions. 
Cumulative impacts can result from individually minor but collectively 
significant actions taking place over a period of time.



Sec.  1508.8  Effects.

    Effects include:
    (a) Direct effects, which are caused by the action and occur at the 
same time and place.
    (b) Indirect effects, which are caused by the action and are later 
in time or farther removed in distance, but are still reasonably 
foreseeable. Indirect effects may include growth inducing effects and 
other effects related to induced changes in the pattern of land use, 
population density or growth rate, and related effects on air and water 
and other natural systems, including ecosystems.

Effects and impacts as used in these regulations are synonymous. Effects 
includes ecological (such as the effects on natural resources and on the 
components, structures, and functioning of affected ecosystems), 
aesthetic, historic, cultural, economic, social, or health, whether 
direct, indirect, or cumulative. Effects may also include those 
resulting from actions which may have both beneficial and detrimental 
effects, even if on balance the agency believes that the effect will be 
beneficial.



Sec.  1508.9  Environmental assessment.

    Environmental assessment:
    (a) Means a concise public document for which a Federal agency is 
responsible that serves to:
    (1) Briefly provide sufficient evidence and analysis for determining 
whether to prepare an environmental impact statement or a finding of no 
significant impact.
    (2) Aid an agency's compliance with the Act when no environmental 
impact statement is necessary.
    (3) Facilitate preparation of a statement when one is necessary.
    (b) Shall include brief discussions of the need for the proposal, of 
alternatives as required by section 102(2)(E), of the environmental 
impacts of the proposed action and alternatives, and a listing of 
agencies and persons consulted.



Sec.  1508.10  Environmental document.

    Environmental document includes the documents specified in Sec.  
1508.9 (environmental assessment), Sec.  1508.11 (environmental impact 
statement), Sec.  1508.13 (finding of no significant impact), and Sec.  
1508.22 (notice of intent).



Sec.  1508.11  Environmental impact statement.

    Environmental impact statement means a detailed written statement as 
required by section 102(2)(C) of the Act.



Sec.  1508.12  Federal agency.

    Federal agency means all agencies of the Federal Government. It does 
not mean the Congress, the Judiciary, or the President, including the 
performance of staff functions for the President in his Executive 
Office. It also includes for purposes of these regulations States and 
units of general local government and Indian tribes assuming NEPA 
responsibilities under section 104(h) of the Housing and Community 
Development Act of 1974.



Sec.  1508.13  Finding of no significant impact.

    Finding of no significant impact means a document by a Federal 
agency briefly presenting the reasons why an action, not otherwise 
excluded (Sec.  1508.4), will not have a significant effect on the human 
environment and for which an environmental impact statement therefore 
will not be prepared. It shall include the environmental assessment or a 
summary of it and shall note any other environmental documents related 
to it (Sec.  1501.7(a)(5)). If the assessment is included, the finding 
need not

[[Page 1137]]

repeat any of the discussion in the assessment but may incorporate it by 
reference.



Sec.  1508.14  Human environment.

    Human environment shall be interpreted comprehensively to include 
the natural and physical environment and the relationship of people with 
that environment. (See the definition of ``effects'' (Sec.  1508.8).) 
This means that economic or social effects are not intended by 
themselves to require preparation of an environmental impact statement. 
When an environmental impact statement is prepared and economic or 
social and natural or physical environmental effects are interrelated, 
then the environmental impact statement will discuss all of these 
effects on the human environment.



Sec.  1508.15  Jurisdiction by law.

    Jurisdiction by law means agency authority to approve, veto, or 
finance all or part of the proposal.



Sec.  1508.16  Lead agency.

    Lead agency means the agency or agencies preparing or having taken 
primary responsibility for preparing the environmental impact statement.



Sec.  1508.17  Legislation.

    Legislation includes a bill or legislative proposal to Congress 
developed by or with the significant cooperation and support of a 
Federal agency, but does not include requests for appropriations. The 
test for significant cooperation is whether the proposal is in fact 
predominantly that of the agency rather than another source. Drafting 
does not by itself constitute significant cooperation. Proposals for 
legislation include requests for ratification of treaties. Only the 
agency which has primary responsibility for the subject matter involved 
will prepare a legislative environmental impact statement.



Sec.  1508.18  Major Federal action.

    Major Federal action includes actions with effects that may be major 
and which are potentially subject to Federal control and responsibility. 
Major reinforces but does not have a meaning independent of 
significantly (Sec.  1508.27). Actions include the circumstance where 
the responsible officials fail to act and that failure to act is 
reviewable by courts or administrative tribunals under the 
Administrative Procedure Act or other applicable law as agency action.
    (a) Actions include new and continuing activities, including 
projects and programs entirely or partly financed, assisted, conducted, 
regulated, or approved by federal agencies; new or revised agency rules, 
regulations, plans, policies, or procedures; and legislative proposals 
(Sec. Sec.  1506.8, 1508.17). Actions do not include funding assistance 
solely in the form of general revenue sharing funds, distributed under 
the State and Local Fiscal Assistance Act of 1972, 31 U.S.C. 1221 et 
seq., with no Federal agency control over the subsequent use of such 
funds. Actions do not include bringing judicial or administrative civil 
or criminal enforcement actions.
    (b) Federal actions tend to fall within one of the following 
categories:
    (1) Adoption of official policy, such as rules, regulations, and 
interpretations adopted pursuant to the Administrative Procedure Act, 5 
U.S.C. 551 et seq.; treaties and international conventions or 
agreements; formal documents establishing an agency's policies which 
will result in or substantially alter agency programs.
    (2) Adoption of formal plans, such as official documents prepared or 
approved by federal agencies which guide or prescribe alternative uses 
of Federal resources, upon which future agency actions will be based.
    (3) Adoption of programs, such as a group of concerted actions to 
implement a specific policy or plan; systematic and connected agency 
decisions allocating agency resources to implement a specific statutory 
program or executive directive.
    (4) Approval of specific projects, such as construction or 
management activities located in a defined geographic area. Projects 
include actions approved by permit or other regulatory decision as well 
as federal and federally assisted activities.



Sec.  1508.19  Matter.

    Matter includes for purposes of part 1504:

[[Page 1138]]

    (a) With respect to the Environmental Protection Agency, any 
proposed legislation, project, action or regulation as those terms are 
used in section 309(a) of the Clean Air Act (42 U.S.C. 7609).
    (b) With respect to all other agencies, any proposed major federal 
action to which section 102(2)(C) of NEPA applies.



Sec.  1508.20  Mitigation.

    Mitigation includes:
    (a) Avoiding the impact altogether by not taking a certain action or 
parts of an action.
    (b) Minimizing impacts by limiting the degree or magnitude of the 
action and its implementation.
    (c) Rectifying the impact by repairing, rehabilitating, or restoring 
the affected environment.
    (d) Reducing or eliminating the impact over time by preservation and 
maintenance operations during the life of the action.
    (e) Compensating for the impact by replacing or providing substitute 
resources or environments.



Sec.  1508.21  NEPA process.

    NEPA process means all measures necessary for compliance with the 
requirements of section 2 and title I of NEPA.



Sec.  1508.22  Notice of intent.

    Notice of intent means a notice that an environmental impact 
statement will be prepared and considered. The notice shall briefly:
    (a) Describe the proposed action and possible alternatives.
    (b) Describe the agency's proposed scoping process including 
whether, when, and where any scoping meeting will be held.
    (c) State the name and address of a person within the agency who can 
answer questions about the proposed action and the environmental impact 
statement.



Sec.  1508.23  Proposal.

    Proposal exists at that stage in the development of an action when 
an agency subject to the Act has a goal and is actively preparing to 
make a decision on one or more alternative means of accomplishing that 
goal and the effects can be meaningfully evaluated. Preparation of an 
environmental impact statement on a proposal should be timed (Sec.  
1502.5) so that the final statement may be completed in time for the 
statement to be included in any recommendation or report on the 
proposal. A proposal may exist in fact as well as by agency declaration 
that one exists.



Sec.  1508.24  Referring agency.

    Referring agency means the federal agency which has referred any 
matter to the Council after a determination that the matter is 
unsatisfactory from the standpoint of public health or welfare or 
environmental quality.



Sec.  1508.25  Scope.

    Scope consists of the range of actions, alternatives, and impacts to 
be considered in an environmental impact statement. The scope of an 
individual statement may depend on its relationships to other statements 
(Sec. Sec.  1502.20 and 1508.28). To determine the scope of 
environmental impact statements, agencies shall consider 3 types of 
actions, 3 types of alternatives, and 3 types of impacts. They include:
    (a) Actions (other than unconnected single actions) which may be:
    (1) Connected actions, which means that they are closely related and 
therefore should be discussed in the same impact statement. Actions are 
connected if they:
    (i) Automatically trigger other actions which may require 
environmental impact statements.
    (ii) Cannot or will not proceed unless other actions are taken 
previously or simultaneously.
    (iii) Are interdependent parts of a larger action and depend on the 
larger action for their justification.
    (2) Cumulative actions, which when viewed with other proposed 
actions have cumulatively significant impacts and should therefore be 
discussed in the same impact statement.
    (3) Similar actions, which when viewed with other reasonably 
foreseeable or proposed agency actions, have similarities that provide a 
basis for evaluating their environmental

[[Page 1139]]

consequencies together, such as common timing or geography. An agency 
may wish to analyze these actions in the same impact statement. It 
should do so when the best way to assess adequately the combined impacts 
of similar actions or reasonable alternatives to such actions is to 
treat them in a single impact statement.
    (b) Alternatives, which include:
    (1) No action alternative.
    (2) Other reasonable courses of actions.
    (3) Mitigation measures (not in the proposed action).
    (c) Impacts, which may be: (1) Direct; (2) indirect; (3) cumulative.



Sec.  1508.26  Special expertise.

    Special expertise means statutory responsibility, agency mission, or 
related program experience.



Sec.  1508.27  Significantly.

    Significantly as used in NEPA requires considerations of both 
context and intensity:
    (a) Context. This means that the significance of an action must be 
analyzed in several contexts such as society as a whole (human, 
national), the affected region, the affected interests, and the 
locality. Significance varies with the setting of the proposed action. 
For instance, in the case of a site-specific action, significance would 
usually depend upon the effects in the locale rather than in the world 
as a whole. Both short- and long-term effects are relevant.
    (b) Intensity. This refers to the severity of impact. Responsible 
officials must bear in mind that more than one agency may make decisions 
about partial aspects of a major action. The following should be 
considered in evaluating intensity:
    (1) Impacts that may be both beneficial and adverse. A significant 
effect may exist even if the Federal agency believes that on balance the 
effect will be beneficial.
    (2) The degree to which the proposed action affects public health or 
safety.
    (3) Unique characteristics of the geographic area such as proximity 
to historic or cultural resources, park lands, prime farmlands, 
wetlands, wild and scenic rivers, or ecologically critical areas.
    (4) The degree to which the effects on the quality of the human 
environment are likely to be highly controversial.
    (5) The degree to which the possible effects on the human 
environment are highly uncertain or involve unique or unknown risks.
    (6) The degree to which the action may establish a precedent for 
future actions with significant effects or represents a decision in 
principle about a future consideration.
    (7) Whether the action is related to other actions with individually 
insignificant but cumulatively significant impacts. Significance exists 
if it is reasonable to anticipate a cumulatively significant impact on 
the environment. Significance cannot be avoided by terming an action 
temporary or by breaking it down into small component parts.
    (8) The degree to which the action may adversely affect districts, 
sites, highways, structures, or objects listed in or eligible for 
listing in the National Register of Historic Places or may cause loss or 
destruction of significant scientific, cultural, or historical 
resources.
    (9) The degree to which the action may adversely affect an 
endangered or threatened species or its habitat that has been determined 
to be critical under the Endangered Species Act of 1973.
    (10) Whether the action threatens a violation of Federal, State, or 
local law or requirements imposed for the protection of the environment.

[43 FR 56003, Nov. 29, 1978; 44 FR 874, Jan. 3, 1979]



Sec.  1508.28  Tiering.

    Tiering refers to the coverage of general matters in broader 
environmental impact statements (such as national program or policy 
statements) with subsequent narrower statements or environmental 
analyses (such as regional or basinwide program statements or ultimately 
site-specific statements) incorporating by reference the general 
discussions and concentrating solely on the issues specific to the 
statement

[[Page 1140]]

subsequently prepared. Tiering is appropriate when the sequence of 
statements or analyses is:
    (a) From a program, plan, or policy environmental impact statement 
to a program, plan, or policy statement or analysis of lesser scope or 
to a site-specific statement or analysis.
    (b) From an environmental impact statement on a specific action at 
an early stage (such as need and site selection) to a supplement (which 
is preferred) or a subsequent statement or analysis at a later stage 
(such as environmental mitigation). Tiering in such cases is appropriate 
when it helps the lead agency to focus on the issues which are ripe for 
decision and exclude from consideration issues already decided or not 
yet ripe.



Index to Parts 1500 Through 1508--Table of Contents

    Editorial Note: This listing is provided for information purposes 
only. It is compiled and kept up-to-date by the Council on Environmental 
Quality, and is revised through July 1, 2007.

                                  Index
Act.......................................  1508.2.
Action....................................  1508.18, 1508.25.
Action-forcing............................  1500.1, 1502.1.
Adoption..................................  1500.4(n), 1500.5(h),
                                             1506.3.
Affected Environment......................  1502.10(f), 1502.15.
Affecting.................................  1502.3, 1508.3.
Agency Authority..........................  1500.6.
Agency Capability.........................  1501.2(a), 1507.2.
Agency Compliance.........................  1507.1.
Agency Procedures.........................  1505.1, 1507.3.
Agency Responsibility.....................  1506.5.
Alternatives..............................  1501.2(c), 1502.2,
                                             1502.10(e), 1502.14,
                                             1505.1(e), 1505.2,
                                             1507.2(d), 1508.25(b).
Appendices................................  1502.10(k), 1502.18,
                                             1502.24.
Applicant.................................  1501.2(d)(1), 1501.4(b),
                                             1501.8(a), 1502.19(b),
                                             1503.1(a)(3), 1504.3(e),
                                             1506.1(d), 1506.5(a),
                                             1506.5(b).
Apply NEPA Early in the Process...........  1501.2.
Categorical Exclusion.....................  1500.4(p), 1500.5(k),
                                             1501.4(a), 1507.3(b),
                                             1508.4.
Circulating of Environmental Impact         1502.19, 1506.3.
 Statement.
Classified Information....................  1507.3(c).
Clean Air Act.............................  1504.1, 1508.19(a).
Combining Documents.......................  1500.4(o), 1500.5(i),
                                             1506.4.
Commenting................................  1502.19, 1503.1, 1503.2,
                                             1503.3, 1503.4, 1506.6(f).
Consultation Requirement..................  1500.4(k), 1500.5(g),
                                             1501.7(a)(6), 1502.25.
Context...................................  1508.27(a).
Cooperating Agency........................  1500.5(b), 1501.1(b),
                                             1501.5(c), 1501.5(f),
                                             1501.6, 1503.1(a)(1),
                                             1503.2, 1503.3, 1506.3(c),
                                             1506.5(a), 1508.5.
Cost-Benefit..............................  1502.23.
Council on Environmental Quality..........  1500.3, 1501.5(e),
                                             1501.5(f), 1501.6(c),
                                             1502.9(c)(4), 1504.1,
                                             1504.2, 1504.3, 1506.6(f),
                                             1506.9, 1506.10(e),
                                             1506.11, 1507.3, 1508.6,
                                             1508.24.
Cover Sheet...............................  1502.10(a), 1502.11.
Cumulative Impact.........................  1508.7, 1508.25(a),
                                             1508.25(c).
Decisionmaking............................  1505.1, 1506.1.
Decision points...........................  1505.1(b).
Dependent.................................  1508.25(a).
Draft Environmental Impact Statement......  1502.9(a).
Early Application of NEPA.................  1501.2.
Economic Effects..........................  1508.8.
Effective Date............................  1506.12.
Effects...................................  1502.16, 1508.8.
Emergencies...............................  1506.11.
Endangered Species Act....................  1502.25, 1508.27(b)(9).
Energy....................................  1502.16(e).
Environmental Assessment..................  1501.3, 1501.4(b),
                                             1501.4(c), 1501.7(b)(3),
                                             1506.2(b)(4), 1506.5(b),
                                             1508.4, 1508.9, 1508.10,
                                             1508.13.
Environmental Consequences................  1502.10(g), 1502.16.
Environmental Consultation Requirements...  1500.4(k), 1500.5(g),
                                             1501.7(a)(6), 1502.25,
                                             1503.3(c).
Environmental Documents...................  1508.10.
Environmental Impact Statement............  1500.4, 1501.4(c), 1501.7,
                                             1501.3, 1502.1, 1502.2,
                                             1502.3, 1502.4, 1502.5,
                                             1502.6, 1502.7, 1502.8,
                                             1502.9, 1502.10, 1502.11,
                                             1502.12, 1502.13, 1502.14,
                                             1502.15, 1502.16, 1502.17,
                                             1502.18, 1502.19, 1502.20,
                                             1502.21, 1502.22, 1502.23,
                                             1502.24, 1502.25,
                                             1506.2(b)(4), 1506.3,
                                             1506.8, 1508.11.
Environmental Protection Agency...........  1502.11(f), 1504.1, 1504.3,
                                             1506.7(c), 1506.9, 1506.10,
                                             1508.19(a).
Environmental Review Requirements.........  1500.4(k), 1500.5(g),
                                             1501.7(a)(6), 1502.25
                                             1503.3(c).
Expediter.................................  1501.8(b)(2).
Federal Agency............................  1508.12.
Filing....................................  1506.9.
Final Environmental Impact Statement......  1502.9(b), 1503.1,
                                             1503.4(b).
Finding of No Significant Impact..........  1500.3, 1500.4(q),
                                             1500.5(1), 1501.4(e),
                                             1508.13.
Fish and Wildlife Coordination Act........  1502.25.
Format for Environmental Impact Statement.  1502.10.
Freedom of Information Act................  1506.6(f).
Further Guidance..........................  1506.7.
Generic...................................  1502.4(c)(2).
General Services Administration...........  1506.8(b)(5).
Geographic................................  1502.4(c)(1).
Graphics..................................  1502.8.
Handbook..................................  1506.7(a).

[[Page 1141]]

 
Housing and Community Development Act.....  1506.12, 1508.12.
Human Environment.........................  1502.3, 1502.22, 1508.14.
Impacts...................................  1508.8, 1508.25(c).
Implementing the Decision.................  1505.3.
Incomplete or Unavailable Information.....  1502.22.
Incorporation by Reference................  1500.4(j), 1502.21.
Index.....................................  1502.10(j).
Indian Tribes.............................  1501.2(d)(2), 1501.7(a)(1),
                                             1502.15(c),
                                             1503.1(a)(2)(ii),
                                             1506.6(b)(3)(ii), 1508.5,
                                             1508.12.
Intensity.................................  1508.27(b).
Interdisciplinary Preparation.............  1502.6, 1502.17.
Interim Actions...........................  1506.1.
Joint Lead Agency.........................  1501.5(b), 1506.2.
Judicial Review...........................  1500.3.
Jurisdication by Law......................  1508.15.
Lead Agency...............................  1500.5(c), 1501.1(c),
                                             1501.5, 1501.6, 1501.7,
                                             1501.8, 1504.3,
                                             1506.2(b)(4), 1506.8(a),
                                             1506.10(e), 1508.16.
Legislation...............................  1500.5(j), 1502.3, 1506.8,
                                             1508.17, 1508.18(a).
Limitation on Action During NEPA Process..  1506.1.
List of Preparers.........................  1502.10(h), 1502.17.
Local or State............................  1500.4(n), 1500.5(h),
                                             1501.2(d)(2), 1501.5(b),
                                             1501.5(d), 1501.7(a)(1),
                                             1501.8(c), 1502.16(c),
                                             1503.1(a)(2), 1506.2(b),
                                             1506.6(b)(3), 1508.5,
                                             1508.12, 1508.18.
Major Federal Action......................  1502.3, 1508.18.
Mandate...................................  1500.3.
Matter....................................  1504.1, 1504.2, 1504.3,
                                             1508.19.
Methodology...............................  1502.24.
Mitigation................................  1502.14(h), 1502.16(h),
                                             1503.3(d), 1505.2(c),
                                             1505.3, 1508.20.
Monitoring................................  1505.2(c), 1505.3.
National Historic Preservation Act........  1502.25.
National Register of Historical Places....  1508.27(b)(8).
Natural or Depletable Resource              1502.16(f).
 Requirements.
Need for Action...........................  1502.10(d), 1502.13.
NEPA Process..............................  1508.21.
Non-Federal Sponsor.......................  1501.2(d).
Notice of Intent..........................  1501.7, 1507.3(e), 1508.22.
OMB Circular A-95.........................  1503.1(a)(2)(iii), 1505.2,
                                             1506.6(b)(3)(i).
102 Monitor...............................  1506.6(b)(2), 1506.7(c).
Ongoing Activities........................  1506.12.
Page Limits...............................  1500.4(a), 1501.7(b),
                                             1502.7.
Planning..................................  1500.5(a), 1501.2(b),
                                             1502.4(a), 1508.18.
Policy....................................  1500.2, 1502.4(b),
                                             1508.18(a).
Program Environmental Impact Statement....  1500.4(i), 1502.4, 1502.20,
                                             1508.18.
Programs..................................  1502.4, 1508.18(b).
Projects..................................  1508.18.
Proposal..................................  1502.4, 1502.5, 1506.8,
                                             1508.23.
Proposed Action...........................  1502.10(e), 1502.14,
                                             1506.2(c).
Public Health and Welfare.................  1504.1.
Public Involvement........................  1501.4(e), 1503.1(a)(3),
                                             1506.6.
Purpose...................................  1500.1, 1501.1, 1502.1,
                                             1504.1.
Purpose of Action.........................  1502.10(d), 1502.13.
Record of Decision........................  1505.2, 1506.1.
Referrals.................................  1504.1, 1504.2, 1504.3,
                                             1506.3(d).
Referring Agency..........................  1504.1, 1504.2, 1504.3.
Response to Comments......................  1503.4.
Rural Electrification Administration......  1506.1(d).
Scientific Accuracy.......................  1502.24.
Scope.....................................  1502.4(a), 1502.9(a),
                                             1508.25.
Scoping...................................  1500.4(b), 1501.1(d),
                                             1501.4(d), 1501.7,
                                             1502.9(a), 1506.8(a).
Significantly.............................  1502.3, 1508.27.
Similar...................................  1508.25.
Small Business Associations...............  1506.6(b)(3)(vi).
Social Effects............................  1508.8.
Special Expertise.........................  1508.26.
Specificity of Comments...................  1500.4(1), 1503.3.
State and Areawide Clearinghouses.........  1501.4(e)(2),
                                             1503.1(a)(2)(iii),
                                             1506.6(b)(3)(i).
State and Local...........................  1500.4(n), 1500.5(h),
                                             1501.2(d)(2), 1501.5(b),
                                             1501.5(d), 1501.7(a)(1),
                                             1501.8(c), 1502.16(c),
                                             1503.1(a)(2), 1506.2(b),
                                             1506.6(b)(3), 1508.5,
                                             1508.12, 1508.18.
State and Local Fiscal Assistance Act.....  1508.18(a).
Summary...................................  1500.4(h), 1502.10(b),
                                             1502.12.
Supplements to Environmental Impact         1502.9(c).
 Statements.
Table of Contents.........................  1502.10(c).
Technological Development.................  1502.4(c)(3).
Terminology...............................  1508.1.
Tiering...................................  1500.4(i), 1502.4(d),
                                             1502.20, 1508.28.
Time Limits...............................  1500.5(e), 1501.1(e),
                                             1501.7(b)(2), 1501.8.
Timing....................................  1502.4, 1502.5, 1506.10.
Treaties..................................  1508.17.
When to Prepare an Environmental Impact     1501.3.
 Statement.
Wild and Scenic Rivers Act................  1506.8(b)(ii).
Wilderness Act............................  1506.8(b)(ii).
Writing...................................  1502.
------------------------------------------------------------------------



PART 1515_FREEDOM OF INFORMATION ACT PROCEDURES--Table of Contents

                                 Purpose

Sec.
1515.1 What are these procedures?

                           Organization of CEQ

1515.2 What is the Council on Environmental Quality (CEQ)?
1515.3 How is CEQ organized?

                    Procedures for Requesting Records

1515.5 How to make a Freedom of Information Act request.

[[Page 1142]]

                       Availability of Information

1515.10 What information is available, and how can it be obtained?

                                  Costs

1515.15 What fees may be charged, and how should they be paid?

    Authority: 5 U.S.C. 552, as amended by Pub. L. 93-502.

    Source: 42 FR 65158, Dec. 30, 1977, unless otherwise noted.

                                 Purpose



Sec.  1515.1  What are these procedures?

    The Freedom of Information Act (5 U.S.C. 552, commonly known as 
FOIA) is a law which creates a procedure for any person to request 
official documents and other records from United States Government 
agencies. The law requires every Federal agency to make available to the 
public the material requested, unless the material falls under one of 
the limited exceptions stated in section 552(b)(5) of the Act, and the 
agency has good reason to refuse the request. These procedures explain 
how the Council on Environmental Quality--one of several offices in the 
Executive Office of the President--will carry out the Freedom of 
Information Act. They are written from the standpoint of a member of the 
public requesting material from the Council.

                           Organization of CEQ



Sec.  1515.2  What is the Council on Environmental Quality (CEQ)?

    (a) The Council on Environmental Quality (``CEQ'' or ``the 
Council'') was created by the National Environmental Policy Act of 1969, 
as amended (42 U.S.C. 4321 through 4347). The Council's authority is 
derived from that Act, the Environmental Quality Improvement Act of 
1970, as amended (42 U.S.C. 4371-4374), Reorganization Plan No. 1 of 
1977 (July 15, 1977), and Executive Order 11514, Protection and 
Enhancement of Environmental Quality, March 5, 1970, as amended by 
Executive Order 11991, May 24, 1977.
    (b) The Council's primary responsibilities include the following:
    (1) To review and evaluate the programs and activities of the 
Federal Government to determine how they are contributing to the 
attainment of the national environmental policy;
    (2) To assist Federal agencies and departments in appraising the 
effectiveness of their existing and proposed facilities, programs, 
policies, and activities affecting environmental quality;
    (3) To develop and recommend to the President policies to improve 
environmental quality to meet the conservation, social, economic, 
health, and other requirements and goals of the Nation;
    (4) To advise and assist the President in achieving international 
cooperation for dealing with environmental problems;
    (5) To assist in coordinating among Federal agencies and departments 
those programs which affect, protect, and improve environmental quality, 
including Federal compliance with the environmental impact statement 
process, and to seek resolution of significant environmental issues;
    (6) To foster research relating to environmental quality and the 
impacts of new or changing technologies; and
    (7) To analyze long and short term environmental problems and trends 
and assist in preparing an annual Environmental Quality Report to the 
President and the Congress.
    (c) The Council maintains a ``Quarterly Index'' which lists its 
current policies and procedures, as required by section 552(a)(2) of the 
Freedom of Information Act. This index is updated and published in the 
Federal Register quarterly, starting in 1976. The Quarterly Index--and 
the specific items listed in the index--are available on request from 
the Freedom of Information Officer. You may also inspect or copy any of 
these materials at the Council's office during the hours stated below in 
Sec.  1515.3(f).



Sec.  1515.3  How is CEQ organized?

    (a) The Council is made up of three members appointed by the 
President and subject to approval by the Senate. One member is 
designated as chairman by the President. All three serve in a full-time 
capacity.
    (b) The National Environmental Policy Act and the Environmental 
Quality Improvement Act give the Council the authority to hire any 
officers and staff

[[Page 1143]]

that may be necessary to carry out responsibilities and functions 
specified in these two Acts. Also, the use of consultants and experts is 
permitted.
    (c) In addition to the three members, the Council has program and 
legal staff.
    (d) The Council has no field or regional offices.
    (e) The Council has a public affairs office which is responsible for 
providing information to the general public, the Congress, and the 
press. If you are interested in general information about the Council or 
have questions about the Council's recent activities or policy 
positions, you should call this office at (202) 633-7005 or write to the 
``Public Affairs Office'' of the Council at the address given in the 
next paragraph.
    Note: The CEQ public affairs office can respond fully and promptly 
to most questions you may have; the Council suggests that the Freedom of 
Information Act procedures be used when you are seeking a specific 
document and have had difficulty obtaining it.
    (f) The Council is located at 722 Jackson Place NW., Washington, DC 
20006. Office hours are 9-5:30, Monday through Friday, except legal 
holidays. If you wish to meet with any of the staff, please write or 
phone ahead for an appointment. The main number is 202-633-7027.

                    Procedures for Requesting Records



Sec.  1515.5  How to make a Freedom of Information Act request.

    (a) The Chairman has appointed a Freedom of Information Officer who 
will be responsible for overseeing the Council's administration of the 
Freedom of Information Act and for receiving, routing, and overseeing 
the processing of all Freedom of Information requests. The Chairman has 
also appointed an Appeals Officer who is responsible for processing any 
appeals.
    (b) Requesting information from the Council. (1) When you make a 
Freedom of Information Act request to the Council, the Freedom of 
Information Officer shall decide how to respond to--or ``make an initial 
determination on''--your request within 10 working days from the date 
the Officer receives the request. The Freedom of Information Officer 
will then provide you with written notification of the determination.
    (2) You can make a Freedom of Information Act request by writing a 
letter which states that you are making a Freedom of Information Act 
request. Address your letter to:

Freedom of Information Officer, Council on Environmental Quality, 
Executive Office of the President, 722 Jackson Place NW., Washington, DC 
20006.

    (3) In your request you should identify the desired record or 
reasonably describe it. The request should be as specific as possible so 
that the item can be readily found. You should not make blanket 
requests, such as requests for ``the entire file of'' or ``all materials 
relating to'' a specified subject.
    (4) The Council will make a reasonable effort to assist you in 
defining the request to eliminate extraneous and unwanted materials and 
to keep search and copying fees to a minimum. If you have budgetary 
constraints and anticipate that your request might be costly you may 
wish to indicate the maximum fee you are prepared to pay for acquiring 
the information. (See Sec.  1515.15(c) also.)
    (5) The 10 day period for making a determination on a request will 
begin when the records reqested are specified or reasonably 
identifiable.
    (6) Despite its name, the Freedom of Information Act does not 
require a government agency to create or research information that you 
would like or that you may think the agency should have. The Act only 
requres that existing records be made available to the public.
    (c) Council's response to a request. (1) Upon receipt of any request 
under the Act, the Freedom of Information Officer shall direct the 
request to the appropriate staff member at the Council, who will review 
the request and advise the Freedom of Information Officer as soon as 
possible.
    (2) If it is appropriate to grant the request, the staff member will 
immediately collect the requested materials in order to accompany, 
wherever possible, the Freedom of Information Officer's letter notifying 
you of the decision.

[[Page 1144]]

    (3) If your request is denied, in part or in full, the letter 
notifying you of the decision will be signed by the Freedom of 
Information Officer, and will include the names of any other individuals 
who participated in the decision. The letter will include the reasons 
for any denial and the procedure for filing an appeal.
    (d) Appeals. (1) If you are not satisfied with the response you have 
received from the Freedom of Information Officer, you may ask the 
Council to reconsider the decision. You should explain what material you 
still wish to receive, and why you believe the Council should disclose 
this to you. This is called an ``appeal.'' You must make you appeal 
within 45 days of the date on the letter which denied your request.
    (2) You can make an appeal by writing a letter to:

FOIA Appeals Officer, Council on Environmental Quality, Executive Office 
of the President, 722 Jackson Place NW., Washington, DC 20006.

    (3) Your letter should specify the records being requested and ask 
the Appeals Officer to review the determination made by the Freedom of 
Information Officer. The letter should explain the basis for the appeal.
    (4) The Appeals Officer shall decide the appeal--or ``make a final 
determination''--within 20 working days from the date the Officer 
receives the appeal. The Appeals Officer (or designee) will send you a 
letter informing you of the decision as soon as it is made. If the 
Appeals Officer denies your request, in part or in whole, the letter 
will also notify you of the provisions for judicial review and the names 
of any persons who participated in the final determination of the 
appeal.
    (e) Extending the Council's time to respond. In unusual 
circumstances, the time limits for response to your request (paragraphs 
(b) and (d) of this section) may be extended by the Council for not more 
than 10 working days. Extensions may be granted by the Freedom of 
Information Officer in the case of initial requests and by the Appeals 
Officer in the case of any appeals. The extension period may be split 
between the initial request and the appeal but may not exceed 10 working 
days overall. Any extension will be made or confirmed to you in writing 
and will set forth the reasons for the extension and the date that the 
final determination is expected. The term ``unusual circumstances'' 
means:
    (i) The need to search for and collect the requested records from * 
* * establishments that are separate from the office processing the 
request;
    (ii) The need to search for, collect, and appropriately examine a 
voluminous amount of separate and distinct records which are demanded in 
a single request; or
    (iii) The need for consultation, which shall be conducted with all 
practicable speed, with another agency having a substantial interest in 
the determination of the request or among two or more components of the 
agency having substantial subject-matter interest therein.

(5 U.S.C. 552(a)(6)(B))

                       Availability of Information



Sec.  1515.10  What information is available, and how can it be obtained?

    (a) When a request for information has been approved, in whole or in 
part, you may make an appointment to inspect or copy the materials 
requested during regular business hours by writing or telephoning the 
Freedom of Information Officer at the address or phone number given in 
Sec.  1515.3(f). You may be charged reasonable fees for copying 
materials, as explained by Sec.  1515.15. The Council on Environmental 
Quality will permit copying of any available material but will reserve 
the right to limit the number of copies made with the Council's copying 
facilities.
    (b) In general, all records of the Council are available to the 
public, as required by the Freedom of Information Act. The Council 
claims the right, where it is applicable, to withhold material under the 
provisions specified in the Freedom of Information Act as amended (5 
U.S.C. 552(b)).
    (c) The legislative history of the establishment of the Council 
states that the Congress intended the Council to be a confidential 
advisor to the President on matters of environmental policy. Therefore, 
members of the public should presume that communications

[[Page 1145]]

between the Council and the President (and their staffs) are 
confidential and ordinarily will not be released; they will usually 
fall, at a minimum, within Exemption 5 of the Act. The Freedom of 
Information Officer shall review each request, however, to determine 
whether the record is exclusively factual or may have factual portions 
which may be reasonably segregated and made available to the requester. 
Furthermore, on the recommendation of the FOIA Officer or Appeals 
Officer, the Council will consider the release of an entire record, even 
if it comes within an exemption or contains policy advice, if its 
disclosure would not impair Executive policymaking processes or the 
Council's participation in decisionmaking.

                                  Costs



Sec.  1515.15  What fees may be charged, and how should they be paid?

    (a) Following is the schedule of fees you may be charged for the 
search and reproduction of information available under the Freedom of 
Information Act, 5 U.S.C. 552, as amended.
    (1) Search for records. Five dollars per hour when the search is 
conducted by a clerical employee. Eight dollars per hour when the search 
is conducted by a professional employee. There will be no charge for 
searches of less than one hour.
    (2) Duplication of records. Records will be duplicated at a rate of 
$0.10 per page for copying of 10 pages or more. There will be no charge 
for duplicating 9 pages or less.
    (3) Other. When no specific fee has been established for a service, 
or the request for a service does not fall under categories (1) and (2), 
the Administrative Officer is authorized to establish an appropriate fee 
based on ``direct costs'' as provided in the Freedom of Information Act. 
Examples of services covered by this provision include searches 
involving computer time or special travel, transportation, or 
communication costs.
    (b) If the Council anticipates that the fees chargeable under this 
section will amount to more than $25, or the maximum amount specified in 
your request, you shall be promptly notified of the amount of the 
anticipated fee or the closest estimate of the amount. In such instances 
you will be advised of your option to consult with Council personnel in 
order to reformulate the request in a manner which will reduce the fees, 
yet still meet your needs. A reformulated request shall be considered a 
new request, thus beginning a new 10 working day period for processing.
    (c) Fees must be paid in full prior to issuance of the requested 
copies. In the event you owe money for previous request, copies of 
records will not be provided for any subsequent request until the debt 
has been paid in full.
    (d) Search costs are due and payable even if the record which was 
requested cannot be located after all reasonable efforts have been made, 
or if the FOI Officer determines that a record which has been requested 
is exempt under the Freedom of Information Act as amended and is to be 
withheld.
    (e) Payment shall be in the form either of a personal check or bank 
draft drawn on a bank in the United States, or a postal money order. 
Checks shall be made payable to General Services Administration. You 
should mail or deliver any payment for services to the Administrative 
Office, Council on Environmental Quality, 722 Jackson Place NW., 
Washington, DC 20006.
    (f) A receipt for fees paid will be given upon request. Refunds of 
fees paid for services actually rendered will not be made.
    (g) The Council may waive all or part of any fee provided for in 
this section when the Freedom of Information Officer (or designee) deems 
it to be in either the Council's interest or in the general public's 
interest.



PART 1516_PRIVACY ACT IMPLEMENTATION--Table of Contents

Sec.
1516.1 Purpose and scope.
1516.2 Definitions.
1516.3 Procedures for requests pertaining to individual records in a 
          record system.
1516.4 Times, places, and requirements for the identification of the 
          individual making a request.
1516.5 Disclosure of requested information to the individual.

[[Page 1146]]

1516.6 Request for correction or amendment to the record.
1516.7 Agency review of request for correction or amendment of the 
          record.
1516.8 Appeal of an initial adverse agency determination on correction 
          or amendment of the record.
1516.9 Disclosure of a record to a person other than the individual to 
          whom the record pertains.
1516.10 Fees.

    Authority: 5 U.S.C. 552a; Pub. L. 93-579.

    Source: 42 FR 32537, June 27, 1977, unless otherwise noted.



Sec.  1516.1  Purpose and scope.

    The purposes of these regulations are to:
    (a) Establish a procedure by which an individual can determine if 
the Council on Environmental Quality (hereafter known as the Council) 
maintains a system of records which includes a record pertaining to the 
individual; and
    (b) Establish a procedure by which an individual can gain access to 
a record pertaining to him or her for the purpose of review, amendment 
and/or correction.



Sec.  1516.2  Definitions.

    For the purpose of these regulations:
    (a) The term individual means a citizen of the United States or an 
alien lawfully admitted for permanent residence;
    (b) The term maintain means maintain, collect, use or disseminate;
    (c) The term record means any item or collection or grouping of 
information about an individual that is maintained by the Council 
(including, but not limited to, his or her employment history, payroll 
information, and financial transactions), and that contains his or her 
name, or an identifying number, symbol, or other identifying particular 
assigned to the individual such as a social security number;
    (d) The term system of records means a group of any records under 
the control of the Council from which information is retrieved by the 
name of the individual or by some identifying number, symbol, or other 
identifying particular assigned to the individual; and
    (e) The term routine use means with respect to the disclosure of a 
record, the use of such record for a purpose which is compatible with 
the purpose for which it was collected.



Sec.  1516.3  Procedures for requests pertaining to individual records in a record system.

    An individual shall submit a written request to the Administrative 
Officer of the Council to determine if a system of records named by the 
individual contains a record pertaining to the individual. The 
individual shall submit a written request to the Administrative Officer 
of the Council which states the individual's desire to review his or her 
record. The Administrative Officer of the Council is available to answer 
questions regarding these regulations and to provide assistance in 
locating records in the Council's system of records.

[42 FR 32537, June 27, 1977; 42 FR 35960, July 13, 1977]



Sec.  1516.4  Times, places, and requirements for the identification of the individual making a request.

    An individual making a request to the Administrative Officer of the 
Council pursuant to Sec.  1516.3 shall present the request at the 
Council's office, 722 Jackson Place NW., Washington, DC 20006, on any 
business day between the hours of 9 a.m. and 5 p.m. and should be 
prepared to identify himself by signature. Requests will also be 
accepted in writing if mailed to the Council's offices and signed by the 
requester.



Sec.  1516.5  Disclosure of requested information to the individual.

    Upon verification of identity, the Council shall disclose to the 
individual the information contained in the record which pertains to 
that individual.
    (a) The individual may be accompanied for this purpose by a person 
of his choosing.
    (b) Upon request of the individual to whom the record pertains, all 
information in the accounting of disclosures will be made available.

[42 FR 35960, July 13, 1977]



Sec.  1516.6  Request for correction or amendment to the record.

    The individual may submit a request to the Administrative Officer of 
the

[[Page 1147]]

Council which states the individual's desire to correct or to amend his 
or her record. This request must be made in accordance with the 
procedures of Sec.  1516.4 and shall describe in detail the change which 
is requested.

[42 FR 32537, June 27, 1977. Redesignated at 42 FR 35960, July 13, 1977]



Sec.  1516.7  Agency review of request for correction or amendment of the record.

    Within ten working days of the receipt of a request to correct or to 
amend a record, the Administrative Officer of the Council will 
acknowledge in writing such receipt and promptly either:
    (a) Make any correction or amendment of any portion thereof which 
the individual believes is not accurate, relevant, timely, or complete; 
or
    (b) Inform the individual of his or her refusal to correct or amend 
the record in accordance with the request, the reason for the refusal, 
and the procedure established by the Council for the individual to 
request a review of that refusal.



Sec.  1516.8  Appeal of an initial adverse agency determination on correction or amendment of the record.

    An individual may appeal refusal by the Administrative Officer of 
the Council to correct or to amend his or her record by submitting a 
request for a review of such refusal to the General Counsel, Council on 
Environmental Quality, 722 Jackson Place NW., Washington, DC 20006. The 
General Counsel shall, not later than thirty working days from the date 
on which the individual requests such a review, complete such review and 
make a final determination unless, for good cause shown, the General 
Counsel extends such thirty day period. If, after his or her review, the 
General Counsel also refuses to correct or to amend the record in 
accordance with the request, the individual may file with the Council a 
concise statement setting forth the reasons for his or her disagreement 
with the General Counsel's decision and may seek judicial relief under 5 
U.S.C. 552a(g)(1)(A).



Sec.  1516.9  Disclosure of a record to a person other than the individual to whom the record pertains.

    The Council will not disclose a record to any individual other than 
to the individual to whom the record pertains without receiving the 
prior written consent of the individual to whom the record pertains, 
unless the disclosure either has been listed as a ``routine use'' in the 
Council's notices of its systems of records or falls within the special 
conditions of disclosure set forth in section 3 of the Privacy Act of 
1974.



Sec.  1516.10  Fees.

    If an individual requests copies of his or her record, he or she 
shall be charged ten cents per page, excluding the cost of any search 
for the record, in advance of receipt of the pages.



PART 1517_PUBLIC MEETING PROCEDURES OF THE COUNCIL ON ENVIRONMENTAL QUALITY--Table of Contents

Sec.
1517.1 Policy and scope.
1517.2 Definitions.
1517.3 Open meeting requirement.
1517.4 Exceptions.
1517.5 Procedure for closing meetings.
1517.6 Notice of meetings.
1517.7 Records of closed meetings.

    Authority: 5 U.S.C. 552b(g); Pub. L. 94-409.

    Source: 42 FR 20818, Apr. 22, 1977, unless otherwise noted.



Sec.  1517.1  Policy and scope.

    Consistent with the policy that the public is entitled to the 
fullest information regarding the decisionmaking processes of the 
Federal Government, it is the purpose of this part to open the meetings 
of the Council on Environmental Quality to public observation while 
protecting the rights of individuals and the ability of the Council to 
carry out its primary responsibility of providing advice to the 
President. Actions taken by the Chairman acting as Director of the 
Office of Environmental Quality and Council actions involving advice to 
the President when such advice is not formulated collegially during a 
meeting are outside the scope of this part. In addition to conducting 
the meetings required by this

[[Page 1148]]

part, it is the Council's policy to conduct, open to public observation, 
periodic meetings involving Council discussions of Council business, 
including where appropriate, matters outside the scope of this part. 
This part does not affect the procedures set forth in part 1515 pursuant 
to which records of the Council are made available to the public for 
inspection and copying, except that the exemptions set forth in Sec.  
1517.4(a) shall govern in the case of any request made to copy or 
inspect the transcripts, recording or minutes described in Sec.  1517.7.

[47 FR 6277, Feb. 11, 1982]



Sec.  1517.2  Definitions.

    For the purpose of this part:
    (a) The term Council shall mean the Council on Environmental Quality 
established under title II of the National Environmental Policy Act of 
1969 (42 U.S.C. 4321 through 4347).
    (b) The term meeting means the deliberations of at least two Council 
members where such deliberations determine or result in the joint 
conduct or disposition of official collegial Council business, but does 
not include deliberations to take actions to open or close a meeting 
under Sec. Sec.  1517.4 and 1517.5 or to release or withhold information 
under Sec. Sec.  1517.4 and 1517.7. ``Meeting'' shall not be construed 
to prevent Council members from considering individually Council 
business that is circulated to them sequentially in writing.
    (c) Director means the Chairman of the Council on Environmental 
Quality acting as the head of the Office of Environmental Quality 
pursuant to the Environmental Quality Improvement Act of 1970, Pub. L. 
91-224, 42 U.S.C. 4371 through 4374.

[44 FR 34946, June 18, 1979, as amended at 47 FR 6277, Feb. 11, 1982]



Sec.  1517.3  Open meeting requirement.

    (a) Every portion of every meeting of the Council is open to public 
observation subject to the exemptions provided in Sec.  1517.4. Members 
of the Council may not jointly conduct or dispose of the business of the 
Council other than in accordance with this part.
    (b) The Council will conduct open to public observation periodic 
meetings involving Council discussions of Council business including 
where appropriate matters outside the scope of this part. Such meetings 
will be noticed pursuant to Sec.  1517.6.
    (c) Members of the public may attend open meetings of the Council 
for the sole purpose of observation and may not participate in or 
photograph any meeting without prior permission of the Council. Members 
of the public who desire to participate in or photograph an open meeting 
of the Council may request permission to do so from the General Counsel 
of the Council before such meeting. Members of the public may record 
open meetings of the Council by means of any mechanical or electronic 
device unless the Council determines such recording would disrupt the 
orderly conduct of such meeting.

[44 FR 34946, June 18, 1979, as amended at 47 FR 6277, Feb. 11, 1982]



Sec.  1517.4  Exceptions.

    (a) A meeting or portion thereof may be closed to public 
observation, and information pertaining to such meeting or portion 
thereof may be withheld from the public, if the Council determines that 
such meeting or portion thereof or disclosure of such information is 
likely to:
    (1) Disclose matters that are (i) specifically authorized under 
criteria established by an Executive order to be kept secret in the 
interest of national defense or foreign policy and (ii) in fact properly 
classified pursuant to that Executive order;
    (2) Relate solely to the internal personnel rules and practices of 
the Council;
    (3) Disclose matters specifically exempted from disclosure by 
statute (other than the Freedom of Information Act, 5 U.S.C. 552), 
provided that the statute: (i) Requires that the matters be withheld 
from the public in such a manner as to leave no discretion on the issue, 
or (ii) establishes particular criteria for withholding or refers to 
particular types of matters to be withheld;
    (4) Disclose the trade secrets and commercial or financial 
information obtained from a person and privileged or confidential;

[[Page 1149]]

    (5) Involve accusing any person of a crime, or formally censuring 
any person;
    (6) Disclose information of a personal nature if disclosure would 
constitute a clearly unwarranted invasion of personal privacy;
    (7) Disclose investigatory records compiled for law enforcement 
purposes, or information which if written would be contained in such 
records, but only to the extent that the production of those records or 
information would:
    (i) Interfere with enforcement proceedings,
    (ii) Deprive a person of a right to a fair trial or an impartial 
adjudication,
    (iii) Constitute an unwarranted invasion of personal privacy,
    (iv) Disclose the identity of a confidential source and, in the case 
of a record compiled by a criminal law enforcement authority in the 
course of a criminal investigation, or by an agency conducting a lawful 
national security intelligence investigation, confidential information 
furnished only by the confidential source,
    (v) Disclose investigative techniques and procedures, or,
    (vi) Endanger the life or physical safety of law enforcement 
personnel;
    (8) Disclose information contained in or related to examination, 
operating, or condition reports prepared by, on behalf of, or for the 
use of an agency responsible for the regulation or supervision of 
financial institutions;
    (9) Disclose information the premature disclosure of which would be 
likely to significantly frustrate implementation of a proposed action of 
the Council. This exception shall not apply in any instance where the 
Council has already disclosed to the public the content or nature of the 
proposed action, or where the Council is required by law to make such 
disclosure on its own initiative prior to taking final action on the 
proposal; or
    (10) Specifically concern the issuance of a subpoena by the Council, 
or the participation of the Council in a civil action or proceeding, an 
action in a foreign court or international tribunal, or an arbitration, 
or the initiation, conduct, or disposition by the Council of a 
particular case of formal adjudication pursuant to the procedures in 5 
U.S.C. 554 or otherwise involving a determination on the record after 
opportunity for a hearing.
    (b) Before a meeting is closed to public observation the Council 
shall determine whether or not the public interest requires that the 
meeting be open. The Council may open a meeting to public observation 
which could be closed under paragraph (a) of this section, if the 
Council finds it to be in the public interest to do so.



Sec.  1517.5  Procedure for closing meetings.

    (a) A majority of the entire membership of the Council may vote to 
close to public observation a meeting or a portion or portions thereof, 
or to withhold information pertaining to such meeting. A separate vote 
of the members of the Council shall be taken with respect to each 
meeting of the Council, a portion or portions of which are proposed to 
be closed to the observation of the public or with respect to any 
information concerning such meetings or portion thereof. A single vote 
may be taken with respect to a series of meetings, a portion or portions 
of which are proposed to be closed to the public, or with respect to 
information concerning such series of meetings, so long as each meeting 
in such series involves the same particular matters and is scheduled to 
be held no more than thirty days after the initial meeting in such 
series. The vote of each member of the Council participating in a vote 
shall be recorded and no proxies shall be allowed.
    (b) Whenever any person whose interest may be directly affected by a 
portion of a meeting requests that the Council close that portion to 
public observation for any of the reasons referred to in Sec.  1517.4(a) 
the Council, upon request of any of the members of the Council, shall 
decide by recorded vote whether to close that portion of the meeting.
    (c) For every meeting or portion thereof closed under this part, the 
General Counsel of the Council before such meeting is closed shall 
publicly certify that, in his or her opinion, the meeting may properly 
be closed to the public stating each relevant exemptive provision. The 
Council shall retain a copy of

[[Page 1150]]

the General Counsel's certification, together with a statement from the 
presiding officer of the meeting setting forth the time and place of the 
meeting and listing the persons present.
    (d) Within one day of any vote taken on a proposal to close a 
meeting, the Council shall make publicly available a record reflecting 
the vote of each member on the question. In addition, within one day of 
any vote which closes a portion or portions of a meeting to the public, 
the Council shall make publicly available a full written explanation of 
its closure action together with a list naming all persons expected to 
attend and identifying their affiliation, unless such disclosure would 
reveal the information that the meeting itself was closed to protect.
    (e) Following any announcement that the Council intends to close a 
meeting or portion thereof, any person may make a request that the 
meeting or portion thereof be opened. Such request shall be made of the 
Chairman of the Council who shall ensure that the request is circulated 
to all members of the Council on the same business day on which it is 
received. The request shall set forth the reasons why the requestor 
believes the meeting should be open. The Council upon the request of any 
member or its General Counsel, shall vote on the request.



Sec.  1517.6  Notice of meetings.

    (a) Except as otherwise provided in this section, the Council shall 
make a public announcement at least one week before a meeting, to 
include the following:
    (1) Time, place, and subject matter of the meeting;
    (2) Whether the meeting is to be open or closed; and
    (3) Name and telephone number of the official who will respond to 
requests for information about the meeting.
    (b) A majority of the members of the Council may determine by 
recorded vote that the business of the Council requires a meeting to be 
called with less than one week's notice. At the earliest practicable 
time, the Council shall publicly announce the time, place and subject 
matter of the meeting, and whether or not it is to be open or closed to 
the public.
    (c) If announcement of the subject matter of a closed meeting would 
reveal the information that the meeting itself was closed to protect, 
the subject matter shall not be announced.
    (d) Following the public announcement required by paragraph (a) or 
(b) of this section:
    (1) A majority of the members of the Council may change the time or 
place of a meeting. At the earliest practicable time, the Council shall 
publicly announce the change.
    (2) A majority of the entire membership of the Council may change 
the subject matter of a meeting, or the determination to open or close a 
meeting to the public, if it determines by a recorded vote that the 
change is required by the business of the Council and that no earlier 
announcement of the change was possible. At the earliest practicable 
time, the Council shall publicly announce the change, and the vote of 
each member upon the change.
    (e) Individuals or organizations having a special interest in 
activities of the Council may request the Council to place them on a 
mailing list for receipt of information available under this section.
    (f) Following public announcement of a meeting, the time or place of 
a meeting may be changed only if the change is announced publicly at the 
earliest practicable time. The subject matter of a meeting or the 
determination to open or close a meeting may be changed following public 
announcement of a meeting only if both of the following conditions are 
met:
    (1) There must be a recorded vote of a majority of the Council that 
the business of the Council requires the change and that no earlier 
announcement of such change was possible; and
    (2) There must be a public announcement of the change and of the 
individual Council members' votes at the earliest practicable time.
    (g) Immediately following each public announcement required by this 
section, the following information, as applicable, shall be submitted 
for publication in the Federal Register.
    (1) Notice of the time, place, and subject matter of a meeting;

[[Page 1151]]

    (2) Whether the meeting is open or closed;
    (3) Any change in one of the preceding; and
    (4) The name and telephone number of the official who will respond 
to requests for information about the meeting.



Sec.  1517.7  Records of closed meetings.

    (a) A record of each meeting or portion thereof which is closed to 
the public shall be made and retained for two years or for one year 
after the conclusion of any Council proceeding involved in the meeting 
whichever occurs later. The record of any portion of a meeting closed to 
the public shall be a verbatim transcript or electronic recording. In 
lieu of a transcript or recording, a comprehensive set of minutes may be 
produced if the closure decision was made pursuant to Sec.  1517.4(a) 
(8) or (10).
    (b) If minutes are produced, such minutes shall fully and clearly 
describe all matters discussed, provide a full and accurate summary of 
any actions taken and the reasons expressed therefor, and include a 
description of each of the views expressed on any item. The minutes 
shall also reflect the vote of each member of the Council on any roll 
call vote taken during the proceedings and identify all documents 
produced at the meeting.
    (c) The following documents shall be retained by the Council as part 
of the transcript, recording, or minutes of the meeting:
    (1) Certification by the General Counsel that the meeting may 
properly be closed; and
    (2) Statement from the presiding officer of the meeting setting 
forth the date, time, and place of the meeting and listing the persons 
present.
    (d) The Council shall make promptly available to the public at its 
offices at 722 Jackson Place, NW., Washington, DC the transcript, 
electronic recording, or minutes maintained as a record of a closed 
meeting, except for such information as may be withheld under one of the 
provisions of Sec.  1517.5. Copies of such transcript, minutes, or 
transcription of an electronic recording, disclosing the identity of 
each speaker, shall be furnished to any person at the actual cost of 
duplication or transcription.
    (e) [Reserved]
    (f) Requests to review or obtain copies of records other than 
transcripts, electronic recordings or minutes of a meeting will be 
processed under the Freedom of Information Act (5 U.S.C. 552) or, where 
applicable, the Privacy Act of 1974. (5 U.S.C. 552a). Nothing in these 
regulations authorizes the Council to withhold from any individual any 
record, including the transcripts or electronic recordings described in 
Sec.  1517.8, to which the individual may have access under the Privacy 
Act of 1974 (5 U.S.C. 552a).



PART 1518_OFFICE OF ENVIRONMENTAL QUALITY MANAGEMENT FUND--Table of Contents

Sec.
1518.1 Purpose.
1518.2 Definitions.
1518.3 Policy.
1518.4 Procedures.

    Authority: 42 U.S.C. 4375(c).

    Source: 67 FR 62189, Oct. 4, 2002, unless otherwise noted.



Sec.  1518.1  Purpose.

    The purpose of the OEQ Management Fund is to finance:
    (a) Study contracts that are jointly sponsored by OEQ and one or 
more other Federal agency; and
    (b) Federal interagency environmental projects (including task 
forces) in which OEQ participates. See 42 U.S.C. 4375(a).



Sec.  1518.2  Definitions.

    (a) Advance Payment: Amount of money prepaid pursuant to statutory 
authorization in contemplation of the later receipt of goods, services, 
or other assets.
    (b) Director: The Director of the Office of Environmental Quality. 
The Environmental Quality Improvement Act specifies that the Chairman of 
the Council on Environmental quality shall serve as the Director of OEQ. 
42 U.S.C. 4372(a).
    (c) OEQ Management Fund (``Fund''): The Management Fund for the 
Office of Environmental Quality.

[[Page 1152]]

    (d) Interagency Agreement: A document jointly executed by OEQ and 
another agency or agencies, which sets forth the details of a joint 
study or project and the funding arrangements for such a study or 
project.
    (e) Project Officer: The Council on Environmental Quality staff 
member charged with day-to-day supervision of an OEQ Management Fund 
study or project.
    (f) Source: The agency or account from which funds are contributed 
into the Fund.



Sec.  1518.3  Policy.

    (a) All studies and projects financed through the OEQ Management 
Fund shall be consistent with the purposes and goals of the National 
Environmental Policy Act and/or the Environmental Quality Improvement 
Act.
    (b) Agency funds accepted by the Director for transfer into the OEQ 
Management Fund shall specify the purposes permissible under the source 
appropriation and any restrictions relating thereto.
    (c) The Director may authorize expenditures to support OEQ 
Management Fund studies and projects, including:
    (1) Leasing office space and providing utilities;
    (2) Leasing or purchasing equipment;
    (3) Funding travel;
    (4) Contracting for goods and services; and
    (5) Funding consultants and personnel costs for task force 
employees.
    (d) In carrying out the purposes of the OEQ Management Fund, the 
Director is authorized to contract with public or private agencies, 
institutions, organizations and individuals, by negotiation, without 
regard to 31 U.S.C. 3324(a) and (b) 41 U.S.C. 5, and 42 U.S.C. 4372(e). 
All such contracting activities shall be accomplished through the Office 
of Administration, Executive Office of the President. The Director may, 
by interagency agreement with another federal agency or agencies and 
with the concurrence of the Office of Administration's Financial 
Management Division, obtain specific administrative services (including 
contracting activities) in support of OEQ Management Fund studies or 
projects.
    (e) Task forces and projects funded by the OEQ Management Fund are 
permitted to make expenditures for all project and study activities, 
except for compensation or benefits for full-time OEQ employees or to 
reimburse OEQ or CEQ for ordinarily appropriated expenses, such as 
salaries, benefits, rent, telephone and supplies.



Sec.  1518.4  Procedures.

    (a) Charters: (1) A charter must be prepared for each project or 
study to be financed and supported by the OEQ Management Fund.
    (2) The charter must clearly state the relation of the study or 
project to the goals and purposes of the Office of Environmental Quality 
and the National Environmental Policy Act; describe the study or 
project; identify the participating agency or agencies; provide the 
names, titles and phone numbers of the Project Officer and 
administrative contact.
    (3) Charters may be amended by preparing a formal amendment, which 
sets forth the new language to be incorporated in the existing charter.
    (4) The Director shall approve all Management Fund charters and 
amendments in writing.
    (5) Copies of each charter and charter amendment approved by the 
Director shall be provided to the Contracts Branch and the Financial 
Management Division of the Office of Administration, Executive Office of 
the President.
    (b) Finances and accounting: (1) Annual budget estimates shall be 
prepared for the OEQ Management Fund.
    (2) An operating budget for each project or study shall be submitted 
to the Financial Management Division of the Office of Administration, 
Executive Office of the President.
    (3) All contributions from other agencies to the OEQ Management Fund 
for a joint study or project shall be accomplished by interagency 
agreements, which shall provide for full payment of funds on an advance 
basis. 42 U.S.C. 4375(a).
    (4) All contributions by the Office of Environmental Quality or the 
Council on Environmental Quality to the OEQ Management Fund for a joint 
study or project shall be accomplished by a letter of transmittal which 
specifies the

[[Page 1153]]

particular study or project to be funded. A copy of this transmittal 
letter shall be provided to the Financial Management Division of the 
Office of Administration, Executive Office of the President.
    (5) The OEQ Management Fund is a no-year appropriations account, 
which can accept one-year or multiple-year funds, and is available until 
the objectives for which the authority was made available are attained. 
Funds transferred into the Management Fund are individually accounted 
for and expire under the terms of their appropriation.
    (6) Any agency, including the Office of Environmental Quality and 
the Council on Environmental Quality, may provide technical expertise, 
physical resources, facilities, equipment, or other assets; perform 
support or administrative services; or assign detailees or agency 
representatives to an OEQ Management Fund project or study. These 
contributions may be in addition to funding.
    (7) Subaccounts shall be established within OEQ Management Fund for 
each project or study. All expenditures for a particular project or 
study must be matched with the source contribution and approved by the 
Director or the Project Officer.
    (8) The Director may transfer Management Fund resources for any 
study or project to other federal accounts or other OEQ subaccounts 
provided that the transfer:
    (i) Is approved in writing by the source agency that provided the 
portion of the funds being transferred;
    (ii) Promotes the statutory mission of OEQ; and
    (iii) Is justified by the Director as being in the best interests of 
the government.
    (9) Financial transactions shall be classified under each Management 
Funds subaccount in sufficient detail to satisfy management planning, 
control requirements and financial audit requirements.
    (10) All fund expenditures must comport with the purposes of the 
Management Fund and follow CEQ approval procedures. Any fund 
expenditures pursuant to interagency agreement for the provision of 
administrative services shall comport with the CEQ approval procedures 
specified in the interagency agreement.

[[Page 1155]]



       CHAPTER VI--CHEMICAL SAFETY AND HAZARD INVESTIGATION BOARD




  --------------------------------------------------------------------
Part                                                                Page
1600            Organization and functions of the Chemical 
                    Safety and Hazard Investigation Board...        1157
1601            Procedures for disclosure of records under 
                    the Freedom of Information Act..........        1158
1602            Protection of privacy and access to 
                    individual records under the Privacy Act 
                    of 1974.................................        1170
1603            Rules implementing the Government in the 
                    Sunshine Act............................        1174
1610            Administrative investigations...............        1179
1611            Testimony by employees in legal proceedings.        1181
1612            Production of records in legal proceedings..        1184
1613-1619

[Reserved]

1620            Administrative claims arising under the 
                    Federal Tort Claims Act.................        1185
1621-1699

[Reserved]

[[Page 1157]]



PART 1600_ORGANIZATION AND FUNCTIONS OF THE CHEMICAL SAFETY AND HAZARD INVESTIGATION BOARD--Table of Contents

Sec.
1600.1 Purpose.
1600.2 Organization.
1600.3 Functions.
1600.4 Operation.
1600.5 Quorum and voting requirements.
1600.6 Office location.

    Authority: 5 U.S.C. 301, 552(a)(1); 42 U.S.C. 7412(r)(6)(N).

    Source: 68 FR 65403, Nov. 20, 2003, unless otherwise noted.



Sec.  1600.1  Purpose.

    This part describes the organization, functions, and operation of 
the Chemical Safety and Hazard Investigation Board (CSB). The CSB is an 
independent agency of the United States created by the Clean Air Act 
Amendments of 1990 [Pub. L. 101-549, 104 Stat. 2399, codified at 42 
U.S.C. 7412(r)(6) et seq.]. Information about the CSB is available from 
its Web site, http://www.csb.gov.



Sec.  1600.2  Organization.

    (a) The CSB's Board consists of five Members appointed by the 
President with the advice and consent of the Senate. The President 
designates one of the Members as Chairperson with the advice and consent 
of the Senate. The Members exercise various functions, powers, and 
duties set forth in the Clean Air Act Amendments of 1990 (42 U.S.C. 
7412(r)(6) et seq.).
    (b) The CSB's staff is comprised of the following administrative 
units:
    (1) The Office of the Chief Operating Officer;
    (2) The Office of Investigations and Safety Programs;
    (3) The Office of the General Counsel;
    (4) The Office of Financial Operations;
    (5) The Office of Management Operations; and
    (6) The Office of Equal Employment Opportunity.



Sec.  1600.3  Functions.

    (a) The CSB investigates chemical accidents and hazards, 
recommending actions to protect workers, the public, and the 
environment. The CSB is responsible for the investigation and 
determination of the facts, conditions, and circumstances and the cause 
or probable cause or causes of any accidental release resulting in a 
fatality, serious injury, or substantial property damages.
    (b) The CSB makes safety recommendations to Federal, State, and 
local agencies, including the Environmental Protection Agency and the 
Occupational Safety and Health Administration and private organizations 
to reduce the likelihood of recurrences of chemical incidents. It 
initiates and conducts safety studies and special investigations on 
matters pertaining to chemical safety.
    (c) The CSB issues reports pursuant to its duties to determine the 
cause or probable cause or causes of chemical incidents and to report 
the facts, conditions, and circumstances relating to such incidents; and 
issues and makes available to the public safety recommendations, safety 
studies, and reports of special investigations.



Sec.  1600.4  Operation.

    In exercising its functions, duties, and responsibilities, the CSB 
utilizes:
    (a) The CSB's staff, consisting of specialized offices performing 
investigative, administrative, legal, and financial work for the Board.
    (b) Rules published in the Federal Register and codified in this 
title of the Code of Federal Regulations.
    (c) Meetings of the Board Members conducted pursuant to the 
Government in the Sunshine Act and part 1603 of this title (CSB Rules 
Implementing the Government in the Sunshine Act) or voting by notation 
as provided in Sec.  1600.5(b).
    (d) Public hearings in connection with incident or hazard 
investigations.



Sec.  1600.5  Quorum and voting requirements.

    (a) Quorum requirements. A quorum of the Board for the transaction 
of business shall consist of three Members; provided, however, that if 
the number of Board Members in office is fewer than three, a quorum 
shall consist of the number of Members in Office; and provided further 
that on any matter of

[[Page 1158]]

business as to which the number of Members in office, minus the number 
of Members who have disqualified themselves from consideration of such 
matter is two, two Members shall constitute a quorum for purposes of 
such matter. Once a quorum is constituted, a simple majority of voting 
Members is required to approve an item of the Board's business. A tie 
vote results in no action.
    (b) Voting. The Board votes on items of business in meetings 
conducted pursuant to the Government in the Sunshine Act. Alternatively, 
whenever a Member of the Board is of the opinion that joint deliberation 
among the members of the Board upon any matter at a meeting is 
unnecessary in light of the nature of the matter, impracticable, or 
would impede the orderly disposition of agency business, such matter may 
be disposed of by employing notation voting procedures. A written 
notation of the vote of each participating Board member shall be 
recorded by the General Counsel who shall retain it in the records of 
the Board.



Sec.  1600.6  Office location.

    The principal offices of the Chemical Safety and Hazard 
Investigation Board are located at 2175 K Street NW, Washington, DC 
20037.



PART 1601_PROCEDURES FOR DISCLOSURE OF RECORDS UNDER THE FREEDOM OF INFORMATION ACT--Table of Contents

               Subpart A_Purpose, Scope, and Applicability

Sec.
1601.1 Purpose and scope.
1601.2 Applicability.
1601.3 Definitions.

                        Subpart B_Administration

1601.10 Protection of records.
1601.11 Preservation of records pertaining to requests under this part.
1601.12 Public reading room.

       Subpart C_Procedures for Requesting and Disclosing Records

1601.20 Requests for records.
1601.21 Responses to requests.
1601.22 Form and content of responses.
1601.23 Appeals of denials.
1601.24 Timing of responses to requests.
1601.25 Disclosure of requested records.
1601.26 Special procedures for confidential business information.

                             Subpart D_Fees

1601.30 Fees to be charged--general.
1601.31 Fees to be charged--categories of requesters.
1601.32 Limitations on charging fees.
1601.33 Miscellaneous fee provisions.

    Authority: 5 U.S.C. 552, 553; 42 U.S.C. 7412 et seq.

    Source: 65 FR 70499, Nov. 24, 2000, unless otherwise noted.



               Subpart A_Purpose, Scope, and Applicability



Sec.  1601.1  Purpose and scope.

    This part contains the regulations of the United States Chemical 
Safety and Hazard Investigation Board (``CSB'' or ``Board'' or 
``agency'') implementing the Freedom of Information Act (``FOIA''). 
These regulations provide procedures by which members of the public may 
obtain access to records compiled, created, and maintained by the CSB, 
along with procedures it must follow in response to such requests for 
records.



Sec.  1601.2  Applicability.

    (a) General. The FOIA and the regulations in this part apply to all 
CSB documents and information. However, if another law sets specific 
procedures for disclosure, the CSB will process a request in accordance 
with the procedures that apply to those specific documents. If a request 
is received for disclosure of a document to the public which is not 
required to be released under those provisions, the CSB will consider 
the request under the FOIA and the regulations in this part.
    (b) Records available through routine distribution procedures. When 
the record requested includes material published and offered for sale, 
e.g., by the Superintendent of Documents of the Government Printing 
Office, or by an authorized private distributor, the CSB will first 
refer the requester to those sources. Nevertheless, if the requester is 
not satisfied with the alternative

[[Page 1159]]

sources, the CSB will process the request under the FOIA.



Sec.  1601.3  Definitions.

    Appeals Officer means the person designated by the Chairperson to 
process appeals of denials of requests for CSB records under the FOIA.
    Business submitter means any person or entity which provides 
confidential business information, directly or indirectly, to the CSB 
and who has a proprietary interest in the information.
    Chairperson means the Chairperson of the CSB (including, in the 
absence of a Chairperson, the Board Member supervising personnel 
matters) or his or her designee.
    Commercial-use requester means requesters seeking information for a 
use or purpose that furthers the commercial, trade, or profit interests 
of the requester or the person on whose behalf the request is made. In 
determining whether a requester properly belongs in this category, the 
CSB shall determine, whenever reasonably possible, the use to which a 
requester will put the documents requested. Where the CSB has reasonable 
cause to doubt the use to which a requester will put the records sought, 
or where that use is not clear from the request itself, the CSB shall 
seek additional clarification before assigning the request to a specific 
category.
    Confidential business information means records provided to the 
government by a submitter that arguably contain material exempt from 
disclosure under Exemption 4 of the FOIA, because disclosure could 
reasonably be expected to cause substantial competitive harm.
    Direct costs means those expenditures by the CSB actually incurred 
in searching for and duplicating records to respond to a FOIA request. 
Direct costs include the salary of the employee or employees performing 
the work (the basic rate of pay for the employee plus a percentage of 
that rate to cover benefits) and the cost of operating duplicating 
machinery. Direct costs do not include overhead expenses, such as the 
cost of space and heating or lighting of the facility in which the 
records are stored.
    Duplication refers to the process of making a copy of a document 
necessary to fulfill a FOIA request. Such copies can take the form of, 
among other things, paper copy, microform, audio-visual materials, or 
machine-readable documentation. The copies provided shall be in a form 
that is reasonably usable by requesters.
    Educational institution refers to a preschool, a public or private 
elementary or high school, an institution of undergraduate higher 
education, an institution of graduate higher education, an institution 
of professional education, and an institution of vocational education, 
which operates a program of scholarly research.
    FOIA Officer means the person designated to process requests for CSB 
documents under the FOIA.
    Non-commercial scientific institution refers to an institution that 
is not operated on a commercial basis as that term is used above in 
defining commercial-use requester, and which is operated solely for the 
purpose of conducting scientific research the results of which are not 
intended to promote any particular product or industry.
    Record includes any writing, drawing, map, recording, tape, film, 
photo, or other documentary material by which information is preserved.
    Representative of the news media refers to any person actively 
gathering news for an entity that is organized and operated to publish 
or broadcast news to the public. The term news means information that is 
about current events or that would be of current interest to the public. 
For freelance journalists to be regarded as working for a news 
organization, they must demonstrate a solid basis for expecting 
publication through that organization. A publication contract would be 
the clearest proof, but components shall also look to the past 
publication record of a requester in making this determination.
    Requester means any person, including an individual, Indian tribe, 
partnership, corporation, association, or public or private organization 
other than a Federal agency, that requests access to records in the 
possession of the CSB.
    Review refers to the process of examining a record, in response to a 
FOIA

[[Page 1160]]

request, to determine whether any portion of that record may be withheld 
under one or more of the FOIA exemptions. It also includes the 
processing of any record for disclosure; for example, redacting 
information that is exempt from disclosure under the FOIA. Review does 
not include time spent resolving general legal or policy issues 
regarding the use of FOIA exemptions.
    Search refers to the time spent looking for material that is 
responsive to a request, including page-by-page or line-by-line 
identification of material within a document. The CSB shall ensure that 
searches are conducted in the most efficient and least expensive manner 
reasonably possible.
    Submitter means any person or entity who provides information 
directly or indirectly to the CSB. The term includes, but is not limited 
to, corporations, Indian tribal governments, state governments, and 
foreign governments.
    Working day means a Federal workday that does not include Saturdays, 
Sundays, or Federal holidays.



                        Subpart B_Administration



Sec.  1601.10  Protection of records.

    (a) Except as authorized by this part or as otherwise necessary in 
performing official duties, no employee shall in any manner disclose or 
permit disclosure of any document or information in the possession of 
the CSB that is confidential or otherwise of a nonpublic nature, 
including that regarding the CSB, the Environmental Protection Agency or 
the Occupational Safety and Health Administration.
    (b) No person may, without permission, remove from the place where 
it is made available any record made available to him for inspection or 
copying. Stealing, altering, mutilating, obliterating, or destroying, in 
whole or in part, such a record shall be deemed a crime.



Sec.  1601.11  Preservation of records pertaining to requests under this part.

    The CSB will preserve all correspondence pertaining to the requests 
that it receives under this part, as well as copies of all requested 
records, until disposition or destruction is authorized by Title 44 of 
the United States Code or the National Archives and Records 
Administration's General Records Schedule 14. Records will not be 
disposed of while they are the subject of a pending request, appeal, or 
lawsuit under the FOIA.



Sec.  1601.12  Public reading room.

    (a) The CSB maintains a public reading room that contains the 
records that the FOIA requires to be made regularly available for public 
inspection and copying as well as a current subject-matter index of its 
reading room records.
    (b) Because of the lack of requests to date for material required to 
be indexed, the CSB has determined that it is unnecessary and 
impracticable to publish quarterly, or more frequently, and distribute 
(by sale or otherwise) copies of each index and supplements thereto, as 
provided in 5 U.S.C. 552(a)(2). However, the CSB will provide a copy of 
such indexes to a member of the public upon request, at a cost not to 
exceed the direct cost of duplication and mailing, if sending records by 
other than ordinary mail.
    (c) The CSB maintains a public reading room at its headquarters: 
2175 K Street, NW, Suite 400, Washington, DC 20037-1809.
    (d) Copying. The cost of copying information available in the 
offices of the CSB shall be imposed on a requester in accordance with 
the provisions of Sec. Sec.  1601.30 through 1601.33.
    (e) The CSB also makes reading room records available electronically 
through the agency's World Wide Web site (which can be found at http://
www.csb.gov). This includes the index of its reading room records, 
indicating which records are available electronically.



       Subpart C_Procedures for Requesting and Disclosing Records



Sec.  1601.20  Requests for records.

    (a) Addressing requests. Requests for records in the possession of 
the CSB shall be made in writing. The envelope and the request both 
should be clearly marked FOIA Request and addressed to: FOIA Officer, 
United States Chemical Safety and Hazard Investigation Board,

[[Page 1161]]

2175 K Street, NW, Suite 400, Washington, DC 20037-1809. A request 
improperly addressed will be deemed not to have been received for the 
purposes of Sec.  1601.24(a) until it is received, or would have been 
received with the exercise of due diligence, by the FOIA Officer. 
Records requested in conformance with this section and which are not 
withholdable records may be obtained in person or by mail as specified 
in the request. Records to be obtained in person will be available for 
inspection or copying during business hours on a regular business day in 
the office of the CSB.
    (b) Description of records. Each request must reasonably describe 
the desired records in sufficient detail to enable CSB personnel to 
locate the records with a reasonable amount of effort. A request for a 
specific category of records will be regarded as fulfilling this 
requirement if it enables responsive records to be identified by a 
technique or process that is not unreasonably burdensome or disruptive 
of CSB operations.
    (1) Whenever possible, a request should include specific information 
about each record sought, such as the date, title or name, author, 
recipient, and subject matter of the record.
    (2) If the FOIA Officer determines that a request does not 
reasonably describe the records sought, he or she will either advise the 
requester what additional information is needed to locate the record or 
otherwise state why the request is insufficient. The FOIA Officer will 
also extend to the requester an opportunity to confer with CSB personnel 
with the objective of reformulating the request in a manner which will 
meet the requirements of this section.
    (c) Agreement to pay fees. A FOIA request shall be considered an 
agreement by the requester to pay all applicable fees charged under 
Sec. Sec.  1601.30 through 1601.33 up to $25, unless the requester seeks 
a waiver of fees. The CSB ordinarily will confirm this agreement in an 
acknowledgement letter. When making a request, you may specify a 
willingness to pay a greater or lesser amount.
    (d) Types of records not available. The FOIA does not require the 
CSB to:
    (1) Compile or create records solely for the purpose of satisfying a 
request for records;
    (2) Provide records not yet in existence, even if such records may 
be expected to come into existence at some future time; or
    (3) Restore records destroyed or otherwise disposed of, except that 
the FOIA Officer must notify the requester that the requested records 
have been destroyed or otherwise disposed of.



Sec.  1601.21  Responses to requests.

    (a) Response to initial request. The FOIA Officer is authorized to 
grant or deny any request for a record and to determine appropriate 
fees.
    (b) Referral to another agency. When a requester seeks records that 
originated in another Federal government agency, the CSB will refer the 
request to the other agency for response. If the CSB refers the request 
to another agency, it will notify the requester of the referral. A 
request for any records classified by some other agency will be referred 
to that agency for response.
    (c) Creating records. If a person seeks information from the CSB in 
a format that does not currently exist, the CSB will make reasonable 
efforts to provide the information in the format requested. The CSB will 
not create a new record of information to satisfy a request.
    (d) No responsive record. If no records are responsive to the 
request, the FOIA Officer will so notify the requester in writing.



Sec.  1601.22  Form and content of responses.

    (a) Form of notice granting a request. After the FOIA Officer has 
granted a request in whole or in part, the requester will be notified in 
writing. The notice shall describe the manner in which the record will 
be disclosed, whether by providing a copy of the record with the 
response or at a later date, or by making a copy of the record available 
to the requester for inspection at a reasonable time and place. The 
procedure for such an inspection may not unreasonably disrupt the 
operation of the CSB. The response letter will also inform the requester 
of any fees to be charged in accordance with

[[Page 1162]]

the provisions of Sec. Sec.  1601.30 through 1601.33.
    (b) Form of notice denying a request. When the FOIA Officer denies a 
request in whole or in part, he or she will so notify the requester in 
writing. The response will be signed by the FOIA Officer and will 
include:
    (1) The name and title or position of the person making the denial;
    (2) A brief statement of the reason or reasons for the denial, 
including the FOIA exemption or exemptions which the FOIA Officer has 
relied upon in denying the request; and
    (3) A statement that the denial may be appealed under Sec.  1601.23 
and a description of the requirements of that section.



Sec.  1601.23  Appeals of denials.

    (a) Right of appeal. If a request has been denied in whole or in 
part, the requester may appeal the denial to: FOIA Appeals Officer, 
United States Chemical Safety and Hazard Investigation Board, 2175 K 
Street, NW, Suite 400, Washington, DC 20037-1809.
    (b) Letter of appeal. The appeal must be in writing and must be sent 
within 30 days of receipt of the denial letter. An appeal should include 
a copy of the initial request, a copy of the letter denying the request 
in whole or in part, and a statement of the circumstances, reasons, or 
arguments advanced in support of disclosure of the requested record. 
Both the envelope and the letter of appeal must be clearly marked FOIA 
Appeal. An appeal improperly addressed shall be deemed not to have been 
received for purposes of the 20-day time period set forth in Sec.  
1601.24(e) until it is received, or would have been received with the 
exercise of due diligence, by the Appeals Officer.
    (c) Action on appeal. The disposition of an appeal will be in 
writing and will constitute the final action of the CSB on a request. A 
decision affirming in whole or in part the denial of a request will 
include a brief statement of the reason or reasons for affirmance, 
including each FOIA exemption relied on. If the denial of a request is 
reversed in whole or in part on appeal, the request will be processed 
promptly in accordance with the decision on appeal.
    (d) Judicial review. If the denial of the request for records is 
upheld in whole or in part, or if a determination on the appeal has not 
been mailed at the end of the 20-day period or the last extension 
thereof, the requester is deemed to have exhausted his or her 
administrative remedies, giving rise to a right of judicial review under 
5 U.S.C. 552(a)(4).



Sec.  1601.24  Timing of responses to requests.

    (a) In general. The CSB ordinarily shall respond to requests 
according to their order of receipt.
    (b) Multitrack processing. (1) The CSB may use two processing tracks 
by distinguishing between simple and more complex requests based on the 
amount of work and/or time needed to process the request, including 
according to limits based on the number of pages involved. If the agency 
does so, it shall advise requesters assigned to its slower track of the 
eligibility limits for its faster track.
    (2) The agency may provide requesters in its slower track with an 
opportunity to limit the scope of their requests in order to qualify for 
faster processing within the specified limits of the agency's faster 
track. If it does so, the agency will contact the requester either by 
telephone or by letter, whichever is most efficient in each case.
    (c) Unusual circumstances. (1) Where the time limits for processing 
a request cannot be met because of unusual circumstances and the CSB 
determines to extend the time limits on that basis, the agency shall as 
soon as practicable notify the requester in writing of the unusual 
circumstances and of the date by which processing of the request can be 
expected to be completed. Where the extension is for more than ten 
working days, the CSB shall provide the requester with an opportunity 
either to modify the request so that it may be processed within the time 
limits or to arrange an alternative time period for processing the 
request or a modified request.
    (2) Where the CSB reasonably believes that multiple requests 
submitted by a requester, or by a group of requesters acting in concert, 
constitute a

[[Page 1163]]

single request that would otherwise involve unusual circumstances, and 
the requests involve clearly related matters, they may be aggregated. 
Multiple requests involving unrelated matters will not be aggregated.
    (d) Expedited processing. (1) Requests and appeals will be taken out 
of order and given expedited treatment whenever it is determined that 
they involve:
    (i) Circumstances in which the lack of expedited treatment could 
reasonably be expected to pose an imminent threat to the life or 
physical safety of an individual;
    (ii) An urgency to inform the public about an actual or alleged 
Federal government activity, if made by a person primarily engaged in 
disseminating information;
    (iii) The loss of substantial due process rights; or
    (iv) A matter of widespread and exceptional media interest in which 
there exists possible questions about the government's integrity which 
affect public confidence.
    (2) A request for expedited processing may be made at the time of 
the initial request for records or at any later time.
    (3) A requester who seeks expedited processing must submit a 
statement, certified to be true and correct to the best of that person's 
knowledge and belief, explaining in detail the basis for requesting 
expedited processing. For example, a requester within the category in 
paragraph (d)(1)(ii) of this section, if not a full-time member of the 
news media, must establish that he or she is a person whose main 
professional activity or occupation is information dissemination, though 
it need not be his or her sole occupation. A requester within the 
category in paragraph (d)(1)(ii) of this section also must establish a 
particular urgency to inform the public about the government activity 
involved in the request, beyond the public's right to know about 
government activity generally. The formality of certification may be 
waived as a matter of administrative discretion.
    (4) Within ten calendar days of its receipt of a request for 
expedited processing, the CSB shall decide whether to grant it and shall 
notify the requester of the decision. If a request for expedited 
treatment is granted, the request shall be given priority and shall be 
processed as soon as practicable. If a request for expedited processing 
is denied, any appeal of that decision shall be acted on expeditiously.
    (e) Appeals. A written determination on an appeal submitted in 
accordance with Sec.  1601.23 will be issued within 20 working days 
after receipt of the appeal. This time limit may be extended in unusual 
circumstances up to a total of 10 working days after written notice to 
the requester setting forth the reasons for the extension and the date 
on which a determination is expected to be made. As used in this 
paragraph, unusual circumstances means that there is a need to:
    (1) Search for and collect the requested records from facilities 
that are separate from the office processing the request;
    (2) Search for, collect, and appropriately examine a voluminous 
amount of separate and distinct records which are demanded in a single 
request; or
    (3) Consult with another agency having a substantial interest in the 
determination of the request, or consult with various offices within the 
CSB that have a substantial interest in the records requested.
    (f) When a determination cannot be mailed within the applicable time 
limit, the appeal will nevertheless be processed. In such case, upon the 
expiration of the time limit, the requester will be informed of the 
reason for the delay, of the date on which a determination may be 
expected to be mailed, and of that person's right to seek judicial 
review. The requester may be asked to forego judicial review until 
determination of the appeal.



Sec.  1601.25  Disclosure of requested records.

    (a) The FOIA Officer shall make requested records available to the 
public to the greatest extent possible in keeping with the FOIA, except 
that the following records are exempt from the disclosure requirements:
    (1) Records specifically authorized under criteria established by an 
Executive Order to be kept secret in the interest of national defense or 
foreign policy and which are, in fact, properly

[[Page 1164]]

classified pursuant to such Executive Order;
    (2) Records related solely to the internal personnel rules and 
practices of the CSB;
    (3) Records specifically exempted from disclosure by statute (other 
than 5 U.S.C. 552(b)) provided that such statute requires that the 
matters be withheld from the public in such a manner as to leave no 
discretion on the issue or that the statute establishes particular 
criteria for withholding information or refers to particular types of 
matters to be withheld;
    (4) Records containing trade secrets and commercial or financial 
information obtained from a person and privileged or confidential;
    (5) Interagency or intra-agency memoranda or letters which would not 
be available by law to a party other than an agency in litigation with 
the CSB;
    (6) Personnel and medical files and similar files the disclosure of 
which would constitute a clearly unwarranted invasion of personal 
privacy;
    (7) Records or information compiled for law enforcement purposes, 
but only to the extent that the production of such law enforcement 
records or information:
    (i) Could reasonably be expected to interfere with enforcement 
proceedings;
    (ii) Would deprive a person of a right to a fair trial or an 
impartial adjudication;
    (iii) Could reasonably be expected to constitute an unwarranted 
invasion of personal privacy;
    (iv) Could reasonably be expected to disclose the identity of a 
confidential source, including a State, local or foreign agency or 
authority or any private institution which furnished information on a 
confidential basis, and in the case of a record or information compiled 
by criminal law enforcement authority in the course of a criminal 
investigation or by an agency conducting a lawful national security 
intelligence investigation, information furnished by a confidential 
source;
    (v) Would disclose techniques and procedures for law enforcement 
investigations or prosecutions, or would disclose guidelines for law 
enforcement investigations or prosecutions if such disclosure could 
reasonably be expected to risk circumvention of the law; or
    (vi) Could reasonably be expected to endanger the life or physical 
safety of any individual.
    (8) Records contained in or related to examination, operating, or 
condition reports prepared by, or on behalf of, or for the use of an 
agency responsible for the regulation or supervision of financial 
institutions;
    (9) Geological or geophysical information and data, including maps, 
concerning wells.
    (b) If a requested record contains exempted material along with 
nonexempted material, all reasonably segregable nonexempt material shall 
be disclosed.
    (c) Even if an exemption described in paragraph (a) of this section 
may be reasonably applicable to a requested record, or portion thereof, 
the CSB may elect under the circumstances of any particular request not 
to apply the exemption to such requested record, or portion thereof, 
subject to the provisions in Sec.  1601.26 for confidential business 
information. The fact that the exemption is not applied by the CSB to 
any requested record, or portion thereof, has no precedential 
significance as to the application or non-application of the exemption 
to any other requested record, or portion thereof, no matter when the 
request is received.



Sec.  1601.26  Special procedures for confidential business information.

    (a) In general. Confidential business information provided to the 
CSB by a business submitter shall not be disclosed pursuant to a FOIA 
request except in accordance with this section.
    (b) Designation of business information. Business submitters should 
use good-faith efforts to designate, by appropriate markings, either at 
the time of submission or at a reasonable time thereafter, those 
portions of their submissions which they deem to be protected under 
Exemption 4 of the FOIA, 5 U.S.C. 552(b)(4). Any such designation will 
expire 10 years after the records

[[Page 1165]]

were submitted to the government, unless the submitter requests, and 
provides reasonable justification for, a designation period of longer 
duration.
    (c) Predisclosure notification. (1) Except as is provided for in 
paragraph (h) of this section, the FOIA Officer shall, to the extent 
permitted by law, provide a submitter with prompt written notice of a 
FOIA request or administrative appeal encompassing its confidential 
business information whenever required under paragraph (d) of this 
section. Such notice shall either describe the exact nature of the 
business information requested or provide copies of the records or 
portions thereof containing the business information.
    (2) Whenever the FOIA Officer provides a business submitter with the 
notice set forth in this paragraph, the FOIA Officer shall notify the 
requester that the request includes information that may arguably be 
exempt from disclosure under Exemption 4 of the FOIA and that the person 
or entity who submitted the information to the CSB has been given the 
opportunity to comment on the proposed disclosure of information.
    (d) When notice is required. The CSB shall provide a business 
submitter with notice of a request whenever:
    (1) The business submitter has in good faith designated the 
information as business information deemed protected from disclosure 
under 5 U.S.C. 552(b)(4); or
    (2) The CSB has reason to believe that the request seeks business 
information the disclosure of which may result in substantial commercial 
or financial injury to the business submitter.
    (e) Opportunity to object to disclosure. Through the notice 
described in paragraph (c) of this section, the CSB shall, to the extent 
permitted by law, afford a business submitter at least 10 working days 
within which it can provide the CSB with a detailed written statement of 
any objection to disclosure. Such statement shall demonstrate why the 
information is contended to be a trade secret or commercial or financial 
information that is privileged or confidential and why disclosure would 
cause competitive harm. Whenever possible, the business submitter's 
claim of confidentiality should be supported by a statement or 
certification by an officer or authorized representative of the business 
submitter. Information provided by a submitter pursuant to this 
paragraph may itself be subject to disclosure under the FOIA.
    (f) Notice of intent to disclose. (1) The FOIA Officer shall 
consider carefully a business submitter's objections and specific 
grounds for nondisclosure prior to determining whether to disclose 
confidential commercial business information. Whenever the FOIA Officer 
decides to disclose such information over the objection of a business 
submitter, the FOIA Officer shall forward to the business submitter a 
written notice at least 10 working days before the date of disclosure 
containing:
    (i) A statement of the reasons for which the business submitter's 
disclosure objections were not sustained,
    (ii) A description of the confidential commercial information to be 
disclosed, and
    (iii) A specified disclosure date.
    (2) Such notice of intent to disclose likewise shall be forwarded to 
the requester at least 10 working days prior to the specified disclosure 
date.
    (g) Notice of FOIA lawsuit. Whenever a requester brings suit seeking 
to compel disclosure of confidential business information, the FOIA 
Officer shall promptly notify the business submitter of such action.
    (h) Exceptions to predisclosure notification. The requirements of 
this section shall not apply if:
    (1) The FOIA Officer determines that the information should not be 
disclosed;
    (2) The information lawfully has been published or has been 
officially made available to the public;
    (3) Disclosure of the information is required by law (other than 5 
U.S.C. 552); or
    (4) The designation made by the submitter in accordance with 
paragraph (b) of this section appears obviously frivolous; except that, 
in such a case, the FOIA Officer will provide the submitter with written 
notice of any final decision to disclose confidential business 
information within a reasonable number of days prior to a specified 
disclosure date.

[[Page 1166]]



                             Subpart D_Fees



Sec.  1601.30  Fees to be charged--general.

    (a) Policy. Generally, the fees charged for requests for records 
pursuant to 5 U.S.C. 552 shall cover the full allowable direct costs of 
searching for, reproducing, and reviewing records that are responsive to 
a request for information. Fees shall be assessed according to the 
schedule contained in paragraph (b) of this section and the category of 
requesters described in Sec.  1601.31 for services rendered by the CSB 
staff in responding to, and processing requests for, records under this 
part. Fees assessed will be paid by check or money order payable to the 
United States Treasury.
    (b) Types of charges. The types of charges that may be assessed in 
connection with the production of records in response to a FOIA request 
are as follows:
    (1) Searches.
    (i) Manual searches for records. For each quarter hour spent in 
searching for and/or reviewing a requested record, the fees will be: 
$4.00 for clerical personnel; $8.00 for professional personnel; and 
$11.00 for managerial personnel.
    (ii) Computer searches for records. Requesters will be charged at 
the actual direct costs of conducting a search using existing 
programming. These direct costs will include the cost of operating the 
central processing unit for that portion of operating time that is 
directly attributable to searching for records and the operator/
programmer salary, i.e., basic pay plus 16 percent, apportionable to the 
search. A charge shall also be made for any substantial amounts of 
special supplies or materials used to contain, present, or make 
available the output of computers, based upon the prevailing levels of 
costs to the CSB for the type and amount of such supplies or materials 
that are used. Nothing in this paragraph shall be construed to entitle 
any person or entity, as of right, to any services in connection with 
computerized records, other than services to which such person or entity 
may be entitled under the provisions of this section or Sec.  1601.32. 
The CSB will not alter or develop programming to conduct a search.
    (iii) Unproductive searches. The CSB will charge search fees even if 
no records are found which are responsive to the request or if the 
records found are exempt from disclosure.
    (2) Duplication. Records will be reproduced at a rate of $0.25 per 
page. For copies prepared by computer, such as tapes or printouts, the 
requester shall be charged the actual cost, including operator time, of 
production of the tape or printout. For other methods of reproduction, 
the actual direct costs of reproducing the record(s) shall be charged.
    (3) Review. Only commercial-use requesters may be charged for time 
spent reviewing records to determine whether they are exempt from 
mandatory disclosure. Charges may be assessed only for initial review, 
i.e., the review undertaken the first time the CSB analyzes the 
applicability of a specific exemption to a particular record or portion 
of a record. Records or portions of records withheld in full under an 
exemption that is subsequently determined not to apply may be reviewed 
again to determine the applicability of other exemptions not previously 
considered. The costs for such a subsequent review are properly 
assessable.
    (4) Other services and materials. Where the CSB elects, as a matter 
of administrative discretion, to comply with a request for a special 
service or materials, such as certifying that records are true copies or 
sending records by special methods, the actual direct costs of providing 
the service or materials will be charged.



Sec.  1601.31  Fees to be charged--categories of requesters.

    (a) Fees for various requester categories. Paragraphs (b) through 
(e) of this section state, for each category of requester, the types of 
fees generally charged by the CSB. However, for each of these 
categories, the fees may be limited, waived or reduced in accordance 
with the provisions set forth in Sec.  1601.32(c). If the CSB has 
reasonable cause to doubt the purpose specified in the request for which 
a requester will use the records sought, or where the purpose is not 
clear from the request itself, the CSB will seek clarification

[[Page 1167]]

before assigning the request a specific category.
    (b) Commercial use requester. The CSB shall charge fees for records 
requested by persons or entities making a commercial use request in an 
amount that equals the full direct costs for searching for, reviewing 
for release, and reproducing the records sought. Commercial use 
requesters are not entitled to 2 hours of free search time nor 100 free 
pages of reproduction of records. In accordance with Sec.  1601.30, 
commercial use requesters may be charged the costs of searching for and 
reviewing records even if there is ultimately no disclosure of records.
    (c) Educational and noncommercial scientific institutions. The CSB 
shall charge fees for records requested by, or on behalf of, educational 
institutions and noncommercial scientific institutions in an amount 
which equals the cost of reproducing the records responsive to the 
request, excluding the cost of reproducing the first 100 pages. No 
search fee shall be charged with respect to requests by educational and 
noncommercial scientific institutions. For a request to be included in 
this category, requesters must show that the request being made is 
authorized by and under the auspices of a qualifying institution, and 
that the records are not sought for commercial use but are sought in 
furtherance of scholarly research (if the request is from an educational 
institution) or scientific research (if the request is from a 
noncommercial scientific institution).
    (d) News media. The CSB shall charge fees for records requested by 
representatives of the news media in an amount which equals the cost of 
reproducing the records responsive to the request, excluding the costs 
of reproducing the first 100 pages. No search fee shall be charged with 
respect to requests by representatives of the news media. For a request 
to be included in this category, the requester must qualify as a 
representative of the news media and the request must not be made for a 
commercial use. A request for records supporting the news dissemination 
function of the requester shall not be considered to be a request that 
is for commercial use.
    (e) All other requesters. The CSB shall charge fees for records 
requested by persons or entities that are not classified in any of the 
categories listed in paragraphs (b), (c), or (d) of this section in an 
amount that equals the full reasonable direct cost of searching for and 
reproducing records that are responsive to the request, excluding the 
first 2 hours of search time and the cost of reproducing the first 100 
pages of records. In accordance with Sec.  1601.30, requesters in this 
category may be charged the cost of searching for records even if there 
is ultimately no disclosure of records, excluding the first 2 hours of 
search time.
    (f) For purposes of the exceptions contained in this section on 
assessment of fees, the word pages refers to paper copies of 8\1/2\ x 11 
inches or 11 x 14 inches. Thus, requesters are not entitled to 100 
microfiche or 100 computer disks, for example. A microfiche containing 
the equivalent of 100 pages or a computer disk containing the equivalent 
of 100 pages of computer printout meets the terms of the exception.
    (g) For purposes of paragraph (e) of this section, the term search 
time has as its basis, manual search. To apply this term to searches 
made by computer, the CSB will determine the hourly cost of operating 
the central processing unit and the operator's hourly salary plus 16 
percent. When the cost of the search (including the operator time and 
the cost of operating the computer to process a request) equals the 
equivalent dollar amount of 2 hours of the salary plus 16 percent of the 
person performing the search, i.e., the operator, the CSB will begin 
assessing charges for the computer.



Sec.  1601.32  Limitations on charging fees.

    (a) In general. Except for requesters seeking records for a 
commercial use as described in Sec.  1601.31(b), the CSB will provide, 
without charge, the first 100 pages of duplication and the first 2 hours 
of search time, or their cost equivalent.
    (b) No fee charged. The CSB will not charge fees to any requester, 
including commercial use requesters, if the cost of collecting a fee 
would be equal to or greater than the fee itself. The elements to be 
considered in determining

[[Page 1168]]

the cost of collecting a fee are the administrative costs of receiving 
and recording a requester's remittance and of processing the fee.
    (c) Waiver or reduction of fees. The CSB may grant a waiver or 
reduction of fees if the CSB determines that the disclosure of the 
information is in the public interest because it is likely to contribute 
significantly to public understanding of the operations or activities of 
the Federal government, and the disclosure of the information is not 
primarily in the commercial interest of the requester. Requests for a 
waiver or reduction of fees will be considered on a case-by-case basis. 
The following factors will be considered by the CSB in determining 
whether a waiver or reduction of fees is in the public interest:
    (i) The subject of the request. Whether the subject of the requested 
records concerns the operations or activities of the government. The 
subject matter of the requested records, in the context of the request, 
must specifically concern identifiable operations or activities of the 
Federal government with a connection that is direct and clear, not 
remote or attenuated. Furthermore, the records must be sought for their 
informative value with respect to those government operations or 
activities; a request for access to records for their intrinsic 
informational content alone will not satisfy this threshold 
consideration.
    (ii) The informative value of the information to be disclosed. 
Whether the disclosure is likely to contribute to an understanding of 
government operations or activities. The disclosable portions of the 
requested records must be meaningfully informative on specific 
government operations or activities in order to hold potential for 
contributing to increased public understanding of those operations and 
activities. The disclosure of information that is already in the public 
domain, in either a duplicative or substantially identical form, would 
not be likely to contribute to such understanding, as nothing new would 
be added to the public record.
    (iii) The contribution to an understanding of the subject by the 
general public. Whether disclosure of the requested information will 
contribute to the public understanding. The disclosure must contribute 
to the understanding of the public at large, as opposed to the 
individual understanding of the requester or a narrow segment of 
interested persons. A requester's identity and qualifications, e.g., 
expertise in the subject area and ability and intention to convey 
information to the general public, will be considered.
    (iv) The significance of the contribution in public understanding. 
Whether the disclosure is likely to significantly enhance the public 
understanding of government operations or activities. The public's 
understanding of the subject matter in question, as compared to the 
level of public understanding existing prior to the disclosure, must be 
likely to be enhanced by the disclosure to a significant extent. The 
FOIA Officer shall not make a separate value judgment as to whether 
information, even though it in fact would contribute significantly to 
public understanding of the operations or activities of the government, 
is ``important'' enough to be made public.
    (2) In order to determine whether the second fee waiver requirement 
is met, i.e., that disclosure of the requested information is not 
primarily in the commercial interest of the requester, the CSB shall 
consider the following two factors in sequence:
    (i) The existence and magnitude of a commercial interest. Whether 
the requester, or any person on whose behalf the requester may be 
acting, has a commercial interest that would be furthered by the 
requested disclosure. In assessing the magnitude of identified 
commercial interests, consideration will be given to the effect that the 
information disclosed would have on those commercial interests, as well 
as to the extent to which FOIA disclosures serve those interests 
overall. Requesters shall be given a reasonable opportunity in the 
administrative process to provide information bearing upon this 
consideration.
    (ii) The primary interest in disclosure. Whether the magnitude of 
the identified commercial interest of the requester is sufficiently 
large in comparison with the public interest in disclosure, that 
disclosure is primarily in the commercial interest of the requester. A 
fee waiver or reduction is

[[Page 1169]]

warranted only where, once the public interest standard set out in 
paragraph (c)(1) of this section is satisfied, that public interest can 
fairly be regarded as greater in magnitude than that of the requester's 
commercial interest in disclosure. The CSB will ordinarily presume that, 
where a news media requester has satisfied the public interest standard, 
the public interest will be serviced primarily by disclosure to that 
requester. Disclosure to requesters who compile and market Federal 
government information for direct economic gain will not be presumed to 
primarily serve the public interest.
    (3) Where only a portion of the requested record satisfies the 
requirements for a waiver or reduction of fees under this paragraph, a 
waiver or reduction shall be granted only as to that portion.
    (4) A request for a waiver or reduction of fees must accompany the 
request for disclosure of records and should include:
    (i) A clear statement of the requester's interest in the records;
    (ii) The proposed use of the records and whether the requester will 
derive income or other benefit from such use;
    (iii) A statement of how the public will benefit from release of the 
requested records; and
    (iv) If specialized use of the documents is contemplated, a 
statement of the requester's qualifications that are relevant to the 
specialized use.
    (5) A requester may appeal the denial of a request for a waiver or 
reduction of fees in accordance with the provisions of Sec.  1601.23.



Sec.  1601.33  Miscellaneous fee provisions.

    (a) Notice of anticipated fees in excess of $25. Where the CSB 
determines or estimates that the fees chargeable will amount to more 
than $25, the CSB shall promptly notify the requester of the actual or 
estimated amount of fees or such portion thereof that can be readily 
estimated, unless the requester has indicated his or her willingness to 
pay fees as high as those anticipated. Where a requester has been 
notified that the actual or estimated fees may exceed $25, the request 
will be deemed not to have been received until the requester has agreed 
to pay the anticipated total fee. A notice to the requester pursuant to 
this paragraph will include the opportunity to confer with CSB personnel 
in order to reformulate the request to meet the requester's needs at a 
lower cost.
    (b) Aggregating requests. A requester may not file multiple requests 
at the same time, each seeking portions of a record or records, solely 
in order to avoid the payment of fees. When the CSB reasonably believes 
that a requester, or a group of requesters acting in concert, is 
attempting to break a request into a series of requests for the purpose 
of evading the assessment of fees, the CSB may aggregate such requests 
and charge accordingly. One element to be considered in determining 
whether a belief would be reasonable is the time period over which the 
requests have occurred. The CSB will presume that multiple requests of 
this type made within a 30-day period have been made in order to evade 
fees. Where requests are separated by a longer period, the CSB shall 
aggregate them only where there exists a solid basis for determining 
that such aggregation is warranted, e.g., where the requests involve 
clearly related matters. Multiple requests regarding unrelated matters 
will not be aggregated.
    (c) Advance payment of fees. (1) The CSB does not require an advance 
payment before work is commenced or continued, unless:
    (i) The CSB estimates or determines that the fees are likely to 
exceed $250. If it appears that the fees will exceed $250, the CSB will 
notify the requester of the likely cost and obtain satisfactory 
assurance of full payment where the requester has a history of prompt 
payment of FOIA fees. In the case of requesters with no history of 
payment, the CSB may require an advance payment of fees in an amount up 
to the full estimated charge that will be incurred; or
    (ii) The requester has previously failed to pay a fee in a timely 
fashion, i.e., within 30 days of the date of a billing. In such cases, 
the CSB may require the requester to pay the full amount owed plus any 
applicable interest, as provided in paragraph (d) of this section, or 
demonstrate that the fee owed has been paid, prior to processing any

[[Page 1170]]

further record request. Under these circumstances, the CSB may require 
the requester to make an advance payment of the full amount of the fees 
anticipated before processing a new request or finishing processing of a 
pending request from that requester.
    (2) A request for an advance deposit shall ordinarily include an 
offer to the requester to confer with identified CSB personnel to 
attempt to reformulate the request in a manner which will meet the needs 
of the requester at a lower cost.
    (3) When the CSB requests an advance payment of fees, the 
administrative time limits described in 5 U.S.C. 552(a)(6) begin only 
after the CSB has received the advance payment.
    (d) Interest. The CSB may assess interest charges on an unpaid bill 
starting on the 31st day following the day on which the bill was sent. 
Once a fee payment has been received by the CSB, even if not processed, 
the accrual of interest shall be stayed. Interest charges shall be 
assessed at the rate prescribed in 31 U.S.C. 3717 and shall accrue from 
the date of the billing.
    (e) Whenever a total fee calculated under paragraph (d) of this 
section is $14.00 or less for any request, no fee will be charged.



PART 1602_PROTECTION OF PRIVACY AND ACCESS TO INDIVIDUAL RECORDS UNDER THE PRIVACY ACT OF 1974--Table of Contents

Sec.
1602.1 General provisions.
1602.2 Requests for access to records.
1602.3 Responsibility for responding to requests for access to records.
1602.4 Responses to requests for access to records.
1602.5 Appeals from denials of requests for access to records.
1602.6 Requests for amendment or correction of records.
1602.7 Requests for accountings of record disclosures.
1602.8 Preservation of records.
1602.9 Fees.
1602.10 Notice of court-ordered and emergency disclosures.

    Authority: 5 U.S.C. 552a, 553; 42 U.S.C. 7412 et seq.

    Source: 66 FR 17080, Mar. 29, 2001, unless otherwise noted.



Sec.  1602.1  General provisions.

    (a) Purpose and scope. This part contains the rules that the 
Chemical Safety and Hazard Investigation Board (``CSB'' or ``Board'') 
follows under the Privacy Act of 1974, 5 U.S.C. 552a. These rules should 
be read together with the Privacy Act, which provides additional 
information about records maintained on individuals. The rules in this 
part apply to all records in systems of records maintained by the CSB 
that are retrieved by an individual's name or personal identifier. They 
describe the procedures by which individuals may request access to 
records about themselves, request amendment or correction of those 
records, and request an accounting of disclosures of those records by 
the CSB. In addition, the CSB processes all Privacy Act requests for 
access to records under the Freedom of Information Act (FOIA), 5 U.S.C. 
552, following the rules contained in part 1601 of this chapter, which 
gives requests the benefit of both statutes.
    (b) Definitions. As used in this part:
    Requester means an individual who makes a request for access, a 
request for amendment or correction, or a request for an accounting 
under the Privacy Act.
    Request for access to a record means a request made as described in 
subsection (d)(1) of the Privacy Act, 5 U.S.C. 552a.
    Request for amendment or correction of a record means a request made 
as described in subsection (d)(2) of the Privacy Act, 5 U.S.C. 552a.
    Request for an accounting means a request made as described in 
subsection (c)(3) of the Privacy Act, 5 U.S.C. 552a.



Sec.  1602.2  Requests for access to records.

    (a) How made and addressed. You may make a request for access to a 
CSB record about yourself by appearing in person or by writing to the 
CSB. Your request should be sent or delivered to the CSB's General 
Counsel, at 2175 K Street, NW., 4th Floor, Washington, DC 20037. For the 
quickest possible handling, you should mark both your request letter and 
the envelope ``Privacy Act Request.''
    (b) Description of records sought. You must describe the records 
that you

[[Page 1171]]

want in enough detail to enable CSB personnel to locate the system of 
records containing them with a reasonable amount of effort. Whenever 
possible, your request should describe the records sought, the time 
periods in which you believe they were compiled, and the name or 
identifying number of each system of records in which you believe they 
are kept. The CSB publishes notices in the Federal Register that 
describe its systems of records. A description of the CSB's systems of 
records also may be found as part of the ``Privacy Act Compilation'' 
published by the National Archives and Records Administration's Office 
of the Federal Register. This compilation is available in most large 
reference and university libraries. This compilation also can be 
accessed electronically at the Government Printing Office's World Wide 
Web site (which can be found at http://www.access.gpo.gov/su--docs).
    (c) Agreement to pay fees. If you make a Privacy Act request for 
access to records, it shall be considered an agreement by you to pay all 
applicable fees charged under Sec.  1602.9 up to $25.00. The CSB 
ordinarily will confirm this agreement in an acknowledgment letter. When 
making a request, you may specify a willingness to pay a greater or 
lesser amount.
    (d) Verification of identity. When you make a request for access to 
records about yourself, you must verify your identity. You must state 
your full name, current address, and date and place of birth. You must 
sign your request and your signature must either be notarized or 
submitted by you under 28 U.S.C. 1746, a law that permits statements to 
be made under penalty of perjury as a substitute for notarization. In 
order to help the identification and location of requested records, you 
may also, at your option, include your social security number.
    (e) Verification of guardianship. When making a request as the 
parent or guardian of a minor or as the guardian of someone determined 
by a court to be incompetent, for access to records about that 
individual, you must establish:
    (1) The identity of the individual who is the subject of the record, 
by stating the name, current address, date and place of birth, and, at 
your option, the social security number of the individual;
    (2) Your own identity, as required in paragraph (d) of this section;
    (3) That you are the parent or guardian of that individual, which 
you may prove by providing a copy of the individual's birth certificate 
showing your parentage or by providing a court order establishing your 
guardianship; and
    (4) That you are acting on behalf of that individual in making the 
request.



Sec.  1602.3  Responsibility for responding to requests for access to records.

    (a) In general. In determining which records are responsive to a 
request, the CSB ordinarily will include only those records in its 
possession as of the date the CSB begins its search for them. If any 
other date is used, the CSB will inform the requester of that date.
    (b) Authority to grant or deny requests. The CSB's General Counsel, 
or his/her designee, is authorized to grant or deny any request for 
access to a record of the CSB.
    (c) Consultations and referrals. When the CSB receives a request for 
access to a record in its possession, it will determine whether another 
agency of the Federal Government is better able to determine whether the 
record is exempt from access under the Privacy Act. If the CSB 
determines that it is best able to process the record in response to the 
request, then it will do so. If the CSB determines that it is not best 
able to process the record, then it will either:
    (1) Respond to the request regarding that record, after consulting 
with the agency best able to determine whether the record is exempt from 
access and with any other agency that has a substantial interest in it; 
or
    (2) Refer the responsibility for responding to the request regarding 
that record to another agency that originated the record (but only if 
that agency is subject to the Privacy Act). Ordinarily, the agency that 
originated a record will be presumed to be best able to determine 
whether it is exempt from access.

[[Page 1172]]

    (d) Notice of referral. Whenever the CSB refers all or any part of 
the responsibility for responding to your request to another agency, it 
ordinarily will notify you of the referral and inform you of the name of 
each agency to which the request has been referred and of the part of 
the request that has been referred.
    (e) Timing of responses to consultations and referrals. All 
consultations and referrals shall be handled according to the date the 
Privacy Act access request was initially received by the CSB, not any 
later date.



Sec.  1602.4  Responses to requests for access to records.

    (a) Acknowledgments of requests. On receipt of your request, the CSB 
ordinarily will send an acknowledgment letter, which shall confirm your 
agreement to pay fees under Sec.  1602.2(c) and may provide an assigned 
request number for further reference.
    (b) Grants of requests for access. Once the CSB makes a 
determination to grant your request for access in whole or in part, it 
will notify you in writing. The CSB will inform you in the notice of any 
fee charged under Sec.  1602.9 and will disclose records to you promptly 
on payment of any applicable fee. If your request is made in person, the 
CSB may disclose records to you directly, in a manner not unreasonably 
disruptive of its operations, on payment of any applicable fee and with 
a written record made of the grant of the request. If you are 
accompanied by another person when you make a request in person, you 
shall be required to authorize in writing any discussion of the records 
in the presence of the other person.
    (c) Adverse determinations of requests for access. If the CSB makes 
an adverse determination denying your request for access in any respect, 
it will notify you of that determination in writing. Adverse 
determinations, or denials of requests, consist of: a determination to 
withhold any requested record in whole or in part; a determination that 
a requested record does not exist or cannot be located; a determination 
that what has been requested is not a record subject to the Privacy Act; 
a determination on any disputed fee matter; and a denial of a request 
for expedited treatment. The notification letter shall be signed by the 
General Counsel, or his/her designee, and shall include:
    (1) The name and title or position of the person responsible for the 
denial;
    (2) A brief statement of the reason(s) for the denial, including any 
Privacy Act exemption(s) applied by the CSB in denying the request; and
    (3) A statement that the denial may be appealed under Sec.  
1602.5(a) and a description of the requirements of Sec.  1602.5(a).



Sec.  1602.5  Appeals from denials of requests for access to records.

    (a) Appeals. If you are dissatisfied with the CSB's response to your 
request for access to records, you may appeal an adverse determination 
denying your request in any respect to the Privacy Act Appeals Officer 
of the CSB, 2175 K Street, NW., Suite 400, Washington, DC 20037. You 
must make your appeal in writing, and it must be received within 60 days 
of the date of the letter denying your request. Your appeal letter may 
include as much or as little related information as you wish, as long as 
it clearly identifies the determination (including the assigned request 
number, if any) that you are appealing. For the quickest possible 
handling, you should mark both your appeal letter and the envelope 
``Privacy Act Appeal.''
    (b) Responses to appeals. The decision on your appeal will be made 
in writing. A decision affirming an adverse determination in whole or in 
part will include a brief statement of the reason(s) for the affirmance, 
including any Privacy Act exemption applied, and will inform you of the 
Privacy Act provisions for court review of the decision. If the adverse 
determination is reversed or modified on appeal in whole or in part, you 
will be notified in a written decision and your request will be 
reprocessed in accordance with that appeal decision.
    (c) When appeal is required. If you wish to seek review by a court 
of any adverse determination or denial of a request, you must first 
appeal it under this section.

[[Page 1173]]



Sec.  1602.6  Requests for amendment or correction of records.

    (a) How made and addressed. You may make a request for amendment or 
correction of a CSB record about yourself by following the procedures in 
Sec.  1602.2. Your request should identify each particular record in 
question, state the amendment or correction that you want, and state why 
you believe that the record is not accurate, relevant, timely, or 
complete. You may submit any documentation that you think would be 
helpful.
    (b) CSB responses. Within ten working days of receiving your request 
for amendment or correction of records, the CSB will send you a written 
acknowledgment of its receipt of your request, and it will promptly 
notify you whether your request is granted or denied. If the CSB grants 
your request in whole or in part, it will describe the amendment or 
correction made and advise you of your right to obtain a copy of the 
corrected or amended record. If the CSB denies your request in whole or 
in part, it will send you a letter stating:
    (1) The reason(s) for the denial; and
    (2) The procedure for appeal of the denial under paragraph (c) of 
this section, including the name and business address of the official 
who will act on your appeal.
    (c) Appeals. You may appeal a denial of a request for amendment or 
correction in the same manner as a denial of a request for access to 
records (see Sec.  1602.5), and the same procedures will be followed. If 
your appeal is denied, you will be advised of your right to file a 
Statement of Disagreement as described in paragraph (d) of this section 
and of your right under the Privacy Act for court review of the 
decision.
    (d) Statements of Disagreement. If your appeal under this section is 
denied in whole or in part, you have the right to file a Statement of 
Disagreement that states your reason(s) for disagreeing with the CSB's 
denial of your request for amendment or correction. Statements of 
Disagreement must be concise, must clearly identify each part of any 
record that is disputed, and should be no longer than one typed page for 
each fact disputed. Your Statement of Disagreement must be sent to the 
CSB, which will place it in the system of records in which the disputed 
record is maintained and will mark the disputed record to indicate that 
a Statement of Disagreement has been filed and where in the system of 
records it may be found.
    (e) Notification of amendment/correction or disagreement. Within 30 
working days of the amendment or correction of a record, the CSB shall 
notify all persons, organizations, or agencies to which it previously 
disclosed the record, if an accounting of that disclosure was made, that 
the record has been amended or corrected. If an individual has filed a 
Statement of Disagreement, the CSB will attach a copy of it to the 
disputed record whenever the record is disclosed and may also attach a 
concise statement of its reason(s) for denying the request to amend or 
correct the record.



Sec.  1602.7  Requests for an accounting of record disclosures.

    (a) How made and addressed. Except where accountings of disclosures 
are not required to be kept (as stated in paragraph (b) of this 
section), you may make a request for an accounting of any disclosure 
that has been made by the CSB to another person, organization, or agency 
of any record about you. This accounting contains the date, nature, and 
purpose of each disclosure, as well as the name and address of the 
person, organization, or agency to which the disclosure was made. Your 
request for an accounting should identify each particular record in 
question and should be made by writing to the CSB, following the 
procedures in Sec.  1602.2.
    (b) Where accountings are not required. The CSB is not required to 
provide accountings to you where they relate to disclosures for which 
accountings are not required to be kept---in other words, disclosures 
that are made to employees within the agency and disclosures that are 
made under the FOIA.
    (c) Appeals. You may appeal a denial of a request for an accounting 
to the CSB Appeals Officer in the same manner as a denial of a request 
for access to records (see Sec.  1602.5) and the same procedures will be 
followed.

[[Page 1174]]



Sec.  1602.8  Preservation of records.

    The CSB will preserve all correspondence pertaining to the requests 
that it receives under this part, as well as copies of all requested 
records, until disposition or destruction is authorized by Title 44 of 
the United States Code or the National Archives and Records 
Administration's General Records Schedule 14. Records will not be 
disposed of while they are the subject of a pending request, appeal, or 
lawsuit under the Privacy Act.



Sec.  1602.9  Fees.

    The CSB will charge fees for duplication of records under the 
Privacy Act in the same way in which it charges duplication fees under 
the FOIA (see part 1601, subpart D of this chapter). No search or review 
fee will be charged for any record.



Sec.  1602.10  Notice of court-ordered and emergency disclosures.

    (a) Court-ordered disclosures. When a record pertaining to an 
individual is required to be disclosed by a court order, the CSB will 
make reasonable efforts to provide notice of this to the individual. 
Notice will be given within a reasonable time after the CSB's receipt of 
the order--except that in a case in which the order is not a matter of 
public record, the notice will be given only after the order becomes 
public. This notice will be mailed to the individual's last known 
address and will contain a copy of the order and a description of the 
information disclosed.
    (b) Emergency disclosures. Upon disclosing a record pertaining to an 
individual made under compelling circumstances affecting health or 
safety, the CSB will notify that individual of the disclosure. This 
notice will be mailed to the individual's last known address and will 
state the nature of the information disclosed; the person, organization, 
or agency to which it was disclosed; the date of disclosure; and the 
compelling circumstances justifying the disclosure.



PART 1603_RULES IMPLEMENTING THE GOVERNMENT IN THE SUNSHINE ACT--Table of Contents

Sec.
1603.1 Applicability.
1603.2 Policy.
1603.3 Definitions.
1603.4 Open meetings requirement.
1603.5 Assurance of compliance.
1603.6 Business requiring a meeting.
1603.7 Grounds on which meetings may be closed or information may be 
          withheld.
1603.8 Procedures for closing meetings, or withholding information, and 
          requests by affected persons to close a meeting.
1603.9 Procedures for public announcement of meetings.
1603.10 Changes following public announcement.
1603.11 Transcripts, recordings, or minutes of closed meetings.
1603.12 Availability of transcripts, recordings, and minutes, and 
          applicable fees.
1603.13 Report to Congress.
1603.14 Severability.

    Authority: 5 U.S.C. 552b; 42 U.S.C. 7412(r)(6)(N).

    Source: 67 FR 35445, May 20, 2002, unless otherwise noted.



Sec.  1603.1  Applicability.

    (a) This part implements the provisions of the Government in the 
Sunshine Act, 5 U.S.C. 552b. These procedures apply to meetings, as 
defined herein, of the Members of the Chemical Safety and Hazard 
Investigation Board (``CSB'' or ``Board'').
    (b) This part does not affect the procedures by which CSB records 
are made available to the public, which continue to be governed by part 
1601 of this chapter pursuant to the Freedom of Information Act, 5 
U.S.C. 552, except that the exemptions set forth in Sec.  1603.7 shall 
govern in the case of any requests made for the transcripts, recordings, 
and minutes described in Sec.  1603.11.



Sec.  1603.2  Policy.

    It is the policy of the CSB to provide the public with the fullest 
practicable information regarding the decisionmaking processes of the 
Board, while protecting the rights of individuals and the ability of the 
Board to discharge its statutory functions and responsibilities. The 
public is invited to attend but not to participate in open meetings. For 
any open meeting, the Board,

[[Page 1175]]

by majority vote, may decide to allow for a public comment period 
immediately following the close of that meeting.



Sec.  1603.3  Definitions.

    As used in this part:
    (a) Days means calendar days, except where noted otherwise.
    (b) General Counsel means the Board's principal legal officer, or a 
CSB attorney serving as Acting General Counsel.
    (c) Meeting means the deliberations of at least a quorum of Members 
where such deliberations determine or result in the joint conduct or 
disposition of official CSB business, and includes conference telephone 
calls or other exchanges otherwise coming within the definition. A 
meeting does not include:
    (1) Notation voting or similar consideration of business, whether by 
circulation of material to the Members individually in writing or by a 
polling of the Members individually by telephone.
    (2) Action by at least a quorum of Members to:
    (i) Open or to close a meeting or to release or to withhold 
information pursuant to Sec.  1603.7;
    (ii) Set an agenda for a proposed meeting(s);
    (iii) Call a meeting on less than seven days' notice as permitted by 
Sec.  1603.9(b); or
    (iv) Change the subject matter or the determination to open or to 
close a publicly announced meeting under Sec.  1603.10(b).
    (3) A session attended by at least a quorum of Members for the 
purpose of having the Board's staff or expert consultants to the Board 
brief or otherwise provide information to the Board concerning any 
matters within the purview of the Board under its authorizing statute, 
provided that the Board does not engage in deliberations that determine 
or result in the joint conduct or disposition of official CSB business 
on such matters.
    (4) A session attended by at least a quorum of Members for the 
purpose of having the Environmental Protection Agency or Occupational 
Safety and Health Administration (including contractors of those 
agencies) or other persons or organizations brief or otherwise provide 
information to the Board concerning any matters within the purview of 
the Board under its authorizing statute, provided that the Board does 
not engage in deliberations that determine or result in the joint 
conduct or disposition of official CSB business on such matters.
    (5) A gathering of Members for the purpose of holding informal 
preliminary discussions or exchange of views which do not effectively 
predetermine official action.
    (d) Member means an individual duly appointed and confirmed to the 
collegial body known as the Board.
    (e) Reporter means a CSB employee designated by the General Counsel, 
under Sec.  1603.5(c), to attend and prepare a written summary of all 
briefings described in paragraphs (c)(3) and (c)(4) of this section and 
all informal preliminary discussions described in paragraph (c)(5) of 
this section.
    (f) Sunshine Act means the Government in the Sunshine Act, 5 U.S.C. 
552b.



Sec.  1603.4  Open meetings requirement.

    Any meetings of the Board, as defined in Sec.  1603.3, shall be 
conducted in accordance with this part. Except as provided in Sec.  
1603.7, the Board's meetings, or portions thereof, shall be open to 
public observation.



Sec.  1603.5  Assurance of compliance.

    (a) The General Counsel or another attorney designated by the 
General Counsel will attend and monitor all briefings described in Sec.  
1603.3(c)(3) and (c)(4) and all informal preliminary discussions 
described in Sec.  1603.3(c)(5), to assure that those gatherings do not 
proceed to the point of becoming deliberations and meetings for Sunshine 
Act purposes.
    (b) The General Counsel or the designated attorney will inform the 
Board Members if developing discussions at a briefing or gathering 
should be deferred until a notice of an open or closed meeting can be 
published in the Federal Register, and a meeting conducted pursuant to 
the Sunshine Act and this part.
    (c) For each briefing described in Sec.  1603.3(c)(3) or (c)(4) and 
each informal preliminary discussion described in

[[Page 1176]]

Sec.  1603.3(c)(5), the General Counsel is hereby authorized to 
designate a CSB employee, other than the attorney referred to in 
paragraph (a) of this section, to serve as a reporter. An employee may 
be designated as reporter for a single briefing or informal discussion 
or for a series of briefings or discussions. The reporter shall attend 
and prepare a written summary of each briefing(s) or informal 
discussion(s) for which he/she has been designated. The reporter must 
prepare the summary of a particular briefing or informal discussion 
within five business days after the date of that briefing or discussion. 
The reporter must then submit the summary to the General Counsel or the 
designated attorney who attended the briefing or informal discussion 
that is the subject of the summary for review and approval as a fair and 
accurate summary of that briefing or discussion. The written summaries 
of briefings and informal discussions shall be maintained in the Office 
of General Counsel.



Sec.  1603.6  Business requiring a meeting.

    The Board may, by majority vote of its Members, determine that 
particular items or classes of Board business cannot be accomplished by 
notation voting, but must instead be decided by a recorded vote at a 
meeting, as defined in Sec.  1603.3(c).



Sec.  1603.7  Grounds on which meetings may be closed or information may be withheld.

    Except in a case where the Board finds that the public interest 
requires otherwise, a meeting may be closed and information pertinent to 
such meeting otherwise required by Sec. Sec.  1603.8, 1603.9, and 
1603.10 to be disclosed to the public may be withheld if the Board 
properly determines that such meeting or portion thereof or the 
disclosure of such information is likely to:
    (a) Disclose matters that are:
    (1) Specifically authorized under criteria established by an 
Executive Order to be kept secret in the interests of national defense 
or foreign policy; and
    (2) In fact, properly classified pursuant to such Executive Order. 
In making the determination that this exemption applies, the Board shall 
rely upon the classification assigned to a document by the Environmental 
Protection Agency, Occupational Safety and Health Administration, or 
other originating agency;
    (b) Relate solely to the internal personnel rules and practices of 
the CSB;
    (c) Disclose matters specifically exempted from disclosure by 
statute (other than 5 U.S.C. 552), provided that such statute:
    (1) Requires that the matters be withheld from the public in such a 
manner as to leave no discretion on the issue; or
    (2) Establishes particular criteria for withholding or refers to 
particular types of matters to be withheld;
    (d) Disclose trade secrets and commercial or financial information 
obtained from a person and privileged or confidential;
    (e) Involve accusing any person of a crime, or formally censuring 
any person;
    (f) Disclose information of a personal nature where disclosure would 
constitute a clearly unwarranted invasion of personal privacy;
    (g) Disclose investigatory records compiled for law enforcement 
purposes, or information which if written would be contained in such 
records, but only to the extent that the production of such records or 
information would:
    (1) Interfere with enforcement proceedings;
    (2) Deprive a person of a right to a fair trial or an impartial 
adjudication;
    (3) Constitute an unwarranted invasion of personal privacy;
    (4) Disclose the identity of a confidential source and, in the case 
of a record compiled by a criminal law enforcement authority in the 
course of a criminal investigation or by an agency conducting a lawful 
national security intelligence investigation, confidential information 
furnished only by the confidential source;
    (5) Disclose investigative techniques and procedures; or
    (6) Endanger the life or physical safety of law enforcement 
personnel;
    (h) Disclose information the premature disclosure of which would be 
likely to significantly frustrate implementation of a proposed action of 
the CSB, except that this paragraph shall not apply in any instance 
where the

[[Page 1177]]

Board has already disclosed to the public the content or nature of its 
proposed action or is required by law to make such disclosure on its own 
initiative prior to taking final action on such proposal;
    (i) Specifically concern the Board's issuance of a subpoena, or the 
CSB's participation in a civil action or proceeding, an action in a 
foreign court or international tribunal, or an arbitration, or the 
initiation, conduct, or disposition by the CSB of a particular case of 
formal agency adjudication pursuant to the procedures in 5 U.S.C. 554 or 
otherwise involving a determination on the record after opportunity for 
a hearing; or
    (j) Disclose other information for which the Government in the 
Sunshine Act provides an exemption to the open meeting requirements of 
that Act.



Sec.  1603.8  Procedures for closing meetings, or withholding information, and requests by affected persons to close a meeting.

    (a) A meeting shall not be closed, or information pertaining thereto 
withheld, unless a majority of all Members votes to take such action. A 
majority of the Board may act by taking a single vote with respect to 
any action under Sec.  1603.7. A single vote is permitted with respect 
to a series of meetings, a portion or portions of which are proposed to 
be closed to the public, or with respect to any information concerning 
such series of meetings, so long as each meeting in such series involves 
the same particular subject matters and is scheduled to be held no more 
than thirty days after the initial meeting in such series. Each Member's 
vote under this paragraph shall be recorded and proxies are not 
permitted.
    (b) Any person whose interest may be directly affected if a portion 
of a meeting is open may request the Board to close that portion on any 
of the grounds referred to in Sec.  1603.7(e) through (g). Requests, 
with reasons in support thereof, should be submitted in writing, no 
later than two days before the meeting in question, to the General 
Counsel, Chemical Safety and Hazard Investigation Board, 2175 K Street, 
NW., Suite 400, Washington, DC 20037. In motion of any Member, the Board 
shall determine by recorded vote whether to grant the request.
    (c) Within one working day of any vote taken pursuant to this 
section, the CSB shall make available a written copy of such vote 
reflecting the vote of each Member on the question and, if a portion of 
a meeting is to be closed to the public, a full written explanation of 
its action closing the meeting and a list of all persons expected to 
attend and their affiliation.
    (d) Before every closed meeting, the General Counsel of the CSB 
shall publicly certify that, in his/her opinion, the meeting may be 
closed to the public and shall state each relevant exemption provision. 
If the General Counsel invokes the exemption for classified or sensitive 
unclassified information under Sec.  1603.7(a), he/shall rely upon the 
classification or designation assigned to the document containing such 
information by the Environmental Protection Agency, Occupational Safety 
and Health Administration, or other originating agency. A copy of such 
certification, together with a statement setting forth the time and 
place of the meeting and the persons present, shall be retained by the 
Board as part of the transcript, recording, or minutes required by Sec.  
1603.11.



Sec.  1603.9  Procedures for public announcement of meetings.

    (a) For each meeting, the CSB shall make public announcement, at 
least one week before the meeting, of:
    (1) The time of the meeting;
    (2) The place of the meeting;
    (3) The subject matter of the meeting;
    (4) Whether the meeting is to be open or closed; and
    (5) The name and business telephone number of the offical designated 
by the CSB to respond to requests for information about the meeting.
    (b) The one week advance notice required by paragraph (a) of this 
section may be reduced only if:
    (1) A majority of all Members determines by recorded vote that CSB 
business requires that such meeting be scheduled in less than seven 
days; and
    (2) The public announcement required by paragraph (a) of this 
section

[[Page 1178]]

is made at the earliest practicable time.
    (c) Immediately following each public announcement required by this 
section, or by Sec.  1603.10, the CSB shall submit a notice of public 
announcement for publication in the Federal Register.



Sec.  1603.10  Changes following public announcement.

    (a) The time or place of a meeting may be changed following the 
public announcement only if the CSB publicly announces such change at 
the earliest practicable time. Members need not approve such change.
    (b) A meeting may be cancelled, or the subject matter of a meeting 
or the determination of the Board to open or to close a meeting, or a 
portion thereof, to the public may be changed following public 
announcement only if:
    (1) A majority of all Members determines by recorded vote that CSB 
business so requires and that no earlier announcement of the 
cancellation or change was possible; and
    (2) The CSB publicly announces such cancellation or change and the 
vote of each Member thereon at the earliest practicable time.
    (c) The deletion of any subject matter announced for a meeting is 
not a change requiring the approval of the Board under paragraph (b) of 
this section.



Sec.  1603.11  Transcripts, recordings, or minutes of closed meetings.

    (a) Along with the General Counsel's certification referred to in 
Sec.  1603.8(d), the CSB shall maintain a complete transcript or 
electronic recording adequate to record fully the proceedings of each 
meeting, or a portion thereof, closed to the public. The CSB may 
maintain a set of minutes in lieu of such transcript or recording for 
meetings closed pursuant to Sec.  1603.7(i). Such minutes shall fully 
and clearly describe all matters discussed and shall provide a full and 
accurate summary of any actions taken, and the reasons therefor, 
including a description of each of the views expressed on any item and 
the record of any rollcall vote. All documents considered in connection 
with any actions shall be identified in such minutes.
    (b) The CSB shall maintain a complete verbatim copy of the 
transcript, a complete copy of the minutes, or a complete electronic 
recording of each meeting, or a portion thereof, closed to the public 
for at least two years after such meeting, or until one year after the 
conclusion of any CSB proceeding with respect to which the meeting, or a 
portion thereof, was held, whichever occurs later.



Sec.  1603.12  Availability of transcripts, recordings, and minutes, and applicable fees.

    The CSB shall make promptly available to the public the transcript, 
electronic recording, or minutes of the discussion of any item on the 
agenda or of any testimony received at a meeting, except for such item, 
or items, of discussion or testimony as determined by the CSB to contain 
matters which may be withheld under the exemptive provisions of Sec.  
1603.7. Copies of the nonexempt portions of the transcript or minutes, 
or transcription of such recordings disclosing the identity of each 
speaker, shall be furnished to any person at the actual cost of 
transcription or duplication. Requests for transcripts, recordings, or 
minutes shall be made in writing to the General Counsel of the CSB, 2175 
K Street, NW., Suite 400, Washington, DC 20037.



Sec.  1603.13  Report to Congress.

    The CSB General Counsel shall annually report to the Congress 
regarding the Board's compliance with the Government in the Sunshine 
Act, including a tabulation of the total number of open meetings, the 
total number of closed meetings, the reasons for closing such meetings 
and a description of any litigation brought against the Board pursuant 
to the Government in the Sunshine Act, including any cost assessed 
against the Board in such litigation (whether or not paid by the Board).



Sec.  1603.14  Severability.

    If any provision of this part or the application of such provision 
to any person or circumstances, is held invalid, the remainder of this 
part or the

[[Page 1179]]

application of such provision to persons or circumstances other than 
those as to which it is held invalid, shall not be affected thereby.



PART 1610_ADMINISTRATIVE INVESTIGATIONS--Table of Contents

Sec.
1610.1 Representation of witnesses in investigations.
1610.2 Repeated attorney misconduct, sanctions, hearings.
1610.3 Sequestration of witnesses and exclusion of Counsel.
1610.4 Deposition Transcripts.

    Authority: 42 U.S.C. 7412(r)(6)(C)(i), 7412(r)(6)(L), 7412(r)(6)(N).
    Section 1610.4 also issued under 5 U.S.C. 555.

    Source: 66 FR 1050, Jan. 5, 2001, unless otherwise noted.



Sec.  1610.1  Representation of witnesses in investigations.

    (a) Witnesses who are compelled to appear. Witnesses who are 
compelled to appear for a deposition (i.e., by subpoena) are entitled to 
be accompanied, represented, and advised by an attorney as follows:
    (1) Counsel for a witness may advise the witness with respect to any 
question asked where it is claimed that the testimony or other evidence 
sought from a witness is outside the scope of the investigation, or that 
the witness is privileged to refuse to answer a question or to produce 
other evidence. For these allowable objections, the witness or counsel 
for the witness may object on the record to the question or requirement 
and may state briefly and precisely the ground therefor. If the witness 
refuses to answer a question, then counsel may briefly state on the 
record that counsel has advised the witness not to answer the question 
and the legal grounds for such refusal. The witness and his or her 
counsel shall not otherwise object to or refuse to answer any question, 
and they shall not otherwise interrupt the oral examination.
    (2) Any objections made will be treated as continuing objections and 
preserved throughout the further course of the deposition without the 
necessity for repeating them as to any similar line of inquiry. 
Cumulative objections are unnecessary. Repetition of the grounds for any 
objection will not be allowed.
    (3) Counsel for a witness may not, for any purpose or to any extent 
not allowed by paragraphs (a)(1) and (2) of this section, interrupt the 
examination of the witness by making any objections or statements on the 
record.
    (4) Following completion of the examination of a witness, counsel 
for the witness may on the record request the person conducting the 
deposition to permit the witness to clarify any of his or her answers. 
The grant or denial of such request shall be within the sole discretion 
of the person conducting the deposition.
    (5) The person conducting the deposition shall take all necessary 
action to regulate the course of the deposition, to avoid delay, and to 
prevent or restrain disorderly, dilatory, obstructionist, or 
contumacious conduct, or contemptuous language. Such person shall, for 
reasons stated on the record, immediately report to the Board any 
instances where an attorney has allegedly refused to comply with his or 
her directions, or has allegedly engaged in disorderly, dilatory, 
obstructionist, or contumacious conduct, or contemptuous language in the 
course of the deposition. The Board may thereupon take such further 
action, if any, as the circumstances warrant, including exclusion of 
that attorney from further participation in the particular 
investigation.
    (b) Voluntary interviews. Witnesses appearing voluntarily do not 
have a right to have an attorney present during questioning. The 
Investigator-in-Charge (IIC), in consultation with the General Counsel, 
may permit a witness to be accompanied by an attorney or non-attorney 
representative. If so accompanied, the role of the attorney or non-
attorney representative is limited to raising objections to questions 
that are outside the scope of the investigation and to advising the 
witness with respect to any legal privilege such as, for example, under 
the Fifth Amendment to the U. S. Constitution. Attorney and non-attorney 
representatives

[[Page 1180]]

may not represent more than one witness in each investigation in this 
fashion, absent the consent of the IIC and the General Counsel.



Sec.  1610.2  Repeated attorney misconduct, sanctions, hearings.

    (a) If an attorney who has been sanctioned by the Board for 
disorderly, dilatory, obstructionist, or contumacious conduct, or 
contemptuous language in the course of a deposition under Sec.  
1610.1(a)(5) is sanctioned again by the Board in a subsequent deposition 
or investigation, the Board, after offering the attorney an opportunity 
to be heard, may reprimand, censure the attorney, or suspend the 
attorney from further practice before the Board for such period of time 
as the Board deems advisable.
    (b) A reprimand or a censure shall be ordered with grounds stated on 
the record of the proceeding. A suspension shall be in writing, shall 
state the grounds on which it is based, and shall advise the person 
suspended of the right to appeal.
    (c) An attorney suspended pursuant to this section may within ten 
(10) days after issuance of the order file an appeal with the Board. The 
appeal shall be in writing and state concisely, with supporting 
argument, why the appellant believes the order was erroneous, either as 
a matter of fact or law. If necessary for a full and fair consideration 
of the facts, the Board as a whole may conduct further evidentiary 
hearings, or may refer the matter to another presiding officer for 
development of a record. Such presiding officer may be an attorney who 
is a Member of the Board or is employed in the Office of General 
Counsel, or an administrative law judge detailed from another agency 
pursuant to 5 U.S.C. 3344. If the Board refers the matter to a presiding 
officer, unless the Board provides specific directions to the presiding 
officer, that officer shall determine the procedure to be followed and 
who shall present evidence, subject to applicable provisions of law. 
Such hearing shall commence as soon as possible. If no appeal is taken 
of a suspension, or, if the suspension is upheld at the conclusion of 
the appeal, the presiding officer, or the Board, as appropriate, shall 
notify the state bar(s) to which the attorney is admitted. Such 
notification shall include copies of the order of suspension, and, if an 
appeal was taken, briefs of the parties, and the decision of the Board.

[66 FR 17363, Mar. 30, 2001]



Sec.  1610.3  Sequestration of witnesses and exclusion of Counsel.

    (a) All witnesses compelled by subpoena to submit to CSB depositions 
shall be sequestered unless the official conducting the depositions 
permits otherwise.
    (b) Any witness compelled by subpoena to appear at a deposition 
during a CSB investigation may be accompanied, represented, and advised 
by an attorney in good standing of his or her choice, pursuant to Sec.  
1610.1. However, when the CSB official conducting the investigation 
determines, after consultation with the Office of General Counsel, that 
the CSB has concrete evidence that the presence of an attorney 
representing multiple interests would obstruct and impede the 
investigation or inspection, the CSB official may prohibit that counsel 
from being present during the deposition.
    (c) The deposing official is to provide a witness whose counsel has 
been excluded under paragraph (b) of this section, and the witness' 
counsel, a written statement of the reasons supporting the decision to 
exclude. This statement, which must be provided no later than five 
working days after exclusion, must explain the basis for the counsel's 
exclusion. This statement must also advise the witness of the witness' 
right to appeal the exclusion decision and obtain an automatic stay of 
the effectiveness of the subpoena by filing a motion to quash the 
subpoena with the Board within five days of receipt of this written 
statement.
    (d) Within five days after receipt of the written notification 
required in paragraph (c) of this section, a witness whose counsel has 
been excluded may appeal the exclusion decision by filing a motion to 
quash the subpoena with the Board. The filing of the motion to quash 
will stay the effectiveness of the subpoena pending the Board's decision 
on the motion.

[[Page 1181]]

    (e) If a witness' counsel is excluded under paragraph (b) of this 
section, the deposition may, at the witness' request, either proceed 
without counsel or be delayed for a reasonable period of time to permit 
the retention of new counsel. The deposition may also be rescheduled to 
a subsequent date established by the CSB, although the deposition shall 
not be rescheduled by the CSB to a date that precedes the expiration of 
the time provided in paragraph (d) of this section for appeal of the 
exclusion of counsel, unless the witness consents to an earlier date.

[66 FR 17363, Mar. 30, 2001]



Sec.  1610.4  Deposition Transcripts.

    (a) Transcripts of depositions of witnesses compelled by subpoena to 
appear during a Board investigation, shall be recorded solely by an 
official reporter designated by the person conducting the deposition.
    (b) Such a witness, after completing the compelled testimony, may 
file a petition with the Board's General Counsel to procure a copy of 
the official transcript of such testimony. The General Counsel shall 
rule on the petition, and may deny it for good cause. Whether or not 
such a petition is filed, the witness (and his or her attorney), upon 
proper identification, shall have the right to inspect the official 
transcript of the witness' own testimony. If such a petition is denied 
by the General Counsel, he shall inform the petitioner of the right to 
inspect the transcript.
    (c) Good cause for denying a witness' petition to procure a 
transcript of his or her testimony may include, but shall not be limited 
to, the protection of: trade secrets and confidential business 
information contained in the testimony, security-sensitive operational 
and vulnerability information, and the integrity of Board 
investigations.

[68 FR 4393, Jan. 29, 2003]



PART 1611_TESTIMONY BY EMPLOYEES IN LEGAL PROCEEDINGS--Table of Contents

Sec.
1611.1 General.
1611.2 Definitions.
1611.3 Scope of permissible testimony.
1611.4 Manner in which testimony is given in civil litigation.
1611.5 Request for testimony in civil litigation.
1611.6 Testimony of former CSB employees.
1611.7 Testimony by current CSB employees regarding prior activity.
1611.8 Procedure in the event of a subpoena in civil litigation.
1611.9 Testimony in Federal, State, or local criminal investigations and 
          other proceedings.
1611.10 Obtaining CSB investigation reports and supporting information.

    Authority: 5 U.S.C. 301, 42 U.S.C. 7412(r)(6)(G).

    Source: 66 FR 17366, Mar. 30, 2001, unless otherwise noted.



Sec.  1611.1  General.

    (a) This part prescribes policies and procedures regarding the 
testimony of employees of the Chemical Safety and Hazard Investigation 
Board (CSB) in suits or actions for damages and criminal proceedings 
arising out of chemical incidents when such testimony is in an official 
capacity and arises out of or is related to an incident investigation. 
The purpose of this part is to ensure that the time of CSB employees is 
used only for official purposes, to avoid embroiling the CSB in 
controversial issues that are not related to its duties, to avoid 
spending public funds for non-CSB purposes, to preserve the impartiality 
of the CSB, and to prohibit the discovery of opinion testimony.
    (b) This part does not apply to:
    (1) Congressional requests or subpoenas for testimony or records;
    (2) Federal court civil proceedings in which the United States is a 
party;
    (3) Federal administrative proceedings;
    (4) Employees who voluntarily testify, while on their own time or in 
approved leave status, as private citizens as to facts or events that 
are not related to the official business of the CSB. The employee must 
state for the record that the testimony represents the employee's own 
views and is not necessarily the official position of the CSB.
    (c) This part only provides guidance for the internal operations of 
the CSB, and neither creates nor is intended to

[[Page 1182]]

create any enforceable right or benefit against the United States.



Sec.  1611.2  Definitions.

    CSB incident report means the report containing the CSB's 
determinations, including the probable cause of an incident, issued 
either as a narrative report or in a computer format. Pursuant to 42 
U.S.C. 7412(r)(6)(G), no part of the conclusions, findings or 
recommendations of the CSB relating to an accidental release or the 
investigation thereof, may be admitted as evidence or used in any suit 
or action for damages growing out of any matter mentioned in such 
report.
    Employee, for the purpose of this part and part 1612 of this 
chapter, refers to current or former CSB Board Members or employees, 
including student interns, and contractors, contract employees, or 
consultants (and their employees). This definition does not include 
persons who are no longer employed by or under contract to the CSB, and 
who are retained or hired as expert witnesses or agree to testify about 
matters that do not involve their work for the CSB.

[66 FR 17366, Mar. 30, 2001, as amended at 66 FR 23854, May 10, 2001]



Sec.  1611.3  Scope of permissible testimony.

    (a) The statute creating the CSB, 42 U.S.C. 7412(r)(6)(G), precludes 
the use or admission into evidence of CSB investigative reports in any 
suit or action for damages arising from such incidents. This provision 
would be undermined if expert opinion testimony of CSB employees, which 
may be reflected in the views of the CSB expressed in its reports, were 
admitted in evidence or used in litigation arising out of an incident. 
The CSB relies heavily upon its investigators' opinions in its 
deliberations. Furthermore, the use of CSB employees as experts to give 
opinion testimony would impose a significant administrative burden on 
the CSB's investigative staff.
    (b) For the reasons stated in paragraph (a) of this section and 
Sec.  1611.1, CSB employees may only testify as to the factual 
information they obtained during the course of an investigation. 
However, they shall decline to testify regarding matters beyond the 
scope of their investigation, and they shall not give any expert or 
opinion testimony.
    (c) CSB employees may testify about the firsthand information they 
obtained during an investigation that is not reasonably available 
elsewhere, including their own factual observations. Consistent with the 
principles cited in Sec.  1611.1 and this section, current CSB employees 
are not authorized to testify regarding other employee's observations or 
reports, or other types of CSB documents, including but not limited to 
safety recommendations, safety studies, safety proposals, safety 
accomplishments, reports labeled studies, and analysis reports, as they 
contain staff analysis and/or CSB conclusions.
    (d) Consistent with 42 U.S.C. 7412(r)(6)(G), a CSB employee may not 
use the CSB's investigation report for any purpose during his testimony.
    (e) No employee may testify in any matter absent advance approval by 
the General Counsel as provided in this part.



Sec.  1611.4  Manner in which testimony is given in civil litigation.

    (a) Testimony of CSB employees with unique, firsthand information 
may be made available for use in civil actions or civil suits for 
damages arising out of incidents through depositions or written 
interrogatories. CSB employees are not permitted to appear and testify 
in court in such actions.
    (b) Normally, depositions will be taken and interrogatories answered 
at the CSB's headquarters in Washington, DC, and at a time arranged with 
the employee reasonably fixed to avoid substantial interference with the 
performance of his or her duties.
    (c) CSB employees are authorized to testify only once in connection 
with any investigation they have made of an incident. Consequently, when 
more than one civil lawsuit arises as a result of an incident, it shall 
be the duty of counsel seeking the employee's deposition to ascertain 
the identity of all parties to the multiple lawsuits and their counsel, 
and to advise them of the fact that a deposition has been granted, so 
that all interested parties may be afforded the opportunity to 
participate therein.

[[Page 1183]]

    (d) Upon completion of the deposition of a CSB employee, the 
original of the transcript will be provided to the deponent for 
signature and correction, which the CSB does not waive. A copy of the 
transcript of the testimony and any videotape shall be furnished, at the 
expense of the party requesting the deposition, to the CSB's General 
Counsel at Washington, DC headquarters for the CSB's files.
    (e) If CSB employees are required to travel to testify, under the 
relevant substantive and procedural laws and regulations the party 
requesting the testimony must pay for the costs, including travel 
expenses. Costs must be paid by check or money order payable to the 
Chemical Safety and Hazard Investigation Board.



Sec.  1611.5  Request for testimony in civil litigation.

    (a) A written request for testimony by deposition or interrogatories 
of a CSB employee relating to an incident shall be addressed to the 
General Counsel, who may approve or deny the request consistent with 
this part. Such request shall set forth the title of the civil case, the 
court, the date and place of the incident, the reasons for desiring the 
testimony, and a showing that the information desired is not reasonably 
available from other sources.
    (b) Where testimony is sought in connection with civil litigation, 
the General Counsel shall not approve it until the CSB's investigation 
report is issued.
    (c) The General Counsel shall attach to the approval of any 
deposition such reasonable conditions as may be deemed appropriate in 
order that the testimony will be consistent with Sec.  1611.1, will be 
limited to the matters delineated in Sec.  1611.3, will not interfere 
with the performance of the duties of the employee as set forth in Sec.  
1611.4, and will otherwise conform to the policies of this part.
    (d) A subpoena shall not be served upon a CSB employee in connection 
with the taking of a deposition in civil litigation.



Sec.  1611.6  Testimony of former CSB employees.

    (a) It is not necessary to request CSB approval for testimony of a 
former CSB employee, nor is such testimony limited to depositions. 
However, the scope of permissible testimony continues to be constrained 
by all the limitations set forth in Sec.  1611.3 and Sec.  1611.4.
    (b) Any former employee who is served with a subpoena to appear and 
testify in connection with civil litigation that relates to his or her 
work with the CSB, shall immediately notify the CSB General Counsel and 
provide all information requested by the General Counsel.

[66 FR 17366, Mar. 30, 2001, as amended at 66 FR 23854, May 10, 2001]



Sec.  1611.7  Testimony by current CSB employees regarding prior activity.

    Any testimony regarding any incident within the CSB's jurisdiction, 
or any expert testimony arising from employment prior to CSB service is 
prohibited absent approval by the General Counsel. Approval shall only 
be given if testimony will not violate Sec.  1611.1 and Sec.  1611.3, 
and is subject to whatever conditions the General Counsel finds 
necessary to promote the purposes of this part as set forth in Sec.  
1611.1 and Sec.  1611.3.



Sec.  1611.8  Procedure in the event of a subpoena in civil litigation.

    (a) If the CSB employee has received a subpoena to appear and 
testify in connection with civil litigation, a request for his 
deposition shall not be approved until the subpoena has been withdrawn.
    (b) Upon receipt of a subpoena, the employee shall immediately 
notify the General Counsel and provide all information requested by the 
General Counsel.
    (c) The General Counsel shall determine the course of action to be 
taken and will so advise the employee.



Sec.  1611.9  Testimony in Federal, State, or local criminal investigations and other proceedings.

    (a) As with civil litigation, the CSB prefers that testimony be 
taken by deposition if court rules permit, and that testimony await the 
issuance of

[[Page 1184]]

the investigation report. The CSB recognizes, however, that in the case 
of coroner's inquests and grand jury proceedings this may not be 
possible. The CSB encourages those seeking testimony of CSB employees to 
contact the General Counsel as soon as such testimony is being 
considered. Whenever the intent to seek such testimony is communicated 
to the employee, he shall immediately notify the General Counsel.
    (b) In any case, CSB employees are prohibited from testifying in any 
civil, criminal, or other matter, either in person or by deposition or 
interrogatories, absent advance approval of the General Counsel.
    (c) If permission to testify by deposition or in person is granted, 
testimony shall be limited as set forth in Sec.  1611.3. Only factual 
testimony is authorized; no expert or opinion testimony shall be given.



Sec.  1611.10  Obtaining CSB investigation reports and supporting information.

    It is the responsibility of the individual requesting testimony to 
obtain desired documents. There are a number of ways to obtain CSB 
investigation reports, and accompanying investigation docket files. The 
rules at part 1612 of this chapter explain CSB procedures for production 
of records in legal proceedings, and the CSB's Freedom of Information 
Act rules at part 1601 of this chapter explain CSB procedures for 
producing documents more generally. See also the information available 
on the CSB web site, at www.csb.gov. You may also call the CSB Office of 
General Counsel, at (202) 261-7600. Documents will not be supplied by 
witnesses at depositions, nor will copying services be provided by 
deponents.



PART 1612_PRODUCTION OF RECORDS IN LEGAL PROCEEDINGS--Table of Contents

Sec.
1612.1 Purpose and scope.
1612.2 Applicability.
1612.3 Published reports and material contained in the public incident 
          investigation dockets.
1612.4 Requests for authentication or certification of records.
1612.5 Other material.

    Authority: 5 U.S.C. 301, 42 U.S.C. 7412(r)(6)(G).

    Source: 66 FR 17366, Mar. 30, 2001, unless otherwise noted.



Sec.  1612.1  Purpose and scope.

    (a) This part sets forth procedures to be followed when requesting 
material for use in legal proceedings (including administrative 
proceedings) in which the Chemical Safety and Hazard Investigation Board 
(CSB) is not a party, and procedures to be followed by the employee upon 
receipt of a subpoena, order, or other demand (collectively referred to 
here as a demand) for such material by a court or other competent 
authority or by a private litigant. Material, as used in this part, 
means any type of physical or documentary evidence, including but not 
limited to paper documents, electronic media, videotapes, audiotapes, 
etc.
    (b) The purposes of this part are to:
    (1) Conserve the time of employees for conducting official business;
    (2) Minimize the possibility of involving the CSB in controversial 
issues not related to its mission;
    (3) Maintain the impartiality of the CSB among private litigants;
    (4) Avoid spending the time and money of the United States for 
private purposes; and
    (5) To protect confidential, sensitive information, and the 
deliberative processes of the CSB.



Sec.  1612.2  Applicability.

    This part applies to requests to produce material concerning 
information acquired in the course of performing official duties or 
because of the employee's official status. Specifically, this part 
applies to requests for: material contained in CSB files; and any 
information or material acquired by an employee of the CSB in the 
performance of official duties or as a result of the employee's status. 
Two sets of procedures are here established, dependent on the type of 
material sought. Rules governing requests for employee testimony, as 
opposed to material production, can be found at part 1611 of this 
chapter. Document production shall not accompany employee testimony, 
absent compliance with this part and General Counsel approval.

[[Page 1185]]



Sec.  1612.3  Published reports and material contained in the public incident investigation dockets.

    (a) Demands for published investigation reports should be directed 
to the Office of Congressional and Public Affairs, U.S. Chemical Safety 
and Hazard Investigation Board, 2175 K Street, NW, Suite 400, 
Washington, DC 20037. Demands for material contained in the CSB's 
official public docket files of its incident investigations shall be 
submitted, in writing, to CSB Records Officer, U.S. Chemical Safety and 
Hazard Investigation Board, 2175 K Street, NW, Suite 400, Washington, DC 
20037. For information regarding the types of documents routinely issued 
by the CSB, see part 1601 of this chapter.
    (b) No subpoena shall be issued to obtain materials subject to this 
section, and any subpoena issued shall be required to be withdrawn prior 
to release of the requested information. Payment of reproduction fees 
may be required in advance.



Sec.  1612.4  Requests for authentication or certification of records.

    The CSB may authenticate or certify records to facilitate their use 
as evidence. Requests for certified copies should be made to the General 
Counsel at least 30 days before the date they will be needed. The CSB 
may charge a certification fee of $5.00 per document.



Sec.  1612.5  Other material.

    (a) Production prohibited unless approved. Except in the case of the 
material referenced in Sec.  1612.3, no employee or former employee of 
the CSB shall, in response to a demand of a private litigant, court, or 
other authority, produce any material contained in the files of the CSB 
(whether or not agency records under 5 U.S.C. 552) or produce any 
material acquired as part of the performance of the person's official 
duties or because of the person's official status, without the prior 
written approval of the General Counsel.
    (b) Procedures to be followed for the production of material under 
this section.
    (1) All demands for material shall be submitted to the General 
Counsel at CSB headquarters, 2175 K Street, NW., Suite 400, Washington, 
DC 20037. If an employee receives a demand, he shall forward it 
immediately to the General Counsel.
    (2) Each demand must contain an affidavit by the party seeking the 
material or his attorney setting forth the material sought and its 
relevance to the proceeding, and containing a certification, with 
support, that the information is not available from other sources, 
including CSB materials described in Sec.  1612.3 and part 1601 of this 
chapter.
    (3) In the absence of General Counsel approval of a demand, the 
employee is not authorized to comply with the demand.
    (4) The General Counsel shall advise the requester of approval or 
denial of the demand, and may attach whatever conditions to approval 
considered appropriate or necessary to promote the purposes of this 
part. The General Counsel may also permit exceptions to any requirement 
in this part when necessary to prevent a miscarriage of justice, or when 
the exception is in the best interests of the CSB and/or the United 
States.

                       PARTS 1613	1619 [RESERVED]



PART 1620_ADMINISTRATIVE CLAIMS ARISING UNDER THE FEDERAL TORT CLAIMS ACT--Table of Contents

Sec.
1620.1 Purpose and scope of regulations.
1620.2 Administrative claim; when presented.
1620.3 Administrative claim; who may file.
1620.4 Investigations.
1620.5 Administrative claim; evidence and information to be submitted.
1620.6 Authority to adjust, determine, compromise, and settle.
1620.7 Limitations on authority.
1620.8 Referral to Department of Justice.
1620.9 Final denial of claim.
1620.10 Action on approved claim.

    Authority: 28 U.S.C. 2672; 42 U.S.C. 7412(r)(6)(N); 28 CFR 14.11.

    Source: At 69 FR 55513, Sept. 15, 2004, unless otherwise noted.



Sec.  1620.1  Purpose and scope of regulations.

    The regulations in this part apply only to administrative claims 
presented or filed with the Chemical Safety and Hazard Investigation 
Board

[[Page 1186]]

(CSB), under the Federal Tort Claims Act (FTCA), 28 U.S.C. 1346(b), 
2401(b), 2671-2680, as amended, for money damages against the United 
States for damage to or loss of property, personal injury, death, or 
other damages caused by the negligent or wrongful act or omission of an 
officer or employee of CSB while acting within the scope of his or her 
office or employment, but only under circumstances where the United 
States, if a private person, would be liable to the claimant in 
accordance with the law of the place where the act or omission occurred.



Sec.  1620.2  Administrative claim; when presented.

    (a) For purposes of the provisions of 28 U.S.C. 2401(b), 2672, and 
2675, a claim is deemed to have been presented when the CSB receives 
from a claimant, and/or his or her authorized agent, attorney, or other 
legal representative, an executed Standard Form 95 (Claim for Damage, 
Injury or Death), or other written notification of an incident, 
accompanied by a claim for money damages stating a sum certain (a 
specific dollar amount) for specified damage to or loss of property, 
personal injury, death, or other compensable damages alleged to have 
occurred as a result of the incident. A claimant must present a claim 
within 2 years of the date of accrual of the claim. The date of accrual 
generally is determined to be the time of death, injury, or other 
alleged damages, or if the alleged damages are not immediately apparent, 
when the claimant discovered (or reasonably should have discovered) the 
alleged damages and its cause, though the actual date of accrual will 
always depend on the facts of each case. Claimants should be advised 
that mailing a claim by the 2-year time limit is not sufficient if the 
CSB does not receive the claim through the mail by that date. 
Additionally, claimants should be advised that a claim is not considered 
presented by the CSB until the CSB receives all information requested in 
this paragraph. Incomplete claims will be returned to the claimant.
    (b) All claims filed under the FTCA as a result of the alleged 
negligence or wrongful act or omission of the CSB or its employees must 
be mailed or delivered to the Office of the General Counsel, 2175 K 
Street NW., Suite 650, Washington, DC 20037.
    (c) The FTCA requires that a claim must be presented to the Federal 
agency whose activities gave rise to the claim. A claim that should have 
been presented to CSB, but was mistakenly addressed to or filed with 
another Federal agency, is presented to the CSB, as required by 28 
U.S.C. 2401(b), as of the date the claim is received by the CSB. When a 
claim is mistakenly presented to the CSB, the CSB will transfer the 
claim to the appropriate Federal agency, if ascertainable, and advise 
the claimant of the transfer, or return the claim to the claimant if the 
appropriate Federal agency cannot be determined.
    (d) A claimant whose claim arises from an incident involving the CSB 
and one or more other Federal agencies will identify each agency to 
which the claim has been submitted at the time the claim is presented to 
the CSB. The CSB will contact all other affected Federal agencies in 
order to designate a single agency that will investigate and decide the 
merits of the claim. In the event a designation cannot be agreed upon by 
the affected agencies, the Department of Justice will be consulted and 
that agency will designate a specific agency to investigate and 
determine the merits of the claim. The designated agency will then 
notify the claimant that all future correspondence concerning the claim 
must be directed to the designated Federal agency. All involved Federal 
agencies may agree to conduct their own administrative reviews and to 
coordinate the results, or to have the investigation conducted solely by 
the designated Federal agency. However, in any event, the designated 
agency will be responsible for the final determination of the claim.
    (e) A claim presented in compliance with paragraph (a) of this 
section may be amended by the claimant at any time prior to final agency 
action or prior to the exercise of the claimant's option under 28 U.S.C. 
2675(a). Amendments must be in writing and signed by the claimant or his 
or her authorized agent, attorney, or other legal representative. Upon 
the timely filing of an amendment to a pending claim, the

[[Page 1187]]

CSB will have an additional 6 months in which to investigate the claim 
and to make a final disposition of the claim as amended. A claimant's 
option under 28 U.S.C. 2675(a) will not accrue until 6 months after the 
filing of an amendment.



Sec.  1620.3  Administrative claim; who may file.

    (a) A claim for damage to or loss of property may be presented by 
the owner of the property, or his or her authorized agent, attorney, or 
other legal representative.
    (b) A claim for personal injury may be presented by the injured 
person, or his or her authorized agent, attorney or other legal 
representative.
    (c) A claim based on death may be presented by the executor or 
administrator of the decedent's estate, or by any other person legally 
entitled to assert a claim under the applicable State law, provided that 
the basis for the representation is documented in writing.
    (d) A claim for loss totally compensated by an insurer with the 
rights to subrogate may be presented by the insurer. A claim for loss 
partially compensated by an insurer with the rights to subrogate may be 
presented by the insurer or the insured individually as their respective 
interests appear, or jointly. When an insurer presents a claim asserting 
the rights to subrogate the insurer must present appropriate evidence 
that it has the rights to subrogate.
    (e) A claim presented by an agent or legal representative must be 
presented in the name of the claimant, be signed by the agent, attorney, 
or other legal representative, show the title or legal capacity of the 
person signing, and be accompanied by evidence of his or her authority 
to present a claim on behalf of the claimant as agent, attorney, 
executor, administrator, parent, guardian, conservator, or other legal 
representative.



Sec.  1620.4  Investigations.

    CSB may investigate, or may request any other Federal agency to 
investigate, a claim filed under this part.



Sec.  1620.5  Administrative claim; evidence and information to be submitted.

    (a) Death. In support of a claim based on death, the claimant may be 
required to submit the following evidence or information:
    (1) An authenticated death certificate or other competent evidence 
showing cause of death, date of death, and age of the decedent.
    (2) Decedent's employment or occupation at time of death, including 
his or her monthly or yearly salary or earnings (if any), and the 
duration of his or her last employment or occupation.
    (3) Full names, addresses, birth date, kinship and marital status of 
the decedent's survivors, including identification of those survivors 
who were dependent on support provided by the decedent at the time of 
death.
    (4) Degree of support afforded by the decedent to each survivor 
dependent on him or her for support at the time of death.
    (5) Decedent's general physical and mental condition before death.
    (6) Itemized bills for medical and burial expenses incurred by 
reason of the incident causing death, or itemized receipts of payment 
for such expenses.
    (7) If damages for pain and suffering before death are claimed, a 
physician's detailed statement specifying the injuries suffered, 
duration of pain and suffering, any drugs administered for pain, and the 
decedent's physical condition in the interval between injuries and 
death.
    (8) True and correct copies of relevant medical treatment records, 
laboratory and other tests, including X-Rays, MRI, CT scans and other 
objective evidence of medical evaluation and diagnosis, treatment of 
injury/illness, and prognosis, if any had been made.
    (9) Any other evidence or information that may have a bearing on 
either the responsibility of the United States for the death or the 
amount of damages claimed.
    (b) Personal injury. In support of a claim for personal injury, 
including pain and suffering, the claimant may be required to submit the 
following evidence or information:

[[Page 1188]]

    (1) A written report by the attending physician or dentist setting 
forth the nature and extent of the injury, nature and extent of 
treatment, any degree of temporary or permanent disability, the 
prognosis, period of hospitalization, and any diminished earning 
capacity. If damages for pain and suffering are claimed, a physician's 
detailed statement specifying the duration of pain and suffering, a 
listing of drugs administered for pain, and the claimant's general 
physical condition.
    (2) True and correct copies of relevant medical treatment records, 
laboratory and other tests including X-Rays, MRI, CT scans and other 
objective evidence of medical evaluation and diagnosis, treatment 
injury/illness and prognosis.
    (3) The claimant may be required to submit to a physical or mental 
examination by a physician employed by CSB or another Federal agency. On 
written request, CSB will make available to the claimant a copy of the 
report of the examining physician employed by the United States, 
provided the claimant has furnished CSB with the information noted in 
paragraphs (b)(1) and (b)(2) of this section. In addition, the claimant 
must have made or agrees to make available to CSB all other physicians' 
reports previously or thereafter made of the physical or mental 
condition that is subject matter of his or her claim.
    (4) Itemized bills for medical, dental, and hospital expenses 
incurred, and/or itemized receipts of payment for such expenses.
    (5) If the prognosis reveals the necessity for future treatment, a 
statement of the expected treatment and the expected expense for such 
treatment.
    (6) If a claim is made for loss of time from employment, a written 
statement from his or her employer showing actual time lost from 
employment, whether he or she is a full-time or part-time employee, and 
wages or salary actually lost.
    (7) If a claim is made for loss of income and the claimant is self-
employed, documentary evidence showing the amount of earnings actually 
lost.
    (8) Any other evidence or information that may have a bearing on 
either the responsibility of the United States for the personal injury 
or the damages claimed.
    (c) Property damage. In support of a claim for damage to or loss of 
property, real or personal, the claimant may be required to submit the 
following evidence or information:
    (1) Proof of ownership of the property.
    (2) A detailed statement of the amount claimed with respect to each 
item of property.
    (3) An itemized receipt of payment for necessary repairs or itemized 
written estimates of the cost of such repairs.
    (4) A statement listing date of purchase, purchase price, and 
salvage value.
    (5) Photographs or video footage documenting the damage, including 
photographs showing the condition of the property at issue both before 
and after the alleged negligence or wrongful act or omission.
    (6) Any other evidence or information that may have a bearing on 
either the responsibility of the United States for the damage to or loss 
of property or the damages claimed.



Sec.  1620.6  Authority to adjust, determine, compromise, and settle.

    The General Counsel of CSB, or his or her designee, is delegated 
authority to consider, ascertain, adjust, determine, compromise and 
settle claims under the provision of 28 U.S.C. 2672, and this part. The 
General Counsel, in his or her discretion, has the authority to further 
delegate the responsibility for adjudicating, considering, adjusting, 
compromising and settling any claim submitted under the provision of 28 
U.S.C. 2672, and this part, that is based on the alleged negligence or 
wrongful act or omission of a CSB employee acting in the scope of his or 
her employment. However, in any case, any offer of compromise or 
settlement in excess of $5,000 exercised by the CSB Chairperson or any 
other lawful designee can only be made after a legal review is conducted 
by an attorney within the CSB Office of General Counsel.



Sec.  1620.7  Limitations on authority.

    (a) An award, compromise, or settlement of a claim under 28 U.S.C. 
2672,

[[Page 1189]]

and this part, in excess of $25,000 can be made only with the prior 
written approval of the CSB General Counsel and Chairperson, after 
consultation and approval by the Department of Justice. For purposes of 
this paragraph a principal claim and any derivative or subrogated claim 
will be treated as a single claim.
    (b) An administrative claim may be adjusted, determined, compromised 
or settled under this part only after consultation with the Department 
of Justice when, in the opinion of the General Counsel of CSB, or his or 
her designee:
    (1) A new precedent or a new point of law is involved; or
    (2) A question of policy is or may be involved; or
    (3) The United States is or may be entitled to indemnity or 
contribution from a third party and CSB is unable to adjust the third 
party claim; or
    (4) The compromise of a particular claim, as a practical matter, 
will or may control the disposition of a related claim in which the 
amount to be paid may exceed $25,000.
    (c) An administrative claim may be adjusted, determined, compromised 
or settled under 28 U.S.C. 2672 and this part only after consultation 
with the Department of Justice when CSB is informed or is otherwise 
aware that the United States or an employee, agent or contractor of the 
United States is involved in litigation based on a claim arising out of 
the same incident or transaction.



Sec.  1620.8  Referral to Department of Justice.

    When Department of Justice approval or consultation is required, or 
the advice of the Department of Justice is otherwise to be requested, 
under this regulation, the written referral or request will be 
transmitted to the Department of Justice by the General Counsel of CSB, 
or his or her designee.



Sec.  1620.9  Final denial of claim.

    Final denial of an administrative claim must be in writing and sent 
to the claimant, his or her agent, attorney, or other legal 
representative by certified or registered mail. The notification of 
final denial may include a statement of the reasons for the denial. 
However, it must include a statement that, if the claimant is 
dissatisfied with the CSB action, he or she may file suit in an 
appropriate United States District Court not later than 6 months after 
the date of mailing of the notifications, along with the admonition that 
failure to file within this 6 month timeframe could result in the suit 
being time-barred by the controlling statute of limitations. In the 
event that a claimant does not hear from the CSB after 6 months have 
passed from the date that the claim was presented, a claimant should 
consider the claim denied and, if desired, should proceed with filing a 
civil action in the appropriate U.S. District Court.



Sec.  1620.10  Action on approved claim.

    (a) Payment of a claim approved under this part is contingent on 
claimant's execution of a Standard Form 95 (Claim for Damage, Injury or 
Death); a claims settlement agreement; and a Standard Form 1145 (Voucher 
for Payment), as well as any other forms as may be required. When a 
claimant is represented by an attorney, the Voucher for Payment will 
designate both the claimant and his or her attorney as payees, and the 
check will be delivered to the attorney, whose address is to appear on 
the Voucher for payment.
    (b) Acceptance by the claimant, his or her agent, attorney, or legal 
representative, of an award, compromise or settlement made under 28 
U.S.C. 2672 or 28 U.S.C. 2677 is final and conclusive on the claimant, 
his or her agent, attorney, or legal representative, and any other 
person on whose behalf or for whose benefit the claim has been 
presented, and constitutes a complete release of any and all claims 
against the United States and against any employee of the Federal 
Government whose act(s) or omission(s) gave rise to the claim, by reason 
of the same subject matter. To that end, as noted above, the claimant, 
as well as any agent, attorney or other legal representative that 
represented the claimant during any phase of the process (if applicable) 
must execute a settlement agreement with the CSB prior to payment of any 
funds.

[[Page 1190]]

                       PARTS 1621	1699 [RESERVED]

[[Page 1191]]



CHAPTER VII--ENVIRONMENTAL PROTECTION AGENCY AND DEPARTMENT OF DEFENSE; 
  UNIFORM NATIONAL DISCHARGE STANDARDS FOR VESSELS OF THE ARMED FORCES




  --------------------------------------------------------------------
Part                                                                Page
1700            Uniform National Discharge Standards for 
                    vessels of the Armed Forces.............        1193

[[Page 1193]]



PART 1700_UNIFORM NATIONAL DISCHARGE STANDARDS FOR VESSELS OF THE ARMED FORCES--Table of Contents

                             Subpart A_Scope

Sec.
1700.1 Applicability.
1700.2 Effect.
1700.3 Definitions.

                   Subpart B_Discharge Determinations

1700.4 Discharges requiring control.
1700.5 Discharges not requiring control.

                       Subpart C_Effect on States

1700.6 Effect on State and local statutes and regulations.

                           No-Discharge Zones

1700.7 No-discharge zones.
1700.8 Discharges for which no-discharge zones can be established.
1700.9 No-discharge zones by State prohibition.
1700.10 No-discharge zones by EPA prohibition.

                        State Petition for Review

1700.11 State petition for review of determinations or standards.
1700.12 Petition requirements.
1700.13 Petition decisions.

 Subpart D_Marine Pollution Control Device (MPCD) Performance Standards

1700.14 Marine Pollution Control Device (MPCD) Performance Standards. 
          [Reserved]

    Authority: 33 U.S.C. 1322, 1361.

    Source: 64 FR 25134, May 10, 1999, unless otherwise noted.



                             Subpart A_Scope



Sec.  1700.1  Applicability.

    (a) This part applies to the owners and operators of Armed Forces 
vessels, except where the Secretary of Defense finds that compliance 
with this part is not in the interest of the national security of the 
United States. This part does not apply to vessels while they are under 
construction, vessels in drydock, amphibious vehicles, or vessels under 
the jurisdiction of the Department of Transportation other than those of 
the Coast Guard.
    (b) This part also applies to States and political subdivisions of 
States.



Sec.  1700.2  Effect.

    (a) This part identifies those discharges, other than sewage, 
incidental to the normal operation of Armed Forces vessels that require 
control within the navigable waters of the United States and the waters 
of the contiguous zone, and those discharges that do not require 
control. Discharges requiring control are identified in Sec.  1700.4. 
Discharges not requiring control are identified in Sec.  1700.5. Federal 
standards of performance for each required Marine Pollution Control 
Device are listed in Sec.  1700.14. This part is not applicable beyond 
the contiguous zone.
    (b) This part prohibits States and their political subdivisions from 
adopting or enforcing State or local statutes or regulations controlling 
the discharges from Armed Forces vessels listed in Sec. Sec.  1700.4 and 
1700.5 according to the timing provisions in Sec.  1700.6, except to 
establish a no-discharge zone by State prohibition in accordance with 
Sec.  1700.9, or to apply for a no-discharge zone by EPA prohibition in 
accordance with Sec.  1700.10. This part also provides a mechanism for 
States to petition the Administrator and the Secretary to review a 
determination of whether a discharge requires control, or to review a 
Federal standard of performance for a Marine Pollution Control Device, 
in accordance with Sec. Sec.  1700.11 through 1700.13.



Sec.  1700.3  Definitions.

    Administrator means the Administrator of the United States 
Environmental Protection Agency or that person's authorized 
representative.
    Armed Forces vessel means a vessel owned or operated by the United 
States Department of Defense or the United States Coast Guard, other 
than vessels that are time or voyage chartered by the Armed Forces, 
vessels of the U.S. Army Corps of Engineers, or vessels that are 
memorials or museums.
    Discharge incidental to the normal operation of a vessel means a 
discharge, including, but not limited to: graywater, bilgewater, cooling 
water, weather deck runoff, ballast water, oil water

[[Page 1194]]

separator effluent, and any other pollutant discharge from the operation 
of a marine propulsion system, shipboard maneuvering system, crew 
habitability system, or installed major equipment, such as an aircraft 
carrier elevator or a catapult, or from a protective, preservative, or 
absorptive application to the hull of a vessel; and a discharge in 
connection with the testing, maintenance, and repair of any of the 
aforementioned systems whenever the vessel is waterborne, including 
pierside. A discharge incidental to normal operation does not include:
    (1) Sewage;
    (2) A discharge of rubbish, trash, or garbage;
    (3) A discharge of air emissions resulting from the operation of a 
vessel propulsion system, motor driven equipment, or incinerator;
    (4) A discharge that requires a National Pollutant Discharge 
Elimination System (NPDES) permit under the Clean Water Act; or
    (5) A discharge containing source, special nuclear, or byproduct 
materials regulated by the Atomic Energy Act.
    Environmental Protection Agency, abbreviated EPA, means the United 
States Environmental Protection Agency.
    Marine Pollution Control Device, abbreviated MPCD, means any 
equipment or management practice installed or used on an Armed Forces 
vessel that is designed to receive, retain, treat, control, or discharge 
a discharge incidental to the normal operation of a vessel, and that is 
determined by the Administrator and Secretary to be the most effective 
equipment or management practice to reduce the environmental impacts of 
the discharge consistent with the considerations in Clean Water Act 
section 312(n)(2)(B).
    No-discharge zone means an area of specified waters established 
pursuant to this regulation into which one or more specified discharges 
incidental to the normal operation of Armed Forces vessels, whether 
treated or untreated, are prohibited.
    Secretary means the Secretary of the United States Department of 
Defense or that person's authorized representative.
    United States includes the States, the District of Columbia, the 
Commonwealth of Puerto Rico, the Virgin Islands, Guam, American Samoa, 
the Canal Zone, and the Trust Territory of the Pacific Islands.
    Vessel includes every description of watercraft or other artificial 
contrivance used, or capable of being used, as a means of transportation 
on navigable waters of the United States or waters of the contiguous 
zone, but does not include amphibious vehicles.



                   Subpart B_Discharge Determinations



Sec.  1700.4  Discharges requiring control.

    For the following discharges incidental to the normal operation of 
Armed Forces vessels, the Administrator and the Secretary have 
determined that it is reasonable and practicable to require use of a 
Marine Pollution Control Device for at least one class of vessel to 
mitigate adverse impacts on the marine environment:
    (a) Aqueous Film-Forming Foam: the firefighting foam and seawater 
mixture discharged during training, testing, or maintenance operations.
    (b) Catapult Water Brake Tank & Post-Launch Retraction Exhaust: the 
oily water skimmed from the water tank used to stop the forward motion 
of an aircraft carrier catapult, and the condensed steam discharged when 
the catapult is retracted.
    (c) Chain Locker Effluent: the accumulated precipitation and 
seawater that is emptied from the compartment used to store the vessel's 
anchor chain.
    (d) Clean Ballast: the seawater taken into, and discharged from, 
dedicated ballast tanks to maintain the stability of the vessel and to 
adjust the buoyancy of submarines.
    (e) Compensated Fuel Ballast: the seawater taken into, and 
discharged from, ballast tanks designed to hold both ballast water and 
fuel to maintain the stability of the vessel.
    (f) Controllable Pitch Propeller Hydraulic Fluid: the hydraulic 
fluid that discharges into the surrounding seawater from propeller seals 
as part of normal operation, and the hydraulic fluid released during 
routine maintenance of the propellers.

[[Page 1195]]

    (g) Deck Runoff: the precipitation, washdowns, and seawater falling 
on the weather deck of a vessel and discharged overboard through deck 
openings.
    (h) Dirty Ballast: the seawater taken into, and discharged from, 
empty fuel tanks to maintain the stability of the vessel.
    (i) Distillation and Reverse Osmosis Brine: the concentrated 
seawater (brine) produced as a byproduct of the processes used to 
generate freshwater from seawater.
    (j) Elevator Pit Effluent: the liquid that accumulates in, and is 
discharged from, the sumps of elevator wells on vessels.
    (k) Firemain Systems: the seawater pumped through the firemain 
system for firemain testing, maintenance, and training, and to supply 
water for the operation of certain vessel systems.
    (l) Gas Turbine Water Wash: the water released from washing gas 
turbine components.
    (m) Graywater: galley, bath, and shower water, as well as wastewater 
from lavatory sinks, laundry, interior deck drains, water fountains, and 
shop sinks.
    (n) Hull Coating Leachate: the constituents that leach, dissolve, 
ablate, or erode from the paint on the hull into the surrounding 
seawater.
    (o) Motor Gasoline and Compensating Discharge: the seawater taken 
into, and discharged from, motor gasoline tanks to eliminate free space 
where vapors could accumulate.
    (p) Non-Oily machinery wastewater: the combined wastewater from the 
operation of distilling plants, water chillers, valve packings, water 
piping, low- and high-pressure air compressors, and propulsion engine 
jacket coolers.
    (q) Photographic Laboratory Drains: the laboratory wastewater 
resulting from processing of photographic film.
    (r) Seawater Cooling Overboard Discharge: the discharge of seawater 
from a dedicated system that provides noncontact cooling water for other 
vessel systems.
    (s) Seawater Piping Biofouling Prevention: the discharge of seawater 
containing additives used to prevent the growth and attachment of 
biofouling organisms in dedicated seawater cooling systems on selected 
vessels.
    (t) Small Boat Engine Wet Exhaust: the seawater that is mixed and 
discharged with small boat propulsion engine exhaust to cool the exhaust 
and quiet the engine.
    (u) Sonar Dome Discharge: the leaching of antifoulant materials into 
the surrounding seawater and the release of seawater or freshwater 
retained within the sonar dome.
    (v) Submarine Bilgewater: the wastewater from a variety of sources 
that accumulates in the lowest part of the submarine (i.e., bilge).
    (w) Surface Vessel Bilgewater/Oil-Water Separator Effluent: the 
wastewater from a variety of sources that accumulates in the lowest part 
of the vessel (the bilge), and the effluent produced when the wastewater 
is processed by an oil water separator.
    (x) Underwater Ship Husbandry: the materials discharged during the 
inspection, maintenance, cleaning, and repair of hulls performed while 
the vessel is waterborne.
    (y) Welldeck Discharges: the water that accumulates from seawater 
flooding of the docking well (welldeck) of a vessel used to transport, 
load, and unload amphibious vessels, and from maintenance and freshwater 
washings of the welldeck and equipment and vessels stored in the 
welldeck.



Sec.  1700.5  Discharges not requiring control.

    For the following discharges incidental to the normal operation of 
Armed Forces vessels, the Administrator and the Secretary have 
determined that it is not reasonable or practicable to require use of a 
Marine Pollution Control Device to mitigate adverse impacts on the 
marine environment:
    (a) Boiler Blowdown: the water and steam discharged when a steam 
boiler is blown down, or when a steam safety valve is tested.
    (b) Catapult Wet Accumulator Discharge: the water discharged from a 
catapult wet accumulator, which stores a steam/water mixture for 
launching aircraft from an aircraft carrier.
    (c) Cathodic Protection: the constituents released into surrounding 
water from sacrificial anode or impressed

[[Page 1196]]

current cathodic hull corrosion protection systems.
    (d) Freshwater Lay-up: the potable water that is discharged from the 
seawater cooling system while the vessel is in port, and the cooling 
system is in lay-up mode (a standby mode where seawater in the system is 
replaced with potable water for corrosion protection).
    (e) Mine Countermeasures Equipment Lubrication: the constituents 
released into the surrounding seawater by erosion or dissolution from 
lubricated mine countermeasures equipment when the equipment is deployed 
and towed.
    (f) Portable Damage Control Drain Pump Discharge: the seawater 
pumped through the portable damage control drain pump and discharged 
overboard during testing, maintenance, and training activities.
    (g) Portable Damage Control Drain Pump Wet Exhaust: the seawater 
mixed and discharged with portable damage control drain pump exhaust to 
cool the exhaust and quiet the engine.
    (h) Refrigeration and Air Conditioning Condensate: the drainage of 
condensed moisture from air conditioning units, refrigerators, freezers, 
and refrigerated spaces.
    (i) Rudder Bearing Lubrication: the oil or grease released by the 
erosion or dissolution from lubricated bearings that support the rudder 
and allow it to turn freely.
    (j) Steam Condensate: the condensed steam discharged from a vessel 
in port, where the steam originates from port facilities.
    (k) Stern Tube Seals and Underwater Bearing Lubrication: the 
seawater pumped through stern tube seals and underwater bearings to 
lubricate and cool them during normal operation.
    (l) Submarine Acoustic Countermeasures Launcher Discharge: the 
seawater that is mixed with acoustic countermeasure device propulsion 
gas following a countermeasure launch that is then exchanged with 
surrounding seawater, or partially drained when the launch assembly is 
removed from the submarine for maintenance.
    (m) Submarine Emergency Diesel Engine Wet Exhaust: the seawater that 
is mixed and discharged with submarine emergency diesel engine exhaust 
to cool the exhaust and quiet the engine.
    (n) Submarine Outboard Equipment Grease and External Hydraulics: the 
grease released into the surrounding seawater by erosion or dissolution 
from submarine equipment exposed to seawater.



                       Subpart C_Effect on States



Sec.  1700.6  Effect on State and local statutes and regulations.

    (a) After the effective date of a final rule determining that it is 
not reasonable and practicable to require use of a Marine Pollution 
Control Device regarding a particular discharge incidental to the normal 
operation of an Armed Forces vessel, States or political subdivisions of 
States may not adopt or enforce any State or local statute or 
regulation, including issuance or enforcement of permits under the 
National Pollutant Discharge Elimination System, controlling that 
discharge, except that States may establish a no-discharge zone by State 
prohibition (as provided in Sec.  1700.9), or apply for a no-discharge 
zone by EPA prohibition (as provided in Sec.  1700.10).
    (b)(1) After the effective date of a final rule determining that it 
is reasonable and practicable to require use of a Marine Pollution 
Control Device regarding a particular discharge incidental to the normal 
operation of an Armed Forces vessel, States may apply for a no-discharge 
zone by EPA prohibition (as provided in Sec.  1700.10) for that 
discharge.
    (2) After the effective date of a final rule promulgated by the 
Secretary governing the design, construction, installation, and use of a 
Marine Pollution Control Device for a discharge listed in Sec.  1700.4, 
States or political subdivisions of States may not adopt or enforce any 
State or local statute or regulation, including issuance or enforcement 
of permits under the National Pollutant Discharge Elimination System, 
controlling that discharge except that States may establish a no-
discharge zone by State prohibition (as provided in Sec.  1700.9), or 
apply for a no-discharge zone by EPA prohibition (as provided in Sec.  
1700.10).
    (c) The Governor of any State may submit a petition requesting that 
the

[[Page 1197]]

Administrator and Secretary review a determination of whether a Marine 
Pollution Control Device is required for any discharge listed in Sec.  
1700.4 or Sec.  1700.5, or review a Federal standard of performance for 
a Marine Pollution Control Device.

                           No-Discharge Zones



Sec.  1700.7  No-discharge zones.

    For this part, a no-discharge zone is a waterbody, or portion 
thereof, where one or more discharges incidental to the normal operation 
of Armed Forces vessels, whether treated or not, are prohibited. A no-
discharge zone is established either by State prohibition using the 
procedures in Sec.  1700.9, or by EPA prohibition, upon application of a 
State, using the procedures in Sec.  1700.10.



Sec.  1700.8  Discharges for which no-discharge zones can be established.

    (a) A no-discharge zone may be established by State prohibition for 
any discharge listed in Sec.  1700.4 or Sec.  1700.5 following the 
procedures in Sec.  1700.9. A no-discharge zone established by a State 
using these procedures may apply only to those discharges that have been 
preempted from other State or local regulation pursuant to Sec.  1700.6.
    (b) A no-discharge zone may be established by EPA prohibition for 
any discharge listed in Sec.  1700.4 or Sec.  1700.5 following the 
procedures in Sec.  1700.10.



Sec.  1700.9  No-discharge zones by State prohibition.

    (a) A State seeking to establish a no-discharge zone by State 
prohibition must send to the Administrator the following information:
    (1) The discharge from Sec.  1700.4 or Sec.  1700.5 to be prohibited 
within the no-discharge zone.
    (2) A detailed description of the waterbody, or portions thereof, to 
be included in the prohibition. The description must include a map, 
preferably a USGS topographic quadrant map, clearly marking the zone 
boundaries by latitude and longitude.
    (3) A determination that the protection and enhancement of the 
waters described in paragraph (a)(2) of this section require greater 
environmental protection than provided by existing Federal standards.
    (4) A complete description of the facilities reasonably available 
for collecting the discharge including:
    (i) A map showing their location(s) and a written location 
description.
    (ii) A demonstration that the facilities have the capacity and 
capability to provide safe and sanitary removal of the volume of 
discharge being prohibited in terms of both vessel berthing and 
discharge reception.
    (iii) The schedule of operating hours of the facilities.
    (iv) The draft requirements of the vessel(s) that will be required 
to use the facilities and the available water depth at the facilities.
    (v) Information showing that handling of the discharge at the 
facilities is in conformance with Federal law.
    (5) Information on whether vessels other than those of the Armed 
Forces are subject to the same type of prohibition. If the State is not 
applying the prohibition to all vessels in the area, the State must 
demonstrate the technical or environmental basis for applying the 
prohibition only to Armed Forces vessels. The following information must 
be included in the technical or environmental basis for treating Armed 
Forces vessels differently:
    (i) An analysis showing the relative contributions of the discharge 
from Armed Forces and non-Armed Forces vessels.
    (ii) A description of State efforts to control the discharge from 
non-Armed Forces vessels.
    (b) The information provided under paragraph (a) of this section 
must be sufficient to enable EPA to make the two determinations listed 
below. Prior to making these determinations, EPA will consult with the 
Secretary on the adequacy of the facilities and the operational impact 
of any prohibition on Armed Forces vessels.
    (1) Adequate facilities for the safe and sanitary removal of the 
discharge are reasonably available for the specified waters.
    (2) The prohibition will not have the effect of discriminating 
against vessels of the Armed Forces by reason of the ownership or 
operation by the Federal

[[Page 1198]]

Government, or the military function, of the vessels.
    (c) EPA will notify the State in writing of the result of the 
determinations under paragraph (b) of this section, and will provide a 
written explanation of any negative determinations. A no-discharge zone 
established by State prohibition will not go into effect until EPA 
determines that the conditions of paragraph (b) of this section have 
been met.



Sec.  1700.10  No-discharge zones by EPA prohibition.

    (a) A State requesting EPA to establish a no-discharge zone must 
send to the Administrator an application containing the following 
information:
    (1) The discharge from Sec.  1700.4 or Sec.  1700.5 to be prohibited 
within the no-discharge zone.
    (2) A detailed description of the waterbody, or portions thereof, to 
be included in the prohibition. The description must include a map, 
preferably a USGS topographic quadrant map, clearly marking the zone 
boundaries by latitude and longitude.
    (3) A technical analysis showing why protection and enhancement of 
the waters described in paragraph (a)(2) of this section require a 
prohibition of the discharge. The analysis must provide specific 
information on why the discharge adversely impacts the zone and how 
prohibition will protect the zone. In addition, the analysis should 
characterize any sensitive areas, such as aquatic sanctuaries, fish-
spawning and nursery areas, pristine areas, areas not meeting water 
quality standards, drinking water intakes, and recreational areas.
    (4) A complete description of the facilities reasonably available 
for collecting the discharge including:
    (i) A map showing their location(s) and a written location 
description.
    (ii) A demonstration that the facilities have the capacity and 
capability to provide safe and sanitary removal of the volume of 
discharge being prohibited in terms of both vessel berthing and 
discharge reception.
    (iii) The schedule of operating hours of the facilities.
    (iv) The draft requirements of the vessel(s) that will be required 
to use the facilities and the available water depth at the facilities.
    (v) Information showing that handling of the discharge at the 
facilities is in conformance with Federal law.
    (5) Information on whether vessels other than those of the Armed 
Forces are subject to the same type of prohibition. If the State is not 
applying a prohibition to other vessels in the area, the State must 
demonstrate the technical or environmental basis for applying a 
prohibition only to Armed Forces vessels. The following information must 
be included in the technical or environmental basis for treating Armed 
Forces vessels differently:
    (i) An analysis showing the relative contributions of the discharge 
from Armed Forces and non-Armed Forces vessels.
    (ii) A description of State efforts to control the discharge from 
non-Armed Forces vessels.
    (b) The information provided under paragraph (a) of this section 
must be sufficient to enable EPA to make the three determinations listed 
below. Prior to making these determinations, EPA will consult with the 
Secretary on the adequacy of the facilities and the operational impact 
of the prohibition on Armed Forces vessels.
    (1) The protection and enhancement of the specified waters require a 
prohibition of the discharge.
    (2) Adequate facilities for the safe and sanitary removal of the 
discharge are reasonably available for the specified waters.
    (3) The prohibition will not have the effect of discriminating 
against vessels of the Armed Forces by reason of the ownership or 
operation by the Federal Government, or the military function, or the 
vessels.
    (c) If the three conditions in paragraph (b) of this section are 
met, EPA will by regulation establish the no-discharge zone. If the 
conditions in paragraphs (b) (1) and (3) of this section are met, but 
the condition in paragraph (b)(2) of this section is not met, EPA may 
establish the no-discharge zone if it determines that the significance 
of the waters and the potential impact of the discharge are of 
sufficient magnitude to warrant any resulting constraints on Armed 
Forces vessels.

[[Page 1199]]

    (d) EPA will notify the State of its decision on the no-discharge 
zone application in writing. If EPA approves the no-discharge zone 
application, EPA will by regulation establish the no-discharge zone by 
modification to this part. A no-discharge zone established by EPA 
prohibition will not go into effect until the effective date of the 
regulation.

                        State Petition for Review



Sec.  1700.11  State petition for review of determinations or standards.

    The Governor of any State may submit a petition requesting that the 
Administrator and Secretary review a determination of whether a Marine 
Pollution Control Device is required for any discharge listed in Sec.  
1700.4 or Sec.  1700.5, or review a Federal standard of performance for 
a Marine Pollution Control Device. A State may submit a petition only 
where there is new, significant information not considered previously by 
the Administrator and Secretary.



Sec.  1700.12  Petition requirements.

    A petition for review of a determination or standard must include:
    (a) The discharge from Sec.  1700.4 or Sec.  1700.5 for which a 
change in determination is requested, or the performance standard from 
Sec.  1700.14 for which review is requested.
    (b) The scientific and technical information on which the petition 
is based.
    (c) A detailed explanation of why the State believes that 
consideration of the new information should result in a change to the 
determination or the standard on a nationwide basis, and an explanation 
of how the new information is relevant to one or more of the following 
factors:
    (1) The nature of the discharge.
    (2) The environmental effects of the discharge.
    (3) The practicability of using a Marine Pollution Control Device.
    (4) The effect that installation or use of the Marine Pollution 
Control Device would have on the operation or operational capability of 
the vessel.
    (5) Applicable United States law.
    (6) Applicable international standards.
    (7) The economic costs of the installation and use of the Marine 
Pollution Control Device.



Sec.  1700.13  Petition decisions.

    The Administrator and the Secretary will evaluate the petition and 
grant or deny the petition no later than two years after the date of 
receipt of the petition. If the Administrator and Secretary grant the 
petition, they will undertake rulemaking to amend this part. If the 
Administrator and Secretary deny the petition, they will provide the 
State with a written explanation of why they denied it.



 Subpart D_Marine Pollution Control Device (MPCD) Performance Standards



Sec.  1700.14  Marine Pollution Control Device (MPCD) Performance Standards. [Reserved]

[[Page 1201]]



                              FINDING AIDS




  --------------------------------------------------------------------

  A list of CFR titles, subtitles, chapters, subchapters and parts and 
an alphabetical list of agencies publishing in the CFR are included in 
the CFR Index and Finding Aids volume to the Code of Federal Regulations 
which is published separately and revised annually.

  Material Approved for Incorporation by Reference
  Table of CFR Titles and Chapters
  Alphabetical List of Agencies Appearing in the CFR
  List of CFR Sections Affected

[[Page 1203]]

            Material Approved for Incorporation by Reference

                      (Revised as of July 1, 2008)

  The Director of the Federal Register has approved under 5 U.S.C. 
552(a) and 1 CFR Part 51 the incorporation by reference of the following 
publications. This list contains only those incorporations by reference 
effective as of the revision date of this volume. Incorporations by 
reference found within a regulation are effective upon the effective 
date of that regulation. For more information on incorporation by 
reference, see the preliminary pages of this volume.


40 CFR (PARTS 790 TO END): TOXIC SUBSTANCES CONTROL ACT

ENVIRONMENTAL PROTECTION AGENCY
                                                                  40 CFR


American Chemical Society

  Copies available from: EPA TSCA Document 
  Processing Center, Rm. G-004 Northeast Mall, 401 
  M Street, SW., Washington, DC 20460
Environmental Science and Technology, Vol. 14, No.     799.1285(e)(2)(i)
  11, Prediction of the Volatilization Rates of 
  High-Volatility Chemicals from Natural Water 
  Bodies, Smith, et al..


American Society for Testing and Materials

  100 Barr Harbor Drive, West Conshohocken, PA 
  19428-2959
ASTM D 86-04b, Standard Test Method for             1065.703; 1065.710; 
  Distillation of Petroleum Products at                        1065.1010
  Atmospheric Pressure.
ASTM D 93-02a, Standard Test Methods for Flash       1065.703; 1065.1010
  Point by Pensky-Martens Closed Cup Tester.
ASTM D 287-92 (Reapproved 2000), Standard Test       1065.703; 1065.1010
  Method for API Gravity of Crude Petroleum and 
  Petroleum Products (Hydrometer Method).
ASTM D 323-99a, Standard Test Method for Vapor       1065.710; 1065.1010
  Pressure of Petroleum Products (Reid Method).
ASTM D 445-04, Standard Test Method for Kinematic    1065.703; 1065.1010
  Viscosity of Transparent and Opaque Liquids (and 
  the Calculation of Dynamic Viscosity).
ASTM D 471-98, Standard Test Method for Rubber        1051.501; 1051.810
  Property--Effect of Liquids, 1998.
ASTM D 613-03b, Standard Test Method for Cetane      1065.703; 1065.1010
  Number of Diesel Fuel Oil.
ASTM D 814-95 (Reapproved 2000), Standard Test                  1051.810
  Method for Rubber Property--Vapor Transmission 
  of Volatile Liquids, 2000.
ASTM D 910-04a, Standard Specification for           1065.701; 1065.1010
  Aviation Gasolines.
ASTM D 975-04c, Standard Specification for Diesel    1065.701; 1065.1010
  Fuel Oils.
ASTM D 976-91 (Reapproved 2000), Standard Test       1065.205; 1065.1010
  Methods for Calculated Cetane Index of 
  Distillate Fuels.
ASTM D 1193-77 (Reapproved 1983) Standard             796.3500(b)(1)(ii)
  Specification for Reagent Water.
ASTM D 1266-98 (Reapproved 2003), Standard Test      1065.710; 1065.1010
  Method for Sulfur in Petroleum Products (Lamp 
  Method), 1998.
ASTM D 1267-02, Standard Test Method for Gage        1065.720; 1065.1010
Vapor Pressure of Liquefied Petroleum (LP) Gases 
[[Page 1204]]od), 2002.

ASTM D 1319-03, Standard Test Method for             1065.710; 1065.1010
  Hydrocarbon Types in Liquid Petroleum Products 
  by Fluorescent Indicator Adsorption, 2002.
ASTM D 1655-04a, Standard Specification for          1065.701; 1065.1010
  Aviation Turbine Fuels.
ASTM D 1836-83 Standard Specification for             795.232(c)(2)(i); 
  Commercial Hexanes.                                     799.2155(a)(1)
ASTM D 1837-02a, Standard Test Method for            1065.720; 1065.1010
  Volatility of Liquefied Petroleum (LP)Gases, 
  2002.
ASTM D 1838-03, Standard Test Method for Copper      1065.720; 1065.1010
  Strip Corrosion by Liquefied Petroleum (LP) 
  Gases, 2001.
ASTM D 1945-03, Standard Test Method for Analysis    1065.715; 1065.1010
  of Natural Gas by Gas Chromatography.
ASTM D 2158-04, Standard Test Method for Residues    1065.720; 1065.1010
  in Liquefied Petroleum (LP) Gases.
ASTM D 2163-91 (Reapproved 1996), Standard Test      1065.720; 1065.1010
  Method for Analysis of Liquefied Petroleum (LP) 
  Gases and Propene Concentrates by Gas 
  Chromatography, 1996.
ASTM D 2598-02, Standard Practice for Calculation    1065.720; 1065.1010
  of Certain Physical Properties of Liquefied 
  Petroleum (LP) Gases from Compositional 
  Analysis, 2002.
ASTM D 2622-03, Standard Test Method for Sulfur in   1065.703; 1065.1010
  Petroleum Products by Wavelength Dispersive X-
  ray Fluorescence Spectrometry.
ASTM D 2713-91 (Reapproved 2001), Standard Test      1065.720; 1065.1010
  Method for Dryness of Propane (Valve Freeze 
  Method), 2001.
ASTM D 2784-98, Standard Test Method for Sulfur in   1065.720; 1065.1010
  Liquefied Petroleum Gases (Oxy-Hydrogen Burner 
  or Lamp), 1998.
ASTM D 2879-86 Standard Test Method for Vapor          796.1950(b)(2)(i)
  Pressure--Temperature Relationship and Initial 
  Decomposition Temperature of Liquids by 
  Isotoniscope.
ASTM D 2880-03 Standard Specification for Gas        1065.720; 1065.1010
  Turbine Fuel Oils.
ASTM D 2986-95a (Reapproved 1999), Standard          1065.170; 1065.1010
  Practice for Evaluation of Air Assay Media by 
  the Monodisperse DOP (Dioctyl Phthalate) Smoke 
  Test.
ASTM D 3231-02, Standard Test Method for             1065.710; 1065.1010
  Phosphorous in Gasoline, 2002.
ASTM D 3237-02, Standard Test Method for Lead in     1065.710; 1065.1010
  Gasoline by Atomic Absorption Spectroscopy.
ASTM D 4814-04b, Standard Specification for          1065.701; 1065.1010
  Automotive Spark-Ignition Engine Fuel.
ASTM D 5186-03, Standard Test Method for             1065.703; 1065.1010
  Determination of the Aromatic Content and 
  Polynuclear Aromatic Content of Diesel Fuels and 
  Aviation Turbine Fuels by Supercritical Fluid 
  Chromatography.
ASTM D 5797-96 (Reapproved 2001), Standard           1065.701; 1065.1010
  Specification for Fuel Methanol (M70-M85) for 
  Automotive Spark-Ignition Engines.
ASTM D 5798-99 (Reapproved 2004), Standard           1065.701; 1065.1010
  Specification for Fuel Ethanol (Ed75-Ed85) for 
  Automotive Spark-Ignition Engines.
ASTM D 6615-04a, Standard Specification for Jet B    1065.701; 1065.1010
  Wide-Cut Aviation Turbine Fuel.
ASTM D 6751-03a, Standard Specification for          1065.701; 1065.1010
  Biodiesel Fuel Blend Stock (B100) for Middle 
  Distillate Fuels.
ASTM D 6985-04a, Standard Specification for Middle   1065.701; 1065.1010
Distillate Fuel Oil--Military Marine 
[[Page 1205]].

ASTM E 29-02, Standard Practice for Using           1048.801; 1048.810; 
  Significant Digits in Test Data to Determine        1051.801; 1051.810
  Conformance with Specifications, 2002.
ASTM E 324-99, Standard Test Method for Relative                799.5085
  Initial and Final Melting Points and the Melting 
  Range of Organic Chemicals.
ASTM E 729-96 (Reapproved 2002), Standard Guide                 799.5085
  for Conducting Acute Toxicity Tests on Test 
  Materials with Fishes, Macroinvertebrates, and 
  Amphibians.
ASTM E 1147-92 (Reapproved 1997), Standard Test                 799.5085
  Method for Partition Coefficient (N-Octanol/
  Water) Estimation by Liquid Chromatography.
ASTM E 1148-02, Standard Test Method for                        799.5085
  Measurements of Aqueous Solubility.
ASTM E 1163-98 (Reapproved 2002), Standard Test                 799.5085
  Method for Estimating Acute Oral Toxicity in 
  Rats.
ASTM E 1193-97 (Reapproved 2004), Standard Guide                799.5085
  for Conducting Daphnia Magna Life-Cycle Toxicity 
  Tests.
ASTM E 1218-04, Standard Guide for Conducting                   799.5085
  Static Toxicity Tests with Microalgae.
ASTM E 1625-94 (Reapproved 2001), Standard Test                 799.5085
  Method for Determining Biodegradability of 
  Organic Chemicals in Semi-Continuous Activated 
  Sludge (SCAS).
ASTM E 1719-97, Standard Test Method for Vapor                  799.5085
  Pressure of Liquids by Ebulliometry.
ASTM E 1782-03, Standard Test Method for                        799.5085
  Determining Vapor Pressure by Thermal Analysis.
ASTM F 1471-93 (Reapproved 2001), Standard Test     1065.1001; 1065.1010
  Method for Air Cleaning Performance of a High-
  Efficiency Particulate Air Filter System.


California Air Resources Board

  9528 Telstar Avenue, El Monte, California 91731
California Non-Methane Organic Gas Test              1065.805; 1065.1010
  Procedures, July 30, 2002.


EPA TSCA Document Processing Center

  Rm. G-004 Northeast Mall, 401 M Street, SW., 
  Washington, DC 20460
ASTM STP 854, ``Aquatic Safety Assessment of       799.500(c)(4)(i)(B); 
  Chemicals Sorbed to Sediments'', by W.J. Adams     799.4000(d)(3)(i); 
  et al, as published in Aquatic Toxicology and     799.4360(d)(7)(i)(B)
  Hazard Assessment: Seventh Symposium..
ASTM STP 854, ``Phoxoccephalid Amphipod Bioassay     799.500(c)(4)(i)(A)
  for Marine Sediment Toxicity'', by R.C. Swartz, 
  et al, as published in Aquatic Toxicology and 
  Hazard Assessment: Seventh Symposium..


International Organization for Standardization

  Case Postale 56, CH-1211 Geneve 20, Switzerland
ISO 8178-1, Reciprocating Internal Combustion       1065.130; 1065.135; 
  Engines--Exhaust Emission Measurement--Part 1:    1065.140; 1065.155; 
  Test-bed Measurement of Gaseous and Particulate              1065.1010
  Exhaust Emissions, August 15, 1996.
ISO 9141-2: Road Vehicles--Diagnostic Systems--     1048.110; 1048.810; 
  Part 2: CARB Requirements for Interchange of          1806-04; 1806-05
  Digital Information, February 1, 1994.
ISO 9888: Water Quality--Evaluation of Ultimate                 799.5085
Aerobic Biodegradability of Organic Compounds in 
[[Page 1206]]um--Static Test (Zahn-Wellens 
  Method), Second edition, 1999.
ISO 14230-4: Road Vehicles--Diagnostic Systems--    1048.110; 1048.810; 
  Keyword Protocol 2000--Part 4: Requirements for       1806-04; 1806-05
  Emission-related Systems, June 1, 2000.
ISO 14644-1: Clean Rooms and Associated Controlled   1065.190; 1065.1010
  Environments, 2001.


National Institute of Standards and Technology

  Government Printing Office, Washington, DC, or 
  download from the Internet at: http://
  physics.nist.gov/Pubs/SP811
NIST Special Publication 811: Guide for the Use of  1039.801; 1039.810; 
  the International System of Units (SI), 1995.     1065.20; 1065.1001; 
                                                    1065.1005; 1065.1010
NIST Technical Note 1297: Guidelines for            1065.1001; 1065.1010
  Evaluating and Expressing the Uncertainty of 
  NIST Measurement Results.


Organization for Economic Co-operation and Development

  OECD Publication and Information Center, Room 
  Number 1207, 1750 Pennsylvania Avenue, NW. 
  Washington, DC
``Teratogenicity'', Number 414, adopted May 12,              799.1650(c)
  1981.


Society of Automotive Engineers

  400 Commonwealth Dr., Warrendale, PA 15096-0001; 
  Telephone: (412) 776-4841
SAE Paper No. 770141, Optimization of Flame          1065.360; 1065.1010
  Ionization Detector for Determination of 
  Hydrocarbon in Diluted Automotive Exhausts, 
  2001.
SAE 2001-01-3536, Relationships Between              1065.309; 1065.1010
  Instantaneous and Measured Emissions in Heavy 
  Duty Applications, 2001.
SAE J30, Fuel and Oil Hoses, June 1998............  1051.245; 1051.501; 
                                                                1051.810
SAE J1930: Electrical/Electronic Systems            1039.135; 1039.810; 
  Diagnostic Terms, Definitions, Abbreviations,     1048.135; 1048.810; 
  and Acronyms, May 1998.                           1051.135; 1051.810; 
                                                        1808-01; 1808-07
SAE J2260: Nonmetallic Fuel System Tubing with One  1048.105; 1048.810; 
  or More Layers, November 1996.                      1051.245; 1051.810


Society for Industrial Microbiology

  POB 12538, Arlington, VA 22209-8534
Developments in Industrial Microbiology, Vol. 18,    799.4000(c)(1)(i); 
  Chapter 11, 1977; An Artificial Microbiol         799.1285 (e)(1)(i); 
  Ecosystem for Determining Effects and Rate of     799.500 (d)(2)(i)(B)
  Toxicants in a Salt-March Environment, A.W. 
  Bouquin et al., copies available from: EPA TSCA 
  Document Processing Center, Rm. G-004 Northeast 
  Mall, 401 M Street, SW., Washington, DC 20460.

[[Page 1207]]



                    Table of CFR Titles and Chapters




                      (Revised as of July 1, 2008)

                      Title 1--General Provisions

         I  Administrative Committee of the Federal Register 
                (Parts 1--49)
        II  Office of the Federal Register (Parts 50--299)
        IV  Miscellaneous Agencies (Parts 400--500)

                    Title 2--Grants and Agreements

            Subtitle A--Office of Management and Budget Guidance 
                for Grants and Agreements
         I  Office of Management and Budget Governmentwide 
                Guidance for Grants and Agreements (Parts 100--
                199)
        II  Office of Management and Budget Circulars and Guidance 
                (200--299)
            Subtitle B--Federal Agency Regulations for Grants and 
                Agreements
       III  Department of Health and Human Services (Parts 300-- 
                399)
        VI  Department of State (Parts 600--699)
      VIII  Department of Veterans Affairs (Parts 800--899)
        IX  Department of Energy (Parts 900--999)
        XI  Department of Defense (Parts 1100--1199)
       XII  Department of Transportation (Parts 1200--1299)
       XIV  Department of the Interior (Parts 1400--1499)
        XV  Environmental Protection Agency (Parts 1500--1599)
     XVIII  National Aeronautics and Space Administration (Parts 
                1880--1899)
      XXII  Corporation for National and Community Service (Parts 
                2200--2299)
     XXIII  Social Security Administration (Parts 2300--2399)
      XXIV  Housing and Urban Development (Parts 2400--2499)
       XXV  National Science Foundation (Parts 2500--2599)
      XXVI  National Archives and Records Administration (Parts 
                2600--2699)
     XXVII  Small Business Administration (Parts 2700--2799)
    XXVIII  Department of Justice (Parts 2800--2899)
     XXXII  National Endowment for the Arts (Parts 3200--3299)
    XXXIII  National Endowment for the Humanities (Parts 3300--
                3399)
      XXXV  Export-Import Bank of the United States (Parts 3500--
                3599)
    XXXVII  Peace Corps (Parts 3700--3799)

[[Page 1208]]

                        Title 3--The President

         I  Executive Office of the President (Parts 100--199)

                           Title 4--Accounts

         I  Government Accountability Office (Parts 1--99)

                   Title 5--Administrative Personnel

         I  Office of Personnel Management (Parts 1--1199)
        II  Merit Systems Protection Board (Parts 1200--1299)
       III  Office of Management and Budget (Parts 1300--1399)
         V  The International Organizations Employees Loyalty 
                Board (Parts 1500--1599)
        VI  Federal Retirement Thrift Investment Board (Parts 
                1600--1699)
      VIII  Office of Special Counsel (Parts 1800--1899)
        IX  Appalachian Regional Commission (Parts 1900--1999)
        XI  Armed Forces Retirement Home (Parts 2100--2199)
       XIV  Federal Labor Relations Authority, General Counsel of 
                the Federal Labor Relations Authority and Federal 
                Service Impasses Panel (Parts 2400--2499)
        XV  Office of Administration, Executive Office of the 
                President (Parts 2500--2599)
       XVI  Office of Government Ethics (Parts 2600--2699)
       XXI  Department of the Treasury (Parts 3100--3199)
      XXII  Federal Deposit Insurance Corporation (Parts 3200--
                3299)
     XXIII  Department of Energy (Parts 3300--3399)
      XXIV  Federal Energy Regulatory Commission (Parts 3400--
                3499)
       XXV  Department of the Interior (Parts 3500--3599)
      XXVI  Department of Defense (Parts 3600-- 3699)
    XXVIII  Department of Justice (Parts 3800--3899)
      XXIX  Federal Communications Commission (Parts 3900--3999)
       XXX  Farm Credit System Insurance Corporation (Parts 4000--
                4099)
      XXXI  Farm Credit Administration (Parts 4100--4199)
    XXXIII  Overseas Private Investment Corporation (Parts 4300--
                4399)
      XXXV  Office of Personnel Management (Parts 4500--4599)
        XL  Interstate Commerce Commission (Parts 5000--5099)
       XLI  Commodity Futures Trading Commission (Parts 5100--
                5199)
      XLII  Department of Labor (Parts 5200--5299)
     XLIII  National Science Foundation (Parts 5300--5399)
       XLV  Department of Health and Human Services (Parts 5500--
                5599)
      XLVI  Postal Rate Commission (Parts 5600--5699)
     XLVII  Federal Trade Commission (Parts 5700--5799)
    XLVIII  Nuclear Regulatory Commission (Parts 5800--5899)
         L  Department of Transportation (Parts 6000--6099)
       LII  Export-Import Bank of the United States (Parts 6200--
                6299)
      LIII  Department of Education (Parts 6300--6399)

[[Page 1209]]

       LIV  Environmental Protection Agency (Parts 6400--6499)
        LV  National Endowment for the Arts (Parts 6500--6599)
       LVI  National Endowment for the Humanities (Parts 6600--
                6699)
      LVII  General Services Administration (Parts 6700--6799)
     LVIII  Board of Governors of the Federal Reserve System 
                (Parts 6800--6899)
       LIX  National Aeronautics and Space Administration (Parts 
                6900--6999)
        LX  United States Postal Service (Parts 7000--7099)
       LXI  National Labor Relations Board (Parts 7100--7199)
      LXII  Equal Employment Opportunity Commission (Parts 7200--
                7299)
     LXIII  Inter-American Foundation (Parts 7300--7399)
      LXIV  Merit Systems Protection Board (Parts 7400--7499)
       LXV  Department of Housing and Urban Development (Parts 
                7500--7599)
      LXVI  National Archives and Records Administration (Parts 
                7600--7699)
     LXVII  Institute of Museum and Library Services (Parts 7700--
                7799)
    LXVIII  Commission on Civil Rights (Parts 7800--7899)
      LXIX  Tennessee Valley Authority (Parts 7900--7999)
      LXXI  Consumer Product Safety Commission (Parts 8100--8199)
    LXXIII  Department of Agriculture (Parts 8300--8399)
     LXXIV  Federal Mine Safety and Health Review Commission 
                (Parts 8400--8499)
     LXXVI  Federal Retirement Thrift Investment Board (Parts 
                8600--8699)
    LXXVII  Office of Management and Budget (Parts 8700--8799)
     XCVII  Department of Homeland Security Human Resources 
                Management System (Department of Homeland 
                Security--Office of Personnel Management) (Parts 
                9700--9799)
      XCIX  Department of Defense Human Resources Management and 
                Labor Relations Systems (Department of Defense--
                Office of Personnel Management) (Parts 9900--9999)

                      Title 6--Domestic Security

         I  Department of Homeland Security, Office of the 
                Secretary (Parts 0--99)
         X  Privacy and Civil Liberties Oversight Board (Parts 
                1000--1099)

                         Title 7--Agriculture

            Subtitle A--Office of the Secretary of Agriculture 
                (Parts 0--26)
            Subtitle B--Regulations of the Department of 
                Agriculture
         I  Agricultural Marketing Service (Standards, 
                Inspections, Marketing Practices), Department of 
                Agriculture (Parts 27--209)
        II  Food and Nutrition Service, Department of Agriculture 
                (Parts 210--299)

[[Page 1210]]

       III  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 300--399)
        IV  Federal Crop Insurance Corporation, Department of 
                Agriculture (Parts 400--499)
         V  Agricultural Research Service, Department of 
                Agriculture (Parts 500--599)
        VI  Natural Resources Conservation Service, Department of 
                Agriculture (Parts 600--699)
       VII  Farm Service Agency, Department of Agriculture (Parts 
                700--799)
      VIII  Grain Inspection, Packers and Stockyards 
                Administration (Federal Grain Inspection Service), 
                Department of Agriculture (Parts 800--899)
        IX  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Fruits, Vegetables, Nuts), Department 
                of Agriculture (Parts 900--999)
         X  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Milk), Department of Agriculture 
                (Parts 1000--1199)
        XI  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Miscellaneous Commodities), Department 
                of Agriculture (Parts 1200--1299)
       XIV  Commodity Credit Corporation, Department of 
                Agriculture (Parts 1400--1499)
        XV  Foreign Agricultural Service, Department of 
                Agriculture (Parts 1500--1599)
       XVI  Rural Telephone Bank, Department of Agriculture (Parts 
                1600--1699)
      XVII  Rural Utilities Service, Department of Agriculture 
                (Parts 1700--1799)
     XVIII  Rural Housing Service, Rural Business-Cooperative 
                Service, Rural Utilities Service, and Farm Service 
                Agency, Department of Agriculture (Parts 1800--
                2099)
        XX  Local Television Loan Guarantee Board (Parts 2200--
                2299)
      XXVI  Office of Inspector General, Department of Agriculture 
                (Parts 2600--2699)
     XXVII  Office of Information Resources Management, Department 
                of Agriculture (Parts 2700--2799)
    XXVIII  Office of Operations, Department of Agriculture (Parts 
                2800--2899)
      XXIX  Office of Energy Policy and New Uses, Department of 
                Agriculture (Parts 2900--2999)
       XXX  Office of the Chief Financial Officer, Department of 
                Agriculture (Parts 3000--3099)
      XXXI  Office of Environmental Quality, Department of 
                Agriculture (Parts 3100--3199)
     XXXII  Office of Procurement and Property Management, 
                Department of Agriculture (Parts 3200--3299)
    XXXIII  Office of Transportation, Department of Agriculture 
                (Parts 3300--3399)
     XXXIV  Cooperative State Research, Education, and Extension 
                Service, Department of Agriculture (Parts 3400--
                3499)

[[Page 1211]]

      XXXV  Rural Housing Service, Department of Agriculture 
                (Parts 3500--3599)
     XXXVI  National Agricultural Statistics Service, Department 
                of Agriculture (Parts 3600--3699)
    XXXVII  Economic Research Service, Department of Agriculture 
                (Parts 3700--3799)
   XXXVIII  World Agricultural Outlook Board, Department of 
                Agriculture (Parts 3800--3899)
       XLI  [Reserved]
      XLII  Rural Business-Cooperative Service and Rural Utilities 
                Service, Department of Agriculture (Parts 4200--
                4299)

                    Title 8--Aliens and Nationality

         I  Department of Homeland Security (Immigration and 
                Naturalization) (Parts 1--499)
         V  Executive Office for Immigration Review, Department of 
                Justice (Parts 1000--1399)

                 Title 9--Animals and Animal Products

         I  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 1--199)
        II  Grain Inspection, Packers and Stockyards 
                Administration (Packers and Stockyards Programs), 
                Department of Agriculture (Parts 200--299)
       III  Food Safety and Inspection Service, Department of 
                Agriculture (Parts 300--599)

                           Title 10--Energy

         I  Nuclear Regulatory Commission (Parts 0--199)
        II  Department of Energy (Parts 200--699)
       III  Department of Energy (Parts 700--999)
         X  Department of Energy (General Provisions) (Parts 
                1000--1099)
      XIII  Nuclear Waste Technical Review Board (Parts 1303--
                1399)
      XVII  Defense Nuclear Facilities Safety Board (Parts 1700--
                1799)
     XVIII  Northeast Interstate Low-Level Radioactive Waste 
                Commission (Parts 1800--1899)

                      Title 11--Federal Elections

         I  Federal Election Commission (Parts 1--9099)

                      Title 12--Banks and Banking

         I  Comptroller of the Currency, Department of the 
                Treasury (Parts 1--199)
        II  Federal Reserve System (Parts 200--299)

[[Page 1212]]

       III  Federal Deposit Insurance Corporation (Parts 300--399)
        IV  Export-Import Bank of the United States (Parts 400--
                499)
         V  Office of Thrift Supervision, Department of the 
                Treasury (Parts 500--599)
        VI  Farm Credit Administration (Parts 600--699)
       VII  National Credit Union Administration (Parts 700--799)
      VIII  Federal Financing Bank (Parts 800--899)
        IX  Federal Housing Finance Board (Parts 900--999)
        XI  Federal Financial Institutions Examination Council 
                (Parts 1100--1199)
       XIV  Farm Credit System Insurance Corporation (Parts 1400--
                1499)
        XV  Department of the Treasury (Parts 1500--1599)
      XVII  Office of Federal Housing Enterprise Oversight, 
                Department of Housing and Urban Development (Parts 
                1700--1799)
     XVIII  Community Development Financial Institutions Fund, 
                Department of the Treasury (Parts 1800--1899)

               Title 13--Business Credit and Assistance

         I  Small Business Administration (Parts 1--199)
       III  Economic Development Administration, Department of 
                Commerce (Parts 300--399)
        IV  Emergency Steel Guarantee Loan Board, Department of 
                Commerce (Parts 400--499)
         V  Emergency Oil and Gas Guaranteed Loan Board, 
                Department of Commerce (Parts 500--599)

                    Title 14--Aeronautics and Space

         I  Federal Aviation Administration, Department of 
                Transportation (Parts 1--199)
        II  Office of the Secretary, Department of Transportation 
                (Aviation Proceedings) (Parts 200--399)
       III  Commercial Space Transportation, Federal Aviation 
                Administration, Department of Transportation 
                (Parts 400--499)
         V  National Aeronautics and Space Administration (Parts 
                1200--1299)
        VI  Air Transportation System Stabilization (Parts 1300--
                1399)

                 Title 15--Commerce and Foreign Trade

            Subtitle A--Office of the Secretary of Commerce (Parts 
                0--29)
            Subtitle B--Regulations Relating to Commerce and 
                Foreign Trade
         I  Bureau of the Census, Department of Commerce (Parts 
                30--199)
        II  National Institute of Standards and Technology, 
                Department of Commerce (Parts 200--299)

[[Page 1213]]

       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)
        IV  Foreign-Trade Zones Board, Department of Commerce 
                (Parts 400--499)
       VII  Bureau of Industry and Security, Department of 
                Commerce (Parts 700--799)
      VIII  Bureau of Economic Analysis, Department of Commerce 
                (Parts 800--899)
        IX  National Oceanic and Atmospheric Administration, 
                Department of Commerce (Parts 900--999)
        XI  Technology Administration, Department of Commerce 
                (Parts 1100--1199)
      XIII  East-West Foreign Trade Board (Parts 1300--1399)
       XIV  Minority Business Development Agency (Parts 1400--
                1499)
            Subtitle C--Regulations Relating to Foreign Trade 
                Agreements
        XX  Office of the United States Trade Representative 
                (Parts 2000--2099)
            Subtitle D--Regulations Relating to Telecommunications 
                and Information
     XXIII  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                2300--2399)

                    Title 16--Commercial Practices

         I  Federal Trade Commission (Parts 0--999)
        II  Consumer Product Safety Commission (Parts 1000--1799)

             Title 17--Commodity and Securities Exchanges

         I  Commodity Futures Trading Commission (Parts 1--199)
        II  Securities and Exchange Commission (Parts 200--399)
        IV  Department of the Treasury (Parts 400--499)

          Title 18--Conservation of Power and Water Resources

         I  Federal Energy Regulatory Commission, Department of 
                Energy (Parts 1--399)
       III  Delaware River Basin Commission (Parts 400--499)
        VI  Water Resources Council (Parts 700--799)
      VIII  Susquehanna River Basin Commission (Parts 800--899)
      XIII  Tennessee Valley Authority (Parts 1300--1399)

                       Title 19--Customs Duties

         I  Bureau of Customs and Border Protection, Department of 
                Homeland Security; Department of the Treasury 
                (Parts 0--199)
        II  United States International Trade Commission (Parts 
                200--299)

[[Page 1214]]

       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)
        IV  Bureau of Immigration and Customs Enforcement, 
                Department of Homeland Security (Parts 400--599)

                     Title 20--Employees' Benefits

         I  Office of Workers' Compensation Programs, Department 
                of Labor (Parts 1--199)
        II  Railroad Retirement Board (Parts 200--399)
       III  Social Security Administration (Parts 400--499)
        IV  Employees Compensation Appeals Board, Department of 
                Labor (Parts 500--599)
         V  Employment and Training Administration, Department of 
                Labor (Parts 600--699)
        VI  Employment Standards Administration, Department of 
                Labor (Parts 700--799)
       VII  Benefits Review Board, Department of Labor (Parts 
                800--899)
      VIII  Joint Board for the Enrollment of Actuaries (Parts 
                900--999)
        IX  Office of the Assistant Secretary for Veterans' 
                Employment and Training Service, Department of 
                Labor (Parts 1000--1099)

                       Title 21--Food and Drugs

         I  Food and Drug Administration, Department of Health and 
                Human Services (Parts 1--1299)
        II  Drug Enforcement Administration, Department of Justice 
                (Parts 1300--1399)
       III  Office of National Drug Control Policy (Parts 1400--
                1499)

                      Title 22--Foreign Relations

         I  Department of State (Parts 1--199)
        II  Agency for International Development (Parts 200--299)
       III  Peace Corps (Parts 300--399)
        IV  International Joint Commission, United States and 
                Canada (Parts 400--499)
         V  Broadcasting Board of Governors (Parts 500--599)
       VII  Overseas Private Investment Corporation (Parts 700--
                799)
        IX  Foreign Service Grievance Board (Parts 900--999)
         X  Inter-American Foundation (Parts 1000--1099)
        XI  International Boundary and Water Commission, United 
                States and Mexico, United States Section (Parts 
                1100--1199)
       XII  United States International Development Cooperation 
                Agency (Parts 1200--1299)
      XIII  Millenium Challenge Corporation (Parts 1300--1399)

[[Page 1215]]

       XIV  Foreign Service Labor Relations Board; Federal Labor 
                Relations Authority; General Counsel of the 
                Federal Labor Relations Authority; and the Foreign 
                Service Impasse Disputes Panel (Parts 1400--1499)
        XV  African Development Foundation (Parts 1500--1599)
       XVI  Japan-United States Friendship Commission (Parts 
                1600--1699)
      XVII  United States Institute of Peace (Parts 1700--1799)

                          Title 23--Highways

         I  Federal Highway Administration, Department of 
                Transportation (Parts 1--999)
        II  National Highway Traffic Safety Administration and 
                Federal Highway Administration, Department of 
                Transportation (Parts 1200--1299)
       III  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 1300--1399)

                Title 24--Housing and Urban Development

            Subtitle A--Office of the Secretary, Department of 
                Housing and Urban Development (Parts 0--99)
            Subtitle B--Regulations Relating to Housing and Urban 
                Development
         I  Office of Assistant Secretary for Equal Opportunity, 
                Department of Housing and Urban Development (Parts 
                100--199)
        II  Office of Assistant Secretary for Housing-Federal 
                HousingCommissioner, Department of Housing and 
                Urban Development (Parts 200--299)
       III  Government National Mortgage Association, Department 
                of Housing and Urban Development (Parts 300--399)
        IV  Office of Housing and Office of Multifamily Housing 
                Assistance Restructuring, Department of Housing 
                and Urban Development (Parts 400--499)
         V  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 500--599)
        VI  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 600--699) [Reserved]
       VII  Office of the Secretary, Department of Housing and 
                Urban Development (Housing Assistance Programs and 
                Public and Indian Housing Programs) (Parts 700--
                799)
      VIII  Office of the Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Section 8 Housing Assistance 
                Programs, Section 202 Direct Loan Program, Section 
                202 Supportive Housing for the Elderly Program and 
                Section 811 Supportive Housing for Persons With 
                Disabilities Program) (Parts 800--899)
        IX  Office of Assistant Secretary for Public and Indian 
                Housing, Department of Housing and Urban 
                Development (Parts 900--1699)

[[Page 1216]]

         X  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Interstate Land Sales 
                Registration Program) (Parts 1700--1799)
       XII  Office of Inspector General, Department of Housing and 
                Urban Development (Parts 2000--2099)
        XX  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 3200--3899)
       XXV  Neighborhood Reinvestment Corporation (Parts 4100--
                4199)

                           Title 25--Indians

         I  Bureau of Indian Affairs, Department of the Interior 
                (Parts 1--299)
        II  Indian Arts and Crafts Board, Department of the 
                Interior (Parts 300--399)
       III  National Indian Gaming Commission, Department of the 
                Interior (Parts 500--599)
        IV  Office of Navajo and Hopi Indian Relocation (Parts 
                700--799)
         V  Bureau of Indian Affairs, Department of the Interior, 
                and Indian Health Service, Department of Health 
                and Human Services (Part 900)
        VI  Office of the Assistant Secretary-Indian Affairs, 
                Department of the Interior (Parts 1000--1199)
       VII  Office of the Special Trustee for American Indians, 
                Department of the Interior (Parts 1200--1299)

                      Title 26--Internal Revenue

         I  Internal Revenue Service, Department of the Treasury 
                (Parts 1--899)

           Title 27--Alcohol, Tobacco Products and Firearms

         I  Alcohol and Tobacco Tax and Trade Bureau, Department 
                of the Treasury (Parts 1--399)
        II  Bureau of Alcohol, Tobacco, Firearms, and Explosives, 
                Department of Justice (Parts 400--699)

                   Title 28--Judicial Administration

         I  Department of Justice (Parts 0--299)
       III  Federal Prison Industries, Inc., Department of Justice 
                (Parts 300--399)
         V  Bureau of Prisons, Department of Justice (Parts 500--
                599)
        VI  Offices of Independent Counsel, Department of Justice 
                (Parts 600--699)
       VII  Office of Independent Counsel (Parts 700--799)

[[Page 1217]]

      VIII  Court Services and Offender Supervision Agency for the 
                District of Columbia (Parts 800--899)
        IX  National Crime Prevention and Privacy Compact Council 
                (Parts 900--999)
        XI  Department of Justice and Department of State (Parts 
                1100--1199)

                            Title 29--Labor

            Subtitle A--Office of the Secretary of Labor (Parts 
                0--99)
            Subtitle B--Regulations Relating to Labor
         I  National Labor Relations Board (Parts 100--199)
        II  Office of Labor-Management Standards, Department of 
                Labor (Parts 200--299)
       III  National Railroad Adjustment Board (Parts 300--399)
        IV  Office of Labor-Management Standards, Department of 
                Labor (Parts 400--499)
         V  Wage and Hour Division, Department of Labor (Parts 
                500--899)
        IX  Construction Industry Collective Bargaining Commission 
                (Parts 900--999)
         X  National Mediation Board (Parts 1200--1299)
       XII  Federal Mediation and Conciliation Service (Parts 
                1400--1499)
       XIV  Equal Employment Opportunity Commission (Parts 1600--
                1699)
      XVII  Occupational Safety and Health Administration, 
                Department of Labor (Parts 1900--1999)
        XX  Occupational Safety and Health Review Commission 
                (Parts 2200--2499)
       XXV  Employee Benefits Security Administration, Department 
                of Labor (Parts 2500--2599)
     XXVII  Federal Mine Safety and Health Review Commission 
                (Parts 2700--2799)
        XL  Pension Benefit Guaranty Corporation (Parts 4000--
                4999)

                      Title 30--Mineral Resources

         I  Mine Safety and Health Administration, Department of 
                Labor (Parts 1--199)
        II  Minerals Management Service, Department of the 
                Interior (Parts 200--299)
       III  Board of Surface Mining and Reclamation Appeals, 
                Department of the Interior (Parts 300--399)
        IV  Geological Survey, Department of the Interior (Parts 
                400--499)
       VII  Office of Surface Mining Reclamation and Enforcement, 
                Department of the Interior (Parts 700--999)

                 Title 31--Money and Finance: Treasury

            Subtitle A--Office of the Secretary of the Treasury 
                (Parts 0--50)

[[Page 1218]]

            Subtitle B--Regulations Relating to Money and Finance
         I  Monetary Offices, Department of the Treasury (Parts 
                51--199)
        II  Fiscal Service, Department of the Treasury (Parts 
                200--399)
        IV  Secret Service, Department of the Treasury (Parts 
                400--499)
         V  Office of Foreign Assets Control, Department of the 
                Treasury (Parts 500--599)
        VI  Bureau of Engraving and Printing, Department of the 
                Treasury (Parts 600--699)
       VII  Federal Law Enforcement Training Center, Department of 
                the Treasury (Parts 700--799)
      VIII  Office of International Investment, Department of the 
                Treasury (Parts 800--899)
        IX  Federal Claims Collection Standards (Department of the 
                Treasury--Department of Justice) (Parts 900--999)

                      Title 32--National Defense

            Subtitle A--Department of Defense
         I  Office of the Secretary of Defense (Parts 1--399)
         V  Department of the Army (Parts 400--699)
        VI  Department of the Navy (Parts 700--799)
       VII  Department of the Air Force (Parts 800--1099)
            Subtitle B--Other Regulations Relating to National 
                Defense
       XII  Defense Logistics Agency (Parts 1200--1299)
       XVI  Selective Service System (Parts 1600--1699)
      XVII  Office of the Director of National Intelligence (Parts 
                1700--1799)
     XVIII  National Counterintelligence Center (Parts 1800--1899)
       XIX  Central Intelligence Agency (Parts 1900--1999)
        XX  Information Security Oversight Office, National 
                Archives and Records Administration (Parts 2000--
                2099)
       XXI  National Security Council (Parts 2100--2199)
      XXIV  Office of Science and Technology Policy (Parts 2400--
                2499)
     XXVII  Office for Micronesian Status Negotiations (Parts 
                2700--2799)
    XXVIII  Office of the Vice President of the United States 
                (Parts 2800--2899)

               Title 33--Navigation and Navigable Waters

         I  Coast Guard, Department of Homeland Security (Parts 
                1--199)
        II  Corps of Engineers, Department of the Army (Parts 
                200--399)
        IV  Saint Lawrence Seaway Development Corporation, 
                Department of Transportation (Parts 400--499)

                          Title 34--Education

            Subtitle A--Office of the Secretary, Department of 
                Education (Parts 1--99)

[[Page 1219]]

            Subtitle B--Regulations of the Offices of the 
                Department of Education
         I  Office for Civil Rights, Department of Education 
                (Parts 100--199)
        II  Office of Elementary and Secondary Education, 
                Department of Education (Parts 200--299)
       III  Office of Special Education and Rehabilitative 
                Services, Department of Education (Parts 300--399)
        IV  Office of Vocational and Adult Education, Department 
                of Education (Parts 400--499)
         V  Office of Bilingual Education and Minority Languages 
                Affairs, Department of Education (Parts 500--599)
        VI  Office of Postsecondary Education, Department of 
                Education (Parts 600--699)
       VII  Office of Educational Research and Improvmeent, 
                Department of Education [Reserved]
        XI  National Institute for Literacy (Parts 1100--1199)
            Subtitle C--Regulations Relating to Education
       XII  National Council on Disability (Parts 1200--1299)

                          Title 35 [Reserved]

             Title 36--Parks, Forests, and Public Property

         I  National Park Service, Department of the Interior 
                (Parts 1--199)
        II  Forest Service, Department of Agriculture (Parts 200--
                299)
       III  Corps of Engineers, Department of the Army (Parts 
                300--399)
        IV  American Battle Monuments Commission (Parts 400--499)
         V  Smithsonian Institution (Parts 500--599)
        VI  [Reserved]
       VII  Library of Congress (Parts 700--799)
      VIII  Advisory Council on Historic Preservation (Parts 800--
                899)
        IX  Pennsylvania Avenue Development Corporation (Parts 
                900--999)
         X  Presidio Trust (Parts 1000--1099)
        XI  Architectural and Transportation Barriers Compliance 
                Board (Parts 1100--1199)
       XII  National Archives and Records Administration (Parts 
                1200--1299)
        XV  Oklahoma City National Memorial Trust (Parts 1500--
                1599)
       XVI  Morris K. Udall Scholarship and Excellence in National 
                Environmental Policy Foundation (Parts 1600--1699)

             Title 37--Patents, Trademarks, and Copyrights

         I  United States Patent and Trademark Office, Department 
                of Commerce (Parts 1--199)
        II  Copyright Office, Library of Congress (Parts 200--299)
       III  Copyright Royalty Board, Library of Congress (Parts 
                301--399)

[[Page 1220]]

        IV  Assistant Secretary for Technology Policy, Department 
                of Commerce (Parts 400--499)
         V  Under Secretary for Technology, Department of Commerce 
                (Parts 500--599)

           Title 38--Pensions, Bonuses, and Veterans' Relief

         I  Department of Veterans Affairs (Parts 0--99)

                       Title 39--Postal Service

         I  United States Postal Service (Parts 1--999)
       III  Postal Regulatory Commission (Parts 3000--3099)

                  Title 40--Protection of Environment

         I  Environmental Protection Agency (Parts 1--1099)
        IV  Environmental Protection Agency and Department of 
                Justice (Parts 1400--1499)
         V  Council on Environmental Quality (Parts 1500--1599)
        VI  Chemical Safety and Hazard Investigation Board (Parts 
                1600--1699)
       VII  Environmental Protection Agency and Department of 
                Defense; Uniform National Discharge Standards for 
                Vessels of the Armed Forces (Parts 1700--1799)

          Title 41--Public Contracts and Property Management

            Subtitle B--Other Provisions Relating to Public 
                Contracts
        50  Public Contracts, Department of Labor (Parts 50-1--50-
                999)
        51  Committee for Purchase From People Who Are Blind or 
                Severely Disabled (Parts 51-1--51-99)
        60  Office of Federal Contract Compliance Programs, Equal 
                Employment Opportunity, Department of Labor (Parts 
                60-1--60-999)
        61  Office of the Assistant Secretary for Veterans' 
                Employment and Training Service, Department of 
                Labor (Parts 61-1--61-999)
            Chapters 62--100 [Reserved]
            Subtitle C--Federal Property Management Regulations 
                System
       101  Federal Property Management Regulations (Parts 101-1--
                101-99)
       102  Federal Management Regulation (Parts 102-1--102-299)
            Chapters 103--104 [Reserved]
       105  General Services Administration (Parts 105-1--105-999)
       109  Department of Energy Property Management Regulations 
                (Parts 109-1--109-99)
       114  Department of the Interior (Parts 114-1--114-99)
       115  Environmental Protection Agency (Parts 115-1--115-99)
       128  Department of Justice (Parts 128-1--128-99)

[[Page 1221]]

            Chapters 129--200 [Reserved]
            Subtitle D--Other Provisions Relating to Property 
                Management [Reserved]
            Subtitle E--Federal Information Resources Management 
                Regulations System [Reserved]
            Subtitle F--Federal Travel Regulation System
       300  General (Parts 300-1--300-99)
       301  Temporary Duty (TDY) Travel Allowances (Parts 301-1--
                301-99)
       302  Relocation Allowances (Parts 302-1--302-99)
       303  Payment of Expenses Connected with the Death of 
                Certain Employees (Part 303-1--303-99)
       304  Payment of Travel Expenses from a Non-Federal Source 
                (Parts 304-1--304-99)

                        Title 42--Public Health

         I  Public Health Service, Department of Health and Human 
                Services (Parts 1--199)
        IV  Centers for Medicare & Medicaid Services, Department 
                of Health and Human Services (Parts 400--499)
         V  Office of Inspector General-Health Care, Department of 
                Health and Human Services (Parts 1000--1999)

                   Title 43--Public Lands: Interior

            Subtitle A--Office of the Secretary of the Interior 
                (Parts 1--199)
            Subtitle B--Regulations Relating to Public Lands
         I  Bureau of Reclamation, Department of the Interior 
                (Parts 200--499)
        II  Bureau of Land Management, Department of the Interior 
                (Parts 1000--9999)
       III  Utah Reclamation Mitigation and Conservation 
                Commission (Parts 10000--10010)

             Title 44--Emergency Management and Assistance

         I  Federal Emergency Management Agency, Department of 
                Homeland Security (Parts 0--399)
        IV  Department of Commerce and Department of 
                Transportation (Parts 400--499)

                       Title 45--Public Welfare

            Subtitle A--Department of Health and Human Services 
                (Parts 1--199)
            Subtitle B--Regulations Relating to Public Welfare

[[Page 1222]]

        II  Office of Family Assistance (Assistance Programs), 
                Administration for Children and Families, 
                Department of Health and Human Services (Parts 
                200--299)
       III  Office of Child Support Enforcement (Child Support 
                Enforcement Program), Administration for Children 
                and Families, Department of Health and Human 
                Services (Parts 300--399)
        IV  Office of Refugee Resettlement, Administration for 
                Children and Families, Department of Health and 
                Human Services (Parts 400--499)
         V  Foreign Claims Settlement Commission of the United 
                States, Department of Justice (Parts 500--599)
        VI  National Science Foundation (Parts 600--699)
       VII  Commission on Civil Rights (Parts 700--799)
      VIII  Office of Personnel Management (Parts 800--899) 
                [Reserved]
         X  Office of Community Services, Administration for 
                Children and Families, Department of Health and 
                Human Services (Parts 1000--1099)
        XI  National Foundation on the Arts and the Humanities 
                (Parts 1100--1199)
       XII  Corporation for National and Community Service (Parts 
                1200--1299)
      XIII  Office of Human Development Services, Department of 
                Health and Human Services (Parts 1300--1399)
       XVI  Legal Services Corporation (Parts 1600--1699)
      XVII  National Commission on Libraries and Information 
                Science (Parts 1700--1799)
     XVIII  Harry S. Truman Scholarship Foundation (Parts 1800--
                1899)
       XXI  Commission on Fine Arts (Parts 2100--2199)
     XXIII  Arctic Research Commission (Part 2301)
      XXIV  James Madison Memorial Fellowship Foundation (Parts 
                2400--2499)
       XXV  Corporation for National and Community Service (Parts 
                2500--2599)

                          Title 46--Shipping

         I  Coast Guard, Department of Homeland Security (Parts 
                1--199)
        II  Maritime Administration, Department of Transportation 
                (Parts 200--399)
       III  Coast Guard (Great Lakes Pilotage), Department of 
                Homeland Security (Parts 400--499)
        IV  Federal Maritime Commission (Parts 500--599)

                      Title 47--Telecommunication

         I  Federal Communications Commission (Parts 0--199)
        II  Office of Science and Technology Policy and National 
                Security Council (Parts 200--299)

[[Page 1223]]

       III  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                300--399)

           Title 48--Federal Acquisition Regulations System

         1  Federal Acquisition Regulation (Parts 1--99)
         2  Defense Acquisition Regulations System, Department of 
                Defense (Parts 200--299)
         3  Department of Health and Human Services (Parts 300--
                399)
         4  Department of Agriculture (Parts 400--499)
         5  General Services Administration (Parts 500--599)
         6  Department of State (Parts 600--699)
         7  Agency for International Development (Parts 700--799)
         8  Department of Veterans Affairs (Parts 800--899)
         9  Department of Energy (Parts 900--999)
        10  Department of the Treasury (Parts 1000--1099)
        12  Department of Transportation (Parts 1200--1299)
        13  Department of Commerce (Parts 1300--1399)
        14  Department of the Interior (Parts 1400--1499)
        15  Environmental Protection Agency (Parts 1500--1599)
        16  Office of Personnel Management, Federal Employees 
                Health Benefits Acquisition Regulation (Parts 
                1600--1699)
        17  Office of Personnel Management (Parts 1700--1799)
        18  National Aeronautics and Space Administration (Parts 
                1800--1899)
        19  Broadcasting Board of Governors (Parts 1900--1999)
        20  Nuclear Regulatory Commission (Parts 2000--2099)
        21  Office of Personnel Management, Federal Employees 
                Group Life Insurance Federal Acquisition 
                Regulation (Parts 2100--2199)
        23  Social Security Administration (Parts 2300--2399)
        24  Department of Housing and Urban Development (Parts 
                2400--2499)
        25  National Science Foundation (Parts 2500--2599)
        28  Department of Justice (Parts 2800--2899)
        29  Department of Labor (Parts 2900--2999)
        30  Department of Homeland Security, Homeland Security 
                Acquisition Regulation (HSAR) (Parts 3000--3099)
        34  Department of Education Acquisition Regulation (Parts 
                3400--3499)
        51  Department of the Army Acquisition Regulations (Parts 
                5100--5199)
        52  Department of the Navy Acquisition Regulations (Parts 
                5200--5299)
        53  Department of the Air Force Federal Acquisition 
                Regulation Supplement [Reserved]
        54  Defense Logistics Agency, Department of Defense (Parts 
                5400--5499)

[[Page 1224]]

        57  African Development Foundation (Parts 5700--5799)
        61  General Services Administration Board of Contract 
                Appeals (Parts 6100--6199)
        63  Department of Transportation Board of Contract Appeals 
                (Parts 6300--6399)
        99  Cost Accounting Standards Board, Office of Federal 
                Procurement Policy, Office of Management and 
                Budget (Parts 9900--9999)

                       Title 49--Transportation

            Subtitle A--Office of the Secretary of Transportation 
                (Parts 1--99)
            Subtitle B--Other Regulations Relating to 
                Transportation
         I  Pipeline and Hazardous Materials Safety 
                Administration, Department of Transportation 
                (Parts 100--199)
        II  Federal Railroad Administration, Department of 
                Transportation (Parts 200--299)
       III  Federal Motor Carrier Safety Administration, 
                Department of Transportation (Parts 300--399)
        IV  Coast Guard, Department of Homeland Security (Parts 
                400--499)
         V  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 500--599)
        VI  Federal Transit Administration, Department of 
                Transportation (Parts 600--699)
       VII  National Railroad Passenger Corporation (AMTRAK) 
                (Parts 700--799)
      VIII  National Transportation Safety Board (Parts 800--999)
         X  Surface Transportation Board, Department of 
                Transportation (Parts 1000--1399)
        XI  Research and Innovative Technology Administration, 
                Department of Transportation [Reserved]
       XII  Transportation Security Administration, Department of 
                Homeland Security (Parts 1500--1699)

                   Title 50--Wildlife and Fisheries

         I  United States Fish and Wildlife Service, Department of 
                the Interior (Parts 1--199)
        II  National Marine Fisheries Service, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 200--299)
       III  International Fishing and Related Activities (Parts 
                300--399)
        IV  Joint Regulations (United States Fish and Wildlife 
                Service, Department of the Interior and National 
                Marine Fisheries Service, National Oceanic and 
                Atmospheric Administration, Department of 
                Commerce); Endangered Species Committee 
                Regulations (Parts 400--499)
         V  Marine Mammal Commission (Parts 500--599)

[[Page 1225]]

        VI  Fishery Conservation and Management, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 600--699)

                      CFR Index and Finding Aids

            Subject/Agency Index
            List of Agency Prepared Indexes
            Parallel Tables of Statutory Authorities and Rules
            List of CFR Titles, Chapters, Subchapters, and Parts
            Alphabetical List of Agencies Appearing in the CFR

[[Page 1227]]





           Alphabetical List of Agencies Appearing in the CFR




                      (Revised as of July 1, 2008)

                                                  CFR Title, Subtitle or 
                     Agency                               Chapter

Administrative Committee of the Federal Register  1, I
Advanced Research Projects Agency                 32, I
Advisory Council on Historic Preservation         36, VIII
African Development Foundation                    22, XV
  Federal Acquisition Regulation                  48, 57
Agency for International Development              22, II
  Federal Acquisition Regulation                  48, 7
Agricultural Marketing Service                    7, I, IX, X, XI
Agricultural Research Service                     7, V
Agriculture Department                            5, LXXIII
  Agricultural Marketing Service                  7, I, IX, X, XI
  Agricultural Research Service                   7, V
  Animal and Plant Health Inspection Service      7, III; 9, I
  Chief Financial Officer, Office of              7, XXX
  Commodity Credit Corporation                    7, XIV
  Cooperative State Research, Education, and      7, XXXIV
       Extension Service
  Economic Research Service                       7, XXXVII
  Energy, Office of                               2, IX; 7, XXIX
  Environmental Quality, Office of                7, XXXI
  Farm Service Agency                             7, VII, XVIII
  Federal Acquisition Regulation                  48, 4
  Federal Crop Insurance Corporation              7, IV
  Food and Nutrition Service                      7, II
  Food Safety and Inspection Service              9, III
  Foreign Agricultural Service                    7, XV
  Forest Service                                  36, II
  Grain Inspection, Packers and Stockyards        7, VIII; 9, II
       Administration
  Information Resources Management, Office of     7, XXVII
  Inspector General, Office of                    7, XXVI
  National Agricultural Library                   7, XLI
  National Agricultural Statistics Service        7, XXXVI
  Natural Resources Conservation Service          7, VI
  Operations, Office of                           7, XXVIII
  Procurement and Property Management, Office of  7, XXXII
  Rural Business-Cooperative Service              7, XVIII, XLII
  Rural Development Administration                7, XLII
  Rural Housing Service                           7, XVIII, XXXV
  Rural Telephone Bank                            7, XVI
  Rural Utilities Service                         7, XVII, XVIII, XLII
  Secretary of Agriculture, Office of             7, Subtitle A
  Transportation, Office of                       7, XXXIII
  World Agricultural Outlook Board                7, XXXVIII
Air Force Department                              32, VII
  Federal Acquisition Regulation Supplement       48, 53
Air Transportation Stabilization Board            14, VI
Alcohol and Tobacco Tax and Trade Bureau          27, I
Alcohol, Tobacco, Firearms, and Explosives,       27, II
     Bureau of
AMTRAK                                            49, VII
American Battle Monuments Commission              36, IV
American Indians, Office of the Special Trustee   25, VII
Animal and Plant Health Inspection Service        7, III; 9, I
Appalachian Regional Commission                   5, IX

[[Page 1228]]

Architectural and Transportation Barriers         36, XI
     Compliance Board
Arctic Research Commission                        45, XXIII
Armed Forces Retirement Home                      5, XI
Army Department                                   32, V
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 51
Benefits Review Board                             20, VII
Bilingual Education and Minority Languages        34, V
     Affairs, Office of
Blind or Severely Disabled, Committee for         41, 51
     Purchase From People Who Are
Broadcasting Board of Governors                   22, V
  Federal Acquisition Regulation                  48, 19
Census Bureau                                     15, I
Centers for Medicare & Medicaid Services          42, IV
Central Intelligence Agency                       32, XIX
Chief Financial Officer, Office of                7, XXX
Child Support Enforcement, Office of              45, III
Children and Families, Administration for         45, II, III, IV, X
Civil Rights, Commission on                       5, LXVIII; 45, VII
Civil Rights, Office for                          34, I
Coast Guard                                       33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage)                46, III
Commerce Department                               44, IV
  Census Bureau                                   15, I
  Economic Affairs, Under Secretary               37, V
  Economic Analysis, Bureau of                    15, VIII
  Economic Development Administration             13, III
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 13
  Fishery Conservation and Management             50, VI
  Foreign-Trade Zones Board                       15, IV
  Industry and Security, Bureau of                15, VII
  International Trade Administration              15, III; 19, III
  National Institute of Standards and Technology  15, II
  National Marine Fisheries Service               50, II, IV, VI
  National Oceanic and Atmospheric                15, IX; 50, II, III, IV, 
       Administration                             VI
  National Telecommunications and Information     15, XXIII; 47, III
       Administration
  National Weather Service                        15, IX
  Patent and Trademark Office, United States      37, I
  Productivity, Technology and Innovation,        37, IV
       Assistant Secretary for
  Secretary of Commerce, Office of                15, Subtitle A
  Technology, Under Secretary for                 37, V
  Technology Administration                       15, XI
  Technology Policy, Assistant Secretary for      37, IV
Commercial Space Transportation                   14, III
Commodity Credit Corporation                      7, XIV
Commodity Futures Trading Commission              5, XLI; 17, I
Community Planning and Development, Office of     24, V, VI
     Assistant Secretary for
Community Services, Office of                     45, X
Comptroller of the Currency                       12, I
Construction Industry Collective Bargaining       29, IX
     Commission
Consumer Product Safety Commission                5, LXXI; 16, II
Cooperative State Research, Education, and        7, XXXIV
     Extension Service
Copyright Office                                  37, II
Copyright Royalty Board                           37, III
Corporation for National and Community Service    2, XXII; 45, XII, XXV
Cost Accounting Standards Board                   48, 99
Council on Environmental Quality                  40, V
Court Services and Offender Supervision Agency    28, VIII
     for the District of Columbia
Customs and Border Protection Bureau              19, I
Defense Contract Audit Agency                     32, I
Defense Department                                5, XXVI; 32, Subtitle A; 
                                                  40, VII

[[Page 1229]]

  Advanced Research Projects Agency               32, I
  Air Force Department                            32, VII
  Army Department                                 32, V; 33, II; 36, III, 
                                                  48, 51
  Defense Acquisition Regulations System          48, 2
  Defense Intelligence Agency                     32, I
  Defense Logistics Agency                        32, I, XII; 48, 54
  Engineers, Corps of                             33, II; 36, III
  National Imagery and Mapping Agency             32, I
  Navy Department                                 32, VI; 48, 52
  Secretary of Defense, Office of                 2, XI; 32, I
Defense Contract Audit Agency                     32, I
Defense Intelligence Agency                       32, I
Defense Logistics Agency                          32, XII; 48, 54
Defense Nuclear Facilities Safety Board           10, XVII
Delaware River Basin Commission                   18, III
District of Columbia, Court Services and          28, VIII
     Offender Supervision Agency for the
Drug Enforcement Administration                   21, II
East-West Foreign Trade Board                     15, XIII
Economic Affairs, Under Secretary                 37, V
Economic Analysis, Bureau of                      15, VIII
Economic Development Administration               13, III
Economic Research Service                         7, XXXVII
Education, Department of                          5, LIII
  Bilingual Education and Minority Languages      34, V
       Affairs, Office of
  Civil Rights, Office for                        34, I
  Educational Research and Improvement, Office    34, VII
       of
  Elementary and Secondary Education, Office of   34, II
  Federal Acquisition Regulation                  48, 34
  Postsecondary Education, Office of              34, VI
  Secretary of Education, Office of               34, Subtitle A
  Special Education and Rehabilitative Services,  34, III
       Office of
  Vocational and Adult Education, Office of       34, IV
Educational Research and Improvement, Office of   34, VII
Elementary and Secondary Education, Office of     34, II
Emergency Oil and Gas Guaranteed Loan Board       13, V
Emergency Steel Guarantee Loan Board              13, IV
Employee Benefits Security Administration         29, XXV
Employees' Compensation Appeals Board             20, IV
Employees Loyalty Board                           5, V
Employment and Training Administration            20, V
Employment Standards Administration               20, VI
Endangered Species Committee                      50, IV
Energy, Department of                             5, XXIII; 10, II, III, X
  Federal Acquisition Regulation                  48, 9
  Federal Energy Regulatory Commission            5, XXIV; 18, I
  Property Management Regulations                 41, 109
Energy, Office of                                 7, XXIX
Engineers, Corps of                               33, II; 36, III
Engraving and Printing, Bureau of                 31, VI
Environmental Protection Agency                   2, XV; 5, LIV; 40, I, IV, 
                                                  VII
  Federal Acquisition Regulation                  48, 15
  Property Management Regulations                 41, 115
Environmental Quality, Office of                  7, XXXI
Equal Employment Opportunity Commission           5, LXII; 29, XIV
Equal Opportunity, Office of Assistant Secretary  24, I
     for
Executive Office of the President                 3, I
  Administration, Office of                       5, XV
  Environmental Quality, Council on               40, V
  Management and Budget, Office of                5, III, LXXVII; 14, VI; 
                                                  48, 99
  National Drug Control Policy, Office of         21, III
  National Security Council                       32, XXI; 47, 2
  Presidential Documents                          3

[[Page 1230]]

  Science and Technology Policy, Office of        32, XXIV; 47, II
  Trade Representative, Office of the United      15, XX
       States
Export-Import Bank of the United States           2, XXXV; 5, LII; 12, IV
Family Assistance, Office of                      45, II
Farm Credit Administration                        5, XXXI; 12, VI
Farm Credit System Insurance Corporation          5, XXX; 12, XIV
Farm Service Agency                               7, VII, XVIII
Federal Acquisition Regulation                    48, 1
Federal Aviation Administration                   14, I
  Commercial Space Transportation                 14, III
Federal Claims Collection Standards               31, IX
Federal Communications Commission                 5, XXIX; 47, I
Federal Contract Compliance Programs, Office of   41, 60
Federal Crop Insurance Corporation                7, IV
Federal Deposit Insurance Corporation             5, XXII; 12, III
Federal Election Commission                       11, I
Federal Emergency Management Agency               44, I
Federal Employees Group Life Insurance Federal    48, 21
     Acquisition Regulation
Federal Employees Health Benefits Acquisition     48, 16
     Regulation
Federal Energy Regulatory Commission              5, XXIV; 18, I
Federal Financial Institutions Examination        12, XI
     Council
Federal Financing Bank                            12, VIII
Federal Highway Administration                    23, I, II
Federal Home Loan Mortgage Corporation            1, IV
Federal Housing Enterprise Oversight Office       12, XVII
Federal Housing Finance Board                     12, IX
Federal Labor Relations Authority, and General    5, XIV; 22, XIV
     Counsel of the Federal Labor Relations 
     Authority
Federal Law Enforcement Training Center           31, VII
Federal Management Regulation                     41, 102
Federal Maritime Commission                       46, IV
Federal Mediation and Conciliation Service        29, XII
Federal Mine Safety and Health Review Commission  5, LXXIV; 29, XXVII
Federal Motor Carrier Safety Administration       49, III
Federal Prison Industries, Inc.                   28, III
Federal Procurement Policy Office                 48, 99
Federal Property Management Regulations           41, 101
Federal Railroad Administration                   49, II
Federal Register, Administrative Committee of     1, I
Federal Register, Office of                       1, II
Federal Reserve System                            12, II
  Board of Governors                              5, LVIII
Federal Retirement Thrift Investment Board        5, VI, LXXVI
Federal Service Impasses Panel                    5, XIV
Federal Trade Commission                          5, XLVII; 16, I
Federal Transit Administration                    49, VI
Federal Travel Regulation System                  41, Subtitle F
Fine Arts, Commission on                          45, XXI
Fiscal Service                                    31, II
Fish and Wildlife Service, United States          50, I, IV
Fishery Conservation and Management               50, VI
Food and Drug Administration                      21, I
Food and Nutrition Service                        7, II
Food Safety and Inspection Service                9, III
Foreign Agricultural Service                      7, XV
Foreign Assets Control, Office of                 31, V
Foreign Claims Settlement Commission of the       45, V
     United States
Foreign Service Grievance Board                   22, IX
Foreign Service Impasse Disputes Panel            22, XIV
Foreign Service Labor Relations Board             22, XIV
Foreign-Trade Zones Board                         15, IV
Forest Service                                    36, II
General Services Administration                   5, LVII; 41, 105
  Contract Appeals, Board of                      48, 61
  Federal Acquisition Regulation                  48, 5
  Federal Management Regulation                   41, 102

[[Page 1231]]

  Federal Property Management Regulations         41, 101
  Federal Travel Regulation System                41, Subtitle F
  General                                         41, 300
  Payment From a Non-Federal Source for Travel    41, 304
       Expenses
  Payment of Expenses Connected With the Death    41, 303
       of Certain Employees
  Relocation Allowances                           41, 302
  Temporary Duty (TDY) Travel Allowances          41, 301
Geological Survey                                 30, IV
Government Accountability Office                  4, I
Government Ethics, Office of                      5, XVI
Government National Mortgage Association          24, III
Grain Inspection, Packers and Stockyards          7, VIII; 9, II
     Administration
Harry S. Truman Scholarship Foundation            45, XVIII
Health and Human Services, Department of          2, III; 5, XLV; 45, 
                                                  Subtitle A,
  Centers for Medicare & Medicaid Services        42, IV
  Child Support Enforcement, Office of            45, III
  Children and Families, Administration for       45, II, III, IV, X
  Community Services, Office of                   45, X
  Family Assistance, Office of                    45, II
  Federal Acquisition Regulation                  48, 3
  Food and Drug Administration                    21, I
  Human Development Services, Office of           45, XIII
  Indian Health Service                           25, V
  Inspector General (Health Care), Office of      42, V
  Public Health Service                           42, I
  Refugee Resettlement, Office of                 45, IV
Homeland Security, Department of                  6, I
  Coast Guard                                     33, I; 46, I; 49, IV
  Coast Guard (Great Lakes Pilotage)              46, III
  Customs and Border Protection Bureau            19, I
  Federal Emergency Management Agency             44, I
  Immigration and Customs Enforcement Bureau      19, IV
  Immigration and Naturalization                  8, I
  Transportation Security Administration          49, XII
Housing and Urban Development, Department of      2, XXIV; 5, LXV; 24, 
                                                  Subtitle B
  Community Planning and Development, Office of   24, V, VI
       Assistant Secretary for
  Equal Opportunity, Office of Assistant          24, I
       Secretary for
  Federal Acquisition Regulation                  48, 24
  Federal Housing Enterprise Oversight, Office    12, XVII
       of
  Government National Mortgage Association        24, III
  Housing--Federal Housing Commissioner, Office   24, II, VIII, X, XX
       of Assistant Secretary for
  Housing, Office of, and Multifamily Housing     24, IV
       Assistance Restructuring, Office of
  Inspector General, Office of                    24, XII
  Public and Indian Housing, Office of Assistant  24, IX
       Secretary for
  Secretary, Office of                            24, Subtitle A, VII
Housing--Federal Housing Commissioner, Office of  24, II, VIII, X, XX
     Assistant Secretary for
Housing, Office of, and Multifamily Housing       24, IV
     Assistance Restructuring, Office of
Human Development Services, Office of             45, XIII
Immigration and Customs Enforcement Bureau        19, IV
Immigration and Naturalization                    8, I
Immigration Review, Executive Office for          8, V
Independent Counsel, Office of                    28, VII
Indian Affairs, Bureau of                         25, I, V
Indian Affairs, Office of the Assistant           25, VI
     Secretary
Indian Arts and Crafts Board                      25, II
Indian Health Service                             25, V
Industry and Security, Bureau of                  15, VII
Information Resources Management, Office of       7, XXVII
Information Security Oversight Office, National   32, XX
   Archives and Records Administration
[[Page 1232]]

Inspector General
  Agriculture Department                          7, XXVI
  Health and Human Services Department            42, V
  Housing and Urban Development Department        24, XII
Institute of Peace, United States                 22, XVII
Inter-American Foundation                         5, LXIII; 22, X
Interior Department
  American Indians, Office of the Special         25, VII
       Trustee
  Endangered Species Committee                    50, IV
  Federal Acquisition Regulation                  48, 14
  Federal Property Management Regulations System  41, 114
  Fish and Wildlife Service, United States        50, I, IV
  Geological Survey                               30, IV
  Indian Affairs, Bureau of                       25, I, V
  Indian Affairs, Office of the Assistant         25, VI
       Secretary
  Indian Arts and Crafts Board                    25, II
  Land Management, Bureau of                      43, II
  Minerals Management Service                     30, II
  National Indian Gaming Commission               25, III
  National Park Service                           36, I
  Reclamation, Bureau of                          43, I
  Secretary of the Interior, Office of            2, XIV; 43, Subtitle A
  Surface Mining and Reclamation Appeals, Board   30, III
       of
  Surface Mining Reclamation and Enforcement,     30, VII
       Office of
Internal Revenue Service                          26, I
International Boundary and Water Commission,      22, XI
     United States and Mexico, United States 
     Section
International Development, United States Agency   22, II
     for
  Federal Acquisition Regulation                  48, 7
International Development Cooperation Agency,     22, XII
     United States
International Fishing and Related Activities      50, III
International Investment, Office of               31, VIII
International Joint Commission, United States     22, IV
     and Canada
International Organizations Employees Loyalty     5, V
     Board
International Trade Administration                15, III; 19, III
International Trade Commission, United States     19, II
Interstate Commerce Commission                    5, XL
James Madison Memorial Fellowship Foundation      45, XXIV
Japan-United States Friendship Commission         22, XVI
Joint Board for the Enrollment of Actuaries       20, VIII
Justice Department                                2, XXVII; 5, XXVIII; 28, 
                                                  I, XI; 40, IV
  Alcohol, Tobacco, Firearms, and Explosives,     27, II
       Bureau of
  Drug Enforcement Administration                 21, II
  Federal Acquisition Regulation                  48, 28
  Federal Claims Collection Standards             31, IX
  Federal Prison Industries, Inc.                 28, III
  Foreign Claims Settlement Commission of the     45, V
       United States
  Immigration Review, Executive Office for        8, V
  Offices of Independent Counsel                  28, VI
  Prisons, Bureau of                              28, V
  Property Management Regulations                 41, 128
Labor Department                                  5, XLII
  Benefits Review Board                           20, VII
  Employee Benefits Security Administration       29, XXV
  Employees' Compensation Appeals Board           20, IV
  Employment and Training Administration          20, V
  Employment Standards Administration             20, VI
  Federal Acquisition Regulation                  48, 29
  Federal Contract Compliance Programs, Office    41, 60
       of
  Federal Procurement Regulations System          41, 50
  Labor-Management Standards, Office of           29, II, IV
  Mine Safety and Health Administration           30, I
  Occupational Safety and Health Administration   29, XVII
  Public Contracts                                41, 50

[[Page 1233]]

  Secretary of Labor, Office of                   29, Subtitle A
  Veterans' Employment and Training Service,      41, 61; 20, IX
       Office of the Assistant Secretary for
  Wage and Hour Division                          29, V
  Workers' Compensation Programs, Office of       20, I
Labor-Management Standards, Office of             29, II, IV
Land Management, Bureau of                        43, II
Legal Services Corporation                        45, XVI
Library of Congress                               36, VII
  Copyright Office                                37, II
  Copyright Royalty Board                         37, III
Local Television Loan Guarantee Board             7, XX
Management and Budget, Office of                  5, III, LXXVII; 14, VI; 
                                                  48, 99
Marine Mammal Commission                          50, V
Maritime Administration                           46, II
Merit Systems Protection Board                    5, II, LXIV
Micronesian Status Negotiations, Office for       32, XXVII
Millenium Challenge Corporation                   22, XIII
Mine Safety and Health Administration             30, I
Minerals Management Service                       30, II
Minority Business Development Agency              15, XIV
Miscellaneous Agencies                            1, IV
Monetary Offices                                  31, I
Morris K. Udall Scholarship and Excellence in     36, XVI
     National Environmental Policy Foundation
National Aeronautics and Space Administration     2, XVIII; 5, LIX; 14, V
  Federal Acquisition Regulation                  48, 18
National Agricultural Library                     7, XLI
National Agricultural Statistics Service          7, XXXVI
National and Community Service, Corporation for   45, XII, XXV
National Archives and Records Administration      2, XXVI; 5, LXVI; 36, XII
  Information Security Oversight Office           32, XX
National Capital Planning Commission              1, IV
National Commission for Employment Policy         1, IV
National Commission on Libraries and Information  45, XVII
     Science
National Council on Disability                    34, XII
National Counterintelligence Center               32, XVIII
National Credit Union Administration              12, VII
National Crime Prevention and Privacy Compact     28, IX
     Council
National Drug Control Policy, Office of           21, III
National Endowment for the Arts                   2, XXXII
National Endowment for the Humanities             2, XXXIII
National Foundation on the Arts and the           45, XI
     Humanities
National Highway Traffic Safety Administration    23, II, III; 49, V
National Imagery and Mapping Agency               32, I
National Indian Gaming Commission                 25, III
National Institute for Literacy                   34, XI
National Institute of Standards and Technology    15, II
National Intelligence, Office of Director of      32, XVII
National Labor Relations Board                    5, LXI; 29, I
National Marine Fisheries Service                 50, II, IV, VI
National Mediation Board                          29, X
National Oceanic and Atmospheric Administration   15, IX; 50, II, III, IV, 
                                                  VI
National Park Service                             36, I
National Railroad Adjustment Board                29, III
National Railroad Passenger Corporation (AMTRAK)  49, VII
National Science Foundation                       2, XXV; 5, XLIII; 45, VI
  Federal Acquisition Regulation                  48, 25
National Security Council                         32, XXI
National Security Council and Office of Science   47, II
     and Technology Policy
National Telecommunications and Information       15, XXIII; 47, III
     Administration
National Transportation Safety Board              49, VIII
Natural Resources Conservation Service            7, VI

[[Page 1234]]

Navajo and Hopi Indian Relocation, Office of      25, IV
Navy Department                                   32, VI
  Federal Acquisition Regulation                  48, 52
Neighborhood Reinvestment Corporation             24, XXV
Northeast Interstate Low-Level Radioactive Waste  10, XVIII
     Commission
Nuclear Regulatory Commission                     5, XLVIII; 10, I
  Federal Acquisition Regulation                  48, 20
Occupational Safety and Health Administration     29, XVII
Occupational Safety and Health Review Commission  29, XX
Offices of Independent Counsel                    28, VI
Oklahoma City National Memorial Trust             36, XV
Operations Office                                 7, XXVIII
Overseas Private Investment Corporation           5, XXXIII; 22, VII
Patent and Trademark Office, United States        37, I
Payment From a Non-Federal Source for Travel      41, 304
     Expenses
Payment of Expenses Connected With the Death of   41, 303
     Certain Employees
Peace Corps                                       22, III
Pennsylvania Avenue Development Corporation       36, IX
Pension Benefit Guaranty Corporation              29, XL
Personnel Management, Office of                   5, I, XXXV; 45, VIII
  Federal Acquisition Regulation                  48, 17
  Federal Employees Group Life Insurance Federal  48, 21
       Acquisition Regulation
  Federal Employees Health Benefits Acquisition   48, 16
       Regulation
Pipeline and Hazardous Materials Safety           49, I
     Administration
Postal Regulatory Commission                      5, XLVI; 39, III
Postal Service, United States                     5, LX; 39, I
Postsecondary Education, Office of                34, VI
President's Commission on White House             1, IV
     Fellowships
Presidential Documents                            3
Presidio Trust                                    36, X
Prisons, Bureau of                                28, V
Privacy and Civil Liberties Oversight Board       6, X
Procurement and Property Management, Office of    7, XXXII
Productivity, Technology and Innovation,          37, IV
     Assistant Secretary
Public Contracts, Department of Labor             41, 50
Public and Indian Housing, Office of Assistant    24, IX
     Secretary for
Public Health Service                             42, I
Railroad Retirement Board                         20, II
Reclamation, Bureau of                            43, I
Refugee Resettlement, Office of                   45, IV
Relocation Allowances                             41, 302
Research and Innovative Technology                49, XI
     Administration
Rural Business-Cooperative Service                7, XVIII, XLII
Rural Development Administration                  7, XLII
Rural Housing Service                             7, XVIII, XXXV
Rural Telephone Bank                              7, XVI
Rural Utilities Service                           7, XVII, XVIII, XLII
Saint Lawrence Seaway Development Corporation     33, IV
Science and Technology Policy, Office of          32, XXIV
Science and Technology Policy, Office of, and     47, II
     National Security Council
Secret Service                                    31, IV
Securities and Exchange Commission                17, II
Selective Service System                          32, XVI
Small Business Administration                     2, XXVII; 13, I
Smithsonian Institution                           36, V
Social Security Administration                    2, XXIII; 20, III; 48, 23
Soldiers' and Airmen's Home, United States        5, XI
Special Counsel, Office of                        5, VIII
Special Education and Rehabilitative Services,    34, III
     Office of
State Department                                  2, VI; 22, I; 28, XI
  Federal Acquisition Regulation                  48, 6
Surface Mining and Reclamation Appeals, Board of  30, III

[[Page 1235]]

Surface Mining Reclamation and Enforcement,       30, VII
     Office of
Surface Transportation Board                      49, X
Susquehanna River Basin Commission                18, VIII
Technology Administration                         15, XI
Technology Policy, Assistant Secretary for        37, IV
Technology, Under Secretary for                   37, V
Tennessee Valley Authority                        5, LXIX; 18, XIII
Thrift Supervision Office, Department of the      12, V
     Treasury
Trade Representative, United States, Office of    15, XX
Transportation, Department of                     2, XII; 5, L
  Commercial Space Transportation                 14, III
  Contract Appeals, Board of                      48, 63
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 12
  Federal Aviation Administration                 14, I
  Federal Highway Administration                  23, I, II
  Federal Motor Carrier Safety Administration     49, III
  Federal Railroad Administration                 49, II
  Federal Transit Administration                  49, VI
  Maritime Administration                         46, II
  National Highway Traffic Safety Administration  23, II, III; 49, V
  Pipeline and Hazardous Materials Safety         49, I
       Administration
  Saint Lawrence Seaway Development Corporation   33, IV
  Secretary of Transportation, Office of          14, II; 49, Subtitle A
  Surface Transportation Board                    49, X
  Transportation Statistics Bureau                49, XI
Transportation, Office of                         7, XXXIII
Transportation Security Administration            49, XII
Transportation Statistics Bureau                  49, XI
Travel Allowances, Temporary Duty (TDY)           41, 301
Treasury Department                               5, XXI; 12, XV; 17, IV; 
                                                  31, IX
  Alcohol and Tobacco Tax and Trade Bureau        27, I
  Community Development Financial Institutions    12, XVIII
       Fund
  Comptroller of the Currency                     12, I
  Customs and Border Protection Bureau            19, I
  Engraving and Printing, Bureau of               31, VI
  Federal Acquisition Regulation                  48, 10
  Federal Claims Collection Standards             31, IX
  Federal Law Enforcement Training Center         31, VII
  Fiscal Service                                  31, II
  Foreign Assets Control, Office of               31, V
  Internal Revenue Service                        26, I
  International Investment, Office of             31, VIII
  Monetary Offices                                31, I
  Secret Service                                  31, IV
  Secretary of the Treasury, Office of            31, Subtitle A
  Thrift Supervision, Office of                   12, V
Truman, Harry S. Scholarship Foundation           45, XVIII
United States and Canada, International Joint     22, IV
     Commission
United States and Mexico, International Boundary  22, XI
     and Water Commission, United States Section
Utah Reclamation Mitigation and Conservation      43, III
     Commission
Veterans Affairs Department                       2, VIII; 38, I
  Federal Acquisition Regulation                  48, 8
Veterans' Employment and Training Service,        41, 61; 20, IX
     Office of the Assistant Secretary for
Vice President of the United States, Office of    32, XXVIII
Vocational and Adult Education, Office of         34, IV
Wage and Hour Division                            29, V
Water Resources Council                           18, VI
Workers' Compensation Programs, Office of         20, I
World Agricultural Outlook Board                  7, XXXVIII

[[Page 1237]]



List of CFR Sections Affected



All changes in this volume of the Code of Federal Regulations that were 
made by documents published in the Federal Register since January 1, 
2001, are enumerated in the following list. Entries indicate the nature 
of the changes effected. Page numbers refer to Federal Register pages. 
The user should consult the entries for chapters and parts as well as 
sections for revisions.
Title 40 was established at 36 FR 12213, June 29, 1971. For the period 
before January 1, 2001, see the ``List of CFR Sections Affected, 1964-
1972, 1973-1985, and 1986-2000'', published in ten separate volumes.

                                  2001

40 CFR
                                                                   66 FR
                                                                    Page
Chapter VI
1602 Added.........................................................17080
1610 Added..........................................................1050
1610.2 Added.......................................................17363
1610.3 Added.......................................................17363
1611 Added.........................................................17366
1611.2 Amended.....................................................23854
1611.6 Existing text designated as (a); (b) added..................23854
1612 Added.........................................................17366

                                  2002

40 CFR
                                                                   67 FR
                                                                    Page
Chapter I
1048--1068 (Subchapter U) Added....................................68347
1065.210 Corrected.................................................72724
Chapter V
1518 Added.........................................................62189
Chapter VI
1603 Added.........................................................35445

                                  2003

40 CFR
                                                                   68 FR
                                                                    Page
Chapter VI
1600 Added.........................................................65403
1610 Authority citation revised.....................................4393
1610.4 Added........................................................4393

                                  2004

40 CFR
                                                                   69 FR
                                                                    Page
Title 40 Nomenclature change.......................................18803
Chapter I
799.5115 Added.....................................................22436
1039 Added; eff. 8-30-04...........................................39213
1048.125 (a) introductory text and (d) revised; eff. 8-30-04.......39259
1048.801 Amended; eff. 8-30-04.....................................39259
1051.1 (g) and (h) added............................................2442
1051.125 (a) introductory text and (d) revised; eff. 8-30-04.......39259
1051.245 (c)(1)(i) and (e)(2) revised...............................2442
1051.501 (d)(2) and (3) revised.....................................2442
1051.515 (a) introductory text, (b) introductory text, (8), (c) 
        and (d) revised; (e) and Figure 1051.515-1 added............2442
1051.640 Added......................................................2445
1051.801 Amended; eff. 8-30-04.....................................39259
1065.1 (a) revised; (b)(6) removed; eff. 8-30-04...................39260
1065.10 (c)(3) revised; eff. 8-30-04...............................39260
1065.115 Added; eff. 8-30-04.......................................39260
1065.205 Added; eff. 8-30-04.......................................39260
1065.310 Added; eff. 8-30-04.......................................39261
1065.405 (b) revised; eff. 8-30-04.................................39261
1065.530 (b)(3)(iii) revised; (d) and (e) added; eff. 8-30-04......39261
1065.615 (c), (d) and (e) revised; eff. 8-30-04....................39262
1065.620 Added; eff. 8-30-04.......................................39262
1065.701 Added; eff. 8-30-04.......................................39262
1065.910 Revised; eff. 8-30-04.....................................39262
1065.1001 Amended; eff. 8-30-04....................................39263

[[Page 1238]]

1065.1010 Table 1 amended; eff. 8-30-04............................39263
1068.1 (a), (b)(5) and (d) revised; (e) added; eff. 8-30-04........39263
1068.5 (a) and (e) revised; eff. 8-30-04...........................39263
1068.10 Heading revised; eff. 8-30-04..............................39264
1068.25 (b) revised; eff. 8-30-04..................................39264
1068.27 Added; eff. 8-30-04........................................39264
1068.30 Amended; eff. 8-30-04......................................39264
1068.101 (a) and (b) revised; eff. 8-30-04.........................39265
1068.105 Introductory text added; (c) revised; eff. 8-30-04........39265
1068.110 (b) through (e) revised; eff. 8-30-04.....................39266
1068.120 (b)(2), (c), (d), (f) and (h) revised; eff. 8-30-04.......39266
1068.125 (a)(1)(iv), (b)(3) and (e)(2) revised; eff. 8-30-04.......39266
1068.201 Introductory text and (i) revised; eff. 8-30-04...........39266
1068.210 (d)(5)(iv) and (e)(3)(iv) revised; eff. 8-30-04...........39267
1068.215 (b), (c)(3)(iii) and (iv) revised; eff. 8-30-04...........39267
1068.220 (b) and (e)(3) revised; eff. 8-30-04......................39267
1068.225 (d) added; eff. 8-30-04...................................39267
1068.230 (c) revised; eff. 8-30-04.................................39267
1068.235 (c) revised; eff. 8-30-04.................................39267
1068.240 Revised; eff. 8-30-04.....................................39267
1068.245 (a) introductory text and (e) revised; eff. 8-30-04.......39268
1068.250 (d)(2), (4) and (j) revised; eff. 8-30-04.................39268
1068.255 (c) introductory text revised; eff. 8-30-04...............39268
1068.260 Added; eff. 8-30-04.......................................39268
1068.305 (a) and (e) revised; eff. 8-30-04.........................39269
1068.310 Revised; eff. 8-30-04.....................................39269
1068.315 Introductory text and (a) revised; (f)(1)(iii) added; 
        eff. 8-30-04...............................................39269
1068.320 Heading, (a) introductory text and (b) revised; eff. 8-
        30-04......................................................39269
1068.325 Introductory text, (a) and (b) revised; (f) added; eff. 
        8-30-04....................................................39269
1068.335 (a) revised; eff. 8-30-04.................................39270
1068.401 Revised; eff. 8-30-04.....................................39270
1068.410 (e)(1), (g) and (i) revised; eff. 8-30-04.................39270
1068.415 (d) and (e) revised; eff. 8-30-04.........................39270
1068.445 (a)(1) revised; eff. 8-30-04..............................39270
1068.450 (e) revised; eff. 8-30-04.................................39270
1068.501 Revised; eff. 8-30-04.....................................39270
1068.505 (a) and (e) revised; (f) added; eff. 8-30-04..............39272
1068.510 (a)(7) revised; eff. 8-30-04..............................39273
1068.530 Introductory text revised; eff. 8-30-04...................39273
1068 Appendix I amended; eff. 8-30-04..............................39273
Chapter VI
1620 Added.........................................................55513

                                  2005

40 CFR
                                                                   70 FR
                                                                    Page
Chapter I
799.5025 Table amended......................................39629, 39636
1039 Authority citation revised....................................40462
1039.1 (c) revised.................................................40462
1039.5 (b)(1)(iii) and (2) revised.................................40462
1039.10 Introductory text revised..................................40462
1039.101 (g)(2) revised............................................40462
1039.104 (a)(4)(iii) revised.......................................40462
1039.120 (b) revised...............................................40463
1039.125 (g) introductory text revised.............................40463
1039.130 (b)(3) revised............................................40463
1039.225 Heading revised; (a)(3) and (f) added.....................40463
1039.240 (a) and (b) revised.......................................40463
1039.260 Removed...................................................40463
1039.501 (a) revised...............................................40463
1039.510 (c) and (d) removed.......................................40463
1039.605 Heading revised; (g) added................................40463
1039.610 Heading revised; (g) added................................40463
1039.625 (a)(1) Table 1 amended; (j) revised.......................40464
1039.655 (a)(3) revised............................................40464
1039.740 (b)(4) added..............................................40464
1039.801 Amended...................................................40464
1039 Appendix VI amended...........................................40465
1048 Authority citation revised....................................40465
1048.1--1048.20 (Subpart A) Heading revised........................40465
1048.1 Revised.....................................................40465

[[Page 1239]]

1048.5 Revised.....................................................40465
1048.10 Revised....................................................40465
1048.15 Revised....................................................40465
1048.20 Revised....................................................40466
1048.101 Introductory text, (a), (b), (c), (e), (g) and (h) 
        revised....................................................40466
1048.105 Heading revised; introductory text added..................40467
1048.115 Introductory text, (a), (b), (e) and (g) revised; (d) 
        removed....................................................40467
1048.120 Revised...................................................40467
1048.125 Revised...................................................40468
1048.130 (a), (b)(3), (7) and (8) revised; (d) added...............40469
1048.135 Revised...................................................40469
1048.140 (c) revised...............................................40470
1048.145 Heading and (a) revised; (c) removed......................40470
1048.201 Revised...................................................40470
1048.205 Revised...................................................40470
1048.210 Revised...................................................40472
1048.215 Removed...................................................40472
1048.220 Revised...................................................40472
1048.225 Revised...................................................40472
1048.230 Revised...................................................40473
1048.235 Revised...................................................40473
1048.240 Revised...................................................40474
1048.245 (e)(1)(i) revised.........................................40474
1048.250 (a) and (c) revised.......................................40474
1048.255 Revised...................................................40474
1048.301 (a) and (f) revised.......................................40475
1048.305 (d)(1), (f) and (g) revised...............................40475
1048.310 (c) introductory text, (2), (g), (h) and (i) revised......40475
1048.315 Introductory text revised.................................40475
1048.325 (d) revised...............................................40475
1048.345 (d) revised...............................................40476
1048.350 (a) revised...............................................40476
1048.420 (b) revised...............................................40476
1048.425 (a) revised...............................................40476
1048.501 Revised...................................................40476
1048.505 Revised...................................................40476
1048.510 Heading, (a) and (c)(1) revised...........................40478
1048.515 Heading, (a)(1) and (2) revised...........................40478
1048.601 Revised...................................................40479
1048.605 Revised...................................................40479
1048.610 Revised...................................................40480
1048.615 (a)(2), (3), (c) and (d) revised..........................40480
1048.620 Revised...................................................40481
1048.625 Revised...................................................40481
1048.630 Added.....................................................40481
1048.635 Added.....................................................40481
1048.801 Revised...................................................40482
1048.805 Table amended.............................................40485
1048.810 Revised...................................................40485
1048.815 Revised...................................................40486
1048.820 Revised...................................................40486
1048 Appendix I amended............................................40486
1051 Authority citation revised....................................40486
1051.1--1051.25 (Subpart A) Heading revised........................40486
1051.1 Revised.....................................................40486
1051.5 Revised.....................................................40486
1051.10 Revised....................................................40486
1051.15 Revised....................................................40487
1051.101 (a)(1), (2), (c) and (f) revised..........................40487
1051.103 (a)(1) amended; (b) introductory text and (c) 
        introductory text revised..................................40487
1051.105 (a)(1) amended; (a)(3), (b) introductory text and (c) 
        introductory text revised..................................40487
1051.107 (a), (b) introductory text and (c) introductory text 
        revised....................................................40488
1051.110 Introductory text and (a) revised.........................40488
1051.115 (b) removed; (a), (c), (f) and (g) revised; (d)(3)(vi) 
        added......................................................40488
1051.120 Revised...................................................40489
1051.125 Revised...................................................40489
1051.130 Revised...................................................40490
1051.135 Revised...................................................40490
1051.137 Added.....................................................40491
1051.145 (a)(3)(iv), (4), (b)(3), (e) and (g) revised; (a)(3)(v), 
        (vi) and (h) added; (b)(1) amended; (c) removed............40491
1051.201 Revised...................................................40492
1051.205 Revised...................................................40493
1051.210 Revised...................................................40494
1051.215 Removed...................................................40494
1051.220 Revised...................................................40494
1051.225 Revised...................................................40494
1051.230 Revised...................................................40495
1051.235 Revised...................................................40495
1051.240 Revised...................................................40496
1051.243 Added.....................................................40496
1051.245 (a) introductory text, (b), (c) and (d) revised...........40497
1051.250 Revised...................................................40497
1051.255 Revised...................................................40497

[[Page 1240]]

1051.301--1051.350 (Subpart D) Heading revised.....................40498
1051.301 (a) revised; (h) added....................................40498
1051.305 (d)(1), (e), (f) and (g) revised..........................40498
1051.310 (c) introductory text, (2), (f), (g) and (i) revised......40498
1051.315 Introductory text revised.................................40499
1051.325 (d) revised...............................................40499
1051.345 (a) introductory text, (5), (10) and (d) revised..........40499
1051.350 (a) revised...............................................40499
1051.501 Introductory text, (a), (b), (c)(2) and (d) revised; 
        (e)(3) added...............................................40499
1051.505 (a), (b)(3), (d), (e), (f) introductory text, (5) and (6) 
        revised....................................................40500
1051.515 (a)(5), (b) and (d)(2) revised............................40501
1051.520 Revised...................................................40501
1051.605 Revised...................................................40501
1051.610 Revised...................................................40502
1051.615 (a) introductory text, (b) introductory text and (d) 
        revised....................................................40503
1051.620 (b)(1)(vi) revised........................................40504
1051.645 Added.....................................................40504
1051.701 (a), (c) and (d) revised; (e), (f) and (g) added..........40504
1051.705 (a), (b) and (c) revised; (e) added.......................40505
1051.710 Revised...................................................40505
1051.715 Revised...................................................40505
1051.720 (a)(2) and (3) revised; (a)(4) added......................40505
1051.725 Revised...................................................40506
1051.730 Revised...................................................40506
1051.735 Revised...................................................40506
1051.740 Added.....................................................40507
1051.745 Added.....................................................40507
1051.801 Revised...................................................40507
1051.805 Amended...................................................40510
1051.810 Revised...................................................40510
1051.815 Revised...................................................40511
1051.820 Revised...................................................40511
1065 Revised.......................................................40516
1068 Authority citation revised....................................40511
1068.10 Revised....................................................40511
1068.30 Amended....................................................40511
1068.101 Introductory text, (a) and (b) revised....................40512
1068.105 (a) revised; (c)(1)(iii) redesignated as (c)(1)(iv).......40513
1068.110 (e) revised...............................................40513
1068.115 (a) revised...............................................40513
1068.125 (b) introductory text revised.............................40513
1068.201 (c) and (i) revised.......................................40513
1068.240 (d) revised...............................................40513
1068.245 (a)(4) and (f)(4) revised.................................40513
1068.250 (k)(4) revised............................................40514
1068.255 (a) introductory text and (b)(4) revised..................40514
1068.260 (a)(5), (6) and (f) revised; (g) and (h) added............40514
1068.265 Added.....................................................40515
1068.305 (a) revised...............................................40515
1068.315 (e), (f) and (g) revised; (i) and (j) added...............40515
1068.325 Introductory text revised.................................40515
1068.330 Heading and (c) revised; (a)(4) added.....................40516
1068.335 (b) revised...............................................40516
1068.410 (j) revised...............................................40516
1068.505 (g) added.................................................40516
1068.510 (a)(10) revised...........................................40516
1068.540 Removed...................................................40516
Chapter V
1506.9 Revised.....................................................41148

                                  2006

40 CFR
                                                                   71 FR
                                                                    Page
Chapter I
790.5 (b) amended..................................................33642
799.5 Amended......................................................33642
799.19 Revised.....................................................66245
799.5085 Added.....................................................13730
    (j) Table 2 amended............................................71062
799.5115 (h)(5)(vii)(A) and (j) Table 2 amended....................18654
1039.1 (c) revised.................................................39184
1039.20 (a) and (b) revised; (c) added.............................39185
1039.205 (v) revised...............................................39185
1039.705 (c) revised...............................................39185
1051.720 (a)(2) corrected..........................................35004
1065.1 (a)(5) added................................................39185
1068.1 (a)(4) added................................................39185
1068.310 (b) revised...............................................39185

                                  2007

40 CFR
                                                                   72 FR
                                                                    Page
Chapter I
1039.2 Added.......................................................53129

[[Page 1241]]

1039.10 Introductory text revised..................................53129
1039.102 (g)(2) revised............................................53129
1039.104 (g)(4) Table 1 revised....................................53130
1039.115 Heading, introductory text and (a) introductory text 
        revised....................................................53130
1039.125 (f) introductory text revised.............................53130
1039.135 (g) revised...............................................53130
1039.205 (o) and (x) revised; (aa) added...........................53131
1039.210 Revised...................................................53131
1039.225 (a), (b)(3), (d) and (e) revised..........................53131
1039.230 (a) revised...............................................53131
1039.235 (d)(1) revised............................................53131
1039.245 Introductory text revised.................................53131
1039.255 (d) revised...............................................53132
1039.501 (a) and (b) revised.......................................53132
1039.505 (a)(1) introductory text and (ii) revised.................53132
1039.605 (a) through (d) introductory text, (8)(ii) and (iii) 
        revised....................................................53132
1039.610 (a), (b), (c), (d)(7)(ii) and (iii) revised...............53132
1039.625 (e)(3) revised............................................53133
1039.705 (a) removed; (b) revised..................................53133
1039.730 (c)(1) revised............................................53133
1039.735 (b) revised...............................................53133
1039.801 Amended...................................................53133
1039.810 (a) revised; (b) removed..................................53133
1039.825 Added.....................................................53134
1051.145 (b) introductory text and (e)(2) revised..................20735

                                  2008

   (Regulations published from January 1, 2008, through July 1, 2008)

40 CFR
                                                                   73 FR
                                                                    Page
Chapter I
1033 Added; eff. 7-7-08.....................................25199, 37197
1039.505 (a)(1) introductory text, (c) and (d) revised; (g) added; 
        eff. 7-7-08.........................................25242, 37241
1039.645 (b)(1) revised; eff. 7-7-08........................25242, 37241
1039 Appendix II revised; eff. 7-7-08.......................25243, 37241
    Appendices III and IV removed; eff. 7-7-08..............25245, 37243
1042 Added; eff. 7-7-08.....................................25245, 37243
1048.1 (c) revised..................................................3613
1048.20 (a) introductory text and (b)(4) revised; (d) added.........3613
1048.101 (a)(4) added...............................................3613
1048.205 (b) and (w) revised........................................3613
1051.103 (a)(1) and (2) revised; eff. 8-25-08......................35951
1051.740 (b)(4) revised; eff. 8-2508...............................35952
1065.1 (a)(6) added.................................................3613
    Revised; eff. 7-7-08....................................25290, 37288
1065.2 Revised; eff. 7-7-08.................................25291, 37289
1065.5 Revised; eff. 7-7-08.................................25291, 37289
1065.10 (c)(1), (2), (6) and (7) introductory text revised; eff. 
        7-7-08..............................................25291, 37289
1065.12 (a) and (d)(1) revised; eff. 7-7-08.................25292, 37290
1065.15 (c)(1) and (e) revised; (f) added; eff. 7-7-08......25292, 37290
1065.20 (a)(2), (b)(2), (f) and (g) revised; eff. 7-7-08....25294, 37292
1065.101 (a) revised; (e) added; eff. 7-7-08................25294, 37292
1065.110 (a) introductory text and (e) revised; (a)(1)(iv) and (f) 
        added; eff. 7-7-08..................................25294, 37292
1065.120 (a) revised; eff. 7-7-08...........................25295, 37293
1065.122 (a) introductory text, (1) and (c) revised; eff. 7-7-08 
                                                            25295, 37293
1065.125 (c) and (d) revised; (e) added; eff. 7-7-08........25295, 37293
1065.130 Revised; eff. 7-7-08...............................25295, 37293
1065.140 Revised; eff. 7-7-08...............................25296, 37294
1065.145 Revised; eff. 7-7-08...............................25298, 37296
1065.170 Introductory text, (a) and (c)(1) revised; eff. 7-7-08...25300, 
                                                                   37298
1065.190 (c) through (g) revised; eff. 7-7-08...............25301, 37299
1065.195 (a) and (c)(4) revised; eff. 7-7-08................25301, 37299
1065.201 (a) and (b) revised; (h) added; eff. 7-7-08........25301, 37299
1065.210 (a) revised; eff. 7-7-08...........................25302, 37300
1065.215 (e) revised; eff. 7-7-08...........................25302, 37300
1065.220 (d) revised; eff. 7-7-08...........................25302, 37300
1065.265 (c) revised; eff. 7-7-08...........................25302, 37300

[[Page 1242]]

1065.270 (c) and (d) introductory text revised; eff. 7-7-08.......25302, 
                                                                   37300
1065.280 Revised; eff. 7-7-08...............................25302, 37300
1065.290 (c)(1) revised; eff. 7-7-08........................25302, 37300
1065.303 Revised; eff. 7-7-08...............................25302, 37300
1065.305 (d)(4), (8) and (9)(iii) revised; eff. 7-7-08......25303, 37301
1065.307 (b), (c)(6), (13) and Table 1 revised; (d)(8) and (e) 
        added; eff. 7-7-08..................................25304, 37302
1065.308 Revised; eff. 7-7-08...............................25305, 37303
1065.309 Revised; eff. 7-7-08...............................25306, 37304
1065.310 (d) revised; eff. 7-7-08...........................25307, 37305
1065.315 (a)(2) revised; eff. 7-7-08........................25307, 37305
1065.340 (f)(5), (6)(ii), (7), (9), (10), (g)(6)(i) and Figure 1 
        revised; eff. 7-7-08................................25307, 37305
1065.341 (d) introductory text, (7) and (g) introductory text 
        revised; eff. 7-7-08................................25308, 37307
1065.342 Added; eff. 7-7-08.................................25309, 37307
1065.345 Revised; eff. 7-7-08...............................25309, 37307
1065.350 (c) and (d) revised; eff. 7-7-08...................25310, 37308
1065.355 (d) revised; eff. 7-7-08...........................25310, 37308
1065.360 Revised; eff. 7-7-08...............................25310, 37308
1065.362 (d) revised; eff. 7-7-08...........................25311, 37309
1065.365 Revised; eff. 7-7-08...............................25312, 37310
1065.370 (d), (e) and (g)(1) revised; eff. 7-7-08...........25313, 37311
1065.372 (d)(7) and (e)(1) revised; eff. 7-7-08.............25314, 37312
1065.376 Revised; eff. 7-7-08...............................25314, 37312
1065.378 (d) and (e)(1) revised; eff. 7-7-08................25314, 37313
1065.390 Revised; eff. 7-7-08...............................25315, 37313
1065.405 Revised; eff. 7-7-08...............................25316, 37314
1065.410 (c) and (d) revised; eff. 7-7-08...................25316, 37314
1065.415 Introductory text revised; (a)(3) removed; eff. 7-7-08...25316, 
                                                                   37315
1065.501--1065.595 (Subpart F) Heading revised; eff. 7-7-08.......25317, 
                                                                   37315
1065.501 (a) introductory text, (1) and (b) revised; eff. 7-7-08 
                                                            25317, 37315
1065.510 Revised; eff. 7-7-08...............................25317, 37315
1065.512 Revised; eff. 7-7-08...............................25319, 37317
1065.514 Revised; eff. 7-7-08...............................25320, 37318
1065.520 Revised; eff. 7-7-08...............................25321, 37320
1065.525 Revised; eff. 7-7-08...............................25322, 37320
1065.530 Revised; eff. 7-7-08...............................25322, 37321
1065.545 Revised; eff. 7-7-08...............................25324, 37322
1065.550 Revised; eff. 7-7-08...............................25324, 37322
1065.590 Revised; eff. 7-7-08...............................25325, 37323
1065.595 Revised; eff. 7-7-08...............................25325, 37323
1065.601 (c)(1) revised; eff. 7-7-08........................25326, 37324
1065.602 (f)(3) and (l) introductory text revised; eff. 7-7-08....25326, 
                                                                   37324
1065.610 Revised; eff. 7-7-08...............................25326, 37324
1065.640 (a) and (e) revised; Table 3 redesignated as Table 4; 
        eff. 7-7-08.........................................25328, 37326
1065.642 (b) revised; eff. 7-7-08...........................25329, 37327
1065.644 Added; eff. 7-7-08.................................25329, 37327
1065.645 Revised; eff. 7-7-08...............................25329, 37327
1065.650 Revised; eff. 7-7-08...............................25331, 37328
1065.655 Revised; eff. 7-7-08...............................25333, 37331
1065.659 Revised; eff. 7-7-08...............................25338, 37335
1065.660 Revised; eff. 7-7-08...............................25338, 37336
1065.665 Revised; eff. 7-7-08...............................25339, 37337
1065.667 (b) revised; eff. 7-7-08...........................25340, 37338
1065.670 Introductory text revised; eff. 7-7-08.............25340, 37338
1065.675 Revised; eff. 7-7-08...............................25340, 37338
1065.690 (e) revised; eff. 7-7-08...........................25341, 37339
1065.695 (c)(7)(ix) revised; eff. 7-7-08....................25342, 37339
1065.701 (b), (c) and (e) revised; eff. 7-7-08..............25342, 37339
1065.703 Table 1 revised; eff. 7-7-08.......................25342, 37340
1065.705 Added; eff. 7-7-08.................................25343, 37340
1065.710 Table 1 revised; eff. 7-7-08.......................25343, 37341
1065.715 Revised; eff. 7-7-08...............................25344, 37342
1065.720 Revised; eff. 7-7-08...............................25344, 37342
1065.750 (a) revised; eff. 7-7-08...........................25345, 37343
1065.805 (a), (b) and (c) revised; eff. 7-7-08..............25346, 37343
1065.845 Introductory text revised; eff. 7-7-08.............25346, 37343
1065.901 (b) introductory text and (2) revised; eff. 7-7-08.......25346, 
                                                                   37344
1065.905 (c)(14) and (e) introductory text revised; eff. 7-7-08...25346, 
                                                                   37344
1065.910 Revised; eff. 7-7-08...............................25346, 37344

[[Page 1243]]

1065.915 (a), (c), (d)(1) and (5)(iii)(B) revised; eff. 7-7-08....25347, 
                                                                   37344
1065.920 (a), (b)(4)(iii) and (7) introductory text revised; eff. 
        7-7-08..............................................25347, 37345
1065.925 (h) revised; eff. 7-7-08...........................25347, 37345
1065.935 (e)(1) and (g)(5) revised; eff. 7-7-08.............25348, 37345
1065.1001 Amended; eff. 7-7-08..............................25348, 37346
1065.1005 (a) and (g) revised; eff. 7-7-08..................25348, 37346
1065.1010 Revised; eff. 7-7-08..............................25349, 37347
1068.1 (a)(5) added.................................................3613
    (a)(6) and (7) added; (b)(4) and (6) revised; eff. 7-7-08.....25352, 
                                                                   37349


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