[Title 40 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2019 Edition]
[From the U.S. Government Publishing Office]



[[Page i]]

          
          
          Title 40

Protection of Environment


________________________

Part 1060 to End

                         Revised as of July 1, 2019

          Containing a codification of documents of general 
          applicability and future effect

          As of July 1, 2019
                    Published by the Office of the Federal Register 
                    National Archives and Records Administration as a 
                    Special Edition of the Federal Register

[[Page ii]]

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[[Page iii]]




                            Table of Contents



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

  Title 40:
          Chapter I--Environmental Protection Agency 
          (Continued)                                                3
          Chapter IV--Environmental Protection Agency and 
          Department of Justice                                    457
          Chapter V--Council on Environmental Quality              465
          Chapter VI--Chemical Safety and Hazard Investigation 
          Board                                                    513
          Chapter VII--Environmental Protection Agency and 
          Department of Defense; Uniform National Discharge 
          Standards for Vessels of the Armed Forces                553
          Chapter VIII--Gulf Coast Ecosystem Restoration 
          Council                                                  569
  Finding Aids:
      Table of CFR Titles and Chapters........................     593
      Alphabetical List of Agencies Appearing in the CFR......     613
      List of CFR Sections Affected...........................     623

[[Page iv]]





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

                     Cite this Code: CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus, 40 CFR 1060.1 refers 
                       to title 40, part 1060, 
                       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 
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    To determine whether a Code volume has been amended since its 
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EFFECTIVE AND EXPIRATION DATES

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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 
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PAST PROVISIONS OF THE CODE

    Provisions of the Code that are no longer in force and effect as of 
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2001, consult the List of CFR Sections Affected compilations, published 
for 1949-1963, 1964-1972, 1973-1985, and 1986-2000.

``[RESERVED]'' TERMINOLOGY

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not accidentally dropped due to a printing or computer error.

INCORPORATION BY REFERENCE

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established by statute and allows Federal agencies to meet the 
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This material, like any other properly issued regulation, has the force 
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alphabetical list of agencies publishing in the CFR are also included in 
this volume.

[[Page vii]]

    An index to the text of ``Title 3--The President'' is carried within 
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INQUIRIES

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    Oliver A. Potts,
    Director,
    Office of the Federal Register
    July 1, 2019







[[Page ix]]



                               THIS TITLE

    Title 40--Protection of Environment is composed of thirty-seven 
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-
52.2019), part 52 (52.2020-end of part 52), parts 53-59, part 60 (60.1-
60.499), part 60 (60.500-end of part 60, sections), 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 of part 63), parts 64-71, parts 
72-79, part 80, part 81, parts 82-86, parts 87-95, parts 96-99, 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-
722, parts 723-789, parts 790-999, parts 1000-1059, and part 1060 to 
end. The contents of these volumes represent all current regulations 
codified under this title of the CFR as of July 1, 2019.

    Chapter I--Environmental Protection Agency appears in all thirty-
seven volumes. OMB control numbers for title 40 appear in Sec.  9.1 of 
this chapter.

    Chapters IV-VIII--Regulations issued by the Environmental Protection 
Agency and Department of Justice, Council on Environmental Quality, 
Chemical Safety and Hazard Investigation Board, Environmental Protection 
Agency and Department of Defense; Uniform National Discharge Standards 
for Vessels of the Armed Forces, and the Gulf Coast Ecosystem 
Restoration Council appear in volume thirty seven.

    For this volume, Michele Bugenhagen was Chief Editor. The Code of 
Federal Regulations publication program is under the direction of John 
Hyrum Martinez, assisted by Stephen J. Frattini.

[[Page 1]]



                   TITLE 40--PROTECTION OF ENVIRONMENT




                  (This book contains part 1060 to end)

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

chapter i--Environmental Protection Agency (Continued)......        1060

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

chapter viii--Gulf Coast Ecosystem Restoration Council......        1800

[[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 U--AIR POLLUTION CONTROLS
Part                                                                Page
1060            Control of evaporative emissions from new 
                    and in-use nonroad and stationary 
                    equipment...............................           5
1065            Engine-testing procedures...................          45
1066            Vehicle-testing procedures..................         282
1068            General compliance provisions for highway, 
                    stationary, and nonroad programs........         381
1074            Preemption of state standards and procedures 
                    for waiver of federal preemption for 
                    nonroad engines and nonroad vehicles....         453
1075-1099

 [Reserved]

[[Page 5]]



                   SUBCHAPTER U_AIR POLLUTION CONTROLS





PART 1060_CONTROL OF EVAPORATIVE EMISSIONS FROM NEW AND IN-USE NONROAD 
AND STATIONARY EQUIPMENT--Table of Contents



                  Subpart A_Overview and Applicability

Sec.
1060.1 Which products are subject to this part's requirements?
1060.5 Do the requirements of this part apply to me?
1060.10 How is this part organized?
1060.15 Do any other CFR parts apply to me?
1060.30 Submission of information.

          Subpart B_Emission Standards and Related Requirements

1060.101 What evaporative emission requirements apply under this part?
1060.102 What permeation emission control requirements apply for fuel 
          lines?
1060.103 What permeation emission control requirements apply for fuel 
          tanks?
1060.104 What running loss emission control requirements apply?
1060.105 What diurnal requirements apply for equipment?
1060.120 What emission-related warranty requirements apply?
1060.125 What maintenance instructions must I give to buyers?
1060.130 What installation instructions must I give to equipment 
          manufacturers?
1060.135 How must I label and identify the engines and equipment I 
          produce?
1060.137 How must I label and identify the fuel-system components I 
          produce?

                 Subpart C_Certifying Emission Families

1060.201 What are the general requirements for obtaining a certificate 
          of conformity?
1060.202 What are the certification requirements related to the general 
          standards in Sec.  1060.101?
1060.205 What must I include in my application?
1060.210 What records should equipment manufacturers keep if they do not 
          apply for certification?
1060.225 How do I amend my application for certification?
1060.230 How do I select emission families?
1060.235 What emission testing must I perform for my application for a 
          certificate of conformity?
1060.240 How do I demonstrate that my emission family complies with 
          evaporative emission standards?
1060.250 What records must I keep?
1060.255 What decisions may EPA make regarding my certificate of 
          conformity?

                Subpart D_Production Verification Testing

1060.301 Manufacturer testing.
1060.310 Supplying products to EPA for testing.

                        Subpart E_In-Use Testing

1060.401 General Provisions.

                        Subpart F_Test Procedures

1060.501 General testing provisions.
1060.505 Other procedures.
1060.510 How do I test EPA Low-Emission Fuel Lines for permeation 
          emissions?
1060.515 How do I test EPA Nonroad Fuel Lines and EPA Cold-Weather Fuel 
          Lines for permeation emissions?
1060.520 How do I test fuel tanks for permeation emissions?
1060.521 How do I test fuel caps for permeation emissions?
1060.525 How do I test fuel systems for diurnal emissions?

                 Subpart G_Special Compliance Provisions

1060.601 How do the prohibitions of 40 CFR 1068.101 apply with respect 
          to the requirements of this part?
1060.605 Exemptions from evaporative emission standards.
1060.640 What special provisions apply to branded equipment?

          Subpart H_Averaging, Banking, and Trading Provisions

1060.701 Applicability.
1060.705 How do I certify components to an emission level other than the 
          standard under this part or use such components in my 
          equipment?

          Subpart I_Definitions and Other Reference Information

1060.801 What definitions apply to this part?
1060.805 What symbols, acronyms, and abbreviations does this part use?
1060.810 What materials does this part reference?
1060.815 What provisions apply to confidential information?
1060.820 How do I request a hearing?
1060.825 What reporting and recordkeeping requirements apply under this 
          part?

    Authority: 42 U.S.C. 7401-7671q.

[[Page 6]]


    Source: 73 FR 59298, Oct. 8, 2008, unless otherwise noted.



                  Subpart A_Overview and Applicability



Sec.  1060.1  Which products are subject to this part's requirements?

    (a) The standards and other requirements in this part 1060 apply to 
the fuel lines, fuel tanks, couplings and fittings, and fuel caps used 
or intended to be used in the following categories of new engines and 
equipment that are fueled with a volatile liquid fuel (such as gasoline, 
but not including diesel fuel), and to the equipment in which these 
components are installed, starting with the model years shown in Table 1 
to this section:
    (1) Compression-ignition engines we regulate under 40 CFR part 1039. 
This includes stationary compression-ignition engines we regulate under 
the provisions of 40 CFR part 1039, as indicated under 40 CFR part 60, 
subpart IIII. See the evaporative emission standards specified in 40 CFR 
1048.105. These engines are considered to be Large SI engines for 
purposes of this part 1060.
    (2) Marine compression-ignition engines we regulate under 40 CFR 
part 1042. See the evaporative emission standards specified in 40 CFR 
1045.112. These engines are considered to be Marine SI engines for 
purposes of this part 1060.
    (3) Marine SI engines we regulate under 40 CFR part 1045. See the 
evaporative emission standards specified in 40 CFR 1045.112.
    (4) Large SI engines we regulate under 40 CFR part 1048. This 
includes stationary spark-ignition engines subject to standards under 40 
CFR parts 1048 or 1054 as indicated in 40 CFR part 60, subpart JJJJ. See 
the evaporative emission standards specified in 40 CFR 1048.105.
    (5) Recreational vehicles and engines we regulate under 40 CFR part 
1051 (such as snowmobiles and off-highway motorcycles). This includes 
highway motorcycles subject to standards under 40 CFR part 1051 as 
indicated in 40 CFR part 86, subpart E since these motorcycles are 
considered to be recreational vehicles for purposes of this part 1060. 
See the evaporative emission standards specified in 40 CFR 1051.110.
    (6) Small SI engines we regulate under 40 CFR part 1054. See the 
evaporative emission standards specified for handheld engines in 40 CFR 
1054.110 and for nonhandheld engines in 40 CFR 1054.112.
    (7) Portable marine fuel tanks and fuel lines associated with such 
fuel tanks must meet evaporative emission standards specified in 40 CFR 
1045.112. Portable nonroad fuel tanks and fuel lines associated with 
such fuel tanks must also meet evaporative emission standards specified 
in 40 CFR 1045.112, whether or not they are used with marine vessels. 
Portable nonroad fuel tanks are considered to be portable marine fuel 
tanks for purposes of this part 1060.
    (b) The regulations in this part 1060 apply for new replacement 
components used with any of the engines or equipment specified in 
paragraph (a) of this section as described in Sec.  1060.601.
    (c) Fuel caps are subject to evaporative emission standards at the 
point of installation on a fuel tank. If a fuel cap is certified for use 
with Marine SI engines or Small SI engines under the optional standards 
of Sec.  1060.103, it is subject to all the requirements of this part 
1060 as if these optional standards were mandatory.
    (d) This part 1060 does not apply to any diesel-fueled engine or any 
other engine that does not use a volatile liquid fuel. In addition, this 
part does not apply to any engines or equipment in the following 
categories even if they use a volatile liquid fuel:
    (1) Light-duty motor vehicles (see 40 CFR part 86).
    (2) Heavy-duty motor vehicles and heavy-duty motor vehicle engines 
(see 40 CFR part 86). This part 1060 also does not apply to fuel systems 
for nonroad engines where such fuel systems are subject to part 86 
because they are part of a heavy-duty motor vehicle.
    (3) Aircraft engines (see 40 CFR part 87).
    (4) Locomotives (see 40 CFR part 92 and 1033).
    (5) Land-based nonroad diesel engines we regulate under 40 CFR part 
89.
    (6) Marine diesel engines we regulate under 40 CFR part 89, 94, or 
1042.

[[Page 7]]

    (7) Land-based spark-ignition engines at or below 19 kW that we 
regulate under 40 CFR part 90. Note that there are provisions in 40 CFR 
part 90 that reference specific portions of this part 1060.
    (8) Marine spark-ignition engines we regulate under 40 CFR part 91.
    (e) This part 1060 does not apply for fuel lines made wholly of 
metal.

                              Table 1 to Sec.   1060.1--Part 1060 Applicability \a\
----------------------------------------------------------------------------------------------------------------
      Equipment category or            Fuel line                                                 Running loss
           subcategory                permeation        Tank permeation    Diurnal emissions       emissions
----------------------------------------------------------------------------------------------------------------
Marine SI--portable marine fuel   January 1, 2009     January 1, 2011...  January 1, 2010...  Not applicable.
 tanks.                            \b\.
Marine SI--personal watercraft..  January 1, 2009...  Model year 2011...  Model year 2010...  Not applicable.
Marine SI--other vessels with     January 1, 2009     Model year 2012...  July 31, 2011.....  Not applicable.
 installed fuel tanks.             \b\.
Large SI........................  Model year 2007...  Not applicable....  Model year 2007     Model year 2007.
                                                                           (includes tank
                                                                           permeation).
Recreational vehicles...........  Model year 2008...  Model year 2008...  Not applicable....  Not applicable.
Small SI--handheld..............  Model year 2012     Model year 2010     Not applicable....  Not applicable.
                                   \c\.                \d\.
Small SI--Class I nonhandheld...  January 1, 2009...  Model year 2012...  Not applicable \e\  Model year 2012.
Small SI--Class II nonhandheld..  January 1, 2009...  Model year 2011...  Not applicable \e\  Model year 2011.
----------------------------------------------------------------------------------------------------------------
\a\ Implementation is based on the date of manufacture of the equipment. Where we do not identify a specific
  date, the emission standards start to apply at the beginning of the model year.
\b\ January 1, 2011 for primer bulbs. Standards phase in for under-cowl fuel lines on outboard engines, by
  length: 30% in 2010, 60% in 2011, 90% in 2012-2014, 100% in 2015.
\c\ 2013 for small-volume emission families that do not include cold-weather fuel lines.
\d\ 2011 for structurally integrated nylon fuel tanks and 2013 for all small-volume emission families.
\e\ Manufacturers may optionally meet diurnal standards as specified in Sec.   1060.105(e).



Sec.  1060.5  Do the requirements of this part apply to me?

    The requirements of this part are generally addressed to the 
manufacturers that are subject to this part's requirements as described 
in paragraph (a) of this section. The term ``you'' generally means the 
manufacturer or manufacturers that are subject to these requirements. 
Paragraphs (b) through (e) of this section describe which manufacturers 
may or must certify their products. (Note: Sec.  1060.601(f) allows the 
certification responsibility to be delegated in certain circumstances.)
    (a) Overall responsibilities. Manufacturers of the engines, 
equipment, and fuel-system components described in Sec.  1060.1 are 
subject to the standards and other requirements of this part 1060 except 
as otherwise noted. Multiple manufacturers may be subject to these 
standards and other requirements. For example, when a Small SI equipment 
manufacturer buys fuel line manufactured by another person and installs 
them in its equipment, both the equipment manufacturer and the fuel line 
manufacturer are subject to the standards and other requirements of this 
part. The following provisions apply in such cases:
    (1) Each person meeting the definition of manufacturer for a product 
that is subject to the standards and other requirements of this part 
must comply with such requirements. However, if one person complies with 
a specific requirement for a given product, then all manufacturers are 
deemed to have complied with that specific requirement. For example, if 
a Small SI equipment manufacturer uses fuel lines manufactured and 
certified by another company, the equipment manufacturer is not required 
to obtain a certificate with respect to the fuel line emission 
standards. Such an equipment manufacturer remains subject to the 
standards and other requirements of this part. However, where a 
provision requires a specific manufacturer to comply with certain 
provisions, this paragraph (a) does not change or modify such a 
requirement. For example, this

[[Page 8]]

paragraph (a) does not allow you to rely on another company to certify 
instead of you if we specifically require you to certify.
    (2) The requirements of subparts C and D of this part apply to the 
manufacturer that obtains the certificate of conformity. Other 
manufacturers are required to comply with the requirements of subparts C 
and D of this part only when we send notification. In our notification, 
we will specify a reasonable period for complying with the requirements 
identified in the notice. See Sec.  1060.601 for the applicability of 40 
CFR part 1068 to these other manufacturers.
    (3) Certificate holders are responsible for meeting all applicable 
requirements even if other manufacturers are also subject to those 
requirements.
    (b) Marine SI. Certify vessels, engines, and fuel-system components 
as follows:
    (1) Component manufacturers must certify their fuel lines and fuel 
tanks intended for installation with Marine SI engines and vessels under 
this part 1060, except as allowed by Sec.  1060.601(f). This includes 
permeation and diurnal emission standards.
    (2) Vessel manufacturers are subject to all the requirements of this 
part 1060 that apply to Marine SI engines and fuel systems. However, 
they must certify to the emission standards specified in Sec. Sec.  
1060.102 through 1060.105 only if one or more of the following 
conditions apply:
    (i) Vessel manufacturers must certify fuel system components they 
install in their vessels if the components are not certified to meet all 
applicable evaporative emission standards, including both permeation and 
diurnal standards. This would include vessel manufacturers that make 
their own fuel tanks. Vessel manufacturers would need to act as 
component manufacturers to certify under this part 1060.
    (ii) Vessel manufacturers must certify their vessels only if they 
intend to generate or use evaporative emission credits. Vessel 
manufacturers would certify under part 40 CFR part 1045 using the 
emission-credit provisions in subpart H of that part to demonstrate 
compliance with the emission standard.
    (3) Engine manufacturers must meet all the requirements of this part 
1060 that apply to vessel manufacturers for all fuel-system components 
they install on their engines. For example, engine manufacturers that 
install under-cowl fuel lines and fuel tanks must comply with the 
requirements specified for vessel manufacturers with respect to those 
components.
    (c) Large SI. Certify engines, equipment, and fuel-system components 
as follows:
    (1) Engine manufacturers must certify their engines under 40 CFR 
part 1048.
    (2) Equipment manufacturers and component manufacturers may certify 
fuel lines and fuel tanks intended for use with Large SI engines under 
this part 1060.
    (d) Recreational vehicles. Certify vehicles, engines and fuel-system 
components as follows:
    (1) Vehicle manufacturers must certify their vehicles under 40 CFR 
part 1051.
    (2) Engine manufacturers must meet all the requirements of 40 CFR 
part 1051 that apply to vehicle manufacturers for all fuel-system 
components they install on their engines. For example, engine 
manufacturers that install fuel-line segments on the engines they ship 
to vehicle manufacturers must comply with the requirements specified for 
equipment manufacturers with respect to those components.
    (3) Component manufacturers may certify fuel lines and fuel tanks 
intended for recreational vehicles under this part 1060.
    (e) Small SI. Certify engines, equipment, and fuel-system components 
as follows:
    (1) Component manufacturers must certify their fuel lines and fuel 
tanks intended for Small SI engines and equipment under this part 1060, 
except as allowed by Sec.  1060.601(f).
    (2) Equipment manufacturers must certify fuel system components they 
install in their equipment if the components are not certified to meet 
applicable evaporative emission standards. Equipment manufacturers would 
need to act as component manufacturers to certify fuel-system components 
under this part 1060.

[[Page 9]]

    (3) Engine manufacturers must meet all the requirements of this part 
1060 that apply to equipment manufacturers for all fuel-system 
components they install on their engines. Engine manufacturers that 
produce Small SI engines with complete fuel systems are considered the 
equipment manufacturers for those engines under this part 1060.
    (4) Equipment manufacturers must certify their equipment and are 
subject to all the requirements of this part 1060; however, this does 
not apply for equipment using portable nonroad fuel tanks.
    (f) Summary of certification responsibilities. Tables 1 through 3 of 
this section summarize the certification responsibilities for different 
kinds of manufacturers as described in paragraphs (b) through (e) of 
this section. The term ``No'' as used in the tables means that a 
manufacturer is not required to obtain a certificate of conformity under 
paragraphs (b) through (e) of this section. In situations where multiple 
manufacturers are subject to the standards and other requirements of 
this part, such a manufacturer must nevertheless certify if the 
manufacturer who is required to certify under paragraphs (b) through (e) 
of this section fails to obtain a certificate of conformity.

       Table 1 to Sec.   1060.5--Summary of Engine Manufacturer Evaporative Certification Responsibilities
----------------------------------------------------------------------------------------------------------------
                                             Is the engine manufacturer
                                              required to certify for       Code of Federal Regulations Cite for
             Equipment type               evaporative emission standards?              Certification
                                                        \a\
----------------------------------------------------------------------------------------------------------------
Marine SI...............................  No.............................
Large SI................................  Yes............................  40 CFR part 1048.
Recreational vehicles...................  No.............................
Small SI................................  No, unless engines are sold      40 CFR part 1060.
                                           with complete fuel systems.
----------------------------------------------------------------------------------------------------------------
\a\ Fuel lines and fuel tanks that are attached to or sold with engines must be covered by a certificate of
  conformity.


     Table 2 to Sec.   1060.5--Summary of Equipment Manufacturer Evaporative Certification Responsibilities
----------------------------------------------------------------------------------------------------------------
                                           Is the equipment manufacturer
             Equipment type                   required to certify for       Code of Federal Regulations Cite for
                                          evaporative emission standards?              Certification
----------------------------------------------------------------------------------------------------------------
Marine SI...............................  Yes, but only if vessel          40 CFR part 1060.\a\
                                           manufacturers install
                                           uncertified fuel lines or fuel
                                           tanks, or they intend to
                                           generate or use evaporative
                                           emission credits.
Large SI................................  Allowed but not required.......  40 CFR part 1060.
Recreational vehicles...................  Yes, even if vehicle             40 CFR part 1051.
                                           manufacturers install
                                           certified components.
Small SI................................  Yes, unless the equipment uses   40 CFR part 1060.\a\
                                           portable nonroad fuel tanks.
----------------------------------------------------------------------------------------------------------------
\a\ See the exhaust standard-setting part for provisions related to generating or using evaporative emission
  credits.


           Table 3 of Sec.   1060.5--Summary of Component Manufacturer Certification Responsibilities
----------------------------------------------------------------------------------------------------------------
                                           Is the component manufacturer
             Equipment type                required to certify fuel lines   Code of Federal Regulations Cite for
                                                  and fuel tanks?                      Certification
----------------------------------------------------------------------------------------------------------------
Marine SI...............................  Yes, including portable marine   40 CFR part 1060.
                                           fuel tanks and associated fuel
                                           lines \a\.
Large SI................................  Allowed but not required.......  40 CFR part 1060.
Recreational vehicles...................  Allowed but not required.......  40 CFR part 1060.
Small SI................................  Yes \a\........................  40 CFR part 1060.
----------------------------------------------------------------------------------------------------------------
\a\ See Sec.   1060.601 for an allowance to make contractual arrangements with engine or equipment manufacturers
  instead of certifying.


[73 FR 59298, Oct. 8, 2008, as amended at 80 FR 9115, Feb. 19, 2015]



Sec.  1060.10  How is this part organized?

    This part 1060 is divided into the following subparts:
    (a) Subpart A of this part defines the applicability of part 1060 
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

[[Page 10]]

equipment or components under this part. Note that Sec.  1060.110 
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 the requirements related to 
verifying that products are being produced as described in an approved 
application for certification.
    (e) Subpart E of this part describes the requirements related to 
verifying that products are meeting the standards in use.
    (f) Subpart F of this part describes how to measure evaporative 
emissions.
    (g) Subpart G of this part and 40 CFR part 1068 describe 
requirements, prohibitions, and other provisions that apply to 
manufacturers, owners, operators, and all others.
    (h) Subpart H of this part describes how to certify your equipment 
or components for inclusion in an emission averaging program allowed by 
an exhaust standard-setting part.
    (i) Subpart I of this part contains definitions and other reference 
information.



Sec.  1060.15  Do any other CFR parts apply to me?

    (a) There is a separate part of the CFR that includes exhaust 
emission requirements for each particular application, as described in 
Sec.  1060.1(a). We refer to these as the exhaust standard-setting 
parts. In cases where an exhaust standard-setting part includes 
evaporative requirements, apply this part 1060 as specified in the 
exhaust standard-setting part, as follows:
    (1) The requirements in the exhaust standard-setting part may differ 
from the requirements in this part. In cases where it is not possible to 
comply with both the exhaust standard-setting part and this part, you 
must comply with the requirements in the exhaust standard-setting part. 
The exhaust standard-setting part may also allow you to deviate from the 
procedures of this part for other reasons.
    (2) The exhaust standard-setting parts may reference some sections 
of this part 1060 or may allow or require certification under this part 
1060. See the exhaust standard-setting parts to determine what 
provisions of this part 1060 apply for these equipment types.
    (b) The requirements and prohibitions of part 1068 of this chapter 
apply to everyone, including anyone who manufactures, imports, owns, 
operates, or services any of the fuel systems subject to this part 1060. 
Part 1068 of this chapter describes general provisions, including the 
following areas:
    (1) Prohibited acts and penalties for engine manufacturers, 
equipment manufacturers, and others.
    (2) Exclusions and exemptions for certain products.
    (3) Importing products.
    (4) Defect reporting and recall.
    (5) Procedures for hearings.
    (c) Other parts of this chapter apply if referenced in this part.



Sec.  1060.30  Submission of information.

    (a) This part includes various requirements to record data or other 
information. Refer to Sec.  1060.825, 40 CFR 1068.25, and the exhaust 
standard-setting part regarding recordkeeping requirements. If 
recordkeeping requirements are not specified, 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.
    (b) The regulations in Sec.  1060.255 and 40 CFR 1068.101 describe 
your obligation to report truthful and complete information and the 
consequences of failing to meet this obligation. This includes 
information not related to certification.
    (c) Send all reports and requests for approval to the Designated 
Compliance Officer (see Sec.  1060.801).
    (d) Any written information we require you to send to or receive 
from another company is deemed to be a required record under this 
section. Such records are also deemed to be submissions to EPA. We may 
require you to send us these records whether or not you are a 
certificate holder.

[[Page 11]]



          Subpart B_Emission Standards and Related Requirements



Sec.  1060.101  What evaporative emission requirements apply under this part?

    Products subject to this part must meet emission standards and 
related requirements as follows:
    (a) Section 1060.102 describes permeation emission control 
requirements for fuel lines.
    (b) Section 1060.103 describes permeation emission control 
requirements for fuel tanks.
    (c) Section 1060.104 describes running loss emission control 
requirements for fuel systems.
    (d) Section 1060.105 describes diurnal emission control requirements 
for fuel tanks.
    (e) The following general requirements apply for components and 
equipment subject to the emission standards in Sec. Sec.  1060.102 
through 1060.105:
    (1) Adjustable parameters. Components or equipment with adjustable 
parameters must meet all the requirements of this part for any 
adjustment in the physically adjustable range.
    (2) Prohibited controls. The following controls are prohibited:
    (i) For anyone to design, manufacture, or install emission control 
systems so they cause or contribute to an unreasonable risk to public 
health, welfare, or safety while operating.
    (ii) For anyone to design, manufacture, or install emission control 
systems with features that disable, deactivate, or bypass the emission 
controls, either actively or passively. For example, you may not include 
a manual vent that the operator can open to bypass emission controls. 
You may ask us to allow such features if needed for safety reasons or if 
the features are fully functional during emission tests described in 
subpart F of this part.
    (3) Emission credits. Equipment manufacturers are allowed to comply 
with the emission standards in this part using evaporative emission 
credits only if the exhaust standard-setting part explicitly allows it 
for evaporative emissions. See the exhaust standard-setting part and 
subpart H of this part for information about complying with evaporative 
emission credits. For equipment manufacturers to generate or use 
evaporative emission credits, components must be certified to a family 
emission limit, which serves as the standard for those components.
    (f) This paragraph (f) specifies requirements that apply to 
equipment manufacturers subject to requirements under this part, whether 
or not they are subject to and certify to any of the emission standards 
in Sec. Sec.  1060.102 through 1060.105. Equipment manufacturers meeting 
these requirements will be deemed to be certified as in conformity with 
the requirements of this paragraph (f) without submitting an application 
for certification, as follows:
    (1) Fuel caps, vents, and carbon canisters. You are responsible for 
ensuring that proper caps and vents are installed on each new piece of 
equipment that is subject to emission standards under this part. The 
following particular requirements apply to equipment that is subject to 
running loss or diurnal emission standards, including portable marine 
fuel tanks:
    (i) All equipment must have a tethered fuel cap. Fuel caps must also 
include a visual, audible, or other physical indication that they have 
been properly sealed.
    (ii) You may not add vents unless they are specified in or allowed 
by the applicable certificates of conformity.
    (iii) If the emission controls rely on carbon canisters, they must 
be installed in a way that prevents exposing the carbon to water or 
liquid fuel.
    (2) Fuel-line fittings. The following requirements apply for fuel-
line fittings that will be used with fuel lines that must meet 
permeation emission standards:
    (i) Use good engineering judgment to ensure that all fuel-line 
fittings will remain securely connected to prevent fuel leakage 
throughout the useful life of the equipment.
    (ii) Fuel lines that are intended to be detachable (such as those 
for portable marine fuel tanks) must be self-sealing when detached from 
the fuel tank or engine.
    (3) Refueling. For any equipment using fuel tanks that are subject 
to diurnal or permeation emission standards under this part, you must 
design

[[Page 12]]

and build your equipment such that operators can reasonably be expected 
to fill the fuel tank without spitback or spillage during the refueling 
event. The following examples illustrate designs that meet this 
requirement:
    (i) Equipment that is commonly refueled using a portable gasoline 
container should have a fuel tank inlet that is larger than a typical 
dispensing spout. The fuel tank inlet should be located so the operator 
can place the nozzle directly in the fuel tank inlet and see the fuel 
level in the tank while pouring the fuel from an appropriately sized 
refueling container (either through the tank wall or the fuel tank 
inlet). We will deem you to comply with the requirements of this 
paragraph (f)(3)(i) if you design your equipment to meet applicable 
industry standards related to fuel tank inlets.
    (ii) Marine SI vessels with a filler neck extending to the side of 
the boat should be designed for automatic fuel shutoff. Alternatively, 
the filler neck should be designed such that the orientation of the 
filler neck allows dispensed fuel that collects in the filler neck to 
flow back into the fuel tank. A filler neck that ends with a horizontal 
or nearly horizontal segment at the opening where fuel is dispensed 
would not be an acceptable design.
    (g) Components and equipment must meet the standards specified in 
this part throughout the applicable useful life. Where we do not specify 
procedures for demonstrating the durability of emission controls, use 
good engineering judgment to ensure that your products will meet the 
standards throughout the useful life. The useful life is one of the 
following values:
    (1) The useful life in years specified for the components or 
equipment in the exhaust standard-setting part.
    (2) The useful life in years specified for the engine in the exhaust 
standard-setting part if the exhaust standards are specified for the 
engine rather than the equipment and there is no useful life given for 
components or equipment.
    (3) Five years if no useful life is specified in years for the 
components, equipment, or engines in the exhaust standard-setting part.



Sec.  1060.102  What permeation emission control requirements 
apply for fuel lines?

    (a) Nonmetal fuel lines must meet permeation requirements as 
follows:
    (1) Marine SI fuel lines, including fuel lines associated with 
outboard engines or portable marine fuel tanks, must meet the permeation 
requirements in this section.
    (2) Large SI fuel lines must meet the permeation requirements 
specified in 40 CFR 1048.105.
    (3) Fuel lines for recreational vehicles must meet the permeation 
requirements specified in 40 CFR 1051.110 or in this section.
    (4) Small SI fuel lines must meet the permeation requirements in 
this section, unless they are installed in equipment certified to meet 
diurnal emission standards under Sec.  1060.105(e).
    (b) Different categories of nonroad equipment are subject to 
different requirements with respect to fuel line permeation. Fuel lines 
are classified based on measured emissions over the test procedure 
specified for the class.
    (c) The regulations in 40 CFR part 1048 require that fuel lines used 
with Large SI engines must meet the standards for EPA Low-Emission Fuel 
Lines. The regulations in 40 CFR part 1054 require that fuel lines used 
with handheld Small SI engines installed in cold-weather equipment must 
meet the standards for EPA Cold-Weather Fuel Lines. Unless specified 
otherwise in this subchapter U, fuel lines used with all other engines 
and equipment subject to the provisions of this part 1060, including 
fuel lines associated with outboard engines or portable marine fuel 
tanks, must meet the standards for EPA Nonroad Fuel Lines.
    (d) The following standards apply for each fuel line classification:
    (1) EPA Low-Emission Fuel Lines must have permeation emissions at or 
below 10 g/m\2\/day when measured according to the test procedure 
described in Sec.  1060.510. Fuel lines that comply with this emission 
standard are deemed to comply with all the emission standards specified 
in this section.
    (2) EPA Nonroad Fuel Lines must have permeation emissions at or 
below 15 g/m\2\/day when measured according

[[Page 13]]

to the test procedure described in Sec.  1060.515.
    (3) EPA Cold-Weather Fuel Lines must meet the following permeation 
emission standards when measured according to the test procedure 
described in Sec.  1060.515:

  Table 1 to Sec.   1060.102--Permeation Standards for EPA Cold-Weather
                               Fuel Lines
------------------------------------------------------------------------
                                                           Standard (g/
                       Model year                            m\2\/day)
------------------------------------------------------------------------
2012....................................................             290
2013....................................................             275
2014....................................................             260
2015....................................................             245
2016 and later..........................................             225
------------------------------------------------------------------------

    (e) You may certify fuel lines as follow:
    (1) You may certify straight-run fuel lines as sections of any 
length.
    (2) You may certify molded fuel lines in any configuration 
representing your actual production, subject to the provisions for 
selecting a worst-case configuration in Sec.  1060.235(b).
    (3) You may certify fuel line assemblies as aggregated systems that 
include multiple sections of fuel line with connectors and fittings. For 
example, you may certify fuel lines for portable marine fuel tanks as 
assemblies of fuel hose, primer bulbs, and self-sealing end connections. 
The length of such an assembly must not be longer than a typical in-use 
installation and must always be less than 2.5 meters long. You may also 
certify primer bulbs separately. The standard applies with respect to 
the total permeation emissions divided by the wetted internal surface 
area of the assembly. Where it is not practical to determine the actual 
internal surface area of the assembly, you may assume that the internal 
surface area per unit length of the assembly is equal to the ratio of 
internal surface area per unit length of the hose section of the 
assembly.

[73 FR 59298, Oct. 8, 2008, as amended at 74 FR 8426, Feb. 24, 2009]



Sec.  1060.103  What permeation emission control requirements 
apply for fuel tanks?

    (a) Fuel tanks must meet permeation requirements as follows:
    (1) Marine SI fuel tanks, including engine-mounted fuel tanks and 
portable marine fuel tanks, must meet the permeation requirements in 
this section.
    (2) Large SI fuel tanks must meet diurnal emission standards as 
specified in Sec.  1060.105, which includes measurement of permeation 
emissions. No separate permeation standard applies.
    (3) Fuel tanks for recreational vehicles must meet the permeation 
requirements specified in 40 CFR 1051.110 or in this section.
    (4) Small SI fuel tanks must meet the permeation requirements in 
this section unless they are installed in equipment certified to meet 
diurnal emission standards under Sec.  1060.105(e).
    (b) Permeation emissions from fuel tanks may not exceed 1.5 g/m\2\/
day when measured at a nominal temperature of 28 [deg]C with the test 
procedures for tank permeation in Sec.  1060.520. You may also choose to 
meet a standard of 2.5 g/m\2\/day if you perform testing at a nominal 
temperature of 40 [deg]C under Sec.  1060.520(d).
    (c) The exhaust standard-setting part may allow for certification of 
fuel tanks to a family emission limit for calculating evaporative 
emission credits as described in subpart H of this part instead of 
meeting the emission standards in this section.
    (d) For purposes of this part, fuel tanks do not include fuel lines 
that are subject to Sec.  1060.102, petcocks designed for draining fuel, 
grommets used with fuel lines, or grommets used with other hose or 
tubing excluded from the definition of ``fuel line.'' Fuel tanks include 
other fittings (such as fuel caps, gaskets, and O-rings) that are 
directly mounted to the fuel tank.
    (e) Fuel caps may be certified separately relative to the permeation 
emission standard in paragraph (b) of this section using the test 
procedures specified in Sec.  1060.521. Fuel caps certified alone do not 
need to meet the emission standard. Rather, fuel caps would be certified 
with a Family Emission Limit, which is used for demonstrating that fuel 
tanks meet the emission standard as described in Sec.  1060.520(b)(5). 
For the purposes of this paragraph (e), gaskets or O-rings that are 
produced as part of an assembly with the fuel cap are considered part of 
the fuel cap.

[[Page 14]]

    (f) Metal fuel tanks that meet the permeation criteria in Sec.  
1060.240(d)(2) or use certified nonmetal fuel caps will be deemed to be 
certified as in conformity with the requirements of this section without 
submitting an application for certification.

[73 FR 59298, Oct. 8, 2008, as amended at 74 FR 8427, Feb. 24, 2009; 75 
FR 23026, Apr. 30, 2010]



Sec.  1060.104  What running loss emission control requirements apply?

    (a) Engines and equipment must meet running loss requirements as 
follows:
    (1) Marine SI engines and vessels are not subject to running loss 
emission standards.
    (2) Large SI engines and equipment must prevent fuel boiling during 
operation as specified in 40 CFR 1048.105.
    (3) Recreational vehicles are not subject to running loss emission 
standards.
    (4) Nonhandheld Small SI engines and equipment that are not used in 
wintertime equipment must meet running loss requirements described in 
this section. Handheld Small SI engines and equipment are not subject to 
running loss emission standards.
    (b) You must demonstrate control of running loss emissions in one of 
the following ways if your engines or equipment are subject to the 
requirements of this section:
    (1) Route running loss emissions into the engine intake system so 
fuel vapors vented from the tank during engine operation are combusted 
in the engine. This may involve routing vapors through a carbon 
canister. If another company has certified the engine with respect to 
exhaust emissions, state in your application for certification that you 
have followed the engine manufacturer's installation instructions.
    (2) Use a fuel tank that remains sealed under normal operating 
conditions. This may involve a bladder or other means to prevent 
pressurized fuel tanks.
    (3) Get an approved Executive Order from the California Air 
Resources Board showing that your system meets applicable running loss 
standards in California.
    (c) If you are subject to both running loss and diurnal emission 
standards, use good engineering judgment to ensure that the emission 
controls are compatible.



Sec.  1060.105  What diurnal requirements apply for equipment?

    (a) Fuel tanks must meet diurnal emission requirements as follows:
    (1) Marine SI fuel tanks, including engine-mounted fuel tanks and 
portable marine fuel tanks, must meet the requirements related to 
diurnal emissions specified in this section.
    (2) Large SI fuel tanks must meet the requirements related to 
diurnal emissions specified in 40 CFR 1048.105.
    (3) Recreational vehicles are not subject to diurnal emission 
standards.
    (4) Small SI fuel tanks are not subject to diurnal emission 
standards, except as specified in paragraph (e) of this section.
    (b) Diurnal emissions from Marine SI fuel tanks may not exceed 0.40 
g/gal/day when measured using the test procedures specified in Sec.  
1060.525 for general fuel temperatures. An alternative standard of 0.16 
g/gal/day applies for fuel tanks installed in nontrailerable boats when 
measured using the corresponding fuel temperature profile in Sec.  
1060.525. Portable marine fuel tanks are not subject to the requirements 
of this paragraph (b), but must instead comply with the requirements of 
paragraphs (c) and (d) of this section.
    (c) Portable marine fuel tanks and associated fuel-system components 
must meet the following requirements:
    (1) They must be self-sealing when detached from the engines. The 
tanks may not vent to the atmosphere when attached to an engine. An 
integrated or external manually activated device may be included in the 
fuel tank design to temporarily relieve pressure before refueling or 
connecting the fuel tank to the engine. However, the default setting for 
such a vent must be consistent with the requirement in paragraph (c)(2) 
of this section.
    (2) They must remain sealed up to a positive pressure of 24.5 kPa 
(3.5 psig); however, they may contain air inlets that open when there is 
a vacuum pressure inside the tank. Such fuel tanks may not contain air 
outlets that vent to the atmosphere at pressures below 34.5 kPa (5.0 
psig).

[[Page 15]]

    (d) Detachable fuel lines that are intended for use with portable 
marine fuel tanks must have connection points that are self-sealing when 
not attached to the engine or fuel tank.
    (e) Manufacturers of nonhandheld Small SI equipment may optionally 
meet the diurnal emission standards adopted by the California Air 
Resources Board in the Final Regulation Order, Article 1, Chapter 15, 
Division 3, Title 13, California Code of Regulations, July 26, 2004 
(incorporated by reference in Sec.  1060.810). To meet this requirement, 
equipment must be certified to the performance standards specified in 
Title 13 CCR Sec.  2754(a) based on the applicable requirements 
specified in CP-902 and TP-902, including the requirements related to 
fuel caps in Title 13 CCR Sec.  2756. Equipment certified under this 
paragraph (e) does not need to use fuel lines or fuel tanks that have 
been certified separately. Equipment certified under this paragraph (e) 
are subject to all the referenced requirements as if these 
specifications were mandatory.
    (f) The following general provisions apply for controlling diurnal 
emissions:
    (1) If you are subject to both running loss and diurnal emission 
standards, use good engineering judgment to ensure that the emission 
controls are compatible.
    (2) You may not use diurnal emission controls that increase the 
occurrence of fuel spitback or spillage during in-use refueling. Also, 
if you use a carbon canister, you must incorporate design features that 
prevent liquid gasoline from reaching the canister during refueling or 
as a result of fuel sloshing or fuel expansion.
    (3) You must meet the following provisions from ABYC H-25, July 2010 
(incorporated by reference in Sec.  1060.810) with respect to portable 
marine fuel tanks:
    (i) Provide information related to the pressure relief method 
(25.8.2.1 and 25.8.2.1.1).
    (ii) Perform system testing (25.10 through 25.10.5).

[73 FR 59298, Oct. 8, 2008, as amended at 74 FR 8427, Feb. 24, 2009; 75 
FR 56482, Sept. 16, 2010]



Sec.  1060.120  What emission-related warranty requirements apply?

    (a) General requirements. The certifying manufacturer must warrant 
to the ultimate purchaser and each subsequent purchaser that the new 
nonroad equipment, including its evaporative 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 two years from the point of first retail sale.
    (c) Components covered. The emission-related warranty covers all 
components whose failure would increase the evaporative emissions, 
including those listed in 40 CFR part 1068, Appendix I, and those from 
any other system you develop to control emissions. Your emission-related 
warranty does not cover components whose failure would not increase 
evaporative emissions.
    (d) Relationships between manufacturers. (1) The emission-related 
warranty required for equipment manufacturers that certify equipment 
must cover all specified components even if another company produces the 
component.
    (2) Where an equipment manufacturer fulfills a warranty obligation 
for a given component, the component manufacturer is deemed to have also 
met that obligation.



Sec.  1060.125  What maintenance instructions must I give to buyers?

    Give ultimate purchasers written instructions for properly 
maintaining and using the emission control system. You may not specify 
any maintenance more frequently than once per year. For example, if you 
produce cold-weather equipment that requires replacement of fuel cap 
gaskets or O-rings, provide clear instructions to the ultimate 
purchaser, including the required replacement interval.

[[Page 16]]



Sec.  1060.130  What installation instructions must I give 
to equipment manufacturers?

    (a) If you sell a certified fuel-system component for someone else 
to install in equipment, give the installer instructions for installing 
it consistent with the requirements of this part.
    (b) Make sure the instructions have the following information:
    (1) Include the heading: ``Emission-related installation 
instructions''.
    (2) State: ``Failing to follow these instructions when installing 
[IDENTIFY COMPONENT(S)] 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 any limits on the range of applications needed to 
ensure that the component operates consistently with your application 
for certification. For example:
    (i) For fuel tanks sold without fuel caps, you must specify the 
requirements for the fuel cap, such as the allowable materials, thread 
pattern, how it must seal, etc. You must also include instructions to 
tether the fuel cap as described in Sec.  1060.101(f)(1) if you do not 
sell your fuel tanks with tethered fuel caps.
    (ii) If your fuel lines do not meet permeation standards specified 
in Sec.  1060.102 for EPA Low-Emission Fuel Lines, tell equipment 
manufacturers not to install the fuel lines with Large SI engines that 
operate on gasoline or another volatile liquid fuel.
    (4) Describe instructions for installing components so they will 
operate according to design specifications in your application for 
certification. Specify sufficient detail to ensure that the equipment 
will meet the applicable standards when your component is installed.
    (5) If you certify a component with a family emission limit above 
the emission standard, be sure to indicate that the equipment 
manufacturer must have a source of credits to offset the higher 
emissions. Also indicate the applications for which the regulations 
allow for compliance using evaporative emission credits.
    (6) Instruct the equipment manufacturers that they must comply with 
the requirements of Sec.  1060.202.
    (c) You do not need installation instructions for components 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, provided you keep a copy of these instructions 
in your records. 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.  1060.135  How must I label and identify the engines 
and equipment I produce?

    The labeling requirements of this section apply for all equipment 
manufacturers and for engine manufacturers that certify with respect to 
evaporative emissions. See Sec.  1060.137 for the labeling requirements 
that apply separately for fuel lines, fuel tanks, and other fuel-system 
components.
    (a) You must affix a permanent and legible label identifying each 
engine or piece of equipment before introducing it into U.S. commerce. 
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 or equipment needed for normal 
operation and not normally requiring replacement.
    (3) Durable and readable for the equipment's entire life.
    (4) Written in English.
    (5) Readily visible in the final installation. It may be under a 
hinged door or other readily opened cover. It may not be hidden by any 
cover attached with screws or any similar designs. Labels on marine 
vessels (except personal watercraft) must be visible from the helm.
    (b) If you hold a certificate for your engine or equipment with 
respect to evaporative emissions, the engine or equipment label 
specified in paragraph (a) of this section must--

[[Page 17]]

    (1) Include the heading ``EMISSION CONTROL INFORMATION''.
    (2) Include your corporate name and trademark. You may identify 
another company and use its trademark instead of yours if you comply 
with the provisions of Sec.  1060.640.
    (3) State the date of manufacture [MONTH and YEAR] of the equipment; 
however, you may omit this from the label if you stamp or engrave it on 
the equipment.
    (4) State: ``THIS EQUIPMENT [or VEHICLE or BOAT] MEETS U.S. EPA EVAP 
STANDARDS.''
    (5) Identify the certified fuel-system components installed on the 
equipment as described in this paragraph (b)(5). Establish a component 
code for each certified fuel-system component, including those certified 
by other companies. You may use part numbers, certification numbers, or 
any other unique code that you or the certifying component manufacturer 
establish. This identifying information must correspond to printing or 
other labeling on each certified fuel-system component, whether you or 
the component manufacturer certifies the individual component. You may 
identify multiple part numbers if your equipment design might include an 
option to use more than one component design (such as from multiple 
component manufacturers). Use one of the following methods to include 
information on the label that identifies certified fuel-system 
components:
    (i) Use the component codes to identify each certified fuel-system 
component on the label specified in this paragraph (b).
    (ii) Identify the emission family on the label using EPA's 
standardized designation or an abbreviated equipment code that you 
establish in your application for certification. Equipment manufacturers 
that also certify their engines with respect to exhaust emissions may 
use the same emission family name for both exhaust and evaporative 
emissions. If you use the provisions of this paragraph (b)(5)(ii), you 
must identify all the certified fuel-system components and the 
associated component codes in your application for certification. In 
this case the label specified in this paragraph (b) may omit the 
information related to specific fuel-system components.
    (c) If you produce equipment without certifying with respect to 
evaporative emissions, the equipment label specified in paragraph (a) of 
this section must--
    (1) State: ``MEETS U.S. EPA EVAP STANDARDS USING CERTIFIED 
COMPONENTS.''
    (2) Include your corporate name.
    (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 California 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) Anyone subject to the labeling requirements in this part 1060 
may ask us to approve modified labeling requirements if it is necessary 
or appropriate. We will approve the request if the alternate label is 
consistent with the requirements of this part.

[73 FR 59298, Oct. 8, 2008, as amended at 75 FR 23026, Apr. 30, 2010]



Sec.  1060.137  How must I label and identify the fuel-system components 
I produce?

    The requirements of this section apply for manufacturers of fuel-
system components subject to emission standards under this part 1060. 
However, these requirements do not apply if you produce fuel-system 
components that will be covered by a certificate of conformity from 
another company under Sec.  1060.601(f). These requirements also do not 
apply for components you certify if you also certify the equipment in 
which the component is installed and meet the labeling requirements in 
Sec.  1060.135.

[[Page 18]]

    (a) Label the components identified in this paragraph (a), unless 
the components are too small to be properly labeled. Unless we approve 
otherwise, we consider parts large enough to be properly labeled if they 
have space for 12 characters in six-point font (approximately 2 mm x 12 
mm). For these small parts, you may omit the label as long as you 
identify those part numbers in your maintenance and installation 
instructions.
    (1) All fuel tanks, except for metal fuel tanks that are deemed 
certified under Sec.  1060.103(f).
    (2) Fuel lines. This includes primer bulbs unless they are excluded 
from the definition of ``fuel line'' under the standard-setting part. 
Label primer bulbs separately.
    (3) Carbon canisters.
    (4) Fuel caps, as described in this paragraph (a)(4). Fuel caps must 
be labeled if they are separately certified under Sec.  1060.103 or if 
the diurnal control system requires that the fuel tank hold pressure. 
Fuel caps must also be labeled if they are mounted directly on the fuel 
tank, unless the fuel tank is certified based on a worst-case fuel cap.
    (5) Replaceable pressure-relief assemblies. This does not apply if 
the component is integral to the fuel tank or fuel cap.
    (6) Other components we determine to be critical to the proper 
functioning of evaporative emission controls.
    (b) Label your certified fuel-system components at the time of 
manufacture. The label must be--
    (1) Attached so it is not removable without being destroyed or 
defaced. This may involve printing directly on the product. For molded 
products, you may use the mold to apply the label.
    (2) Durable and readable for the equipment's entire life.
    (3) Written in English.
    (c) Except as specified in paragraph (d) of this section, you must 
create the label specified in paragraph (b) of this section as follows:
    (1) Include your corporate name. You may identify another company 
instead of yours if you comply with the provisions of Sec.  1054.640.
    (2) Include EPA's standardized designation for the emission family.
    (3) State: ``EPA COMPLIANT''.
    (4) Fuel tank labels must identify the FEL, if applicable.
    (5) Fuel line labels must identify the applicable permeation level. 
This may involve any of the following approaches:
    (i) Identify the applicable numerical emission standard (such as 15 
g/m \2\/day).
    (ii) Identify the applicable emission standards using EPA 
classifications (such as EPA Nonroad Fuel Lines).
    (iii) Identify the applicable industry standard specification (such 
as SAE J30 R12).
    (6) Fuel line labels must be continuous, with no more than 12 inches 
before repeating. We will consider labels to be continuous if the space 
between repeating segments is no longer than that of the repeated 
information. You may add a continuous stripe or other pattern to help 
identify the particular type or grade of your products.
    (d) You may create an abbreviated label for your components. Such a 
label may rely on codes to identify the component. The code must at a 
minimum identify the certification status, your corporate name, and the 
emission family. For example, XYZ Manufacturing may label its fuel lines 
as ``EPA-XYZ-A15'' to designate that their ``A15'' family was certified 
to meet EPA's 15 g/m \2\/day standard. If you do this, you must describe 
the abbreviated label in your application for certification and identify 
all the associated information specified in paragraph (c) of this 
section.
    (e) You may ask us to approve modified labeling requirements in this 
section as described in Sec.  1060.135(e).

[73 FR 59298, Oct. 8, 2008, as amended at 75 FR 23026, Apr. 30, 2010]



                 Subpart C_Certifying Emission Families



Sec.  1060.201  What are the general requirements for obtaining 
a certificate of conformity?

    Manufacturers of engines, equipment, or fuel-system components may 
need to certify their products with respect to evaporative emission 
standards as described in Sec. Sec.  1060.1 and 1060.601. See Sec.  
1060.202 for requirements related to

[[Page 19]]

certifying with respect to the requirements specified in Sec.  
1060.101(f). The following general requirements apply for obtaining a 
certificate of conformity:
    (a) You must send us a separate application for a certificate of 
conformity for each emission family. A certificate of conformity for 
equipment 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. A certificate of conformity for a component is valid 
starting with the indicated effective date but it is not valid for any 
production after the end of the production period 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.  1060.255).
    (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.  1060.250. For example, equipment manufacturers might use only 
components that are certified by other companies to meet applicable 
emission standards, in which case we would not require submission of 
emission data already submitted by the component manufacturer.
    (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.  1060.255 for provisions describing how we will process 
your application.
    (g) We may specify streamlined procedures for small-volume equipment 
manufacturers.



Sec.  1060.202  What are the certification requirements related to 
the general standards in Sec.  1060.101?

    Equipment manufacturers must ensure that their equipment is 
certified with respect to the general standards specified in Sec.  
1060.101(f) as follows:
    (a) If Sec.  1060.5 requires you to certify your equipment to any of 
the emission standards specified in Sec. Sec.  1060.102 through 
1060.105, describe in your application for certification how you will 
meet the general standards specified in Sec.  1060.101(f).
    (b) If Sec.  1060.5 does not require you to certify your equipment 
to any of the emission standards specified in Sec. Sec.  1060.102 
through 1060.105, your equipment is deemed to be certified with respect 
to the general standards specified in Sec.  1060.101(f) if you design 
and produce your equipment to meet those standards.
    (1) You must keep records as described in Sec.  1060.210. The other 
provisions of this part for certificate holders apply only as specified 
in Sec.  1060.5.
    (2) Your equipment is deemed to be certified only to the extent that 
it meets the general standards in Sec.  1060.101(f). Thus, it is a 
violation of 40 CFR 1068.101(a)(1) to introduce into U.S. commerce such 
equipment that does not meet applicable requirements under Sec.  
1060.101(f).
    (c) Instead of relying on paragraph (b) of this section, you may 
submit an application for certification and obtain a certificate from 
us. The provisions of this part apply in the same manner for 
certificates issued under this paragraph (c) as for any other 
certificate issued under this part.



Sec.  1060.205  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.  
1060.201(c). We may require you to provide additional information to 
evaluate your application.
    (a) Describe the emission family's specifications and other basic 
parameters of the emission controls. Describe how you meet the running 
loss emission control requirements in Sec.  1060.104, if applicable. 
Describe how you meet any applicable equipment-based requirements of 
Sec.  1060.101(e) and (f). State whether you are requesting 
certification for gasoline or some other fuel type. List each 
distinguishable configuration in the emission family.
    (b) Describe the products you selected for testing and the reasons 
for selecting them.
    (c) Describe the test equipment and procedures that you used, 
including

[[Page 20]]

any special or alternate test procedures you used (see Sec.  1060.501).
    (d) List the specifications of the test fuel to show that it falls 
within the required ranges specified in subpart F of this part.
    (e) State the equipment applications to which your certification is 
limited. For example, if your fuel system meets the emission 
requirements of this part applicable only to handheld Small SI 
equipment, state that the requested certificate would apply only for 
handheld Small SI equipment.
    (f) Identify the emission family's useful life.
    (g) Include the maintenance instructions you will give to the 
ultimate purchaser of each new nonroad engine (see Sec.  1060.125).
    (h) Include the emission-related installation instructions you will 
provide if someone else will install your component in a piece of 
nonroad equipment (see Sec.  1060.130).
    (i) Describe your emission control information label (see Sec. Sec.  
1060.135 and 1060.137).
    (j) Identify the emission standards or FELs to which you are 
certifying the emission family.
    (k) Present emission data to show your products meet the applicable 
emission standards. Note that Sec. Sec.  1060.235 and 1060.240 allow you 
to submit an application in certain cases without new emission data.
    (l) State that your product was tested as described in the 
application (including the test procedures, test parameters, and test 
fuels) to show you meet the requirements of this part. If you did not do 
the testing, identify the source of the data.
    (m) 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. We may ask you to send other information to 
confirm that your tests were valid under the requirements of this part.
    (n) Unconditionally certify that all the products in the emission 
family comply with the requirements of this part, other referenced parts 
of the CFR, and the Clean Air Act.
    (o) 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.
    (p) Include other applicable information, such as information 
required by other subparts of this part.
    (q) 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.



Sec.  1060.210  What records should equipment manufacturers keep 
if they do not apply for certification?

    If you are an equipment manufacturer that does not need to obtain a 
certificate of conformity for your equipment as described in Sec.  
1060.5, you must keep the records specified in this section to document 
compliance with applicable requirements. We may review these records at 
any time. If we ask, you must send us these records within 30 days. You 
must keep these records for eight years from the end of the model year.
    (a) Identify your equipment models and the annual U.S.-directed 
production volumes for each model.
    (b) Identify the emission family names of the certificates that will 
cover your equipment, the part numbers of those certified components, 
and the names of the companies that hold the certificates. You must be 
able to identify this information for each piece of equipment you 
produce.
    (c) Describe how you comply with any emission-related installation 
instructions, labeling requirements, and the general standards in Sec.  
1060.101(e) and (f).



Sec.  1060.225  How do I amend my application for certification?

    Before we issue a certificate of conformity, you may amend your 
application to include new or modified 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 configurations within the scope of

[[Page 21]]

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 configuration to an emission family. In this case, the 
configuration added must be consistent with other configurations in the 
emission family with respect to the criteria listed in Sec.  1060.230.
    (2) Change a configuration already included in an emission 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 equipment's lifetime.
    (3) Modify an FEL for an emission family as described in paragraph 
(f) of this section. Note however that component manufacturers may not 
modify an FEL for their products unless they submit a separate 
application for a new emission family.
    (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 configuration 
you intend to make.
    (2) Include engineering evaluations or data showing that the amended 
emission family complies with all applicable requirements. You may do 
this by showing that the original emission data are still appropriate 
for showing that the amended family complies with all applicable 
requirements.
    (3) If the original emission data for the emission family are not 
appropriate to show compliance for the new or modified configuration, 
include new test data showing that the new or modified configuration 
meets the requirements of this part.
    (c) We may ask for more test data or engineering evaluations. Within 
30 days after we make our request, you must provide the information or 
describe your plan for providing it in a timely manner.
    (d) For emission families already covered by a certificate of 
conformity, we will determine whether the existing certificate of 
conformity covers your new or modified configuration. You may ask for a 
hearing if we deny your request (see Sec.  1060.820).
    (e) For emission families already covered by a certificate of 
conformity, you may start producing the new or modified 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 configurations do not meet applicable requirements, we 
will notify you to cease production of the configurations and may 
require you to recall the equipment at no expense to the owner. Choosing 
to produce equipment under this paragraph (e) is deemed to be consent to 
recall all equipment 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 we request under 
paragraph (c) of this section within 30 days after we request it, you 
must stop producing the new or modified equipment.
    (f) If you hold a certificate of conformity for equipment and you 
have certified the fuel tank that you install in the equipment, you may 
ask us to approve a change to your FEL after the start of production. 
The changed FEL may not apply to equipment 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 identify 
the date or serial number for applying the new FEL. If you identify this 
by month and year, we will consider that a lowered FEL applies on the 
last day of the month and a raised FEL applies on the first day of the 
month. 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 the exhaust standard-setting 
part. If you amend your application by submitting new test data to 
include a newly added or modified fuel tank configuration, as

[[Page 22]]

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. In all other circumstances, 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 units showing that emissions are 
below the proposed lower FEL. The lower FEL applies only for units 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.
    (g) Component manufacturers may not change an emission family's FEL 
under any circumstances. Changing the FEL would require submission of a 
new application for certification.



Sec.  1060.230  How do I select emission families?

    (a) For purposes of certification, divide your product line into 
families of equipment (or components) that are expected to have similar 
emission characteristics throughout their useful life.
    (b) Group fuel lines into the same emission family if they are the 
same in all the following aspects:
    (1) Type of material including barrier layer.
    (2) Production method.
    (3) Types of connectors and fittings (material, approximate wall 
thickness, etc.) for fuel line assemblies certified together.
    (c) Group fuel tanks (or fuel systems including fuel tanks) into the 
same emission family if they are the same in all the following aspects:
    (1) Type of material, including any pigments, plasticizers, UV 
inhibitors, or other additives that are expected to affect control of 
emissions.
    (2) Production method.
    (3) Relevant characteristics of fuel cap design for fuel systems 
subject to diurnal emission requirements.
    (4) Gasket material.
    (5) Emission control strategy.
    (6) Family emission limit, if applicable.
    (d) Group other fuel-system components and equipment into the same 
emission family if they are the same in all the following aspects:
    (1) Emission control strategy and design.
    (2) Type of material (such as type of charcoal used in a carbon 
canister). This criteria does not apply for materials that are unrelated 
to emission control performance.
    (3) The fuel systems meet the running loss emission standard based 
on the same type of compliance demonstration specified in Sec.  
1060.104(b), if applicable.
    (e) You may subdivide a group of equipment or components that are 
identical under paragraphs (b) through (d) of this section into 
different emission families if you show the expected emission 
characteristics are different during the useful life.
    (f) In unusual circumstances, you may group equipment or components 
that are not identical with respect to the things listed in paragraph 
(b) through (d) of this section into the same emission family if you 
show that their emission characteristics during the useful life will be 
similar. The provisions of this paragraph (f) do not exempt any engines 
or equipment from meeting all the applicable standards and requirements 
in subpart B of this part.
    (g) Emission families may include components used in multiple 
equipment categories. Such families are covered by a single certificate. 
For example, a single emission family may contain fuel tanks used in 
both Small SI equipment and Marine SI vessels.



Sec.  1060.235  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 products using the procedures and equipment specified 
in subpart F of this part.
    (b) Select an emission-data unit from each emission family for 
testing. If you are certifying with a family emission limit, you must 
test at least three emission-data units. In general, you

[[Page 23]]

must test a preproduction product that will represent actual production. 
However, for fuel tank permeation, you may test a tank with standardized 
geometry provided that it is made of the same material(s) and 
appropriate wall thickness. In general, the test procedures specify that 
components or systems be tested rather than complete equipment. For 
example, to certify your family of Small SI equipment, you would need to 
test a sample of fuel line for permeation emissions and a fuel tank for 
permeation emissions. Note that paragraph (e) of this section and Sec.  
1060.240 allow you in certain circumstances to certify without testing 
an emission-data unit from the emission family. Select test components 
that are most likely to exceed (or have emissions nearer to) the 
applicable emission standards as follows:
    (1) For fuel tanks, consider the following factors associated with 
higher emission levels:
    (i) Smallest average wall thickness (or barrier thickness, as 
appropriate).
    (ii) Greatest extent of pinch welds for tanks using barrier 
technologies.
    (iii) Greatest relative area of gasket material, especially if 
gaskets are made of high-permeation materials.
    (2) For fuel lines, consider the following factors associated with 
higher emission levels:
    (i) Smallest average wall thickness (or barrier thickness, as 
appropriate).
    (ii) Smallest inner diameter.
    (c) You may not do maintenance on emission-data units.
    (d) We may measure emissions from any of your products from the 
emission family, as follows:
    (1) You must supply your products to us if we choose to perform 
confirmatory testing.
    (2) If we measure emissions on one of your products, the results of 
that testing become the official emission results for the emission 
family. Unless we later invalidate these data, we may decide not to 
consider your data in determining if your emission family meets 
applicable requirements.
    (e) You may ask to use carryover emission data from a previous 
production period instead of doing new tests, but only if all the 
following are true:
    (1) The emission family from the previous production period differs 
from the current emission family only with respect to production period 
or other characteristics unrelated to emissions. You may also ask to add 
a configuration subject to Sec.  1060.225.
    (2) The emission-data unit from the previous production period 
remains the appropriate emission-data unit under paragraph (b) of this 
section. For example, you may not carryover emission data for your 
family of nylon fuel tanks if you have added a thinner-walled fuel tank 
than was tested previously.
    (3) The data show that the emission-data unit would meet all the 
requirements that apply to the emission family covered by the 
application for certification.
    (f) We may require you to test another unit of the same or different 
configuration in addition to the unit(s) tested under paragraph (b) of 
this section.
    (g) If you use an alternate test procedure under Sec.  1060.505, and 
later testing shows that such testing does not produce results that are 
equivalent to the procedures specified in this part, we may reject data 
you generated using the alternate procedure.



Sec.  1060.240  How do I demonstrate that my emission family complies 
with evaporative emission standards?

    (a) For purposes of certification, your emission family is 
considered in compliance with an evaporative emission standard in 
subpart B of this part if you do either of the following:
    (1) You have test results showing a certified emission level from 
the fuel tank or fuel line (as applicable) in the family are at or below 
the applicable standard.
    (2) You comply with design specifications as specified in paragraphs 
(d) through (f) of this section.
    (b) Your emission family is deemed not to comply if any fuel tank or 
fuel line representing that family has an official emission result above 
the standard.
    (c) Round each official emission result to the same number of 
decimal places as the emission standard.

[[Page 24]]

    (d) You may demonstrate for certification that your emission family 
complies with the fuel tank permeation standards specified in Sec.  
1060.103 with any of the following control technologies:
    (1) A coextruded high-density polyethylene fuel tank with a 
continuous ethylene vinyl alcohol barrier layer (with not more than 40 
molar percent ethylene) making up at least 2 percent of the fuel tank's 
overall wall thickness with any of the following gasket and fuel-cap 
characteristics:
    (i) No nonmetal gaskets or fuel caps.
    (ii) All nonmetal gaskets and fuel caps made from low-permeability 
materials.
    (iii) Nonmetal gaskets and fuel caps that are not made from low-
permeability materials up to the following limits:
    (A) Gaskets with a total exposed surface area less than 0.25 percent 
of the total inside surface area of the fuel tank. For example, a fuel 
tank with an inside surface area of 0.40 square meters may use high-
permeation gasket material representing a surface area of up to 1,000 
mm\2\ (0.25% x \1/100\ x 0.40 m\2\ x 1,000,000 mm\2\/m\2\). Determine 
surface area based on the amount of material exposed to liquid fuel.
    (B) Fuel caps directly mounted to the fuel tank with the surface 
area of the fuel cap less than 3.0 percent of the total inside surface 
area of the fuel tank. Use the smallest inside cross-sectional area of 
the opening on which the cap is mounted as the fuel cap's surface area.
    (2) A metal fuel tank with the gasket and fuel-cap characteristics 
meeting the specifications in paragraphs (d)(1)(i) through (iii) of this 
section.
    (e) You may demonstrate for certification that your emission family 
complies with the diurnal emission standards specified in Sec.  1060.105 
with any of the following control technologies:
    (1) A Marine SI fuel tank sealed up to a positive pressure of 7.0 
kPa (1.0 psig); however, the fuel tank may contain air inlets that open 
when there is a vacuum pressure inside the tank.
    (2) A Marine SI fuel tank equipped with a passively purged carbon 
canister that meets the requirements of this paragraph (e)(2). The 
carbon must adsorb no more than 0.5 grams of water per gram of carbon at 
90% relative humidity and a temperature of 255 
[deg]C. The carbon granules must have a minimum mean diameter of 3.1 mm 
based on the procedures in ASTM D2862 (incorporated by reference in 
Sec.  1060.810). The carbon must also pass a dust attrition test based 
on ASTM D3802 (incorporated by reference in Sec.  1060.810), except that 
hardness is defined as the ratio of mean particle diameter before and 
after the test and the procedure must involve twenty \1/2\-inch steel 
balls and ten \3/4\-inch steel balls. Use good engineering judgment in 
the structural design of the carbon canister. The canister must have a 
volume compensator or some other device to prevent the carbon pellets 
from moving within the canister as a result of vibration or changing 
temperature. The canister must have a minimum working capacity as 
follows:
    (i) You may use the measurement procedures specified by the 
California Air Resources Board in Attachment 1 to TP-902 to show that 
canister working capacity is least 3.6 grams of vapor storage capacity 
per gallon of nominal fuel tank capacity (or 1.4 grams of vapor storage 
capacity per gallon of nominal fuel tank capacity for fuel tanks used in 
nontrailerable boats). TP-902 is part of Final Regulation Order, Article 
1, Chapter 15, Division 3, Title 13, California Code of Regulations, 
July 26, 2004 as adopted by the California Air Resources Board 
(incorporated by reference in Sec.  1060.810).
    (ii) You may produce canisters with a minimum carbon volume of 0.040 
liters per gallon of nominal fuel tank capacity (or 0.016 liters per 
gallon for fuel tanks used in nontrailerable boats). The carbon canister 
must have a minimum effective length-to-diameter ratio of 3.5 and the 
vapor flow must be directed with the intent of using the whole carbon 
bed. The carbon must have a minimum carbon working capacity of 90 grams 
per liter.
    (f) We may establish additional design certification options where 
we find that new test data demonstrate that the use of a different 
technology design will ensure compliance with the applicable emission 
standards.

[[Page 25]]

    (g) You may not establish a family emission limit below the emission 
standard for components certified based on design specifications under 
this section even if actual emission rates are much lower.



Sec.  1060.250  What records must I keep?

    (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.  1060.205 that you 
were not required to include in your application.
    (3) A detailed history of each emission-data unit. For each emission 
data unit, include all of the following:
    (i) The emission-data unit's construction, including its origin and 
buildup, steps you took to ensure that it represents production 
equipment, any components you built specially for it, and all the 
components you include in your application for certification.
    (ii) All your emission tests, including documentation on routine and 
standard tests, and the date and purpose of each test.
    (iii) All tests to diagnose emission control performance, giving the 
date and time of each and the reasons for the test.
    (iv) Any other significant events.
    (4) Annual production figures for each emission family divided by 
assembly plant.
    (5) Keep a list of equipment identification numbers for all the 
equipment you produce under each certificate of conformity.
    (b) Keep required data from routine emission tests (such as 
temperature measurements) 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.



Sec.  1060.255  What decisions may EPA make regarding 
my certificate of conformity?

    (a) If we determine your application is complete and shows that the 
emission family meets all the requirements of this part and the Clean 
Air Act, we will issue a certificate of conformity for your emission 
family for that production period. We may make the approval subject to 
additional conditions.
    (b) We may deny your application for certification if we determine 
that your emission family fails to comply with emission standards or 
other requirements of this part or the Clean Air Act. We will base our 
decision on all available information. 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 equipment or components 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 equipment or components 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.  1060.820).

[[Page 26]]



                Subpart D_Production Verification Testing



Sec.  1060.301  Manufacturer testing.

    (a) Using good engineering judgment, you must evaluate production 
samples to verify that equipment or components you produce are as 
specified in the certificate of conformity. This may involve testing 
using certification procedures or other measurements.
    (b) You must give us records to document your evaluation if we ask 
for them.



Sec.  1060.310  Supplying products to EPA for testing.

    Upon our request, you must supply a reasonable number of production 
samples to us for verification testing.



                        Subpart E_In-use Testing



Sec.  1060.401  General Provisions.

    We may perform in-use testing of any equipment or fuel-system 
components subject to the standards of this part.



                        Subpart F_Test Procedures



Sec.  1060.501  General testing provisions.

    (a) This subpart is addressed to you as a certifying manufacturer 
but it applies equally to anyone who does testing for you.
    (b) Unless we specify otherwise, the terms ``procedures'' and ``test 
procedures'' in this part include all aspects of testing, including the 
equipment specifications, calibrations, calculations, and other 
protocols and procedural specifications needed to measure emissions.
    (c) The specification for gasoline to be used for testing is given 
in 40 CFR 1065.710. Use the grade of gasoline specified for general 
testing. For testing specified in this part that requires a blend of 
gasoline and ethanol, blend this grade of gasoline with fuel-grade 
ethanol meeting the specifications of ASTM D4806 (incorporated by 
reference in Sec.  1060.810). You do not need to measure the ethanol 
concentration of such blended fuels and may instead calculate the 
blended composition by assuming that the ethanol is pure and mixes 
perfectly with the base fuel. For example, if you mix 10.0 liters of 
fuel-grade ethanol with 90.0 liters of gasoline, you may assume the 
resulting mixture is 10.0 percent ethanol. You may use more or less pure 
ethanol if you can demonstrate that it will not affect your ability to 
demonstrate compliance with the applicable emission standards. Note that 
unless we specify otherwise, any references to gasoline-ethanol mixtures 
containing a specified ethanol concentration means mixtures meeting the 
provisions of this paragraph (c).
    (d) Accuracy and precision of all temperature measurements must be 
1.0 [deg]C or better. If you use multiple sensors 
to measure differences in temperature, calibrate the sensors so they 
will be within 0.5 [deg]C of each other when they are in thermal 
equilibrium at a point within the range of test temperatures (use the 
starting temperature in Table 1 to Sec.  1060.525 unless this is not 
feasible).
    (e) Accuracy and precision of mass balances must be sufficient to 
ensure accuracy and precision of two percent or better for emission 
measurements for products at the maximum level allowed by the standard. 
The readability of the display may not be coarser than half of the 
required accuracy and precision. Examples are shown in the following 
table for a digital readout:

----------------------------------------------------------------------------------------------------------------
                                              Example 1               Example 2               Example 3
----------------------------------------------------------------------------------------------------------------
Applicable standard..................  1.5 g/m\2\/day.........  1.5 g/m\2\/day.........  15 g/m\2\/day.
Internal surface area................  1.15 m\2\..............  0.47 m\2\..............  0.015 m\2\.
Length of test.......................  14.0 days..............  14.0 days..............  14.1 days.
Maximum allowable mass change........  24.15 g................  9.87 g.................  3.173 g.
Required accuracy and precision......  0.483 g or better.    eq>0.197 g or better.    eq>0.0635 g or better.
Required readability.................  0.1 g or better........  0.1 g or better........  0.01 g or better.
----------------------------------------------------------------------------------------------------------------


[[Page 27]]


[73 FR 59298, Oct. 8, 2008, as amended at 74 FR 8427, Feb. 24, 2009]



Sec.  1060.505  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.
    (b) Our testing. These procedures generally apply for testing that 
we do to determine if your equipment complies with applicable emission 
standards. We may perform other testing as allowed by the Clean Air Act.
    (c) Exceptions. We may allow or require you to use procedures other 
than those specified in this part in the following cases:
    (1) You may request to use special procedures if your equipment 
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.
    (2) 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. 
This generally requires emission levels to be far enough below the 
applicable emission standards so any test differences do not affect your 
ability to state unconditionally that your equipment will meet all 
applicable emission standards when tested using the specified test 
procedures.
    (3) You may request to use alternate procedures that are equivalent 
to allowed procedures or are more accurate or more precise than allowed 
procedures. See 40 CFR 1065.12 for a description of the information that 
is generally required to show that an alternate test procedure is 
equivalent.
    (4) The test procedures are specified for gasoline-fueled equipment. 
If your equipment will use another volatile liquid fuel instead of 
gasoline, use a test fuel that is representative of the fuel that will 
be used with the equipment in use. You may ask us to approve other 
changes to the test procedures to reflect the effects of using a fuel 
other than gasoline.
    (d) Approval. If we require you to request approval to use other 
procedures under paragraph (c) of this section, you may not use them 
until we approve your request.



Sec.  1060.510  How do I test EPA Low-Emission Fuel Lines 
for permeation emissions?

    For EPA Low-Emission Fuel Lines, measure emissions according to SAE 
J2260, which is incorporated by reference in Sec.  1060.810.

[74 FR 8427, Feb. 24, 2009]



Sec.  1060.515  How do I test EPA Nonroad Fuel Lines 
and EPA Cold-Weather Fuel Lines for permeation emissions?

    Measure emission as follows for EPA Nonroad Fuel Lines and EPA Cold-
Weather Fuel Lines:
    (a) Prior to permeation testing, use good engineering judgment to 
precondition the fuel line by filling it with the fuel specified in this 
paragraph (a), sealing the openings, and soaking it for at least four 
weeks at 43 5 [deg]C or eight weeks at 23 5 [deg]C.
    (1) For EPA Nonroad Fuel Lines, use Fuel CE10, which is Fuel C as 
specified in ASTM D471 (incorporated by reference in Sec.  1060.810) 
blended with ethanol such that the blended fuel has 10.0 1.0 percent ethanol by volume.
    (2) For EPA Cold-Weather Fuel Lines, use gasoline blended with 
ethanol such that the blended fuel has 10.0 1.0 
percent ethanol by volume.
    (b) Drain the fuel line and refill it immediately with the fuel 
specified in paragraph (a) of this section. Be careful not to spill any 
fuel.
    (c) Except as specified in paragraph (d) of this section, measure 
fuel line permeation emissions using the equipment and procedures for 
weight-loss testing specified in SAE J30 or SAE J1527 (incorporated by 
reference in Sec.  1060.810). Start the measurement procedure within 8 
hours after draining and refilling the fuel line. Perform the emission 
test over a sampling period of 14 days. You may omit up to two daily

[[Page 28]]

measurements in any seven day period. Determine your final emission 
result based on the average of measured values over the 14-day period. 
Maintain an ambient temperature of 232 [deg]C 
throughout the sampling period.
    (d) For fuel lines with a nominal inner diameter below 5.0 mm, you 
may alternatively measure fuel line permeation emissions using the 
equipment and procedures for weight-loss testing specified in SAE J2996 
(incorporated by reference in Sec.  1060.810). Determine your final 
emission result based on the average of measured values over the 14-day 
sampling period. Maintain an ambient temperature of 232 [deg]C throughout the sampling period.
    (e) Use good engineering judgment to test short fuel line segments. 
For example, you may need to join individual fuel line segments using 
proper connection fittings to achieve enough length and surface area for 
a proper measurement. Size the fuel reservoir appropriately for the 
tested fuel line.

[73 FR 59298, Oct. 8, 2008, as amended at 74 FR 8427, Feb. 24, 2009; 75 
FR 23027, Apr. 30, 2010; 80 FR 9116, Feb. 19, 2015]



Sec.  1060.520  How do I test fuel tanks for permeation emissions?

    Measure permeation emissions by weighing a sealed fuel tank before 
and after a temperature-controlled soak.
    (a) Preconditioning durability testing. Take the following steps 
before an emission test, in any order, if your emission control 
technology involves surface treatment or other post-processing 
treatments such as an epoxy coating:
    (1) Pressure cycling. Perform a pressure test by sealing the tank 
and cycling it between +13.8 and -3.4 kPa (+2.0 and -0.5 psig) for 
10,000 cycles at a rate of 60 seconds per cycle. The purpose of this 
test is to represent environmental wall stresses caused by pressure 
changes and other factors (such as vibration or thermal expansion). If 
your tank cannot be tested using the pressure cycles specified by this 
paragraph (a)(1), you may ask to use special test procedures under Sec.  
1060.505.
    (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 40-50 
percent of its capacity with the fuel specified in paragraph (e) of this 
section 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.
    (4) Cap testing. Perform durability cycles on fuel caps intended for 
use with handheld equipment by putting the fuel cap on and taking it off 
300 times. Tighten the fuel cap each time in a way that represents the 
typical in-use experience.
    (b) Preconditioning fuel soak. Take the following steps before an 
emission test:
    (1) Fill the tank with the fuel specified in paragraph (e) of this 
section, seal it, and allow it to soak at 28 5 
[deg]C for at least 20 weeks. Alternatively, the tank may be soaked for 
at least 10 weeks at 435 [deg]C. You may count the 
time of the preconditioning steps in paragraph (a) of this section as 
part of the preconditioning fuel soak as long as the ambient temperature 
remains within the specified temperature range and the fuel tank is at 
least 40 percent full; you may add or replace fuel as needed to conduct 
the specified durability procedures.
    (2) Empty the fuel tank and immediately refill it with the specified 
test fuel to its nominal capacity. Be careful not to spill any fuel.
    (3) [Reserved]
    (4) Allow the tank and its contents to equilibrate to the 
temperatures specified in paragraph (d)(7) of this section. Seal the 
fuel tank as described in paragraph (b)(5) of this section once the fuel 
temperatures are stabilized at the test temperature. You must seal the 
tank no more than eight hours after refueling. Until the fuel tank is 
sealed, take steps to minimize the vapor losses from the fuel tank, such 
as keeping the fuel cap loose on the fuel inlet or routing vapors 
through a vent hose.
    (5) Seal the fuel tank as follows:
    (i) If fuel tanks are designed for use with a filler neck such that 
the fuel

[[Page 29]]

cap is not directly mounted on the fuel tank, you may seal the fuel 
inlet with a nonpermeable covering.
    (ii) If fuel tanks are designed with fuel caps directly mounted on 
the fuel tank, take one of the following approaches:
    (A) Use a production fuel cap expected to have permeation emissions 
at least as high as the highest-emitting fuel cap that you expect to be 
used with fuel tanks from the emission family. It would generally be 
appropriate to consider an HDPE fuel cap with a nitrile rubber seal to 
be worst-case.
    (B) You may seal the fuel inlet with a nonpermeable covering if you 
separately account for permeation emissions from the fuel cap. This may 
involve a separate measurement of permeation emissions from a worst-case 
fuel cap as described in Sec.  1060.521. This may also involve 
specifying a worst-case Family Emission Limit based on separately 
certified fuel caps as described in Sec.  1060.103(e).
    (C) If you use or specify a fuel gasket made of low-permeability 
material, you may seal the fuel inlet with a nonpermeable covering and 
calculate an emission rate for the complete fuel tank using a default 
value of 30 g/m\2\/day for the fuel cap (or 50 g/m\2\/day for testing at 
40 [deg]C). Use the smallest inside cross-sectional area of the opening 
on which the cap is mounted as the fuel cap's surface area.
    (iii) Openings that are not normally sealed on the fuel tank (such 
as hose-connection fittings and vents in fuel caps) may be sealed using 
nonpermeable fittings such as metal or fluoropolymer plugs.
    (iv) Openings for petcocks that are designed for draining fuel may 
be sealed using nonpermeable fittings such as metal or fluoropolymer 
plugs.
    (v) Openings for grommets may be sealed using nonpermeable fittings 
such as metal or fluoropolymer plugs.
    (vi) Rather than sealing a fuel tank with nonpermeable fittings, you 
may produce a fuel tank for testing without machining or stamping those 
holes.
    (c) Reference tank. A reference tank is required to correct for 
buoyancy effects that may occur during testing. Prepare the reference 
tank as follows:
    (1) Obtain a second tank whose total volume is within 5 percent of 
the test tank's volume. You may not use a tank that has previously 
contained fuel or any other contents that might affect its mass 
stability.
    (2) Fill the reference tank with enough glass beads (or other inert 
material) so the mass of the reference tank is approximately the same as 
the test tank when filled with fuel. Considering the performance 
characteristics of your balance, use good engineering judgment to 
determine how similar the mass of the reference tank needs to be to the 
mass of the test tank.
    (3) Ensure that the inert material is dry.
    (4) Seal the tank.
    (d) Permeation test run. To run the test, take the following steps 
after preconditioning:
    (1) 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.
    (2) Weigh the sealed test tank and record the weight. Place the 
reference tank on the balance and tare it so it reads zero. Place the 
sealed test tank on the balance and record the difference between the 
test tank and the reference tank. This value is Mo. Take this 
measurement directly after sealing the test tank as specified in 
paragraphs (b)(4) and (5) of this section.
    (3) Carefully place the tank within a temperature-controlled room or 
enclosure. Do not spill or add any fuel.
    (4) Close the room or enclosure as needed to control temperatures 
and record the time. However, you may need to take steps to prevent an 
accumulation of hydrocarbon vapors in the room or enclosure that might 
affect the degree to which fuel permeates through the fuel tank. This 
might simply involve passive ventilation to allow fresh air exchanges.
    (5) Ensure that the measured temperature in the room or enclosure 
stays within the temperatures specified in paragraph (d)(6) of this 
section.
    (6) Leave the tank in the room or enclosure for the duration of the 
test run.
    (7) Hold the temperature of the room or enclosure at 28 2 [deg]C; measure and

[[Page 30]]

record the temperature at least daily. You may alternatively hold the 
temperature of the room or enclosure at 40 2 
[deg]C to demonstrate compliance with the alternative standards 
specified in Sec.  1060.103(b).
    (8) Measure weight loss daily by retaring the balance using the 
reference tank and weighing the sealed test tank. Calculate the 
cumulative weight loss in grams for each measurement. Calculate the 
coefficient of determination, r\2\, based on a linear plot of cumulative 
weight loss vs. test days. Use the equation in 40 CFR 1065.602(k), with 
cumulative weight loss represented by yi and cumulative time 
represented by yref. The daily measurements must be at 
approximately the same time each day. You may omit up to two daily 
measurements in any seven-day period. Test for ten full days, then 
determine when to stop testing as follows:
    (i) You may stop testing after the measurement on the tenth day if 
r\2\ is at or above 0.95 or if the measured value is less than 50 
percent of the applicable standard. (Note that if a Family Emission 
Limit applies for the family, it is considered to be the applicable 
standard for that family.) This means that if you stop testing with an 
r\2\ below 0.95, you may not use the data to show compliance with a 
Family Emission Limit less than twice the measured value.
    (ii) If after ten days of testing your r\2\ value is below 0.95 and 
your measured value is more than 50 percent of the applicable standard, 
continue testing for a total of 20 days or until r\2\ is at or above 
0.95. If r\2\ is not at or above 0.95 within 20 days of testing, 
discontinue the test and precondition the fuel tank further until it has 
stabilized emission levels, then repeat the testing.
    (9) Record the difference in mass between the reference tank and the 
test tank for each measurement. This value is Mi, where i is 
a counter representing the number of days elapsed. Subtract 
Mi from Mo and 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 two decimal places) to calculate the 
emission rate in g/m\2\/day. Example: If a tank with an internal surface 
area of 0.720 m\2\ weighed 1.31 grams less than the reference tank at 
the beginning of the test and weighed 9.86 grams less than the reference 
tank after soaking for 10.03 days, the emission rate would be--

((-1.31 g)-(-9.86 g))/0.720 m\2\/10.03 days = 1.1839 g/m\2\/day
    (10) Determine your final emission result based on the cumulative 
weight loss measured on the final day of testing. Round this result to 
the same number of decimal places as the emission standard.
    (e) Fuel specifications. Use gasoline blended with ethanol such that 
the blended fuel has 10.0 1.0 percent ethanol by 
volume as specified in Sec.  1060.501. As an alternative, you may use 
Fuel CE10, as described in Sec.  1060.515(a)(1).
    (f) Flow chart. The following figure presents a flow chart for the 
permeation testing described in this section:

[[Page 31]]

[GRAPHIC] [TIFF OMITTED] TR08OC08.078


[[Page 32]]



[73 FR 59298, Oct. 8, 2008, as amended at 75 FR 23027, Apr. 30, 2010; 80 
FR 9116, Feb. 19, 2015]



Sec.  1060.521  How do I test fuel caps for permeation emissions?

    If you measure a fuel tank's permeation emissions with a 
nonpermeable covering in place of the fuel cap under Sec.  
1060.520(b)(5)(ii)(B), you must separately measure permeation emissions 
from a fuel cap. You may show that your fuel tank and fuel cap meet 
emission standards by certifying them separately or by combining the 
separate measurements into a single emission rate based on the relative 
surface areas of the fuel tank and fuel cap. However, you may not 
combine these emission measurements if you test the fuel cap at a 
nominal temperature of 28 [deg]C and you test the fuel tank at 40 
[deg]C. Measure the fuel cap's permeation emissions as follows:
    (a) Select a fuel cap expected to have permeation emissions at least 
as high as the highest-emitting fuel cap that you expect to be used with 
fuel tanks from the emission family. Include a gasket that represents 
production models. If the fuel cap includes vent paths, seal these vents 
as follows:
    (1) If the vent path is through grooves in the gasket, you may use 
another gasket with no vent grooves if it is otherwise the same as a 
production gasket.
    (2) If the vent path is through the cap, seal any vents for testing.
    (b) Attach the fuel cap to a fuel tank with a capacity of at least 
one liter made of metal or some other impermeable material.
    (c) Use the procedures specified in Sec.  1060.520 to measure 
permeation emissions. Calculate emission rates using the smallest inside 
cross sectional area of the opening on which the cap is mounted as the 
fuel cap's surface area.



Sec.  1060.525  How do I test fuel systems for diurnal emissions?

    Use the procedures of this section to determine whether your fuel 
tanks meet diurnal emission standards as specified in Sec.  1060.105.
    (a) Use the following procedure to measure diurnal emissions:
    (1) Diurnal measurements are based on representative temperature 
cycles, as follows:
    (i) Diurnal fuel temperatures for marine fuel tanks that will be 
installed in nontrailerable boats must undergo repeat temperature swings 
of 2.6 [deg]C between nominal values of 27.6 and 30.2 [deg]C.
    (ii) Diurnal fuel temperatures for other installed marine fuel tanks 
must undergo repeat temperature swings of 6.6 [deg]C between nominal 
values of 25.6 and 32.2 [deg]C.
    (iii) For fuel tanks installed in equipment other than marine 
vessels, the following table specifies a profile of ambient 
temperatures:

 Table 1 to Sec.   1060.525--Diurnal Temperature Profiles for Nonmarine
                               Fuel Tanks
------------------------------------------------------------------------
                                                              Ambient
                                                            temperature
                      Time (hours)                           profile (
                                                              [deg]C)
------------------------------------------------------------------------
0.......................................................            22.2
1.......................................................            22.5
2.......................................................            24.2
3.......................................................            26.8
4.......................................................            29.6
5.......................................................            31.9
6.......................................................            33.9
7.......................................................            35.1
8.......................................................            35.4
9.......................................................            35.6
10......................................................            35.3
11......................................................            34.5
12......................................................            33.2
13......................................................            31.4
14......................................................            29.7
15......................................................            28.2
16......................................................            27.2
17......................................................            26.1
18......................................................            25.1
19......................................................            24.3
20......................................................            23.7
21......................................................            23.3
22......................................................            22.9
23......................................................            22.6
24......................................................            22.2
------------------------------------------------------------------------

    (2) Fill the fuel tank to 40 percent of nominal capacity with the 
gasoline specified in 40 CFR 1065.710 for general testing.
    (3) Install a vapor line from any vent ports that would not be 
sealed in the final in-use configuration. Use a length of vapor line 
representing the largest inside diameter and shortest length that would 
be expected with the range of in-use installations for the emission 
family.
    (4) If the fuel tank is equipped with a carbon canister, load the 
canister with

[[Page 33]]

butane or gasoline vapors to its canister working capacity as specified 
in Sec.  1060.240(e)(2)(i) and attach it to the fuel tank in a way that 
represents a typical in-use configuration. Purge the canister as follows 
to prepare for emission measurement:
    (i) For marine fuel tanks, perform a single heating and cooling 
cycle as specified in paragraph (a)(7) of this section without measuring 
emissions.
    (ii) For nonmarine fuel tanks, establish a characteristic purge 
volume by running an engine with the fuel tank installed to represent an 
in-use configuration. Measure the volume of air flowing through the 
canister while the engine operates for 30 minutes over repeat cycles of 
the appropriate duty cycle used for certifying the engine for exhaust 
emissions. Set up the loaded canister for testing by purging it with the 
characteristic purge volume from the engine simulation run.
    (5) Stabilize the fuel tank to be within 2.0 [deg]C of the nominal 
starting temperature specified in paragraph (a)(1) of this section. In 
the case of marine fuel tanks, install a thermocouple meeting the 
requirements of 40 CFR 86.107-96(e) in the approximate mid-volume of 
fuel and record the temperature at the end of the stabilization period 
to the nearest 0.1 [deg]C. For sealed fuel systems, replace the fuel cap 
once the fuel reaches equilibrium at the appropriate starting 
temperature.
    (6) Prepare the tank for mass measurement using one of the following 
procedures:
    (i) Place the stabilized fuel tank in a SHED meeting the 
specifications of 40 CFR 86.107-96(a)(1) that is equipped with a FID 
analyzer meeting the specifications of 40 CFR 1065.260. Take the 
following steps in sequence:
    (A) Purge the SHED.
    (B) Close and seal the SHED.
    (C) Zero and span the FID analyzer.
    (D) Within ten minutes of sealing the SHED, measure the initial 
hydrocarbon concentration. This is the start of the sampling period.
    (ii) If your testing configuration involves mass emissions at the 
standard of 2.0 grams or more, you may alternatively place the 
stabilized fuel tank in any temperature-controlled environment and 
establish mass emissions as a weight loss relative to a reference fuel 
tank using the procedure specified in Sec.  1060.520(d) instead of 
calculating it from changing hydrocarbon concentrations in the SHED.
    (7) Control temperatures as follows:
    (i) For marine fuel tanks, supply heat to the fuel tank for 
continuously increasing temperatures such that the fuel reaches the 
maximum temperature in 8 hours. Set the target temperature by adding the 
temperature swing specified in paragraph (a)(1) of this section to the 
recorded starting temperature. Hold the tank for approximately 60 
minutes at a temperature no less than 0.1 [deg]C below the target 
temperature. For example, if the recorded starting fuel temperature for 
a fuel tank that will be installed in a nontrailerable vessel is 27.1 
[deg]C, the target temperature is 29.7 [deg]C and the fuel must be 
stabilized for 60 minutes with fuel temperatures not falling below 29.6 
[deg]C. For EPA testing, fuel temperatures may not go 1.0 [deg]C above 
the target temperature at any point during the heating or stabilization 
sequence. Measure the hydrocarbon concentration in the SHED at the end 
of the high-temperature stabilization period. Calculate the diurnal 
emissions for this heating period based on the change in hydrocarbon 
concentration over this sampling period. Allow the fuel temperature to 
cool sufficiently to stabilize again at the starting temperature without 
emission sampling. Repeat the heating and measurement sequence for three 
consecutive days, starting each heating cycle no more than 26 hours 
after the previous start.
    (ii) For nonmarine fuel tanks, follow the air temperature trace from 
paragraph (a)(1)(iii) of this section for three consecutive 24-hour 
periods. Measured temperatures must follow the profile with a maximum 
deviation of 1.7 [deg]C for any hourly measurement and an average 
temperature deviation not to exceed 1.0 [deg]C, where the average 
deviation is calculated using the absolute value of each measured 
deviation. Start measuring emissions when you start the temperature 
profile. The end of the first, second, and third emission sampling 
periods must occur 14406, 28806, and 43206 minutes, 
respectively, after starting the measurement procedure.

[[Page 34]]

    (8) Use the highest of the three emission levels to determine 
whether your fuel tank meets the diurnal emission standard.
    (9) For emission control technologies that rely on a sealed fuel 
system, you may omit the preconditioning steps in paragraph (a)(4) of 
this section and the last two 24-hour periods of emission measurements 
in paragraph (a)(7) of this section. For purposes of this paragraph (a), 
sealed fuel systems include those that rely on pressure-relief valves, 
limiting flow orifices, bladder fuel tanks, and volume-compensating air 
bags.
    (b) You may subtract your fuel tank's permeation emissions from the 
measured diurnal emissions if the fuel tank is preconditioned with 
diurnal test fuel as described in Sec.  1060.520(b) or if you use good 
engineering judgment to otherwise establish that the fuel tank has 
stabilized permeation emissions. Measure permeation emissions for 
subtraction as specified in Sec.  1060.520(c) and (d) before measuring 
diurnal emissions, except that the permeation measurement must be done 
with diurnal test fuel at 282 [deg]C. Use 
appropriate units and corrections to subtract the permeation emissions 
from the fuel tank during the diurnal emission test. You may not 
subtract a greater mass of emissions under this paragraph (b) than the 
fuel tank would emit based on meeting the applicable emission standard 
for permeation.

[80 FR 9117, Feb. 19, 2015]



                 Subpart G_Special Compliance Provisions



Sec.  1060.601  How do the prohibitions of 40 CFR 1068.101 apply 
with respect to the requirements of this part?

    (a) As described in Sec.  1060.1, fuel tanks and fuel lines that are 
used with or intended to be used with new nonroad engines or equipment 
are subject to evaporative emission standards under this part 1060. This 
includes portable marine fuel tanks and fuel lines and other fuel-system 
components associated with portable marine fuel tanks. Note that Sec.  
1060.1 specifies an implementation schedule based on the date of 
manufacture of nonroad equipment, so new fuel tanks and fuel lines are 
not subject to standards under this part 1060 if they will be installed 
for use in equipment built before the specified dates for implementing 
the appropriate standards, subject to the limitations in paragraph (b) 
of this section. Except as specified in paragraph (f) of this section, 
fuel-system components that are subject to permeation or diurnal 
emission standards under this part 1060 must be covered by a valid 
certificate of conformity before being introduced into U.S. commerce to 
avoid violating the prohibition of 40 CFR 1068.101(a). To the extent we 
allow it under the exhaust standard-setting part, fuel-system components 
may be certified with a family emission limit higher than the specified 
emission standard. The provisions of this paragraph (a) do not apply to 
fuel caps.
    (b) New replacement fuel tanks and fuel lines must meet the 
requirements of this part 1060 if they are intended to be used with 
nonroad engines or equipment regulated under this part 1060, as follows:
    (1) Applicability of standards between January 1, 2012 and December 
31, 2019. Manufacturers, distributors, retailers, and importers must 
clearly state on the packaging for all replacement components that could 
reasonably be used with nonroad engines how such components may be used 
consistent with the prohibition in paragraph (a) of this section. It is 
presumed that such components are intended for use with nonroad engines 
regulated under this part 1060 unless the components, or the packaging 
for such components, clearly identify appropriate restrictions. This 
requirement does not apply for components that are clearly not intended 
for use with fuels.
    (2) Applicability of standards after January 1, 2020. Starting 
January 1, 2020 it is presumed that replacement components will be used 
with nonroad engines regulated under this part 1060 if they can 
reasonably be used with such engines. Manufacturers, distributors, 
retailers, and importers are therefore obligated to take reasonable 
steps to ensure that any uncertified components are not used to replace 
certified

[[Page 35]]

components. This would require labeling the components and may also 
require restricting the sales and requiring the ultimate purchaser to 
agree to not use the components inappropriately. This requirement does 
not apply for components that are clearly not intended for use with 
fuels.
    (3) Applicability of the tampering prohibition. If a fuel tank or 
fuel line needing replacement was certified to meet the emission 
standards in this part with a family emission limit below the otherwise 
applicable standard, the new replacement fuel tank or fuel line must be 
certified to current emission standards, but need not be certified with 
the same or lower family emission limit to avoid violating the tampering 
prohibition in 40 CFR 1068.101(b)(1).
    (c) [Reserved]
    (d) Manufacturers that generate or use evaporative emission credits 
related to Marine SI engines in 40 CFR part 1045 or Small SI engines in 
40 CFR part 1054 are subject to the emission standards for which they 
are generating or using evaporative emission credits. These engines or 
equipment must therefore be covered by a valid certificate of conformity 
showing compliance with emission-credit provisions before being 
introduced into U.S. commerce to avoid violating the prohibition of 40 
CFR 1068.101(a).
    (e) If there is no valid certificate of conformity for any given 
evaporative emission standard for new equipment, the manufacturers of 
the engine, equipment and fuel-system components are each liable for 
violations of the prohibited acts with respect to the fuel systems and 
fuel-system components they have introduced into U.S. commerce, 
including fuel systems and fuel-system components installed in engines 
or equipment at the time the engines or equipment are introduced into 
U.S. commerce.
    (f) If you manufacture fuel lines or fuel tanks that are subject to 
the requirements of this part as described in paragraph (a) of this 
section, 40 CFR 1068.101(a) does not prohibit you from shipping your 
products directly to an equipment manufacturer or another manufacturer 
from which you have received a written commitment to be responsible for 
certifying the components as required under this part 1060. This 
includes SHED-based certification of Small SI equipment as described in 
Sec.  1060.105. If you ship fuel lines or fuel tanks under this 
paragraph (f), you must include documentation that accompanies the 
shipped products identifying the name and address of the company 
receiving shipment and stating that the fuel lines or fuel tanks are 
exempt under the provisions of 40 CFR 1060.601(f).
    (g) If new evaporative emission standards apply in a given model 
year, your equipment in that model year must have fuel-system components 
that are certified to the new standards, except that you may continue to 
use up your normal inventory of earlier fuel-system components 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 
fuel tanks based on your upcoming production schedules, and a new tier 
of standards starts to apply for the 2012 model year, you may order fuel 
tanks based on your normal inventory requirements late in the fuel tank 
manufacturer's 2011 model year and install those fuel tanks 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 fuel-system components from the previous model year (or 
uncertified components if no standards were in place) 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 fuel-system components from the previous model year without 
restriction. You may not circumvent the provisions of 40 CFR 
1068.101(a)(1) by stockpiling fuel-system components that were built 
before new or changed standards take effect.
    (h) If equipment manufacturers hold certificates of conformity for 
their equipment but they use only fuel-system components that have been 
certified by other companies, they may satisfy their defect-reporting 
obligations by tracking the information described in 40 CFR 
1068.501(b)(1) related

[[Page 36]]

to possible defects, reporting this information to the appropriate 
component manufacturers, and keeping these records for eight years. Such 
equipment manufacturers will not be considered in violation of 40 CFR 
1068.101(b)(6) for failing to perform investigations, make calculations, 
or submit reports to EPA as specified in 40 CFR 1068.501. See Sec.  
1060.5(a).

[73 FR 59298, Oct. 8, 2008, as amended at 75 FR 23027, Apr. 30, 2010]



Sec.  1060.605  Exemptions from evaporative emission standards.

    (a) Except as specified in the exhaust standard-setting part and 
paragraph (b) of this section, equipment using an engine that is exempt 
from exhaust emission standards under the provisions in 40 CFR part 
1068, subpart C or D, is also exempt from the requirements of this part 
1060. For example, engines or equipment exempted from exhaust emission 
standards for purposes of national security do not need to meet 
evaporative emission standards. Also, any engine that is exempt from 
emission standards because it will be used solely for competition does 
not need to meet evaporative emission standards. Equipment that is 
exempt from all exhaust emission standards under the standard-setting 
part are also exempt from the requirements of this part 1060; however, 
this does not apply for engines that must meet a less stringent exhaust 
emission standard as a condition of the exemption.
    (b) Engines produced under the replacement-engine exemption in 40 
CFR 1068.240 must use fuel-system components that meet the evaporative 
emission standards based on the model year of the engine being replaced 
subject to the provisions of 40 CFR 1068.265. If no evaporative emission 
standards applied at that time, no requirements related to evaporative 
emissions apply to the new engine. Installing a replacement engine does 
not change the applicability of requirements for the equipment into 
which the replacement engine is installed.
    (c) Engines or equipment that are temporarily exempt from EPA 
exhaust emission standards are also exempt from the requirements of this 
part 1060 for the same period as the exhaust exemption.
    (d) For equipment powered by more than one engine, all the engines 
installed in the equipment must be exempt from all applicable EPA 
exhaust emission standards for the equipment to also be exempt under 
paragraph (a) or (b) of this section.
    (e) In unusual circumstances, we may exempt components or equipment 
from the requirements of this part 1060 even if the equipment is powered 
by one or more engines that are subject to EPA exhaust emission 
standards. See 40 CFR part 1068. Such exemptions will be limited to:
    (1) Testing. See 40 CFR 1068.210.
    (2) National security. See 40 CFR 1068.225.
    (3) Economic hardship. See 40 CFR 1068.245 and 1068.250.
    (f) Evaporative emission standards generally apply based on the 
model year of the equipment, which is determined by the equipment's date 
of final assembly. However, in the first year of new emission standards, 
equipment manufacturers may apply evaporative emission standards based 
on the model year of the engine as shown on the engine's emission 
control information label. For example, for fuel tank permeation 
standards starting in 2012, equipment manufacturers may order a batch of 
2011 model year engines for installation in 2012 model year equipment, 
subject to the anti-stockpiling provisions of 40 CFR 1068.105(a). The 
equipment with the 2011 model year engines would not need to meet fuel 
tank permeation standards as long as the equipment is fully assembled by 
December 31, 2012.



Sec.  1060.640  What special provisions apply to branded equipment?

    The following provisions apply if you identify the name and 
trademark of another company instead of your own on your emission 
control information label for equipment, as provided by Sec. Sec.  
1060.135 and 1060.137:
    (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.  
1060.120.

[[Page 37]]

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.



          Subpart H_Averaging, Banking, and Trading Provisions



Sec.  1060.701  Applicability.

    (a) You are allowed to comply with the emission standards in this 
part with evaporative emission credits only if the exhaust standard-
setting part explicitly allows it for evaporative emissions.
    (b) The following exhaust standard-setting parts allow some use of 
evaporative emission credits:
    (1) 40 CFR part 1045 for marine vessels.
    (2) 40 CFR part 1051 for recreational vehicles.
    (3) 40 CFR part 1054 for Small SI equipment.
    (c) As specified in 40 CFR part 1048, there is no allowance to 
generate or use emission credits with Large SI equipment.



Sec.  1060.705  How do I certify components to an emission level other than 
the standard under this part or use such components in my equipment?

    As specified in this section, a fuel-system component may be 
certified to a family emission limit (FEL) instead of the otherwise 
applicable emission standard. Note that the exhaust standard-setting 
part may apply maximum values for an FEL (i.e., FEL caps).
    (a) Requirements for certifying component manufacturers. See subpart 
C of this part for instructions regarding the general requirements for 
certifying components.
    (1) When you submit your application for certification, indicate the 
FEL to which your components will be certified. This FEL will serve as 
the applicable standard for your component, and the equipment that uses 
the component. For example, when the regulations of this part use the 
phrase ``demonstrate compliance with the applicable emission standard'' 
it will mean ``demonstrate compliance with the FEL'' for your component.
    (2) You may not change the FEL for an emission family. To specify a 
different FEL for your components, you must send a new application for 
certification for a new emission family.
    (3) Unless your FEL is below all emission standards that could 
potentially apply, you must ensure that all equipment manufacturers that 
will use your component are aware of the limitations regarding the 
conditions under which they may use your component.
    (4) It is your responsibility to read the instructions relative to 
emission-credit provisions in the standard-setting parts identified in 
Sec.  1060.1.
    (b) Requirements for equipment manufacturers. See subpart C of this 
part for instructions regarding your ability to rely on the component 
manufacturer's certificate.
    (1) The FEL of the component will serve as the applicable standard 
for your equipment.
    (2) You may not specify more than one FEL for an emission family at 
one time; however, you may change the FEL during the model year as 
described in Sec.  1060.225(f).
    (3) If the FEL is above the emission standard you must ensure that 
the exhaust standard-setting part allows you to use evaporative emission 
credits to comply with emission standards and that you will have an 
adequate source of evaporative emission credits. You must certify your 
equipment as specified in Sec.  1060.201 and the rest of subpart C of 
this part.



          Subpart I_Definitions and Other Reference Information



Sec.  1060.801  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

[[Page 38]]

Clean Air Act gives to them. The definitions follow:
    Accuracy and precision means the sum of accuracy and repeatability, 
as defined in 40 CFR 1065.1001. For example, if a measurement device is 
determined to have an accuracy of 1% and a 
repeatability of 2%, then its accuracy and 
precision would be 3%.
    Adjustable parameter means any device, system, or element of design 
that someone can adjust and that, if adjusted, may affect emissions. You 
may ask us to exclude a parameter if you show us that it will not be 
adjusted in use in a way that affects emissions.
    Applicable emission standard or applicable standard means an 
emission standard to which a fuel-system component is subject. 
Additionally, if a fuel-system component has been or is being certified 
to another standard or FEL, applicable emission standard means the FEL 
or other standard to which the fuel-system component has been or is 
being certified. This definition does not apply to subpart H of this 
part.
    Canister working capacity means the measured amount of hydrocarbon 
vapor that can be stored in a canister as specified in Sec.  
1060.240(e)(2)(i).
    Carbon working capacity means the measured amount of hydrocarbon 
vapor that can be stored in a given volume of carbon when tested 
according to ASTM D5228 (incorporated by reference in Sec.  1060.810). 
See Sec.  1060.240(e)(2)(ii).
    Certification means relating to the process of obtaining a 
certificate of conformity for an emission family that complies with the 
emission standards and requirements in this part.
    Certified emission level means the highest official emission result 
in an emission family.
    Clean Air Act means the Clean Air Act, as amended, 42 U.S.C. 7401-
7671q.
    Cold-weather equipment is limited to the following types of handheld 
equipment: Chainsaws, cut-off saws, clearing saws, brush cutters with 
engines at or above 40cc, commercial earth and wood drills, and ice 
augers. This includes earth augers if they are also marketed as ice 
augers.
    Configuration means a unique combination of hardware (material, 
geometry, and size) and calibration within an emission family. Units 
within a single configuration differ only with respect to normal 
production variability.
    Date of manufacture, means one of the following with respect to 
equipment:
    (1) For outboard engines with under-cowl fuel tanks and for vessels 
equipped with outboard engines and installed fuel tanks, date of 
manufacture means the date on which the fuel tank is installed.
    (2) For all other equipment, date of manufacture has the meaning 
given in 40 CFR 1068.30.
    Days means calendar days unless otherwise specified. For example, 
when 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 (6405-J), U.S. Environmental Protection Agency, 
1200 Pennsylvania Ave., NW., Washington, DC 20460.
    Detachable fuel line means a fuel line or fuel line assembly 
intended to be used with a portable nonroad fuel tank and which is 
connected by special fittings to the fuel tank and/or engine for easy 
disassembly. Fuel lines that require a wrench or other tools to 
disconnect are not considered detachable fuel lines. Fuel lines that are 
labeled or marketed as USCG Type B1 fuel line as specified in 33 CFR 
183.540 are not considered detachable fuel lines if they are sold to the 
ultimate purchaser without quick-connect fittings or similar hardware.
    Diurnal emissions means evaporative emissions that occur as a result 
of venting fuel tank vapors during daily temperature changes while the 
engine is not operating.
    Effective length-to-diameter ratio means the mean vapor path length 
of a carbon canister divided by the effective diameter of that vapor 
path. The effective diameter is the diameter of a circle with the same 
cross-sectional area as the average cross-sectional area of the carbon 
canister's vapor path.
    Emission control system means any device, system, or element of 
design that controls or reduces the regulated evaporative emissions from 
a piece of nonroad equipment.

[[Page 39]]

    Emission-data unit means a fuel line, fuel tank, fuel system, or 
fuel-system component that is tested for certification. This includes 
components tested by EPA.
    Emission family has the meaning given in Sec.  1060.230.
    Emission-related maintenance means maintenance that substantially 
affects emissions or is likely to substantially affect emission 
deterioration.
    Equipment means vehicles, marine vessels, and other types of nonroad 
equipment that are subject to this part's requirements.
    Evaporative means relating to fuel emissions that result from 
permeation of fuel through the fuel-system materials or from ventilation 
of the fuel system.
    Exhaust standard-setting part means the part in the Code of Federal 
Regulations that contains exhaust emission standards for a particular 
piece of equipment (or the engine in that piece of equipment). For 
example, the exhaust standard-setting part for off-highway motorcycles 
is 40 CFR part 1051. Exhaust standard-setting parts may include 
evaporative emission requirements or describe how the requirements of 
this part 1060 apply.
    Exposed gasket surface area means the surface area of the gasket 
inside the fuel tank that is exposed to fuel or fuel vapor. For the 
purposes of calculating exposed surface area of a gasket, the thickness 
of the gasket and the outside dimension of the opening being sealed are 
used. Gasket overhang into the fuel tank should be ignored for the 
purpose of this calculation.
    Family emission limit (FEL) means an emission level declared by the 
manufacturer to serve in place of an otherwise applicable emission 
standard under an ABT program specified by the exhaust standard-setting 
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 emission family with 
respect to all required testing.
    Fuel CE10 has the meaning given in Sec.  1060.515(a).
    Fuel line means hoses or tubing designed to contain liquid fuel. The 
exhaust standard-setting part may further specify which types of hoses 
and tubing are subject to the standards 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. 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 premium gasoline, regular gasoline, or gasoline with 10 percent 
ethanol.
    Gasoline means one of the following:
    (1) For in-use fuels, gasoline means fuel that is commonly and 
commercially know as gasoline, including ethanol blends.
    (2) For testing, gasoline has the meaning given in subpart F of this 
part.
    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.
    High-permeability material means any nonmetal material that does not 
qualify as low-permeability material.
    Installed marine fuel line means a fuel line designed for delivering 
fuel to a Marine SI engine that does not meet the definition of portable 
marine fuel line.
    Installed marine fuel tank means a fuel tank designed for delivering 
fuel to a Marine SI engine that does not meet the definition of portable 
marine fuel tanks.
    Large SI means relating to engines that are subject to evaporative 
emission standards in 40 CFR part 1048.
    Low-permeability material means, for gaskets, a material with 
permeation emission rates at or below 10 (g-mm)/m\2\/day when measured 
according to SAE J2659 (incorporated by reference

[[Page 40]]

in Sec.  1060.810), where the test temperature is 23 [deg]C, the test 
fuel is Fuel CE10, and testing immediately follows a four-week 
preconditioning soak with the test fuel.
    Manufacture means the physical and engineering process of designing, 
constructing, and assembling an engine, piece of nonroad equipment, or 
fuel-system components subject to the requirements of this part.
    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:
    (1) Any person who manufactures an engine or piece of nonroad 
equipment for sale in the United States or otherwise introduces a new 
nonroad engine or a piece of new nonroad equipment into U.S. commerce.
    (2) Any person who manufactures a fuel-system component for an 
engine subject to the requirements of this part as described in Sec.  
1060.1(a).
    (3) Importers who import such products into the United States.
    Marine SI means relating to vessels powered by engines that are 
subject to exhaust emission standards in 40 CFR part 1045.
    Marine vessel has the meaning given in 40 CFR Sec.  1045.801, which 
generally includes all nonroad equipment used as a means of 
transportation on water.
    Model year means one of the following things:
    (1) For equipment defined as ``new nonroad equipment'' under 
paragraph (1) of the definition of ``new nonroad engine,'' 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 other equipment defined as ``new nonroad equipment'' under 
paragraph (2) of the definition of ``new nonroad engine,'' model year 
has the meaning given in the exhaust standard-setting part.
    (3) For other equipment defined as ``new nonroad equipment'' under 
paragraph (3) or paragraph (4) of the definition of ``new nonroad 
engine,'' model year means the model year of the engine as defined in 
the exhaust standard-setting part.
    New nonroad equipment means equipment meeting one or more of the 
following criteria:
    (1) Nonroad equipment for which the ultimate purchaser has never 
received the equitable or legal title. The equipment is no longer new 
when the ultimate purchaser receives this title or the product is placed 
into service, whichever comes first.
    (2) Nonroad equipment that is defined as new under the exhaust 
standard-setting part. (Note: equipment that is not defined as new under 
the exhaust standard-setting part may be defined as new under this 
definition of ``new nonroad equipment.'')
    (3) Nonroad equipment with an engine that becomes new (as defined in 
the exhaust standard-setting part) while installed in the equipment. The 
equipment is no longer new when it is subsequently placed into service. 
This paragraph (3) does not apply if the engine becomes new before being 
installed in the equipment.
    (4) Nonroad equipment 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.  1060.1). The 
equipment is no longer new when it is subsequently placed into service. 
Importation of this kind of new nonroad equipment is generally 
prohibited by 40 CFR part 1068.
    Nominal capacity means a fuel tank's volume as specified by the fuel 
tank manufacturer, using at least two significant figures, based on the 
maximum volume of fuel the tank can hold with standard refueling 
techniques.
    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.  
1060.1).
    Nonroad equipment means a piece of equipment that is powered by or 
intended to be powered by one or more nonroad engines. Note that 
Sec. Sec.  1060.5 and

[[Page 41]]

1060.601 describes how we treat outboard engines, portable marine fuel 
tanks, and associated fuel-system components as nonroad equipment under 
this part 1060.
    Nontrailerable boat means a vessel whose length is 26.0 feet or 
more, or whose width is more than 8.5 feet.
    Official emission result means the measured emission rate for an 
emission-data unit.
    Placed into service means put into initial use for its intended 
purpose.
    Portable marine fuel line means a detachable fuel line that is used 
or intended to be used to supply fuel to a marine engine during 
operation. This also includes any fuel line labeled or marketed at USCG 
Type B1 fuel line as specified in 33 CFR 183.540, whether or not it 
includes detachable connecting hardware; this is often called universal 
fuel line.
    Portable marine fuel tank means a portable fuel tank that is used or 
intended to be used to supply fuel to a marine engine during operation.
    Portable nonroad fuel tank means a fuel tank that meets each of the 
following criteria:
    (1) It has design features indicative of use in portable 
applications, such as a carrying handle and fuel line fitting that can 
be readily attached to and detached from a nonroad engine.
    (2) It has a nominal fuel capacity of 12 gallons or less.
    (3) It is designed to supply fuel to an engine while the engine is 
operating.
    (4) It is not used or intended to be used to supply fuel to a marine 
engine.
    Production period means the period in which a component or piece of 
equipment will be produced under a certificate of conformity. A given 
production period for an emission family may not include components 
certified using different test data. A production period may not exceed 
five years for certified components. Note that the definition of model 
year includes specifications related to production periods for which a 
certificate is valid for equipment.
    Recreational vehicle means vehicles that are subject to evaporative 
emission standards in 40 CFR part 1051. This generally includes engines 
that will be installed in recreational vehicles if the engines are 
certified separately under 40 CFR 1051.20.
    Relating to as used in this section means relating to something in a 
specific, direct manner. This expression is used in this section only to 
define terms as adjectives and not to broaden the meaning of the terms.
    Revoke has the meaning given in 40 CFR 1068.30. If we revoke a 
certificate or an exemption, you must apply for a new certificate or 
exemption before continuing to introduce the affected equipment into 
U.S. commerce.
    Round means to round numbers according to standard procedures as 
specified in 40 CFR 1065.1001.
    Running loss emissions means unburned fuel vapor that escapes from 
the fuel system to the ambient atmosphere while the engine is operating, 
excluding permeation emissions and diurnal emissions. Running loss 
emissions generally result from fuel-temperature increases caused by 
heat released from in-tank fuel pumps, fuel recirculation, or proximity 
to heat sources such as the engine or exhaust components.
    Sealed means lacking openings to the atmosphere that would allow a 
measurable amount of liquid or vapor to leak out under normal operating 
pressures or other pressures specified in this part. For example, you 
may generally establish a maximum value for operating pressures based on 
the highest pressure you would observe from an installed fuel tank 
during continuous equipment operation on a sunny day with ambient 
temperatures of 35 [deg]C. A fuel system may be considered to have no 
measurable leak if it does not release bubbles when held underwater at 
the identified tank pressure for 60 seconds. This determination presumes 
the use of good engineering judgment; for example, it would not be 
appropriate to test the fuel tank such that small leaks would avoid 
detection by collecting in a cavity created by holding the tank with a 
certain orientation. Sealed fuel systems may have openings for emission 
controls or for fuel lines needed to route fuel to the engine.
    Small SI means relating to engines that are subject to emission 
standards in 40 CFR part 90 or 1054.

[[Page 42]]

    Structurally integrated nylon fuel tank means a fuel tank having all 
the following characteristics:
    (1) The fuel tank is made of a polyamide material that does not 
contain more than 50 percent by weight of a reinforcing glass fiber or 
mineral filler and does not contain more than 10 percent by weight of 
impact modified polyamides that use rubberized agents such as EPDM 
rubber.
    (2) The fuel tank must be used in a cut-off saw or chainsaw or be 
integrated into a major structural member where, as a single component, 
the fuel tank material is a primary structural/stress member for other 
major components such as the engine, transmission, or cutting 
attachment.
    Subchapter U means 40 CFR parts 1000 through 1299.
    Suspend has the meaning given in 40 CFR 1068.30. If we suspend a 
certificate, you may not introduce into U.S. commerce equipment from 
that emission family unless we reinstate the certificate or approve a 
new one. If we suspend an exemption, you may not introduce into U.S. 
commerce equipment that was previously covered by the exemption unless 
we reinstate the exemption.
    Tare means to use a container or other reference mass to zero a 
balance before weighing a sample. Generally, this means placing the 
container or reference mass on the balance, allowing it to stabilize, 
then zeroing the balance without removing the container or reference 
mass. This allows you to use the balance to determine the difference in 
mass between the sample and the container or reference mass.
    Test sample means the collection of fuel lines, fuel tanks, or fuel 
systems selected from the population of an emission family for emission 
testing. This may include certification testing or any kind of 
confirmatory testing.
    Test unit means a piece of fuel line, a fuel tank, or a fuel system 
in a test sample.
    Ultimate purchaser means, with respect to any new nonroad equipment, 
the first person who in good faith purchases such new nonroad equipment 
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.
    U.S.-directed production volume means the amount of equipment, 
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 new nonroad equipment is 
required to comply with all applicable emission standards. See Sec.  
1060.101.
    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 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.
    Wintertime equipment means equipment using a wintertime engine, as 
defined in 40 CFR 1054.801. Note this definition applies only for Small 
SI equipment.

[73 FR 59298, Oct. 8, 2008, as amended at 75 FR 23027, Apr. 30, 2010]



Sec.  1060.805  What symbols, acronyms, and abbreviations does this part use?

    The following symbols, acronyms, and abbreviations apply to this 
part:

[deg] degree.
ASTM American Society for Testing and Materials.
C Celsius.
CFR Code of Federal Regulations.
EPA Environmental Protection Agency.
FEL family emission limit.
g gram.
gal gallon.
hr hour.
in inch.
kPa kilopascal.
kW kilowatt.
L liter.
m meter.
min minute.
mm millimeter.

[[Page 43]]

psig pounds per square inch of gauge pressure.
SAE Society of Automotive Engineers.
SHED Sealed Housing for Evaporative Determination.
U.S. United States.
U.S.C. United States Code.
W watt.



Sec.  1060.810  What materials does this part reference?

    (a) Materials incorporated by reference. Certain material is 
incorporated by reference into this part with the approval of the 
Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 
51. To enforce any edition other than that specified in this section, a 
document must be published in the Federal Register and the material must 
be available to the public. All approved material is available for 
inspection at U.S. EPA, Air and Radiation Docket and Information Center, 
1301 Constitution Ave. NW., Room B102, EPA West Building, Washington, DC 
20460, (202) 202-1744, and is available from the sources listed below. 
It is also 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.
    (b) ASTM International material. The following standards are 
available from ASTM International, 100 Barr Harbor Drive, P.O. Box C700, 
West Conshohocken, PA, 19428-2959, (610) 832-9585, or http://
www.astm.org/:
    (1) ASTM D471-06, Standard Test Method for Rubber Property--Effect 
of Liquids, approved October 1, 2006 (``ASTM D471''), IBR approved for 
Sec.  1060.515(a).
    (2) ASTM D2862-97 (Reapproved 2004), Standard Test Method for 
Particle Size Distribution of Granular Activated Carbon, approved April 
1, 2004 (``ASTM D2862''), IBR approved for Sec.  1060.240(e).
    (3) ASTM D3802-79 (Reapproved 2005), Standard Test Method for Ball-
Pan Hardness of Activated Carbon, approved October 1, 2005 (``ASTM 
D3802''), IBR approved for Sec.  1060.240(e).
    (4) ASTM D4806-07, Standard Specification for Denatured Fuel Ethanol 
for Blending with Gasolines for Use as Automotive Spark-Ignition Engine 
Fuel, approved July 15, 2007 (``ASTM D4806''), IBR approved for Sec.  
1060.501(c).
    (5) ASTM D5228-92 (Reapproved 2005), Standard Test Method for 
Determination of Butane Working Capacity of Activated Carbon, approved 
October 1, 2005 (``ASTM D5228''), IBR approved for Sec.  1060.801.
    (c) SAE International material. The following standards are 
available from SAE International, 400 Commonwealth Dr., Warrendale, PA 
15096-0001, (877) 606-7323 (U.S. and Canada) or (724) 776-4970 (outside 
the U.S. and Canada), or http://www.sae.org:
    (1) SAE J30, Fuel and Oil Hoses, Revised June 1998, IBR approved for 
Sec.  1060.515(c).
    (2) SAE J1527, Marine Fuel Hoses, Revised February 1993, IBR 
approved for Sec.  1060.515(c).
    (3) SAE J2260, Nonmetallic Fuel System Tubing with One or More 
Layers, Revised November 2004, IBR approved for Sec.  1060.510.
    (4) SAE J2659, Test Method to Measure Fluid Permeation of Polymeric 
Materials by Speciation, Issued December 2003, IBR approved for Sec.  
1060.801.
    (5) SAE J2996, Surface Vehicle Recommended Practice, Small Diameter 
Fuel Line Permeation Test Procedure, Issued January 2013, IBR approved 
for Sec.  1060.515(d).
    (d) California Air Resources Board. The following documents are 
available from the California Air Resources Board, 1001 I Street, 
Sacramento, CA, 95812, (916) 322-2884, or http://www.arb.ca.gov:
    (1) Final Regulation Order, Article 1, Chapter 15, Division 3, Title 
13, California Code of Regulations, July 26, 2004, IBR approved for 
Sec.  1060.105(e), and 1060.240(e).
    (2) [Reserved]
    (e) American Boat and Yacht Council Material. The following 
documents are available from the American Boat and Yacht Council, 613 
Third Street, Suite 10, Annapolis, MD 21403 or (410) 990-4460 or http://
www.abycinc.org/:
    (1) ABYC H-25, Portable Marine Gasoline Fuel Systems, July 2010, IBR 
approved for Sec.  1060.105(f).

[[Page 44]]

    (2) [Reserved]

[80 FR 9117, Feb. 19, 2015]



Sec.  1060.815  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.  1060.820  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.  1060.825  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 products 
regulated under this part:
    (a) We specify the following requirements related to equipment 
certification in this part 1060:
    (1) In 40 CFR 1060.20 we give an overview of principles for 
reporting information.
    (2) In 40 CFR part 1060, subpart C, we identify a wide range of 
information required to certify engines.
    (3) In 40 CFR 1060.301 we require manufacturers to make engines or 
equipment available for our testing if we make such a request.
    (4) In 40 CFR 1060.505 we specify information needs for establishing 
various changes to published test procedures.
    (b) 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 equipment 
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) [Reserved]
    (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 equipment.
    (8) In 40 CFR 1068.450 and 1068.455 we specify certain records 
related to testing production-line products 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 equipment.

[[Page 45]]



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.

         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.
1065.247 Diesel exhaust fluid flow rate.
1065.248 Gas divider.

                   CO and CO2 Measurements

1065.250 Nondispersive infrared analyzer.

                        Hydrocarbon Measurements

1065.260 Flame ionization detector.
1065.265 Nonmethane cutter.
1065.266 Fourier transform infrared analyzer.
1065.267 Gas chromatograph with a flame ionization detector.
1065.269 Photoacoustic analyzer for ethanol and methanol.

             NOX and N2O Measurements

1065.270 Chemiluminescent detector.
1065.272 Nondispersive ultraviolet analyzer.
1065.275 N2O measurement devices.

                       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--for gas analyzers not continuously compensated 
          for other gas species.
1065.309 Continuous gas analyzer system-response and updating-recording 
          verification--for gas analyzers continuously compensated for 
          other gas species.

         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, PFD, and batch sampler verification (propane check).

[[Page 46]]

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.
1065.366 Interference verification for FTIR analyzers.
1065.369 H[bdi2]O, CO, and CO[bdi2] interference verification for 
          photoacoustic alcohol analyzers.

             NOX and N2O Measurements

1065.370 CLD CO2 and H2O quench verification.
1065.372 NDUV analyzer HC and H2O interference verification.
1065.375 Interference verification for N2O analyzers.
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 Over Specified Duty Cycles

1065.501 Overview.
1065.510 Engine mapping.
1065.512 Duty cycle generation.
1065.514 Cycle-validation criteria for operation over specified duty 
          cycles.
1065.516 Sample system decontamination and preconditioning.
1065.518 Engine preconditioning.
1065.520 Pre-test verification procedures and pre-test data collection.
1065.525 Engine starting, restarting, and shutdown.
1065.526 Repeating of void modes or test intervals.
1065.530 Emission test sequence.
1065.545 Verification of proportional flow control for batch sampling.
1065.546 Verification of minimum dilution ratio for PM batch sampling.
1065.550 Gas analyzer range verification and drift verification.
1065.590 PM sampling media (e.g., filters) preconditioning and tare 
          weighing.
1065.595 PM sample post-conditioning and total weighing.

              Subpart G_Calculations and Data Requirements

1065.601 Overview.
1065.602 Statistics.
1065.610 Duty cycle generation.
1065.630 Local acceleration of gravity.
1065.640 Flow meter calibration calculations.
1065.642 PDP, SSV, and CFV 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, NMHC, NMNEHC, CH4, and 
          C2H6 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.
1065.680 Adjusting emission levels to account for infrequently 
          regenerating aftertreatment devices.
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.
1065.725 High-level ethanol-gasoline blends.
1065.735 Diesel exhaust fluid.
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.

[[Page 47]]

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 Incorporation by reference.

        Subpart L_Methods for Unregulated and Special Pollutants

1065.1101 Applicability.
1065.1102 Semi-Volatile Organic Compounds
1065.1103 General provisions for SVOC measurement.
1065.1105 Sampling system design.
1065.1107 Sample media and sample system preparation; sampler assembly.
1065.1109 Post-test sampler disassembly and sample extraction.
1065.1111 Sample analysis.

    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) 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 compression-ignition 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 and 
stationary compression-ignition engines that are certified to the 
standards in 40 CFR part 1042, 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 94 according to Sec.  
1065.10.
    (5) Marine spark-ignition engines we regulate under 40 CFR part 
1045. For earlier model years, manufacturers may use the test procedures 
in this part or those specified in 40 CFR part 91 according to Sec.  
1065.10.
    (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) Small nonroad spark-ignition engines we regulate under 40 CFR 
part 1054 and stationary engines that are certified to the standards in 
40 CFR part 1054 as specified in 40 CFR part 60, subpart JJJJ. For 
earlier model years, manufacturers may use the test procedures in this 
part or those specified in 40 CFR part 90 according to Sec.  1065.10.
    (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

[[Page 48]]

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. Note that 
while 40 CFR part 86 is the standard-setting part for heavy-duty highway 
engines, this refers specifically to 40 CFR part 86, subpart A, and to 
certain portions of 40 CFR part 86, subpart N, as described in 40 CFR 
86.1301.
    (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 http://www.epa.gov, and in particular http://
www.epa.gov/nvfel/testing/regulations.htm.
    (h) This part describes procedures and specifications for measuring 
an engine's exhaust emissions. While the measurements are geared toward 
engine-based measurements (in units of g/kW [middot] hr), many of these 
provisions apply equally to vehicle-based measurements (in units of g/
mile or g/kilometer). 40 CFR part 1066 describes the analogous 
procedures for vehicle-based emission measurements, and in many cases 
states that specific provisions of this part 1065 also apply for those 
vehicle-based measurements. Where material from this part 1065 applies 
for vehicle-based measurements under 40 CFR part 1066, it is sometimes 
necessary to include parenthetical statements in this part 1065 to 
properly cite secondary references that are different for vehicle-based 
testing. See 40 CFR part 1066 and the standard-setting part for 
additional information.

[73 FR 37288, June 30, 2008, as amended at 73 FR 59321, Oct. 8, 2008; 75 
FR 23028, Apr. 30, 2010; 76 FR 37977, June 28, 2011; 76 FR 57437, Sept. 
15, 2011; 79 FR 23752, Apr. 28, 2014]



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. If you provide statements or information to 
someone for submission to EPA, you are responsible for these statements 
and information as if you had submitted them to EPA yourself.
    (b) In the standard-setting part and in 40 CFR 1068.101, we describe 
your obligation to report truthful and complete information and the 
consequences of failing to meet this obligation. See also 18 U.S.C. 1001 
and 42 U.S.C. 7413(c)(2). This obligation applies whether you submit 
this information directly to EPA or through someone else.
    (c) We may void any certificates or approvals associated with a 
submission of information if we find that you intentionally submitted 
false, incomplete, or misleading information. For example, if we find 
that you intentionally submitted incomplete information to mislead EPA 
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 the information 
submitted is accurate and complete. This

[[Page 49]]

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 are 
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.

[73 FR 37289, June 30, 2008, as amended at 75 FR 23028, Apr. 30, 2010; 
79 FR 23752, Apr. 28, 2014]



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 constituents do I need to measure? Measure all 
exhaust constituents that are subject to emission standards, any other 
exhaust constituents needed for calculating emission rates, and any 
additional exhaust constituents as specified in the standard-setting 
part. Alternatively, you may omit the measurement of N2O and 
CH4 for an engine, provided it is not subject to an 
N2O or CH4 emission standard. If you omit the 
measurement of N2O and CH4, you must provide other 
information and/or data that will give us a reasonable basis for 
estimating the engine's emission rates.
    (4) Do any unique specifications apply for test fuels?
    (5) What maintenance steps may I take before or between tests on an 
emission-data engine?
    (6) Do any unique requirements apply to stabilizing emission levels 
on a new engine?
    (7) Do any unique requirements apply to test limits, such as ambient 
temperatures or pressures?
    (8) Is field testing required or allowed, and are there different 
emission standards or procedures that apply to field testing?
    (9) Are there any emission standards specified at particular engine-
operating conditions or ambient conditions?
    (10) Do any unique requirements apply for durability testing?
    (b) The testing specifications in the standard-setting part may 
differ from the specifications in this part. In cases where it is not 
possible to comply with both the standard-setting part and this part, 
you must comply with the specifications in the standard-setting part. 
The standard-setting part may also allow you to deviate from the 
procedures of this part for other reasons.
    (c) The following table shows how this part divides testing 
specifications into subparts:

       Table 1 of 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 50]]


[73 FR 37289, June 30, 2008, as amended at 74 FR 56511, Oct. 30, 2009]



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 noted in this section. In some other sections in this part, 
we allow you to use other procedures (such as less precise or less 
accurate procedures) if they do not affect your ability to show that 
your engines comply with the applicable emission standards. This 
generally requires emission levels to be far enough below the applicable 
emission standards so that any errors caused by greater imprecision or 
inaccuracy do not affect your ability to state unconditionally that the 
engines meet all applicable emission standards.
    (b) Our testing. These procedures generally apply for testing that 
we do to determine if your engines comply with applicable emission 
standards. We may perform other testing as allowed by the Act.
    (c) Exceptions. We may allow or require you to use procedures other 
than those specified in this part in the following cases, which may 
apply to laboratory testing, field testing, or both. We intend to 
publicly announce when we allow or require such exceptions. All of the 
test procedures noted here as exceptions to the specified procedures are 
considered generically as ``other procedures.'' Note that the terms 
``special procedures'' and ``alternate procedures'' have specific 
meanings; ``special procedures'' are those allowed by 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, 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 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 affects 
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

[[Page 51]]

it can be used to show compliance with the requirements of the standard-
setting part. Where we approve special procedures that differ 
substantially from the specified procedures, we may preclude you from 
participating in averaging, banking, and trading with the affected 
engine families.
    (3) In a given model year, you may use procedures required for later 
model year engines without request. If you upgrade your testing facility 
in stages, you may rely on a combination of procedures for current and 
later model year engines as long as you can ensure, using good 
engineering judgment, that the combination you use for testing does not 
affect your ability to show compliance with the applicable emission 
standards.
    (4) In a given model year, you may ask to use procedures allowed for 
earlier model year engines. We will approve this only if you show us 
that using the procedures allowed for earlier model years does not 
affect your ability to show compliance with the applicable emission 
standards.
    (5) You may ask to use emission data collected using other 
procedures, such as those of the California Air Resources Board 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 (and 40 CFR part 1066 for vehicle 
testing), you may use data collected using procedures specified in the 
previously applicable version of this part 1065 (and 40 CFR part 1066 
for vehicle testing). This also applies for changes to test procedures 
specified in the standard-setting part to the extent that these changes 
do not correspond to new emission standards. This paragraph (c)(6) does 
not restrict the use of carryover certification data otherwise allowed 
by the standard-setting part.
    (7) You may request to use alternate procedures that are equivalent 
to the specified procedures, or procedures that are more accurate or 
more precise than the specified procedures. We may perform tests with 
your engines using either the approved alternate procedures or the 
specified procedures. The following provisions apply to requests for 
alternate procedures:
    (i) Applications. Follow the instructions in 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) Advance approval. If we require you to request approval to use 
other procedures under paragraph (c) of this section, you may not use 
them until we approve your request.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37290, June 30, 2008; 
75 FR 23028, Apr. 30, 2010; 79 FR 23752, Apr. 28, 2014; 80 FR 9118, Feb. 
19, 2015; 81 FR 74162, Oct. 25, 2016]



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, 
whether or not it includes all the information specified in this 
section. Where we determine that your original submission does not 
include enough information for us to determine that the alternate 
procedure is equivalent to the specified procedure, we may ask you to 
submit supplemental information showing that your alternate procedure is 
consistently and reliably at least as accurate and repeatable as the 
specified procedure.
    (b) We may make our approval under this section conditional upon 
meeting other requirements or specifications.

[[Page 52]]

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 
additional information to fully evaluate your request. While we consider 
the information specified in this paragraph (d) and the statistical 
criteria of paragraph (e) of this section to be sufficient to 
demonstrate equivalence, it may not be necessary to include all the 
information or meet the specified statistical criteria. For example, 
systems that do not meet the statistical criteria in paragraph (e) of 
this section because they have a small bias toward high emission results 
could be approved since they would not adversely affect your ability to 
demonstrate compliance with applicable standards.
    (1) Theoretical basis. Give a brief technical description explaining 
why you believe the proposed alternate procedure should result in 
emission measurements equivalent to those using the specified procedure. 
You may include equations, figures, and references. You should consider 
the full range of parameters that may affect equivalence. For example, 
for a request to use a different NOX measurement procedure, 
you should theoretically relate the alternate detection principle to the 
specified detection principle over the expected concentration ranges for 
NO, NO2, and interference gases. For a request to use a 
different PM measurement procedure, you should explain the principles by 
which the alternate procedure quantifies particulate mass similarly to 
the specified procedures.
    (2) Technical description. Describe briefly any hardware or software 
needed to perform the alternate procedure. You may include dimensioned 
drawings, flowcharts, schematics, and component specifications. Explain 
any necessary calculations or other data manipulation.
    (3) Procedure execution. Describe briefly how to perform the 
alternate procedure and recommend a level of training an operator should 
have to achieve acceptable results.
    Summarize the installation, calibration, operation, and maintenance 
procedures in a step-by-step format. Describe how any calibration is 
performed using NIST-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) Absent any other directions from us, use a t-test and an F-test 
calculated according to Sec.  1065.602 to evaluate

[[Page 53]]

whether your proposed alternate procedure is equivalent to the specified 
procedure. We may give you specific directions regarding methods for 
statistical analysis, or we may approve other methods that you propose. 
Such alternate methods may be more or less stringent than those 
specified in this paragraph (e). In determining the appropriate 
statistical criteria, we will consider the repeatability of measurements 
made with the reference procedure. For example, less stringent 
statistical criteria may be appropriate for measuring emission levels 
being so low that they adversely affect the repeatability of reference 
measurements. We recommend that you consult a statistician if you are 
unfamiliar with these statistical tests. Perform the tests as follows:
    (1) Repeat measurements for all applicable duty cycles at least 
seven times for each procedure. You may use laboratory duty cycles to 
evaluate field-testing procedures.
    Be sure to include all available results to evaluate the precision 
and accuracy of the proposed alternate procedure, as described in 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 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.

[[Page 54]]

    (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.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37290, June 30, 2008; 
79 FR 23752, Apr. 28, 2014]



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) Hydrocarbon, HC, which may be expressed in the following ways:
    (i) Total hydrocarbon, THC.
    (ii) Nonmethane hydrocarbon, NMHC, which results from subtracting 
methane, CH4, from THC.
    (iii) Nonmethane-nonethane hydrocarbon, NMNEHC, which results from 
subtracting methane, CH4, and ethane, 
C2H6, from THC.
    (iv) Total hydrocarbon-equivalent, THCE, which results from 
adjusting THC mathematically to be equivalent on a carbon-mass basis.
    (v) Nonmethane hydrocarbon-equivalent, NMHCE, which results from 
adjusting NMHC mathematically to be equivalent on a carbon-mass basis.
    (3) Particulate matter, PM.
    (4) Carbon monoxide, CO.
    (5) Carbon dioxide, CO2.
    (6) Methane, CH4.
    (7) Nitrous oxide, N2O.
    (b) Note that some engines are not subject to standards for all the 
emission constituents identified in paragraph (a) of this section. Note 
also that the standard-setting part may include standards for pollutants 
not listed in paragraph (a) of this section.
    (c) We generally set brake-specific emission standards over test 
intervals and/or duty cycles, as follows:
    (1) Engine operation. Testing may involve measuring emissions and 
work in a laboratory-type environment or in the field, as described in 
paragraph (f) of this section. For most laboratory testing, the engine 
is operated over one or more duty cycles specified in the standard-
setting part. However, laboratory testing may also include non-duty 
cycle testing (such as simulation of field testing in a laboratory). For 
field testing, the engine is operated under normal in-use operation. The 
standard-setting part specifies how test intervals are defined for field 
testing. Refer to the definitions of ``duty cycle'' and ``test 
interval'' in Sec.  1065.1001. Note that a single duty cycle may have 
multiple test intervals and require weighting of results from multiple 
test intervals to calculate a composite brake-specific emissions value 
to compare to the standard.
    (2) Constituent determination. Determine the total mass of each 
constituent over a test interval by selecting from the following 
methods:
    (i) Continuous sampling. In continuous sampling, measure the 
constituent's concentration continuously from raw or dilute exhaust. 
Multiply this concentration by the continuous (raw or dilute) flow rate 
at the emission sampling location to determine the constituent's flow 
rate. Sum the constituent's flow rate continuously over the test 
interval. This sum is the total mass of the emitted constituent.
    (ii) Batch sampling. In batch sampling, continuously extract and 
store a sample of raw or dilute exhaust for later measurement. Extract a 
sample proportional to the raw or dilute exhaust flow rate. You may 
extract and store a proportional sample of exhaust in an appropriate 
container, such as a bag, and then measure NOX, HC, CO, 
CO2, CH4, N2O, and CH2O 
concentrations in the container after the test interval. You may deposit 
PM from proportionally extracted exhaust onto an appropriate substrate, 
such as a filter. In this case, divide the PM by the amount of filtered 
exhaust to calculate the PM concentration. Multiply batch sampled 
concentrations by the total (raw or dilute) flow from which it was 
extracted during the test interval. This

[[Page 55]]

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. Synchronously multiply speed and brake torque 
to calculate instantaneous values for engine brake power. Sum engine 
brake power over a test interval to determine total work.
    (ii) Fuel consumed and brake-specific fuel consumption. Directly 
measure fuel consumed or calculate it with chemical balances of the 
fuel, intake air, and exhaust. To calculate fuel consumed by a chemical 
balance, you must also measure either intake-air flow rate or exhaust 
flow rate. Divide the fuel consumed during a test interval by the brake-
specific fuel consumption to determine work over the test interval. For 
laboratory testing, calculate the brake-specific fuel consumption using 
fuel consumed and speed and torque over a test interval. For field 
testing, refer to the standard-setting part and 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 56]]

[GRAPHIC] [TIFF OMITTED] TR15SE11.019

    (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:

[[Page 57]]

    (i) For laboratory testing, you generally determine brake-specific 
emissions for duty-cycle testing by using an engine dynamometer in a 
laboratory or other environment. This typically consists of one or more 
test intervals, each defined by a duty cycle, which is a sequence of 
modes, speeds, and/or torques (or powers) that an engine must follow. If 
the standard-setting part allows it, you may also simulate field testing 
with an engine dynamometer in a laboratory or other environment.
    (ii) Field testing consists of normal in-use engine operation while 
an engine is installed in a vehicle, equipment, or vessel 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''.)

[70 FR 40516, July 13, 2005, as amended at 73 FR 37290, June 30, 2008; 
75 FR 23028, Apr. 30, 2010; 76 FR 57437, Sept. 15, 2011; 79 FR 23753, 
Apr. 28, 2014; 81 FR 74162, Oct. 25, 2016]



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, which we incorporate by reference in Sec.  1065.1010. 
The following exceptions apply:
    (1) We designate angular speed, fn, of an engine's 
crankshaft in revolutions per minute (r/min), rather than the SI unit of 
radians per second (rad/s). This is based on the commonplace use of r/
min in many engine dynamometer laboratories.
    (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.
    (3) We generally 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. Unless 
specified otherwise, always use absolute temperature values for 
multiplying or dividing by temperature.
    (b) Concentrations. This part does not rely on amounts expressed in 
parts per million. Rather, we express such amounts in the following SI 
units:
    (1) For ideal gases, [micro]mol/mol, formerly ppm (volume).
    (2) For all substances, cm\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. Always use absolute 
pressure values for multiplying or dividing by pressure.
    (d) Units conversion. Use the following conventions to convert 
units:
    (1) Testing. You may record values and perform calculations with 
other units. For testing with equipment that involves other units, use 
the conversion factors from NIST Special Publication 811, as described 
in paragraph (a) of this section.

[[Page 58]]

    (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. You are required to round certain final values, such 
as final emission values. You may round intermediate values when 
transferring data as long as you maintain at least six significant 
digits (which requires more than six decimal places for values less than 
0.1), or all significant digits if fewer than six digits are available. 
Unless the standard-setting part specifies otherwise, do not round other 
intermediate values. Round values to the number of significant digits 
necessary to match the number of decimal places of the applicable 
standard or specification as described in this paragraph (e). Note that 
specifications expressed as percentages have infinite precision (as 
described in paragraph (e)(7) of this section). Use the following 
rounding convention, which is consistent with ASTM E29 and NIST SP 811:
    (1) If the first (left-most) digit to be removed is less than five, 
remove all the appropriate digits without changing the digits that 
remain. For example, 3.141593 rounded to the second decimal place is 
3.14.
    (2) If the first digit to be removed is greater than five, remove 
all the appropriate digits and increase the lowest-value remaining digit 
by one. For example, 3.141593 rounded to the fourth decimal place is 
3.1416.
    (3) If the first digit to be removed is five with at least one 
additional non-zero digit following the five, remove all the appropriate 
digits and increase the lowest-value remaining digit by one. For 
example, 3.141593 rounded to the third decimal place is 3.142.
    (4) If the first digit to be removed is five with no additional non-
zero digits following the five, remove all the appropriate digits, 
increase the lowest-value remaining digit by one if it is odd and leave 
it unchanged if it is even. For example, 1.75 and 1.750 rounded to the 
first decimal place are 1.8; while 1.85 and 1.850 rounded to the first 
decimal place are also 1.8. Note that this rounding procedure will 
always result in an even number for the lowest-value digit.
    (5) This paragraph (e)(5) applies if the regulation specifies 
rounding to an increment other than decimal places or powers of ten (to 
the nearest 0.01, 0.1, 1, 10, 100, etc.). To round numbers for these 
special cases, divide the quantity by the specified rounding increment. 
Round the result to the nearest whole number as described in paragraphs 
(e)(1) through (4) of this section. Multiply the rounded number by the 
specified rounding increment. This value is the desired result. For 
example, to round 0.90 to the nearest 0.2, divide 0.90 by 0.2 to get a 
result of 4.5, which rounds to 4. Multiplying 4 by 0.2 gives 0.8, which 
is the result of rounding 0.90 to the nearest 0.2.
    (6) The following tables further illustrate the rounding procedures 
specified in this paragraph (e):

----------------------------------------------------------------------------------------------------------------
                                                                        Rounding increment
                    Quantity                     ---------------------------------------------------------------
                                                        10               1              0.1            0.01
----------------------------------------------------------------------------------------------------------------
3.141593........................................               0               3             3.1            3.14
123,456.789.....................................         123,460         123,457       123,456.8      123,456.79
5.500...........................................              10               6             5.5            5.50
4.500...........................................               0               4             4.5            4.50
----------------------------------------------------------------------------------------------------------------


----------------------------------------------------------------------------------------------------------------
                                                                        Rounding increment
                    Quantity                     ---------------------------------------------------------------
                                                        25               3              0.5            0.02
----------------------------------------------------------------------------------------------------------------
229.267.........................................             225             228           229.5          229.26
62.500..........................................              50              63            62.5           62.50
87.500..........................................             100              87            87.5           87.50
7.500...........................................               0               6             7.5            7.50
----------------------------------------------------------------------------------------------------------------


[[Page 59]]

    (7) This paragraph (e)(7) applies where we specify a limit or 
tolerance as some percentage of another value (such as 2% of a maximum concentration). You may show compliance 
with such specifications either by applying the percentage to the total 
value to calculate an absolute limit, or by converting the absolute 
value to a percentage by dividing it by the total value.
    (i) Do not round either value (the absolute limit or the calculated 
percentage), except as specified in paragraph (e)(7)(ii) of this 
section. For example, assume we specify that an analyzer must have a 
repeatability of 1% of the maximum concentration 
or better, the maximum concentration is 1059 ppm, and you determine 
repeatability to be 6.3 ppm. In this example, you 
could calculate an absolute limit of 10.59 ppm 
(1059 ppm x 0.01) or calculate that the 6.3 ppm repeatability is 
equivalent to a repeatability of 0.5949008498584%.
    (ii) Prior to July 1, 2013, you may treat tolerances (and equivalent 
specifications) specified in percentages as having fixed rather than 
infinite precision. For example, 2% would be equivalent to 1.51% to 
2.50% and 2.0% would be equivalent to 1.951% to 2.050%. Note that this 
allowance applies whether or not the percentage is explicitly specified 
as a percentage of another value.
    (8) You may use measurement devices that incorporate internal 
rounding, consistent with the provisions of this paragraph (e)(8). You 
may use devices that use any rounding convention if they report six or 
more significant digits. You may use devices that report fewer than six 
digits, consistent with good engineering judgment and the accuracy, 
repeatability, and noise specifications of this part. Note that this 
provision does not necessarily require you to perform engineering 
analysis or keep records.
    (f) Interpretation of ranges. Interpret a range as a tolerance 
unless we explicitly identify it as an accuracy, repeatability, 
linearity, or noise specification. See 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 (such as X Y), target the associated control point to that single 
value (X). Examples of this type of range include ``10% of maximum pressure'', or ``(30 10) kPa''. In these examples, you would target the 
maximum pressure or 30 kPa, respectively.
    (2) Whenever we specify a range by the interval between two values, 
you may target any associated control point to any value within that 
range. An example of this type of range is ``(40 to 50) kPa''.
    (g) Scaling of specifications with respect to an applicable 
standard. Because this part 1065 is applicable to a wide range of 
engines and emission standards, some of the specifications in this part 
are scaled with respect to an engine's applicable standard or maximum 
power. This ensures that the specification will be adequate to determine 
compliance, but not overly burdensome by requiring unnecessarily high-
precision equipment. Many of these specifications are given with respect 
to a ``flow-weighted mean'' that is expected at the standard or during 
testing. Flow-weighted mean is the mean of a quantity after it is 
weighted proportional to a corresponding flow rate. For example, if a 
gas concentration is measured continuously from the raw exhaust of an 
engine, its flow-weighted mean concentration is the sum of the products 
(dry-to-wet corrected, if applicable) of each recorded concentration 
times its respective exhaust flow rate, divided by the sum of the 
recorded flow rates. As another example, the bag concentration from a 
CVS system is the same as the flow-weighted mean concentration, because 
the CVS system itself flow-weights the bag concentration. Refer to Sec.  
1065.602 for information needed to estimate and calculate flow-weighted 
means. Wherever a specification is scaled to a value based upon an 
applicable standard, interpret the standard to be the family emission 
limit if the engine is certified under an emission credit program in the 
standard-setting part.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37292, June 30, 2008; 
76 FR 57438, Sept. 15, 2011; 79 FR 23753, Apr. 28, 2014]



Sec.  1065.25  Recordkeeping.

    (a) The procedures in this part include various requirements to 
record

[[Page 60]]

data or other information. Refer to the standard-setting part and Sec.  
1065.695 regarding specific recordkeeping requirements.
    (b) You must promptly send us organized, written records in English 
if we ask for them. We may review them at any time.
    (c) We may waive specific reporting or recordkeeping requirements we 
determine to be unnecessary for the purposes of this part and the 
standard-setting part. Note that while we will generally keep the 
records required by this part, we are not obligated to keep records we 
determine to be unnecessary for us to keep. For example, while we 
require you to keep records for invalid tests so that we may verify that 
your invalidation was appropriate, it is not necessary for us to keep 
records for our own invalid tests.

[79 FR 23753, Apr. 28, 2014]



                   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 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.
    (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.
    (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.

[[Page 61]]

[GRAPHIC] [TIFF OMITTED] TR13JY05.012


[[Page 62]]


[GRAPHIC] [TIFF OMITTED] TR13JY05.013


[70 FR 40516, July 13, 2005, as amended at 73 FR 37292, June 30, 2008]



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) 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.
    (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 include a vessel's propeller and a 
locomotive's generator.
    (2) Electrical work. Use one or more of the following to simulate 
electrical work:

[[Page 63]]

    (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. 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.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37292, June 30, 2008]



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.
    (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.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37293, June 30, 2008]



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.

[[Page 64]]

    (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.
    (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. For two-stroke engines that involve a specified mixture of 
fuel and lubricating oil, mix the lubricating oil with the fuel 
according to the manufacturer's specifications.
    (d) Coolant. For liquid-cooled engines, use coolant as specified in 
Sec.  1065.745.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37293, June 30, 2008]



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 of the furthest upstream engine or in-use intake system 
component. This would generally be near the engine's air filter, or near 
the inlet to the in-use air intake system for engines that have no air 
filter. For engines with multiple intakes, make measurements near the 
entrance of each intake.
    (1) Pressure. You may use a single shared atmospheric pressure meter 
as long as your laboratory equipment for handling intake air maintains 
ambient pressure at all intakes within 1 kPa of 
the shared atmospheric pressure. For engines with multiple intakes with 
separate atmospheric pressure measurements at each intake, use an 
average value for verifying compliance to Sec.  1065.520(b)(2).
    (2) Humidity. You may use a single shared humidity measurement for 
intake air as long as your equipment for handling intake air maintains 
dewpoint at all intakes to within 0.5 [deg]C of 
the shared humidity measurement. For engines with multiple intakes with 
separate humidity measurements at each intake, use a flow-weighted 
average humidity for NOX corrections. If individual flows of 
each intake are not measured, use good engineering judgment to estimate 
a flow-weighted average humidity.
    (3) Temperature. Good engineering judgment may require that you 
shield the temperature sensors or move them upstream of an elbow in the 
laboratory intake system to prevent measurement errors due to radiant 
heating from hot engine surfaces or in-use intake system components. You 
must limit the distance between the temperature sensor and the entrance 
to the furthest upstream engine or in-use intake system component to no 
more than 12 times the outer hydraulic diameter of the entrance to the 
furthest upstream engine or in-use intake system component. However, you 
may exceed this limit if you use good engineering judgment to show that 
the temperature at the furthest upstream engine or in-use intake system 
component meets the specification in paragraph (c) of this section. For 
engines with multiple intakes, use a flow-weighted average value to 
verify compliance with the specification in paragraph (c) of this 
section. If individual flows of each intake are not measured, you may 
use good engineering judgment to estimate a flow-weighted average 
temperature. You may also verify that each individual intake complies 
with the specification in paragraph (c) of this section.
    (c) Maintain the temperature of intake air to (25 5) [deg]C, except as follows:
    (1) Follow the standard-setting part if it specifies different 
temperatures.
    (2) For engines above 560 kW, you may use 35 [deg]C as the upper 
bound of the tolerance. However, your system must be capable of 
controlling the temperature to the 25 [deg]C setpoint for any

[[Page 65]]

steady-state operation at 30% of maximum engine power.
    (3) You may ask us to allow you to apply a different setpoint for 
intake air temperature if it is necessary to remain consistent with the 
provisions of Sec.  1065.10(c)(1) for testing during which ambient 
temperature will be outside this range.
    (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 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. Before starting a duty 
cycle (or preconditioning for a duty cycle), completely close all drains 
that would normally be closed during in-use operation. Keep those 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. We recommend 
maintaining a coolant temperature of 25 5 [deg]C 
at the inlet of the charge-air cooler.
    (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) Using a constant flow rate as described in paragraph (e)(1) of 
this section may result in unrepresentative overcooling of the intake 
air. The provisions of this paragraph (e)(2) apply instead of the 
provisions of Sec.  1065.10(c)(1) for this simulation. Our allowance to 
cool intake air as specified in this paragraph (e) does not affect your 
liability for field testing or for laboratory testing that is done in a 
way that better represents in-use operation. Where we determine that 
this allowance adversely affects your ability to demonstrate that your 
engines would comply with emission standards under in-use conditions, we 
may require you to use more sophisticated setpoints and controls of 
charge-air pressure drop, coolant temperature, and flow rate 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.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37293, June 30, 2008; 
73 FR 59321, Oct. 8, 2008; 75 FR 23029, Apr. 30, 2010; 76 FR 57440, 
Sept. 15, 2011]



Sec.  1065.127  Exhaust gas recirculation.

    Use the exhaust gas recirculation (EGR) system installed with the 
engine

[[Page 66]]

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. We refer to exhaust piping as an 
exhaust stack; this is equivalent to a tailpipe for vehicle 
configurations.
    (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 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. For raw 
or dilute partial-flow emission sampling, to ensure mixing of the 
multiple exhaust streams before emission sampling, we recommend a 
minimum Reynolds number, Re #, of 4000 for the combined 
exhaust stream, whereRe # is based on the inside diameter of 
the combined flow at the first sampling point. You may configure the 
exhaust system with turbulence generators, such as orifice plates or 
fins, to achieve good mixing; inclusion of turbulence generators may be 
required forRe # less than 4000 to ensure good mixing.Re 
# is defined in Sec.  1065.640. For dilute full-flow (CVS) 
emission sampling, you may configure the exhaust system without regard 
to mixing in the laboratory section of the raw exhaust. For example you 
may size the laboratory section to reduce its pressure drop even if 
theRe #, in the laboratory section of the raw exhaust is less 
than 4000.
    (d) In-line instruments. You may insert instruments into the 
laboratory exhaust tubing, such as an in-line

[[Page 67]]

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 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.

[73 FR 37293, June 30, 2008, as amended at 79 FR 23754, Apr. 28, 2014]



Sec.  1065.140  Dilution for gaseous and PM constituents.

    (a) General. You may dilute exhaust with ambient air, purified air, 
or nitrogen. References in this part to ``dilution air'' may include any 
of these. For gaseous emission measurement, the dilution air must be at 
least 15 [deg]C. Note that the composition of the dilution air affects 
some gaseous emission measurement instruments' response to emissions. We 
recommend diluting exhaust at a location as close as possible

[[Page 68]]

to the location where ambient air dilution would occur in use. Dilution 
may occur in a single stage or in multiple stages. For dilution in 
multiple stages, the first stage is considered primary dilution and 
later stages are considered secondary dilution.
    (b) Dilution-air conditions and background concentrations. Before 
dilution air 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 dilution air 
and compensate for background effects on test results. See Sec.  
1065.650 for calculations that compensate for background concentrations 
(40 CFR 1066.610 for vehicle testing).
    (2) 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 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. You may 
not use any flexible tubing in the dilution tunnel upstream of the PM 
sample probe. You may use nonconductive flexible tubing downstream of 
the PM sample probe and upstream of the CVS flow meter; use good 
engineering judgment to select a tubing material that is not prone to 
leaks, and configure the tubing to ensure smooth flow at the CVS flow 
meter.
    (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 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.
    (3) Mixing. Introduce raw exhaust into the tunnel by directing it 
downstream along the centerline of the tunnel. If you dilute directly 
from the exhaust stack, the end of the exhaust stack is considered to be 
the start of the dilution 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, whereRe # is

[[Page 69]]

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. This paragraph (c)(6) describes how you 
must address aqueous condensation in the CVS. As described below, you 
may meet these requirements by preventing or limiting aqueous 
condensation in the CVS from the exhaust inlet to the last emission 
sample probe. See that paragraph for provisions related to the CVS 
between the last emission sample probe and the CVS flow meter. You may 
heat and/or insulate the dilution tunnel walls, as well as the bulk 
stream tubing downstream of the tunnel to prevent or limit aqueous 
condensation. Where we allow aqueous condensation to occur, use good 
engineering judgment to ensure that the condensation does not affect 
your ability to demonstrate that your engines comply with the applicable 
standards (see Sec.  1065.10(a)).
    (i) Preventing aqueous condensation. To prevent condensation, you 
must keep the temperature of internal surfaces, excluding any sample 
probes, above the dew point of the dilute exhaust passing through the 
CVS tunnel. Use good engineering judgment to monitor temperatures in the 
CVS. For the purposes of this paragraph (c)(6), assume that aqueous 
condensation is pure water condensate only, even though the definition 
of ``aqueous condensation'' in Sec.  1065.1001 includes condensation of 
any constituents that contain water. No specific verification check is 
required under this paragraph (c)(6)(i), but we may ask you to show how 
you comply with this requirement. You may use engineering analysis, CVS 
tunnel design, alarm systems, measurements of wall temperatures, and 
calculation of water dew point to demonstrate compliance with this 
requirement. For optional CVS heat exchangers, you may use the lowest 
water temperature at the inlet(s) and outlet(s) to determine the minimum 
internal surface temperature.
    (ii) Limiting aqueous condensation. This paragraph (c)(6)(ii) 
specifies limits of allowable condensation and requires you to verify 
that the amount of condensation that occurs during each test interval 
does not exceed the specified limits.
    (A) Use chemical balance equations in Sec.  1065.655 to calculate 
the mole fraction of water in the dilute exhaust continuously during 
testing. Alternatively, you may continuously measure the mole fraction 
of water in the dilute exhaust prior to any condensation during testing. 
Use good engineering judgment to select, calibrate and verify water 
analyzers/detectors. The linearity verification requirements of Sec.  
1065.307 do not apply to water analyzers/detectors used to correct for 
the water content in exhaust samples.
    (B) Use good engineering judgment to select and monitor locations on 
the CVS tunnel walls prior to the last emission sample probe. If you are 
also verifying limited condensation from the last emission sample probe 
to the CVS flow meter, use good engineering judgment to select and 
monitor locations on the CVS tunnel walls, optional CVS heat exchanger, 
and CVS flow meter. For optional CVS heat exchangers, you may use the 
lowest water temperature at the inlet(s) and outlet(s) to determine the 
minimum internal surface temperature. Identify the minimum surface 
temperature on a continuous basis.
    (C) Identify the maximum potential mole fraction of dilute exhaust 
lost on a continuous basis during the entire test interval. This value 
must be less than or equal to 0.02. Calculate on a continuous basis the 
mole fraction of water that would be in equilibrium with liquid water at 
the measured minimum surface temperature. Subtract

[[Page 70]]

this mole fraction from the mole fraction of water that would be in the 
exhaust without condensation (either measured or from the chemical 
balance), and set any negative values to zero. This difference is the 
potential mole fraction of the dilute exhaust that would be lost due to 
water condensation on a continuous basis.
    (D) Integrate the product of the molar flow rate of the dilute 
exhaust and the potential mole fraction of dilute exhaust lost, and 
divide by the totalized dilute exhaust molar flow over the test 
interval. This is the potential mole fraction of the dilute exhaust that 
would be lost due to water condensation over the entire test interval. 
Note that this assumes no re-evaporation. This value must be less than 
or equal to 0.005.
    (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, verify proportional 
sampling as described in Sec.  1065.545.
    (d) Partial-flow dilution (PFD). You may dilute a partial flow of 
raw or previously diluted exhaust before measuring emissions. Section 
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 use PFD to extract a proportional raw 
exhaust sample for any batch or continuous PM emission sampling over any 
transient duty cycle, any steady-state duty cycle, or any ramped-modal 
cycle.
    (ii) You may use PFD to extract a proportional raw exhaust sample 
for any batch or continuous gaseous emission sampling over any transient 
duty cycle, any steady-state duty cycle, or any ramped-modal cycle.
    (iii) You may use PFD to extract a proportional raw exhaust sample 
for any batch or continuous field-testing.
    (iv) You may use PFD to extract a proportional diluted exhaust 
sample from a CVS for any batch or continuous emission sampling.
    (v) You may use PFD to extract a constant raw or diluted exhaust 
sample for any continuous emission sampling.
    (vi) You may use PFD to extract a constant raw or diluted exhaust 
sample for any steady-state 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 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.

[[Page 71]]

    (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 
verification criteria in Sec.  1065.545. Note that you must verify every 
emission test by meeting the verification criteria with the data from 
that specific test. Data from previously verified practice cycles or 
other tests may not be used to verify 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. The intent of these specifications is to minimize 
heat transfer to or from the emission sample before the final stage of 
dilution, other than the heat you may need to add to prevent aqueous 
condensation. This is accomplished by initially cooling the sample 
through dilution. Configure dilution systems as follows:
    (1) Set the dilution air temperature to (25 5) 
[deg]C. Use good engineering judgment to select a location to measure 
this temperature that is as close as practical upstream of the point 
where dilution air mixes with raw exhaust.
    (2) For any PM dilution system (i.e., CVS or PFD), add dilution air 
to the raw exhaust such that the minimum overall ratio of diluted 
exhaust to raw exhaust is within the range of (5:1 to 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 (1.0 to 5.5) s, as measured from the location of initial 
dilution air introduction to the location where PM is collected on the 
sample media. Also configure the system to have a residence time of at 
least 0.50 s, as measured from the location of final dilution air 
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.

[79 FR 23754, Apr. 28, 2014, as amended at 81 FR 74162, Oct. 25, 2016]



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. Both types of sampling 
systems have probes, transfer lines, and other sampling system 
components that are described in this section.
    (b) Options for engines with multiple exhaust stacks. Measure 
emissions from

[[Page 72]]

a test engine as described in this paragraph (b) if it has multiple 
exhaust stacks. You may choose to use different measurement procedures 
for different pollutants under this paragraph (b) for a given test. For 
purposes of this part 1065, the test engine includes all the devices 
related to converting the chemical energy in the fuel to the engine's 
mechanical output energy. This may or may not involve vehicle- or 
equipment-based devices. For example, all of an engine's cylinders are 
considered to be part of the test engine even if the exhaust is divided 
into separate exhaust stacks. As another example, all the cylinders of a 
diesel-electric locomotive are considered to be part of the test engine 
even if they transmit power through separate output shafts, such as 
might occur with multiple engine-generator sets working in tandem. Use 
one of the following procedures to measure emissions with multiple 
exhaust stacks:
    (1) Route the exhaust flow from the multiple stacks into a single 
flow as described in Sec.  1065.130(c)(6). Sample and measure emissions 
after the exhaust streams are mixed. Calculate the emissions as a single 
sample from the entire engine. We recommend this as the preferred 
option, since it requires only a single measurement and calculation of 
the exhaust molar flow for the entire engine.
    (2) Sample and measure emissions from each stack and calculate 
emissions separately for each stack. Add the mass (or mass rate) 
emissions from each stack to calculate the emissions from the entire 
engine. Testing under this paragraph (b)(2) requires measuring or 
calculating the exhaust molar flow for each stack separately. If the 
exhaust molar flow in each stack cannot be calculated from combustion 
air flow(s), fuel flow(s), and measured gaseous emissions, and it is 
impractical to measure the exhaust molar flows directly, you may 
alternatively proportion the engine's calculated total exhaust molar 
flow rate (where the flow is calculated using combustion air mass 
flow(s), fuel mass flow(s), and emissions concentrations) based on 
exhaust molar flow measurements in each stack using a less accurate, 
non-traceable method. For example, you may use a total pressure probe 
and static pressure measurement in each stack.
    (3) Sample and measure emissions from one stack and repeat the duty 
cycle as needed to collect emissions from each stack separately. 
Calculate the emissions from each stack and add the separate 
measurements to calculate the mass (or mass rate) emissions from the 
entire engine. Testing under this paragraph (b)(3) requires measuring or 
calculating the exhaust molar flow for each stack separately. You may 
alternatively proportion the engine's calculated total exhaust molar 
flow rate based on calculation and measurement limitations as described 
in paragraph (b)(2) of this section. Use the average of the engine's 
total power or work values from the multiple test runs to calculate 
brake-specific emissions. Divide the total mass (or mass rate) of each 
emission by the average power (or work). You may alternatively use the 
engine power or work associated with the corresponding stack during each 
test run if these values can be determined for each stack separately.
    (4) Sample and measure emissions from each stack separately and 
calculate emissions for the entire engine based on the stack with the 
highest concentration. Testing under this paragraph (b)(4) requires only 
a single exhaust flow measurement or calculation for the entire engine. 
You may determine which stack has the highest concentration by 
performing multiple test runs, reviewing the results of earlier tests, 
or using good engineering judgment. Note that the highest concentration 
of different pollutants may occur in different stacks. Note also that 
the stack with the highest concentration of a pollutant during a test 
interval for field testing may be a different stack than the one you 
identified based on average concentrations over a duty cycle.
    (5) Sample emissions from each stack separately and combine the wet 
sample streams from each stack proportionally to the exhaust molar flows 
in each stack. Measure the emission concentrations and calculate the 
emissions for the entire engine based on these weighted concentrations. 
Testing

[[Page 73]]

under this paragraph (b)(5) requires measuring or calculating the 
exhaust molar flow for each stack separately during the test run to 
proportion the sample streams from each stack. If it is impractical to 
measure the exhaust molar flows directly, you may alternatively 
proportion the wet sample streams based on less accurate, non-traceable 
flow methods. For example, you may use a total pressure probe and static 
pressure measurement in each stack. The following restrictions apply for 
testing under this paragraph (b)(5):
    (i) You must use an accurate, traceable measurement or calculation 
of the engine's total exhaust molar flow rate for calculating the mass 
of emissions from the entire engine.
    (ii) You may dry the single, combined, proportional sample stream; 
you may not dry the sample streams from each stack separately.
    (iii) You must measure and proportion the sample flows from each 
stack with active flow controls. For PM sampling, you must measure and 
proportion the diluted sample flows from each stack with active flow 
controls that use only smooth walls with no sudden change in cross-
sectional area. For example, you may control the dilute exhaust PM 
sample flows using electrically conductive vinyl tubing and a control 
device that pinches the tube over a long enough transition length so no 
flow separation occurs.
    (iv) For PM sampling, the transfer lines from each stack must be 
joined so the angle of the joining flows is 12.5[deg] or less. Note that 
the exhaust manifold must meet the same specifications as the transfer 
line according to paragraph (d) of this section.
    (6) Sample emissions from each stack separately and combine the wet 
sample streams from each stack equally. Measure the emission 
concentrations and calculate the emissions for the entire engine based 
on these measured concentrations. Testing under this paragraph (b)(6) 
assumes that the raw-exhaust and sample flows are the same for each 
stack. The following restrictions apply for testing under this paragraph 
(b)(6):
    (i) You must measure and demonstrate that the sample flow from each 
stack is within 5% of the value from the stack with the highest sample 
flow. You may alternatively ensure that the stacks have equal flow rates 
without measuring sample flows by designing a passive sampling system 
that meets the following requirements:
    (A) The probes and transfer line branches must be symmetrical, have 
equal lengths and diameters, have the same number of bends, and have no 
filters.
    (B) If probes are designed such that they are sensitive to stack 
velocity, the stack velocity must be similar at each probe. For example, 
a static pressure probe used for gaseous sampling is not sensitive to 
stack velocity.
    (C) The stack static pressure must be the same at each probe. You 
can meet this requirement by placing probes at the end of stacks that 
are vented to atmosphere.
    (D) For PM sampling, the transfer lines from each stack must be 
joined so the angle of the joining flows is 12.5[deg] or less. Note that 
the exhaust manifold must meet the same specifications as the transfer 
line according to paragraph (d) of this section.
    (ii) You may use the procedure in this paragraph (b)(6) only if you 
perform an analysis showing that the resulting error due to imbalanced 
stack flows and concentrations is either at or below 2%. You may 
alternatively show that the resulting error does not impact your ability 
to demonstrate compliance with applicable standards. For example, you 
may use less accurate, non-traceable measurements of emission 
concentrations and molar flow in each stack and demonstrate that the 
imbalances in flows and concentrations cause 2% or less error.
    (iii) For a two-stack engine, you may use the procedure in this 
paragraph (b)(6) only if you can show that the stack with the higher 
flow has the lower average concentration for each pollutant over the 
duty cycle.
    (iv) You must use an accurate, traceable measurement or calculation 
of the engine's total exhaust molar flow rate for calculating the mass 
of emissions from the entire engine.
    (v) You may dry the single, equally combined, sample stream; you may 
not dry the sample streams from each stack separately.

[[Page 74]]

    (vi) You may determine your exhaust flow rates with a chemical 
balance of exhaust gas concentrations and either intake air flow or fuel 
flow.
    (c) 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 (d) 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 stack 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 THC or NMHC analysis 
from the diluted exhaust of compression-ignition engines, two-stroke 
spark-ignition engines, or four-stroke spark-ignition engines at or 
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.
    (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 (f)(1) of this section. We 
recommend sizing the inside diameter of PM probes to approximate 
isokinetic sampling at the expected mean flow rate.
    (d) 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 (d). 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

[[Page 75]]

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, two-stroke spark-ignition engines, or four-stroke spark-
ignition engines at or 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.
    (e) 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 converter conversion verification 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 (e)(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 (d)(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. For our 
testing we may use average temperature and pressure values over the test 
interval or a nominal pressure value that we estimate as the dryer's 
average pressure expected during testing as constant values in the 
amount of water calculations specified in Sec.  1065.645. For your 
testing, you may use the maximum temperature or minimum pressure values 
observed during a test interval or duty cycle or the high alarm 
temperature setpoint or low alarm pressure setpoint as constant values 
in the calculations specified in Sec.  1065.645. For your testing, 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, 
two-stroke spark-ignition engines, or four-stroke spark-ignition engines 
at or 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, p total, 
downstream of a thermal chiller. You may use continuously recorded 
values of Tdew and ptotal in the amount of water 
calculations specified in Sec.  1065.645. If it is valid to assume the 
degree of saturation in the thermal chiller, you may calculate T 
dew based on the known chiller performance and continuous 
monitoring of chiller temperature,

[[Page 76]]

Tchiller. 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 (e)(2)(ii). For our testing we may 
use average temperature and pressure values over the test interval or a 
nominal pressure value that we estimate as the dryer's average pressure 
expected during testing as constant values in the calculations specified 
in Sec.  1065.645. For your testing you may use the maximum temperature 
and minimum pressure values observed during a test interval or duty 
cycle 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. For your testing you may also use a nominal 
ptotal, which you may estimate as the dryer's lowest absolute 
pressure expected during testing.
    (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, two-stroke spark-
ignition engines, or four-stroke spark-ignition engines at or 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.
    (f) 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 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

[[Page 77]]

components only if we approve them under Sec.  1065.10.

[75 FR 23030, Apr. 30, 2010; 79 FR 23756, Apr. 28, 2014]



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 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) Verify 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 off gas 
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) 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.
    (ii) Reduce filter face velocity as needed to target a filter 
loading of 400 [micro]g, down to 50 cm/s or less.
    (iii) Increase overall dilution ratio above the values specified in 
Sec.  1065.140(e)(2) to target a filter loading of 400 [micro]g.
    (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 Table 1 of this section, noting that you may 
request to use other container materials under Sec.  1065.10. Sample 
temperatures must stay within the following ranges for each container 
material:
    (1) Up to 40 [deg]C for Tedlar \TM\ and Kynar \TM\..
    (2) (191 11) [deg]C for Teflon \TM\ and 300 
series stainless steel used with measuring THC or NMHC from compression-
ignition engines, two-stroke spark-ignition engines, and four-stroke 
spark-ignition engines at or below 19 kW. For all other engines and 
pollutants, these materials may be used for sample temperatures up to 
202 [deg]C.

[[Page 78]]



    Table 1 of Sec.   1065.170--Container Materials for Gaseous Batch
                                Sampling
------------------------------------------------------------------------
                                                Engine type
                                 ---------------------------------------
                                     Compression-
                                     ignition Two-
            Emissions                stroke spark-
                                    ignition Four-     All other engines
                                     stroke spark-
                                    ignition at or
                                      below 19 kW
------------------------------------------------------------------------
CO, CO2, O2, CH4, C2H6, C3H8,     Tedlar \TM\, Kynar  Tedlar \TM\, Kynar
 NO, NO2, N2O.                     \TM\, Teflon        \TM\, Teflon
                                   \TM\, or 300        \TM\, or 300
                                   series stainless    series stainless
                                   steel.              steel.
THC, NMHC.......................  Teflon \TM\ or 300  Tedlar \TM\, Kynar
                                   series stainless    \TM\, Teflon
                                   steel.              \TM\, or 300
                                                       series stainless
                                                       steel.
------------------------------------------------------------------------

    (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 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 (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 filter holder with 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 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. In auto changer configurations, you may use 
cassettes of similar design. Cassettes must be made of one 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

[[Page 79]]

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 keep the cassette in the filter holder after sampling, 
prevent flow through the filter until either the holder or cassette is 
removed from the PM sampler. If you remove the cassettes from filter 
holders after sampling, transfer the cassette to an individual container 
that is covered or sealed to prevent communication of semi-volatile 
matter from one filter to another. If you remove the filter holder, cap 
the inlet and outlet. Keep them covered or sealed until they return to 
the stabilization or weighing environments.
    (ix) The filters should not be handled outside of the PM 
stabilization and weighing environments and should be loaded into 
cassettes, filter holders, or auto changer apparatus before removal from 
these environments.
    (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.
[GRAPHIC] [TIFF OMITTED] TR25OC16.158


[70 FR 40516, July 13, 2005, as amended at 73 FR 37298, June 30, 2008; 
73 FR 59321, Oct. 8, 2008; 76 FR 57440, Sept. 15, 2011;79 FR 23757, Apr. 
28, 2014; 81 FR 74162, Oct. 25, 2016]



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

[[Page 80]]

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(d).
    (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 1.2216 
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%    eq>1% PM mass change     eq>2% PM mass change
                PM                        PM mass change
----------------------------------------------------------------------------------------------------------------
5%................................  3     6  12 [deg]C
50%...............................  0.3   0.6 [deg]C.           eq>1.2 [deg]C
100%..............................  0.15  0.3 [deg]C.           eq>0.6 [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 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:

[[Page 81]]

    (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 from PM 
sample media (e.g., filters), 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 (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.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37299, June 30, 2008; 
73 FR 59323, Oct. 8, 2008; 76 FR 57440, Sept. 15, 2011]



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.
    (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:

[[Page 82]]

    (4) Absolute pressure. Use good engineering judgment to maintain a 
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.

[70 FR 40516, July 13, 2005, as amended at 73 FR 32799, June 30, 2008]



                    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 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. You may generally use instruments with compensation 
algorithms that are functions of other gaseous measurements and the 
known or assumed fuel properties for the test fuel. The target value for 
any compensation algorithm is 0% (that is, no bias high and no bias 
low), regardless of the uncompensated signal's bias.
    (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. This requirement 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. Auto-

[[Page 83]]

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.
    (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. 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. Similarly, we are not required to follow all recommended 
practices, as long as we meet the required calibrations and 
verifications. Our decision to follow or not follow a given 
recommendation when we perform a test does not depend on whether you 
followed it during your testing.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37299, June 30, 2008; 
75 FR 23033, Apr. 30, 2010; 79 FR 23758, Apr. 29, 2014]



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. Set up the measurement and 
recording equipment to avoid aliasing by ensuring that the sampling 
frequency is at least double that of the signal you are measuring, 
consistent with good engineering judgment; this may require increasing 
the sampling rate or filtering the signal. 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
 Applicable test protocol section       Measured values        control frequency    Minimum recording frequency
                                                                      \a\                     \b\ \c\
----------------------------------------------------------------------------------------------------------------
Sec.   1065.510..................  Speed and torque during   1 Hz................  1 mean value per step.
                                    an engine step-map.
Sec.   1065.510..................  Speed and torque during   5 Hz................  1 Hz means.
                                    an 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                ....................  1 Hz.
 Sec.   1065.550.                   concentrations of raw
                                    or dilute analyzers.
Sec.   1065.520; Sec.   1065.530   Batch concentrations of   ....................  1 mean value per test
 Sec.   1065.550.                   raw or dilute analyzers.                        interval.
Sec.   1065.530; Sec.   1065.545.  Diluted exhaust flow      ....................  1 Hz.
                                    rate from a CVS with a
                                    heat exchanger upstream
                                    of the flow measurement.
Sec.   1065.530; Sec.   1065.545.  Diluted exhaust flow      5 Hz................  1 Hz means.
                                    rate from a CVS without
                                    a heat exchanger
                                    upstream of the flow
                                    measurement.
Sec.   1065.530; Sec.   1065.545.  Intake-air or raw-        ....................  1 Hz means.
                                    exhaust flow rate.

[[Page 84]]

 
Sec.   1065.530; Sec.   1065.545.  Dilution air flow if      5 Hz................  1 Hz means.
                                    actively controlled
                                    (for example, a partial-
                                    flow PM sampling
                                    system) \d\.
Sec.   1065.530; Sec.   1065.545.  Sample flow from a CVS    1 Hz................  1 Hz.
                                    that has a heat
                                    exchanger.
Sec.   1065.530; Sec.   1065.545.  Sample flow from a CVS    5 Hz................  1 Hz means.
                                    that does not have a
                                    heat exchanger.
----------------------------------------------------------------------------------------------------------------
\a\ The specifications for minimum command and control frequency do not apply for CFVs that are not using active
  control.
\b\ 1 Hz means are data reported from the instrument at a higher frequency, but recorded as a series of 1 s mean
  values at a rate of 1 Hz.
\c\ For CFVs in a CVS, the minimum recording frequency is 1 Hz. The minimum recording frequency does not apply
  for CFVs used to control sampling from a CVS utilizing CFVs.
\d\ Dilution air flow specifications do not apply for CVS dilution air.


[79 FR 23759, Apr. 28, 2014, as amended at 81 FR 74162, Oct. 25, 2016]



Sec.  1065.205  Performance specifications for measurement instruments.

    Your test system as a whole must meet all the calibrations, 
verifications, and test-validation criteria specified outside this 
section for laboratory testing or field testing, as applicable. We 
recommend that your instruments meet the specifications in Table 1 of 
this section for all ranges 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.

                             Table 1 of Sec.   1065.205--Recommended Performance Specifications for Measurement Instruments
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                        Complete system
                                   Measured quantity  rise time (t10	90)   Recording update
     Measurement instrument             symbol           and fall time         frequency         Accuracy \b\      Repeatability \b\       Noise \b\
                                                         (t90	10) \a\
--------------------------------------------------------------------------------------------------------------------------------------------------------
Engine speed transducer.........  fn................  1 s...............  1 Hz means........  2% of pt. or 0.5%   1% of pt. or 0.25%  0.05% of max.
                                                                                               of max.             of max.
Engine torque transducer........  T.................  1 s...............  1 Hz means........  2% of pt. or 1% of  1% of pt. or 0.5%   0.05% of max.
                                                                                               max.                of max.
Electrical work (active-power     W.................  1 s...............  1 Hz means........  2% of pt. or 0.5%   1% of pt. or 0.25%  0.05% of max.
 meter).                                                                                       of max.             of max.
General pressure transducer (not  p.................  5 s...............  1 Hz..............  2% of pt. or 1% of  1% of pt. or 0.5%   0.1% of max.
 a part of another instrument).                                                                max.                of max.
Atmospheric pressure meter for    patmos............  50 s..............  5 times per hour..  50 Pa.............  25 Pa.............  5 Pa
 PM-stabilization and balance
 environments.
General purpose atmospheric       patmos............  50 s..............  5 times per hour..  250 Pa............  100Pa.............  50 Pa
 pressure meter.
Temperature sensor for PM-        T.................  50 s..............  0.1 Hz............  0.25 K............  0.1 K.............  0.1 K
 stabilization and balance
 environments.
Other temperature sensor (not a   T.................  10 s..............  0.5 Hz............  0.4% of pt. K or    0.2% of pt. K or    0.1% of max.
 part of another instrument).                                                                  0.2% of max K.      0.1% of max K.
Dewpoint sensor for intake air,   Tdew..............  50 s..............  0.1 Hz............  0.25 K............  0.1 K.............  0.02 K
 PM-stabilization and balance
 environments.

[[Page 85]]

 
Other dewpoint sensor...........  Tdew..............  50 s..............  0.1 Hz............  1 K...............  0.5 K.............  0.1 K
Fuel flow meter \c\ (Fuel         m.................  5 s...............  1 Hz..............  2% of pt. or 1.5%   1% of pt. or 0.75%  0.5% of max.
 totalizer).                                          (--)..............  (--)..............   of max.             of max.
Total diluted exhaust meter       n.................  1 s...............  1 Hz means........  2% of pt. or 1.5%   1% of pt. or 0.75%  1% of max.
 (CVS) \c\ (With heat exchanger                       (5 s).............  (1 Hz)............   of max.             of max.
 before meter).
Dilution air, inlet air,          n.................  1 s...............  1 Hz means of 5 Hz  2.5% of pt. or      1.25% of pt. or     1% of max.
 exhaust, and sample flow meters                                           samples.            1.5% of max.        0.75% of max.
 \c\.
Continuous gas analyzer.........  x.................  5 s...............  1 Hz..............  2% of pt. or 2% of  1% of pt. or 1% of  1% of max.
                                                                                               meas.               meas.
Batch gas analyzer..............  x.................  ..................  ..................  2% of pt. or 2% of  1% of pt. or 1% of  1% of max.
                                                                                               meas.               meas.
Gravimetric PM balance..........  mPM...............  ..................  ..................  See Sec.            0.5 [micro]g
                                                                                               1065.790.
Inertial PM balance.............  mPM...............  5 s...............  1 Hz..............  2% of pt. or 2% of  1% of pt. or 1% of  0.2% of max
                                                                                               meas.               meas.
--------------------------------------------------------------------------------------------------------------------------------------------------------
\a\ The performance specifications identified in the table apply separately for rise time and fall time.
\b\ 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.
\c\ The procedure for accuracy, repeatability and noise measurement described in Sec.   1065.305 may be modified for flow meters to allow noise to be
  measured at the lowest calibrated value instead of zero flow rate.


[79 FR 23759, Apr. 28, 2014]

         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 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.

[[Page 86]]

[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 87]]

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. 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, current, 
power factor, apparent power, reactive power, and active power.
    (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. Sec.  1065.220 through 1065.248.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37300, June 30, 2008; 
79 FR 23760, Apr. 28, 2014]



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).
    (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, 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.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37300, June 30, 2008]

                        Flow-Related Measurements



Sec.  1065.220  Fuel flow meter.

    (a) Application. You may use fuel flow in combination with a 
chemical balance of fuel, inlet air, and raw exhaust to calculate raw 
exhaust flow as described in Sec.  1065.655(f), 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.

[[Page 88]]

    (ii) For multiplying total raw exhaust flow with batch-sampled 
concentrations.
    (iii) For calculating the dilution air flow for background 
correction as described in Sec.  1065.667.
    (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. Condition the flow as needed to prevent 
any gas bubbles in the fuel from affecting the fuel meter.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37300, June 30, 2008; 
76 FR 57441, Sept. 15, 2011; 81 FR 74162, Oct. 25, 2016]



Sec.  1065.225  Intake-air flow meter.

    (a) Application. You may use an intake-air flow meter in combination 
with a chemical balance of fuel, inlet air, and exhaust to calculate raw 
exhaust flow as described in Sec.  1065.655(f) and (g), 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.
    (iii) For verifying minimum dilution ratio for PM batch sampling as 
described in Sec.  1065.546.
    (iv) For calculating the dilution air flow for background correction 
as described in Sec.  1065.667.
    (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

[[Page 89]]

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.

[70 FR 40516, July 13, 2005, as amended at 76 FR 57442, Sept. 15, 
2011;79 FR 23760, Apr. 28, 2014; 81 FR 74163, Oct. 25, 2016]



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 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, two-stroke spark-ignition 
engines, or four-stroke spark-ignition engines at or below 19 kW.
    (3) The cooling must not cause aqueous condensation.

[70 FR 40516, July 13, 2005, as amended at 79 FR 23761, Apr. 28, 2014]



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

[[Page 90]]

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 
dilute-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, two-stroke spark-ignition 
engines, or four-stroke spark-ignition engines at or below 19 kW.
    (3) The cooling must not cause aqueous condensation as described in 
Sec.  1065.140(c)(6).

[70 FR 40516, July 13, 2005, as amended at 75 FR 23035, Apr. 30, 2010; 
79 FR 23761, Apr. 28, 2014]



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.  1065.247  Diesel exhaust fluid flow rate.

    (a) Application. Determine diesel exhaust fluid flow rate over a 
test interval for batch or continuous emission sampling using one of the 
three methods described in this section.
    (b) ECM. Use the ECM signal directly to determine diesel exhaust 
fluid flow rate. You may combine this with a gravimetric scale if that 
improves measurement quality. Prior to testing, you may characterize the 
ECM signal using a laboratory measurement and

[[Page 91]]

adjust the ECM signal, consistent with good engineering judgment.
    (c) Flow meter. Measure diesel exhaust fluid flow rate with a flow 
meter. We recommend that the flow meter that meets the specifications in 
Table 1 of Sec.  1065.205. Note that your overall system for measuring 
diesel exhaust fluid flow must meet the linearity verification in Sec.  
1065.307. Measure using the following procedure:
    (1) Condition the flow of diesel exhaust fluid 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 fluid from 
affecting the flow meter.
    (2) Account for any fluid that bypasses the engine or returns from 
the engine to the fluid storage tank.
    (d) Gravimetric scale. Use a gravimetric scale to determine the mass 
of diesel exhaust fluid the engine uses over a discrete-mode test 
interval and divide by the time of the test interval.

[81 FR 74163, Oct. 25, 2016]



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 infrared analyzer.

    (a) Application. Use a nondispersive infrared (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. Sec.  1065.350 and 1065.355 and it must also meet 
the linearity verification in Sec.  1065.307.

[76 FR 57442, Sept. 15, 2011, as amended at 79 FR 23761, Apr. 28, 2014]

                        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. For measuring THC or THCE you 
must use a FID analyzer. For measuring CH4 you must meet the 
requirements of paragraph (f) of this section. See subpart I of this 
part for special provisions that apply to 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 the verifications for hydrocarbon measurement in subpart D of 
this part, and it must also meet the linearity verification in Sec.  
1065.307.
    (c) Heated FID analyzers. For measuring THC or THCE from 
compression-ignition engines, two-stroke spark-ignition engines, and 
four-stroke spark-ignition engines at or 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) NMHC and NMOG. For demonstrating compliance with NMHC

[[Page 92]]

standards, you may either measure THC or determine NMHC mass as 
described in Sec.  1065.660(b)(1), or you may measure THC and 
CH4 and determine NMHC as described in Sec.  1065.660(b)(2) 
or (3). For gaseous-fueled engines, you may also use the additive method 
in Sec.  1065.660(b)(4). See 40 CFR 1066.635 for methods to demonstrate 
compliance with NMOG standards for vehicle testing.
    (f) NMNEHC. For demonstrating compliance with NMNEHC standards, you 
may either measure NMHC or determine NMNEHC mass as described in Sec.  
1065.660(c)(1), you may measure THC, CH4, and 
C2H6 and determine NMNEHC as described in Sec.  
1065.660(c)(2), or you may use the additive method in Sec.  
1065.660(c)(3).
    (g) CH4. For reporting CH4 or for demonstrating 
compliance with CH4 standards, you may use a FID analyzer 
with a nonmethane cutter as described in Sec.  1065.265 or you may use a 
GC-FID as described in Sec.  1065.267. Determine CH4 as 
described in Sec.  1065.660(d).

[76 FR 57442, Sept. 15, 2011, as amended at 79 FR 23761, Apr. 28, 2014; 
81 FR 74163, Oct. 25, 2016]



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 
CH4 or NMHC emissions in Sec.  1065.660.
    (c) Configuration. Configure the nonmethane cutter with a bypass 
line if it is needed 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.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37300, June 30, 2008; 
76 FR 57442, Sept. 15, 2011]



Sec.  1065.266  Fourier transform infrared analyzer.

    (a) Application. For engines that run only on natural gas, you may 
use a Fourier transform infrared (FTIR) analyzer to measure nonmethane 
hydrocarbon (NMHC) and nonmethane-nonethane hydrocarbon (NMNEHC) for 
continuous sampling. You may use an FTIR analyzer with any gaseous-
fueled engine, including dual-fuel engines, to measure CH4 
and C2H6, for either batch or continuous sampling 
(for subtraction from THC).
    (b) Component requirements. We recommend that you use an FTIR 
analyzer that meets the specifications in Table 1 of Sec.  1065.205. 
Note that your FTIR-based system must meet the linearity verification in 
Sec.  1065.307. Use appropriate analytical procedures for interpretation 
of infrared spectra. For example, EPA Test Method 320 (see https://
www3.epa.gov/ttn/emc/promgate/m-320.pdf) and ASTM D6348 (incorporated by 
reference in Sec.  1065.1010) are considered valid methods for spectral 
interpretation. You must use heated FTIR analyzers that maintain all 
surfaces that are exposed to emissions at a temperature of (110 to 202) 
[deg]C.
    (c) Hydrocarbon species for NMHC and NMNEHC additive determination. 
To determine NMNEHC, measure ethene, ethyne, propane, propene, butane, 
formaldehyde, acetaldehyde, formic acid, and methanol. To determine 
NMHC, measure ethane in addition to those same hydrocarbon species. 
Determine NMHC and NMNEHC as described in Sec.  1065.660(b)(4) and Sec.  
1065.660(c)(3).
    (d) NMHC and NMNEHC CH4 and C2H6 
determination from subtraction of CH4 and 
C2H6 from THC. Determine CH4 as 
described in Sec.  1065.660(d)(2) and C2H6 as 
described Sec.  1065.660(e). Determine NMHC from subtraction of 
CH4 from THC as described in Sec.  1065.660(b)(3) and NMNEHC 
from subtraction of CH4 and C2H6 as 
described Sec.  1065.660(c)(2). Determine CH4 as described in 
Sec.  1065.660(d)(2) and C2H6 as described Sec.  
1065.660(e).

[[Page 93]]

    (e) Interference verification. Perform interference verification for 
FTIR analyzers using the procedures of Sec.  1065.366. Certain 
interference gases can interfere with FTIR analyzers by causing a 
response similar to the hydrocarbon species of interest. When running 
the interference verification for these analyzers, use interference 
gases as follows:
    (1) The interference gases for CH4 are CO2, 
H2O, and C2H6.
    (2) The interference gases for C2H6 are 
CO2, H2O, and CH4.
    (3) The interference gases for other measured hydrocarbon species 
are CO2, H2O, CH4, and 
C2H6.

[81 FR 74163, Oct. 25, 2016]



Sec.  1065.267  Gas chromatograph with a flame ionization detector.

    (a) Application. You may use a gas chromatograph with a flame 
ionization detector (GC-FID) to measure CH4 and 
C2H6 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 GC-FID that 
meets the specifications in Table 1 of Sec.  1065.205 and that the 
measurement be done according to SAE J1151 (incorporated by reference in 
Sec.  1065.1010). The GC-FID must meet the linearity verification in 
Sec.  1065.307.

[76 FR 57442, Sept. 15, 2011, as amended at 79 FR 23761, Apr. 28, 2014; 
81 FR 74163, Oct. 25, 2016]



Sec.  1065.269  Photoacoustic analyzer for ethanol and methanol.

    (a) Application. You may use a photoacoustic analyzer to measure 
ethanol and/or methanol concentrations in diluted exhaust for batch 
sampling.
    (b) Component requirements. We recommend that you use a 
photoacoustic analyzer that meets the specifications in Table 1 of Sec.  
1065.205. Note that your photoacoustic system must meet the verification 
in Sec.  1065.369 and it must also meet the linearity verification in 
Sec.  1065.307. Use an optical wheel configuration that gives analytical 
priority to measurement of the least stable components in the sample. 
Select a sample integration time of at least 5 seconds. Take into 
account sample chamber and sample line volumes when determining flush 
times for your instrument.

[79 FR 23761, Apr. 28, 2014]

             NOX and N2O 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.
    (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:
    (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.

[[Page 94]]

    (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.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37300, June 30, 2008; 
76 FR 57442, Sept. 15, 2011; 79 FR 23761, Apr. 28, 2014]



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. 
Note that good engineering judgment may preclude you from using an NDUV 
analyzer if sampled exhaust from test engines contains oil (or other 
contaminants) in sufficiently high concentrations to interfere with 
proper operation.
    (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.
    (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.

[70 FR 40516, July 13, 2005, as amended at 73 FR 59323, Oct. 8, 2008; 76 
FR 57442, Sept. 15, 2011; 79 FR 23761, Apr. 28, 2014]



Sec.  1065.275  N[bdi2]O measurement devices.

    (a) General component requirements. We recommend that you use an 
analyzer that meets the specifications in Table 1 of Sec.  1065.205. 
Note that your system must meet the linearity verification in Sec.  
1065.307.
    (b) Instrument types. You may use any of the following analyzers to 
measure N2O:
    (1) Nondispersive infrared (NDIR) analyzer.
    (2) Fourier transform infrared (FTIR) analyzer. Use appropriate 
analytical procedures for interpretation of infrared spectra. For 
example, EPA Test Method 320 (see https://www3.epa.gov/ttn/emc/promgate/
m-320.pdf) and ASTM D6348 (incorporated by reference in Sec.  1065.1010) 
are considered valid methods for spectral interpretation.
    (3) Laser infrared analyzer. Examples of laser infrared analyzers 
are pulsed-mode high-resolution narrow band mid-infrared analyzers, and 
modulated continuous wave high-resolution narrow band mid-infrared 
analyzers.
    (4) Photoacoustic analyzer. Use an optical wheel configuration that 
gives analytical priority to measurement of the least stable components 
in the sample. Select a sample integration time of at least 5 seconds. 
Take into account sample chamber and sample line volumes when 
determining flush times for your instrument.
    (5) Gas chromatograph analyzer. You may use a gas chromatograph with 
an electron-capture detector (GC-ECD) to measure N2O 
concentrations of diluted exhaust for batch sampling.
    (i) You may use a packed or porous layer open tubular (PLOT) column 
phase of suitable polarity and length to achieve adequate resolution of 
the N2O peak for analysis. Examples of acceptable columns are 
a PLOT column consisting of bonded polystyrene-divinylbenzene or a 
Porapack Q packed column. Take the column temperature profile and 
carrier gas selection into consideration when setting up your

[[Page 95]]

method to achieve adequate N2O peak resolution.
    (ii) Use good engineering judgment to zero your instrument and 
correct for drift. You do not need to follow the specific procedures in 
Sec. Sec.  1065.530 and 1065.550(b) that would otherwise apply. For 
example, you may perform a span gas measurement before and after sample 
analysis without zeroing and use the average area counts of the pre-span 
and post-span measurements to generate a response factor (area counts/
span gas concentration), which you then multiply by the area counts from 
your sample to generate the sample concentration.
    (c) Interference verification. Perform interference verification for 
NDIR, FTIR, laser infrared analyzers, and photoacoustic analyzers using 
the procedures of Sec.  1065.375. Interference verification is not 
required for GC-ECD. Certain interference gases can positively interfere 
with NDIR, FTIR, and photoacoustic analyzers by causing a response 
similar to N2O. When running the interference verification 
for these analyzers, use interference gases as follows:
    (1) The interference gases for NDIR analyzers are CO, 
CO2, H2O, CH4, and SO2. Note 
that interference species, with the exception of H2O, are 
dependent on the N2O infrared absorption band chosen by the 
instrument manufacturer. For each analyzer determine the N2O 
infrared absorption band. For each N2O infrared absorption 
band, use good engineering judgment to determine which interference 
gases to use in the verification.
    (2) Use good engineering judgment to determine interference gases 
for FTIR, and laser infrared analyzers. Note that interference species, 
with the exception of H2O, are dependent on the 
N2O infrared absorption band chosen by the instrument 
manufacturer. For each analyzer determine the N2O infrared 
absorption band. For each N2O infrared absorption band, use 
good engineering judgment to determine interference gases to use in the 
verification.
    (3) The interference gases for photoacoustic analyzers are CO, 
CO2, and H2O.

[74 FR 56512, Oct. 30, 2009, as amended at 76 FR 57443, Sept. 15, 2011; 
78 FR 36398, June 17, 2013;79 FR 23761, Apr. 28, 2014; 81 FR 74163, Oct. 
25, 2016]

                       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 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.

[73 FR 37300, June 30, 2008, as amended at 76 FR 57443, Sept. 15, 
2011;79 FR 23762, Apr. 28, 2014]

                     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.

[70 FR 40516, July 13, 2005, as amended at 76 FR 57443, Sept. 15, 2011; 
79 FR 23762, Apr. 28, 2014]

                             PM Measurements



Sec.  1065.290  PM gravimetric balance.

    (a) Application. Use a balance to weigh net PM on a sample medium 
for laboratory testing.

[[Page 96]]

    (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 the weights do not meet the specifications in Sec.  
1065.790, the weights must be verified independently with external 
calibration weights meeting the requirements of 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 
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 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.
    (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.

[73 FR 37300, June 30, 2008, as amended at 75 FR 68462, Nov. 8, 2010]



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.
    (c) Loss correction. You may use PM loss corrections to account for 
PM loss in the inertial balance, including the sample handling system.
    (d) Deposition. You may use electrostatic deposition to collect PM 
as long as its collection efficiency is at least 95%.

[73 FR 59259, Oct. 8, 2008, as amended at 75 FR 68462, Nov. 8, 2010; 76 
FR 57443, Sept. 15, 2011; 79 FR 23762, Apr. 28, 2014]



                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:

[[Page 97]]



     Table 1 of Sec.   1065.303--Summary of Required Calibration and
                              Verifications
------------------------------------------------------------------------
 Type of calibration or verification         Minimum frequency \1\
------------------------------------------------------------------------
Sec.   1065.305: Accuracy,             Accuracy: Not required, but
 repeatability and noise.               recommended 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,
 verification.                          within 370 days before testing
                                        and after major maintenance.
                                       Torque: Upon initial
                                        installation, within 370 days
                                        before testing and after major
                                        maintenance.
                                       Electrical power, current, and
                                        voltage: Upon initial
                                        installation, within 370 days
                                        before testing and after major
                                        maintenance.\2\
                                       Fuel flow rate: Upon initial
                                        installation, within 370 days
                                        before testing, and after major
                                        maintenance.
                                       DEF flow: Upon initial
                                        installation, within 370 days
                                        before testing, and after major
                                        maintenance.
                                       Intake-air, dilution air, diluted
                                        exhaust, and batch sampler flow
                                        rates: 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 rate: 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 dividers: Upon initial
                                        installation, within 370 days
                                        before testing, and after major
                                        maintenance.
                                       Gas analyzers (unless otherwise
                                        noted): Upon initial
                                        installation, within 35 days
                                        before testing and after major
                                        maintenance.
                                       FTIR and photoacoustic analyzers:
                                        Upon initial installation,
                                        within 370 days before testing
                                        and after major maintenance.
                                       GC-ECD: Upon initial installation
                                        and after major maintenance.
                                       PM balance: Upon initial
                                        installation, within 370 days
                                        before testing and after major
                                        maintenance.
                                       Pressure, temperature, and
                                        dewpoint: Upon initial
                                        installation, within 370 days
                                        before testing and after major
                                        maintenance.
Sec.   1065.308: Continuous gas        Upon initial installation or
 analyzer system response and           after system modification that
 updating-recording verification--for   would affect response.
 gas analyzers not continuously
 compensated for other gas species.
Sec.   1065.309: Continuous gas        Upon initial installation or
 analyzer system-response and           after system modification that
 updating-recording verification--for   would affect response.
 gas analyzers continuously
 compensated for other gas species.
Sec.   1065.310: Torque..............  Upon initial installation and
                                        after major maintenance.
Sec.   1065.315: Pressure,             Upon initial installation and
 temperature, dewpoint.                 after major 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 exhaust flow  Upon initial installation and
 (CVS).                                 after major maintenance.
Sec.   1065.341: CVS and batch         Upon initial installation, within
 sampler verification \3\.              35 days before testing, and
                                        after major maintenance.
Sec.   1065.342 Sample dryer           For thermal chillers: Upon
 verification.                          installation and after major
                                        maintenance.
                                       For osmotic membranes; Upon
                                        installation, within 35 days of
                                        testing, and after major
                                        maintenance.
Sec.   1065.345: Vacuum leak.........  For laboratory testing: Upon
                                        initial installation of the
                                        sampling system, within 8 hours
                                        before the start of the first
                                        test interval of each duty-cycle
                                        sequence, and after maintenance
                                        such as pre-filter changes.
                                       For field testing: After each
                                        installation of the sampling
                                        system on the vehicle, prior to
                                        the start of the field test, and
                                        after maintenance such as pre-
                                        filter changes.
Sec.   1065.350: CO2 NDIR H2O          Upon initial installation and
 interference.                          after major maintenance.
Sec.   1065.355: CO NDIR CO2 and H2O   Upon initial installation and
 interference.                          after major maintenance.
Sec.   1065.360: FID calibration THC   Calibrate all FID analyzers: Upon
 FID optimization, and THC FID          initial installation and after
 verification.                          major maintenance.
                                       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.
                                       Verify C2H6 response for THC FID
                                        analyzers if used for NMNEHC
                                        determination: Upon initial
                                        installation, within 185 days
                                        before testing, and after major
                                        maintenance.
Sec.   1065.362: Raw exhaust FID O2    For all FID analyzers: Upon
 interference.                          initial 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 cutter     Upon initial installation, within
 penetration.                           185 days before testing, and
                                        after major maintenance.

[[Page 98]]

 
Sec.   1065.366: Interference          Upon initial installation and
 verification for FTIR analyzers.       after major maintenance.
Sec.   1065.369: H2O, CO, and CO2      Upon initial installation and
 interference verification for          after major maintenance.
 ethanol photoacoustic analyzers.
Sec.   1065.370: CLD CO2 and H2O       Upon initial installation and
 quench.                                after major maintenance.
Sec.   1065.372: NDUV HC and H2O       Upon initial installation and
 interference.                          after major maintenance.
Sec.   1065.375: N2O analyzer          Upon initial installation and
 interference.                          after major maintenance.
Sec.   1065.376: Chiller NO2           Upon initial installation and
 penetration.                           after major maintenance.
Sec.   1065.378: NO2-to-NO converter   Upon initial installation, within
 conversion.                            35 days before testing, and
                                        after major maintenance.
Sec.   1065.390: PM balance and        Independent verification: Upon
 weighing.                              initial 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 balance   Independent verification: Upon
 and weighing.                          initial installation, within 370
                                        days before testing, and after
                                        major maintenance.
                                       Other verifications: Upon initial
                                        installation and after major
                                        maintenance.
------------------------------------------------------------------------
\1\ Perform calibrations and verifications more frequently than we
  specify, according to measurement system manufacturer instructions and
  good engineering judgment.
\2\ Perform linearity verification either for electrical power or for
  current and voltage.
\3\ 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.


[81 FR 74164, Oct. 25, 2016]



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 noise 
verification, use the same zero gas from paragraph (d)(2) 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.

[[Page 99]]

    (5) Sample and record values for 30 seconds (you may select a longer 
sampling period if the recording update frequency is less than 0.5 Hz), 
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 
yrefi), from the arithmetic mean, yi. Record this 
value as the error, [epsi]i.
    (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 
([epsi]1, [epsi]2, 
[epsi]i,...[epsi]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] 
s[epsi]). 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 in Table 1 of Sec.  
1065.205.
    (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 that apply as 
specified in the regulations.
    (ii) The measurement deficiency does not adversely affect your 
ability to demonstrate compliance with the applicable standards.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37301, June 30, 2008; 
75 FR 23037, Apr. 30, 2010; 79 FR 23763, Apr. 28, 2014]



Sec.  1065.307  Linearity verification.

    (a) Scope and frequency. Perform linearity verification on each 
measurement system listed in Table 1 of this section at least as 
frequently as indicated in Table 1 of Sec.  1065.303, consistent with 
measurement system manufacturer's recommendations and good engineering 
judgment. The intent of linearity verification is to determine that a 
measurement system responds accurately and proportionally over the 
measurement range of interest. 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 referenced 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) 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:

[[Page 100]]

    (1) In this paragraph (c), the letter ``y'' denotes a generic 
measured quantity, the superscript over-bar denotes an arithmetic mean 
(such as y), and the subscript ``ref'' denotes the known or 
reference quantity being measured.
    (2) Use good engineering judgment to operate a measurement system at 
normal operating conditions. This may include any specified adjustment 
or periodic calibration of the measurement system.
    (3) If applicable, 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 and introduce it directly at the analyzer port.
    (4) If applicable, 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) If applicable, 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 continuing.
    (6) For all measured quantities, use the instrument manufacturer's 
recommendations and 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 for the linearity verification. For pressure, temperature, 
dewpoint, power, current, voltage, photoacoustic analyzers, and GC-ECD 
linearity verifications, we recommend at least three reference values. 
For all other linearity verifications select at least ten reference 
values.
    (7) Use the instrument manufacturer's 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 and to 
avoid hysteresis; you may select reference values in ascending or 
descending order to avoid long settling times of reference signals; or 
you may select values to ascend and then descend to 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 value at the reference condition. 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 value at the reference condition for 30 
seconds (you may select a longer sampling period if the recording update 
frequency is less than 0.5 Hz) 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 the steps in paragraphs (c)(9) though (11) of this 
section until measurements are complete at each of the reference 
conditions.
    (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.

[[Page 101]]

    (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 elsewhere in this part 1065. 
Use the following recommended methods to generate reference values or 
use good engineering judgment to select a different reference:
    (1) Speed. Run the engine or dynamometer at a series of steady-state 
speeds and use a strobe, photo tachometer, or laser tachometer to record 
reference speeds.
    (2) 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 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 power, current, and voltage. You must perform 
linearity verification for either electrical power meters, or for 
current and voltage meters. Perform linearity verifications using a 
reference meter and controlled sources of current and voltage. We 
recommend using a complete calibration system that is suitable for the 
electrical power distribution industry.
    (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 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 or MPD O2 analyzer because of their inherent linearity. 
Operate this analyzer consistent with how you

[[Page 102]]

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 xref 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 the gas divider 
manufacturer's recommendations, use one or more reference flow meters to 
measure the flow rates of the gas divider and verify the gas-division 
value.
    (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.
    (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 absolute 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.
    (9) Mass. For linearity verification for gravimetric PM balances, 
use external calibration weights that meet the requirements in Sec.  
1065.790.
    (e) Measurement systems that require linearity verification. Table 1 
of this section indicates measurement systems that require linearity 
verification, subject to the following provisions:
    (1) Perform linearity verification more frequently based on the 
instrument manufacturer's recommendation or good engineering judgment.
    (2) The expression ``xmin'' refers to the reference value 
used during linearity verification that is closest to zero. This is the 
value used to calculate the first tolerance in Table 1 of this section 
using the intercept, a0. Note that this value may be zero, 
positive, or negative depending on the reference values. For example, if 
the reference values chosen to validate a pressure transducer vary from 
-10 to -1 kPa, xmin is -1 kPa. If the reference values used 
to validate a temperature device vary from 290 to 390 K, xmin 
is 290 K.
    (3) The expression ``max'' generally refers to the absolute value of 
the reference value used during linearity verification that is furthest 
from zero. This is the value used to scale the first and third 
tolerances in Table 1 of this section using a0 and SEE. For 
example, if the reference values chosen to validate a pressure 
transducer vary from -10 to -1 kPa, then pmax is + 10 kPa. If 
the reference values used to validate a temperature device vary from 290 
to 390 K, then Tmax is 390 K. For gas dividers where ``max'' 
is expressed as, xmax/xspan; xmax is 
the maximum gas concentration used during the verification, 
xspan is the undivided, undiluted, span gas concentration, 
and the resulting ratio is the maximum divider point reference value 
used during the verification (typically 1). 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 on the engine's primary 
output shaft, 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) Linearity verification is 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.

[[Page 103]]

    (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) Linearity verification is required for the following temperature 
measurements:
    (i) The following temperature measurements always require linearity 
verification:
    (A) Air intake.
    (B) Aftertreatment bed(s), for engines tested with aftertreatment 
devices subject to cold-start testing.
    (C) Dilution air for gaseous and PM sampling, including CVS, double-
dilution, and partial-flow systems.
    (D) PM sample.
    (E) Chiller sample, for gaseous sampling systems that use thermal 
chillers to dry samples and use chiller temperature to calculate the 
dewpoint at the outlet of the chiller. For your testing, if you choose 
to use a high alarm temperature setpoint for the chiller temperature as 
a constant value in determining the amount of water removed from the 
emission sample, you may use good engineering judgment to verify the 
accuracy of the high alarm temperature setpoint instead of linearity 
verification on the chiller temperature. To verify that the alarm trip 
point value is no less than 2.0 [deg]C below the reference value at the 
trip point, we recommend that you input a reference simulated 
temperature signal below the alarm trip point and increase this signal 
until the high alarm trips.
    (ii) Linearity verification is required for the following 
temperature measurements if these temperature measurements are 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) Linearity verification is required for the following pressure 
measurements:
    (i) The following pressure measurements always require linearity 
verification:
    (A) Air intake restriction.
    (B) Exhaust back pressure as required in Sec.  1065.130(h).
    (C) Barometer.
    (D) CVS inlet gage pressure where the raw exhaust enters the tunnel.
    (E) Sample dryer, for gaseous sampling systems that use either 
osmotic-membrane or thermal chillers to dry samples. For your testing, 
if you choose to use a low alarm pressure setpoint for the sample dryer 
pressure as a constant value in determining the amount of water removed 
from the emission sample, you may use good engineering judgment to 
verify the accuracy of the low alarm pressure setpoint instead of 
linearity verification on the sample dryer pressure. To verify that the 
trip point value is no more than 4.0 kPa above the reference value at 
the trip point, we recommend that you input a reference pressure signal 
above the alarm trip point and decrease this signal until the low alarm 
trips.
    (ii) Linearity verification is required for the following pressure 
measurements if these pressure measurements are 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.

               Table 1 of Sec.   1065.307--Measurement Systems That Require Linearity Verification
----------------------------------------------------------------------------------------------------------------
                                                                        Linearity criteria
                                                ----------------------------------------------------------------
      Measurement system            Quantity     [verbar]xmin(a1-1)
                                                    + a 0[verbar]         a1             SEE            r \2\
----------------------------------------------------------------------------------------------------------------
Speed.........................  fn.............  <=0.05% [middot]      0.98-1.02  <=2% [middot]      
                                                  fnmax.                           fnmax.                 =0.990
Torque........................  T..............  <=1% [middot] Tmax    0.98-1.02  <=2% [middot]      
                                                                                   Tmax.                  =0.990
Electrical power..............  P..............  <=1% [middot] Pmax    0.98-1.02  <=2% [middot]      
                                                                                   Pmax                   =0.990
Current.......................  I..............  <=1% [middot] Imax    0.98-1.02  <=2% [middot]      
                                                                                   Imax                   =0.990

[[Page 104]]

 
Voltage.......................  U..............  <=1% [middot] Umax    0.98-1.02  <=2% [middot]      
                                                                                   Umax.                  =0.990
Fuel flow rate................  m..............  <=1% [middot] mmax    0.98-1.02  <=2% [middot]      
                                                                                   mmax.                  =0.990
Intake-air....................  n..............  <=1% [middot] nmax    0.98-1.02  <=2% [middot]      
 flow rate\1\.................                                                     nmax.                  =0.990
Dilution air flow rate \1\....  n..............  <=1% [middot] nmax    0.98-1.02  <=2% [middot]      
                                                                                   nmax.                  =0.990
Diluted exhaust flow rate \1\.  n..............  <=1% [middot] nmax    0.98-1.02  <=2% [middot]      
                                                                                   nmax.                  =0.990
Raw exhaust flow rate \1\.....  n..............  <=1% [middot] nmax    0.98-1.02  <=2% [middot]      
                                                                                   nmax.                  =0.990
Batch sampler flow rates \1\..  n..............  <=1% [middot] nmax    0.98-1.02  <=2% [middot]      
                                                                                   nmax.                  =0.990
Gas dividers..................  x/xspan........  <=0.5% [middot]       0.98-1.02  <=2% [middot]      
                                                  xmax/xspan.                      xmax/xspan.            =0.990
Gas analyzers for laboratory    x..............  <=0.5% [middot]       0.99-1.01  <=1% [middot]      
 testing.                                         xmax.                            xmax.                  =0.998
Gas analyzers for field         x..............  <=1% [middot] xmax    0.99-1.01  <=1% [middot]      
 testing.                                                                          xmax.                  =0.998
PM balance....................  m..............  <=1% [middot] mmax    0.99-1.01  <=1% [middot]      
                                                                                   mmax.                  =0.998
Pressures.....................  p..............  <=1% [middot] pmax    0.99-1.01  <=1% [middot]      
                                                                                   pmax.                  =0.998
Dewpoint for intake air, PM-    Tdew...........  <=0.5% [middot]       0.99-1.01  <=0.5% [middot]    
 stabilization and balance                        Tdewmax.                         Tdewmax.               =0.998
 environments.
Other dewpoint measurements...  Tdew...........  <=1% [middot]         0.99-1.01  <=1% [middot]      
                                                  Tdewmax-.                        Tdewmax-.              =0.998
Analog-to-digital conversion    T..............  <=1% [middot] Tmax    0.99-1.01  <=1% [middot]      
 of temperature signals.                                                           Tmax.                  =0.998
----------------------------------------------------------------------------------------------------------------
\1\ For flow meters that determine volumetric flow rate, Vstd, you may substitute Vstd for n as the quantity and
  substitute Vstdmax for nmax.


[79 FR 23763, Apr. 28, 2014]



Sec.  1065.308  Continuous gas analyzer system-response 
and updating-recording verification--for gas analyzers 
not continuously compensated for other gas species.

    (a) Scope and frequency. This section describes a verification 
procedure for system response and updating-recording frequency for 
continuous gas analyzers that output a gas species mole fraction (i.e., 
concentration) using a single gas detector, i.e., gas analyzers not 
continuously compensated for other gas species measured with multiple 
gas detectors. See Sec.  1065.309 for verification procedures that apply 
to continuous gas analyzers that are continuously compensated for other 
gas species measured with multiple gas detectors. Perform this 
verification to determine the system response of the continuous gas 
analyzer and its sampling system. This verification is required for 
continuous gas analyzers used for transient or ramped-modal testing. You 
need not perform this verification for batch gas analyzer systems or for 
continuous gas analyzer systems that are used only for discrete-mode 
testing. Perform this verification after initial installation (i.e., 
test cell commissioning) and after any modifications to the system 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 the 
gas analyzer updates its output or 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 analyzers 
and their sampling 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 the measurement system meets a minimum response time. You 
may use the results of this test to determine transformation time, 
t50, for the purposes of time alignment of continuous data in 
accordance with Sec.  1065.650(c)(2)(i). You may also use an alternate 
procedure to determine t50 in accordance with good 
engineering judgment. Note that any such procedure for determining 
t50 must account for both transport delay and analyzer 
response time.

[[Page 105]]

    (c) System requirements. Demonstrate that each continuous analyzer 
has adequate update and recording frequencies and has a minimum rise 
time and a minimum fall time during a rapid change in gas concentration. 
You must meet one of the following criteria:
    (1) The product of the mean rise time, t10-90, and the 
frequency at which the system records an updated concentration must be 
at least 5, and the product of the mean fall time, t90-10, 
and the frequency at which the system records an updated concentration 
must be at least 5. If the recording frequency is different than the 
analyzer's output update frequency, you must use the lower of these two 
frequencies for this verification, which is referred to as the updating-
recording frequency. This verification applies to the nominal updating 
and recording frequencies. This criterion makes no assumption regarding 
the frequency content of changes in emission concentrations during 
emission testing; therefore, it is valid for any testing. Also, the mean 
rise time must be at or below 10 seconds and the mean fall time must be 
at or below 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. Also, the mean rise time 
must be at or below 10 seconds and the mean fall time must be at or 
below 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 
each continuous gas analyzer:
    (1) Instrument setup. Follow the analyzer manufacturer's start-up 
and operating instructions. Adjust the measurement system as needed to 
optimize performance. Run this verification with the analyzer operating 
in the same manner you will use for emission testing. If the analyzer 
shares its sampling system with other analyzers, and if gas flow to the 
other analyzers will affect the system response time, then start up and 
operate the other analyzers while running this verification test. You 
may run this verification test on multiple analyzers sharing the same 
sampling system at the same time. If you use any analog or real-time 
digital filters during emission testing, you must operate those filters 
in the same manner during this verification.
    (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 sample system's probe inlet or a tee near the outlet of the 
probe. If you inject the gas at a tee near the outlet of the probe, you 
may correct the transformation time, t50, for an estimate of 
the transport time from the probe inlet to the tee. Normally the gas 
flow rate is higher than the sample flow rate and the excess is 
overflowed out the inlet of the probe. If the gas flow rate is lower 
than the sample flow rate, the gas concentrations must be adjusted to 
account for the dilution from ambient air drawn into the probe. We 
recommend you use the final, stabilized analyzer reading as the final 
gas concentration. Select span gases for the species being measured. You 
may use binary or multi-gas span gases. You may use a gas blending or 
mixing device to blend span gases. A gas blending or mixing device is 
recommended when blending span gases diluted in N2 with span 
gases diluted in air. You may use a multi-gas span gas, such as NO-CO-
CO2-C3H8-CH4, to verify 
multiple analyzers at the same time. If you use standard binary span 
gases, you must run separate response tests for each analyzer. In 
designing your experimental setup, avoid pressure pulsations due to 
stopping the flow through the gas-blending device. The change in gas 
concentration must be at least 20% of the analyzer's range.
    (3) Data collection. (i) Start the flow of zero gas.
    (ii) Allow for stabilization, accounting for transport delays and 
the slowest analyzer's full response.
    (iii) Start recording data. For this verification you must record 
data at a frequency greater than or equal to that

[[Page 106]]

of the updating-recording frequency used during emission testing. You 
may not use interpolation or filtering to alter the recorded values.
    (iv) Switch the flow to allow the blended span gases to flow to the 
analyzer. If you intend to use the data from this test to determine 
t50 for time alignment, record this time as t0.
    (v) Allow for transport delays and the slowest analyzer's full 
response.
    (vi) Switch the flow to allow zero gas to flow to the analyzer. If 
you intend to use the data from this test to determine t50 
for time alignment, record this time as t100.
    (vii) Allow for transport delays and the slowest analyzer's full 
response.
    (viii) Repeat the steps in paragraphs (d)(3)(iv) through (vii) of 
this section to record seven full cycles, ending with zero gas flowing 
to the analyzers.
    (ix) Stop recording.
    (e) Performance evaluation. (1) If you choose 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 being verified. You may use interpolation between recorded 
values to determine rise and fall times. If the recording frequency used 
during emission testing is different from the analyzer's output update 
frequency, you must use the lower of these two frequencies for this 
verification. Multiply these times (in seconds) by their respective 
updating-recording frequencies in Hertz (1/second). The resulting 
product must be at least 5 for both rise time and fall time. If either 
value is less than 5, increase the updating-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 analog or digital 
filters before recording 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 measurement system only if the 
deficiency does not adversely affect your ability to show compliance 
with the applicable standards.
    (f) Transformation time, t50, determination. If you 
choose to determine t50 for purposes of time alignment using 
data generated in paragraph (d)(3) of this section, calculate the mean 
t0-50 and the mean t100-50 from the recorded data. 
Average these two values to determine the final t50 for the 
purposes of time alignment in accordance with Sec.  1065.650(c)(2)(i).
    (g) Optional procedure. Instead of using a three-way valve to switch 
between zero and span gases, you may use a fast-acting two-way valve to 
switch sampling between ambient air and span gas at the probe inlet. For 
this alternate procedure, the following provisions apply:
    (1) If your probe is sampling from a continuously flowing gas stream 
(e.g., a CVS tunnel), you may adjust the span gas flow rate to be 
different than the sample flow rate.
    (2) If your probe is sampling from a gas stream that is not 
continuously flowing (e.g., a raw exhaust stack), you must adjust the 
span gas flow rate to be less than the sample flow rate so ambient air 
is always being drawn into the probe inlet. This avoids errors 
associated with overflowing span gas out of the probe inlet and drawing 
it back in when sampling ambient air.
    (3) When sampling ambient air or ambient air mixed with span gas, 
all the analyzer readings must be stable within 0.5% of the target gas concentration step size. If any 
analyzer reading is outside the specified range, you must resolve the 
problem and verify that all the analyzer readings meet this 
specification.
    (4) For oxygen analyzers, you may use purified N2 as the 
zero gas and ambient air (plus purified N2 if needed) as the 
reference gas. Perform the verification with seven repeat measurements 
that each consist of stabilizing with purified N2, switching 
to ambient air and observing the analyzer's rise and stabilized reading, 
followed by switching back to purified N2

[[Page 107]]

and observing the analyzer's fall and stabilized reading.

[73 FR 59325, Oct. 8, 2008, as amended at 79 FR 23766, Apr. 28, 2014]



Sec.  1065.309  Continuous gas analyzer system-response 
and updating-recording verification--for gas analyzers 
continuously compensated for other gas species.

    (a) Scope and frequency. This section describes a verification 
procedure for system response and updating-recording frequency for 
continuous gas analyzers that output a single gas species mole fraction 
(i.e., concentration) based on a continuous combination of multiple gas 
species measured with multiple detectors (i.e., gas analyzers 
continuously compensated for other gas species). See Sec.  1065.308 for 
verification procedures that apply to continuous gas analyzers that are 
not continuously compensated for other gas species or that use only one 
detector for gaseous species. Perform this verification to determine the 
system response of the continuous gas analyzer and its sampling system. 
This verification is required for continuous gas analyzers used for 
transient or ramped-modal testing. You need not perform this 
verification for batch gas analyzers or for continuous gas analyzers 
that are used only for discrete-mode testing. For this check we consider 
water vapor a gaseous constituent. This verification does not apply to 
any processing of individual analyzer signals that are time-aligned to 
their t50 times and were verified according to Sec.  
1065.308. For example, this verification does not apply to correction 
for water removed from the sample done in post-processing according to 
Sec.  1065.659 (40 CFR 1066.620 for vehicle testing) and it does not 
apply to NMHC determination from THC and CH4 according to 
Sec.  1065.660. Perform this verification after initial installation 
(i.e., test cell commissioning) and after any modifications to the 
system that would change the system response.
    (b) Measurement principles. This procedure 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. It 
indirectly verifies the time-alignment and uniform response of all the 
continuous gas detectors used to generate a continuously combined/
compensated concentration measurement signal. Gas analyzer systems must 
be optimized such that their overall response to rapid change in 
concentration is updated and recorded at an appropriate frequency to 
prevent loss of information. This test also verifies that the 
measurement system meets a minimum response time. For this procedure, 
ensure that all compensation algorithms and humidity corrections are 
turned on. You may use the results of this test to determine 
transformation time, t50, for the purposes of time alignment 
of continuous data in accordance with Sec.  1065.650(c)(2)(i). You may 
also use an alternate procedure to determine t50 consistent 
with good engineering judgment. Note that any such procedure for 
determining t50 must account for both transport delay and 
analyzer response time.
    (c) System requirements. Demonstrate that each continuously 
combined/compensated concentration measurement has adequate updating and 
recording frequencies and has a minimum rise time and a minimum fall 
time during a system response to a rapid change in multiple gas 
concentrations, including H2O concentration if H2O 
compensation is applied. You must meet one of the following criteria:
    (1) The product of the mean rise time, t10-90, and the 
frequency at which the system records an updated concentration must be 
at least 5, and the product of the mean fall time, t90-10, 
and the frequency at which the system records an updated concentration 
must be at least 5. If the recording frequency is different than the 
update frequency of the continuously combined/compensated signal, you 
must use the lower of these two frequencies for this verification. This 
criterion makes no assumption regarding the frequency content of changes 
in emission concentrations during emission testing; therefore, it is 
valid for any testing. Also, the mean rise time must be at or below 10 
seconds and the mean fall time must be at or below 10 seconds.
    (2) The frequency at which the system records an updated 
concentration

[[Page 108]]

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. Also, the mean rise time must be at or below 
10 seconds and the mean fall time must be at or below 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 
each continuously compensated analyzer (verify the combined signal, not 
each individual continuously combined concentration signal):
    (1) Instrument setup. Follow the analyzer manufacturer's start-up 
and operating instructions. Adjust the measurement system as needed to 
optimize performance. Run this verification with the analyzer operating 
in the same manner you will use for emission testing. If the analyzer 
shares its sampling system with other analyzers, and if gas flow to the 
other analyzers will affect the system response time, then start up and 
operate the other analyzers while running this verification test. You 
may run this verification test on multiple analyzers sharing the same 
sampling system at the same time. If you use any analog or real-time 
digital filters during emission testing, you must operate those filters 
in the same manner during this verification.
    (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 sample system's probe inlet or a tee near the outlet of the 
probe. If you inject the gas at a tee near the outlet of the probe, you 
may correct the transformation time, t50, for an estimate of 
the transport time from the probe inlet to the tee. Normally the gas 
flow rate is higher than the sample flow rate and the excess is 
overflowed out the inlet of the probe. If the gas flow rate is lower 
than the sample flow rate, the gas concentrations must be adjusted to 
account for the dilution from ambient air drawn into the probe. We 
recommend you use the final, stabilized analyzer reading as the final 
gas concentration. Select span gases for the species being continuously 
combined, other than H2O. Select concentrations of 
compensating species that will yield concentrations of these species at 
the analyzer inlet that covers the range of concentrations expected 
during testing. You may use binary or multi-gas span gases. You may use 
a gas blending or mixing device to blend span gases. A gas blending or 
mixing device is recommended when blending span gases diluted in 
N2 with span gases diluted in air. You may use a multi-gas 
span gas, such as NO-CO-CO2-C3H8-
CH4, to verify multiple analyzers at the same time. In 
designing your experimental setup, avoid pressure pulsations due to 
stopping the flow through the gas blending device. The change in gas 
concentration must be at least 20% of the analyzer's range. If 
H2O correction is applicable, then 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. You must humidify NO2 span gas 
with another moist gas stream. 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 
air. If your system does not use a sample dryer to remove water from the 
sample gas, you must humidify your span gas to the highest sample 
H2O content that you estimate during emission sampling. If 
your system uses a sample dryer during testing, it must pass the sample 
dryer verification check in Sec.  1065.342, and you must humidify your 
span gas to an H2O content greater than or equal to the level 
determined in Sec.  1065.145(e)(2). If you are humidifying span gases 
without NO2, use good engineering judgment to ensure that the 
wall temperatures in the transfer lines, fittings, and valves from the 
humidifying system to the probe are above the dewpoint required for the 
target H2O content. If you are humidifying span gases with 
NO2, use good engineering judgment to

[[Page 109]]

ensure that there is no condensation in the transfer lines, fittings, or 
valves from the point where humidified gas is mixed with NO2 
span gas to the probe. We recommend that you design your setup so that 
the wall temperatures in the transfer lines, fittings, and valves from 
the humidifying system to the probe are at least 5 [deg]C above the 
local sample gas dewpoint. Operate the measurement and sample handling 
system as you do for emission testing. Make no modifications to the 
sample handling system to reduce the risk of condensation. Flow 
humidified gas through the sampling system before this check to allow 
stabilization of the measurement system's sampling handling system to 
occur, as it would for an emission test.
    (3) Data collection. (i) Start the flow of zero gas.
    (ii) Allow for stabilization, accounting for transport delays and 
the slowest analyzer's full response.
    (iii) Start recording data. For this verification you must record 
data at a frequency greater than or equal to that of the updating-
recording frequency used during emission testing. You may not use 
interpolation or filtering to alter the recorded values.
    (iv) Switch the flow to allow the blended span gases to flow to the 
analyzer. If you intend to use the data from this test to determine 
t50 for time alignment, record this time as t0.
    (v) Allow for transport delays and the slowest analyzer's full 
response.
    (vi) Switch the flow to allow zero gas to flow to the analyzer. If 
you intend to use the data from this test to determine t50 
for time alignment, record this time as t100.
    (vii) Allow for transport delays and the slowest analyzer's full 
response.
    (viii) Repeat the steps in paragraphs (d)(3)(iv) through (vii) of 
this section to record seven full cycles, ending with zero gas flowing 
to the analyzers.
    (ix) Stop recording.
    (e) Performance evaluations. (1) If you choose 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 the 
continuously combined signal from each analyzer being verified. You may 
use interpolation between recorded values to determine rise and fall 
times. If the recording frequency used during emission testing is 
different from the analyzer's output update frequency, you must use the 
lower of these two frequencies for this verification. Multiply these 
times (in seconds) by their respective updating-recording frequencies in 
Hz (1/second). The resulting product must be at least 5 for both rise 
time and fall time. If either value is less than 5, increase the 
updating-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 analog or digital filters before recording 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 measurement system only if the 
deficiency does not adversely affect your ability to show compliance 
with the applicable standards.
    (f) Transformation time, t50, determination. If you 
choose to determine t50 for purposes of time alignment using 
data generated in paragraph (d)(3) of this section, calculate the mean 
t0-50 and the mean t100-50 from the recorded data. 
Average these two values to determine the final t50 for the 
purposes of time alignment in accordance with Sec.  1065.650(c)(2)(i).
    (g) Optional procedure. Follow the optional procedures in Sec.  
1065.308(g), noting that you may use compensating gases mixed with 
ambient air for oxygen analyzers.
    (h) Analyzers with H2O compensation sampling downstream of a sample 
dryer. You may omit humidifying the span gas as described in this 
paragraph (h). If an analyzer compensates only for H2O, you 
may apply the requirements of Sec.  1065.308 instead of the requirements

[[Page 110]]

of this section. You may omit humidifying the span gas if you meet the 
following conditions:
    (1) The analyzer is located downstream of a sample dryer.
    (2) The maximum value for H2O mole fraction downstream of 
the dryer must be less than or equal to 0.010. Verify this during each 
sample dryer verification according to Sec.  1065.342.

[73 FR 59326, Oct. 8, 2008, as amended at 75 FR 23039, Apr. 30, 2010; 79 
FR 23767, Apr. 28, 2014]

         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 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 to quantify lever-arm length. 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) Recommended procedure to quantify reference force. We recommend 
dead-weight calibration, but you may use either of the following 
procedures to quantify the reference force, NIST-traceable within 0.5% uncertainty.
    (1) 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 reference force by 
multiplying its NIST-traceable mass by the local acceleration of Earth's 
gravity, as described in Sec.  1065.630. Calculate the reference torque 
as the weights' reference force multiplied by the lever arm reference 
length.
    (2) Strain gage, load transducer, 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, load transducer, 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 reference meter's 
measurement axis and perpendicular to the dynamometer's rotational axis.

[79 FR 23768, Apr. 28, 2014]



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.

[[Page 111]]

    (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 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 absolute 
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.
    (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.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37305, June 30, 2008; 
75 FR 23040, Apr. 30, 2010; 79 FR 23768, Apr. 28, 2014]

                        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 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

[[Page 112]]

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, except as allowed in 
paragraph (c) of this section. 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) Ex-situ CFV and SSV calibration. You may remove a CFV or SSV 
from its permanent position for calibration as long as it meets the 
following requirements when installed in the CVS:
    (1) Upon installation of the CFV or SSV into the CVS, use good 
engineering judgment to verify that you have not introduced any leaks 
between the CVS inlet and the venturi.
    (2) After ex-situ venturi calibration, you must verify all venturi 
flow combinations for CFVs or at minimum of 10 flow points for an SSV 
using the propane check as described in Sec.  1065.341. Your propane 
check result for each venturi flow point may not exceed the tolerance in 
Sec.  1065.341(f)(5).
    (3) To verify your ex-situ calibration for a CVS with more than a 
single CFV, perform the following check to verify that there are no flow 
meter entrance effects that can prevent you from passing this 
verification.
    (i) Use a constant flow device like a CFO kit to deliver a constant 
flow of propane to the dilution tunnel.
    (ii) Measure hydrocarbon concentrations at a minimum of 10 separate 
flow rates for an SSV flow meter, or at all possible flow combinations 
for a CFV flow meter, while keeping the flow of propane constant. We 
recommend selecting CVS flow rates in a random order.
    (iii) Measure the concentration of hydrocarbon background in the 
dilution air at the beginning and end of this test. Subtract the average 
background concentration from each measurement at each flow point before 
performing the regression analysis in paragraph (c)(3)(iv) of this 
section.
    (iv) Perform a power regression using all the paired values of flow 
rate and corrected concentration to obtain a relationship in the form of 
y = a [middot] x \b\. Use concentration as the independent variable and 
flow rate as the dependent variable. For each data point, calculate the 
difference between the measured flow rate and the value represented by 
the curve fit. The difference at each point must be less than 1% of the appropriate regression value. The value of b 
must be between -1.005 and -0.995. If your results do not meet these 
limits, take corrective action consistent with Sec.  1065.341(a).
    (d) 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.
    (e) Configuration. Calibrate the system with any upstream screens or 
other restrictions that will be used during testing and that could 
affect the flow ahead of the CVS flow meter, using good engineering 
judgment to minimize the effect on the flow distribution. You may not 
use any 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. In the case of a free standing SSV 
reference flow meter, you may not have any upstream screens.

[[Page 113]]

    (f) 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, 
niref. This may include several measurements of different 
quantities, such as reference meter pressures and temperatures, for 
calculating niref.
    (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 ranging from the 
wide open restrictor position to the minimum expected pressure at the 
PDP inlet or the maximum expected differential (outlet minus inlet) 
pressure across the PDP during testing.
    (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) During emission testing ensure that the PDP is not operated 
either below the lowest inlet pressure point or above the highest 
differential pressure point in the calibration data.
    (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) Verify that any leaks between the calibration flow meter and the 
SSV are less than 0.3% of the total flow at the highest restriction.
    (3) Start the blower downstream of the SSV.
    (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 niref. 
This may include several measurements of different quantities for 
calculating niref, such as reference meter pressures and 
temperatures.
    (ii) Optionally, the mean dewpoint of the calibration 
air,Tdew. See Sec.  1065.640 for permissible assumptions.

[[Page 114]]

    (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 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 an equation to quantify Cd as a function of 
Re# by using the collected data and the equations in Sec.  
1065.640. Section 1065.640 also includes statistical criteria for 
validating the Cd versus Re# equation.
    (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 
Re#. If you want to use the SSV at a lower or higher 
Re#, you must recalibrate the SSV.
    (12) Use the equations in Sec.  1065.642 to determine SSV flow 
during a test.
    (h) CFV calibration. Calibrate a critical-flow venturi (CFV) to 
verify its discharge coefficient, Cd, up to the highest 
expected pressure ratio, r, according to Sec.  1065.640. Calibrate a CFV 
flow meter as follows:
    (1) Connect the system as shown in Figure 1 of this section.
    (2) Verify that any leaks between the calibration flow meter and the 
CFV are less than 0.3% of the total flow at the highest restriction.
    (3) Start the blower downstream of the CFV.
    (4) While the CFV operates, maintain a constant temperature at the 
CFV inlet within 2% of the mean absolute inlet 
temperature, Tin.
    (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) 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, 
niref. This may include several measurements of different 
quantities, such as reference meter pressures and temperatures, for 
calculating niref.
    (ii) The mean dewpoint of the calibration air,Tdew. See 
Sec.  1065.640 for permissible assumptions during emission measurements.
    (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 or decrease the 
downstream pressure to decrease the differential pressure across the 
CFV, [Delta]pCFV.
    (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 highest 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 above the highest allowed r, 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.

[[Page 115]]

    (i) Ultrasonic flow meter calibration. [Reserved]
    [GRAPHIC] [TIFF OMITTED] TR25OC16.159
    

[[Page 116]]



[70 FR 40516, July 13, 2005, as amended at 73 FR 37305, June 30, 2008; 
75 FR 68463, Nov. 8, 2010; 76 FR 57445, Sept. 15, 2011; 81 FR 74165, 
Oct. 25, 2016]



Sec.  1065.341  CVS, PFD, 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. You 
may use the same procedure to verify PFDs and batch samplers. For 
purposes of PFD and batch sampler verification, read the term CVS to 
mean PFD or batch sampler as appropriate. 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 a calibration of the CVS flow 
meter as described in Sec.  1065.340.
    (6) Flow meter entrance effects. Inspect the CVS tunnel to determine 
whether the entrance effects from the piping configuration upstream of 
the flow meter adversely affect the flow measurement.
    (7) 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, or at some point in the 
laboratory exhaust tubing upstream of this location. 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) 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(f) to verify HC 
contamination. Otherwise,

[[Page 117]]

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 inlet or into a tee near the 
outlet of the probe.
    (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 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 xTHCinit 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 (40 CFR 1066.605 for 
vehicle testing) 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% 
of the reference mass, the CVS passes this verification. If not, take 
corrective action as described in paragraph (a) of this section.
    (g) 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

[[Page 118]]

verification. If not, take corrective action as described in paragraph 
(a) of this section.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37307, June 30, 2008; 
73 FR 59328, Oct. 8, 2008; 76 FR 57447, Sept. 15, 2011; 79 FR 23768, 
Apr. 28, 2014; 81 FR 74167, Oct. 25, 2016]



Sec.  1065.342  Sample dryer verification.

    (a) Scope and frequency. If you use a sample dryer as allowed in 
Sec.  1065.145(e)(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(e)(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. Run this verification with the dryer 
and associated sampling system operating in the same manner you will use 
for emission testing (including operation of sample pumps). You may run 
this verification test on multiple sample dryers sharing the same 
sampling system at the same time. You may run this verification on the 
sample dryer alone, but you must use the maximum gas flow rate expected 
during testing. You may use good engineering judgment to develop a 
different protocol.
    (1) Use PTFE or stainless steel tubing to make necessary 
connections.
    (2) Humidify room air, N2, or purified air by bubbling it 
through distilled water in a sealed vessel that humidifies the gas to 
the highest sample water content that you estimate during emission 
sampling.
    (3) Introduce the humidified gas upstream of the sample dryer. You 
may disconnect the transfer line from the probe and introduce the 
humidified gas at the inlet of the transfer line of the sample system 
used during testing. You may use the sample pumps in the sample system 
to draw gas through the vessel.
    (4) Maintain the sample lines, fittings, and valves from the 
location where the humidified gas water content is measured to the inlet 
of the sampling system at a temperature at least 5 [deg]C above the 
local humidified gas dewpoint. For dryers used in NOX sample 
systems, verify the sample system components used in this verification 
prevent aqueous condensation as required in Sec.  1065.145(d)(1)(i). We 
recommend that the sample system components be maintained at least 5 
[deg]C above the local humidified gas dewpoint to prevent aqueous 
condensation.
    (5) Measure the humidified gas dewpoint, Tdew, and 
absolute pressure, ptotal, as close as possible to the inlet 
of the sample dryer or inlet of the sample system to verify the water 
content is at least as high as the highest value that you estimated 
during emission sampling. You may verify the water content based on any 
humidity parameter (e.g. mole fraction water, local dewpoint, or 
absolute humidity).
    (6) Measure the humidified gas dewpoint, Tdew, and 
absolute pressure, ptotal, as close as possible to the outlet 
of the sample dryer. Note that the dewpoint changes with absolute 
pressure. If the dewpoint at the sample dryer outlet is measured at a 
different pressure, then this reading must be corrected to the dewpoint 
at the sample dryer absolute pressure, ptotal.
    (7) The sample dryer meets the verification if the dewpoint at the 
sample dryer pressure as measured in paragraph (d)(6) of this section is 
less than the dewpoint corresponding to the sample dryer specifications 
as determined in Sec.  1065.145(e)(2) plus 2 [deg]C or if the mole 
fraction of water as measured in (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

[[Page 119]]

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 at or below the minimum value used for quench, interference, 
and compensation checks.

[73 FR 37307, June 30, 2008, as amended at 73 FR 59328, Oct. 8, 2008; 75 
FR 23040, Apr. 30, 2010]



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. 
For laboratory testing, perform the vacuum-side leak verification upon 
initial sampling system installation, within 8 hours before the start of 
the first test interval of each duty-cycle sequence, and after 
maintenance such as pre-filter changes. For field testing, perform the 
vacuum-side leak verification after each installation of the sampling 
system on the vehicle, prior to the start of the field test, and after 
maintenance such as pre-filter changes. 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 span port and record the 
measured value.
    (3) Route overflow span gas to the inlet of the sample probe or at a 
tee fitting in the transfer line near the exit of the probe. You may use 
a valve upstream of the overflow fitting to prevent overflow of span gas 
out of the inlet of the probe, but you must then provide an overflow 
vent in the overflow supply line.
    (4) Verify that the measured overflow span gas concentration is 
within 0.5% of the concentration measured in 
paragraph (d)(2) of this section. 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:
    (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.

[[Page 120]]

    (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. 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 Sec.  1065.644, 
verify that the vacuum-decay leak flow rate is less than 0.5% of the 
system's normal in-use flow rate.

[73 FR 37307, June 30, 2008, as amended at 73 FR 59328, Oct. 8, 2008; 75 
FR 23040, Apr. 30, 2010; 81 FR 74167, Oct. 25, 2016]

                   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 (0.0 0.4) mmol/mol, though we strongly recommend a lower 
interference that is within (0.0 0.2) mmol/mol.
    (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. If the sample is passed through a 
dryer during emission testing, you may run this verification test with 
the dryer if it meets the requirements of Sec.  1065.342. Operate the 
dryer at the same conditions as you will for an emission test. You may 
also run this verification test without the sample dryer.
    (2) Create a humidified test gas by bubbling zero gas that meets the 
specifications in Sec.  1065.750 through distilled H2O in a 
sealed vessel. If the sample is not passed through a dryer during 
emission testing, control the vessel temperature to generate an 
H2O level at least as high as the maximum expected during 
emission testing. If the sample is passed through a dryer during 
emission testing, control the vessel temperature to generate an 
H2O level at least as high as the level determined in Sec.  
1065.145(e)(2) for that dryer.
    (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) If the sample is not passed through a dryer during this 
verification test, measure the H2O mole fraction, 
xH2O, of the humidified test gas, as close as possible to the 
inlet of the analyzer. For example, measure dewpoint, Tdew, 
and absolute pressure, ptotal, to calculate xH2O. 
Verify that the H2O content meets the requirement in 
paragraph (d)(2) of this section. If the sample is passed through a 
dryer during this verification test, you must verify that the 
H2O content of the humidified test gas downstream of the 
vessel meets the requirement in paragraph (d)(2) of this section based 
on either direct measurement of the H2O content (e.g., 
dewpoint and pressure) or

[[Page 121]]

an estimate based on the vessel pressure and temperature. Use good 
engineering judgment to estimate the H2O content. For 
example, you may use previous direct measurements of H2O 
content to verify the vessel's level of saturation.
    (5) If a sample dryer is not used in this verification test, use 
good engineering judgment to prevent condensation in the transfer lines, 
fittings, or valves from the point where xH2O is measured to 
the analyzer. We recommend that you design your system so the wall 
temperatures in the transfer lines, fittings, and valves from the point 
where xH2O is measured to the analyzer are at least 5 [deg]C 
above the local sample gas 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 0.4) mmol/mol.
    (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. This specification also applies for vehicle testing, except 
that it relates to emission results in g/mile or g/kilometer.
    (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.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37308, June 30, 2008; 
73 FR 59328, Oct. 8, 2008; 75 FR 23040, Apr. 30, 2010; 76 FR 57447, 
Sept. 15, 2011; 79 FR 23768, Apr. 28, 2014]



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. If the sample is passed through a dryer during 
emission testing, you may run this verification test with the dryer if 
it meets the requirements of Sec.  1065.342. Operate the dryer at the 
same conditions as you will for an emission test. You may also run this 
verification test without the sample dryer.
    (2) Create a humidified CO2 test gas by bubbling a 
CO2 span gas that meets the specifications in Sec.  1065.750 
through distilled H2O in a sealed vessel. If the sample is 
not passed through a dryer during emission testing, control the vessel 
temperature to generate an H2O level at least as high as the 
maximum expected during emission testing. If the sample is passed 
through a dryer during emission testing, control the vessel temperature 
to generate an H2O level at least as high as the level 
determined in Sec.  1065.145(e)(2) for that dryer. 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.

[[Page 122]]

    (4) If the sample is not passed through a dryer during this 
verification test, measure the H2O mole fraction, 
xH2O, of the humidified CO2 test gas as close as 
possible to the inlet of the analyzer. For example, measure dewpoint, 
Tdew, and absolute pressure, ptotal, to calculate 
xH2O. Verify that the H2O content meets 
the requirement in paragraph (d)(2) of this section. If the sample is 
passed through a dryer during this verification test, you must verify 
that the H2O content of the humidified test gas downstream of 
the vessel meets the requirement in paragraph (d)(2) of this section 
based on either direct measurement of the H2O content (e.g., 
dewpoint and pressure) or an estimate based on the vessel pressure and 
temperature. Use good engineering judgment to estimate the 
H2O content. For example, you may use previous direct 
measurements of H2O content to verify the vessel's level of 
saturation.
    (5) If a sample dryer is not used in this verification test, use 
good engineering judgment to prevent condensation in the transfer lines, 
fittings, or valves from the point where xH2O is measured to 
the analyzer. We recommend that you design your system so that the wall 
temperatures in the transfer lines, fittings, and valves from the point 
where xH2O is measured to the analyzer are at least 5 [deg]C 
above the local sample gas 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 
separate interference 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.
    (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-calculation 
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.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37308, June 30, 2008; 
73 FR 59328, Oct. 8, 2008; 75 FR 23041, Apr. 30, 2010; 79 FR 23769, Apr. 
28, 2014]

                        Hydrocarbon Measurements



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 123]]

    (3) If you determine NMNEHC by subtracting from measured THC, 
determine the ethane (C2H6) response factor after 
initial analyzer installation and after major maintenance as described 
in paragraph (f) of this section. Verify the C2H6 
response within 185 days before testing as described in paragraph (f) 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 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 the 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 C3 H8 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 C3 H8 
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 the CH4 span gas that you selected under 
paragraph (d)(2) of this section into the FID analyzer.
    (8) Allow time for the analyzer response to stabilize. Stabilization 
time

[[Page 124]]

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) For analyzers with multiple ranges, you need to perform the 
procedure in this paragraph (d) only on a single range.
    (11) 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, RF 
CH4[THC-FID].
    (e) THC FID CH4 response verification. This procedure is 
only for FID analyzers that measure THC. Verify 
RFCH4[THC-FID] as follows:
    (1) Perform a CH4 response factor determination as 
described in paragraph (d) of this section. If the resulting value of 
RFCH4[THC-FID] is within 5% of its most 
recent previously determined value, the THC FID passes the 
CH4 response verification. For example, if the most recent 
previous value for RF CH4[THC-FID] was 1.05 and it increased 
by 0.05 to become 1.10 or it decreased by 0.05 to become 1.00, either 
case would be acceptable because 4.8% is less than 
5%.
    (2) If RF CH4[THC-FID] is not within the tolerance 
specified in paragraph (e)(1) of this section, use good engineering 
judgment to verify that the flow rates and/or pressures of FID fuel, 
burner air, and sample are at their most recent previously recorded 
values, as determined in paragraph (c) of this section. You may adjust 
these flow rates as necessary. Then determine the RF 
CH4[THC-FID] as described in paragraph (d) of this section 
and verify that it is within the tolerance specified in this paragraph 
(e).
    (3) If RF CH4[THC-FID] is not within the tolerance 
specified in this paragraph (e), re-optimize the FID response as 
described in paragraph (c) of this section.
    (4) Determine a new RFCH4[THC-FID] as described in 
paragraph (d) of this section. Use this new value of RF 
CH4[THC-FID] in the calculations for HC determination, as 
described in Sec.  1065.660.
    (5) For analyzers with multiple ranges, you need to perform the 
procedure in this paragraph (e) only on a single range.
    (f) THC FID C2H6 response factor 
determination. This procedure is only for FID analyzers that measure 
THC. Since FID analyzers generally have a different response to 
C2H6 than C3H8, determine 
the THC-FID analyzer's C2H6 response factor, 
RFC2H6[THC-FID], after FID optimization using the procedure 
described in paragraph (d) of this section, replacing CH4 
with C2H6. Use the most recent 
RFC2H6[THC-FID] measured according to this section in the 
calculations for HC determination described in Sec.  1065.660 to 
compensate for C2H6 response.

[73 FR 37308, June 30, 2008, as amended at 75 FR 23041, Apr. 30, 2010; 
76 FR 57447, Sept. 15, 2011; 79 FR 23769, Apr. 28, 2014; 81 FR 74168, 
Oct. 25, 2016]



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, 
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

[[Page 125]]

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 126]]

    (15) For analyzers with multiple ranges, you need to perform the 
procedure in this paragraph (d) only on a single range.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37309, June 30, 2008; 
79 FR 23770, Apr. 28, 2014]



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 CH4, 
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 CH4 
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 
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 CH4 and C2H6 analytical 
gas mixtures 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 the 
THC analyzer's span value. For CH4 analyzers with multiple 
ranges, perform this procedure on the highest range used for emission 
testing.
    (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 nonmethane cutter as you would 
during emission testing. Span the FID through the cutter by using 
CH4 span gas.
    (6) Introduce the C2H6 analytical gas mixture 
upstream of the nonmethane cutter. Use good engineering judgment to 
address the effect of hydrocarbon

[[Page 127]]

contamination if your point of introduction is vastly different from the 
point of zero/span gas introduction.
    (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 C2H6 concentration by the 
reference concentration 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), Sec.  1065.660(d)(1)(i), or Sec.  
1065.665, as applicable.
    (e) Procedure for a FID calibrated with propane, bypassing the NMC. 
If you use a single FID for THC and CH4 determination 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 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 and the 
C2H6 concentration typical of the peak total 
hydrocarbon (THC) concentration expected at the hydrocarbon standard or 
equal to the THC analyzer's span value. For CH4 analyzers 
with multiple ranges, perform this procedure on the highest range used 
for emission testing.
    (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.
    (6) Introduce the C2H6 analytical gas mixture 
upstream of the nonmethane cutter. Use good engineering judgment to 
address the effect of hydrocarbon contamination if your point of 
introduction is vastly different from the point of zero/span gas 
introduction.
    (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, and repeat the 
steps in paragraph (e)(7) through (e)(8) of this section.
    (10) Divide the mean C2H6 concentration 
measured through the nonmethane cutter by the mean 
C2H6 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), Sec.  
1065.660(d)(1)(ii), or Sec.  1065.665, as applicable.
    (11) Repeat the steps in paragraphs (e)(6) through (e)(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), Sec.  
1065.660(c)(1)(ii), or Sec.  1065.665, as applicable.
    (f) Procedure for a FID calibrated with CH4, bypassing 
the NMC. If you use a FID with an NMC that is calibrated with 
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 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

[[Page 128]]

the peak NMHC concentration expected at the hydrocarbon standard or 
equal to the THC analyzer's span value. For CH4 analyzers 
with multiple ranges, perform this procedure on the highest range used 
for emission testing.
    (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 CH4 span gas. 
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. Use good engineering judgment to 
address the effect of hydrocarbon contamination if your point of 
introduction is vastly different from the point of zero/span gas 
introduction.
    (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 C2H6 concentration by the 
reference concentration 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 according to Sec.  1065.660(b)(2)(iii), Sec.  
1065.660(d)(1)(iii), or Sec.  1065.665, as applicable.
    (10) Introduce the CH4 analytical gas mixture upstream of 
the nonmethane cutter. Use good engineering judgment to address the 
effect of hydrocarbon contamination if your point of introduction is 
vastly different from the point of zero/span gas introduction.
    (11) 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.
    (12) While the analyzer measures a stable concentration, record 30 
seconds of sampled data. Calculate the arithmetic mean of these data 
points.
    (13) Reroute the flow path to bypass the nonmethane cutter, 
introduce the CH4 analytical gas mixture, and repeat the 
steps in paragraphs (e)(11) and (12) of this section.
    (14) Divide the mean CH4 concentration measured through 
the nonmethane cutter by the mean CH4 concentration measured 
after bypassing the nonmethane cutter. The result is the CH4 
penetration fraction, PFCH4[NMC-FID]. Use this penetration 
fraction according to Sec.  1065.660(b)(2)(iii), Sec.  
1065.660(d)(1)(iii), or Sec.  1065.665, as applicable.

[73 FR 37310, June 30, 2008, as amended at 74 FR 56513, Oct. 30, 2009; 
79 FR 23770, Apr. 28, 2014; 81 FR 74168, Oct. 25, 2016]



Sec.  1065.366  Interference verification for FTIR analyzers.

    (a) Scope and frequency. If you measure CH4, 
C2H6, NMHC, or NMNEHC using an FTIR analyzer, 
verify the amount of interference after initial analyzer installation 
and after major maintenance.
    (b) Measurement principles. Interference gases can interfere with 
certain analyzers by causing a response similar to the target analyte. 
If the 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. An FTIR analyzer must have combined 
interference that is within 2% of the flow-
weighted mean concentration of CH4, NMHC, or NMNEHC expected 
at the standard, though we strongly recommend a lower interference that 
is within 1%.
    (d) Procedure. Perform the interference verification for an FTIR 
analyzer using the same procedure that applies for N2O 
analyzers in Sec.  1065.375(d).

[81 FR 74168, Oct. 25, 2016]

[[Page 129]]



Sec.  1065.369  H[bdi2]O, CO, and CO[bdi2] interference verification 
for photoacoustic alcohol analyzers.

    (a) Scope and frequency. If you measure ethanol or methanol using a 
photoacoustic analyzer, verify the amount of H2O, CO, and 
CO2 interference after initial analyzer installation and 
after major maintenance.
    (b) Measurement principles. H2O, CO, and CO2 
can positively interfere with a photoacoustic analyzer by causing a 
response similar to ethanol or methanol. If the photoacoustic 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. Photoacoustic analyzers must have combined 
interference that is within (0.0 0.5) [micro]mol/
mol. We strongly recommend a lower interference that is within (0.0 
0.25) [micro]mol/mol.
    (d) Procedure. Perform the interference verification by following 
the procedure in Sec.  1065.375(d), comparing the results to paragraph 
(c) of this section.

[79 FR 23770, Apr. 28, 2014]

             NOX and N2O 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. This procedure and the calculations 
in Sec.  1065.675 determine quench and scale the quench results to the 
maximum mole fraction of H2O and the maximum CO2 
concentration expected during emission testing. If the CLD analyzer uses 
quench compensation algorithms that utilize H2O and/or 
CO2 measurement instruments, evaluate quench with these 
instruments active 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 by using a gas divider that 
blends binary span gases with zero gas as the diluent and meets the 
specifications in Sec.  1065.248, or use good engineering judgment to 
develop a different protocol:
    (1) Use PTFE or stainless steel tubing to make necessary 
connections.
    (2) Configure the gas divider such that nearly equal amounts of the 
span and diluent gases are blended with each other.
    (3) If the CLD analyzer has an operating mode in which it detects 
NO-only, as opposed to total NOX, operate the CLD analyzer in 
the NO-only operating mode.
    (4) Use a CO2 span gas that meets the specifications of 
Sec.  1065.750 and a concentration that is approximately twice the 
maximum CO2 concentration expected during emission testing.
    (5) Use an NO span gas that meets the specifications of Sec.  
1065.750 and a concentration that is approximately twice the maximum NO 
concentration expected during emission testing.
    (6) Zero and span the CLD analyzer. Span the CLD analyzer with the 
NO span gas from paragraph (d)(5) of this section through the gas 
divider. Connect the NO span gas to the span port of the gas divider; 
connect a zero gas to the diluent port of the gas divider; use the same 
nominal blend ratio selected in paragraph (d)(2) of this section; and 
use the gas divider's output concentration of NO to span the CLD 
analyzer. Apply gas property corrections as necessary to ensure accurate 
gas division.
    (7) Connect the CO2 span gas to the span port of the gas 
divider.
    (8) Connect the NO span gas to the diluent port of the gas divider.
    (9) While flowing NO and CO2 through the gas divider, 
stabilize the output of

[[Page 130]]

the gas divider. Determine the CO2 concentration from the gas 
divider output, applying gas property correction as necessary to ensure 
accurate gas division, or measure it using an NDIR. Record this 
concentration, xCO2act, and use it in the quench verification 
calculations in Sec.  1065.675. Alternatively, you may use a simple gas 
blending device and use an NDIR to determine this CO2 
concentration. If you use an NDIR, it must meet the requirements of this 
part for laboratory testing and you must span it with the CO2 
span gas from paragraph (d)(4) of this section.
    (10) Measure the NO concentration downstream of the gas divider with 
the CLD analyzer. Allow time for the analyzer response to stabilize. 
Stabilization time may include time to purge the transfer line and to 
account for analyzer response. While the analyzer measures the sample's 
concentration, record the analyzer's output for 30 seconds. Calculate 
the arithmetic mean concentration from these data, xNOmeas. 
Record xNOmeas, and use it in the quench verification 
calculations in Sec.  1065.675.
    (11) Calculate the actual NO concentration at the gas divider's 
outlet, xNOact, based on the span gas concentrations and 
xCO2act according to Eq. 1065.675-2. Use the calculated value 
in the quench verification calculations in Eq. 1065.675-1.
    (12) Use the values recorded according to this paragraph (d) 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 analyzer has an operating mode in which it detects 
NO-only, as opposed to total NOX, operate the CLD analyzer in 
the NO-only operating mode.
    (3) Use an NO span gas that meets the specifications of Sec.  
1065.750 and a concentration that is near the maximum concentration 
expected during emission testing.
    (4) Zero and span the CLD analyzer. Span the CLD analyzer with the 
NO span gas from paragraph (e)(3) of this section, record the span gas 
concentration as xNOdry, and use it in the quench 
verification calculations in Sec.  1065.675.
    (5) Humidify the NO span gas by bubbling it through distilled 
H2O in a sealed vessel. If the humidified NO span gas sample 
does not pass through a sample dryer for this verification test, control 
the vessel temperature to generate an H2O level approximately 
equal to the maximum mole fraction of H2O expected during 
emission testing. If the humidified NO span gas sample does not pass 
through a sample dryer, the quench verification calculations in Sec.  
1065.675 scale the measured H2O quench to the highest mole 
fraction of H2O expected during emission testing. If the 
humidified NO span gas sample passes through a dryer for this 
verification test, control the vessel temperature to generate an 
H2O level at least as high as the level determined in Sec.  
1065.145(e)(2). For this case, the quench verification calculations in 
Sec.  1065.675 do not scale the measured H2O quench.
    (6) Introduce the humidified NO test gas into the sample system. You 
may introduce it upstream or downstream of any sample dryer that is used 
during emission testing. Note that the sample dryer must meet the sample 
dryer verification check in Sec.  1065.342.
    (7) Measure the mole fraction of H2O in the humidified NO 
span gas downstream of the sample dryer, xH2Omeas. We 
recommend that you measure xH2Omeas as close as possible to 
the CLD analyzer inlet. You may calculate xH2Omeas from 
measurements of dew point, Tdew, and absolute pressure, 
ptotal.
    (8) Use good engineering judgment to prevent condensation in the 
transfer lines, fittings, or valves from the point where 
xH2Omeas is measured to the analyzer. We recommend that you 
design your system so the wall temperatures in the transfer lines, 
fittings, and valves from the point where xH2Omeas is 
measured to the analyzer are at least 5 [deg]C above the local sample 
gas dew point.
    (9) Measure the humidified NO span gas concentration with the CLD 
analyzer. Allow time for the analyzer response to stabilize. 
Stabilization time may include time to purge the transfer

[[Page 131]]

line and to account for analyzer response. While the analyzer measures 
the sample's concentration, record the analyzer's output for 30 seconds. 
Calculate the arithmetic mean of these data, xNOwet. Record 
xNOwet and use it in the quench verification calculations in 
Sec.  1065.675.
    (f) Corrective action. If the sum of the H2O quench plus 
the CO2 quench is less than -2% or greater than + 2%, take 
corrective action by repairing or replacing the analyzer. Before running 
emission tests, verify that the corrective action successfully restored 
the analyzer to proper functioning.
    (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 
calculation 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% of the applicable NOX standard. If 
you certify to a combined emission standard (such as a NOX + 
NMHC standard), scale your NOX results to the combined 
standard based on the measured results (after incorporating 
deterioration factors, if applicable). For example, if your final 
NOX + NMHC value is half of the emission standard, double the 
NOX result to estimate the level of NOX emissions 
corresponding to the applicable 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 deficiency does not adversely affect your 
ability to show that engines comply with all applicable emission 
standards.

[73 FR 59328, Oct. 8, 2008, as amended at 73 FR 73789, Dec. 4, 2008; 75 
FR 23041, Apr. 30, 2010; 76 FR 57447, Sept. 15, 2011; 79 FR 23771, Apr. 
28, 2014; 81 FR 74168, Oct. 25, 2016]



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%

[[Page 132]]

of the NOX 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 
calculation 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.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37312, June 30, 2008; 
76 FR 57447, Sept. 15, 2011]



Sec.  1065.375  Interference verification for N[bdi2]O analyzers.

    (a) Scope and frequency. See Sec.  1065.275 to determine whether you 
need to verify the amount of interference after initial analyzer 
installation and after major maintenance.
    (b) Measurement principles. Interference gases can positively 
interfere with certain analyzers by causing a response similar to 
N2O. If the 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. Analyzers must have combined interference 
that is within (0.0 1.0) [micro]mol/mol. We 
strongly recommend a lower interference that is within (0.0 0.5) [micro]mol/mol.
    (d) Procedure. Perform the interference verification as follows:
    (1) Start, operate, zero, and span the N2O analyzer as 
you would before an emission test. If the sample is passed through a 
dryer during emission testing, you may run this verification test with 
the dryer if it meets the requirements of Sec.  1065.342. Operate the 
dryer at the same conditions as you will for an emission test. You may 
also run this verification test without the sample dryer.
    (2) Create a humidified test gas by bubbling a multi component span 
gas that incorporates the target interference species and meets the 
specifications in Sec.  1065.750 through distilled H2O in a 
sealed vessel. If the sample is not passed through a dryer during 
emission testing, control the vessel temperature to generate an 
H2O level at least as high as the maximum expected during 
emission testing. If the sample is passed through a dryer during 
emission testing, control the vessel temperature to generate an 
H2O level at least as high as the level determined in Sec.  
1065.145(e)(2) for that dryer. Use interference span gas concentrations 
that are at least as high as the maximum expected during testing.
    (3) Introduce the humidified interference test gas into the sample 
system. You may introduce it downstream of any sample dryer, if one is 
used during testing.
    (4) If the sample is not passed through a dryer during this 
verification test, measure the H2O mole 
fraction,xH2O, of the humidified interference test 
gas as close as possible to the inlet of the analyzer. For example, 
measure dewpoint, Tdew, and absolute pressure, 
ptotal, to calculatexH2O. Verify that 
the H2O content meets the requirement in paragraph (d)(2) of 
this section. If the sample is passed through a dryer during this 
verification test, you must verify that the H2O content of 
the humidified test gas downstream of the vessel meets the requirement 
in paragraph (d)(2) of this section based on either direct measurement 
of the H2O content (e.g., dewpoint and pressure) or an 
estimate based on the vessel pressure and temperature. Use good 
engineering judgment to estimate the H2O content. For 
example, you may use previous direct measurements of H2O 
content to verify the vessel's level of saturation.
    (5) If a sample dryer is not used in this verification test, use 
good engineering judgment to prevent condensation in the transfer lines, 
fittings, or valves from the point wherexH2O is 
measured to the analyzer. We recommend that you design your system so 
that the wall temperatures in the transfer lines, fittings, and valves 
from the point where xH2O is measured to the 
analyzer are at least 5 [ordm]C above the local sample gas dewpoint.
    (6) Allow time for the analyzer response to stabilize. Stabilization 
time may include time to purge the transfer

[[Page 133]]

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. 
When performed with all the gases simultaneously, this is the combined 
interference.
    (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 separately for 
individual interference gases. If the interference gas levels used are 
higher than the maximum levels expected during testing, you may scale 
down each observed interference value (the arithmetic mean of 30 second 
data described in paragraph (d)(7) of this section) 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 
separate interference 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 scaled 
interference values must meet the tolerance for combined interference as 
specified in paragraph (c) of this section.

[74 FR 56515, Oct. 30, 2009, as amended at 23771, Apr. 28, 2014; 81 FR 
74168, Oct. 25, 2016]



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 chiller NO2 penetration. 
Perform this verification after initial installation and after major 
maintenance.
    (b) Measurement principles. A chiller removes H2O, which 
can otherwise interfere with a NOX measurement. However, 
liquid H2O 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 
H2O.
    (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 H2O vapor that passed through the chiller at the 
chiller's outlet temperature and pressure.

[[Page 134]]

    (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.

[73 FR 37312, June 30, 2008, as amended at 79 FR 23771, Apr. 28, 2014]



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.
    (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 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. 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 or a 
value which would simulate the maximum concentration of NO2 
expected during testing, while maintaining at least 10 percent unreacted 
NO. This ensures that the ozonator is generating NO2 at the 
maximum concentration expected during testing. 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

[[Page 135]]

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 by substituting the concentrations obtained 
into the following equation:
[GRAPHIC] [TIFF OMITTED] TR08OC08.097

    (5) 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.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37313, June 30, 2008; 
73 FR 59330, Oct. 8, 2008; 76 FR 57447, Sept. 15, 2011]

                             PM Measurements



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. Balances have internal weights 
that compensate for drift due to environmental changes. These internal 
weights must be verified as part of this independent verification with 
external, certified calibration weights that meet the specifications in 
Sec.  1065.790.
    (c) Zeroing and spanning. You must verify balance performance by 
zeroing and spanning it with at least one calibration weight. Also, any 
external weights you use must meet the specifications in Sec.  1065.790. 
Any weights internal to the PM balance used for this verification must 
be verified as described in paragraph (b) of this section.
    (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 most balances have internal weights for 
automatically verifying balance performance.
    (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 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

[[Page 136]]

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 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.

[73 FR 37313, June 30, 2008, as amended at 75 FR 23042, Apr. 30, 2010; 
75 FR 68463, Nov. 8, 2010; 81 FR 74168, Oct. 25, 2016]



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

[[Page 137]]

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 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.

    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, consistent with 
paragraph (f) of this section. This includes governors that you normally 
install on production engines. Production engines should also be tested 
with their installed governors. If your engine is equipped with multiple 
user-selectable governor types and if the governor does not manipulate 
the emission control system (i.e., the governor only modulates an 
``operator demand'' signal such as commanded fuel rate, torque, or 
power), choose the governor type that allows the test cell to most 
accurately follow the duty cycle. If the governor manipulates the 
emission control system, treat it as an adjustable parameter. See 
paragraph (b) of this section for guidance on setting adjustable 
parameters. 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. In certain circumstances, you 
may incorporate test cell components to simulate an in-use 
configuration, consistent with good engineering judgment. For example, 
Sec. Sec.  1065.122 and 1065.125 allow the use of test cell components 
to represent engine cooling and intake air systems. The provisions in 
Sec.  1065.110(e) also apply to emission-data engines for certification.
    (b) We may set adjustable parameters to any value in the valid 
range, and you are responsible for controlling emissions over the full 
valid range. For each adjustable parameter, if the standard-setting part 
has no unique requirements and if we have not specified a value, use 
good engineering judgment to select the most common setting. If 
information on the most common setting is not available, select the 
setting representing the engine's original shipped configuration. If 
information on the most common and original settings is not available, 
set the adjustable parameter in the middle of the valid range.
    (c) 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 138]]

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.
    (d) 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.
    (e) For accumulating operating hours on your test engines, select 
engine operation that represents normal in-use operation for the engine 
family.
    (f) 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 precondition a canister and 
attach it 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) Precondition the canister as described in 40 CFR 86.132-96(j).
    (3) Connect the canister's purge port to the engine.
    (4) Plug the canister port that is normally connected to the fuel 
tank.
    (g) This paragraph (g) defines the components that are considered to 
be part of the engine for laboratory testing. See Sec.  1065.110 for 
provisions related to system boundaries with respect to work inputs and 
outputs.
    (1) This paragraph (g)(1) describes certain criteria for considering 
a component to be part of the test engine. The criteria are intended to 
apply broadly, such that a component would generally be considered part 
of the engine in cases of uncertainty. Except as specified in paragraph 
(g)(2) of this section, an engine-related component meeting both the 
following criteria is considered to be part of the test engine for 
purposes of testing and for stabilizing emission levels, 
preconditioning, and measuring emission levels:
    (i) The component directly affects the functioning of the engine, is 
related to controlling emissions, or transmits engine power. This would 
include engine cooling systems, engine controls, and transmissions.
    (ii) The component is covered by the applicable certificate of 
conformity. For example, this criterion would typically exclude 
radiators not described in an application for certification.
    (2) This paragraph (g)(2) applies for engine-related components that 
meet the criteria of paragraph (g)(1) of this section, but that are part 
of the laboratory setup or are used for other engines. Such components 
are considered to be part of the test engine for preconditioning, but 
not for engine stabilization. For example, if you test your engines 
using the same laboratory exhaust tubing for all tests, there would be 
no restrictions on the number of test hours that could be accumulated 
with the tubing, but it would need to be preconditioned separately for 
each engine.

[79 FR 23772, Apr. 28, 2014]



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

[[Page 139]]

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) If you inspect an engine, keep a record of the inspection and 
update your application to document any changes that result. You may use 
any kind of equipment, instrument, or tool to identify bad engine 
components or perform maintenance if it is available at 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 apart, you may no longer use it as 
an emission-data engine.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37314, June 30, 2008; 
79 FR 23773, Apr. 28, 2014; 80 FR 9118, Feb. 19, 2015]



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.
    (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.
    (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.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37315, June 30, 2008]



    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 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.
    (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) Unless we specify otherwise, you may control the regeneration 
timing of infrequently regenerated aftertreatment devices such as diesel 
particulate filters using good engineering judgment. You may control the 
regeneration timing using a sequence of engine operating conditions or 
you may initiate regeneration with an external regeneration switch or 
other command. This provision also allows you to ensure that a 
regeneration

[[Page 140]]

event does not occur during an emission test.
    (c) 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.
    (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. 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 of the duty cycle specified in the 
standard-setting part. Sample emissions and other parameters for that 
mode in the same manner as a transient cycle, with the exception that 
reference speed and torque values are constant. Record data for that 
mode, transition to the next mode, and then stabilize the engine at the 
next mode. Continue to sample each mode discretely as a separate test 
interval and calculate composite brake-specific emission results 
according to Sec.  1065.650(g)(2).
    (A) Use good engineering judgment to determine the time required to 
stabilize the engine. You may make this determination before starting 
the test based on prior experience, or you may make this determination 
in real time based an automated stability criteria. If needed, you may 
continue to operate the engine after reaching stability to get 
laboratory equipment ready for sampling.
    (B) Collect PM on separate PM sample media for each mode.
    (C) The minimum sample time is 60 seconds. We recommend that you 
sample both gaseous and PM emissions over the same test interval. If you 
sample gaseous and PM emissions over different test intervals, there 
must be no change in engine operation between the two test intervals. 
These two test intervals may completely or partially overlap, they may 
run consecutively, or they may be separated in time.
    (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.
    (d) 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).

[[Page 141]]

    (e) Subpart J of this part describes how to perform field testing.

[79 FR 23773, Apr. 28, 2014]



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. To establish speed and torque 
values for mapping, we generally 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. 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 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 as follows:
    (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, operate the engine at 
warm idle speed and zero torque on the engine's primary output shaft. 
You may use 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). You may alternatively use the dynamometer to target 
the manufacturer-declared warm idle speed and manipulate the operator 
demand to control the torque on the engine's primary output shaft to 
zero.
    (iii) For variable-speed engines with or without a low-speed 
governor, if a nonzero idle torque is representative of in-use 
operation, you may use the dynamometer or operator demand to target the 
manufacturer-declared idle torque instead of targeting zero torque

[[Page 142]]

as specified in paragraphs (b)(3)(i) and (ii) of this section. Control 
speed as specified in paragraph (b)(3)(i) or (ii) of this section, as 
applicable. If you use this option for engines with a low-speed governor 
to measure the warm idle speed with the manufacturer-declared torque at 
this step, you may use this as the warm-idle speed for cycle generation 
as specified in paragraph (b)(6) of this section. However, if you 
identify multiple warm idle torques under paragraph (f)(4)(i) of this 
section, measure the warm idle speed at only one torque level for this 
paragraph (b)(3).
    (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, you may 
perform an engine map by using discrete speeds. Select at least 20 
evenly spaced setpoints from 95% of warm idle speed to the highest speed 
above maximum power at which 50% of maximum power occurs. We refer to 
this 50% speed as the check point speed as described in paragraph 
(b)(5)(iii) of this section. At each setpoint, stabilize speed and allow 
torque to stabilize. Record the mean speed and torque at each setpoint. 
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 speed to the check point speed as described in 
paragraph (b)(5)(iii) of this section. Use good engineering judgment to 
determine when to stop recording data to ensure that the sweep is 
complete. In most cases, this means that you can stop the sweep at any 
point after the power falls to 50% of the maximum value. 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.
    (iii) The check point speed of the map is the highest speed above 
maximum power at which 50% of maximum power occurs. If this speed is 
unsafe or unachievable (e.g., for ungoverned engines or engines that do 
not operate at that point), use good engineering judgment to map up to 
the maximum safe speed or maximum achievable speed. For discrete 
mapping, if the engine cannot be mapped to the check point speed, make 
sure the map includes at least 20 points from 95% of warm idle to the 
maximum mapped speed. For continuous mapping, if the engine cannot be 
mapped to the check point speed, verify that the sweep time from 95% of 
warm idle to the maximum mapped speed is (4 to 6) min.
    (iv) Note that under Sec.  1065.10(c)(1) we may allow you to 
disregard portions of the map when selecting maximum test speed if the 
specified procedure would result in a duty cycle that does not represent 
in-use operation.
    (6) Use one of the following methods to determine warm high-idle 
speed for engines with a high-speed governor if they are subject to 
transient testing with a duty cycle that includes reference speed values 
above 100%:
    (i) You may use a manufacturer-declared warm high-idle speed if the 
engine is electronically governed. For engines with a high-speed 
governor that shuts off torque output at a manufacturer-specified speed 
and reactivates at a lower manufacturer-specified speed (such as engines 
that use ignition cut-off for governing), declare the middle of the 
specified speed range as the warm high-idle speed.
    (ii) Measure the warm high-idle speed using the following procedure:
    (A) Set operator demand to maximum and use the dynamometer to target 
zero torque on the engine's primary output shaft. If the mean feedback 
torque is within 1% of Tmax mapped, you 
may use the observed mean feedback speed at that point as the measured 
warm high-idle speed.

[[Page 143]]

    (B) If the engine is unstable as a result of in-use production 
components (such as engines that use ignition cut-off for governing, as 
opposed to unstable dynamometer operation), you must use the mean 
feedback speed from paragraph (b)(6)(ii)(A) of this section as the 
measured warm high-idle speed. The engine is considered unstable if any 
of the 1 Hz speed feedback values are not within 2% of the calculated mean feedback speed. We recommend 
that you determine the mean as the value representing the midpoint 
between the observed maximum and minimum recorded feedback speed.
    (C) If your dynamometer is not capable of achieving a mean feedback 
torque within 1% of Tmax mapped, 
operate the engine at a second point with operator demand set to maximum 
with the dynamometer set to target a torque equal to the recorded mean 
feedback torque on the previous point plus 20% of 
Tmax mapped. Use this data point and the data point from 
paragraph (b)(6)(ii)(A) of this section to extrapolate the engine speed 
where torque is equal to zero.
    (D) You may use a manufacturer-declared Tmax instead of 
the measured Tmax mapped. If you do this, or if you are able 
to determine mean feedback speed as described in paragraphs 
(b)(6)(ii)(A) and (B) of this section, you may measure the warm high-
idle speed before running the speed sweep specified in paragraph (b)(5) 
of this section.
    (7) 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. If you identify multiple warm idle torques under paragraph 
(f)(4)(i) of this section, measure the warm idle speed at each torque. 
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(s).
    (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 torque curve 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. 
You may start the negative torque map at either the minimum or maximum 
speed from paragraph (b) of this section.
    (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 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).
    (4) For engines with an electric hybrid system, map the negative 
torque required to motor the engine and absorb any power delivered from 
the RESS by repeating paragraph (g)(2) of this section with minimum 
operator demand, stopping the sweep to discharge the RESS when the 
absolute instantaneous power measured from the RESS drops below the 
expected maximum absolute power from the RESS by more than 2% of total 
system maximum power (including engine motoring and RESS power) as 
determined from mapping the negative torque.

[[Page 144]]

    (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 speed below 
maximum mapped power at which the engine develops 90% 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.
    (i) For constant-speed engines subject only to steady-state testing, 
you may perform an engine map by using a series of discrete torques. 
Select at least five evenly spaced torque setpoints from no-load to 80% 
of the manufacturer-declared test torque or to a torque derived from 
your published maximum power level if the declared test torque is 
unavailable. Starting at the 80% torque point, select setpoints in 2.5% 
or smaller intervals, stopping at the endpoint torque. The endpoint 
torque is defined as the first discrete mapped torque value greater than 
the torque at maximum observed power where the engine outputs 90% of the 
maximum observed power; or the torque when engine stall has been 
determined using good engineering judgment (i.e. sudden deceleration of 
engine speed while adding torque). You may continue mapping at higher 
torque setpoints. At each setpoint, allow torque and speed to stabilize. 
Record the mean feedback speed and torque at each setpoint. From this 
series of mean feedback speed and torque values, use linear 
interpolation to determine intermediate values. Use this series of mean 
feedback speeds and torques to generate the power map as described in 
paragraph (e) of this section.
    (ii) For any constant-speed engine, you may perform an engine map 
with a continuous torque sweep by continuing to record the mean feedback 
speed and torque at 1 Hz or more frequently. Use the dynamometer to 
increase torque. Increase the reference torque at a constant rate from 
no-load to the endpoint torque as defined in paragraph (d)(5)(i) of this 
section. You may continue mapping at higher torque setpoints. Unless the 
standard-setting part specifies otherwise, target a torque sweep rate 
equal to the manufacturer-declared test torque (or a torque derived from 
your published power level if the declared test torque is not known) 
divided by 180 seconds. Stop recording after you complete the sweep. 
Verify that the average torque sweep rate over the entire map is within 
7% of the target torque sweep rate. Use linear 
interpolation to determine intermediate values from this series of mean 
feedback speed and torque values. Use this series of mean feedback 
speeds and torques to generate the power map as described in paragraph 
(e) of this section.
    (iii) For any isochronous governed (0% speed droop) constant-speed 
engine, you may map the engine with two points as described in this 
paragraph (d)(5)(iii). After stabilizing at the no-load governed speed 
in paragraph (d)(4) of this section, record the mean feedback speed and 
torque. Continue to operate the engine with the governor or simulated 
governor controlling engine speed using operator demand, and control the 
dynamometer to target a speed of 99.5% of the recorded mean no-load 
governed speed. Allow speed and torque

[[Page 145]]

to stabilize. Record the mean feedback speed and torque. Record the 
target speed. The absolute value of the speed error (the mean feedback 
speed minus the target speed) must be no greater than 0.1% of the 
recorded mean no-load governed speed. From this series of two mean 
feedback speed and torque values, use linear interpolation to determine 
intermediate values. Use this series of two mean feedback speeds and 
torques to generate a power map as described in paragraph (e) of this 
section. Note that the measured maximum test torque as determined in 
Sec.  1065.610 (b)(1) will be the mean feedback torque recorded on the 
second point.
    (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% 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 
(97.5 to 102.5)% of the corresponding measured value.
    (iii) For electronically governed engines, you may use a declared 
warm high-idle speed for calculating the alternate maximum test speed as 
specified in Sec.  1065.610.
    (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:

[[Page 146]]

    (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. (i) For variable-speed engines you 
may declare a maximum torque over the engine operating range. You may 
use the declared value for measuring warm high-idle speed as specified 
in this section.
    (ii) 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) Mapping variable-speed engines with an electric hybrid system. 
Map variable-speed engines that include electric hybrid systems as 
described in this paragraph (g). You may ask to apply these provisions 
to other types of hybrid engines, consistent with good engineering 
judgment. However, do not use this procedure for engines used in hybrid 
vehicles where the hybrid system is certified as part of the vehicle 
rather than the engine. Follow the steps for mapping a variable-speed 
engine as given in paragraph (b)(5) of this section except as noted in 
this paragraph (g). You must generate one engine map with the hybrid 
system inactive as described in paragraph (g)(1) of this section, and a 
separate map with the hybrid system active as described in paragraph 
(g)(2) of this section. See the standard-setting part to determine how 
to use these maps. The map with the system inactive is typically used to 
generate steady-state duty cycles, but may also be used to generate 
transient cycles, such as those that do not involve engine motoring. 
This hybrid-inactive map is also used for generating the hybrid-active 
map. The hybrid-active map is typically used to generate transient duty 
cycles that involve engine motoring.
    (1) Prepare the engine for mapping by either deactivating the hybrid 
system or by operating the engine as specified in paragraph (b)(4) of 
this section and remaining at this condition until the rechargeable 
energy storage system (RESS) is depleted. Once the hybrid has been 
disabled or the RESS is depleted, perform an engine map as specified in 
paragraph (b)(5) of this section. If the RESS was depleted instead of 
deactivated, ensure that instantaneous power from the RESS remains less 
than 2% of the instantaneous measured power from the engine (or engine-
hybrid system) at all engine speeds.
    (2) The purpose of the mapping procedure in this paragraph (g) is to 
determine the maximum torque available at each speed, such as what might 
occur during transient operation with a fully charged RESS. Use one of 
the following methods to generate a hybrid-active map:
    (i) Perform an engine map by using a series of continuous sweeps to 
cover the engine's full range of operating speeds. Prepare the engine 
for hybrid-active mapping by ensuring that the RESS state of charge is 
representative of normal operation. Perform the sweep as specified in 
paragraph (b)(5)(ii) of this section, but stop the sweep to charge the 
RESS when the power measured from the RESS drops below the expected 
maximum power from the RESS by more than 2% of

[[Page 147]]

total system power (including engine and RESS power). Unless good 
engineering judgment indicates otherwise, assume that the expected 
maximum power from the RESS is equal to the measured RESS power at the 
start of the sweep segment. For example, if the 3-second rolling average 
of total engine-RESS power is 200 kW and the power from the RESS at the 
beginning of the sweep segment is 50 kW, once the power from the RESS 
reaches 46 kW, stop the sweep to charge the RESS. Note that this 
assumption is not valid where the hybrid motor is torque-limited. 
Calculate total system power as a 3-second rolling average of 
instantaneous total system power. After each charging event, stabilize 
the engine for 15 seconds at the speed at which you ended the previous 
segment with operator demand set to maximum before continuing the sweep 
from that speed. Repeat the cycle of charging, mapping, and recharging 
until you have completed the engine map. You may shut down the system or 
include other operation between segments to be consistent with the 
intent of this paragraph (g)(2)(i). For example, for systems in which 
continuous charging and discharging can overheat batteries to an extent 
that affects performance, you may operate the engine at zero power from 
the RESS for enough time after the system is recharged to allow the 
batteries to cool. Use good engineering judgment to smooth the torque 
curve to eliminate discontinuities between map intervals.
    (ii) Perform an engine map by using discrete speeds. Select map 
setpoints at intervals defined by the ranges of engine speed being 
mapped. From 95% of warm idle speed to 90% of the expected maximum test 
speed, select setpoints that result in a minimum of 13 equally spaced 
speed setpoints. From 90% to 110% of expected maximum test speed, select 
setpoints in equally spaced intervals that are nominally 2% of expected 
maximum test speed. Above 110% of expected maximum test speed, select 
setpoints based on the same speed intervals used for mapping from 95% 
warm idle speed to 90% maximum test speed. You may stop mapping at the 
highest speed above maximum power at which 50% of maximum power occurs. 
We refer to the speed at 50% power as the check point speed as described 
in paragraph (b)(5)(iii) of this section. Stabilize engine speed at each 
setpoint, targeting a torque value at 70% of peak torque at that speed 
without hybrid-assist. Make sure the engine is fully warmed up and the 
RESS state of charge is within the normal operating range. Snap the 
operator demand to maximum, operate the engine there for at least 10 
seconds, and record the 3-second rolling average feedback speed and 
torque at 1 Hz or higher. Record the peak 3-second average torque and 3-
second average speed at that point. Use linear interpolation to 
determine intermediate speeds and torques. Follow Sec.  1065.610(a) to 
calculate the maximum test speed. Verify that the measured maximum test 
speed falls in the range from 92 to 108% of the estimated maximum test 
speed. If the measured maximum test speed does not fall in this range, 
rerun the map using the measured value of maximum test speed.
    (h) 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.

[73 FR 37315, June 30, 2008, as amended at 73 FR 59330, Oct. 8, 2008; 75 
FR 23042, Apr. 30, 2010; 76 FR 57448, Sept. 15, 2011; 79 FR 23773, Apr. 
28, 2014; 81 FR 74169, Oct. 25, 2016]



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:

[[Page 148]]

    (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 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

[[Page 149]]

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.

[73 FR 37317, June 30, 2008, as amended at 79 FR 23774, Apr. 28, 2014]



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

[[Page 150]]

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) fnref or T >Tref but not if fn
                                           speed.                       >(fnref [middot] 102%) and T >Tref  (2% [middot] Tmax mapped).
maximum.................................  power and either torque or   fn 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 1fn, 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.

[[Page 151]]

    (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 by treating 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 (f)(2) of 
this section. Note that if the gaseous and particulate test intervals 
are different periods of time, separate validations are required for the 
gaseous and particulate test intervals. Table 2 follows:

               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% of maximum mapped   <=2% of maximum mapped
 [verbar]a0[verbar].                                             torque.                  power.
Standard error of estimate, SEE......  <=5% of maximum test     <=10% of maximum mapped  <=10% of maximum mapped
                                        speed.                   torque.                  power.
Coefficient of determination, r\2\...  =0.970......  =0.850......  =0.910.
----------------------------------------------------------------------------------------------------------------


[73 FR 37318, June 30, 2008, as amended at 73 FR 59330, Oct. 8, 2008; 75 
FR 23042, Apr. 30, 2010; 76 FR 57450, Sept. 15, 2011]



Sec.  1065.516  Sample system decontamination and preconditioning.

    This section describes how to manage the impact of sampling system 
contamination on emission measurements. Use good engineering judgment to 
determine if you should decontaminate and precondition your sampling 
system. Contamination occurs when a regulated pollutant accumulates in 
the sample system in a high enough concentration to cause release during 
emission tests. Hydrocarbons and PM are generally the only regulated 
pollutants that contaminate sample systems. Note that although this 
section focuses on avoiding excessive contamination of sampling systems, 
you must also use good engineering judgment to avoid loss of sample to a 
sampling system that is too clean. The goal of decontamination is not to 
perfectly clean the sampling system, but rather to achieve equilibrium 
between the sampling system and the exhaust so emission components are 
neither lost to nor entrained from the sampling system.
    (a) You may perform contamination checks as follows to determine if 
decontamination is needed:
    (1) For dilute exhaust sampling systems, measure hydrocarbon and PM 
emissions by sampling with the CVS dilution air turned on, without an 
engine connected to it.
    (2) For raw analyzers and systems that collect PM samples from raw 
exhaust, measure hydrocarbon and PM emissions by sampling purified air 
or nitrogen.
    (3) When calculating zero emission levels, apply all applicable 
corrections, including initial THC contamination and diluted (CVS) 
exhaust background corrections.
    (4) Sampling systems are considered contaminated if either of the 
following conditions applies:
    (i) The hydrocarbon emission level exceeds 2% of the flow-weighted 
mean concentration expected at the HC standard.
    (ii) The PM emission level exceeds 5% of the level expected at the 
standard and exceeds 20 [micro]g on a 47 mm PTFE membrane filter.
    (b) To precondition or decontaminate sampling systems, use the 
following recommended procedure or select a different procedure using 
good engineering judgment:
    (1) Start the engine and use good engineering judgment to operate it 
at a condition that generates high exhaust

[[Page 152]]

temperatures at the sample probe inlet.
    (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 at any time during this process and you may discard 
them without weighing them.
    (5) You may purge any gaseous sampling systems that do not require 
decontamination during this procedure.
    (6) You may conduct calibrations or verifications on any idle 
equipment or analyzers during this procedure.
    (c) If your sampling system is still contaminated following the 
procedures specified in paragraph (b) of this section, you may use more 
aggressive procedures to decontaminate the sampling system, as long as 
the decontamination does not cause the sampling system to be cleaner 
than an equilibrium condition such that artificially low emission 
measurements may result.

[79 FR 23774, Apr. 28, 2014]



Sec.  1065.518  Engine preconditioning.

    (a) This section applies for engines where measured emissions are 
affected by prior operation, such as with a diesel engine that relies on 
urea-based selective catalytic reduction. Note that Sec.  1065.520(e) 
allows you to run practice duty cycles before the emission test; this 
section recommends how to do this for the purpose of preconditioning the 
engine. Follow the standard-setting part if it specifies a different 
engine preconditioning procedure.
    (b) The intent of engine preconditioning is to manage the 
representativeness of emissions and emission controls over the duty 
cycle and to reduce bias.
    (c) This paragraph (c) specifies the engine preconditioning 
procedures for different types of duty cycles. You must identify the 
amount of preconditioning before starting to precondition. You must run 
the predefined amount of preconditioning. You may measure emissions 
during preconditioning. You may not abort an emission test sequence 
based on emissions measured during preconditioning. For confirmatory 
testing, you may ask us to run more preconditioning cycles than we 
specify in this paragraph (c); we will agree to this only if you show 
that additional preconditioning cycles are required to meet the intent 
of paragraph (b) of this section, for example, due to the effect of DPF 
regeneration on NH3 storage in the SCR catalyst. Perform 
preconditioning as follows, noting that the specific cycles for 
preconditioning are the same ones that apply for emission testing:
    (1) Cold-start transient cycle. Precondition the engine by running 
at least one hot-start transient cycle. We will precondition your engine 
by running two hot-start transient cycles. Immediately after completing 
each preconditioning cycle, shut down the engine and complete the 
engine-off soak period. Immediately after completing the last 
preconditioning cycle, shut down the engine and begin the cold soak as 
described in Sec.  1065.530(a)(1).
    (2) Hot-start transient cycle. Precondition the engine by running at 
least one hot-start transient cycle. We will precondition your engine by 
running two hot-start transient cycles. Immediately after completing 
each preconditioning cycle, shut down the engine, then start the next 
cycle (including the emission test) as soon as practical. For any repeat 
cycles, start the next cycle within 60 seconds after completing the last 
preconditioning cycle (this is optional for manufacturer testing).
    (3) Hot-running transient cycle. Precondition the engine by running 
at least one hot-running transient cycle. We will precondition your 
engine by running two hot-running transient cycles. Do not shut down the 
engine between cycles. Immediately after completing each preconditioning 
cycle, start the next cycle (including the emission test) as soon as 
practical. For any repeat cycles, start the next cycle within 60 seconds 
after completing the last preconditioning cycle (this is optional for 
manufacturer testing). See Sec.  1065.530(a)(1)(iii) for additional 
instructions if the cycle begins and ends under different operating 
conditions.
    (4) Discrete-mode cycle for steady-state testing. Precondition the 
engine at the

[[Page 153]]

same operating condition as the next test mode, unless the standard-
setting part specifies otherwise. We will precondition your engine by 
running it for at least five minutes before sampling.
    (5) Ramped-modal cycle for steady-state testing. Precondition the 
engine by running at least the second half of the ramped-modal cycle, 
based on the number of test modes. For example, for the five-mode cycle 
specified in 40 CFR 1039.505(b)(1), the second half of the cycle 
consists of modes three through five. We will precondition your engine 
by running one complete ramped-modal cycle. Do not shut down the engine 
between cycles. Immediately after completing each preconditioning cycle, 
start the next cycle (including the emission test) as soon as practical. 
For any repeat cycles, start the next cycle within 60 seconds after 
completing the last preconditioning cycle. See Sec.  1065.530(a)(1)(iii) 
for additional instructions if the cycle begins and ends under different 
operating conditions.
    (d) You may conduct calibrations or verifications on any idle 
equipment or analyzers during engine preconditioning.

[79 FR 23774, Apr. 28, 2014]



Sec.  1065.520  Pre-test verification procedures and pre-test data collection.

    (a) For tests in which you measure PM emissions, 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 at some point before the test that ambient conditions are within 
the tolerances specified in this paragraph (b). For purposes of this 
paragraph (b), ``before the test'' means any time from a point just 
prior to engine starting (excluding engine restarts) to the point at 
which emission sampling begins.
    (1) Ambient temperature of (20 to 30) [deg]C. See Sec.  1065.530(j) 
for circumstances under which ambient temperatures must remain within 
this range during the test.
    (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. You are not required to verify atmospheric pressure 
prior to a hot start test interval for testing that also includes a cold 
start.
    (3) Dilution air conditions as specified in Sec.  1065.140, except 
in cases where you preheat your CVS before a cold start test. We 
recommend verifying dilution air conditions just prior to the start of 
each test interval.
    (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 in Sec.  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 (or portions of duty cycles). This may be done in 
conjunction with the preconditioning in Sec.  1065.518.
    (f) Verify the amount of nonmethane hydrocarbon contamination in the 
exhaust and background HC sampling systems within 8 hours before the 
start of the first test interval of 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 
CH4 and subtracting it from a THC measurement or for any 
CH4 measurement system that uses an NMC, verify the amount of 
THC contamination using only the THC analyzer response. There is no need 
to operate any separate CH4 analyzer for this verification; 
however, you may measure and correct for THC contamination in the 
CH4 sample path for the cases where NMHC is determined by 
subtracting CH4 from THC or, where CH4 is 
determined, using an NMC as configured in Sec.  1065.365(d), (e), and 
(f); and using 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

[[Page 154]]

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 inlet or into a tee near the 
probe outlet.
    (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 gas flows.
    (ii) For batch sampling, fill the sample medium (e.g., bag) 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) You may correct the measured initial THC concentration for drift 
as follows:
    (i) For batch and continuous HC analyzers, after determining the 
initial THC concentration, flow zero gas to the analyzer zero or sample 
port. When the analyzer reading is stable, record the mean analyzer 
value.
    (ii) Flow span gas to the analyzer span or sample port. When the 
analyzer reading is stable, record the mean analyzer value.
    (iii) Use mean analyzer values from paragraphs (f)(2), (f)(3), 
(f)(7)(i), and (f)(7)(ii) of this section to correct the initial THC 
concentration recorded in paragraph (f)(6) of this section for drift, as 
described in Sec.  1065.550.
    (8) 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 concentration expected at the HC 
(THC or NMHC) standard.
    (ii) 2% of the flow-weighted mean concentration of HC (THC or NMHC) 
measured during testing.
    (iii) 2 [micro]mol/mol.
    (9) If corrective action does not resolve the deficiency, you may 
request to use the contaminated system as an alternate procedure under 
Sec.  1065.10.

[79 FR 23775, Apr. 28, 2014]



Sec.  1065.525  Engine starting, restarting, and shutdown.

    (a) For test intervals that require emission sampling during engine 
starting, 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.
    (3) In the case of hybrid engines, activate the system such that the 
engine will start when its control algorithms determine that the engine 
should provide power instead of or in addition to power from the RESS. 
Unless we specify otherwise, engine starting throughout this part 
generally refers to this step of activating the system on hybrid 
engines, whether or not that causes the engine to start running.
    (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) Void the entire test if the engine stalls at any time after 
emission sampling begins, except as described in

[[Page 155]]

Sec.  1065.526. If you do not void the entire test, you must void the 
individual test mode or test interval in which the engine stalls.
    (d) Shut down the engine according to the manufacturer's 
specifications.

[73 FR 37320, June 30, 2008, as amended at 75 FR 68463, Nov. 8, 2010; 76 
FR 57451, Sept. 15, 2011]



Sec.  1065.526  Repeating of void modes or test intervals.

    (a) Test modes and test intervals can be voided because of 
instrument malfunction, engine stalling, emissions exceeding instrument 
ranges, and other unexpected deviations from the specified procedures. 
This section specifies circumstances for which a test mode or test 
interval can be repeated without repeating the entire test.
    (b) This section is intended to result in replicate test modes and 
test intervals that are identical to what would have occurred if the 
cause of the voiding had not occurred. It does not allow you to repeat 
test modes or test intervals in any circumstances that would be 
inconsistent with good engineering judgment. For example, the procedures 
specified here for repeating a mode or interval may not apply for 
certain engines that include hybrid energy storage features or emission 
controls that involve physical or chemical storage of pollutants. This 
section applies for circumstances in which emission concentrations 
exceed the analyzer range only if it is due to operator error or 
analyzer malfunction. It does not apply for circumstances in which the 
emission concentrations exceed the range because they were higher than 
expected.
    (c) If one of the modes of a discrete-mode duty cycle is voided 
while running the duty cycle as provided in this section, you may void 
the results for that individual mode and continue the duty cycle as 
follows:
    (1) If the engine has stalled or been shut down, restart the engine.
    (2) Use good engineering judgment to restart the duty cycle using 
the appropriate steps in Sec.  1065.530(b).
    (3) Stabilize the engine by operating it at the mode at which the 
duty cycle was interrupted and continue with the duty cycle as specified 
in the standard-setting part.
    (d) If an individual mode of a discrete-mode duty cycle sequence is 
voided after running the full duty cycle, you may void results for that 
mode and repeat testing for that mode as follows:
    (1) Use good engineering judgment to restart the test sequence using 
the appropriate steps in Sec.  1065.530(b).
    (2) Stabilize the engine by operating it at that mode.
    (3) Sample emissions over an appropriate test interval.
    (4) If you sampled gaseous and PM emissions over separate test 
intervals for a voided mode, you must void both test intervals and 
repeat sampling of both gaseous and PM emissions for that mode.
    (e) If a transient or ramped-modal cycle test interval is voided as 
provided in this section, you may repeat the test interval as follows:
    (1) Use good engineering judgment to restart (as applicable) and 
precondition the engine to the same condition as would apply for normal 
testing. This may require you to complete the voided test interval. For 
example, you may generally repeat a hot-start test of a heavy-duty 
highway engine after completing the voided hot-start test and allowing 
the engine to soak for 20 minutes.
    (2) Complete the remainder of the test according to the provisions 
in this subpart.
    (f) Keep records from the voided test mode or test interval in the 
same manner as required for unvoided tests.

[79 FR 23776, Apr. 28, 2014]



Sec.  1065.530  Emission test sequence.

    (a) Time the start of testing as follows:
    (1) Perform one of the following if you precondition the engine as 
described in Sec.  1065.518:
    (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

[[Page 156]]

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 
immediately after completing the last preconditioning cycle. For any 
repeat cycles, start the hot-start transient emission test within 60 
seconds after completing the last preconditioning cycle (this is 
optional for manufacturer testing).
    (iii) For testing that involves hot-stabilized emission 
measurements, such as any steady-state testing with a ramped-modal 
cycle, start the hot-stabilized emission test within 60 seconds after 
completing the last preconditioning cycle (the time between cycles is 
optional for manufacturer testing). If the hot-stabilized cycle begins 
and ends with different operating conditions, add a linear transition 
period of 20 seconds between hot-stabilized cycles where you linearly 
ramp the (denormalized) reference speed and torque values over the 
transition period. See Sec.  1065.501(c)(2)(i) for discrete-mode cycles.
    (2) If you do not precondition the engine as described in Sec.  
1065.518, 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 duty cycles, 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 switch the gains

[[Page 157]]

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) Drain any accumulated condensate from the intake air system 
before starting a duty cycle, as described in Sec.  1065.125(e)(1). If 
engine and aftertreatment preconditioning cycles are run before the duty 
cycle, treat the preconditioning cycles and any associated soak period 
as part of the duty cycle for the purpose of opening drains and draining 
condensate. Note that you must close any intake air condensate drains 
that are not representative of those normally open during in-use 
operation.
    (c) Start and run each test interval as described in this paragraph 
(c). The procedure varies depending on whether the test interval is part 
of a discrete-mode cycle, and whether the test interval includes engine 
starting. Note that the standard-setting part may apply different 
requirements for running test intervals. For example, 40 CFR part 1033 
specifies a different way to perform discrete-mode testing.
    (1) For steady-state discrete-mode duty cycles, start the duty cycle 
with the engine warmed-up and running as described in Sec.  
1065.501(c)(2)(i). Run each mode in the sequence specified in the 
standard-setting part. This will require controlling engine speed, 
engine load, or other operator demand settings as specified in the 
standard-setting part. Simultaneously start any electronic integrating 
devices, continuous data recording, and batch sampling. We recommend 
that you stabilize the engine for at least 5 minutes for each mode. Once 
sampling begins, sample continuously for at least 1 minute. Note that 
longer sample times may be needed for accurately measuring very low 
emission levels.
    (2) For transient and steady-state ramped-modal duty cycles that do 
not include engine starting, start the test interval with the engine 
running as soon as practical after completing engine preconditioning. 
Simultaneously start any electronic integrating devices, continuous data 
recording, batch sampling, and execution of the duty cycle.
    (3) If engine starting is part of the test interval, simultaneously 
start any electronic integrating devices, continuous data recording, and 
batch sampling before attempting to start the engine. Initiate the 
sequence of points in the duty cycle when the engine starts.
    (4) For batch sampling systems, you may advance or delay the start 
and end of sampling at the beginning and end of the test interval to 
improve the accuracy of the batch sample, consistent with good 
engineering judgment.
    (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.

[[Page 158]]

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 
(NMHCE) as soon as practical using good engineering judgment.
    (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) 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:
    (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. For testing the following engines, you must record 
ambient temperature continuously to verify that it remains within the 
pre-test temperature range as specified in Sec.  1065.520(b):
    (1) Air-cooled engines.
    (2) Engines equipped with auxiliary emission control devices that 
sense and respond to ambient temperature.
    (3) Any other engine for which good engineering judgment indicates 
this is necessary to remain consistent with Sec.  1065.10(c)(1).

[73 FR 37321, June 30, 2008, as amended at 75 FR 23043, Apr. 30, 2010; 
76 FR 57451, Sept. 15, 2011; 79 FR 23776, Apr. 28, 2014]

[[Page 159]]



Sec.  1065.545  Verification 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 rates, 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 or equal to 3.5% of the mean sample flow rate.
    (b) For any pair of flow rates, 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 dilute 
exhaust (CVS) flow and demonstrate that they always have the same inlet 
pressures and temperatures and that they always operate under critical-
flow conditions.

[79 FR 23777, Apr. 28, 2014]



Sec.  1065.546  Verification of minimum dilution ratio for PM batch sampling.

    Use continuous flows and/or tracer gas concentrations for transient 
and ramped-modal cycles to verify the minimum dilution ratios for PM 
batch sampling as specified in Sec.  1065.140(e)(2) over the test 
interval. You may use mode-average values instead of continuous 
measurements for discrete mode steady-state duty cycles. Determine the 
minimum primary and minimum overall dilution ratios using one of the 
following methods (you may use a different method for each stage of 
dilution):
    (a) Determine minimum dilution ratio based on molar flow data. This 
involves determination of at least two of the following three 
quantities: raw exhaust flow (or previously diluted flow), dilution air 
flow, and dilute exhaust flow. You may determine the raw exhaust flow 
rate based on the measured intake air or fuel flow rate and the raw 
exhaust chemical balance terms as given in Sec.  1065.655(f). You may 
determine the raw exhaust flow rate based on the measured intake air and 
dilute exhaust molar flow rates and the dilute exhaust chemical balance 
terms as given in Sec.  1065.655(g). You may alternatively estimate the 
molar raw exhaust flow rate based on intake air, fuel rate measurements, 
and fuel properties, consistent with good engineering judgment.
    (b) Determine minimum dilution ratio based on tracer gas (e.g., 
CO2) concentrations in the raw (or previously diluted) and 
dilute exhaust corrected for any removed water.

[[Page 160]]

    (c) Use good engineering judgment to develop your own method of 
determining dilution ratios.

[75 FR 23043, Apr. 30, 2010, as amended at 76 FR 57451, Sept. 15, 2011; 
79 FR 23778, Apr. 28, 2014; 81 FR 74169, Oct. 25, 2016]



Sec.  1065.550  Gas analyzer range verification and drift verification.

    (a) Range verification. 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 verification. Gas analyzer drift verification is required 
for all gaseous exhaust constituents for which an emission standard 
applies. It is also required for CO2 even if there is no 
CO2 emission standard. It is not required for other gaseous 
exhaust constituents for which only a reporting requirement applies 
(such as CH4 and N2O).
    (1) Verify drift using one of the following methods:
    (i) For regulated exhaust constituents determined from the mass of a 
single component, perform drift verification based on the regulated 
constituent. For example, when NOX mass is determined with a 
dry sample measured with a CLD and the removed water is corrected based 
on measured CO2, CO, THC, and NOX concentrations, 
you must verify the calculated NOX value.
    (ii) For regulated exhaust constituents determined from the masses 
of multiple subcomponents, perform the drift verification based on 
either the regulated constituent or all the mass subcomponents. For 
example, when NOX is measured with separate NO and 
NO2 analyzers, you must verify either the NOX 
value or both the NO and NO2 values.
    (iii) For regulated exhaust constituents determined from the 
concentrations of multiple gaseous emission subcomponents prior to 
performing mass calculations, perform drift verification on the 
regulated constituent. You may not verify the concentration 
subcomponents (e.g., THC and CH4 for NMHC) separately. For 
example, for NMHC measurements, perform drift verification on NMHC; do 
not verify THC and CH4 separately.
    (2) Drift verification requires two sets of emission calculations. 
For each set of calculations, include all the constituents in the drift 
verification. 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. Note that for purposes of drift 
verification, you must leave unaltered any negative emission results 
over a given test interval (i.e., do not set them to zero). These 
unaltered results are used when verifying either test interval results 
or composite brake-specific emissions over the entire duty cycle for 
drift. For each constituent to be verified, both sets of calculations 
must include the following:
    (i) Calculated mass (or mass rate) emission values over each test 
interval.
    (ii) If you are verifying each test interval based on brake-specific 
values, calculate brake-specific emission values over each test 
interval.
    (iii) If you are verifying over the entire duty cycle, calculate 
composite brake-specific emission values.
    (3) The duty cycle is verified for drift if you satisfy the 
following criteria:
    (i) For each regulated gaseous exhaust constituent, you must satisfy 
one of the following:
    (A) For each test interval of the duty cycle, the difference between 
the uncorrected and the corrected brake-specific emission values of the 
regulated constituent must be within 4% of the 
uncorrected value or the applicable emissions standard, whichever is 
greater. Alternatively, the difference between the uncorrected and the 
corrected emission mass (or mass rate) values of the regulated 
constituent must be within 4% of the uncorrected

[[Page 161]]

value or the composite work (or power) multiplied by the applicable 
emissions standard, whichever is greater. For purposes of verifying each 
test interval, you may use either the reference or actual composite work 
(or power).
    (B) For each test interval of the duty cycle and for each mass 
subcomponent of the regulated constituent, the difference between the 
uncorrected and the corrected brake-specific emission values must be 
within 4% of the uncorrected value. Alternatively, 
the difference between the uncorrected and the corrected emissions mass 
(or mass rate) values must be within 4% of the 
uncorrected value.
    (C) For the entire duty cycle, the difference between the 
uncorrected and the corrected composite brake-specific emission values 
of the regulated constituent must be within 4% of 
the uncorrected value or applicable emission standard, whichever is 
greater.
    (D) For the entire duty cycle and for each subcomponent of the 
regulated constituent, the difference between the uncorrected and the 
corrected composite brake-specific emission values must be within 4% of the uncorrected value.
    (ii) Where no emission standard applies for CO2, you must 
satisfy one of the following:
    (A) For each test interval of the duty cycle, the difference between 
the uncorrected and the corrected brake-specific CO2 values 
must be within 4% of the uncorrected value; or the 
difference between the uncorrected and the corrected CO2 mass 
(or mass rate) values must be within 4% of the 
uncorrected value.
    (B) For the entire duty cycle, the difference between the 
uncorrected and the corrected composite brake-specific CO2 
values must be within 4% of the uncorrected value.
    (4) If the test is not verified for drift as described in paragraph 
(b)(1) of this section, you may consider the test results for the duty 
cycle to be valid only if, using good engineering judgment, the observed 
drift does not affect your ability to demonstrate compliance with the 
applicable emission standards. For example, if the drift-corrected value 
is less than the standard by at least two times the absolute difference 
between the uncorrected and corrected values, you may consider the data 
to be verified for demonstrating compliance with the applicable 
standard.

[79 FR 23778, Apr. 28, 2014]



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) 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-

[[Page 162]]

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 the PM sampling medium (e.g., the 
filter). 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 and weigh 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 substitution 
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 substitution weight and record the stable balance 
reading.
    (7) Calculate the arithmetic mean of the two substitution-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 substitution weight as stated on the 
substitution-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.

[73 FR 37323, June 30, 2008, as amended at 81 FR 74169, Oct. 25, 2016]



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

[[Page 163]]

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 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.

[73 FR 37323, June 30, 2008]



              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 measured exhaust 
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 also make multiple measurements from a single batch sample, such 
as multiple weighings of a PM filter or multiple readings from a bag 
sample. Although you may use an average of multiple measurements from a 
single test, you may not use test results from multiple emission tests 
to report emissions.
    (1) We allow weighted means where appropriate.
    (2) You may discard statistical outliers, but you must report all 
results.
    (3) For emission measurements related to durability testing, we may 
allow you to exclude certain test points other than statistical outliers 
relative to compliance with emission standards, consistent with good 
engineering judgment and normal measurement variability; however, you 
must include these results when calculating the deterioration factor. 
This would allow you to use durability data from an engine that has an 
intermediate test result above the standard that cannot be discarded as 
a statistical outlier, as long as good engineering judgment indicates 
that the test result does not represent the engine's actual emission 
level. Note that good engineering judgment would preclude you from 
excluding endpoints. Also, if normal measurement variability causes 
emission results below zero, include the negative result in calculating 
the deterioration factor to avoid an upward bias. These provisions 
related to durability testing are intended to address very stringent 
standards where measurement variability is large relative to the 
emission standard.
    (c) You may use any of the following calculations instead of the 
calculations specified in this subpart G:

[[Page 164]]

    (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.
    (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.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37324, June 30, 2008; 
74 FR 56516, Oct. 30, 2009; 75 FR 23044, Apr. 30, 2010; 79 FR 23778, 
Apr. 28, 2014]



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] TR30AP10.003
    
     Example: 
N = 3
y1 = 10.60
y2 = 11.91
yN = y3 = 11.09
[GRAPHIC] [TIFF OMITTED] TR30AP10.004

y = 11.20

    (c) Standard deviation. Calculate the standard deviation for a non-
biased (e.g., N-1) sample, s, as follows:
[GRAPHIC] [TIFF OMITTED] TR13JY05.024

    Example: 
N = 3
y1 = 10.60
y2 = 11.91
yN = y3 = 11.09
y = 11.20
[GRAPHIC] [TIFF OMITTED] TR13JY05.025


[[Page 165]]


sy = 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. Determine accuracy as described in this paragraph (e). 
Make multiple measurements of a standard quantity to create a set of 
observed values, yi, and compare each observed value to the 
known value of the standard quantity. The standard quantity may have a 
single known value, such as a gas standard, or a set of known values of 
negligible range, such as a known applied pressure produced by a 
calibration device during repeated applications. The known value of the 
standard quantity is represented by yrefi . If you use a 
standard quantity with a single value, yrefi would be 
constant. Calculate an accuracy value as follows:
[GRAPHIC] [TIFF OMITTED] TR30AP10.005

    Example: 
yref = 1800.0
N = 3
y1 = 1806.4
y2 = 1803.1
y3 = 1798.9
[GRAPHIC] [TIFF OMITTED] TR30AP10.006

[GRAPHIC] [TIFF OMITTED] TR30AP10.007

accuracy = 2.8

    (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, v, as follows:

[[Page 166]]

[GRAPHIC] [TIFF OMITTED] TR28AP14.010

    (2) For a paired t-test, calculate the t statistic and its number of 
degrees of freedom, v, as follows, noting that the [egr]i are 
the errors (e.g., differences) between each pair of yrefi and 
yi:

[[Page 167]]

[GRAPHIC] [TIFF OMITTED] TR28AP14.011


[[Page 168]]


[GRAPHIC] [TIFF OMITTED] TR28AP14.012


 Table 1 of Sec.   1065.602--Critical t Values Versus Number of Degrees
                            of Freedom, v \1\
------------------------------------------------------------------------
                                                       Confidence
                       n                       -------------------------
                                                    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: 

[[Page 169]]

[GRAPHIC] [TIFF OMITTED] TR13JY05.037

[GRAPHIC] [TIFF OMITTED] TR13JY05.038

[GRAPHIC] [TIFF OMITTED] TR13JY05.039


F = 1.268

    (1) For a 90% confidence F-test, use Table 2 of this section to 
compare F 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 170]]

[GRAPHIC] [TIFF OMITTED] TR13JY05.017


[[Page 171]]


[GRAPHIC] [TIFF OMITTED] TR13JY05.018

    (h) Slope. Calculate a least-squares regression slope, 
a1y, as follows:

[[Page 172]]

[GRAPHIC] [TIFF OMITTED] TR15SE11.021

    Example: 
N = 6000
y1 = 2045.8
y = 1050.1
yref 1 = 2045.0
yref = 1055.3
[GRAPHIC] [TIFF OMITTED] TR15SE11.022

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] TR25OC16.308

Eq. 1065.602-11
    Example: 
N = 6000
y1 = 2045.8
a0y = -16.8083
a1y = 1.0110
yref1 = 2045.0
[GRAPHIC] [TIFF OMITTED] TR25OC16.313


[[Page 173]]


SEEy = 5.348

    (k) Coefficient of determination. Calculate a coefficient of 
determination, r\2\, as follows:
[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 judgment 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, hV, 
and the number

[[Page 174]]

of engine strokes per power stroke (two-stroke or four-stroke), 
Nstroke, to estimate the maximum raw exhaust molar flow rate, 
nexhmax.
    (iii) Use your estimated values as described in the following 
example calculation:
[GRAPHIC] [TIFF OMITTED] TR15SE11.023

    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 = 300,000 Pa
Vdisp = 3.0 l = 0.0030 m\3\/r
fnmax = 2,800 r/min = 46.67 r/s
Nstroke = 4
[eta]V = 0.9
R = 8.314472 J/(mol [middot] K)
Tmax = 348.15 K
[GRAPHIC] [TIFF OMITTED] TR15SE11.024

nexhmax = 6.53 mol/s
[GRAPHIC] [TIFF OMITTED] TR15SE11.025

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

[[Page 175]]

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

[70 FR 40516, July 13, 2005, as amended at 73 FR 37324, June 30, 2008; 
75 FR 23044, Apr. 30, 2010; 76 FR 57452, Sept. 15, 2011; 79 FR 23779, 
Apr. 28, 2014; 81 FR 74170, Oct. 25, 2016]

    Editorial Note: At 79 FR 23779, Apr. 28, 2014, Sec.  1065.605 was 
amended and paragraph (k) could not be revised because the text was not 
provided; however, the amendment could not be incorporated due to 
inaccurate amendatory instruction.



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 fntest as follows:
    (1) Develop a measured value for fntest as follows:
    (i) Determine maximum power, Pmax, from the engine map 
generated according to Sec.  1065.510 and calculate the value for power 
equal to 98% of Pmax.
    (ii) Determine the lowest and highest engine speeds corresponding to 
98% of Pmax, using linear interpolation, and no 
extrapolation, as appropriate.
    (iii) Determine the engine speed corresponding to maximum power, 
fnPmax, by calculating the average of the two speed values 
from paragraph (a)(1)(ii) of this section. If there is only one speed 
where power is equal to 98% of Pmax, take fnPmax 
as the speed at which Pmax occurs.
    (iv) Transform the map into a normalized power-versus-speed map by 
dividing power terms by Pmax and dividing speed terms by 
fnPmax. Use the following equation to calculate a quantity 
representing the sum of squares from the normalized map:

[[Page 176]]

[GRAPHIC] [TIFF OMITTED] TR28AP14.015

    (v) Determine the maximum value for the sum of the squares from the 
map and multiply that value by 0.98.

[[Page 177]]

[GRAPHIC] [TIFF OMITTED] TR28AP14.016

    (vi) Determine the lowest and highest engine speeds corresponding to 
the value calculated in paragraph (a)(1)(v) of this section, using 
linear interpolation as appropriate. Calculate fntest as the 
average of these two speed values. If there is only one speed 
corresponding to the value calculated in paragraph (a)(1)(v) of this 
section, take fntest as the speed where the maximum of the 
sum of the squares occurs.
    (vii) The following example illustrates a calculation of 
fntest:

    Pmax = 230.0

(fn1 = 2360, P1 = 222.5, fnnorm1 = 
          1.002, Pnorm1 = 0.9675)
(fn2 = 2364, P2 = 226.8, fnnorm2 = 
          1.004, Pnorm2 = 0.9859)
(fn3 = 2369, P3 = 228.6, fnnorm3 = 
          1.006, Pnorm3 = 0.9940)
(fn4 = 2374, P4 = 218.7, fnnorm4 = 
          1.008, Pnorm4 = 0.9508)
Sum of squares = (1.002\2\ + 0.9675\2\) = 1.94

[[Page 178]]

Sum of squares = (1.004\2\ + 0.9859\2\) = 1.98
Sum of squares = (1.006\2\ + 0.9940\2\) = 2.00
Sum of squares = (1.008\2\ + 0.9508\2\) = 1.92
[GRAPHIC] [TIFF OMITTED] TR19FE15.022

    (2) For engines with a high-speed governor that will be subject to a 
reference duty cycle that specifies normalized speeds greater than 100%, 
calculate an alternate maximum test speed, fntest,alt, as 
specified in this paragraph (a)(2). If fntest,alt is less 
than the measured maximum test speed, fntest, determined in 
paragraph (a)(1) of this section, replace fntest with 
fntest,alt. In this case, fntest,alt becomes the 
``maximum test speed'' for that engine. Note that Sec.  1065.510 allows 
you to apply an optional declared maximum test speed to the final 
measured maximum test speed determined as an outcome of the comparison 
between fntest, and fntest,alt in this paragraph 
(a)(2). Determine fntest,alt as follows:
[GRAPHIC] [TIFF OMITTED] TR25OC16.160

Where:

fntest,alt = alternate maximum test speed
fnhi,idle = warm high-idle speed
fnidle = warm idle speed
% speedmax = maximum normalized speed from duty cycle
    Example: 
fnhi,idle = 2200 r/min
fnidle = 800 r/min
[GRAPHIC] [TIFF OMITTED] TR25OC16.161

fntest,alt = 2133 r/min

    (3) 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 paragraphs (a)(1) 
and (2) of

[[Page 179]]

this section--or use your declared maximum test speed, as allowed in 
Sec.  1065.510.
    (4) 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 torque and power-
versus-speed maps, generated according to Sec.  1065.510, as follows:
    (1) For constant speed engines mapped using the methods in Sec.  
1065.510(d)(5)(i) or (ii), determine Ttest as follows:
    (i) Determine maximum power, Pmax, from the engine map 
generated according to Sec.  1065.510 and calculate the value for power 
equal to 98% of Pmax.
    (ii) Determine the lowest and highest engine speeds corresponding to 
98% of Pmax, using linear interpolation, and no 
extrapolation, as appropriate.
    (iii) Determine the engine speed corresponding to maximum power, 
fnPmax, by calculating the average of the two speed values 
from paragraph (a)(1)(ii) of this section. If there is only one speed 
where power is equal to 98% of Pmax, take fnPmax 
as the speed at which Pmax occurs.
    (iv) Transform the map into a normalized power-versus-speed map by 
dividing power terms by Pmax and dividing speed terms by 
fnPmax. Use Eq. 1065.610-1 to calculate a quantity 
representing the sum of squares from the normalized map.
    (v) Determine the maximum value for the sum of the squares from the 
map and multiply that value by 0.98.
    (vi) Determine the lowest and highest engine speeds corresponding to 
the value calculated in paragraph (a)(1)(v) of this section, using 
linear interpolation as appropriate. Calculate fntest as the 
average of these two speed values. If there is only one speed 
corresponding to the value calculated in paragraph (a)(1)(v) of this 
section, take fntest as the speed where the maximum of the 
sum of the squares occurs.
    (vii) The measured Ttest is the mapped torque at 
fntest.
    (2) For constant-speed engines using the two-point mapping method in 
Sec.  1065.510(d)(5)(iii), you may follow paragraph (a)(1) of this 
section to determine the measured Ttest, or you may use the 
measured torque of the second point as the measured Ttest 
directly.
    (3) 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:
[GRAPHIC] [TIFF OMITTED] TR25OC16.162

    Example: 
% speed = 85% = 0.85
fntest = 2364 r/min
fnidle = 650 r/min
fnref = 0.85  (2364-650) + 650
fnref = 2107 r/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.

[[Page 180]]

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:
[GRAPHIC] [TIFF OMITTED] TR25OC16.163

[GRAPHIC] [TIFF OMITTED] TR25OC16.164

[GRAPHIC] [TIFF OMITTED] TR25OC16.165

    Example: 
nlo = 1005 r/min
nhi = 2385 r/min
fnrefA = 0.25  (2385-1005) + 1005
fnrefB = 0.50  (2385-1005) + 1005
fnrefC = 0.75  (2385-1005) + 1005
fnrefA = 1350 r/min
fnrefB = 1695 r/min
fnrefC = 2040 r/min

    (3) Intermediate speed. Based on the map, determine maximum torque, 
Tmax, and the corresponding speed, fnTmax, 
calculated as the average of the lowest and highest speeds at which 
torque is equal to 98% of Tmax. Use linear interpolation 
between points to determine the speeds where torque is equal to 98% of 
Tmax. Identify your reference intermediate speed as one of 
the following values:
    (i) fnTmax if it is between (60 and 75) % of maximum test 
speed.
    (ii) 60% of maximum test speed if fnTmax is less than 60% 
of maximum test speed.
    (iii) 75% of maximum test speed if fnTmax 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

[[Page 181]]

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 seconds, 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 seconds 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 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.

[[Page 182]]

    (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.

[73 FR 37324, June 30, 2008, as amended at 73 FR 59330, Oct. 8, 2008; 75 
FR 23045, Apr. 30, 2010; 76 FR 57453, Sept. 15, 2011; 78 FR 36398, June 
17, 2013; 79 FR 23783, Apr. 28, 2014; 80 FR 9118, Feb. 19, 2015; 81 FR 
74170, Oct. 25, 2016]



Sec.  1065.630  Local acceleration of gravity.

    (a) The acceleration of Earth's gravity, ag, varies 
depending on the test location. Determine ag at your location 
by entering latitude, longitude, 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.
    (b) If the Web site specified in paragraph (a) of this section is 
unavailable, you may calculate ag for your latitude as 
follows:
[GRAPHIC] [TIFF OMITTED] TR28AP14.143

Where:

u = Degrees north or south latitude.

    Example: 
u = 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 = 9.8061992026 m/s \2\

[79 FR 23784, Apr. 28, 2014]



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, you should ensure that they are as constant as practical for each 
individual set point during a flow meter calibration:

[[Page 183]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.166

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\3\/s
pstd = 29.9213 in Hg @32 [deg]F = 101.325 kPa = 101325 Pa = 
          101325 kg/(m[middot]s\2\)
Tstd = 68.0 [deg]F = 293.15 K
R = 8.314472 J/(mol[middot]K) = 8.314472 (m\2\[middot]kg)/
          (s\2\[middot]mol[middot]K)
          [GRAPHIC] [TIFF OMITTED] TR25OC16.167
          
nref = 19.619 mol/s

    Example 2: 
mref = 17.2683 kg/min = 287.805 g/s
Mmix = 28.7805 g/mol
[GRAPHIC] [TIFF OMITTED] TR25OC16.168

nref = 10.0000 mol/s

    (b) PDP calibration calculations. Perform the following steps to 
calibrate a PDP flow meter:
    (1) Calculate PDP volume pumped per revolution, Vrev, for 
each restrictor position from the mean values determined in Sec.  
1065.340 as follows:
[GRAPHIC] [TIFF OMITTED] TR25OC16.169

Where:

nref = mean reference molar flow rate.
R = molar gas constant.
Tin = mean temperature at the PDP inlet.
Pin = mean static absolute pressure at the PDP inlet.
fnPDP = mean PDP speed.
    Example: 
nref = 25.096 mol/s
R = 8.314472 J/(mol[middot]K) = 8.314472 (m\2\[middot]kg)/
          (s\2\[middot]mol[middot]K)
Tin = 299.5 K
Pin = 98.290 kPa = 98290 Pa = 98290 kg/(m[middot]s\2\)
fnPDP = 1205.1 r/min = 20.085 r/s

[[Page 184]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.170

Vrev = 0.03166 m\3\/r

    (2) Calculate a PDP slip correction factor, Ks, for each 
restrictor position from the mean values determined in Sec.  1065.340 as 
follows:
[GRAPHIC] [TIFF OMITTED] TR25OC16.171

Where:
fnPDP = mean PDP speed.
Pout = mean static absolute pressure at the PDP outlet.
Pin = mean static absolute pressure at the PDP inlet.
    Example: 
fnPDP = 1205.1 r/min = 20.085 r/s
Pout = 100.103 kPa
Pin = 98.290 kPa
[GRAPHIC] [TIFF OMITTED] TR25OC16.172

Ks = 0.006700 s/r

    (3) Perform a least-squares regression of Vrev, versus 
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 table illustrates a range of typical values for 
different PDP speeds:

                           Table 1 of Sec.   1065.640--Example of PDP Calibration Data
----------------------------------------------------------------------------------------------------------------
                      fnPDP (revolution/s)                          a1 (m\3\/s)         a0 (m\3\/revolution)
----------------------------------------------------------------------------------------------------------------
12.6...........................................................              0.841                         0.056
16.5...........................................................              0.831                        -0.013
20.9...........................................................              0.809                         0.028
23.4...........................................................              0.788                        -0.061
----------------------------------------------------------------------------------------------------------------

    (6) For each speed at which you operate the PDP, use the appropriate 
regression equation from this paragraph (b) 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

[[Page 185]]

inviscid flow of an ideal gas. Paragraph (c)(5) of this section 
describes other assumptions that may apply. If good engineering judgment 
dictates that you account for gas compressibility, you may either use an 
appropriate equation of state to determine values of Z as a function of 
measured pressure and temperature, 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, g, 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.
    (1) Calculate molar flow rate, n, as follows:
    [GRAPHIC] [TIFF OMITTED] TR25OC16.173
    
Where:

    Cd = discharge coefficient, as determined in paragraph 
(c)(2) of this section.
    Cf = flow coefficient, as determined in paragraph (c)(3) 
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.

    (2) Using the data collected in Sec.  1065.340, calculate 
Cd for each flow rate using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.174

Where:

nref = a reference molar flow rate.

    (3) 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 [beta] and [gamma], using 
linear interpolation to find intermediate values:

   Table 2 of Sec.   1065.640-CfCFV Versus b and g for CFV Flow Meters
------------------------------------------------------------------------
                                  CfCFV
-------------------------------------------------------------------------
                                                    gdexh = gair = 399
           b                    gexh = 385
------------------------------------------------------------------------
            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

[[Page 186]]

 
            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 for each flow rate:
[GRAPHIC] [TIFF OMITTED] TR25OC16.175

Where:

g = 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)(4) of this section.
b = ratio of venturi throat to inlet diameters.

    (4) Calculate r as follows:
    (i) For SSV systems only, calculate rSSV using the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.176

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] TR25OC16.177


[[Page 187]]


    (5) You may apply any of the following simplifying assumptions or 
develop other values as appropriate for your test configuration, 
consistent with good engineering judgment:
    (i) For raw exhaust, diluted exhaust, and dilution air, you may 
assume that the gas mixture behaves as an ideal gas: Z = 1.
    (ii) For raw exhaust, you may assume g = 1.385.
    (iii) For diluted exhaust and dilution air, you may assume g = 
1.399.
    (iv) For diluted exhaust and dilution air, you may assume the molar 
mass of the mixture, Mmix, is a function only of the amount 
of water in the dilution air or calibration air, as follows:
[GRAPHIC] [TIFF OMITTED] TR25OC16.178

Where:

Mair = molar mass of dry air.
xH2O = amount of H2O in the dilution air or 
          calibration air, determined as described in Sec.  1065.645.
MH2O = molar mass of water.

    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 diluted exhaust and dilution 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
                                                                     following       for the following ranges of
             If calibration Tdew ( [deg]C) is . . .              constant Mmix (g/      Tdew ( [deg]C) during
                                                                     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.

    (6) The following example illustrates the use of the governing 
equations to calculate 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 2 of this section or calculated iteratively using 
values of b and g 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) = 8.314472 (m\2\ [middot] kg)/(s\2\ 
          [middot] mol [middot] K)
Tin = 298.15 K
At = 0.01824 m\2\
pin = 99.132 kPa = 99132.0 Pa = 99132 kg/(m[middot]s\2\)
g = 1.399
b = 0.8
[Delta]p = 2.312 kPa

[[Page 188]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.179

Cf = 0.274
[GRAPHIC] [TIFF OMITTED] TR25OC16.314

Cd = 0.982

    (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, nref, using the throat diameter of 
the venturi, dt. Because the dynamic viscosity, m, is needed 
to compute Re#, you may use your own fluid viscosity model to 
determine m for your calibration gas (usually air), using good 
engineering judgment. Alternatively, you may use the Sutherland three-
coefficient viscosity model to approximate m, as shown in the following 
sample calculation for Re#:
[GRAPHIC] [TIFF OMITTED] TR25OC16.315

    Where, using the Sutherland three-coefficient viscosity model:
    [GRAPHIC] [TIFF OMITTED] TR25OC16.180
    
Where:

m[ihel0] = Sutherland reference viscosity.
T[ihel0] = Sutherland reference temperature.
S = Sutherland constant.

[[Page 189]]



                                  Table 4 of Sec.   1065.640-- Sutherland Three-Coefficient Viscosity Model Parameters
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                             m[ihel0]         T[ihel0]            S           Temperature range within          Pressure limit \b\
                                        ---------------------------------------------------   2%  --------------------------------
                Gas \a\                                                                              error \b\
                                         kg/(m[middot]s)         K                K        -----------------------------               kPa
                                                                                                         K
--------------------------------------------------------------------------------------------------------------------------------------------------------
Air....................................   1.716 [middot]              273              111  170 to 1900................  <= 1800
                                                    10-5
CO[ihel2]..............................   1.370 [middot]              273              222  190 to 1700................  <= 3600
                                                    10-5
H[ihel2]...............................    1.12 [middot]              350             1064  360 to 1500................  <= 10000
                                                    10-5
O[ihel2]...............................   1.919 [middot]              273              139  190 to 2000................  <= 2500
                                                    10-5
N[ihel2]...............................   1.663 [middot]              273              107  100 to 1500................  <= 1600
                                                    10-5
--------------------------------------------------------------------------------------------------------------------------------------------------------
\a\ Use tabulated parameters only for the pure gases, as listed. Do not combine parameters in calculations to calculate viscosities of gas mixtures.
\b\ The model results are valid only for ambient conditions in the specified ranges.

    Example: 
m0 = 1.716 [middot] 10-5 kg/(m[middot]s)
T[ihel0] = 273 K
S = 111 K
[GRAPHIC] [TIFF OMITTED] TR25OC16.181

[micro] = 1.838 [middot] 10-5 kg/(m[middot]s)
Mmix = 28.7805 g/mol
nref = 57.625 mol/s
dt = 152.4 mm = 0.1524 m
Tin = 298.15 K
[GRAPHIC] [TIFF OMITTED] TR25OC16.182

Re# = 7.538[middot]10\8\

    (2) Create an equation for Cd as a function of 
Re#, using paired values of the two quantities. The equation 
may involve 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] TR25OC16.183

    (3) Perform a least-squares regression analysis to determine the 
best-fit coefficients for the equation and calculate SEE as described in 
Sec.  1065.602.
    (4) If the equation meets the criterion of SEE <= 0.5% [middot] 
Cdmax, you may use the equation for the corresponding range 
of Re#, as described in Sec.  1065.642.
    (5) If the equation does not meet the specified statistical 
criterion, you may use good engineering judgment to omit calibration 
data points; however you must use at least seven calibration

[[Page 190]]

data points to demonstrate that you meet the criterion. For example, 
this may involve narrowing the range of flow rates for a better curve 
fit.
    (6) Take corrective action if the equation does not meet the 
specified statistical criterion even after omitting calibration data 
points. 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 calibration 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 specified statistical 
criterion, you may use the equation only for the corresponding range of 
Re#.
    (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 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. 1065.642-4, and use the CFV only up to the highest 
venturi pressure ratio, r, measured during calibration using the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.184

Where:

[Delta]pCFV = Differential static pressure; venturi inlet 
          minus venturi outlet.

    (4) If the standard deviation of all the Cd values 
exceeds 0.3% of the mean Cd, omit the Cd value 
corresponding to the data point collected at the highest 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. 1065.642-4, and use 
the CFV values only up to the highest r associated with the remaining 
Cd.
    (8) If the standard deviation of the remaining Cd still 
exceeds 0.3% of the

[[Page 191]]

mean of the remaining Cd values, repeat the steps in 
paragraph (e)(4) through (8) of this section.

[79 FR 23785, Apr. 28, 2014, as amended at 81 FR 74172, Oct. 25, 2016]



Sec.  1065.642  PDP, SSV, and CFV 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. (1) Based on 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 PDP molar flow rate,, as follows:
[GRAPHIC] [TIFF OMITTED] TR25OC16.185

Where:

fnPDP = pump speed.
Vrev = PDP volume pumped per revolution, as determined in 
          paragraph (a)(2) of this section.
pin = static absolute pressure at the PDP inlet.
R = molar gas constant.
Tin = absolute temperature at the PDP inlet.

    (2) Calculate Vrev using the following equation:
    [GRAPHIC] [TIFF OMITTED] TR25OC16.186
    
pout = static absolute pressure at the PDP outlet.
    Example: 
a1 = 0.8405 (m\3\/s)
fnPDP = 12.58 r/s
Pout = 99.950 kPa
Pin = 98.575 kPa = 98575 Pa = 98575 kg/(m[middot]s\2\)
a0 = 0.056 (m\3\/r)
R = 8.314472 J/(mol[middot]K) = 8.314472 (m\2\[middot]kg)/
          (s\2\[middot]mol[middot]K)
Tin = 323.5 K
[GRAPHIC] [TIFF OMITTED] TR25OC16.187

[GRAPHIC] [TIFF OMITTED] TR25OC16.188

n = 29.428 mol/s

    (b) SSV molar flow rate. Calculate SSV molar flow rate, n, as 
follows:

[[Page 192]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.316

Where:

Cd = discharge coefficient, as determined based on the 
          Cd versus Re# equation in Sec.  
          1065.640(d)(2).
Cf = flow coefficient, as determined in Sec.  
          1065.640(c)(2)(ii).
At = venturi throat cross-sectional area.
Pin = static absolute pressure at the venturi inlet.
Z = compressibility factor.
Mmix = molar mass of gas mixture.
R = molar gas constant.
Tin = absolute temperature at the venturi inlet.

    Example: 
At = 0.01824 m\2\
pin = 99.132 kPa = 99132 Pa = 99132 kg/(m[middot]s\2\)
Z = 1
Mmix = 28.7805 g/mol = 0.0287805 kg/mol
R = 8.314472 J/(mol[middot]K) = 8.314472 (m\2\[middot]kg)/
          (s\2\[middot]mol[middot]K)
Tin = 298.15 K
Re# = 7.232[middot]10\5\
g = 1.399
b = 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] TR25OC16.189
    
n = 58.173 mol/s

    (c) CFV molar flow rate. If you use multiple venturis and you 
calibrate each venturi independently to determine a separate discharge 
coefficient, Cd (or calibration coefficient, Kv), 
for each venturi, calculate the individual molar flow rates through each 
venturi and sum all their flow rates to determine CFV flow rate, n. If 
you use multiple venturis and you calibrated venturis in combination, 
calculate n using 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 the venturis (D).
    (1) To calculate n 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 n as follows:
[GRAPHIC] [TIFF OMITTED] TR25OC16.190

    Example: 
Cd = 0.985

[[Page 193]]

Cf = 0.7219
At = 0.00456 m\2\
pin = 98.836 kPa = 98836 Pa = 98836 kg/(m[middot]s\2\)
Z = 1
Mmix = 28.7805 g/mol = 0.0287805 kg/mol
R = 8.314472 J/(mol[middot]K) = 8.314472 (m\2\[middot]kg)/
          (s\2\[middot]mol[middot]K)
Tin = 378.15 K
[GRAPHIC] [TIFF OMITTED] TR25OC16.191

n = 33.690 mol/s

    (2) To calculate the molar flow rate through one venturi or a 
combination of venturis, you may use its respective mean, Kv, 
and other constants you determined according to Sec.  1065.640 and 
calculate its molar flow rate n during an emission test. Note that if 
you follow the permissible ranges of dilution air dewpoint versus 
calibration air dewpoint in Table 3 of Sec.  1065.640, you may set 
Mmix-cal and Mmix equal to 1. Calculate n as 
follows:
[GRAPHIC] [TIFF OMITTED] TR25OC16.192

Where:
[GRAPHIC] [TIFF OMITTED] TR25OC16.193

Vstdref = volume flow rate of the standard at reference 
          conditions of 293.15 K and 101.325 kPa.
Tin-cal = venturi inlet temperature during calibration.
Pin-cal = venturi inlet pressure during calibration.
Mmix-cal = molar mass of gas mixture used during calibration.
Mmix = molar mass of gas mixture during the emission test 
          calculated using Eq. 1065.640-9.

    Example: 
Vstdref = 0.4895 m\3\
Tin-cal = 302.52 K
Pin-cal = 99.654 kPa = 99654 Pa = 99654 kg/(m[middot]s\2\)
pin = 98.836 kPa = 98836 Pa = 98836 kg/(m[middot]s\2\)
pstd = 101.325 kPa = 101325 Pa = 101325 kg/(m[middot]s\2\)
Mmix-cal = 28.9656 g/mol = 0.0289656 kg/mol
Mmix = 28.7805 g/mol = 0.0287805 kg/mol
Tin = 353.15 K
Tstd = 293.15 K
R = 8.314472 J/(mol[middot]K) = 8.314472 (m\2\[middot]kg)/
          (s\2\[middot]mol[middot]K)

[[Page 194]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.194

n = 16.457 mol/s

[81 FR 74177, Oct. 25, 2016]



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 
the following equation to calculate the leak rate nleak, and 
compare it to the criterion specified in Sec.  1065.345(e):
[GRAPHIC] [TIFF OMITTED] TR28AP14.036

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 t1.
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) = 8.314472 (m\2\ [middot] kg)/(s\2\ 
          [middot] mol [middot] K)
p2 = 50.600 kPa = 50600 Pa = 50600 kg/(m [middot] s\2\)
T2 = 293.15 K
p1 = 25.300 kPa = 25300 Pa = 25300 kg/(m [middot] s\2\)
T1 = 293.15 K
t2 = 10:57:35 a.m.
t1 = 10:56:25 a.m.
[GRAPHIC] [TIFF OMITTED] TR28AP14.037

[GRAPHIC] [TIFF OMITTED] TR28AP14.038


[[Page 195]]



[79 FR 23795, Apr. 28, 2014]



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. 
Paragraph (d) of this section provides an equation for determining 
dewpoint from relative humidity and dry bulb temperature measurements. 
The equations for the vapor pressure of water as presented in this 
section are derived from equations in ``Saturation Pressure of Water on 
the New Kelvin Temperature Scale'' (Goff, J.A., Transactions American 
Society of Heating and Air-Conditioning Engineers, Vol. 63, No. 1607, 
pages 347-354). Note that the equations were originally published to 
derive vapor pressure in units of atmospheres and have been modified to 
derive results in units of kPa by converting the last term in each 
equation.
    (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 196]]

[GRAPHIC] [TIFF OMITTED] TR28AP14.039

    (2) For humidity measurements over ice at ambient temperatures from 
(-100 to 0) [deg]C, use the following equation:

[[Page 197]]

[GRAPHIC] [TIFF OMITTED] TR28AP14.040

    (b) Dewpoint. If you measure humidity as a dewpoint, determine the 
amount of water in an ideal gas, xH20, as follows:
[GRAPHIC] [TIFF OMITTED] TR30AP10.034

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. 1065.645-1,
pH20 = 1.186581 kPa
xH2O = 1.186581/99.980
xH2O = 0.011868 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:

[[Page 198]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.195

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% = 0.5077
pabs = 99.980 kPa
Tsat = Tamb = 20 [deg]C
    Using Eq. 1065.645-1,
pH2O = 2.3371 kPa
xH2O = (0.5077 [middot] 2.3371)/99.980
xH2O = 0.011868 mol/mol

    (d) Dewpoint determination from relative humidity and dry bulb 
temperature. This paragraph (d) describes how to calculate dewpoint 
temperature from relative humidity, RH. This is based on ``ITS-90 
Formulations for Vapor Pressure, Frostpoint Temperature, Dewpoint 
Temperature, and Enhancement Factors in the Range -100 to + 100 [deg]C'' 
(Hardy, B., The Proceedings of the Third International Symposium on 
Humidity & Moisture, Teddington, London, England, April 1998). Calculate 
pH20sat as described in paragraph (a) of this section based 
on setting Tsat equal to Tamb. Calculate 
pH20scaled by multiplying pH20sat by RH. Calculate 
the dewpoint, Tdew, from pH20 using the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.196

Where:

ln(pH2O) = the natural log of pH2Oscaled, which is 
          the water vapor pressure scaled to the relative humidity at 
          the location of the relative humidity measurement, 
          Tsat = Tamb

    Example: 
RH = 39.61% = 0.3961
Tsat = Tamb = 20.00 [deg]C = 293.15K
    Using Eq. 1065.645-1,
pH2Osat = 2.3371 kPa
pH2Oscaled = (0.3961 [middot] 2.3371) = 0.925717 kPa = 
          925.717 Pa
          [GRAPHIC] [TIFF OMITTED] TR25OC16.197
          

[73 FR 37327, June 30, 2008, as amended at 73 FR 59331, Oct. 8, 2008; 75 
FR 23048, Apr. 30, 2010; 76 FR 57456, Sept. 15, 2011;79 FR 23796, Apr. 
28, 2014; 81 FR 74179, Oct. 25, 2016]



Sec.  1065.650  Emission calculations.

    (a) General. Calculate brake-specific emissions over each applicable 
duty cycle or test interval. For test intervals with zero work (or 
power), calculate the emission mass (or mass rate), but do not calculate 
brake-specific emissions. For duty cycles with multiple test intervals, 
refer to the standard-setting part for calculations you need to 
determine a composite result, such as a calculation that weights and 
sums the results of individual test

[[Page 199]]

intervals in a duty cycle. If the standard-setting part does not include 
those calculations, use the equations in paragraph (g) of this section. 
This section is written based on rectangular integration, where each 
indexed value (i.e., ``i'') represents (or approximates) the 
mean value of the parameter for its respective time interval, delta-t. 
You may also integrate continuous signals using trapezoidal integration 
consistent with good engineering judgment.
    (b) Brake-specific emissions over a test interval. We specify three 
alternative ways to calculate brake-specific emissions over a test 
interval, 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:
[GRAPHIC] [TIFF OMITTED] TR30AP10.036

    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 
brake-specific emissions over a test interval using the ratio of 
emission mass rate to power, as described in paragraph (e) of this 
section, using the following equation:
[GRAPHIC] [TIFF OMITTED] TR30AP10.037

    (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. Good 
engineering judgment dictates that this method not be used if there are 
any work flow paths described in Sec.  1065.210 that cross the system 
boundary, other than the primary output shaft (crankshaft). 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] TR30AP10.038

    Example: 
m = 805.5 g

[[Page 200]]

W = 52.102 kW [middot] hr
eCO = 805.5/52.102
eCO = 2.520 g/(kW [middot] hr)

    (c) Total mass of emissions over a test interval. 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 to correct concentrations. Next, use 
the method in paragraphs (c)(2) through (4) of this section that is 
appropriate for your system. Finally, if necessary, calculate the mass 
of NMHC as described in paragraph (c)(5) of this section for all 
systems. Calculate the total mass of emissions as follows:
    (1) Concentration corrections. Perform the following sequence of 
preliminary calculations on recorded concentrations:
    (i) Correct all gaseous emission analyzer concentration readings, 
including continuous readings, sample bag readings, and dilution air 
background readings, for drift as described in Sec.  1065.672. Note that 
you must omit this step where brake-specific emissions are calculated 
without the drift correction for performing the drift validation 
according to Sec.  1065.550(b). When applying the initial THC and 
CH4 contamination readings according to Sec.  1065.520(f), 
use the same values for both sets of calculations. You may also use as-
measured values in the initial set of calculations and corrected values 
in the drift-corrected set of calculations as described in Sec.  
1065.520(f)(7).
    (ii) Correct all THC and CH4 concentrations for initial 
contamination as described in Sec.  1065.660(a), including continuous 
readings, sample bags readings, and dilution air background readings.
    (iii) Correct all concentrations measured on a ``dry'' basis to a 
``wet'' basis, including dilution air background concentrations, as 
described in Sec.  1065.659.
    (iv) Calculate all NMHC and CH4 concentrations, including 
dilution air background concentrations, as described in Sec.  1065.660.
    (v) 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.
    (vi) Correct all the NOX concentrations, including 
dilution air background concentrations, for intake-air humidity as 
described in Sec.  1065.670.
    (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 
transformation time, t50, 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:
[GRAPHIC] [TIFF OMITTED] TR08OC08.006

Where:
  


[[Page 201]]

[GRAPHIC] [TIFF OMITTED] TR08OC08.007

    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

[[Page 202]]

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:
    (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] TR15SE11.044

    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.
    (5) Mass of NMHC. Compare the corrected mass of NMHC to corrected 
mass of THC. If the corrected mass of NMHC is greater than 0.98 times 
the corrected mass of THC, take the corrected mass of NMHC to be 0.98 
times the corrected mass of THC. If you omit the NMHC calculations as 
described in Sec.  1065.660(b)(1), take the corrected mass of NMHC to be 
0.98 times the corrected mass of THC.
    (6) Mass of NMNEHC. If the test fuel has less than 0.010 mol/mol of 
ethane and you omit the NMNEHC calculations as described in Sec.  
1065.660(c)(1), take the corrected mass of NMNEHC to be 0.95 times the 
corrected mass of NMHC.
    (d) Total work over a test interval. To calculate the total work 
from the engine over a test interval, add the total work from all the 
work paths described in Sec.  1065.210 that cross the system boundary 
including electrical energy/work, mechanical shaft work, and fluid 
pumping work. For all work paths, except the engine's primary output 
shaft (crankshaft), the total work for the path over the test interval 
is the integration of the net work flow rate (power) out of the system 
boundary. When energy/work flows into the system boundary, this work 
flow rate signal becomes negative; in this case, include these negative 
work rate values in the integration to calculate total work from that 
work path. Some work paths may result in a negative total work. Include 
negative total work values from any work path in the calculated total 
work from the engine rather than setting the values to zero. The rest of 
this paragraph (d) describes how to calculate total work from the 
engine's primary output shaft over a test interval. Before integrating 
power on the engine's primary output shaft, 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

[[Page 203]]

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) through (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] TR15SE11.045

Where:

W = total work from the primary output shaft.
Pi = instantaneous power from the primary output shaft over 
          an interval i.
          [GRAPHIC] [TIFF OMITTED] TR15SE11.046
          
Where:

N = 9000
[fnof]n1 = 1800.2 r/min
[fnof]n2 = 1805.8 r/min
T1 = 177.23 N [middot] m
T2 = 175.00 N [middot] m
Crev = 2 [middot] p rad/r
Ct1 = 60 s/min
Cp = 1000 (N [middot] m [middot] rad/s)/kW
[fnof]record = 5 Hz
Ct2 = 3600 s/hr
[GRAPHIC] [TIFF OMITTED] TR15SE11.047


[[Page 204]]


P1 = 33.41 kW
P2 = 33.09 kW

Using Eq. 1065.650-5,

[Delta]t = 1/5 = 0.2 s
[GRAPHIC] [TIFF OMITTED] TR15SE11.048

W = 16.875 kW [middot] hr

    (8) You may use a trapezoidal integration method instead of the 
rectangular integration described in this paragraph (d). 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, mi, and the mean steady-state power, P as follows:
    (1) To calculate mi, multiply its mean concentration, x, by its 
corresponding mean molar flow rate, ni. 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, mi. 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, ni. The result is the mass rate of PM, 
mPM. Calculate mi using the following equation:
[GRAPHIC] [TIFF OMITTED] TR06MY08.048

    (2) To calculate an engine's mean steady-state total power, P, add 
the mean steady-state power from all the work paths described in Sec.  
1065.210 that cross the system boundary including electrical power, 
mechanical shaft power, and fluid pumping power. For all work paths, 
except the engine's primary output shaft (crankshaft), the mean steady-
state power over the test interval is the integration of the net work 
flow rate (power) out of the system boundary divided by the period of 
the test interval. When power flows into the system boundary, the power/
work flow rate signal becomes negative; in this case, include these 
negative power/work rate values in the integration to calculate the mean 
power from that work path. Some work paths may result in a negative mean 
power. Include negative mean power values from any work path in the mean 
total power from the engine rather than setting these values to zero. 
The rest of this paragraph (e)(2) describes how to calculate the mean 
power from the engine's primary output shaft. Calculate P using Eq. 
1065.650-13, noting that P, fn, and T refer to mean power, 
mean rotational shaft frequency, and mean torque from the primary output 
shaft. Account for the power of simulated accessories according to Sec.  
1065.110 (reducing the mean primary output shaft power or torque by the 
accessory power or torque). Set the power to zero 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. Set the power 
to zero for modes with a zero reference load (0 N[middot]m reference 
torque or 0 kW reference power). Include power during idle modes with 
simulated minimum torque or power.

[[Page 205]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.198

    (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
ni = 1.530 mol/s
fn = 3584.5 r/min = 375.37 rad/s
T = 121.50 N [middot] m
mi = 28.0101 [middot] 0.01200 [middot] 1.530
mi = 0.514 g/s = 1850.4 g/hr
P = 121.5 [middot] 375.37
P = 45607 W
P = 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, 
nj, 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. 
You may use a measured wC or you may use default values for a 
given fuel as described in Sec.  1065.655(e). 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, nj, in paragraph (e)(1) of this section. Calculate a 
value proportional to total work as follows:
[GRAPHIC] [TIFF OMITTED] TR25OC16.199

Where:
  


[[Page 206]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.200

    (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
[fnof]record = 5 Hz
efuel = 285 g/(kW[middot]hr)
wfuel = 0.869 g/g
MC = 12.0107 g/mol
nj1 = 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
[GRAPHIC] [TIFF OMITTED] TR25OC16.201

W = 5.09 (kW[middot]hr)

    (g) Brake-specific emissions over a duty cycle with multiple test 
intervals. The standard-setting part may specify a duty cycle with 
multiple test intervals, such as with discrete-mode steady-state 
testing. Unless we specify otherwise, calculate composite brake-specific 
emissions over the duty cycle as described in this paragraph (g). If a 
measured mass (or mass rate) is negative, set it to zero for calculating 
composite brake-specific emissions, but leave it unchanged for drift 
validation. In the case of calculating composite brake-specific 
emissions relative to a combined emission standard (such as a 
NOX + NMHC standard), change any negative mass (or mass rate) 
values to zero for a particular pollutant before combining the values 
for the different pollutants.
    (1) Use the following equation to calculate composite brake-specific 
emissions for duty cycles with multiple test intervals all with 
prescribed durations, such as cold-start and hot-start transient cycles:
[GRAPHIC] [TIFF OMITTED] TR30AP10.045

Where:

i = test interval number.
N = number of test intervals.
WF = weighting factor for the test interval as defined in the standard-
          setting part.
m = mass of emissions over the test interval as determined in paragraph 
          (c) of this section.
W = total work from the engine over the test interval as determined in 
          paragraph (d) of this section.


[[Page 207]]


    Example: 
N = 2
WF1 = 0.1428
WF2 = 0.8572
m1 = 70.125 g
m2 = 64.975 g
W1 = 25.783 kW [middot] hr
W2 = 25.783 kW [middot] hr
[GRAPHIC] [TIFF OMITTED] TR30AP10.046


eNOxcomposite = 2.548 g/kW [middot] hr

    (2) Calculate composite brake-specific emissions for duty cycles 
with multiple test intervals that allow use of varying duration, such as 
discrete-mode steady-state duty cycles, as follows:
    (i) Use the following equation if you calculate brake-specific 
emissions over test intervals based on total mass and total work as 
described in paragraph (b)(1) of this section:
[GRAPHIC] [TIFF OMITTED] TR30AP10.047

Where:

i = test interval number.
N = number of test intervals.
WF = weighting factor for the test interval as defined in the standard-
          setting part.
m = mass of emissions over the test interval as determined in paragraph 
          (c) of this section.
W = total work from the engine over the test interval as determined in 
          paragraph (d) of this section.
t = duration of the test interval.

    Example: 
N = 2
WF1 = 0.85
WF2 = 0.15
m1 = 1.3753 g
m2 = 0.4135 g
t1 = 120 s
t2 = 200 s
W1 = 2.8375 kW [middot] hr
W2 = 0.0 kW [middot] hr
[GRAPHIC] [TIFF OMITTED] TR30AP10.048

eNOxcomposite = 0.5001 g/kW [middot] hr

    (ii) Use the following equation if you calculate brake-specific 
emissions over test intervals based on the ratio of mass rate to power 
as described in paragraph (b)(2) of this section:

[[Page 208]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.202

Where:

i = test interval number.
N = number of test intervals.
WF = weighting factor for the test interval as defined in the standard-
          setting part.
mi = mean steady-state mass rate of emissions over the test interval as 
          determined in paragraph (e) of this section.
P = mean steady-state power over the test interval as described in 
          paragraph (e) of this section.

    Example: 
N = 2
WF1 = 0.85
WF2 = 0.15
mi1 = 2.25842 g/hr
mi2 = 0.063443 g/hr
P1 = 4.5383 kW
P2 = 0.0 kW
[GRAPHIC] [TIFF OMITTED] TR25OC16.203

eNOxcomposite = 0.5001 g/kW[middot]hr

    (h) Rounding. Round the final brake-specific emission values to be 
compared to the applicable standard only after all calculations are 
complete (including any drift correction, applicable deterioration 
factors, adjustment factors, and allowances) 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.

[73 FR 37328, June 30, 2008, as amended at 73 FR 59332, Oct. 8, 2008; 75 
FR 23048, Apr. 30, 2010; 76 FR 57457, Sept. 15, 2011;79 FR 23799, Apr. 
28, 2014; 80 FR 9118, Feb. 19, 2015; 81 FR 74180, Oct. 25, 2016]



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. Note that chemical balance calculations require measured 
values for the flow rate of diesel exhaust fluid, if applicable.
    (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(f).
    (2) Raw exhaust molar flow rate either from measured intake air 
molar flow rate or from fuel mass flow rate as described in paragraph 
(f) of this section.
    (3) Raw exhaust molar flow rate from measured intake air molar flow 
rate and dilute exhaust molar flow rate, as described in paragraph (g) 
of this section.
    (4) The amount of water in a raw or diluted exhaust flow, 
[chi]H2Oexh, when you do not measure the amount of water to

[[Page 209]]

correct for the amount of water removed by a sampling system. Correct 
for removed water according to Sec.  1065.659.
    (5) The calculated total dilution air flow when you do not measure 
dilution air flow to correct for background emissions as described in 
Sec.  1065.667(c) and (d).
    (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, [chi], and amount of water, xH2Oexh, you must 
determine their completely dry concentrations, xdry and 
xH2Oexhdry. You must also use your fuel mixture's atomic 
hydrogen-to-carbon ratio, a, oxygen-to-carbon ratio, b, sulfur-to-carbon 
ratio, g, and nitrogen-to-carbon ratio, d, you may optionally account 
for diesel exhaust fluid (or other fluids injected into the exhaust), if 
applicable. You may calculate a, b, g, and d; based on measured fuel and 
diesel exhaust fluid composition or you may use default values as 
described in paragraph (e) of this section. 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 
performing the chemical balance calculations in this paragraph (c):

xdil/exh = amount of dilution gas or excess air per mole of 
          exhaust.
xH2Oexh = amount of H2O in exhaust per mole of 
          exhaust.
xCcombdry = amount of carbon from fuel in the exhaust per 
          mole of dry exhaust.
xH2dry = amount of H2 in exhaust per amount of dry 
          exhaust.
KH2Ogas = water-gas reaction equilibrium coefficient. You may 
          use 3.5 or calculate your own value using good engineering 
          judgment.
xH2Oexhdry = amount of H2O 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.

[[Page 210]]

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 [chi]CO2intdry = 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 
          [chi]CO2dildry = 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 H2O in sample at 
          emission-detection location. Measure or estimate these values 
          according to Sec.  1065.145(e)(2).
xH2Oint = amount of H2O in the intake air, based 
          on a humidity measurement of intake air.
a = atomic hydrogen-to-carbon ratio of the fuel (or mixture of test 
          fuels) and any injected fluids.
b = atomic oxygen-to-carbon ratio of the fuel (or mixture of test fuels) 
          and any injected fluids.
g = atomic sulfur-to-carbon ratio of the fuel (or mixture of test fuels) 
          and any injected fluids.
d = atomic nitrogen-to-carbon ratio of the fuel (or mixture of test 
          fuels) and any injected fluids.

    (4) Use the following equations to iteratively solve for 
xdil/exh, xH2Oexh, and xCcombdry:
[GRAPHIC] [TIFF OMITTED] TR30AP10.051

[GRAPHIC] [TIFF OMITTED] TR30AP10.052

[GRAPHIC] [TIFF OMITTED] TR30AP10.053

[GRAPHIC] [TIFF OMITTED] TR30AP10.054

[GRAPHIC] [TIFF OMITTED] TR30AP10.055

[GRAPHIC] [TIFF OMITTED] TR30AP10.056

[GRAPHIC] [TIFF OMITTED] TR30AP10.057

[GRAPHIC] [TIFF OMITTED] TR30AP10.058

[GRAPHIC] [TIFF OMITTED] TR30AP10.059


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[GRAPHIC] [TIFF OMITTED] TR30AP10.060

[GRAPHIC] [TIFF OMITTED] TR30AP10.061

[GRAPHIC] [TIFF OMITTED] TR30AP10.062

[GRAPHIC] [TIFF OMITTED] TR30AP10.063

[GRAPHIC] [TIFF OMITTED] TR30AP10.064

[GRAPHIC] [TIFF OMITTED] TR30AP10.065

[GRAPHIC] [TIFF OMITTED] TR30AP10.066

[GRAPHIC] [TIFF OMITTED] TR30AP10.067

[GRAPHIC] [TIFF OMITTED] TR30AP10.068

    (5) The following example is a solution for xdil/exh,x, 
xH2Oexh, and xCcombdry using the equations in 
paragraph (c)(4) of this section:
[GRAPHIC] [TIFF OMITTED] TR15SE11.050


[[Page 212]]


[GRAPHIC] [TIFF OMITTED] TR15SE11.051


[[Page 213]]


[GRAPHIC] [TIFF OMITTED] TR15SE11.052

a = 1.8
b = 0.05
g = 0.0003
d = 0.0001

    (d) Carbon mass fraction of fuel. Determine carbon mass fraction of 
fuel, wC, based on the fuel properties as determined in 
paragraph (e) of this section,

[[Page 214]]

accounting for diesel exhaust fluid's contribution to a, b, g, and d, or 
that of any other fluid injected into the exhaust, if applicable. 
Calculate wC using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.204

Where:

wC = carbon mass fraction of the fuel (or mixture of test 
          fuels) and any injected fluids.
MC = molar mass of carbon.
a = atomic hydrogen-to-carbon ratio of the fuel (or mixture of test 
          fuels) and any injected fluids.
MH = molar mass of hydrogen.
b = atomic oxygen-to-carbon ratio of the fuel (or mixture of test fuels) 
          and any injected fluids.
MO = molar mass of oxygen.
g = atomic sulfur-to-carbon ratio of the fuel (or mixture of test fuels) 
          and any injected fluids.
MS = molar mass of sulfur.
d = atomic nitrogen-to-carbon ratio of the fuel (or mixture of test 
          fuels) and any injected fluids.
MN = molar mass of nitrogen.

    Example: 
a = 1.8
b = 0.05
g = 0.0003
d = 0.0001
MC = 12.0107
MH = 1.00794
MO = 15.9994
MS = 32.065
MN = 14.0067
[GRAPHIC] [TIFF OMITTED] TR25OC16.205

wC = 0.8206

    (e) Fuel and diesel exhaust fluid composition. Determine fuel and 
diesel exhaust fluid composition represented by a, b, g, and d as 
described in this paragraph (e). When using measured fuel or diesel 
exhaust fluid properties, you must determine values for a and b; in all 
cases. If you determine compositions based on measured values and the 
default value listed in Table 1 of this section is zero, you may set g 
and d to zero; otherwise determine g and d (along with a and b) based on 
measured values. Determine elemental mass fractions and values for a, b, 
g, and d as follows:
    (1) For liquid fuels, use the default values for a, b, g, and d in 
Table 1 of this section or determine mass fractions of liquid fuels for 
calculation of a, b, g, and d as follows:
    (i) Determine the carbon and hydrogen mass fractions according to 
ASTM D5291 (incorporated by reference in Sec.  1065.1010). When using 
ASTM D5291 to determine carbon and hydrogen mass fractions of gasoline 
(with or without blended ethanol), use good engineering judgment to 
adapt the method as appropriate. This may include consulting with the 
instrument manufacturer on how to test high-volatility fuels. Allow the 
weight of volatile fuel samples to stabilize for 20 minutes before 
starting the analysis; if the weight still drifts after 20 minutes, 
prepare a new sample. Retest the sample if the carbon, hydrogen, and 
oxygen mass fractions do not add up to a total mass of 100 0.5%; if you do not measure oxygen, you may assume it 
has a zero concentration for this specification.
    (ii) Determine oxygen mass fraction of gasoline (with or without 
blended ethanol) according to ASTM D5599 (incorporated by reference in 
Sec.  1065.1010). For all other liquid fuels, determine

[[Page 215]]

the oxygen mass fraction using good engineering judgment.
    (iii) Determine the nitrogen mass fraction according to ASTM D4629 
or ASTM D5762 (incorporated by reference in Sec.  1065.1010) for all 
liquid fuels. Select the correct method based on the expected nitrogen 
content.
    (iv) Determine the sulfur mass fraction according to subpart H of 
this part.
    (2) For gaseous fuels and diesel exhaust fluid, use the default 
values for a, b, g, and d in Table 1 of this section, or use good 
engineering judgment to determine those values based on measurement.
    (3) For nonconstant fuel mixtures, you must account for the varying 
proportions of the different fuels. This generally applies for dual-fuel 
engines, but it also applies if diesel exhaust fluid is injected in a 
way that is not strictly proportional to fuel flow. Account for these 
varying concentrations either with a batch measurement that provides 
averaged values to represent the test interval, or by analyzing data 
from continuous mass rate measurements. Application of average values 
from a batch measurement generally applies to situations where one fluid 
is a minor component of the total fuel mixture, for example dual-fuel 
engines with diesel pilot injection, where the diesel pilot fuel mass is 
less than 5% of the total fuel mass and diesel exhaust fluid injection; 
consistent with good engineering judgment.
    (4) Calculate a, b, g, and d using the following equations:
    [GRAPHIC] [TIFF OMITTED] TR25OC16.206
    
    [GRAPHIC] [TIFF OMITTED] TR25OC16.207
    
    [GRAPHIC] [TIFF OMITTED] TR25OC16.208
    

[[Page 216]]


[GRAPHIC] [TIFF OMITTED] TR25OC16.209

Where:

M = total number of fuels and injected fluids over the duty cycle.
j = an indexing variable that represents one fuel or injected fluid, 
          starting with j = 1.
mj = the mass flow rate of the fuel or any injected fluid j. 
          For applications using a single fuel and no DEF fluid, set 
          this value to 1. For batch measurements, divide the total mass 
          of fuel over the test interval duration to determine a mass 
          rate.
WHj = hydrogen mass fraction of fuel or any injected fluid j.
WCj = carbon mass fraction of fuel or any injected fluid j.
WOj = oxygen mass fraction of fuel or any injected fluid j.
WSj = sulfur mass fraction of fuel or any injected fluid j.
WNj = nitrogen mass fraction of fuel or any injected fluid j.

    Example: 

N = 1
j = 1
mj = 1
WHj = 0.1239
WCj = 0.8206
WOj = 0.0547
WSj = 0.00066
WNj = 0.000095
MC = 12.0107
MH = 1.00794
MO = 15.9994
MS = 32.065
MN = 14.0067
[GRAPHIC] [TIFF OMITTED] TR25OC16.210

[GRAPHIC] [TIFF OMITTED] TR25OC16.317

a = 1.799
b = 0.05004
g = 0.0003012
d = 0.0001003

                        Table 1 of Sec.   1065.655--Default Values of a, b, g, d, and WC
----------------------------------------------------------------------------------------------------------------
                                                                                                    Carbon mass
            Fuel or injected fluid             Atomic hydrogen, oxygen, sulfur, and nitrogen-to-  fraction, WC g/
                                                 carbon ratios CH[alpha]O[beta]S[gamma]N[delta]          g
----------------------------------------------------------------------------------------------------------------
Gasoline.....................................  CH1.85O0S0N0.....................................           0.866

[[Page 217]]

 
E10 Gasoline.................................  CH1.92O0.03S0N0..................................           0.833
E15 Gasoline.................................  CH1.95O0.05S0N0..................................           0.817
E85 Gasoline.................................  CH2.73O0.38S0N0..................................           0.576
E100 Ethanol.................................  CH3O0.5S0N0......................................           0.521
M100 Methanol................................  CH4O1S0N0........................................           0.375
1 Diesel....................................  CH1.93O0S0N0.....................................           0.861
2 Diesel....................................  CH1.80O0S0N0.....................................           0.869
Liquefied petroleum gas......................  CH2.64O0S0N0.....................................           0.819
Natural gas..................................  CH3.78 O0.016S0N0................................           0.747
Residual fuel blends.........................    Must be determined by measured fuel properties as described in
                                                                paragraph (d)(1) of this section.
                                              ------------------------------------------------------------------
Diesel exhaust fluid.........................  CH17.85O7.92S0N2.................................           0.065
----------------------------------------------------------------------------------------------------------------

    (f) 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. 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 or 
nint or mfuel. For laboratory tests, calculating 
raw exhaust molar flow rate using measured fuel mass flow rate is valid 
only for steady-state testing. See Sec.  1065.915(d)(5)(iv) for 
application to field testing.
    (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 nint or mfuel 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. Calculate 
nexh based on nint using the following equation:
[GRAPHIC] [TIFF OMITTED] TR28AP14.049

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 218]]

[GRAPHIC] [TIFF OMITTED] TR28AP14.050

    (3) Fluid mass flow rate calculation. This calculation may be used 
only for steady-state laboratory testing. See Sec.  1065.915(d)(5)(iv) 
for application to field testing. Calculate nexh based on 
using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.211

Where:

nexh = raw exhaust molar flow rate from which you measured 
          emissions.
N = total number of fuels and injected fluids over the duty cycle.
j = an indexing variable that represents one fuel or injected fluid, 
          starting with j = 1.
mj = the mass flow rate of the fuel or any injected fluid j.

    Example: 
N = 1
j = 1
mj = 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] TR25OC16.212

nexh = 6.066 mol/s

    (g) Calculated raw exhaust molar flow rate from measured intake air 
molar flow rate, dilute exhaust molar flow rate, and dilute chemical 
balance. You may calculate the raw exhaust molar flow rate, 
nexh, based on the measured intake air molar flow rate, 
nint, the measured dilute exhaust molar flow rate, 
ndexh, and the values calculated using the chemical balance 
in paragraph (c) of this section. Note that the chemical balance must be 
based on dilute exhaust gas concentrations. For continuous-flow 
calculations, solve for the chemical balance in paragraph (c) of this 
section at the same frequency that you update and record nint 
and ndexh. This calculated nexh may be used for 
the PM dilution ratio verification in Sec.  1065.546; the calculation of 
dilution air molar flow rate in the background correction in Sec.  
1065.667; and the calculation of mass of emissions in Sec.  1065.650(c) 
for species that are measured in the raw exhaust.
    (1) Crankcase flow rate. If engines are not subject to crankcase 
controls under the standard-setting part, calculate raw exhaust flow as 
described in paragraph (e)(1) of this section.
    (2) Dilute exhaust and intake air molar flow rate calculation. 
Calculate nexh as follows:

[[Page 219]]

[GRAPHIC] [TIFF OMITTED] TR28AP14.052

    Example: 
nint = 7.930 mol/s
xraw/exhdry = 0.1544 mol/mol
xint/exhdry = 0.1451 mol/mol
xH20/exh = 32.46 mmol/mol = 0.03246 mol/mol
ndexh = 49.02 mol/s
nexh = (0.1544 - 0.1451) [middot] (1 - 0.03246) [middot] 
          49.02 + 7.930 = 0.4411 + 7.930 = 8.371 mol/s

[73 FR 37331, June 30, 2008, as amended at 73 FR 59334, Oct. 8, 2008; 75 
FR 23051, Apr. 30, 2010; 76 FR 57458, Sept. 15, 2011; 79 FR 23799, Apr. 
28, 2014; 81 FR 74182, Oct. 25, 2016]



Sec.  1065.659  Removed water correction.

    (a) If you remove water upstream of a concentration measurement, x, 
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 mass emission 
rate or total mass over a test interval. For continuous analyzers 
downstream of a sample dryer for transient and ramped-modal cycles, you 
must apply this correction on a continuous basis over the test interval, 
even if you use one of the options in Sec.  1065.145(e)(2) that results 
in a constant value for xH2O[emission]meas because 
xH2Oexh varies over the test interval. For batch analyzers, 
determine the flow-weighted average based on the continuous 
xH2Oexh values determined as described in paragraph (c) of 
this section. For batch analyzers, you may determine the flow-weighted 
average xH2Oexh based on a single value of xH2Oexh 
determined as described in paragraphs (c)(2) and (3) of this section, 
using flow-weighted average or batch concentration inputs.
    (b) Determine the amount of water remaining downstream of a sample 
dryer and at the concentration measurement using one of the methods 
described in Sec.  1065.145(e)(2). If you use a sample dryer upstream of 
an analyzer and if the calculated amount of water remaining downstream 
of the sample dryer and at the concentration measurement, 
xH2O[emission]meas, is higher than the amount of water at the 
flow meter, xH2Oexh, set xH2O[emission]meas equal 
to xH2Oexh. If you use a sample dryer upstream of storage 
media, you must be able to demonstrate that the sample dryer is removing 
water continuously (i.e., xH2Oexh is higher than 
xH2O[emission]meas throughout the test interval).
    (c) For a concentration measurement where you did not remove water, 
you may set xH2O[emission]meas equal to xH2Oexh. 
You may determine the amount of water at the flow meter, 
xH2Oexh, using any of the following methods:
    (1) Measure the dewpoint and absolute pressure and calculate the 
amount of water as described in Sec.  1065.645.
    (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 220]]

[GRAPHIC] [TIFF OMITTED] TR28AP14.053


[73 FR 37335, June 30, 2008, as amended at 76 FR 57462, Sept. 15, 2011; 
79 FR 23804, Apr. 28, 2014]



Sec.  1065.660  THC, NMHC, NMNEHC, CH4, 
and C2H6 determination.

    (a) THC determination and initial THC/CH4 contamination 
corrections. (1) If we require you to determine THC emissions, calculate 
xTHC[THC-FID]cor using the initial THC contamination 
concentration xTHC[THC-FID]init from Sec.  1065.520 as 
follows:
[GRAPHIC] [TIFF OMITTED] TR15SE11.058

    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 THC contamination 
using Eq. 1065.660-1. You may correct xTHC[NMC-FID] for 
initial contamination of the CH4 sample train using Eq. 
1065.660-1, substituting in CH4 concentrations for THC.
    (3) For the NMNEHC determination described in paragraph (c) of this 
section, correct xTHC[THC-FID] for initial THC contamination 
using Eq. 1065.660-1. You may correct xTHC[NMC-FID] for 
initial contamination of the CH4 sample train using Eq. 
1065.660-1, substituting in CH4 concentrations for THC.
    (4) For the CH4 determination described in paragraph (d) 
of this section,

[[Page 221]]

you may correct xTHC[NMC-FID] for initial THC 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 omit the 
calculation of NMHC concentrations and calculate the mass of NMHC as 
described in Sec.  1065.650(c)(5).
    (2) For nonmethane cutters, calculate xNMHC using the 
nonmethane cutter's penetration fraction (PF) of CH4 and the 
response factor penetration fraction (RFPF) of 
C2H6 from Sec.  1065.365, the response factor (RF) 
of the THC FID to CH4 from Sec.  1065.360, the initial THC 
contamination and dry-to-wet corrected THC concentration 
xTHC[THC-FID]cor as determined in paragraph (a) of this 
section, and the dry-to-wet corrected CH4 concentration 
xTHC[NMC-FID]cor optionally corrected for initial THC 
contamination 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] TR15SE11.059

Where:

xNMHC = concentration of NMHC.
xTHC[THC-FID]cor = concentration of THC, initial THC 
          contamination and dry-to-wet corrected, as measured by the THC 
          FID during sampling while bypassing the NMC.
xTHC[NMC-FID]cor = concentration of THC, initial THC 
          contamination (optional) and dry-to-wet corrected, as measured 
          by the NMC 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]cor = 20.5 [micro]mol/mol
RFPFC2H6[NMC-FID] = 0.019
RFCH4[THC-FID] = 1.05
[GRAPHIC] [TIFF OMITTED] TR15SE11.060

xNMHC = 131.4 [micro]mol/mol

    (ii) For penetration fractions determined using an NMC configuration 
as outlined in section Sec.  1065.365(e), use the following equation:
[GRAPHIC] [TIFF OMITTED] TR15SE11.061

Where:

xNMHC = concentration of NMHC.

[[Page 222]]

xTHC[THC-FID]cor = concentration of THC, initial THC 
          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]cor = concentration of THC, initial THC 
          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]cor = 20.5 [micro]mol/mol
PFC2H6[NMC-FID] = 0.020
[GRAPHIC] [TIFF OMITTED] TR15SE11.062

xNMHC = 132.3 [micro]mol/mol

    (iii) For penetration fractions determined using an NMC 
configuration as outlined in section Sec.  1065.365(f), use the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR15SE11.063

Where:

xNMHC = concentration of NMHC.
xTHC[THC-FID]cor = concentration of THC, initial THC 
          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]cor = concentration of THC, initial THC 
          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]cor = 20.5 [micro]mol/mol
RFPFC2H6[NMC-FID] = 0.019
RFCH4[THC-FID] = 0.980
[GRAPHIC] [TIFF OMITTED] TR15SE11.067

xNMHC = 132.5 [micro]mol/mol

    (3) For a GC-FID or FTIR, calculate xNMHC using the THC 
analyzer's response factor (RF) for CH4, from Sec.  1065.360, 
and the initial THC contamination and dry-to-wet corrected THC 
concentration xTHC[THC-FID]cor as determined in paragraph (a) 
of this section as follows:

[[Page 223]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.213

Where:

xNMHC = concentration of NMHC.
xTHC[THC-FID]cor = concentration of THC, initial THC 
          contamination and dry-to-wet corrected, as measured by the THC 
          FID.
RFCH4[THC-FID] = response factor of THC-FID to 
          CH4.
xCH4 = concentration of CH4, dry-to-wet corrected, 
          as measured by the GC-FID or FTIR.

    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

    (4) For an FTIR, calculate xNMHC by summing the 
hydrocarbon species listed in Sec.  1065.266(c) as follows:
[GRAPHIC] [TIFF OMITTED] TR25OC16.214

Where:

xNMHC = concentration of NMHC.
xHCi = the C1-equivalent concentration of 
          hydrocarbon species i as measured by the FTIR, not corrected 
          for initial contamination.
xHCi-init = the C1-equivalent concentration of the 
          initial system contamination (optional) of hydrocarbon species 
          i, dry-to-wet corrected, as measured by the FTIR.
    Example: 
xC2H6 = 4.9 [micro]mol/mol
xC2H4 = 0.9 [micro]mol/mol
xC2H2 = 0.8 [micro]mol/mol
xC3H8 = 0.4 [micro]mol/mol
xC3H6 = 0.5 [micro]mol/mol
xC4H10 = 0.3 [micro]mol/mol
xCH2O = 0.8 [micro]mol/mol
xC2H4O = 0.3 [micro]mol/mol
xC2H2O2 = 0.1 [micro]mol/mol
xCH4O = 0.1 [micro]mol/mol
xNMHC = 4.9 + 0.9 + 0.8 + 0.4 + 0.5 + 0.3 + 0.8 + 0.3 + 0.1 + 
          0.1
xNMHC = 9.1 [micro]mol/mol

    (c) NMNEHC determination. Use one of the following methods to 
determine NMNEHC concentration, xNMNEHC:
    (1) If the content of your test fuel contains less than 0.010 mol/
mol of ethane, you may omit the calculation of NMNEHC concentrations and 
calculate the mass of NMNEHC as described in Sec.  1065.650(c)(6).
    (2) For a GC-FID or FTIR, calculate xNMNEHC using the THC 
analyzer's response factors (RF) for CH4 and 
C2H6, from Sec.  1065.360, and the initial 
contamination and dry-to-wet corrected THC concentration 
xTHC[THC-FID]cor as determined in paragraph (a) of this 
section as follows:
[GRAPHIC] [TIFF OMITTED] TR25OC16.215

Where:

xNMNEHC = concentration of NMNEHC.

[[Page 224]]

xTHC[THC-FID]cor = concentration of THC, initial THC 
          contamination and dry-to-wet corrected, as measured by the THC 
          FID.
RFCH4[THC-FID] = response factor of THC-FID to 
          CH4.
xCH4 = concentration of CH4, dry-to-wet corrected, 
          as measured by the GC-FID or FTIR.
RFC2H6[THC-FID] = response factor of THC-FID to 
          C2H6.
xC2H6 = the C1-equivalent concentration of 
          C2H6, dry-to-wet corrected, as measured 
          by the GC-FID or FTIR.
    Example: 

xTHC[THC-FID]cor = 145.6 [micro]mol/mol
RFCH4[THC-FID] = 0.970
xCH4 = 18.9 [micro]mol/mol
RFC2H6[THC-FID] = 1.02
xC2H6 = 10.6 [micro]mol/mol
xNMHC = 145.6--0.970 [middot] 18.9--1.02 [middot] 10.6
xNMHC = 116.5 [micro]mol/mol

    (3) For an FTIR, calculate xNMNEHC by summing the 
hydrocarbon species listed in Sec.  1065.266(c) as follows:
[GRAPHIC] [TIFF OMITTED] TR25OC16.216

Where:

xNMNEHC = concentration of NMNEHC.
xHCi = the C1-equivalent concentration of 
          hydrocarbon species i as measured by the FTIR, not corrected 
          for initial contamination.
xHCi-init = the C1-equivalent concentration of the 
          initial system contamination (optional) of hydrocarbon species 
          i, dry-to-wet corrected, as measured by the FTIR.
    Example: 
xC2H4 = 0.9 [micro]mol/mol
xC2H2 = 0.8 [micro]mol/mol
xC3H8 = 0.4 [micro]mol/mol
xC3H6 = 0.5 [micro]mol/mol
xC4H10 = 0.3 [micro]mol/mol
xCH2O = 0.8 [micro]mol/mol
xC2H4O = 0.3 [micro]mol/mol
xC2H2O2 = 0.1 [micro]mol/mol
xCH4O = 0.1 [micro]mol/mol
xNMNEHC = 0.9 + 0.8 + 0.4 + 0.5 + 0.3 + 0.8 + 0.3 + 0.1 + 0.1
xNMNEHC = 4.2 [micro]mol/mol

    (d) CH4 determination. Use one of the following methods 
to determine CH4 concentration, xCH4:
    (1) For nonmethane cutters, calculate xCH4 using the 
nonmethane cutter's penetration fraction (PF) of CH4 and the 
response factor penetration fraction (RFPF) of 
C2H6 from Sec.  1065.365, the response factor (RF) 
of the THC FID to CH4 from Sec.  1065.360, the initial THC 
contamination and dry-to-wet corrected THC concentration 
xTHC[THC-FID]cor as determined in paragraph (a) of this 
section, and the dry-to-wet corrected CH4 concentration 
xTHC[NMC-FID]cor optionally corrected for initial THC 
contamination 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] TR25OC16.217

Where:

xCH4 = concentration of CH4.

[[Page 225]]

xTHC[NMC-FID]cor = concentration of THC, initial THC 
          contamination (optional) and dry-to-wet corrected, as measured 
          by the NMC FID during sampling through the NMC.
xTHC[THC-FID]cor = concentration of THC, initial THC 
          contamination and dry-to-wet corrected, as measured by the THC 
          FID during sampling while bypassing the NMC.
RFPFC2H6[NMC-FID] = the combined ethane response factor and 
          penetration fraction of the nonmethane cutter, according to 
          Sec.  1065.365(d).
RFCH4[THC-FID] = response factor of THC FID to 
          CH4, according to Sec.  1065.360(d).

    Example: 

xTHC[NMC-FID]cor = 10.4 [micro]mol/mol
xTHC[THC-FID]cor = 150.3 [micro]mol/mol
RFPFC2H6[NMC-FID] = 0.019
RFCH4[THC-FID] = 1.05
[GRAPHIC] [TIFF OMITTED] TR25OC16.218

xCH4 = 7.69 [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] TR25OC16.219

Where:

xCH4 = concentration of CH4.
xTHC[NMC-FID]cor = concentration of THC, initial THC 
          contamination (optional) and dry-to-wet corrected, as measured 
          by the NMC FID during sampling through the NMC.
xTHC[THC-FID]cor = concentration of THC, initial THC 
          contamination and dry-to-wet corrected, as measured by the THC 
          FID during sampling while bypassing the NMC.
PFC2H6[NMC-FID] = nonmethane cutter ethane penetration 
          fraction, according to Sec.  1065.365(e).
RFCH4[THC-FID] = response factor of THC FID to 
          CH4, according to Sec.  1065.360(d).
PFCH4[NMC-FID] = nonmethane cutter CH4 penetration 
          fraction, according to Sec.  1065.365(e).

    Example: 
xTHC[NMC-FID]cor = 10.4 [micro]mol/mol
xTHC[THC-FID]cor = 150.3 [micro]mol/mol
PFC2H6[NMC-FID] = 0.020
RFCH4[THC-FID] = 1.05
PFCH4[NMC-FID] = 0.990
[GRAPHIC] [TIFF OMITTED] TR25OC16.220

xCH4 = 7.25 [micro]mol/mol

    (iii) For penetration fractions determined using an NMC 
configuration as outlined in Sec.  1065.365(f), use the following 
equation:

[[Page 226]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.221

Where:

xCH4 = concentration of CH4.
xTHC[NMC-FID]cor = concentration of THC, initial THC 
          contamination (optional) and dry-to-wet corrected, as measured 
          by the NMC FID during sampling through the NMC.
xTHC[THC-FID]cor = concentration of THC, initial THC 
          contamination and dry-to-wet corrected, as measured by the THC 
          FID during sampling while bypassing the NMC.
RFPFC2H6[NMC-FID] = the combined ethane response factor and 
          penetration fraction of the nonmethane cutter, according to 
          Sec.  1065.365(f).
PFCH4[NMC-FID] = nonmethane cutter CH4 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[NMC-FID]cor = 10.4 [micro]mol/mol
xTHC[THC-FID]cor = 150.3 [micro]mol/mol
RFPFC2H6[NMC-FID] = 0.019
PFCH4[NMC-FID] = 0.990
RFCH4[THC-FID] = 1.05
[GRAPHIC] [TIFF OMITTED] TR25OC16.222

xCH4 = 7.78 [micro]mol/mol

    (2) For a GC-FID or FTIR, xCH4 is the actual dry-to-wet 
corrected CH4 concentration as measured by the analyzer.
    (e) C2H6 determination. For a GC-FID or FTIR, xC2H6 is 
the C1-equivalent, dry-to-wet corrected 
C2H6 concentration as measured by the analyzer.

[76 FR 57462, Sept. 15, 2011, as amended at 81 FR 74184, Oct. 25, 2016]



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 non-oxygenated total hydrocarbon (NOTHC). The result is the molar 
concentration of total hydrocarbon equivalent (THCE). Calculate THCE 
concentration using the following equations, noting that Eq. 1065.665-3 
is required only if you need to convert your oxygenated hydrocarbon 
(OHC) concentration from mass to moles:
[GRAPHIC] [TIFF OMITTED] TR25OC16.223


[[Page 227]]


[GRAPHIC] [TIFF OMITTED] TR25OC16.224

[GRAPHIC] [TIFF OMITTED] TR25OC16.225

Where:

xTHCE = the sum of the C1-equivalent 
          concentrations of non-oxygenated hydrocarbon, alcohols, and 
          aldehydes.
xNOTHC = the sum of the C1-equivalent 
          concentrations of NOTHC.
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 determine 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 nonmethane hydrocarbon equivalent 
(NMHCE), use the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.226

Where:

xNMHCE = the sum of the C1-equivalent 
          concentrations of nonoxygenated nonmethane hydrocarbon 
          (NONMHC), alcohols, and aldehydes.
RFCH4[THC-FID] = the 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 (CH2O) 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
xCH2O = 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
RFCH2O[THC-FID] = 0.0

[[Page 228]]

xNMHCE = xTHC[THC-FID]cor - (xC2H5OH 
          [middot] RFC2H5OH[THC-FID] + xCH3OH 
          [middot] RFCH3OH[THC-FID] + xC2H4O 
          [middot] RFC2H4O[THC-FID] + xCH2O 
          [middot] RFCH2O[THC-FID]) + xC2H5OH + 
          xCH3OH + xC2H4O + xCH2O - 
          (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

[79 FR 23805, Apr. 28, 2014, as amended at 81 FR 74187, Oct. 25, 2016]



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 calculated quantity. Multiply the total flow of dilution air by the 
mean mole fraction (i.e., concentration) of a background emission. This 
may be a time-weighted mean or a flow-weighted mean (e.g., a 
proportionally sampled background). Finally, multiply by the molar mass, 
M, of the associated gaseous emission constituent. The product of 
ndil and the mean molar concentration of a background 
emission and its molar mass, M, is the total background emission mass, 
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 flow, and the result is the total 
background mass of PM, mPM. Subtract total background mass 
from total mass to correct for background emissions.
    (b) You may determine the total flow of dilution air by a direct 
flow measurement.
    (c) You may determine the total flow of dilution air by subtracting 
the calculated raw exhaust molar flow as described in Sec.  1065.655(g) 
from the measured dilute exhaust flow. This may be done by totaling 
continuous calculations or by using batch results.
    (d) You may determine the total flow of dilution air from the 
measured dilute exhaust flow and a chemical balance of the fuel, intake 
air, and dilute exhaust as described in Sec.  1065.655. For this option, 
the molar flow of dilution air is calculated by multiplying the dilute 
exhaust flow by the mole fraction of dilution gas to dilute exhaust, 
xdil/exh, from the dilute chemical balance. This may be done 
by totaling continuous calculations or by using batch results. For 
example, to use batch results, the total flow of dilution air is 
calculated by multiplying the total flow of diluted exhaust, 
ndexh, by the flow-weighted mean mole fraction of dilution 
air in diluted exhaust, xdil/exh. Calculate 
xdil/exh using flow-weighted mean concentrations of emissions 
in the chemical balance, as described in Sec.  1065.655. The chemical 
balance in Sec.  1065.655 assumes 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 balance in Sec.  1065.655 treats 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 either 
determine the total flow of dilution air using one of the more accurate 
methods in paragraph (b) or (c) of this section, or 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.
    (e) The following is an example of using the flow-weighted mean 
fraction of dilution air in diluted exhaust, xdil/exh, and 
the total mass of background emissions calculated using the total flow 
of diluted exhaust, ndexh, as described in Sec.  1065.650(c):

[[Page 229]]

[GRAPHIC] [TIFF OMITTED] TR15SE11.075

    Example: 
MNOx = 46.0055 g/mol
xbkgnd = 0.05 [micro]mol/mol = 0.05[sdot]10-6 mol/
          mol
ndexh = 23280.5 mol
xdil/exh = 0.843 mol/mol
mbkgndNOxdexh = 
          46.0055[sdot]0.05[sdot]10-6[sdot]23280.5
mbkgndNOxdexh = 0.0536 g
mbkgndNOx = 0.843 [sdot] 0.0536
mbkgndNOx = 0.0452 g

    (f) The following is an example of using the fraction of dilution 
air in diluted exhaust, xdil/exh, and the mass rate of 
background emissions calculated using the flow rate of diluted exhaust, 
ndexh, as described in Sec.  1065.650(c):
[GRAPHIC] [TIFF OMITTED] TR15SE11.076

    Example: 
MNOx = 46.0055 g/mol
xbkgnd = 0.05 [micro]mol/mol = 0.05[sdot]10-6 mol/
          mol
ndexh = 23280.5 mol/s
xdil/exh = 0.843 mol/mol
mbkgndNOxdexh = 
          46.0055[sdot]0.05[sdot]10-6[sdot]23280.5
mbkgndNOxdexh = 0.0536 g/hr
mbkgndNOx = 0.843 [sdot] 0.0536
mbkgndNOx = 0.0452 g/hr

[76 FR 57465, Sept. 15, 2011, as amended at 81 FR 74188, Oct. 25, 2016]



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, correct NOX concentrations for intake-air humidity as 
described in this section. See Sec.  1065.650(c)(1) for the proper 
sequence for applying the NOX intake-air humidity and 
temperature corrections. 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:

[[Page 230]]

    (a) For compression-ignition engines, correct for intake-air 
humidity using the following equation:
[GRAPHIC] [TIFF OMITTED] TR30AP10.095

    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) For spark-ignition engines, correct for intake-air humidity 
using the following equation:
[GRAPHIC] [TIFF OMITTED] TR30AP10.096

    Example: 
xNOxuncor = 154.7 [micro]mol/mol
xH2O = 0.022 mol/mol
xNOxcor = 154.7 [middot] (18.840 [middot] 0.022 + 0.68094)
xNOxcor = 169.5 [micro]mol/mol

    (c) Develop your own correction, based on good engineering judgment.

[75 FR 23056, Apr. 30, 2010, as amended at 76 FR 57466, Sept. 15, 2011]



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 
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] TR24FE09.005
    

[[Page 231]]


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] TR24FE09.006

xidriftcorrected = 450.2 [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 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.

[70 FR 40516, July 13, 2005, as amended at 74 FR 8427, Feb. 24, 2009; 75 
FR 23056, Apr. 30, 2010]



Sec.  1065.675  CLD quench verification calculations.

    Perform CLD quench-check calculations as follows:
    (a) Perform a CLD analyzer quench verification test as described in 
Sec.  1065.370.
    (b) Estimate the maximum expected mole fraction of water during 
emission testing, xH2Oexp. Make this estimate where the 
humidified NO span gas was introduced in Sec.  1065.370(e)(6). When 
estimating the maximum expected mole fraction of water, consider the 
maximum expected water content in combustion air, fuel combustion 
products, and dilution air (if applicable). If you introduced the 
humidified NO span gas into the sample system upstream of a sample dryer 
during the verification test, you need not estimate the maximum expected 
mole fraction of water and you must set xH2Oexp equal to 
xH2Omeas.
    (c) Estimate the maximum expected CO2 concentration 
during emission testing, xCO2exp. Make this estimate at the 
sample system location where the

[[Page 232]]

blended NO and CO2 span gases are introduced according to 
Sec.  1065.370(d)(10). When estimating the maximum expected 
CO2 concentration, consider the maximum expected 
CO2 content in fuel combustion products and dilution air.
    (d) Calculate quench as follows:
    [GRAPHIC] [TIFF OMITTED] TR25OC16.227
    
Where:

quench = amount of CLD quench.
xNOdry = concentration of NO upstream of a bubbler, according 
          to Sec.  1065.370(e)(4).
xNOwet = measured concentration of NO downstream of a 
          bubbler, according to Sec.  1065.370(e)(9).
xH2Oexp = maximum expected mole fraction of water during 
          emission testing, according to paragraph (b) of this section.
xH2Omeas = measured mole fraction of water during the quench 
          verification, according to Sec.  1065.370(e)(7).
xNOmeas = measured concentration of NO when NO span gas is 
          blended with CO2 span gas, according to Sec.  
          1065.370(d)(10).
xNOact = actual concentration of NO when NO span gas is 
          blended with CO2 span gas, according to Sec.  
          1065.370(d)(11) and calculated according to Eq. 1065.675-2.
xCO2exp = maximum expected concentration of CO2 
          during emission testing, according to paragraph (c) of this 
          section.
xCO2act = actual concentration of CO2 when NO span 
          gas is blended with CO2 span gas, according to 
          Sec.  1065.370(d)(9).
          [GRAPHIC] [TIFF OMITTED] TR25OC16.228
          
Where:

xNOspan = The NO span gas concentration input to the gas 
          divider, according to Sec.  1065.370(d)(5).
xCO2span = the CO2 span gas concentration input to 
          the gas divider, according to Sec.  1065.370(d)(4).

    Example: 
xNOdry = 1800.0 [micro]mol/mol
xNOwet = 1739.6 [micro]mol/mol
xH2Oexp = 0.030 mol/mol
xH2Omeas = 0.030 mol/mol
xNOmeas = 1515.2 [micro]mol/mol
xNOspan = 3001.6 [micro]mol/mol
xCO2exp = 3.2%
xCO2span = 6.1%
xCO2act = 2.98%

[[Page 233]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.229

quench = (-0.0036655-0.014020171)[middot]100% = -1.7685671%

[73 FR 59340, Oct. 8, 2008, as amended at 76 FR 57466, Sept. 15, 2011; 
81 FR 74188, Oct. 25, 2016]



Sec.  1065.680  Adjusting emission levels to account for infrequently 
regenerating aftertreatment devices.

    This section describes how to calculate and apply emission 
adjustment factors for engines using aftertreatment technology with 
infrequent regeneration events that may occur during testing. These 
adjustment factors are typically calculated based on measurements 
conducted for the purposes of engine certification, and then used to 
adjust the results of testing related to demonstrating compliance with 
emission standards. 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. Also, ``infrequent'' refers to 
regeneration events that are expected to occur on average less than once 
over a transient or ramped-modal duty cycle, or on average less than 
once per mode in a discrete-mode test.
    (a) Apply adjustment factors based on whether there is active 
regeneration during a test segment. The test segment may be a test 
interval or a full duty cycle, as described in paragraph (b) of this 
section. For engines subject to standards over more than one duty cycle, 
you must develop adjustment factors under this section for each separate 
duty cycle. You must be able to identify active regeneration in a way 
that is readily apparent during all testing. All adjustment factors for 
regeneration are additive.
    (1) If active regeneration does not occur during a test segment, 
apply an upward adjustment factor, UAF, that will be added to the 
measured emission rate for that test segment. Use the following equation 
to calculate UAF:

[GRAPHIC] [TIFF OMITTED] TR25OC16.318

Where:

EFA[cycle] = the average emission factor over the test 
          segment as determined in paragraph (a)(4) of this section.
EFL[cycle] = measured emissions over a complete test segment 
          in which active regeneration does not occur.

    Example: 
EFARMC = 0.15 g/kW[middot]hr
EFLRMC = 0.11 g/kW[middot]hr
UAFRMC = 0.15 - 0.11 = 0.04 g/kW[middot]hr

    (2) If active regeneration occurs or starts to occur during a test 
segment, apply a downward adjustment factor, DAF, that will be 
subtracted from the

[[Page 234]]

measured emission rate for that test segment. Use the following equation 
to calculate DAF:
[GRAPHIC] [TIFF OMITTED] TR25OC16.230

Where:

EFH[cycle] = measured emissions over the test segment from a 
          complete regeneration event, or the average emission rate over 
          multiple complete test segments with regeneration if the 
          complete regeneration event lasts longer than one test 
          segment.

    Example: 
EFARMC = 0.15 g/kW[middot]hr
EFHRMC = 0.50 g/kW[middot]hr
DAFRMC = 0.50 - 0.15 = 0.35 g/kW[middot]hr

    (3) Note that emissions for a given pollutant may be lower during 
regeneration, in which case EFL would be greater than 
EFH, and both UAF and DAF would be negative.
    (4) Calculate the average emission factor, EFA, as 
follows:
[GRAPHIC] [TIFF OMITTED] TR25OC16.231

Where:

F[cycle] = the frequency of the regeneration event during the 
          test segment, expressed in terms of the fraction of equivalent 
          test segments during which active regeneration occurs, as 
          described in paragraph (a)(5) of this section.
    Example: 
FRMC = 0.10
EFARMC = 0.10 [middot] 0.50 + (1.00 - 0.10) [middot] 0.11 = 
          0.15 g/kW[middot]hr

    (5) The frequency of regeneration, F, generally characterizes how 
often a regeneration event occurs within a series of test segments. 
Determine F using the following equation, subject to the provisions of 
paragraph (a)(6) of this section:
[GRAPHIC] [TIFF OMITTED] TR25OC16.232

Where:

ir[cycle] = the number of successive test segments required 
          to complete an active regeneration, rounded up to the next 
          whole number.
if[cycle] = the number of test segments from the end of one 
          complete regeneration event to the start of the next active 
          regeneration, without rounding.

    Example: 
irRMC = 2
ifRMC = 17.86

[[Page 235]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.233

    (6) Use good engineering judgment to determine ir and 
if, as follows:
    (i) For engines that are programmed to regenerate after a specific 
time interval, you may determine the duration of a regeneration event 
and the time between regeneration events based on the engine's design 
parameters. For other engines, determine these values based on 
measurements from in-use operation or from running repetitive duty 
cycles in a laboratory.
    (ii) For engines subject to standards over multiple duty cycles, 
such as for transient and steady-state testing, apply this same 
calculation to determine a value of F for each duty cycle.
    (iii) Consider an example for an engine that is designed to 
regenerate its PM filter 500 minutes after the end of the last 
regeneration event, with the regeneration event lasting 30 minutes. If 
the RMC takes 28 minutes, irRMC = 2 (30 / 28 = 1.07, which 
rounds up to 2), and ifRMC = 500 / 28 = 17.86.
    (b) Develop adjustment factors for different types of testing as 
follows:
    (1) Discrete-mode testing. Develop separate adjustment factors for 
each test mode (test interval) of a discrete-mode test. When measuring 
EFH, if a regeneration event has started but is not complete 
when you reach the end of the sampling time for a test interval, extend 
the sampling period for that test interval until the regeneration event 
is complete.
    (2) Ramped-modal and transient testing. Develop a separate set of 
adjustment factors for an entire ramped-modal cycle or transient duty 
cycle. When measuring EFH, if a regeneration event has 
started but is not complete when you reach the end of the duty cycle, 
start the next repeat test as soon as possible, allowing for the time 
needed to complete emission measurement and installation of new filters 
for PM measurement; in that case EFH is the average emission 
level for the test segments that included regeneration.
    (3) Accounting for cold-start measurements. For engines subject to 
cold-start testing requirements, incorporate cold-start operation into 
your analysis as follows:
    (i) Determine the frequency of regeneration, F, in a way that 
incorporates the impact of cold-start operation in proportion to the 
cold-start weighting factor specified in the standard-setting part. You 
may use good engineering judgment to determine the effect of cold-start 
operation analytically.
    (ii) Treat cold-start testing and hot-start testing together as a 
single test segment for adjusting measured emission results under this 
section. Apply the adjustment factor to the composite emission result.
    (iii) You may apply the adjustment factor only to the hot-start test 
result if your aftertreatment technology does not regenerate during cold 
operation as represented by the cold-start transient duty cycle. If we 
ask for it, you must demonstrate this by engineering analysis or by test 
data.
    (c) If an engine has multiple regeneration strategies, determine and 
apply adjustment factors under this section separately for each type of 
regeneration.

[81 FR 74189, Oct. 25, 2016]



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:

[[Page 236]]

    (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 humidity has an insignificant effect on buoyancy correction, 
air density is primarily a function of atmospheric pressure. Therefore 
you may use nominal constant values for temperature and humidity when 
determining the air density of the balance environment in Eq. 1065.690-
2.
    (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] TR28AP14.055

Where:

mcor = PM mass corrected for buoyancy.
muncor = PM mass uncorrected for buoyancy.
rair = density of air in balance environment.
rweight = density of calibration weight used to span balance.
rmedia = density of PM sample media, such as a filter.
[GRAPHIC] [TIFF OMITTED] TR28AP14.056

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.

[[Page 237]]

[GRAPHIC] [TIFF OMITTED] TR28AP14.057


[[Page 238]]


[GRAPHIC] [TIFF OMITTED] TR28AP14.058


[70 FR 40516, July 13, 2005, as amended at 73 FR 37339, June 30, 2008; 
75 FR 23056, Apr. 30, 2010; 79 FR 23805, Apr. 28, 2014; 81 FR 74191, 
Oct. 25, 2016]



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 verification.
    (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.
    (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).
    (x) Number and type of preconditioning cycles.
    (7) How did you test your engine? For example:
    (i) Constant speed or variable speed.

[[Page 239]]

    (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.
    (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.
    (xiv) Vehicle make, model, model year, identification number.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37339, June 30, 2008; 
79 FR 23807, Apr. 28, 2014]



    Subpart H_Engine Fluids, Test Fuels, Analytical Gases and Other 
                          Calibration Standards



Sec.  1065.701  General requirements for test fuels.

    (a) General. For all emission measurements, use test fuels that meet 
the specifications in this subpart, unless

[[Page 240]]

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. Where we specify multiple grades of a certain 
fuel type (such as diesel fuel with different sulfur concentrations), 
see the standard-setting part to determine which grade to use.
    (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.
    (d) Fuel specifications. Specifications in this section apply as 
follows:
    (1) Measure and calculate values as described in the appropriate 
reference procedure. Record and report final values expressed to at 
least the same number of decimal places as the applicable limit value. 
The right-most digit for each limit value is significant unless 
specified otherwise. For example, for a specified distillation 
temperature of 60 [deg]C, determine the test fuel's value to at least 
the nearest whole number.
    (2) 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) Two-stroke fuel/oil mixing. For two-stroke engines, use a fuel/
oil mixture meeting the manufacturer's specifications.
    (f) 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
------------------------------------------------------------------------
                                                           Reference
          Fuel category               Subcategory        procedure \1\
------------------------------------------------------------------------
Diesel..........................  Light distillate    ASTM D975
                                   and light blends
                                   with residual.
                                  Middle distillate.  ASTM D6985
                                  Biodiesel (B100)..  ASTM D6751
Intermediate and residual fuel..  All...............  See Sec.
                                                       1065.705
Gasoline........................  Automotive          ASTM D4814
                                   gasoline.
                                  Automotive          ASTM D4814
                                   gasoline with
                                   ethanol
                                   concentration up
                                   to 10 volume %..
Alcohol.........................  Ethanol (E51-83)..  ASTM D5798

[[Page 241]]

 
                                  Methanol (M70-M85)  ASTM D5797
Aviation fuel...................  Aviation gasoline.  ASTM D910
                                  Gas turbine.......  ASTM D1655
                                  Jet B wide cut....  ASTM D6615
Gas turbine fuel................  General...........  ASTM D2880
------------------------------------------------------------------------
\1\ ASTM specifications are incorporated by reference in Sec.
  1065.1010.


[70 FR 40516, July 13, 2005, as amended at 73 FR 37339, June 30, 2008; 
73 FR 59341, Oct. 8, 2008; 75 FR 23057, Apr. 30, 2010;79 FR 23807, Apr. 
28, 2014]



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 the following table:

                 Table 1 of Sec.   1065.703--Test Fuel Specifications for Distillate Diesel Fuel
----------------------------------------------------------------------------------------------------------------
                                                          Ultra low                 High     Reference procedure
             Property                      Unit            sulfur    Low sulfur    sulfur            \1\
----------------------------------------------------------------------------------------------------------------
Cetane Number....................  --..................       40-50       40-50       40-50  ASTM D613.
Distillation range:
    Initial boiling point........  [deg]C..............     171-204     171-204     171-204  ASTM D86.
    10 pct. point................  ....................     204-238     204-238     204-238  ASTM D86.
    50 pct. point................  ....................     243-282     243-282     243-282  ASTM D86.
    90 pct. point................  ....................     293-332     293-332     293-332  ASTM D86.
    Endpoint.....................  ....................     321-366     321-366     321-366  ASTM D86.
Gravity..........................  [deg]API............       32-37       32-37       32-37  ASTM D4052.
Total sulfur, ultra low sulfur...  mg/kg...............        7-15  ..........  ..........  See 40 CFR 80.580.
Total sulfur, low and high sulfur  mg/kg...............  ..........     300-500    800-2500  ASTM D2622 or
                                                                                              alternates as
                                                                                              allowed under 40
                                                                                              CFR 80.580.
Aromatics, min. (Remainder shall   g/kg................         100         100         100  ASTM D5186.
 be paraffins, naphthenes, and
 olefins).
Flashpoint, min..................  [deg]C..............          54          54          54  ASTM D93.
Kinematic Viscosity..............  cSt.................     2.0-3.2     2.0-3.2     2.0-3.2  ASTM D445.
----------------------------------------------------------------------------------------------------------------
\1\ ASTM procedures are incorporated by reference in Sec.   1065.1010. See Sec.   1065.701(d) for other allowed
  procedures.

    (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.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37340, June 30, 2008; 
73 FR 59341, Oct. 8, 2008; 75 FR 23057, Apr. 30, 2010; 77 FR 2464, Jan. 
18, 2012;79 FR 23807, Apr. 28, 2014]



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 be free of used lubricating oil. Demonstrate this 
by

[[Page 242]]

showing that the fuel meets at least one of the following 
specifications.
    (1) Zinc is at or below 15 mg per kg of fuel based on the procedures 
specified in IP470, IP501, or ISO 8217 (incorporated by reference in 
Sec.  1065.1010).
    (2) Phosphorus is at or below 15 mg per kg of fuel based on the 
procedures specified in IP500, IP501, or ISO 8217 (incorporated by 
reference in Sec.  1065.1010).
    (3) Calcium is at or below 30 mg per kg of fuel based on the 
procedures specified in IP470, IP501, or ISO 8217 (incorporated by 
reference in Sec.  1065.1010).
    (c) The fuel must meet the specifications for one of the categories 
in the following table:

[[Page 243]]



                             Table 1 of Sec.   1065.705--Service Accumulation and Test Fuel Specifications for Residual Fuel
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                    Category ISO-F-
          Property                  Unit      ------------------------------------------------------------------------------------------    Reference
                                                RMA 30   RMB 30   RMD 80  RME 180  RMF 180  RMG 380  RMH 380  RMK 380  RMH 700  RMK 700    Procedure\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
                                                                                      (see
                                                                                      also
                                                                                       ISO
                                                                                    8217).
                                              ----------------------------------------------------------------------------------------------------------
Kinematic viscosity at 50     cSt............        30.0           80.0        180.0
 [deg]C, max.
                                        380.0
                                            700.0                    ISO
                                                                   3104.
Flash point, min............  [deg]C.........         60              60         60
                                         60
                                              60                     ISO
                                                                    2719
                                                                    (see
                                                                    also
                                                                     ISO
                                                                  8217).
                                              ----------------------------------------------------------------------------------------------------------
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
                                              ----------------------------------------------------------------------------------------------------------
Carbon residue, max.........  (kg/kg) %......         10              14       15       20       18       22              22             ISO 10370.
                                              ----------------------------------------------------------------------------------------------------------
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
                                                                    (see
                                                                    also
                                                                     ISO
                                                                  8217).
                                              ----------------------------------------------------------------------------------------------------------
Vanadium, max...............  mg/kg..........         150            350      200      500      300      600             600             ISO 14597 or IP
                                                                                                                                          501 or IP 470
                                                                                                                                          (see also ISO
                                                                                                                                          8217).
                                              ----------------------------------------------------------------------------------------------------------
Total sediment potential,     (kg/kg) %......        0.10           0.10        0.10
 max.
                                        0.10
                                             0.10                    ISO
                                                                 10307-2
                                                                    (see
                                                                    also
                                                                     ISO
                                                                  8217).
                                              ----------------------------------------------------------------------------------------------------------
Aluminum plus silicon, max..  mg/kg..........         80              80         80
                                         80
                                              80                     ISO
                                                                   10478
                                                                   or IP
                                                                  501 or
                                                                  IP 470
                                                                    (see
                                                                    also
                                                                     ISO
                                                                 8217:20
                                                                    12).
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ ISO procedures are incorporated by reference in Sec.   1065.1010. See Sec.   1065.701(d) for other allowed procedures.


[79 FR 23808, Apr. 28, 2014]

[[Page 244]]



Sec.  1065.710  Gasoline.

    (a) This section specifies test fuel properties for gasoline with 
ethanol (low-level blend only) and for gasoline without ethanol. Note 
that the ``fuel type'' for the fuels specified in paragraphs (b) and (c) 
of this section is considered to be gasoline. In contrast, fuels with 
higher ethanol concentrations, such as fuel containing 82 percent 
ethanol, are considered to be ethanol fuels rather than gasoline. We 
specify some test fuel parameters that apply uniquely for low-
temperature testing and for testing at altitudes above 1,219 m. For all 
other testing, use the test fuel parameters specified for general 
testing. Unless the standard-setting part specifies otherwise, use the 
fuel specified in paragraph (c) of this section for general testing.
    (b) The following specifications apply for a blended gasoline test 
fuel that has nominally 10% ethanol (commonly called E10 test fuel):
    (1) Prepare the blended test fuel from typical refinery gasoline 
blending components. You may not use pure compounds, except as follows:
    (i) You may use neat ethanol as a blendstock.
    (ii) You may adjust the test fuel's vapor pressure by adding butane.
    (iii) You may adjust the test fuel's benzene content by adding 
benzene.
    (iv) You may adjust the test fuel's sulfur content by adding sulfur 
compounds that are representative of those found with in-use fuels.
    (2) Table 1 of this section identifies limit values consistent with 
the units in the reference procedure for each fuel property. These 
values are generally specified in international units. Values presented 
in parentheses are for information only. Table 1 follows:

                               Table 1 of Sec.   1065.710--Test Fuel Specifications for a Low-Level Ethanol-Gasoline Blend
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                         Specification
                                                            ----------------------------------------------------------------------  Reference procedure
              Property                        Unit                                      Low-temperature                                     \1\
                                                                 General testing            testing         High altitude testing
--------------------------------------------------------------------------------------------------------------------------------------------------------
Antiknock Index (R + M)/2..........  ......................                  87.0--88.4 \2\                 87.0 Minimum.........  ASTM D2699 and D2700.
                                                            ----------------------------------------------------------------------
Sensitivity (R-M)..................  ......................                               7.5 Minimum                              ASTM D2699 and D2700.
                                                            ----------------------------------------------------------------------
Dry Vapor Pressure Equivalent        kPa (psi).............  60.0-63.4.............  77.2-81.4............  52.4-55.2............  ASTM D5191.
 (DVPE) \3 4\.                                               (8.7-9.2).............  (11.2-11.8)..........  (7.6-8.0)............
Distillation \4\...................  [deg]C ( [deg]F)......  49-60.................  43-54................  49-60................  ASTM D86.
10% evaporated.....................                          (120-140).............  (110-130)............  (120-140)............
                                                            ----------------------------------------------------------------------
50% evaporated.....................  [deg]C ( [deg]F)......                            88-99 (190-210).
90% evaporated.....................  [deg]C ( [deg]F)......                           157-168 (315-335).
Evaporated final boiling point.....  [deg]C ( [deg]F)......                           193-216 (380-420).
Residue............................  milliliter............                              2.0 Maximum.
Total Aromatic Hydrocarbons........  volume %..............                                21.0-25.0                               ASTM D5769.
C6 Aromatics (benzene).............  volume %..............                                0.5-0.7.
C7 Aromatics (toluene).............  volume %..............                                5.2-6.4.
C8 Aromatics.......................  volume %..............                                5.2-6.4.
C9 Aromatics.......................  volume %..............                                5.2-6.4.
C10 + Aromatics....................  volume %..............                                4.4-5.6.
Olefins \5\........................  mass %................                                4.0-10.0                                ASTM D6550.
Ethanol blended....................  volume %..............                                9.6-10.0                                See paragraph (b)(3)
                                                                                                                                    of this section.
Ethanol confirmatory \6\...........  volume %..............                                9.4-10.2                                ASTM D4815 or D5599.
Total Content of Oxygenates Other    volume %..............                               0.1 Maximum                              ASTM D4815 or D5599.
 than Ethanol \6\.
Sulfur.............................  mg/kg.................                                8.0-11.0                                ASTM D2622, D5453 or
                                                                                                                                    D7039.
Lead...............................  g/liter...............                             0.0026 Maximum                             ASTM D3237.
Phosphorus.........................  g/liter...............                             0.0013 Maximum                             ASTM D3231.
Copper Corrosion...................  ......................                              No. 1 Maximum                             ASTM D130.
Solvent-Washed Gum Content.........  mg/100 milliliter.....                               3.0 Maximum                              ASTM D381.
Oxidation Stability................  minute................                              1000 Minimum                              ASTM D525.
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ ASTM procedures are incorporated by reference in Sec.   1065.1010. See Sec.   1065.701(d) for other allowed procedures.
\2\ Octane specifications apply only for testing related to exhaust emissions. For engines or vehicles that require the use of premium fuel, as
  described in paragraph (d) of this section, the adjusted specification for antiknock index is a minimum value of 91.0; no maximum value applies. All
  other specifications apply for this high-octane fuel.

[[Page 245]]

 
\3\ Calculate dry vapor pressure equivalent, DVPE, based on the measured total vapor pressure, pT, using the following equation: DVPE (kPa) = 0.956
  [middot] pT--2.39 or DVPE (psi) = 0.956 [middot] pT--0.347. DVPE is intended to be equivalent to Reid Vapor Pressure using a different test method.
\4\ Parenthetical values are shown for informational purposes only.
\5\ The reference procedure prescribes measurement of olefin concentration in mass %. Multiply this result by 0.857 and round to the first decimal place
  to determine the olefin concentration in volume %.
\6\ ASTM D5599 prescribes concentration measurements for ethanol and other oxygenates in mass %. Convert results to volume % as specified in Section
  14.3 of ASTM D4815.

    (3) The ethanol-blended specification in Table 1 of this section is 
based on the volume % ethanol content of the fuel as determined during 
blending by the fuel supplier and as stated by the supplier at the time 
of fuel delivery. Use good engineering judgment to determine the volume 
% of ethanol based on the volume of each blendstock. We recommend using 
a flow-based or gravimetric procedure that has an accuracy and 
repeatability of 0.1%.
    (c) The specifications of this paragraph (c) apply for testing with 
neat gasoline. This is sometimes called indolene or E0 test fuel. 
Gasoline for testing must have octane values that represent commercially 
available fuels for the appropriate application. Test fuel 
specifications apply as follows:

                   Table 2 of Sec.   1065.710--Test Fuel Specifications for Neat (E0) Gasoline
----------------------------------------------------------------------------------------------------------------
                                                                   Specification
                                                     ----------------------------------------      Reference
            Property                     Unit                               Low-temperature      procedure \1\
                                                        General testing         testing
----------------------------------------------------------------------------------------------------------------
Distillation Range:
    Evaporated initial boiling    [deg]C............  24-35\2\..........  24-36.............  ASTM D86
     point.
    10% evaporated..............  ..................  49-57.............  37-48.............
    50% evaporated..............  ..................  93-110............  82-101............
    90% evaporated..............  ..................  149-163...........  158-174...........
    Evaporated final boiling      ..................  Maximum, 213......  Maximum, 212......
     point.
Hydrocarbon composition:
    Olefins.....................  volume %..........  Maximum, 10.......  Maximum, 17.5.....  ASTM D1319
    Aromatics...................  ..................  Maximum, 35.......  Maximum, 30.4.....
    Saturates...................  ..................  Remainder.........  Remainder.........
Lead............................  g/liter...........  Maximum, 0.013....  Maximum, 0.013....  ASTM D3237
Phosphorous.....................  g/liter...........  Maximum, 0.0013...  Maximum, 0.005....  ASTM D3231
Total sulfur....................  mg/kg.............  Maximum, 80.......  Maximum, 80.......  ASTM D2622
Dry vapor pressure equivalent     kPa (psi).........  60.0-63.4 \2 4\     77.2-81.4 (11.2-    ASTM D5191
 \3\.                                                  (8.7-9.2).          11.8).
----------------------------------------------------------------------------------------------------------------
\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 1219 m, the specified initial boiling point range is (23.9 to 40.6) [deg]C
  and the specified volatility range is (52.0 to 55.2) kPa ((7.5 to 8.0) psi).
\3\ Calculate dry vapor pressure equivalent, DVPE, based on the measured total vapor pressure, pT, in kPa using
  the following equation: DVPE (kPa) = 0.956 [middot] pT-2.39 or DVPE (psi) = 0.956 [middot] pT-0.347. DVPE is
  intended to be equivalent to Reid Vapor Pressure using a different test method.
\4\ For testing unrelated to evaporative emissions, the specified range is (55.2 to 63.4) kPa ((8.0 to 9.2)
  psi).

    (d) Use the high-octane gasoline specified in paragraph (b) of this 
section only for engines or vehicles for which the manufacturer 
conditions the warranty on the use of premium gasoline.

[79 FR 23809, Apr. 28, 2014, as amended at 80 FR 9119, Feb. 19, 2015]



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
------------------------------------------------------------------------
            Property                             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.

[[Page 246]]

 
Inert gases (sum of CO2 and N2).  Maximum, 0.051 mol/mol.
------------------------------------------------------------------------
\1\ Demonstrate compliance with fuel specifications based on the
  reference procedures in ASTM D1945 (incorporated by reference in Sec.
   1065.1010), or on other measurement procedures using good engineering
  judgment. 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.

[73 FR 37342, June 30, 2008, as amended at 79 FR 23811, Apr. 28, 2014]



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
----------------------------------------------------------------------------------------------------------------
                 Property                              Value                     Reference procedure \1\
----------------------------------------------------------------------------------------------------------------
Propane, C3H8............................  Minimum, 0.85 m\3\/m\3\.....  ASTM D2163.
Vapor pressure at 38 [deg]C..............  Maximum, 1400 kPa...........  ASTM D1267or D2598.\2\
Volatility residue (evaporated             Maximum, -38 [deg]C.........  ASTM D1837.
 temperature, 35 [deg]C).
Butanes..................................  Maximum, 0.05 m\3\/m\3\.....  ASTM D2163.
Butenes..................................  Maximum, 0.02 m\3\/m\3\.....  ASTM D2163.
Pentenes and heavier.....................  Maximum, 0.005 m\3\/m\3\....  ASTM D2163.
Propene..................................  Maximum, 0.1 m\3\/m\3\......  ASTM D2163.
Residual matter (residue on evaporation    Maximum, 0.05 ml pass\3\....  ASTM D2158.
 of 100 ml oil stain observation).
Corrosion, copper strip..................  Maximum, No. 1..............  ASTM D1838.
Sulfur...................................  Maximum, 80 mg/kg...........  ASTM D2784.
Moisture content.........................  pass........................  ASTM D2713.
----------------------------------------------------------------------------------------------------------------
\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.
\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.

[73 FR 37342, June 30, 2008, as amended at 79 FR 23811, Apr. 28, 2014]

[[Page 247]]



Sec.  1065.725  High-level ethanol-gasoline blends.

    For testing vehicles capable of operating on a high-level ethanol-
gasoline blend, create a test fuel as follows:
    (a) Add ethanol to an E10 fuel meeting the specifications described 
in Sec.  1065.710 until the ethanol content of the blended fuel is 
between 80 and 83 volume %.
    (b) You may alternatively add ethanol to a gasoline base fuel with 
no ethanol if you can demonstrate that such a base fuel blended with the 
proper amount of ethanol would meet all the specifications for E10 test 
fuel described in Sec.  1065.710, other than the ethanol content.
    (c) The ethanol used for blending must be either denatured ethanol 
meeting the specifications in 40 CFR 80.1610, or fuel-grade ethanol with 
no denaturant. Account for the volume of any denaturant when calculating 
volumetric percentages.
    (d) The blended test fuel must have a dry vapor pressure equivalent 
between 41.5 and 45.1 kPa (6.0 and 6.5 psi) when measured using the 
procedure specified in Sec.  1065.710. You may add commercial grade 
butane as needed to meet this specification.

[79 FR 23811, Apr. 28, 2014]



Sec.  1065.735  Diesel exhaust fluid.

    (a) Use commercially available diesel exhaust fluid that represents 
the product that will be used in your in-use engines.
    (b) Diesel exhaust fluid for testing must generally conform to the 
specifications referenced in the definition of ``diesel exhaust fluid'' 
in Sec.  1065.1001. Use marine-grade diesel exhaust fluid only for 
marine engines.

[81 FR 74191, Oct. 25, 2016]



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.



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 you 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 [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:

                    Table 1 of Sec.   1065.750--General Specifications for Purified Gases \1\
----------------------------------------------------------------------------------------------------------------
               Constituent                           Purified air                        Purified N2
----------------------------------------------------------------------------------------------------------------
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.

[[Page 248]]

 
N2O\2\...................................  <=0.02 [micro]mol/mol...........  <=0.02 [micro]mol/mol.
----------------------------------------------------------------------------------------------------------------
\1\ We do not require these levels of purity to be NIST-traceable.
\2\ The N2O limit applies only if the standard-setting part requires you to report N2O or certify to an N2O
  standard.

    (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 or N2, and a stated 
total hydrocarbon concentration of 0.05 [micro]mol/mol or less. For GC-
FIDs that measure methane (CH4) using a FID fuel that is 
balance N2, perform the CH4 measurement as 
described in SAE J1151 (incorporated by reference in Sec.  1065.1010).
    (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 CH4 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 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% of the NIST-accepted value or other gas 
standards we approve:
    (i) CH4, balance purified air and/or N2 (as 
applicable).
    (ii) C2H6, balance purified air and/or 
N2 (as applicable).
    (iii) C3H8, balance purified 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 air.
    (viii) O2, balance purified N2.
    (ix) C3H8, CO, CO2, NO, balance 
purified N2.
    (x) C3H8, CH4, CO, CO2, 
NO, balance purified N2.
    (xi) N2O, balance purified air and/or N2 (as 
applicable).
    (xii) CH4, C2H6, balance purified 
air and/or N2 (as applicable).
    (xiii) CH4, CH2O, CH2O2, 
C2H2, C2H4, 
C2H4O, C2H6, 
C3H8, C3H6, CH4O, 
and C4H10. You may omit individual gas 
constituents from this gas mixture. If your gas mixture contains 
oxygenated hydrocarbon, your gas mixture must be in balance purified 
N2, otherwise you may use balance purified air.
    (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

[[Page 249]]

traceable to within 3% 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 air. If your gas divider meets 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.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37343, June 30, 2008; 
74 FR 56518, Oct. 30, 2009; 75 FR 68465, Nov. 8, 2010; 76 FR 57467, 
Sept. 15, 2011; 79 FR 23811, Apr. 28, 2014; 81 FR 74191, Oct. 25, 2016]



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 highest calibration weight 
has no greater than ten times the mass of an unused PM-sample medium.
    (b) Dynamometer calibration weights. [Reserved]

[70 FR 40516, July 13, 2005, as amended at 76 FR 57467, Sept. 15, 2011]



                 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) Dilute engine exhaust, and use batch sampling to collect 
proportional flow-weighted dilute samples of the applicable alcohols and 
carbonyls. You

[[Page 250]]

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 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.
    (d) You may bubble a sample of the exhaust through water to collect 
alcohols for later analysis. You may also use a photoacoustic analyzer 
to quantify ethanol and methanol in an exhaust sample as described in 
Sec.  1065.269.
    (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 (40 CFR part 
1066, subpart G, for vehicle testing).
    (g) Use good engineering judgment to sample other oxygenated 
hydrocarbon compounds in the exhaust.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37343, June 30, 2008; 
79 FR 23812, Apr. 28, 2014]



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 (RFOHCi[THC-FID]) after FID optimization to 
subtract those responses from the FID reading. Use the most recently 
determined alcohol/carbonyl response factors to compensate for alcohol/
carbonyl response. You are not required to determine the response factor 
for a compound unless you will subtract its response to compensate for a 
response.
    (a) You may generate response factors as described in paragraph (b) 
of this section, or you may use the following default response factors, 
consistent with good engineering judgment:

 Table 1 of Sec.   1065.845--Default Values for THC FID Response Factor
              Relative to Propane on a C1-Equivalent Basis
------------------------------------------------------------------------
                                                         Response factor
                        Compound                               (RF)
------------------------------------------------------------------------
acetaldehyde...........................................             0.50
ethanol................................................             0.75
formaldehyde...........................................             0.00
methanol...............................................             0.63
propanol...............................................             0.85
------------------------------------------------------------------------

    (b) 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).

[[Page 251]]

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 on a 
C1-equivalent basis. The result is the FID analyzer's 
response factor for alcohol/carbonyl, RFOHCi[THC-FID] on a 
C1-equivalent basis.
    (c) 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.

[79 FR 23812, Apr. 28, 2014, as amended at 79 FR 36658, June 30, 2014]



Sec.  1065.850  Calculations.

    Use the calculations specified in Sec.  1065.665 to determine THCE 
or NMHCE and the calculations specified in 40 CFR 1066.635 to determine 
NMOG.

[79 FR 23813, Apr. 28, 2014]



    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 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:
    (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.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37344, June 30, 2008]

[[Page 252]]



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. Use 
good engineering judgment when testing with PEMS to ensure proper 
function of the instruments under test conditions. For example, this may 
require additional maintenance or calibration for field testing or may 
require verification after moving the PEMS unit.
    (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. Field testing may occur at any ambient temperature, 
pressure, and humidity unless otherwise specified in the standard-
setting part.
    (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?
    (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, with 
the exception of Sec. Sec.  1065.140(e)(1) and (4), 1065.170(c)(1)(vi), 
and 1065.195(c). Section 1065.910 identifies additional equipment that 
is specific to field testing.
    (i) For PM samples, configure dilution systems as follows:
    (A) Use good engineering judgment to control dilution air 
temperature. If you choose to directly and actively control dilution air 
temperature, set the temperature to 25 [deg]C.
    (B) Control sample temperature to a (32 to 62) [deg]C tolerance, as 
measured anywhere within 20 cm upstream or downstream of the PM storage 
media (such as a filter or oscillating crystal), where the tolerance 
applies only during sampling.
    (C) Maintain filter face velocity to a (5 to 100) cm/s tolerance for 
flow-through media. Compliance with this provision can be verified by 
engineering analysis. This provision does not apply for non-flow-through 
media.
    (ii) For inertial PM balances, there is no requirement to control 
the stabilization environment temperature or dewpoint.

[[Page 253]]

    (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. Sec.  
1065.740 and 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. 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:
    (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.
    (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. Sec.  
1065.740 and 1065.745.
    (10) Use the analytical gases and other calibration standards in 
Sec. Sec.  1065.750 and 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 Specified Outside of This Subpart J
----------------------------------------------------------------------------------------------------------------
                                                                     Applicability for
                                                                   laboratory or similar     Applicability for
              Subpart                  Applicability for field       testing with PEMS     laboratory or similar
                                             testing \1\            without restriction   testing with PEMS with
                                                                            \1\              restrictions \1\
----------------------------------------------------------------------------------------------------------------
A: Applicability and general         Use all....................  Use all...............  Use all.
 provisions.

[[Page 254]]

 
B: Equipment for testing...........  Use Sec.   1065.101 and      Use all...............  Use all. Sec.
                                      Sec.   1065.140 through                              1065.910 specifies
                                      the end of subpart B,                                equipment specific to
                                      except Sec.                                          laboratory testing
                                      1065.140(e)(1) and (4),                              with PEMS.
                                      Sec.   1065.170(c)(1)(vi),
                                      and Sec.   1065.195(c).
                                      Sec.   1065.910 specifies
                                      equipment specific to
                                      field testing.
C: Measurement instruments.........  Use all. Sec.   1065.915     Use all except Sec.     Use all except Sec.
                                      allows deviations.           1065.295(c).            1065.295(c). Sec.
                                                                                           1065.915 allows
                                                                                           deviations.
D: Calibrations and verifications..  Use all except Sec.          Use all...............  Use all. Sec.
                                      1065.308 and Sec.                                    1065.920 allows
                                      1065.309. Sec.   1065.920                            deviations, but also
                                      allows deviations, but                               has additional
                                      also has additional                                  specifications.
                                      specifications.
E: Test engine selection,            Do not use. Use standard-    Use all...............  Use all.
 maintenance, and durability.         setting part.
F: Running an emission test in the   Use Sec.  Sec.   1065.590    Use all...............  Use all.
 laboratory.                          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. Sec.   1065.940     Use all...............  Use all. Sec.
 requirements.                        has additional calculation                           1065.940 has
                                      instructions.                                        additional
                                                                                           calculation
                                                                                           instructions.
H: Fuels, engine fluids, analytical  Use all....................  Use all...............  Use all.
 gases, and other calibration
 materials.
I: Testing with oxygenated fuels...  Use all....................  Use all...............  Use all.
K: Definitions and reference         Use all....................  Use all...............  Use all.
 materials.
----------------------------------------------------------------------------------------------------------------
\1\ Refer to paragraphs (d) and (e) of this section for complete specifications.


[70 FR 40516, July 13, 2005, as amended at 73 FR 37344, June 30, 2008; 
75 FR 68465, Nov. 8, 2010; 79 FR 23813, Apr. 28, 2014]



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 Nomex \TM\ 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.

[[Page 255]]

    (3) Flow restriction. Use flow meters, 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, walk 
spaces, 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.

[73 FR 37344, June 30, 2008, as amended at 75 FR 23058, Apr. 30, 2010]



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.

                                 Table 1 of Sec.   1065.915--Recommended Minimum PEMS Measurement Instrument Performance
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                          Rise time,
                                     Measured quantity   t10	90, and    Recording update
           Measurement                    symbol          fall time,       frequency           Accuracy \1\      Repeatability \1\        Noise \1\
                                                            t90	10
--------------------------------------------------------------------------------------------------------------------------------------------------------
Engine speed transducer..........  fn..................          1 s  1 Hz means.........  5% of pt. or 1% of   2% of pt. or 1% of   0.5% of max.
                                                                                            max.                 max.

[[Page 256]]

 
Engine torque estimator, BSFC      T or BSFC...........          1 s  1 Hz means.........  8% of pt. or 5% of   2% of pt. or 1% of   1% of max.
 (This is a signal from an                                                                  max.                 max.
 engine's ECM).
General pressure transducer (not   p...................          5 s  1 Hz...............  5% of pt. or 5% of   2% of pt. or 0.5%    1% of max.
 a part of another instrument).                                                             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% of pt. K or 5 K.  0.5% of pt. K or 2   0.5% of max 0.5 K.
 part of another instrument).                                                                                    K.
General dewpoint sensor..........  Tdew................         50 s  0.1 Hz.............  3 K................  1 K................  1 K.
Exhaust flow meter...............  n...................          1 s  1 Hz means.........  5% of pt. or 3% of   2% of pt...........  2% of max.
                                                                                            max.
Dilution air, inlet air, exhaust,  n...................          1 s  1 Hz means.........  2.5% of pt. or 1.5%  1.25% of pt. or      1% of max.
 and sample flow meters.                                                                    of max.              0.75% of max.
Continuous gas analyzer..........  x...................          5 s  1 Hz...............  4% of pt. or 4% of   2% of pt. or 2% of   1% of max.
                                                                                            meas.                meas.
Gravimetric PM balance...........  mPM.................  ...........  ...................  See Sec.   1065.790  0.5 [micro]g.......
Inertial PM balance..............  mPM.................  ...........  ...................  4% of pt. or 4% of   2% of pt. or 2% of   1% of max.
                                                                                            meas.                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. 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) 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 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

[[Page 257]]

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.
    (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, brake-specific fuel consumption (BSFC, 
in units of mass of fuel per kW-hr), and fuel rate 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 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.
    (C) You may develop and use your own combination of ECM signals to 
determine BSFC.
    (iv) ECM fuel rate. Use the fuel rate signal directly from the ECM 
and chemical balance to determine the molar flow rate of exhaust. Use 
Sec.  1065.655(d) to determine the carbon mass fraction of fuel. You may 
alternatively develop and use your own combination of ECM signals to 
determine fuel mass flow rate.
    (v) Other ECM signals. You may ask to use other ECM signals for 
determining brake-specific emissions, such as 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

[[Page 258]]

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.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37344, June 30, 2008; 
73 FR 59342, Oct. 8, 2008; 75 FR 68466, Nov. 8, 2010; 76 FR 57467, Sept. 
15, 2011; 79 FR 23813, Apr. 28, 2014]



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 and updating-
recording verifications of Sec.  1065.308 and Sec.  1065.309 if it meets 
the overall verification described in paragraph (b) of this section or 
if it measures PM using any method other than that described in Sec.  
1065.170(c)(1). This section does not apply to ECM signals. Note that 
because the regulations of this part require you to use good engineering 
judgment, it may be necessary to perform additional verifications and 
analysis. It may also be necessary to limit the range of conditions 
under which the PEMS can be used or to include specific additional 
maintenance to ensure that it functions properly under the test 
conditions. As provided in 40 CFR 1068.5, we will deem your system to 
not meet the requirements of this section if we determine that you did 
not use good engineering judgment to verify the measurement equipment. 
We may also deem your system to meet these requirements only under 
certain test conditions. If we ask for it, you must send us a summary of 
your verifications. We may also ask you to provide additional 
information or analysis to support your conclusions.
    (b) Overall verification. This paragraph (b) specifies methods and 
criteria for verifying the overall performance of systems not fully 
compliant with requirements that apply for laboratory testing. Maintain 
records to show that the particular make, model, and configuration of 
your PEMS meets this verification. You may rely on data and other 
information from the PEMS manufacturer. However, we recommend that you 
generate your own records to show that your specific PEMS meets this 
verification. If you upgrade or change the configuration of your PEMS, 
your record must show that your new configuration meets this 
verification. The verification required by this section 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:
    (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:

[[Page 259]]

    (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) 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.
    (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) The PEMS passes the verification of this paragraph (b) if any 
one of the following are true for each constituent:
    (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.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37345, June 30, 2008; 
75 FR 68467, Nov. 8, 2010; 79 FR 23814, Apr. 28, 2014]



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.
    (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 before the start of the field test as follows:
    (1) Select the HC analyzer range 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 a FID, use the FID's 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 analyzer using span gas introduced at the analyzer 
port.
    (4) Overflow zero or ambient air at the HC probe inlet or into a tee 
near the probe outlet.
    (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

[[Page 260]]

prevent you from demonstrating compliance with the applicable emission 
standards.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37345, June 30, 2008; 
73 FR 59342, Oct. 8, 2008; 75 FR 68467, Nov. 8, 2010; 76 FR 57467, Sept. 
15, 2011]



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 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

[[Page 261]]

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.
    (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 emission 
results.
    (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 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.
    (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.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37345, June 30, 2008]



Sec.  1065.940  Emission calculations.

    (a) 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.
    (b) You may use a fixed molar mass for the diluted exhaust mixture 
for

[[Page 262]]

field testing. Determine this fixed value by engineering analysis.

[75 FR 68467, Nov. 8, 2010]



          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 
other parameter for the purpose of activating, modulating, delaying, or 
deactivating the operation of any part of the emission-control system.
    Average means the arithmetic mean of a sample.

[[Page 263]]

    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 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. Molar mass may also be expressed on a 
C1 basis. Note that calculating HC masses from molar 
concentrations and molar masses is only valid where they are each 
expressed on the same carbon basis.
    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''.
    Calibration gas means a purified gas mixture used to calibrate gas 
analyzers. Calibration gases must meet the specifications of Sec.  
1065.750. Note that calibration gases and span gases are qualitatively 
the same, but differ in terms of their primary function. Various 
performance verification checks for gas analyzers and sample handling 
components might refer to either calibration gases or span gases.
    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. (Note: An engine with an adjustable governor setting may 
be considered to operate at constant speed, subject to our approval. For 
such engines, the governor setting is considered an adjustable 
parameter.)
    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 Director, Compliance and 
Innovative Strategies Division (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.

[[Page 264]]

    Diesel exhaust fluid (DEF) means a liquid reducing agent (other than 
the engine fuel) used in conjunction with selective catalytic reduction 
to reduce NOX emissions. Diesel exhaust fluid is generally 
understood to be an aqueous solution of urea conforming to the 
specifications of ISO 18611 or ISO 22241.
    Dilution ratio (DR) means the amount of diluted exhaust per amount 
of undiluted exhaust.
    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 you zeroed and spanned 
the instrument just before the test.
    Duty cycle means one of the following:
    (1) 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. A series of speed and torque values meeting the 
definition of this paragraph (1) may also be considered a test cycle. 
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.
    (2) A set of weighting factors and the corresponding speed and 
torque values, where the weighting factors are used to combine the 
results of multiple test intervals into a composite result.
    Electric power generation application means an application whose 
purpose is to generate a precise frequency of electricity, which is 
characterized by an engine that controls engine speed very precisely. 
This would generally not apply to welders or portable home generators.
    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 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

[[Page 265]]

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 F1471 (incorporated by reference in Sec.  1065.1010).
    High-idle speed means the engine speed at which an engine governor 
function controls engine speed with operator demand at maximum and with 
zero load applied. ``Warm high-idle speed'' is the high-idle speed of a 
warmed-up engine.
    High-speed governor means any device, system, or element of design 
that modulates the engine output torque for the purpose of limiting the 
maximum engine speed.
    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, NMNEHC, NMOG, 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 particular engine from other similar engines.
    Idle speed means the engine speed at which an engine governor 
function controls engine speed with operator demand at minimum and with 
minimum load applied (greater than or equal to zero). 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. This definition does not apply for operation designated as 
``high-idle speed.'' ``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.
    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

[[Page 266]]

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.
    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 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.
    Nonmethane hydrocarbons (NMHC) means the sum of all hydrocarbon 
species except methane. Refer to Sec.  1065.660 for NMHC determination.
    Nonmethane nonethane hydrocarbon (NMNEHC) means the sum of all 
hydrocarbon species except methane and ethane. Refer to Sec.  1065.660 
for NMNEHC determination.
    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 of engine speed, fn, and engine 
torque, T.
    Oxides of nitrogen means NO and NO2 as measured by the 
procedures specified in Sec.  1065.270. 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 at least 25% 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.

[[Page 267]]

    Percent (%) means a representation of exactly 0.01. Numbers 
expressed as percentages in this part (such as a tolerance of 2%) have infinite precision, so 2% and 2.000000000% have 
the same meaning. This means that 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% of a span value where the 
span value is 101.3302 is 2.026604.
    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. See also the 
related definitions of noise and repeatability in this section.
    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\.
    Purified air means air meeting the specifications for purified air 
in Sec.  1065.750. Purified air may be produced by purifying ambient 
air. The purification may occur at the test site or at another location 
(such as at a gas supplier's facility). Alternatively, purified air may 
be synthetically generated, using good engineering judgment, from 
purified oxygen and nitrogen. The addition of other elements normally 
present in purified ambient air (such as Ar) is not required.
    Ramped-modal means relating to a ramped-modal type of steady-state 
test, as described in the standard-setting part.
    Recommend has the meaning given in Sec.  1065.201.
    Regression statistics means any of the regression statistics 
specified in Sec.  1065.602.
    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 apply the rounding convention specified in Sec.  
1065.20(e), 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.
    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

[[Page 268]]

value in the instrument range or expected range of use.
    Span gas means a purified gas mixture used to span gas analyzers. 
Span gases must meet the specifications of Sec.  1065.750. Note that 
calibration gases and span gases are qualitatively the same, but differ 
in terms of their primary function. Various performance verification 
checks for gas analyzers and sample handling components might refer to 
either calibration gases or span gases.
    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.
    t0-50 means the time interval of a measurement system's 
response after any step increase to the input between the following 
points:
    (1) The point at which the step change is initiated at the sample 
probe.
    (2) The point at which the response has risen 50% of the total 
amount it will rise in response to the step change.
    t100-50 means the time interval of a measurement system's 
response after any step decrease to the input between the following 
points:
    (1) The point at which the step change is initiated at the sample 
probe.
    (2) The point at which the response has fallen 50% of the total 
amount it will fall in response to the step change.
    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 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.
    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

[[Page 269]]

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.
    Transformation time, t50, means the overall system 
response time to any step change in input, generally the average of the 
time to reach 50% response to a step increase, t0-50, or to a 
step decrease, t100-50.
    Uncertainty means uncertainty with respect to NIST-traceability. See 
the definition of NIST-traceable in this section.
    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.
    Work has the meaning given in Sec.  1065.110.
    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.

[70 FR 40516, July 13, 2005, as amended at 73 FR 37346, June 30, 2008; 
73 FR 59342, Oct. 8, 2008; 74 FR 8428, Feb. 24, 2009; 74 FR 56518, Oct. 
30, 2009; 75 FR 23058, Apr. 30, 2010; 76 FR 57467, Sept. 15, 2011; 79 FR 
23814, Apr. 28, 2014; 81 FR 74191, Oct. 25, 2016]



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, which 
we incorporate by reference in Sec.  1065.1010. See Sec.  1065.20 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:

----------------------------------------------------------------------------------------------------------------
                                                                                           Units in terms of SI
    Symbol              Quantity                   Unit                 Unit symbol             base units
----------------------------------------------------------------------------------------------------------------
a.............  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.
ag............  acceleration of Earth's  meter per square second  m/s\2\................  m[middot]s-2.
                 gravity.
b.............  ratio of diameters.....  meter per meter........  m/m...................  1.
b.............  atomic oxygen-to-carbon  mole per mole..........  mol/mol...............  1.
                 ratio.
C............  number of carbon atoms
                 in a molecule.
Cd............  discharge coefficient..
Cf............  flow coefficient.......
d.............  atomic nitrogen-to-      mole per mole..........  mol/mol...............  1.
                 carbon ratio.
d.............  Diameter...............  meter..................  m.....................  m.
DR............  dilution ratio.........  mole per mole..........  mol/mol...............  1.
e.............  error between a
                 quantity and its
                 reference.
e.............  brake-specific emission  gram per kilowatt hour.  g/(kW[middot]hr)......  g[middot]3.6[middot]10-
                 or fuel consumption.                                                      6[middot];m-
                                                                                           2[middot]kg-
                                                                                           1[middot]s\2\.
F.............  F-test statistic.......
f.............  frequency..............  hertz..................  Hz....................  s-1.

[[Page 270]]

 
fn............  angular speed (shaft)..  revolutions per minute.  r/min.................  [pi][middot]30-
                                                                                           1[middot]s-1.
g.............  ratio of specific heats  (joule per kilogram      (J/(kg[middot]K))/(J/   1.
                                          kelvin) per (joule per   (kg[middot]K)).
                                          kilogram kelvin).
g.............  atomic sulfur-to-carbon  mole per mole..........  mol/mol...............  1.
                 ratio.
K.............  correction factor......  .......................  ......................  1.
Kv............  calibration coefficient  .......................  m\4\[middot];s[middot]  m\4\[middot]kg-
                                                                   K\0.5\/kg.              1s[middot]K\0.5\.
l.............  length.................  meter..................  m.....................  m.
m.............  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]mo
                                                                                           l-1.
m.............  mass...................  kilogram...............  kg....................  kg.
m.............  mass rate..............  kilogram per second....  kg/s..................  kg[middot]s-1.
n.............  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.ROW
n.............  amount of substance      mole per second........  mol/s.................  mol[middot]s-1.
                 rate.
P.............  power..................  kilowatt...............  kW....................  10\3\[middot]m\2\[midd
                                                                                           ot]kg[middot]s-3.
PF............  penetration fraction...
p.............  pressure...............  pascal.................  Pa....................  m-1[middot]kg[middot]s-
                                                                                           2.
r.............  mass density...........  kilogram per cubic       kg/m\3\...............  m-3[middot]kg.
                                          meter.
D.............  differential static      pascal.................  Pa....................  m-1[middot]kg[middot]s-
                 pressure.                                                                 2.
r.............  ratio of pressures.....  pascal per pascal......  Pa/Pa.................  1.
r\2\..........  coefficient of
                 determination.
Ra............  average surface          micrometer.............  [micro]m..............  10-6[middot]m.
                 roughness.
Re...........  Reynolds number........
RF............  response factor........
RH............  relative humidity......
s.............  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[middot]
                 force).                                                                   s-2.
[thgr]........  plane angle............  degrees................  [deg].................  rad.
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]hr..........  3.6-
                                                                                           1[middot]10\6\[middot
                                                                                           ]m\2\[middot]kg[middo
                                                                                           t]s-2.
wC............  carbon mass fraction...  gram per gram..........  g/g...................  1.
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.......
Z.............  compressibility factor.
----------------------------------------------------------------------------------------------------------------
\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.

    (b) Symbols for chemical species. This part uses the following 
symbols for chemical species and exhaust constituents:

------------------------------------------------------------------------
                Symbol                              Species
------------------------------------------------------------------------
Ar...................................  argon.
C....................................  carbon.
CH2O.................................  formaldehyde.
CH2O2................................  formic acid.
CH3OH................................  methanol.
CH4..................................  methane.
C2H4O................................  acetaldehyde.
C2H5OH...............................  ethanol.
C2H6.................................  ethane.
C3H7OH...............................  propanol.
C3H8.................................  propane.
C4H10................................  butane.
C5H12................................  pentane.
CO...................................  carbon monoxide.
CO2..................................  carbon dioxide.
H....................................  atomic hydrogen.
H2...................................  molecular hydrogen.
H2O..................................  water.
H2SO4................................  sulfuric acid.
HC...................................  hydrocarbon.
He...................................  helium.
\85\Kr...............................  krypton 85.
N2...................................  molecular nitrogen.
NH3..................................  ammonia.
NMHC.................................  nonmethane hydrocarbon.
NMHCE................................  nonmethane hydrocarbon
                                        equivalent.
NMNEHC...............................  nonmethane-nonethane hydrocarbon.
NO...................................  nitric oxide.
NO2..................................  nitrogen dioxide.
NOX..................................  oxides of nitrogen.
N2O..................................  nitrous oxide.
NMOG.................................  nonmethane organic gases.
NONMHC...............................  non-oxygenated nonmethane
                                        hydrocarbon.
NOTHC................................  non-oxygenated total hydrocarbon.
O2...................................  molecular oxygen.

[[Page 271]]

 
OHC..................................  oxygenated hydrocarbon.
\210\Po..............................  polonium 210.
PM...................................  particulate matter.
S....................................  sulfur.
SVOC.................................  semi-volatile organic compound.
THC..................................  total hydrocarbon.
THCE.................................  total hydrocarbon equivalent.
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 y)...............  arithmetic mean.
overdot (such as y)...............  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.
amb...............................  ambient.
atmos.............................  atmospheric.
bkgnd.............................  background.
cal...............................  calibration quantity.
CFV...............................  critical flow venturi.
comb..............................  combined.
composite.........................  composite value.
cor...............................  corrected quantity.
dil...............................  dilution air.
dew...............................  dewpoint.
dexh..............................  diluted exhaust.
dry...............................  dry condition.
dutycycle.........................  duty cycle.
exh...............................  raw exhaust.
exp...............................  expected quantity.
fn................................  feedback speed.
frict.............................  friction.
fuel..............................  fuel consumption.
hi, idle..........................  condition at high-idle.
i.................................  an individual of a series.
idle..............................  condition at idle.
in................................  quantity in.
init..............................  initial quantity, typically before
                                     an emission test.
int...............................  intake air.
j.................................  an individual of a series.
mapped............................  conditions over which an engine can
                                     operate.
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.
media.............................  PM sample media.
mix...............................  mixture of diluted exhaust and air.
norm..............................  normalized.
out...............................  quantity out.
P.................................  power.
part..............................  partial quantity.
PDP...............................  positive-displacement pump.
post..............................  after the test interval.
pre...............................  before the test interval.
prod..............................  stoichiometric product.
record............................  record rate.
ref...............................  reference quantity.
rev...............................  revolution.
sat...............................  saturated condition.
s.................................  slip.
span..............................  span quantity.
SSV...............................  subsonic venturi.
std...............................  standard condition.
stroke............................  engine strokes per power stroke.
T.................................  torque.
test..............................  test quantity.
test, alt.........................  alternate test quantity.
uncor.............................  uncorrected quantity.
vac...............................  vacuum side of the sampling system.
weight............................  calibration weight.
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             0.00934
                               air.
xCO2air.....................  amount of carbon                  0.000375
                               dioxide in dry air.
xN2air......................  amount of nitrogen in              0.78084
                               dry air.
xO2air......................  amount of oxygen in               0.209445
                               dry air.
------------------------------------------------------------------------

    (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               28.96559
                           \1\.
MAr.....................  molar mass of argon..                 39.948
MC......................  molar mass of carbon.                12.0107
MCH3OH..................  molar mass of                       32.04186
                           methanol.
MC2H5OH.................  molar mass of ethanol               46.06844
MC2H4O..................  molar mass of                       44.05256
                           acetaldehyde.
MCH4N2O.................  molar mass of urea...               60.05526
MC3H8...................  molar mass of propane               44.09562

[[Page 272]]

 
MC3H7OH.................  molar mass of                       60.09502
                           propanol.
MCO.....................  molar mass of carbon                 28.0101
                           monoxide.
MCH4....................  molar mass of methane                16.0425
MCO2....................  molar mass of carbon                 44.0095
                           dioxide.
MH......................  molar mass of atomic                 1.00794
                           hydrogen.
MH2.....................  molar mass of                        2.01588
                           molecular hydrogen.
MH2O....................  molar mass of water..               18.01528
MCH2O...................  molar mass of                       30.02598
                           formaldehyde.
MHe.....................  molar mass of helium.               4.002602
MN......................  molar mass of atomic                 14.0067
                           nitrogen.
MN2.....................  molar mass of                        28.0134
                           molecular nitrogen.
MNH3....................  molar mass of ammonia               17.03052
MNMHC...................  effective C1 molar                 13.875389
                           mass of nonmethane
                           hydrocarbon \2\.
MNMHCE..................  effective C1 molar                 13.875389
                           mass of nonmethane
                           hydrocarbon
                           equivalent \2\.
MNMNEHC.................  effective C1 molar                 13.875389
                           mass of nonmethane-
                           nonethane
                           hydrocarbon \2\.
MNOx....................  effective molar mass                 46.0055
                           of oxides of
                           nitrogen \3\.
MN2O....................  molar mass of nitrous                44.0128
                           oxide.
MO......................  molar mass of atomic                 15.9994
                           oxygen.
MO2.....................  molar mass of                        31.9988
                           molecular oxygen.
MS......................  molar mass of sulfur.                 32.065
MTHC....................  effective C1 molar                 13.875389
                           mass of total
                           hydrocarbon \2\.
MTHCE...................  effective C1 molar                 13.875389
                           mass of 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, NMHCE, and NMNEHC are
  defined on a C1 basis and are based on an atomic hydrogen-to-carbon
  ratio, a, of 1.85 (with b, g, and d equal to zero).
\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)
                                                       (m\2\ [middot] kg
           Symbol                    Quantity            [middot] s-2
                                                        [middot] 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]
           Symbol                    Quantity             K)]/[J/(kg
                                                         [middot] K)]
------------------------------------------------------------------------
gair........................  ratio of specific                    1.399
                               heats for intake air
                               or dilution air.
gdil........................  ratio of specific                    1.399
                               heats for diluted
                               exhaust.
gexh........................  ratio of specific                    1.385
                               heats for raw exhaust.
------------------------------------------------------------------------

    (g) Other acronyms and abbreviations. This part uses the following 
additional abbreviations and acronyms:

------------------------------------------------------------------------
 
------------------------------------------------------------------------
ABS...............................  acrylonitrile-butadiene-styrene.
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.
e.g...............................  for example.
EGR...............................  exhaust gas recirculation.
EPA...............................  Environmental Protection Agency.
FEL...............................  Family Emission Limit.
FID...............................  flame-ionization detector.
FTIR..............................  Fourier transform infrared.
GC................................  gas chromatograph.
GC-ECD............................  gas chromatograph with an electron-
                                     capture detector.
GC-FID............................  gas chromatograph with a flame
                                     ionization detector.
HEPA..............................  high-efficiency particulate air.
IBP...............................  initial boiling point.
IBR...............................  incorporated by reference.
i.e...............................  in other words.
ISO...............................  International Organization for
                                     Standardization.
LPG...............................  liquefied petroleum gas.
MPD...............................  magnetopneumatic detection.
NDIR..............................  nondispersive infrared.
NDUV..............................  nondispersive ultraviolet.
NIST..............................  National Institute for Standards and
                                     Technology.
NMC...............................  nonmethane cutter.
PDP...............................  positive-displacement pump.
PEMS..............................  portable emission measurement
                                     system.
PFD...............................  partial-flow dilution.
PLOT..............................  porous layer open tubular.
PMD...............................  paramagnetic detection.
PMP...............................  Polymethylpentene.
pt................................  a single point at the mean value
                                     expected at the standard.
psi...............................  pounds per square inch.

[[Page 273]]

 
PTFE..............................  polytetrafluoroethylene (commonly
                                     known as Teflon \TM\).
RE................................  rounding error.
RESS..............................  rechargeable energy storage system.
RFPF..............................  response factor penetration
                                     fraction.
RMC...............................  ramped-modal cycle.
rms...............................  root-mean square.
RTD...............................  resistive temperature detector.
SAW...............................  surface acoustic wave.
SEE...............................  standard estimate of error.
SSV...............................  subsonic venturi.
SI................................  spark-ignition.
THC-FID...........................  total hydrocarbon flame ionization
                                     detector.
TINV..............................  inverse student t-test function in
                                     Microsoft Excel.
UCL...............................  upper confidence limit.
UFM...............................  ultrasonic flow meter.
U.S.C.............................  United States Code.
------------------------------------------------------------------------


[79 FR 23815, Apr. 28, 2014, as amended at 81 FR 74191, Oct. 25, 2016]



Sec.  1065.1010  Incorporation by reference.

    (a) Certain material is incorporated by reference into this part 
with the approval of the Director of the Federal Register under 5 U.S.C. 
552(a) and 1 CFR part 51. To enforce any edition other than that 
specified in this section, a document must be published in the Federal 
Register and the material must be available to the public. All approved 
materials are available for inspection at the Air and Radiation Docket 
and Information Center (Air Docket) in the EPA Docket Center (EPA/DC) at 
Rm. 3334, EPA West Bldg., 1301 Constitution Ave. NW., Washington, DC. 
The EPA/DC Public Reading Room hours of operation are 8:30 a.m. to 4:30 
p.m., Monday through Friday, excluding legal holidays. The telephone 
number of the EPA/DC Public Reading Room is (202) 566-1744, and the 
telephone number for the Air Docket is (202) 566-1742. These approved 
materials are also 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. In addition, these materials are available from the 
sources listed below.
    (b) ASTM material. The following standards are available from ASTM 
International, 100 Barr Harbor Dr., P.O. Box C700, West Conshohocken, PA 
19428-2959, (877) 909-2786, or http://www.astm.org:

    (1) ASTM D86-12, Standard Test Method for Distillation of Petroleum 
Products at Atmospheric Pressure, approved December 1, 2012 (``ASTM 
D86''), IBR approved for Sec. Sec.  1065.703(b) and 1065.710(b) and (c).
    (2) ASTM D93-13, Standard Test Methods for Flash Point by Pensky-
Martens Closed Cup Tester, approved July 15, 2013 (``ASTM D93''), IBR 
approved for Sec.  1065.703(b).
    (3) ASTM D130-12, Standard Test Method for Corrosiveness to Copper 
from Petroleum Products by Copper Strip Test, approved November 1, 2012 
(``ASTM D130''), IBR approved for Sec.  1065.710(b).
    (4) ASTM D381-12, Standard Test Method for Gum Content in Fuels by 
Jet Evaporation, approved April 15, 2012 (``ASTM D381''), IBR approved 
for Sec.  1065.710(b).
    (5) ASTM D445-12, Standard Test Method for Kinematic Viscosity of 
Transparent and Opaque Liquids (and Calculation of Dynamic Viscosity), 
approved April 15, 2012 (``ASTM D445''), IBR approved for Sec.  
1065.703(b).
    (6) ASTM D525-12a, Standard Test Method for Oxidation Stability of 
Gasoline (Induction Period Method), approved September 1, 2012 (``ASTM 
D525''), IBR approved for Sec.  1065.710(b).
    (7) ASTM D613-13, Standard Test Method for Cetane Number of Diesel 
Fuel Oil, approved December 1, 2013 (``ASTM D613''), IBR approved for 
Sec.  1065.703(b).
    (8) ASTM D910-13a, Standard Specification for Aviation Gasolines, 
approved December 1, 2013 (``ASTM D910''), IBR approved for Sec.  
1065.701(f).
    (9) ASTM D975-13a, Standard Specification for Diesel Fuel Oils, 
approved December 1, 2013 (``ASTM D975''), IBR approved for Sec.  
1065.701(f).
    (10) ASTM D1267-12, Standard Test Method for Gage Vapor Pressure of 
Liquefied Petroleum (LP) Gases (LP-Gas Method), approved November 1, 
2012 (``ASTM D1267''), IBR approved for Sec.  1065.720(a).
    (11) ASTM D1319-13, Standard Test Method for Hydrocarbon Types in 
Liquid Petroleum Products by Fluorescent Indicator Adsorption, approved 
May 1, 2013 (``ASTM D1319''), IBR approved for Sec.  1065.710(c).
    (12) ASTM D1655-13a, Standard Specification for Aviation Turbine 
Fuels, approved December 1, 2013 (``ASTM D1655''), IBR approved for 
Sec.  1065.701(f).
    (13) ASTM D1837-11, Standard Test Method for Volatility of Liquefied 
Petroleum (LP) Gases, approved October 1, 2011 (``ASTM D1837''), IBR 
approved for Sec.  1065.720(a).
    (14) ASTM D1838-12a, Standard Test Method for Copper Strip Corrosion 
by Liquefied Petroleum (LP) Gases, approved December 1, 2012 (``ASTM 
D1838''), IBR approved for Sec.  1065.720(a).
    (15) ASTM D1945-03 (Reapproved 2010), Standard Test Method for 
Analysis of Natural Gas by Gas Chromatography, approved

[[Page 274]]

January 1, 2010 (``ASTM D1945''), IBR approved for Sec.  1065.715(a).
    (16) ASTM D2158-11, Standard Test Method for Residues in Liquefied 
Petroleum (LP) Gases, approved January 1, 2011 (``ASTM D2158''), IBR 
approved for Sec.  1065.720(a).
    (17) ASTM D2163-07, Standard Test Method for Determination of 
Hydrocarbons in Liquefied Petroleum (LP) Gases and Propane/Propene 
Mixtures by Gas Chromatography, approved December 1, 2007 (``ASTM 
D2163''), IBR approved for Sec.  1065.720(a).
    (18) ASTM D2598-12, Standard Practice for Calculation of Certain 
Physical Properties of Liquefied Petroleum (LP) Gases from Compositional 
Analysis, approved November 1, 2012 (``ASTM D2598''), IBR approved for 
Sec.  1065.720(a).
    (19) ASTM D2622-10, Standard Test Method for Sulfur in Petroleum 
Products by Wavelength Dispersive X-ray Fluorescence Spectrometry, 
approved February 15, 2010 (``ASTM D2622''), IBR approved for Sec. Sec.  
1065.703(b) and 1065.710(b) and (c).
    (20) ASTM D2699-13b, Standard Test Method for Research Octane Number 
of Spark-Ignition Engine Fuel, approved October 1, 2013 (``ASTM 
D2699''), IBR approved for Sec.  1065.710(b).
    (21) ASTM D2700-13b, Standard Test Method for Motor Octane Number of 
Spark-Ignition Engine Fuel, approved October 1, 2013 (``ASTM D2700''), 
IBR approved for Sec.  1065.710(b).
    (22) ASTM D2713-13, Standard Test Method for Dryness of Propane 
(Valve Freeze Method), approved October 1, 2013 (``ASTM D2713''), IBR 
approved for Sec.  1065.720(a).
    (23) ASTM D2784-11, Standard Test Method for Sulfur in Liquefied 
Petroleum Gases (Oxy-Hydrogen Burner or Lamp), approved January 1, 2011 
(``ASTM D2784''), IBR approved for Sec.  1065.720(a).
    (24) ASTM D2880-13b, Standard Specification for Gas Turbine Fuel 
Oils, approved November 15, 2013 (``ASTM D2880''), IBR approved for 
Sec.  1065.701(f).
    (25) ASTM D2986-95a, Standard Practice for Evaluation of Air Assay 
Media by the Monodisperse DOP (Dioctyl Phthalate) Smoke Test, approved 
September 10, 1995 (``ASTM D2986''), IBR approved for Sec.  1065.170(c). 
(Note: This standard was withdrawn by ASTM.)
    (26) ASTM D3231-13, Standard Test Method for Phosphorus in Gasoline, 
approved June 15, 2013 (``ASTM D3231''), IBR approved for Sec.  
1065.710(b) and (c).
    (27) ASTM D3237-12, Standard Test Method for Lead in Gasoline By 
Atomic Absorption Spectroscopy, approved June 1, 2012 (``ASTM D3237''), 
IBR approved for Sec.  1065.710(b) and (c).
    (28) ASTM D4052-11, Standard Test Method for Density, Relative 
Density, and API Gravity of Liquids by Digital Density Meter, approved 
October 15, 2011 (``ASTM D4052''), IBR approved for Sec.  1065.703(b).
    (29) ASTM D4629-12, Standard Test Method for Trace Nitrogen in 
Liquid Petroleum Hydrocarbons by Syringe/Inlet Oxidative Combustion and 
Chemiluminescence Detection, approved April 15, 2012 (``ASTM D4629''), 
IBR approved for Sec.  1065.655(e).
    (30) ASTM D4814-13b, Standard Specification for Automotive Spark-
Ignition Engine Fuel, approved December 1, 2013 (``ASTM D4814''), IBR 
approved for Sec.  1065.701(f).
    (31) ASTM D4815-13, Standard Test Method for Determination of MTBE, 
ETBE, TAME, DIPE, tertiary-Amyl Alcohol and C1 to 
C4 Alcohols in Gasoline by Gas Chromatography, approved 
October 1, 2013 (``ASTM D4815''), IBR approved for Sec.  1065.710(b).
    (32) ASTM D5186-03 (Reapproved 2009), Standard Test Method for 
Determination of the Aromatic Content and Polynuclear Aromatic Content 
of Diesel Fuels and Aviation Turbine Fuels By Supercritical Fluid 
Chromatography, approved April 15, 2009 (``ASTM D5186''), IBR approved 
for Sec.  1065.703(b).
    (33) ASTM D5191-13, Standard Test Method for Vapor Pressure of 
Petroleum Products (Mini Method), approved December 1, 2013 (``ASTM 
D5191''), IBR approved for Sec.  1065.710(b) and (c).
    (34) ASTM D5291-10, Standard Test Methods for Instrumental 
Determination of Carbon, Hydrogen, and Nitrogen in Petroleum Products 
and Lubricants, approved May 1, 2010 (``ASTM D5291''), IBR approved for 
Sec.  1065.655(e).
    (35) ASTM D5453-12, Standard Test Method for Determination of Total 
Sulfur in Light Hydrocarbons, Spark Ignition Engine Fuel, Diesel Engine 
Fuel, and Engine Oil by Ultraviolet Fluorescence, approved November 1, 
2012 (``ASTM D5453''), IBR approved for Sec.  1065.710(b).
    (36) ASTM D5599-00 (Reapproved 2010), Standard Test Method for 
Determination of Oxygenates in Gasoline by Gas Chromatography and Oxygen 
Selective Flame Ionization Detection, approved October 1, 2010 (``ASTM 
D5599''), IBR approved for Sec. Sec.  1065.655(e) and 1065.710(b).
    (37) ASTM D5762-12 Standard Test Method for Nitrogen in Petroleum 
and Petroleum Products by Boat-Inlet Chemiluminescence, approved April 
15, 2012 (``ASTM D5762''), IBR approved for Sec.  1065.655(e).
    (38) ASTM D5769-10, Standard Test Method for Determination of 
Benzene, Toluene, and Total Aromatics in Finished Gasolines by Gas 
Chromatography/Mass Spectrometry, approved May 1, 2010 (``ASTM D5769''), 
IBR approved for Sec.  1065.710(b).
    (39) ASTM D5797-13, Standard Specification for Fuel Methanol (M70- 
M85) for Automotive Spark-Ignition Engines, approved June 15, 2013 
(``ASTM D5797''), IBR approved for Sec.  1065.701(f).
    (40) ASTM D5798-13a, Standard Specification for Ethanol Fuel Blends 
for Flexible Fuel Automotive Spark-Ignition Engines,

[[Page 275]]

approved June 15, 2013 (``ASTM D5798''), IBR approved for Sec.  
1065.701(f).
    (41) ASTM D6348-12 [egr]1, Standard Test Method for Determination of 
Gaseous Compounds by Extractive Direct Interface Fourier Transform 
Infrared (FTIR) Spectroscopy, approved February 1, 2012 (``ASTM 
D6348''), IBR approved for Sec. Sec.  1065.266(b) and 1065.275(b).
    (42) ASTM D6550-10, Standard Test Method for Determination of Olefin 
Content of Gasolines by Supercritical-Fluid Chromatography, approved 
October 1, 2010 (``ASTM D6550''), IBR approved for Sec.  1065.710(b).
    (43) ASTM D6615-11a, Standard Specification for Jet B Wide-Cut 
Aviation Turbine Fuel, approved October 1, 2011 (``ASTM D6615''), IBR 
approved for Sec.  1065.701(f).
    (44) ASTM D6751-12, Standard Specification for Biodiesel Fuel Blend 
Stock (B100) for Middle Distillate Fuels, approved August 1, 2012 
(``ASTM D6751''), IBR approved for Sec.  1065.701(f).
    (45) ASTM D6985-04a, Standard Specification for Middle Distillate 
Fuel Oil--Military Marine Applications, approved November 1, 2004 
(``ASTM D6985''), IBR approved for Sec.  1065.701(f). (Note: This 
standard was withdrawn by ASTM.)
    (46) ASTM D7039-13, Standard Test Method for Sulfur in Gasoline, 
Diesel Fuel, Jet Fuel, Kerosine, Biodiesel, Biodiesel Blends, and 
Gasoline-Ethanol Blends by Monochromatic Wavelength Dispersive X-ray 
Fluorescence Spectrometry, approved September 15, 2013 (``ASTM D7039''), 
IBR approved for Sec.  1065.710(b).
    (47) ASTM F1471-09, Standard Test Method for Air Cleaning 
Performance of a High- Efficiency Particulate Air Filter System, 
approved March 1, 2009 (``ASTM F1471''), IBR approved for Sec.  
1065.1001.
    (c) California Air Resources Board material. The following documents 
are available from the California Air Resources Board, Haagen-Smit 
Laboratory, 9528 Telstar Ave., El Monte, CA 91731-2908, (800) 242-4450, 
or http://www.arb.ca.gov:
    (1) California Non-Methane Organic Gas Test Procedures, Amended July 
30, 2002, Mobile Source Division, California Air Resources Board, IBR 
approved for Sec.  1065.805(f).
    (2) [Reserved]
    (d) Institute of Petroleum material. The following documents are 
available from the Energy Institute, 61 New Cavendish St., London, W1G 
7AR, UK, or by calling + 44-(0)20-7467-7100, or at http://
www.energyinst.org:
    (1) IP-470, 2005, Determination of aluminum, silicon, vanadium, 
nickel, iron, calcium, zinc, and sodium in residual fuels by atomic 
absorption spectrometry, IBR approved for Sec.  1065.705(b).
    (2) IP-500, 2003, Determination of the phosphorus content of 
residual fuels by ultra-violet spectrometry, IBR approved for Sec.  
1065.705(b).
    (3) IP-501, 2005, Determination of aluminum, silicon, vanadium, 
nickel, iron, sodium, calcium, zinc and phosphorus in residual fuel oil 
by ashing, fusion and inductively coupled plasma emission spectrometry, 
IBR approved for Sec.  1065.705(b).
    (e) ISO material. The following standards are available from the 
International Organization for Standardization, 1, ch. de la Voie-
Creuse, CP 56, CH-1211 Geneva 20, Switzerland, 41-22-749-01-11, or 
http://www.iso.org:

    (1) ISO 2719:2002, Determination of flash point--Pensky-Martens 
closed cup method (``ISO 2719''), IBR approved for Sec.  1065.705(c).
    (2) ISO 3016:1994, Petroleum products--Determination of pour point 
(``ISO 3016''), IBR approved for Sec.  1065.705(c).
    (3) ISO 3104:1994/Cor 1:1997, Petroleum products--Transparent and 
opaque liquids--Determination of kinematic viscosity and calculation of 
dynamic viscosity (``ISO 3104''), IBR approved for Sec.  1065.705(c).
    (4) ISO 3675:1998, Crude petroleum and liquid petroleum products--
Laboratory determination of density--Hydrometer method (``ISO 3675''), 
IBR approved for Sec.  1065.705(c).
    (5) ISO 3733:1999, Petroleum products and bituminous materials--
Determination of water--Distillation method (``ISO 3733''), IBR approved 
for Sec.  1065.705(c).
    (6) ISO 6245:2001, Petroleum products--Determination of ash (``ISO 
6245''), IBR approved for Sec.  1065.705(c).
    (7) ISO 8217:2012(E), Petroleum products--Fuels (class F)--
Specifications of marine fuels, Fifth edition, August 15, 2012 (``ISO 
8217''), IBR approved for Sec.  1065.705(b) and (c).
    (8) ISO 8754:2003, Petroleum products--Determination of sulfur 
content--Energy-dispersive X-ray Fluorescence spectrometry (``ISO 
8754''), IBR approved for Sec.  1065.705(c).
    (9) ISO 10307-2(E):2009, Petroleum products--Total sediment in 
residual fuel oils--Part 2: Determination using standard procedures for 
ageing, Second Ed., February 1, 2009 (``ISO 10307''), as modified by ISO 
10307-2:2009/Cor.1:2010(E), Technical Corrigendum 1, published May 15, 
2010, IBR approved for Sec.  1065.705(c).
    (10) ISO 10370:1993/Cor 1:1996, Petroleum products--Determination of 
carbon residue--Micro method (``ISO 10370''), IBR approved for Sec.  
1065.705(c).
    (11) ISO 10478:1994, Petroleum products--Determination of aluminium 
and silicon in

[[Page 276]]

fuel oils--Inductively coupled plasma emission and atomic absorption 
spectroscopy methods (``ISO 10478''), IBR approved for Sec.  
1065.705(c).
    (12) ISO 12185:1996/Cor 1:2001, Crude petroleum and petroleum 
products--Determination of density--Oscillating U-tube method (``ISO 
12185''), IBR approved for Sec.  1065.705(c).
    (13) ISO 14596:2007, Petroleum products--Determination of sulfur 
content--Wavelength-dispersive X-ray fluorescence spectrometry (``ISO 
14596''), IBR approved for Sec.  1065.705(c).
    (14) ISO 14597:1997, Petroleum products--Determination of vanadium 
and nickel content--Wavelength dispersive X-ray fluorescence 
spectrometry (``ISO 14597''), IBR approved for Sec.  1065.705(c).
    (15) ISO 14644-1:1999, Cleanrooms and associated controlled 
environments (``ISO 14644''), IBR approved for Sec.  1065.190(b).
    (f) NIST material. The following documents are available from 
National Institute of Standards and Technology, 100 Bureau Drive, Stop 
1070, Gaithersburg, MD 20899-1070, (301) 975-6478, or www.nist.gov:
    (1) NIST Special Publication 811, 2008 Edition, Guide for the Use of 
the International System of Units (SI), March 2008, IBR approved for 
Sec. Sec.  1065.20(a) and 1065.1005.
    (2) NIST Technical Note 1297, 1994 Edition, Guidelines for 
Evaluating and Expressing the Uncertainty of NIST Measurement Results, 
IBR approved for Sec.  1065.1001.
    (g) SAE International material. The following standards are 
available from SAE International, 400 Commonwealth Dr., Warrendale, PA 
15096-0001, (724) 776-4841, or http://www.sae.org:
    (1) SAE 770141, 1977, Optimization of Flame Ionization Detector for 
Determination of Hydrocarbon in Diluted Automotive Exhausts, Glenn D. 
Reschke, IBR approved for Sec.  1065.360(c).
    (2) SAE J1151, Methane Measurement Using Gas Chromatography, 
stabilized September 2011, IBR approved for Sec. Sec.  1065.267(b) and 
1065.750(a).

[79 FR 23818, Apr. 28, 2014, as amended at 81 FR 74193, Oct. 25, 2016]



        Subpart L_Methods for Unregulated and Special Pollutants

    Source: 79 FR 23820, Apr. 28, 2014, unless otherwise noted.



Sec.  1065.1101  Applicability.

    This subpart specifies procedures that may be used to measure 
emission constituents that are not measured (or not separately measured) 
by the test procedures in the other subparts of this part. These 
procedures are included to facilitate consistent measurement of 
unregulated pollutants for purposes other than compliance with emission 
standards. Unless otherwise specified in the standard-setting part, use 
of these procedures is optional and does not replace any requirements in 
the rest of this part.

                     Semi-Volatile Organic Compounds



Sec.  1065.1103  General provisions for SVOC measurement.

    The provisions of Sec. Sec.  1065.1103 through 1065.1111 specify 
procedures for measuring semi-volatile organic compounds (SVOC) along 
with PM. These sections specify how to collect a sample of the SVOCs 
during exhaust emission testing, as well as how to use wet chemistry 
techniques to extract SVOCs from the sample media for analysis. Note 
that the precise method you use will depend on the category of SVOCs 
being measured. For example, the method used to measure polynuclear 
aromatic hydrocarbons (PAHs) will differ slightly from the method used 
to measure dioxins. Follow standard analytic chemistry methods for any 
aspects of the analysis that are not specified.
    (a) Laboratory cleanliness is especially important throughout SVOC 
testing. Thoroughly clean all sampling system components and glassware 
before testing to avoid sample contamination. For the purposes of this 
subpart, the sampling system is defined as sample pathway from the 
sample probe inlet to the downstream most point where the sample is 
captured (in this case the condensate trap).
    (b) We recommend that media blanks be analyzed for each batch of 
sample media (sorbent, filters, etc.) prepared for testing. Blank 
sorbent modules (i.e., field blanks) should be stored in a sealed 
environment and should periodically accompany the test sampling system 
throughout the course of a test, including sampling system and sorbent

[[Page 277]]

module disassembly, sample packaging, and storage. Use good engineering 
judgment to determine the frequency with which you should generate field 
blanks. The field blank sample should be close to the sampler during 
testing.
    (c) We recommend the use of isotope dilution techniques, including 
the use of isotopically labeled surrogate, internal, alternate, and 
injection standards.
    (d) If your target analytes degrade when exposed to ultraviolet 
radiation, such as nitropolynuclear aromatic hydrocarbons (nPAHs), 
perform these procedures in the dark or with ultraviolet filters 
installed over the lights.
    (e) The following definitions and abbreviations apply for SVOC 
measurements:
    (1) Soxhlet extraction means the extraction method invented by Franz 
von Soxhlet, in which the sample is placed in a thimble and rinsed 
repeatedly with a recycle of the extraction solvent.
    (2) XAD-2 means a hydrophobic crosslinked polystyrene copolymer 
resin adsorbent known commercially as Amberlite[supreg] XAD[supreg]-2, 
or an equivalent adsorbent like XAD-4.
    (3) Semi-volatile organic compound (SVOC) means an organic compound 
that is sufficiently volatile to exist in vapor form in engine exhaust, 
but that readily condenses to liquid or solid form under atmospheric 
conditions. Most SVOCs have at least 14 carbon atoms per molecule or 
they have a boiling point between (240 and 400) [deg]C. SVOCs include 
dioxin, quinone, and nitro-PAH compounds. They may be a natural 
byproduct of combustion or they may be created post-combustion. Note 
that SVOCs may be included in measured values of hydrocarbons and/or PM 
using the procedures specified in this part.
    (4) Kuderna-Danish concentrator means laboratory glassware known by 
this name that consists of an air-cooled condenser on top of an 
extraction bulb.
    (5) Dean-Stark trap means laboratory glassware known by this name 
that uses a reflux condenser to collect water from samples extracted 
under reflux.
    (6) PUF means polyurethane foam.
    (7) Isotopically labeled means relating to a compound in which 
either all the hydrogen atoms are replaced with the atomic isotope 
hydrogen-2 (deuterium) or one of the carbon atoms at a defined position 
in the molecule is replaced with the atomic isotope carbon-13.



Sec.  1065.1105  Sampling system design.

    (a) General. We recommend that you design your SVOC batch sampler to 
extract sample from undiluted emissions to maximize the sampled SVOC 
quantity. If you dilute your sample, we recommend using annular 
dilution. If you dilute your sample, but do not use annular dilution, 
you must precondition your sampling system to reach equilibrium with 
respect to loss and re-entrainment of SVOCs to the walls of the sampling 
system. To the extent practical, adjust sampling times based on the 
emission rate of target analytes from the engine to obtain analyte 
concentrations above the detection limit. In some instances you may need 
to run repeat test cycles without replacing the sample media or 
disassembling the batch sampler.
    (b) Sample probe, transfer lines, and sample media holder design and 
construction. The sampling system should consist of a sample probe, 
transfer line, PM filter holder, cooling coil, sorbent module, and 
condensate trap. Construct sample probes, transfer lines, and sample 
media holders that have inside surfaces of nickel, titanium or another 
nonreactive material capable of withstanding raw exhaust gas 
temperatures. Seal all joints in the hot zone of the system with gaskets 
made of nonreactive material similar to that of the sampling system 
components. You may use teflon gaskets in the cold zone. We recommend 
locating all components as close to probes as practical to shorten 
sampling system length and minimize the surface exposed to engine 
exhaust.
    (c) Sample system configuration. This paragraph (c) specifies the 
components necessary to collect SVOC samples, along with our recommended 
design parameters. Where you do not follow our recommendations, use good 
engineering judgment to design your sampling system so it does not 
result in loss of SVOC during sampling. The sampling system should 
contain the following components in series in the order listed:

[[Page 278]]

    (1) Use a sample probe similar to the PM sample probe specified in 
subpart B of this part.
    (2) Use a PM filter holder similar to the holder specified in 
subpart B of this part, although you will likely need to use a larger 
size to accommodate the high sample flow rates. We recommend using a 110 
mm filter for testing spark ignition engines or engines that utilize 
exhaust aftertreatment for PM removal and a 293 mm filter for other 
engines. If you are not analyzing separately for SVOCs in gas and 
particle phases, you do not have to control the temperature of the 
filter holder. Note that this differs from normal PM sampling 
procedures, which maintain the filter at a much lower temperature to 
capture a significant fraction of exhaust SVOC on the filter. In this 
method, SVOCs that pass through the filter will be collected on the 
downstream sorbent module. If you are collecting SVOCs in gas and 
particle phases, control your filter face temperature according to Sec.  
1065.140(e)(4).
    (3) Use good engineering judgment to design a cooling coil that will 
drop the sample temperature to approximately 5 [deg]C. Note that 
downstream of the cooling coil, the sample will be a mixture of vapor 
phase hydrocarbons in CO2, air, and a primarily aqueous 
liquid phase.
    (4) Use a hydrophobic sorbent in a sealed sorbent module. Note that 
this sorbent module is intended to be the final stage for collecting the 
SVOC sample and should be sized accordingly. We recommend sizing the 
module to hold 40 g of XAD-2 along with PUF plugs at either end of the 
module, noting that you may vary the mass of XAD used for testing based 
on the anticipated SVOC emission concentration and sample flow rate.
    (5) Include a condensate trap to separate the aqueous liquid phase 
from the gas stream. We recommend using a peristaltic pump to remove 
water from the condensate trap over the course of the test to prevent 
build-up of the condensate. Note that for some tests it may be 
appropriate to collect this water for analysis.
    (d) Sampler flow control. For testing using the recommended filter 
and sorbent module sizes, we recommend targeting an average sample flow 
rate of 70 liters per minute to maximize SVOC collection. The sampler 
must be designed to maintain proportional sampling throughout the test. 
Verify proportional sampling after an emission test as described in 
Sec.  1065.545.
    (e) Water bath. Design the sample system with a water bath in which 
the cooling coil, sorbent module, and condensate trap will be submerged. 
Use a heat exchanger or ice to maintain the bath temperature at (3 to 7) 
[deg]C.

[79 FR 23820, Apr. 28, 2014, as amended at 81 FR 74195, Oct. 25, 2016]



Sec.  1065.1107  Sample media and sample system preparation; 
sample system assembly.

    This section describes the appropriate types of sample media and the 
cleaning procedure required to prepare the media and wetted sample 
surfaces for sampling.
    (a) Sample media. The sampling system uses two types of sample media 
in series: The first to simultaneously capture the PM and associated 
particle phase SVOCs, and a second to capture SVOCs that remain in the 
gas phase, as follows:
    (1) For capturing PM, we recommend using pure quartz filters with no 
binder if you are not analyzing separately for SVOCs in gas and particle 
phases. If you are analyzing separately, you must use 
polytetrafluoroethylene (PTFE) filters with PTFE support. Select the 
filter diameter to minimize filter change intervals, accounting for the 
expected PM emission rate, sample flow rate. Note that when repeating 
test cycles to increase sample mass, you may replace the filter without 
replacing the sorbent or otherwise disassembling the batch sampler. In 
those cases, include all filters in the extraction.
    (2) For capturing gaseous SVOCs, utilize XAD-2 resin with or without 
PUF plugs. Note that two PUF plugs are typically used to contain the 
XAD-2 resin in the sorbent module.
    (b) Sample media and sampler preparation. Prepare pre-cleaned PM 
filters and pre-cleaned PUF plugs/XAD-2 as

[[Page 279]]

needed. Store sample media in containers protected from light and 
ambient air if you do not use them immediately after cleaning. Use the 
following preparation procedure, or an analogous procedure with 
different solvents and extraction times:
    (1) Pre-clean the filters via Soxhlet extraction with methylene 
chloride for 24 hours and dry over dry nitrogen in a low-temperature 
vacuum oven.
    (2) Pre-clean PUF and XAD-2 with a series of Soxhlet extractions: 8 
hours with water, 22 hours with methanol, 22 hours with methylene 
chloride, and 22 hours with toluene, followed by drying with nitrogen.
    (3) Clean sampler components, including the probe, filter holder, 
condenser, sorbent module, and condensate collection vessel by rinsing 
three times with methylene chloride and then three times with toluene. 
Prepare pre-cleaned aluminum foil for capping the probe inlet of the 
sampler after the sampling system has been assembled.
    (c) Sorbent spiking. Use good engineering judgment to verify the 
extent to which your extraction methods recover SVOCs absorbed on the 
sample media. We recommend spiking the XAD-2 resin with a surrogate 
standard before testing with a carbon-13 or hydrogen-2 isotopically 
labeled standard for each of the class of analytes targeted for 
analysis. Perform this spiking as follows:
    (1) Insert the lower PUF plug into the bottom of the sorbent module.
    (2) Add half of one portion of XAD-2 resin to the module and spike 
the XAD-2 in the module with the standard.
    (3) Wait 1 hour for the solvent from the standard(s) to evaporate, 
add the remaining 20 g of the XAD-2 resin to the module, and then insert 
a PUF plug in the top of the sorbent module.
    (4) Cover the inlet and outlet of the sorbent module with pre-
cleaned aluminum foil.
    (d) Sampling system assembly. After preparing the sample media and 
the sampler, assemble the condensate trap, cooling coil, filter holder 
with filter, sample probe, and sorbent module, then lower the assembly 
into the reservoir. Cover the probe inlet with pre-cleaned aluminum 
foil.

[79 FR 23820, Apr. 28, 2014, as amended at 81 FR 74195, Oct. 25, 2016]



Sec.  1065.1109  Post-test sampler disassembly and sample extraction.

    This section describes the process for disassembling and rinsing the 
sampling system and extracting and cleaning up the sample.
    (a) Sampling system disassembly. Disassemble the sampling system in 
a clean environment as follows after the test:
    (1) Remove the PM filter, PUF plugs, and all the XAD-2 from the 
sampling system and store them at or below 5 [deg]C until analysis.
    (2) Rinse sampling system wetted surfaces upstream of the condensate 
trap with acetone followed by toluene (or a comparable solvent system), 
ensuring that all the solvent remaining in liquid phase is collected 
(note that a fraction of the acetone and toluene will likely be lost to 
evaporation during mixing). Rinse with solvent volumes that are 
sufficient to cover all the surfaces exposed to the sample during 
testing. We recommend three fresh solvent rinses with acetone and two 
with toluene. We recommend rinse volumes of 60 ml per rinse for all 
sampling system components except the condenser coil, of which you 
should use 200 ml per rinse. Keep the acetone rinsate separate from the 
toluene rinsate to the extent practicable. Rinsate fractions should be 
stored separately in glass bottles that have been pre-rinsed with 
acetone, hexane, and toluene (or purchase pre-cleaned bottles).
    (3) Use good engineering judgment to determine if you should analyze 
the aqueous condensate phase for SVOCs. If you determine that analysis 
is necessary, use toluene to perform a liquid-liquid extraction of the 
SVOCs from the collected aqueous condensate using a separatory funnel or 
an equivalent method. Add the toluene from this aqueous extraction to 
the toluene rinsate fraction described in paragraph (a)(2) of this 
section.
    (4) Reduce rinsate solvent volumes as needed using a Kuderna-Danish 
concentrator or rotary evaporator and retain these rinse solvents for 
reuse during

[[Page 280]]

sample media extraction for the same test. Be careful to avoid loss of 
low molecular weight analytes when concentrating with rotary 
evaporation.
    (b) Sample extraction. Extract the SVOCs from the sorbent using 
Soxhlet extraction as described in this paragraph (b). Two 16 hour 
extractions are necessary to accommodate the Soxhlet extractions of all 
SVOCs from a single sample. This reduces the possibility of losing low 
molecular weight SVOCs and promotes water removal. We recommend 
performing the first extraction with acetone/hexane and the second using 
toluene (or an equivalent solvent system). You may alternatively use an 
equivalent method such as an automated solvent extractor.
    (1) We recommend equipping the Soxhlet extractor with a Dean-Stark 
trap to facilitate removal of residual water from the sampling system 
rinse. The Soxhlet apparatus must be large enough to allow extraction of 
the PUF, XAD-2, and filter in a single batch. Include in the extractor 
setup a glass thimble with a coarse or extra coarse sintered glass 
bottom. Pre-clean the extractor using proper glass-cleaning procedures. 
We recommend that the Soxhlet apparatus be cleaned with a (4 to 8) hour 
Soxhlet extraction with methylene chloride at a cycling rate of three 
cycles per hour. Discard the solvent used for pre-cleaning (no analysis 
is necessary).
    (2) Load the extractor thimble before placing it in the extractor by 
first rolling the PM filter around the inner circumference of the 
thimble, with the sampled side facing in. Push one PUF plug down into 
the bottom of the thimble, add approximately half of the XAD-2, and then 
spike the XAD-2 in the thimble with the isotopically labeled extraction 
standards of known mass. Target the center of the XAD-2 bed for 
delivering the extraction standard. We recommend using multiple 
isotopically labeled extraction standards that cover the range of target 
analytes. This generally means that you should use isotopically labeled 
standards at least for the lowest and highest molecular weight analytes 
for each category of compounds (such as PAHs and dioxins). These 
extraction standards monitor the efficiency of the extraction and are 
also used to determine analyte concentrations after analysis. Upon 
completion of spiking, add the remaining XAD-2 to the thimble, insert 
the remaining PUF plug, and place the thimble into the extractor. Note 
that if you are collecting and analyzing for SVOCs in gas and particle 
phases, perform separate extractions for the filter and XAD-2.
    (3) For the initial extraction, combine the concentrated acetone 
rinses (from the sampling system in paragraph (a) of this section) with 
enough hexane to bring the solvent volume up to the target level of 700 
ml. Assemble the extractor and turn on the heating controls and cooling 
water. Allow the sample to reflux for 16 hours with the rheostat 
adjusted to cycle the extraction at a rate of (3.0 0.5) cycles per hour. Drain the water from the Dean-
Stark trap as it accumulates by opening the stopcock on the trap. Set 
aside the water for analysis or discard it. In most cases, any water 
present will be removed within approximately 2 hours after starting the 
extraction.
    (4) After completing the initial extraction, remove the solvent and 
concentrate it to (4.0 0.5) ml using a Kuderna-
Danish concentrator that includes a condenser such as a three-ball 
Snyder column with venting dimples and a graduated collection tube. Hold 
the water bath temperature at (75 to 80) [deg]C. Using this concentrator 
will minimize evaporative loss of analytes with lower molecular weight.
    (i) Rinse the round bottom flask of the extractor with (60 to 100) 
ml of hexane and add the rinsate to this concentrated extract.
    (ii) Concentrate the mixture to (4 0.5) ml 
using a Kuderna-Danish concentrator or similar apparatus.
    (iii) Repeat the steps in paragraphs (b)(4)(i) and (ii) of this 
section three times, or as necessary to remove all the residual solvent 
from the round bottom flask of the extractor, concentrating the final 
rinsate to (4 0.5) ml.
    (5) For the second extraction, combine the toluene rinses (from the 
sampling system in paragraph (a) of this section) with any additional 
toluene needed to bring the solvent volume up to the target level of 700 
ml. As noted in paragraph (a) of this section, you

[[Page 281]]

may need to concentrate the rinsate before adding it to the extraction 
apparatus if the rinsate solvent volume is too large. Allow the sample 
to reflux for 16 hours with the rheostat adjusted to cycle the 
extraction at a rate of (3.0 0.5) cycles per hour. 
Check the Dean-Stark trap for water during the first 2 hours of the 
extraction (though little or no water should be present during this 
stage).
    (6) Upon completion of the second extraction, remove the solvent and 
concentrate it to (4 0.5) ml as described in 
paragraph (b)(4) of this section. Using hexane from paragraph (b)(4) of 
this section as the rinse solvent effectively performs a solvent 
exchange of toluene with hexane.
    (7) Combine the concentrated extract from paragraph (b)(4) of this 
section with the concentrated extract from paragraph (b)(6) of this 
section. Divide the extract into a number of fractions based on the 
number of analyses you need to perform. Perform the separate sample 
clean-up described in paragraph (c) of this section as needed for each 
fraction.
    (c) Sample clean-up. This paragraph (c) describes how to perform 
sample cleaning to remove from the sample extract any solids and any 
SVOCs that will not be analyzed. This process, known as ``sample clean-
up'', reduces the potential for interference or co-elution of peaks 
during analytical analysis. Before performing the sample clean-up, spike 
the extract with an alternate standard that contains a known mass of 
isotopically labeled compounds that are identical to the target analytes 
(except for the labeling). The category of the target analyte compounds 
(such as PAHs or dioxin) will determine the number of compounds that 
make up the standard. For example, PAHs require the use of four 
compounds in the alternate standard to cover the four basic ring 
structures of PAHs (2-ring, 3-ring, 4-ring, and 5-ring structures). 
These alternate standards are used to monitor the efficiency of the 
clean-up procedure. Before sample clean-up, concentrate the fractionated 
sample to about 2 ml with a Kuderna-Danish concentrator or rotary 
evaporator, and then transfer the extract to an 8 ml test tube with 
hexane rinse. Concentrate it to a volume of about 1 ml using a Kuderna-
Danish concentrator. Use good engineering judgment to select an 
appropriate column chromatographic clean-up option for your target 
analytes. Note that these clean-up techniques generally remove compounds 
based on their polarity. The following procedures are examples of clean-
up techniques for PAHs and nPAHs.
    (1) PAH clean-up. The following method is appropriate for clean-up 
of extracts intended for analysis of PAHs:
    (i) Pack a glass gravity column (250 mm x 10 mm recommended) by 
inserting a clean glass wool plug into the bottom of the column and add 
10 g of activated silica gel in methylene chloride. Tap the column to 
settle the silica gel and then add a 1 cm layer of anhydrous sodium 
sulfate. Verify the volume of solvent required to completely elute all 
the PAHs and adjust the weight of the silica gel accordingly to account 
for variations among batches of silica gel that may affect the elution 
volume of the various PAHs.
    (ii) Elute the column with 40 ml of hexane. The rate for all 
elutions should be about 2 ml/min. You may increase the elution rate by 
using dry air or nitrogen to maintain the headspace slightly above 
atmospheric pressure. Discard the eluate just before exposing the sodium 
sulfate layer to the air or nitrogen and transfer the 1 ml sample 
extract onto the column using two additional 2 ml rinses of hexane. Just 
before exposing the sodium sulfate layer to the air or nitrogen, begin 
elution of the column with 25 ml of hexane followed by 25 ml of 40 
volume % methylene chloride in hexane. Collect the entire eluate and 
concentrate it to about 5 ml using the Kuderna-Danish concentrator or a 
rotary evaporator. Make sure not to evaporate all the solvent from the 
extract during the concentration process. Transfer the eluate to a small 
sample vial using a hexane rinse and concentrate it to 100 [micro]l 
using a stream of nitrogen without violently disturbing the solvent. 
Store the extracts in a refrigerator at or below 4 [deg]C, and away from 
light.
    (2) nPAH clean up. The following procedure, adapted from 
``Determination and Comparison of Nitrated-Polycyclic

[[Page 282]]

Aromatic Hydrocarbons Measured in Air and Diesel Particulate Reference 
Materials'' (Bamford, H.A., et al, Chemosphere, Vol. 50, Issue 5, pages 
575-587), is an appropriate method to clean up extracts intended for 
analysis of nPAHs:
    (i) Condition an aminopropyl solid phase extraction (SPE) cartridge 
by eluting it with 20 ml of 20 volume % methylene chloride in hexane. 
Transfer the extract quantitatively to the SPE cartridge with at least 
two methylene chloride rinses. Elute the extract through the SPE 
cartridge by using 40 ml of 20 volume % methylene chloride in hexane to 
minimize potential interference of polar constituents, and then reduce 
the extract to 0.5 ml in hexane and subject it to normal-phase liquid 
chromatography using a pre-prepared 9.6 mm x 25 cm semi-preparative 
Chromegabond[supreg] amino/cyano column (5 [micro]m particle size) to 
isolate the nPAH fraction. The mobile phase is 20 volume % methylene 
chloride in hexane at a constant flow rate of 5 ml per minute. Back-
flash the column with 60 ml of methylene chloride and then condition it 
with 200 ml of 20 volume % methylene chloride in hexane before each 
injection. Collect the effluent and concentrate it to about 2 ml using 
the Kuderna-Danish concentrator or a rotary evaporator. Transfer it to a 
minivial using a hexane rinse and concentrate it to 100 [micro]l using a 
gentle stream of nitrogen. Store the extracts at or below 4 [deg]C, and 
away from light.
    (ii) [Reserved]

[79 FR 23820, Apr. 28, 2014, as amended at 81 FR 74195, Oct. 25, 2016]



Sec.  1065.1111  Sample analysis.

    This subpart does not specify chromatographic or analytical methods 
to analyze extracts, because the appropriateness of such methods is 
highly dependent on the nature of the target analytes. However, we 
recommend that you spike the extract with an injection standard that 
contains a known mass of an isotopically labeled compound that is 
identical to one of the target analytes (except for labeling). This 
injection standard allows you to monitor the efficiency of the 
analytical process by verifying the volume of sample injected for 
analysis.



PART 1066_VEHICLE-TESTING PROCEDURES--Table of Contents



             Subpart A_Applicability and General Provisions

Sec.
1066.1 Applicability.
1066.2 Submitting information to EPA under this part.
1066.5 Overview of this part 1066 and its relationship to the standard-
          setting part.
1066.10 Other procedures.
1066.15 Overview of test procedures.
1066.20 Units of measure and overview of calculations.
1066.25 Recordkeeping.

 Subpart B_Equipment, Measurement Instruments, Fuel, and Analytical Gas 
                             Specifications

1066.101 Overview.
1066.105 Ambient controls and vehicle cooling fans.
1066.110 Equipment specifications for emission sampling systems.
1066.120 Measurement instruments.
1066.125 Data updating, recording, and control.
1066.130 Measurement instrument calibrations and verifications.
1066.135 Linearity verification.
1066.140 Diluted exhaust flow calibration.
1066.145 Test fuel, engine fluids, analytical gases, and other 
          calibration standards.
1066.150 Analyzer interference and quench verification limit.

                  Subpart C_Dynamometer Specifications

1066.201 Dynamometer overview.
1066.210 Dynamometers.
1066.215 Summary of verification procedures for chassis dynamometers.
1066.220 Linearity verification for chassis dynamometer systems.
1066.225 Roll runout and diameter verification procedure.
1066.230 Time verification procedure.
1066.235 Speed verification procedure.
1066.240 Torque transducer verification.
1066.245 Response time verification.
1066.250 Base inertia verification.
1066.255 Parasitic loss verification.
1066.260 Parasitic friction compensation evaluation.
1066.265 Acceleration and deceleration verification.
1066.270 Unloaded coastdown verification.
1066.275 Daily dynamometer readiness verification.
1066.290 Verification of speed accuracy for the driver's aid.

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                           Subpart D_Coastdown

1066.301 Overview of road-load determination procedures.
1066.305 Procedures for specifying road-load forces for motor vehicles 
          at or below 14,000 pounds GVWR.
1066.310 Coastdown procedures for vehicles above 14,000 pounds GVWR.
1066.315 Dynamometer road-load setting.

    Subpart E_Preparing Vehicles and Running an Exhaust Emission Test

1066.401 Overview.
1066.405 Vehicle preparation and preconditioning.
1066.410 Dynamometer test procedure.
1066.415 Vehicle operation.
1066.420 Test preparation.
1066.425 Performing emission tests.

        Subpart F_Electric Vehicles and Hybrid Electric Vehicles

1066.501 Overview.

                         Subpart G_Calculations

1066.601 Overview.
1066.605 Mass-based and molar-based exhaust emission calculations.
1066.610 Dilution air background correction.
1066.615 NOX intake-air humidity correction.
1066.625 Flow meter calibration calculations.
1066.630 PDP, SSV, and CFV flow rate calculations.
1066.635 NMOG determination.
1066.695 Data requirements.

               Subpart H_Cold Temperature Test Procedures

1066.701 Applicability and general provisions.
1066.710 Cold temperature testing procedures for measuring CO and NMHC 
          emissions and determining fuel economy.

      Subpart I_Exhaust Emission Test Procedures for Motor Vehicles

1066.801 Applicability and general provisions.
1066.805 Road-load power, test weight, and inertia weight class 
          determination.
1066.810 Vehicle preparation.
1066.815 Exhaust emission test procedures for FTP testing.
1066.816 Vehicle preconditioning for FTP testing.
1066.820 Composite calculations for FTP exhaust emissions.
1066.830 Supplemental Federal Test Procedures; overview.
1066.831 Exhaust emission test procedures for aggressive driving.
1066.835 Exhaust emission test procedure for SC03 emissions.
1066.840 Highway fuel economy test procedure.
1066.845 AC17 air conditioning efficiency test procedure.

             Subpart J_Evaporative Emission Test Procedures

1066.901 Applicability and general provisions.
Test Equipment and Calculations for Evaporative and Refueling Emissions
1066.910 SHED enclosure specifications.
1066.915 Enclosures; auxiliary systems and equipment.
1066.920 Enclosure calibrations.
1066.925 Enclosure calculations for evaporative and refueling emissions.
1066.930 Equipment for point-source measurement of running losses.
Evaporative and Refueling Emission Test Procedures for Motor Vehicles
1066.950 Fuel temperature profile.
1066.955 Diurnal emission test.
1066.960 Running loss test.
1066.965 Hot soak test.
1066.970 Refueling test for liquid fuels.
1066.971 Vehicle and canister preconditioning for the refueling test.
1066.975 Refueling test for LPG.
1066.980 Fuel dispensing spitback procedure.
1066.985 Fuel storage system leak test procedure.

           Subpart K_Definitions and Other Reference Material

1066.1001 Definitions.
1066.1005 Symbols, abbreviations, acronyms, and units of measure.
1066.1010 Incorporation by reference.

    Authority: 42 U.S.C. 7401-7671q.

    Source: 79 FR 23823, Apr. 28, 2014, unless otherwise noted.



             Subpart A_Applicability and General Provisions



Sec.  1066.1  Applicability.

    (a) This part describes the emission measurement procedures that 
apply to testing we require for the following vehicles:
    (1) Model year 2014 and later heavy-duty highway vehicles we 
regulate under 40 CFR part 1037 that are not subject to chassis testing 
for exhaust emissions under 40 CFR part 86.
    (2) Model year 2022 and later motor vehicles (light-duty and heavy-
duty)

[[Page 284]]

that are subject to chassis testing for exhaust emissions under 40 CFR 
part 86, other than highway motorcycles. See 40 CFR part 86 for 
provisions describing how to implement this part 1066.
    (b) The procedures of this part may apply to other types of 
vehicles, as described in this part and in the standard-setting part.
    (c) The testing in this part 1066 is designed for measuring exhaust, 
evaporative, and refueling emissions. Procedures for measuring 
evaporative and refueling emissions for motor vehicles are in some cases 
integral with exhaust measurement procedures as described in Sec.  
1066.801. Subpart J of this part describes provisions that are unique to 
evaporative and refueling emission measurements. Other subparts in this 
part are written with a primary focus on measurement of exhaust 
emissions.
    (d) The term ``you'' means anyone performing testing under this part 
other than EPA.
    (1) This part is addressed primarily to manufacturers of vehicles, 
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.
    (e) Paragraph (a) of this section identifies the parts of the CFR 
that define emission standards and other requirements for particular 
types of vehicles. In this part, we refer to each of these other parts 
generically as the ``standard-setting part.'' For example, 40 CFR part 
1037 is the standard-setting part for heavy-duty highway vehicles and 
parts 86 and 600 are the standard-setting parts for light-duty vehicles. 
For vehicles subject to 40 CFR part 86, subpart S, treat subpart I and 
subpart J of this part as belonging to 40 CFR part 86. This means that 
references to the standard-setting part include subpart I and subpart J 
of this part.
    (f) Unless we specify otherwise, the terms ``procedures'' and ``test 
procedures'' in this part include all aspects of vehicle testing, 
including the equipment specifications, calibrations, calculations, and 
other protocols and procedural specifications needed to measure 
emissions.
    (g) For additional information regarding these test procedures, 
visit our Web site at www.epa.gov, and in particular http://www.epa.gov/
nvfel/testing/regulations.htm.



Sec.  1066.2  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, or any other statements you make to us related to this part 
1066. If you provide statements or information to someone for submission 
to EPA, you are responsible for these statements and information as if 
you had submitted them to EPA yourself.
    (b) In the standard-setting part and in 40 CFR 1068.101, we describe 
your obligation to report truthful and complete information and the 
consequences of failing to meet this obligation. See also 18 U.S.C. 1001 
and 42 U.S.C. 7413(c)(2). This obligation applies whether you submit 
this information directly to EPA or through someone else.
    (c) We may void any certificates or approvals associated with a 
submission of information if we find that you intentionally submitted 
false, incomplete, or misleading information. For example, if we find 
that you intentionally submitted incomplete information to mislead EPA 
when requesting approval to use alternate test procedures, we may void 
the certificates for all engine 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 the information 
submitted is accurate and complete. This includes everyone who submits 
information, including manufacturers and others.

[[Page 285]]

    (e) See 40 CFR 1068.10 for provisions related to confidential 
information. Note however that under 40 CFR 2.301, emission data are 
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 vehicles 
conform to the regulations.



Sec.  1066.5  Overview of this part 1066 and its relationship to 
the standard-setting part.

    (a) This part specifies procedures that can apply generally to 
testing various categories of vehicles. See the standard-setting part 
for directions in applying specific provisions in this part for a 
particular type of vehicle. Before using this part's procedures, read 
the standard-setting part to answer at least the following questions:
    (1) What drive schedules must I use for testing?
    (2) Should I warm up the test vehicle before measuring emissions, or 
do I need to measure cold-start emissions during a warm-up segment of 
the duty cycle?
    (3) Which exhaust constituents do I need to measure? Measure all 
exhaust constituents that are subject to emission standards, any other 
exhaust constituents needed for calculating emission rates, and any 
additional exhaust constituents as specified in the standard-setting 
part. See 40 CFR 1065.5 regarding requests to omit measurement of 
N2O and CH4 for vehicles not subject to an 
N2O or CH4 emission standard.
    (4) Do any unique specifications apply for test fuels?
    (5) What maintenance steps may I take before or between tests on an 
emission-data vehicle?
    (6) Do any unique requirements apply to stabilizing emission levels 
on a new vehicle?
    (7) Do any unique requirements apply to test limits, such as ambient 
temperatures or pressures?
    (8) What requirements apply for evaporative and refueling emissions?
    (9) Are there any emission standards specified at particular 
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.   1066.5--Description of Part 1066 Subparts
------------------------------------------------------------------------
                                     Describes these specifications or
           This subpart                          procedures
------------------------------------------------------------------------
Subpart A........................  Applicability and general provisions.
Subpart B........................  Equipment for testing.
Subpart C........................  Dynamometer specifications.
Subpart D........................  Coastdowns for testing.
Subpart E........................  How to prepare your vehicle and run
                                    an emission test.
Subpart F........................  How to test electric vehicles and
                                    hybrid electric vehicles.
Subpart G........................  Test procedure calculations.
Subpart H........................  Cold temperature testing.
Subpart I........................  Exhaust emission test procedures for
                                    motor vehicles.
Subpart J........................  Evaporative and refueling emission
                                    test procedures.
Subpart K........................  Definitions and reference material.
------------------------------------------------------------------------



Sec.  1066.10  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 noted in this section. In some other sections in this part, 
we allow you to use other procedures (such as less precise or less 
accurate procedures) if they do not affect your ability to show that 
your vehicles 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 vehicles comply with applicable emission 
standards. We may perform other testing as allowed by the Act.
    (c) Exceptions. You may use procedures other than those specified in 
this

[[Page 286]]

part as described in 40 CFR 1065.10(c). All the test procedures noted 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 40 CFR 1065.10(c)(2) and ``alternate procedures'' 
are those allowed by 40 CFR 1065.10(c)(7). If we require you to request 
approval to use other procedures under this paragraph (c), you may not 
use them until we approve your request.

[79 FR 23823, Apr. 28, 2014, 80 FR 9120, Feb. 19, 2015]



Sec.  1066.15  Overview of test procedures.

    This section outlines the procedures to test vehicles that are 
subject to emission standards.
    (a) The standard-setting part describes the emission standards that 
apply. Evaporative and refueling emissions are generally in the form of 
grams total hydrocarbon equivalent per test. We set exhaust emission 
standards in g/mile (or g/km), 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.
    (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.
    (v) Nonmethane organic gases, NMOG, which are calculated either from 
fully or partially speciated measurement of hydrocarbons including 
oxygenates, or by adjusting measured NMHC values based on fuel oxygenate 
properties.
    (3) Particulate matter, PM.
    (4) Carbon monoxide, CO.
    (5) Carbon dioxide, CO2.
    (6) Methane, CH4.
    (7) Nitrous oxide, N2O.
    (8) Formaldehyde, CH2O.
    (b) Note that some vehicles may not be subject to standards for all 
the exhaust emission constituents identified in paragraph (a) of this 
section. Note also that the standard-setting part may include standards 
for pollutants not listed in paragraph (a) of this section.
    (c) The provisions of this part apply for chassis dynamometer 
testing where vehicle speed is controlled to follow a prescribed duty 
cycle while simulating vehicle driving through the dynamometer's road-
load settings. We generally set exhaust emission standards over test 
intervals and/or drive schedules, as follows:
    (1) Vehicle operation. Testing involves measuring emissions and 
miles travelled while operating the vehicle on a chassis dynamometer. 
Refer to the definitions of ``duty cycle'' and ``test interval'' in 
Sec.  1066.1001. Note that a single drive schedule may have multiple 
test intervals and require weighting of results from multiple test 
intervals to calculate a composite distance-based emission value to 
compare to the standard.
    (2) Constituent determination. Determine the total mass of each 
exhaust constituent over a test interval by selecting from the following 
methods:
    (i) Continuous sampling. In continuous sampling, measure the exhaust 
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, as 
applicable. You may extract and store a proportional sample of exhaust 
in an appropriate container, such as a bag, and then measure 
NOX, HC, CO, CO2, CH4, N2O, 
and CH2O concentrations in the container after the test 
interval. You may deposit PM from proportionally extracted exhaust onto 
an appropriate substrate, such as a filter. In this case, divide the PM 
by

[[Page 287]]

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, subject to the 
provisions of 40 CFR 1065.201.
    (d) Refer to subpart G of this part and the standard-setting part 
for calculations to determine g/mile emission rates.
    (e) You must use good engineering judgment for all aspects of 
testing under this part. While this part highlights several specific 
cases where good engineering judgment is especially relevant, the 
requirement to use good engineering judgment is not limited to those 
provisions where we specifically re-state this requirement.



Sec.  1066.20  Units of measure and overview of calculations.

    (a) System of units. The procedures in this part follow both 
conventional English units and the International System of Units (SI), 
as detailed in NIST Special Publication 811, which we incorporate by 
reference in Sec.  1066.1010. Except where specified, equations work 
with either system of units. Where the equations depend on the use of 
specific units, the regulation identifies the appropriate units.
    (b) Units conversion. Use good engineering judgment to convert units 
between measurement systems as needed. For example, if you measure 
vehicle speed as kilometers per hour and we specify a precision 
requirement in terms of miles per hour, convert your measured kilometer 
per hour value to miles per hour before comparing it to our 
specification. The following conventions are used throughout this 
document and should be used to convert units as applicable:
    (1) 1 hp = 33,000 ft [middot] lbf/min = 550 ft [middot] lbf/s = 
0.7457 kW.
    (2) 1 lbf = 32.174 ft [middot] lbm/s\2\ = 4.4482 N.
    (3) 1 inch = 25.4 mm.
    (4) 1 mile = 1609.344 m.
    (5) For ideal gases, 1 [micro]mol/mol = 1 ppm.
    (6) For ideal gases, 10 mmol/mol = 1%.
    (c) Temperature. We generally 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. Unless specified otherwise, always use absolute temperature 
values for multiplying or dividing by temperature.
    (d) Absolute pressure. Measure absolute pressure directly or 
calculate it as the sum of atmospheric pressure plus a differential 
pressure that is referenced to atmospheric pressure. Always use absolute 
pressure values for multiplying or dividing by pressure.
    (e) Rounding. The rounding provisions of 40 CFR 1065.20 apply for 
calculations in this part. This generally specifies that you round final 
values but not intermediate values. Use good engineering judgment to 
record the appropriate number of significant digits for all 
measurements.
    (f) Interpretation of ranges. Interpret a range as a tolerance 
unless we explicitly identify it as an accuracy, repeatability, 
linearity, or noise specification. See 40 CFR 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 (such as X Y), target the associated control point to that single 
value (X). Examples of this type of range include ``10% of maximum pressure'', or ``(30 10) kPa''. In these examples, you would target the 
maximum pressure or 30 kPa, respectively.
    (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''.

[[Page 288]]

    (g) Scaling of specifications with respect to an applicable 
standard. Because this part 1066 applies to a wide range of vehicles and 
emission standards, some of the specifications in this part are scaled 
with respect to a vehicle's applicable standard or weight. 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.



Sec.  1066.25  Recordkeeping.

    (a) The procedures in this part include various requirements to 
record data or other information. Refer to the standard-setting part and 
Sec.  1066.695 regarding specific recordkeeping requirements.
    (b) You must promptly send us organized, written records in English 
if we ask for them. We may review them at any time.
    (c) We may waive specific reporting or recordkeeping requirements we 
determine to be unnecessary for the purposes of this part and the 
standard-setting part. Note that while we will generally keep the 
records required by this part, we are not obligated to keep records we 
determine to be unnecessary for us to keep. For example, while we 
require you to keep records for invalid tests so we may verify that your 
invalidation was appropriate, it is not necessary for us to keep records 
for our own invalid tests.



 Subpart B_Equipment, Measurement Instruments, Fuel, and Analytical Gas 
                             Specifications



Sec.  1066.101  Overview.

    (a) This subpart addresses equipment related to emission testing, as 
well as test fuels and analytical gases.
    (b) The provisions of 40 CFR part 1065 specify engine-based 
procedures for measuring emissions. Except as specified otherwise in 
this part, the provisions of 40 CFR part 1065 apply for testing required 
by this part as follows:
    (1) The provisions of 40 CFR part 1065, subpart B, describe 
equipment specifications for exhaust dilution and sampling systems; 
these specifications apply for testing under this part as described in 
Sec.  1066.110.
    (2) The provisions of 40 CFR part 1065, subpart C, describe 
specifications for measurement instruments; these specifications apply 
for testing under this part as described in Sec.  1066.120.
    (3) The provisions of 40 CFR part 1065, subpart D, describe 
specifications for measurement instrument calibrations and 
verifications; these specifications apply for testing under this part as 
described in Sec.  1066.130.
    (4) The provisions of 40 CFR part 1065, subpart H, describe 
specifications for fuels, engine fluids, and analytical gases; these 
specifications apply for testing under this part as described in Sec.  
1066.145.
    (5) The provisions of 40 CFR part 1065, subpart I, describe 
specifications for testing with oxygenated fuels; these specifications 
apply for NMOG determination as described in Sec.  1066.635.
    (c) The provisions of this subpart are intended to specify systems 
that can very accurately and precisely measure emissions from motor 
vehicles such as light-duty vehicles. To the extent that this level of 
accuracy or precision is not necessary for testing highway motorcycles 
or nonroad vehicles, we may waive or modify the specifications and 
requirements of this part for testing these other vehicles, consistent 
with good engineering judgment. For example, it may be appropriate to 
allow the use of a hydrokinetic dynamometer that is not able to meet all 
the performance specifications described in this subpart.

[[Page 289]]



Sec.  1066.105  Ambient controls and vehicle cooling fans.

    (a) Ambient conditions. Dynamometer testing under this part 
generally requires that you maintain the test cell within a specified 
range of ambient temperature and humidity. Use good engineering judgment 
to maintain relatively uniform temperatures throughout the test cell 
before testing. You are generally not required to maintain uniform 
temperatures throughout the test cell while the vehicle is running due 
to the heat generated by the vehicle. Measured humidity values must 
represent the conditions to which the vehicle is exposed, which includes 
intake air; other than the intake air, humidity does not affect 
emissions, so humidity need not be uniform throughout the test cell.
    (b) General requirements for cooling fans. Use good engineering 
judgment to select and configure fans to cool the test vehicle in a way 
that meets the specifications of paragraph (c) of this section and 
simulates in-use operation. If you demonstrate that the specified fan 
configuration is impractical for special vehicle designs, such as 
vehicles with rear-mounted engines, or it does not provide adequate 
cooling to properly represent in-use operation, you may ask us to 
approve increasing fan capacity or using additional fans.
    (c) Allowable cooling fans for vehicles at or below 14,000 pounds 
GVWR. Cooling fan specifications for vehicles at or below 14,000 pounds 
GVWR depend on the test cycle. Paragraph (c)(1) of this section 
summarizes the cooling fan specifications for the different test cycles; 
the detailed specifications are described in paragraphs (c)(2) through 
(5) of this section. See Sec.  1066.410 for instruction regarding how to 
use the fans during testing.
    (1) Cooling fan specifications for different test cycles are 
summarized as follows:
    (i) For the FTP test cycle, the allowable cooling fan configurations 
are described in paragraphs (c)(2) and (3) of this section.
    (ii) For the HFET test cycle, the allowable cooling fan 
configurations are described in paragraphs (c)(2) and (3) of this 
section.
    (iii) For the US06 test cycle, the allowable cooling fan 
configurations are described in paragraphs (c)(2) and (4) of this 
section.
    (iv) For the LA-92 test cycle, the allowable cooling fan 
configurations are described in paragraphs (c)(2) and (4) of this 
section.
    (v) For SC03 and AC17 test cycles, the allowable cooling fan 
configuration is described in paragraph (c)(5) of this section.
    (2) You may use a road-speed modulated fan system meeting the 
specifications of this paragraph (c)(2) for anything other than SC03 and 
AC17 testing. Use a road-speed modulated fan that achieves a linear 
speed of cooling air at the blower outlet that is within 3.0 mi/hr (1.3 m/s) of the 
corresponding roll speed when vehicle speeds are between 5 and 30 mi/hr, 
and within 6.5 mi/hr (2.9 m/
s) of the corresponding roll speed at higher vehicle speeds; however you 
may limit the fan's maximum linear speed to 70 mi/hr. We recommend that 
the cooling fan have a minimum opening of 0.2 m\2\ and a minimum width 
of 0.8 m.
    (i) Verify the air flow velocity for fan speeds corresponding to 
vehicle speeds of 20 and 40 mi/hr using an instrument that has an 
accuracy of 2% of the measured air flow speed.
    (ii) For fans with rectangular outlets, divide the fan outlet into 
sections as shown in Figure 1 of this section. As illustrated by the `` 
+ '' in the following figure, measure flow from the center of each 
section; do not measure the flow from the center section.

[[Page 290]]

[GRAPHIC] [TIFF OMITTED] TR28AP14.059

    (iii) For fans with circular outlets, divide the fan outlet into 8 
equal sections as shown in Figure 2 of this section. As illustrated by 
the `` + '' in the following figure, measure flow on the radial 
centerline of each section, at a radius of two-thirds of the fan's total 
radius.
[GRAPHIC] [TIFF OMITTED] TR28AP14.060

    (iv) Verify that the uniformity of the fan's axial flow is constant 
across the discharge area within a tolerance of 4.0 mi/hr of the vehicle's speed at fan speeds 
corresponding to 20 mi/hr, and within 8.0 mi/hr at 
fan speeds corresponding to 40 mi/hr. For example, at a vehicle speed of 
20.2 mi/hr, axial flow at all locations denoted by the ``+'' across the 
discharge nozzle must be between 16.2 and 24.2 mi/hr. When measuring the 
axial air flow velocity, use good engineering judgment to determine the 
distance from the nozzle outlet at each point of the fan outlet grid. 
Use these values to calculate a mean air flow velocity across the 
discharge area at each speed setting. The instrument used to verify the 
air velocity must have an accuracy of 2% of the 
measured air flow velocity.
    (v) Use a multi-axis flow meter or another method to verify that the 
fan's air flow perpendicular to the axial air flow is less than 15% of 
the axial air flow, consistent with good engineering judgment. 
Demonstrate this by comparing the perpendicular air flow velocity to the 
mean air flow velocities determined in paragraph (c)(2)(iv) of this

[[Page 291]]

section at vehicle speeds of 20 and 40 mi/hr.
    (3) You may use a fixed-speed fan with a maximum capacity up to 2.50 
m\3\/s for FTP and HFET testing.
    (4) You may use a fixed-speed fan with a maximum capacity up to 7.10 
m\3\/s for US06 and LA-92 testing.
    (5) For SC03 and AC17 testing, use a road-speed modulated fan with a 
minimum discharge area that is equal to or exceeds the vehicle's frontal 
inlet area. We recommend using a fan with a discharge area of 1.7 m\2\.
    (i) Air flow volumes must be proportional to vehicle speed. Select a 
fan size that will produce a flow volume of approximately 45 m\3\/s at 
60 mi/hr. If this fan is also the only source of test cell air 
circulation or if fan operational mechanics make the 0 mi/hr air flow 
requirement impractical, air flow of 2 mi/hr or less at 0 mi/hr vehicle 
speed is allowed.
    (ii) Verify the uniformity of the fan's axial flow as described in 
paragraph (c)(2)(iv) of this section, except that you must measure the 
axial air flow velocity 60 cm from the nozzle outlet at each point of 
the discharge area grid.
    (iii) Use a multi-axis flow meter or another method to verify that 
the fan's air flow perpendicular to the axial air flow is less than 10% 
of the axial air flow, consistent with good engineering judgment. 
Demonstrate this by comparing the perpendicular air flow velocity to the 
mean air flow velocities determined in paragraph (c)(2)(iv) of this 
section at vehicle speeds of 20 and 40 mi/hr.
    (iv) In addition to the road-speed modulated fan, we may approve the 
use of one or more fixed-speed fans to provide proper cooling to 
represent in-use operation, but only up to a total of 2.50 m\3\/s for 
all additional fans.
    (d) Allowable cooling fans for vehicles above 14,000 pounds GVWR. 
For all testing, use a road-speed modulated fan system that achieves a 
linear speed of cooling air at the blower outlet that is within 3.0 mi/hr (1.3 m/s) of the 
corresponding roll speed when vehicle speeds are between 5 and 30 mi/hr, 
and within 10 mi/hr (4.5 m/
s) of the corresponding roll speed at higher vehicle speeds. For 
vehicles above 19,500 pounds GVWR, we recommend that the cooling fan 
have a minimum opening of 2.75 m\2\, a minimum flow rate of 60 m\3\/s at 
a fan speed of 50 mi/hr, and a minimum speed profile in the free stream 
flow, across the duct that is 15% of the target 
flow rate.

[79 FR 23823, Apr. 28, 2014, as amended at 81 FR 74195, Oct. 25, 2016]



Sec.  1066.110  Equipment specifications for emission sampling systems.

    (a) This section specifies equipment related to emission testing, 
other than measurement instruments. This equipment includes dynamometers 
(described further in subpart C of this part) and various emission-
sampling hardware.
    (b) The following equipment specifications apply for testing under 
this part:
    (1) Connect a vehicle's exhaust system to any dilution stage as 
follows:
    (i) Minimize lengths of laboratory exhaust tubing. You may use a 
total length of laboratory exhaust tubing up to 4 m without needing to 
heat or insulate the tubing. However, you may use a total length of 
laboratory exhaust tubing up to 10 m, or up to 15 m for samples not 
involving PM measurement, if you insulate and/or heat the tubing to 
minimize the temperature difference between the exhaust gas and the 
whole tubing wall over the course of the emission test. The laboratory 
exhaust tubing starts at the end of the vehicle's tailpipe and ends at 
the first sample point or the first dilution point. The laboratory 
exhaust tubing may include flexible sections, but we recommend that you 
limit the amount of flexible tubing to the extent practicable. For 
multiple-tailpipe configurations where the tailpipes combine into a 
single flow path for emission sampling, the start of the laboratory 
exhaust tubing may be taken at the last joint where the exhaust flow 
first becomes a single, combined flow.
    (ii) For vehicles above 14,000 pounds GVWR, you may shorten the 
tailpipe up to the outlet of the last aftertreatment device or silencer, 
whichever is furthest downstream.
    (iii) You may insulate or heat any laboratory exhaust tubing.

[[Page 292]]

    (iv) Use laboratory exhaust tubing materials that are smooth-walled 
and not chemically reactive with exhaust constituents. (For purposes of 
this paragraph (b)(1), nominally smooth spiral-style and accordion-style 
flexible tubing are considered to be smooth-walled.) For measurements 
involving PM, tubing materials must also be electrically conductive. 
Stainless steel is an acceptable material for any testing. You may use 
short sections of nonconductive flexible tubing to connect a PM sampling 
system to the vehicle's tailpipe; use good engineering judgment to limit 
the amount of nonconductive surface area exposed to the vehicle's 
exhaust.
    (v) 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.
    (vi) You must seal your system to the extent necessary to ensure 
that any remaining leaks do not affect your ability to demonstrate 
compliance with the applicable standards. We recommend that you seal all 
known leaks.
    (vii) Electrically ground the entire exhaust system, with the 
exception of nonconductive flexible tubing, as allowed under paragraph 
(b)(1)(iv) of this section.
    (viii) For vehicles with multiple tailpipes, route the exhaust into 
a single flow. To ensure mixing of the multiple exhaust streams before 
emission sampling, we recommend a minimum Reynolds number, 
Re#, of 4000 for the combined exhaust stream, where 
Re# is based on the inside diameter of the combined flow at 
the first sampling point. You may configure the exhaust system with 
turbulence generators, such as orifice plates or fins, to achieve good 
mixing; this may be necessary for good mixing if Re# is less 
than 4000. Re# is defined in 40 CFR 1065.640.
    (2) Use equipment specifications in 40 CFR 1065.140 through 40 CFR 
1065.190, except as follows:
    (i) For PM background measurement, the following provisions apply 
instead of the analogous provisions in 40 CFR 1065.140(b):
    (A) You need not measure PM background for every test. You may apply 
PM background correction for a single site or multiple sites using a 
moving-average background value as long as your background PM sample 
media (e.g., filters) were all made by the same manufacturer from the 
same material. Use good engineering judgment to determine how many 
background samples make up the moving average and how frequently to 
update those values. For example, you might take one background sample 
per week and average that sample into previous background values, 
maintaining five observations for each calculated average value. 
Background sampling time should be representative of the duration of the 
test interval to which the background correction is applied.
    (B) You may sample background PM from the dilution tunnel at any 
time before or after an emission test using the same sampling system 
used during the emission test. For this background sampling, the 
dilution tunnel blower must be turned on, the vehicle must be 
disconnected from the laboratory exhaust tubing, and the laboratory 
exhaust tubing must be capped. You may run this PM blank test in 
combination with the dilute exhaust flow verification (propane check) in 
40 CFR 1065.341, as long as the exhaust tubing inlet to the CVS has a 
filter meeting the requirements of 40 CFR 1065.140(b)(3).
    (C) The duration of your background sample may be different than 
that of the test cycle in which you are applying the background 
correction, consistent with good engineering judgment.
    (D) Your PM background correction may not exceed 5 [micro]g or 5% of 
the net PM mass expected at the standard, whichever is greater.
    (ii) The provisions of 40 CFR 1065.140(d)(2)(iv) do not apply.
    (iii) For PM samples, configure dilution systems using the following 
limits:
    (A) Control the dilution air temperature as described in 40 CFR 
1065.140(e)(1), except that the temperature may be set to (15 to 52) 
[deg]C. Use good engineering judgment to control PM sample temperature 
as required under 40 CFR 1065.140(e)(4).

[[Page 293]]

    (B) Apply the provisions of this paragraph (b)(2)(iii)(B) instead of 
40 CFR 1065.140(e)(2). Add dilution air to the raw exhaust such that the 
overall dilution factor of diluted exhaust to raw exhaust, as shown in 
Eq. 1066.610-2 or 1066.610-3, is within the range of (7:1 to 20:1). 
Compliance with this dilution factor range may be determined for an 
individual test interval or as a time-weighted average over the entire 
duty cycle as determined in Eq. 1066.610-4. The maximum dilution factor 
limit of 20:1 does not apply for hybrid electric vehicles (HEVs), since 
the dilution factor is infinite when the engine is off; however we 
strongly recommend that you stay under the specified maximum dilution 
factor limit when the engine is running. For partial-flow sampling 
systems, determine dilution factor using Eq. 1066.610-3. To determine 
the overall dilution factor for PM samples utilizing secondary dilution 
air, multiply the dilution factor from the CVS by the dilution ratio of 
secondary dilution air to primary diluted exhaust.
    (C) You may use a higher target filter face velocity as specified in 
40 CFR 1065.170(c)(1)(vi), up to 140 cm/s, if you need to increase 
filter loading for PM measurement.
    (iv) In addition to the allowances in 40 CFR 1065.140(c)(6), you may 
heat the dilution air as described in paragraph (b)(2)(iii)(A) of this 
section to prevent or limit aqueous condensation.
    (v) If you choose to dilute the exhaust by using a remote mix tee, 
which dilutes the exhaust at the tailpipe, you may use the following 
provisions consistent with good engineering judgment, as long as they do 
not affect your ability to demonstrate compliance with the applicable 
standards:
    (A) You may use smooth-walled flexible tubing (including accordion-
style) in the dilution tunnel upstream of locations for flow measurement 
or gaseous emission measurement.
    (B) You may use smooth-walled electrically conductive flexible 
tubing in the dilution tunnel upstream of the location for PM emission 
measurements.
    (C) All inside surfaces upstream of emission sampling must be made 
of 300 series stainless steel or polymer-based materials.
    (D) Use good engineering judgment to ensure that the materials you 
choose do not cause significant loss of PM from your sample.
    (vi) Paragraph (b)(1)(vi) of this section applies instead of 40 CFR 
1065.145(b).
    (vii) Vehicles other than HEVs that apply technology involving 
engine shutdown during idle may apply the sampling provisions of Sec.  
1066.501(c).
    (c) The following table summarizes the requirements of paragraph 
(b)(2) of this section:

 Table 1 of Sec.   1066.110--Summary of Equipment Specifications From 40
        CFR Part 1065, Subpart B, That Apply for Chassis Testing
------------------------------------------------------------------------
                                              Applicability for chassis
        40 CFR part 1065 references            testing under this part
------------------------------------------------------------------------
40 CFR 1065.140...........................  Use all except as noted:
                                            40 CFR 1065.140(b) applies
                                             as described in this
                                             section.
                                            Use 40 CFR 1065.140(c)(6),
                                             with the additional
                                             allowance described in this
                                             section.
                                            Do not use 40 CFR
                                             1065.140(d)(2)(iv).
                                            Use 40 CFR 1065.140(e)(1) as
                                             described in this section.
                                            Do not use 40 CFR
                                             1065.140(e)(2).
40 CFR 1065.145...........................  Use all except 40 CFR
                                             1065.145(b).
40 CFR 1065.150...........................  Use all.
40 CFR 1065.170...........................  Use all except as noted:
                                            Use 40 CFR
                                             1065.170(c)(1)(vi) as
                                             described in this section.
40 CFR 1065.190...........................  Use all.
------------------------------------------------------------------------


[79 FR 23823, Apr. 28, 2014, as amended at 81 FR 74196, Oct. 25, 2016]



Sec.  1066.120  Measurement instruments.

    The measurement instrument requirements in 40 CFR part 1065, subpart 
C, apply with the following exceptions:

[[Page 294]]

    (a) The provisions of Sec.  1066.125 apply instead of 40 CFR 
1065.202.
    (b) The provisions of 40 CFR 1065.210 and 1065.295 do not apply.



Sec.  1066.125  Data updating, recording, and control.

    This section specifies criteria that your test system must meet for 
updating and recording data. It also specifies criteria for controlling 
the systems related to driver demand, the dynamometer, sampling 
equipment, and measurement instruments.
    (a) Read and record values and calculate mean values relative to a 
specified frequency as follows:
    (1) This paragraph (a)(1) applies where we specify a minimum command 
and control frequency that is greater than the minimum recording 
frequency, such as for sample flow rates from a CVS that does not have a 
heat exchanger. For these measurements, the rate at which you read and 
interpret the signal must be at least as frequent as the minimum command 
and control frequency. You may record values at the same frequency, or 
you may record them as mean values, as long as the frequency of the mean 
values meets the minimum recording frequency. You must use all read 
values, either by recording them or using them to calculate mean values. 
For example, if your system reads and controls the sample flow rate at 
10 Hz, you may record these values at 10 Hz, record them at 5 Hz by 
averaging pairs of consecutive points together, or record them at 1 Hz 
by averaging ten consecutive points together.
    (2) For all other measured values covered by this section, you may 
record the values instantaneously or as mean values, consistent with 
good engineering judgment.
    (3) You may not use rolling averages of measured values where a 
given measured value is included in more than one recorded mean value.
    (b) Use data acquisition and control systems that can command, 
control, and record at the following minimum frequencies:

                   Table 1 of Sec.   1066.125--Data Recording and Control Minimum Frequencies
----------------------------------------------------------------------------------------------------------------
                                                                      Minimum command and
        Applicable section                  Measured values            control frequency     Minimum recording
                                                                              \a\             frequency \b c\
----------------------------------------------------------------------------------------------------------------
Sec.   1066.310...................  Vehicle speed..................  ....................  10 Hz.
Sec.   1066.315...................
Sec.   1066.425...................  Continuous concentrations of     ....................  1 Hz.
                                     raw or dilute analyzers.
Sec.   1066.425...................  Power analyzer.................  ....................  1 Hz.
Sec.   1066.501...................
Sec.   1066.425...................  Bag concentrations of raw or     ....................  1 mean value per test
                                     dilute analyzers.                                      interval.
40 CFR 1065.545...................  Diluted exhaust flow rate from   ....................  1 Hz.
Sec.   1066.425...................   a CVS with a heat exchanger
                                     upstream of the flow
                                     measurement.
40 CFR 1065.545...................  Diluted exhaust flow rate from   5 Hz................  1 Hz means.
Sec.   1066.425...................   a CVS without a heat exchanger
                                     upstream of the flow
                                     measurement.
40 CFR 1065.545...................  Dilution air flow if actively    5 Hz................  1 Hz means.
Sec.   1066.425...................   controlled (for example, a
                                     partial-flow PM sampling
                                     system) \d\.
40 CFR 1065.545...................  Sample flow from a CVS that has  1 Hz................  1 Hz.
Sec.   1066.425...................   a heat exchanger.
40 CFR 1065.545...................  Sample flow from a CVS that      5 Hz................  1 Hz means.
Sec.   1066.425...................   does not have a heat exchanger.
Sec.   1066.420...................  Ambient temperature............  ....................  1 Hz.\e\
Sec.   1066.420...................  Ambient humidity...............  ....................  1 Hz.\e\
Sec.   1066.420...................  Heated sample system             ....................  1 Hz.
                                     temperatures, including PM
                                     filter face.
----------------------------------------------------------------------------------------------------------------
\a\ CFVs that are not using active control are exempt from meeting this requirement due to their operating
  principle.
\b\ 1 Hz means are data reported from the instrument at a higher frequency, but recorded as a series of 1 s mean
  values at a rate of 1 Hz.
\c\ For CFVs in a CVS, the minimum recording frequency is 1 Hz. For CFVs used to control sampling from a CFV
  CVS, the minimum recording frequency is not applicable.
\d\ This is not applicable to CVS dilution air.
\e\ Unless specified elsewhere in this part or the standard-setting part. Note that this provision does not
  apply to soak periods where recording frequencies are not specified. For these instances, we recommend a
  recording frequency of =0.016 Hz.


[[Page 295]]


[79 FR 23823, Apr. 28, 2014, as amended at 80 FR 9120, Feb. 19, 2015]



Sec.  1066.130  Measurement instrument calibrations and verifications.

    The measurement instrument calibration and verification requirements 
in 40 CFR part 1065, subpart D, apply with the following exceptions:
    (a) The calibration and verification provisions of 40 CFR 1065.303 
do not apply for engine speed, torque, fuel rate, or intake air flow.
    (b) The linearity verification provisions of 40 CFR 1065.307 do not 
apply for engine speed, torque, fuel rate, or intake air flow. Section 
1066.135 specifies additional linearity verification provisions that 
apply specifically for chassis testing.
    (c) The provisions of Sec.  1066.220 apply instead 40 CFR 1065.310.
    (d) The provisions of 40 CFR 1065.320, 1065.325, and 1065.395 do not 
apply.
    (e) If you are measuring flow volumetrically (rather than measuring 
based on molar values), the provisions of Sec.  1066.140 apply instead 
of 40 CFR 1065.340.
    (f) The provisions of Sec.  1066.150 apply instead 40 CFR 
1065.350(c), 1065.355(c), 1065.370(c), and 1065.375(c).
    (g) Table 1 of this section summarizes the required and recommended 
calibrations and verifications that are unique to testing under this 
part and indicates when these must be performed. Perform other required 
or recommended calibrations and verifications as described in 40 CFR 
1065.303, with the exceptions noted in this section. Table 1 follows:

    Table 1 of Sec.   1066.130--Summary of Required Calibrations and
                              Verifications
------------------------------------------------------------------------
      Type of calibration or
           verification                     Minimum frequency \a\
------------------------------------------------------------------------
40 CFR 1065.307: Linearity          The linearity verifications from 40
 verification.                       CFR part 1065 do not apply under
                                     this part for engine speed, torque,
                                     fuel rate, or intake air flow; the
                                     linearity verification described in
                                     Sec.   1066.135 applies for the
                                     following measurements:
                                    Dynamometer speed: See Sec.
                                     1066.220.
                                    Dynamometer torque: See Sec.
                                     1066.220.
40 CFR 1065.310: Torque...........  This calibration does not apply for
                                     testing under this part; see Sec.
                                     1066.220.
40 CFR 1065.320: Fuel flow........  This calibration does not apply for
                                     testing under this part.
40 CFR 1065.325: Intake flow......  This calibration does not apply for
                                     testing under this part.
40 CFR 1065.340: CVS calibration..  This calibration does not apply for
                                     CVS flow meters calibrated
                                     volumetrically as described in Sec.
                                       1066.140.
40 CFR 1065.345: Vacuum leak......  Required upon initial installation
                                     of the sampling system; recommended
                                     within 35 days before the start of
                                     an emissions test and after
                                     maintenance such as pre-filter
                                     changes.
40 CFR 1065.350(c), 1065.355(c),    These provisions do not apply for
 1065.370(c), and 1065.375(c).       testing under this part; see Sec.
                                     1066.150.
40 CFR 1065.395: Inertial PM        These verifications do not apply for
 balance and weighing.               testing under this part.
------------------------------------------------------------------------
\a\ Perform calibrations and verifications more frequently if needed to
  conform to the measurement system manufacturer's instructions and good
  engineering judgment.



Sec.  1066.135  Linearity verification.

    This section describes requirements for linearity verification that 
are unique to testing under this part. (Note: See the definition of 
``linearity'' in 40 CFR 1065.1001, where we explain that linearity means 
the degree to which measured values agree with respective reference 
values and that the term ``linearity'' is not used to refer to the shape 
of a measurement instrument's unprocessed response curve.) Perform other 
required or recommended calibrations and verifications as described in 
40 CFR 1065.307, with the exceptions noted in this section.
    (a) For gas analyzer linearity, use one of the following options:
    (1) Use instrument manufacturer recommendations and good engineering 
judgment to select at least ten reference values, yrefi, that 
cover the range of values that you expect during testing (to prevent 
extrapolation beyond the verified range during emission testing). We 
recommend selecting zero as one of your reference values. For each range 
calibrated, if the deviation from a least-squares best-fit straight line 
is 2% or less of the value at each data

[[Page 296]]

point, concentration values may be calculated by use of a straight-line 
curve fit for that range. If the deviation exceeds 2% at any point, use 
the best-fit nonlinear equation that represents the data to within 2% of 
each test point to determine concentration. If you use a gas divider to 
blend calibration gases, verify that the calibration curve produced 
names a calibration gas within 2% of its certified concentration. 
Perform this verification between 15 and 50% of the full-scale analyzer 
range.
    (2) Use the linearity requirements of 40 CFR 1065.307, except for 
CO2 measurements used for determining fuel economy and GHG 
emissions for motor vehicles at or below 14,000 pounds GVWR. If you 
choose this linearity option, you must use the provisions of 40 CFR 
1065.672 to check for drift and make appropriate drift corrections.
    (b) For dilution air, diluted exhaust, and raw exhaust sample flow, 
use a reference flow meter with a blower or pump to simulate flow rates. 
Use a restrictor, diverter valve, variable-speed blower, or variable-
speed pump to control the range of flow rates. Use the reference meter's 
response for the reference values.
    (1) Reference flow meters. Because of the large range in flow 
requirements, 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 dilution air, diluted exhaust for 
partial-flow dilution, and raw exhaust, 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 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.
    (2) Reference flow values. Because the reference flow is not 
absolutely constant, sample and record values of Qrefi for 30 
seconds and use the arithmetic mean of the values, Qiref, as 
the reference value. Refer to 40 CFR 1065.602 for an example of 
calculating an arithmetic mean.
    (3) Linearity criteria. The values measured during linearity 
verification for flow meters must meet the following criteria: [verbar] 
xmin(a1-1) + a0 [verbar] <= 1% [middot] 
Qmax; a1 = 0.98-1.02; SEE = <= 2% [middot] 
Qmax; and r\2\ =0.990.
    (c) Perform linearity verifications for the following temperature 
measurements instead of those specified at 40 CFR 1065.307(e)(7):
    (1) Test cell ambient air.
    (2) Dilution air for PM sampling, including CVS, double-dilution, 
and partial-flow systems.
    (3) PM sample.
    (4) Chiller sample, for gaseous sampling systems that use thermal 
chillers to dry samples, and that use chiller temperature to calculate 
dewpoint at the chiller outlet. For testing, if you choose to use the 
high alarm temperature setpoint for the chiller temperature as a 
constant value in determining the amount of water removed from the 
emission sample, you may verify the accuracy of the high alarm 
temperature setpoint using good engineering judgment without following 
the linearity verification for chiller temperature. We recommend that 
you input a simulated reference temperature signal below the alarm 
setpoint, increase this signal until the high alarm trips, and verify 
that the alarm setpoint value is no less than 2 [deg]C below the 
reference value at the trip point.
    (5) CVS flow meter inlet temperature.
    (d) Perform linearity verifications for the following pressure 
measurements instead of those specified at 40 CFR 1065.307(e)(8):
    (1) Raw exhaust static pressure control.
    (2) Barometric pressure.
    (3) CVS flow meter inlet pressure.
    (4) Sample dryer, for gaseous sampling systems that use either 
osmotic-membrane dryers or thermal chillers to dry samples. For your 
testing, if you choose to use a low alarm pressure setpoint for the 
sample dryer pressure as a constant value in determining the amount of 
water removed from the emission sample, you may verify the accuracy of 
the low alarm pressure setpoint using good engineering judgment without 
following the linearity verification for sample dryer pressure.

[[Page 297]]

We recommend that you input a reference pressure signal above the alarm 
setpoint, decrease this signal until the low alarm trips, and verify 
that the alarm setpoint value is no more than 4 kPa above the reference 
value at the trip point.
    (e) When following procedures or practices that we incorporate by 
reference in Sec.  1066.1010, you must meet the linearity requirements 
given by the procedure or practice for any analytical instruments not 
covered under 40 CFR 1065.307, such as GC-FID or HPLC.

[79 FR 23823, Apr. 28, 2014, as amended at 81 FR 74197, Oct. 25, 2016]



Sec.  1066.140  Diluted exhaust flow calibration.

    (a) Overview. This section describes how to calibrate flow meters 
for diluted exhaust constant-volume sampling (CVS) systems. We recommend 
that you also use this section to calibrate flow meters that use a 
subsonic venturi or ultrasonic flow to measure raw exhaust flow. You may 
follow the molar flow calibration procedures in 40 CFR 1065.340 instead 
of the procedures in this section.
    (b) Scope and frequency. Perform this calibration while the flow 
meter is installed in its permanent position, except as allowed in 
paragraph (c) of this section. 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 40 CFR 1065.341.
    (c) Ex-situ CFV and SSV calibration. You may remove a CFV or SSV 
from its permanent position for calibration as long as the flow meter 
meets the requirements in 40 CFR 1065.340(c).
    (d) Reference flow meter. Calibrate each 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, 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.
    (e) Configuration. Calibrate the system with any upstream screens or 
other restrictions that will be used during testing and that could 
affect the flow ahead of the flow meter. You may not use any 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.
    (f) PDP calibration. Calibrate each 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,Viref. 
This may include several measurements of different quantities, such as 
reference meter pressures and temperatures, for 
calculatingViref.
    (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.

[[Page 298]]

    (7) Incrementally close the restrictor valve to decrease the 
absolute pressure at the inlet to the PDP, Pin.
    (8) Repeat the steps in paragraphs (f)(6) and (7) of this section to 
record data at a minimum of six restrictor positions ranging from the 
wide-open restrictor position to the minimum expected pressure at the 
PDP inlet or the maximum expected differential (outlet minus inlet) 
pressure across the PDP during testing.
    (9) Calibrate the PDP by using the collected data and the equations 
in Sec.  1066.625(a).
    (10) Repeat the steps in paragraphs (f)(6) through (9) of this 
section for each speed at which you operate the PDP.
    (11) Use the equations in Sec.  1066.630(a) 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 40 CFR 1065.341.
    (13) During emission testing ensure that the PDP is not operated 
either below the lowest inlet pressure point or above the highest 
differential pressure point in the calibration data.
    (g) SSV calibration. Calibrate each subsonic venturi (SSV) to 
determine its discharge coefficient, Cd, for the expected 
range of inlet pressures. Calibrate an SSV flow meter as follows:
    (1) Configure your calibration system as shown in Figure 1 of this 
section.
    (2) Verify that any leaks between the calibration flow meter and the 
SSV are less than 0.3% of the total flow at the highest restriction.
    (3) Start the blower downstream of the SSV.
    (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,Viref. 
This may include several measurements of different quantities for 
calculatingViref, such as reference meter pressures and 
temperatures.
    (ii) The mean temperature at the venturi inlet, Tin.
    (iii) The mean static absolute pressure at the venturi inlet, 
pin.
    (iv) Mean 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 an equation to quantify Cd as a function of 
Re# by using the collected data and the equations in Sec.  
1066.625(b). Section 1066.625 also includes statistical criteria for 
validating the Cd versus Re# equation.
    (10) Verify the calibration by performing a CVS verification (i.e., 
propane check) as described in 40 CFR 1065.341 using the new 
Cd versus Re# equation.
    (11) Use the SSV only between the minimum and maximum calibrated 
Re#. If you want to use the SSV at a lower or higher 
Re#, you must recalibrate the SSV.
    (12) Use the equations in Sec.  1066.630(b) to determine SSV flow 
during a test.
    (h) CFV calibration. The calibration procedure described in this 
paragraph (h) establishes the value of the calibration coefficient, 
Kv, at measured values of pressure, temperature and air flow. 
Calibrate the CFV up to the highest expected pressure ratio, r, 
according to Sec.  1066.625. Calibrate the CFV as follows:
    (1) Configure your calibration system as shown in Figure 1 of this 
section.
    (2) Verify that any leaks between the calibration flow meter and the 
CFV are less than 0.3% of the total flow at the highest restriction.
    (3) Start the blower downstream of the CFV.

[[Page 299]]

    (4) While the CFV operates, maintain a constant temperature at the 
CFV inlet within 2% of the mean absolute inlet 
temperature, Tin.
    (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) 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,Viref. 
This may include several measurements of different quantities, such as 
reference meter pressures and temperatures, for 
calculatingViref.
    (ii) The mean temperature at the venturi inlet, Tin.
    (iii) The mean static absolute pressure at the venturi inlet, 
pin.
    (iv) The mean static differential pressure between the CFV inlet and 
the CFV outlet, [Delta]pCFV.
    (7) Incrementally close the restrictor valve or decrease the 
downstream pressure to decrease the differential pressure across the 
CFV, [Delta]pCFV.
    (8) Repeat the steps in paragraphs (h)(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 restriction.
    (9) Determine Kv and the highest allowable pressure 
ratio, r, according to Sec.  1066.625.
    (10) Use Kv to determine CFV flow during an emission 
test. Do not use the CFV above the highest allowed r, as determined in 
Sec.  1066.625.
    (11) Verify the calibration by performing a CVS verification (i.e., 
propane check) as described in 40 CFR 1065.341.
    (12) If your CVS is configured to operate multiple CFVs in parallel, 
calibrate your CVS using one of the following methods:
    (i) Calibrate every combination of CFVs according to this section 
and Sec.  1066.625(c). Refer to Sec.  1066.630(c) for instructions on 
calculating flow rates for this option.
    (ii) Calibrate each CFV according to this section and Sec.  
1066.625. Refer to Sec.  1066.630 for instructions on calculating flow 
rates for this option.
    (i) Ultrasonic flow meter calibration. [Reserved]

[[Page 300]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.234


[[Page 301]]



[79 FR 23823, Apr. 28, 2014, as amended at 81 FR 74197, Oct. 25, 2016]



Sec.  1066.145  Test fuel, engine fluids, analytical gases, 
and other calibration standards.

    (a) Test fuel. Use test fuel as specified in the standard-setting 
part, or as specified in 40 CFR part 1065, subpart H, if it is not 
specified in the standard-setting part.
    (b) Lubricating oil. Use lubricating oil as specified in 40 CFR 
1065.740. For two-stroke engines that involve a specified mixture of 
fuel and lubricating oil, mix the lubricating oil with the fuel 
according to the manufacturer's specifications.
    (c) Coolant. For liquid-cooled engines, use coolant as specified in 
40 CFR 1065.745.
    (d) Analytical gases. Use analytical gases that meet the 
requirements of 40 CFR 1065.750.
    (e) Mass standards. Use mass standards that meet the requirements of 
40 CFR 1065.790.



Sec.  1066.150  Analyzer interference and quench verification limit.

    Analyzers must meet the interference and quench verification limits 
in the following table on the lowest, or most representative, instrument 
range that will be used during emission testing, instead of those 
specified in 40 CFR part 1065, subpart D:

      Table 1 of Sec.   1066.150--Analyzer Interference and Quench
                           Verification Limits
------------------------------------------------------------------------
              Verification                            Limit
------------------------------------------------------------------------
40 CFR 1065.350........................  2% of
                                          full scale.
40 CFR 1065.355........................  2% of
                                          full scale.
40 CFR 1065.370........................  2% of
                                          full scale.
40 CFR 1065.375........................  2% of the
                                          flow-weighted mean
                                          concentration of N2O expected
                                          at the standard.
------------------------------------------------------------------------



                  Subpart C_Dynamometer Specifications



Sec.  1066.201  Dynamometer overview.

    This subpart addresses chassis dynamometers and related equipment.



Sec.  1066.210  Dynamometers.

    (a) General requirements. A chassis dynamometer typically uses 
electrically generated load forces combined with its rotational inertia 
to recreate the mechanical inertia and frictional forces that a vehicle 
exerts on road surfaces (known as ``road load''). Load forces are 
calculated using vehicle-specific coefficients and response 
characteristics. The load forces are applied to the vehicle tires by 
rolls connected to motor/absorbers. The dynamometer uses a load cell to 
measure the forces the dynamometer rolls apply to the vehicle's tires.
    (b) Accuracy and precision. The dynamometer's output values for road 
load must be NIST-traceable. We may determine traceability to a specific 
national or international standards organization to be sufficient to 
demonstrate NIST-traceability. The force-measurement system must be 
capable of indicating force readings as follows:
    (1) For dynamometer testing of vehicles at or below 20,000 pounds 
GVWR, the dynamometer force-measurement system must be capable of 
indicating force readings during a test to a resolution of 0.05% of the maximum load-cell force simulated by the 
dynamometer or 9.8 N (2.2 
lbf), whichever is greater.
    (2) For dynamometer testing of vehicles above 20,000 pounds GVWR, 
the force-measurement system must be capable of indicating force 
readings during a test to a resolution of 0.05% of 
the maximum load-cell force simulated by the dynamometer or 39.2 N (8.8 lbf), whichever is 
greater.
    (c) Test cycles. The dynamometer must be capable of fully simulating 
vehicle performance over applicable test cycles for the vehicles being 
tested as referenced in the corresponding standard-setting part, 
including operation at the combination of inertial and road-load forces 
corresponding to maximum road-load conditions and maximum simulated 
inertia at the highest acceleration rate experienced during testing.
    (d) Component requirements. The following specifications apply:
    (1) The nominal roll diameter must be 120 cm or greater. The 
dynamometer must have an independent drive roll for each drive axle as 
tested under Sec.  1066.410(g), except that two drive axles may share a 
single drive roll. Use good engineering judgment to ensure that

[[Page 302]]

the dynamometer roll diameter is large enough to provide sufficient 
tire-roll contact area to avoid tire overheating and power losses from 
tire-roll slippage.
    (2) Measure and record force and speed at 10 Hz or faster. You may 
convert measured values to 1-Hz, 2-Hz, or 5-Hz values before your 
calculations, using good engineering judgment.
    (3) The load applied by the dynamometer simulates forces acting on 
the vehicle during normal driving according to the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.235

Where:

FR = total road-load force to be applied at the surface of the roll. The 
          total force is the sum of the individual tractive forces 
          applied at each roll surface.
i = a counter to indicate a point in time over the driving schedule. For 
          a dynamometer operating at 10 Hz intervals over a 600 second 
          driving schedule, the maximum value of i should be 6,000.
A = a vehicle-specific constant value representing the vehicle's 
          frictional load in lbf or newtons. See subpart D of this part.
Gi = instantaneous road grade, in percent. If your duty cycle 
          is not subject to road grade, set this value to 0.
B = a vehicle-specific coefficient representing load from drag and 
          rolling resistance, which are a function of vehicle speed, in 
          lbf/(mi/hr) or N[middot]s/m. See subpart D of this part.
v = instantaneous linear speed at the roll surfaces as measured by the 
          dynamometer, in mi/hr or m/s. Let vi-1 = 0 for i = 
          0.
C = a vehicle-specific coefficient representing aerodynamic effects, 
          which are a function of vehicle speed squared, in lbf/(mi/
          hr)\2\ or N[middot]s\2\/m\2\. See subpart D of this part.
Me = the vehicle's effective mass in lbm or kg, including the 
          effect of rotating axles as specified in Sec.  1066.310(b)(7).
t = elapsed time in the driving schedule as measured by the dynamometer, 
          in seconds. Let ti-1 = 0 for i = 0.
M = the measured vehicle mass, in lbm or kg.
ag = acceleration of Earth's gravity, as described in 40 CFR 
          1065.630.

    (4) We recommend that a dynamometer capable of testing vehicles at 
or below 20,000 pounds GVWR be designed to apply an actual road-load 
force within 1% or 9.8 N 
(2.2 lbf) of the reference value, whichever is 
greater. Note that slightly higher errors may be expected during highly 
transient operation for vehicles above 8,500 pounds GVWR.
    (e) Dynamometer manufacturer instructions. This part specifies that 
you follow the dynamometer manufacturer's recommended procedures for 
things such as calibrations and general operation. If you perform 
testing with a dynamometer that you manufactured or if you otherwise do 
not have these recommended procedures, use good engineering judgment to 
establish the additional procedures and specifications we specify in 
this part, unless we specify otherwise. Keep records to describe these 
recommended procedures and how they are consistent with good engineering 
judgment, including any quantified error estimates.

[79 FR 23823, Apr. 28, 2014, as amended at 81 FR 74198, Oct. 25, 2016]



Sec.  1066.215  Summary of verification procedures for chassis dynamometers.

    (a) Overview. This section describes the overall process for 
verifying and calibrating the performance of chassis dynamometers.
    (b) Scope and frequency. The following table summarizes the required 
and recommended calibrations and verifications described in this subpart 
and indicates when they must occur:

[[Page 303]]



       Table 1 of Sec.   1066.215--Summary of Required Dynamometer
                              Verifications
------------------------------------------------------------------------
     Type of verification                Minimum frequency \a\
------------------------------------------------------------------------
Sec.   1066.220: Linearity     Speed: Upon initial installation, within
 verification.                  370 days before testing, and after major
                                maintenance. Torque (load): Upon initial
                                installation and after major
                                maintenance.
Sec.   1066.225: Roll runout   Upon initial installation and after major
 and diameter verification.     maintenance.
Sec.   1066.230: Time          Upon initial installation and after major
 verification.                  maintenance.
Sec.   1066.235: Speed         Upon initial installation, within 370
 measurement verification.      days before testing, and after major
                                maintenance.
Sec.   1066.240: Torque        Upon initial installation, within 7 days
 (load) transducer              of testing, and after major maintenance.
 verification.
Sec.   1066.245: Response      Upon initial installation, within 370
 time verification.             days before testing, and after major
                                maintenance.
Sec.   1066.250: Base inertia  Upon initial installation and after major
 verification.                  maintenance.
Sec.   1066.255: Parasitic     Upon initial installation, after major
 loss verification.             maintenance, and upon failure of a
                                verification in Sec.   1066.270 or Sec.
                                 1066.275.
Sec.   1066.260: Parasitic     Upon initial installation, after major
 friction compensation          maintenance, and upon failure of a
 verification.                  verification in Sec.   1066.270 or Sec.
                                 1066.275.
Sec.   1066.265: Acceleration  Upon initial installation and after major
 and deceleration               maintenance.
 verification.
Sec.   1066.270: Unloaded      Upon initial installation, within 7 days
 coastdown verification.        of testing, and after major maintenance.
Sec.   1066.275 Dynamometer    Upon initial installation, within 1 day
 readiness verification.        before testing, and after major
                                maintenance.
------------------------------------------------------------------------
\a\ Perform calibrations and verifications more frequently, according to
  measurement system manufacturer instructions and good engineering
  judgment.

    (c) Automated dynamometer verifications and calibrations. In some 
cases, dynamometers are designed with internal diagnostic and control 
features to accomplish the verifications and calibrations specified in 
this subpart. You may use these automated functions instead of following 
the procedures we specify in this subpart to demonstrate compliance with 
applicable requirements, consistent with good engineering judgment.
    (d) Sequence of verifications and calibrations. Upon initial 
installation and after major maintenance, perform the verifications and 
calibrations in the same sequence as noted in Table 1 of this section, 
except that you may perform speed linearity verification after the 
verifications in Sec. Sec.  1066.225 and 1066.230. At other times, you 
may need to perform specific verifications or calibrations in a certain 
sequence, as noted in this subpart. If you perform major maintenance on 
a specific component, you are required to perform verifications and 
calibrations only on components or parameters that are affected by the 
maintenance.
    (e) Corrections. Unless the regulation directs otherwise, if the 
dynamometer fails to meet any specified calibration or verification, 
make any necessary adjustments or repairs such that the dynamometer 
meets the specification before running a test. Repairs required to meet 
specifications are generally considered major maintenance under this 
part.



Sec.  1066.220  Linearity verification for chassis dynamometer systems.

    (a) Scope and frequency. Perform linearity verification for 
dynamometer speed and torque at least as frequently as indicated in 
Table 1 of Sec.  1066.215. The intent of linearity verification is to 
determine that the system responds accurately and proportionally over 
the measurement range of interest. 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. Repeat the linearity verification after correcting

[[Page 304]]

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) 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), the letter ``y'' denotes a generic 
measured quantity, the superscript over-bar denotes an arithmetic mean 
(such as y), and the subscript ``ref'' denotes the known or 
reference quantity being measured.
    (2) Operate the dynamometer system at the specified operating 
conditions. This may include any specified adjustment or periodic 
calibration of the dynamometer system.
    (3) Set dynamometer speed and torque to zero.
    (4) Verify the dynamometer speed or torque signal based on the 
dynamometer manufacturer's recommendations.
    (5) After verification, check for zero speed and torque. Use good 
engineering judgment to determine whether or not to rezero or re-verify 
speed and torque before continuing.
    (6) For both speed and torque, use the dynamometer manufacturer's 
recommendations and 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 zero speed and zero torque as reference values 
for the linearity verification.
    (7) Use the dynamometer manufacturer's 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 and to 
avoid the influence of hysteresis; you may select reference values in 
ascending or descending order to avoid long settling times of reference 
signals; or you may select values to ascend and then descend to 
incorporate the effects of any instrument hysteresis into the linearity 
verification.
    (8) Set the dynamometer to operate at a reference condition.
    (9) Allow time for the dynamometer to stabilize while it measures 
the reference values.
    (10) At a recording frequency of at least 1 Hz, measure speed and 
torque values for 30 seconds and record the arithmetic mean of the 
recorded values,. Refer to 40 CFR 1065.602 for an example of calculating 
an arithmetic mean.
    (11) Repeat the steps in paragraphs (c)(8) though (10) of this 
section until you measure speeds and torques at each of the reference 
settings.
    (12) 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 40 CFR 1065.602. Using good engineering judgment, you may 
weight the results of individual data pairs (i.e., 
(yrefi,yi)), in the linear regression 
calculations. Table 1 follows:

        Table 1 of Sec.   1066.220--Dynamometer Measurement Systems that Require Linearity Verifications
----------------------------------------------------------------------------------------------------------------
                                                                       Linearity criteria
                                              ------------------------------------------------------------------
      Measurement system          Quantity        [bond]ymin
                                                [middot] (a1-1)        a1              SEE             r \2\
                                                  + a0 [bond]
----------------------------------------------------------------------------------------------------------------
Speed........................  n               <=0.05% [middot]       0.98-1.02  <=2% [middot]    =0.
                                                nmax.                             nmax.                      990
Torque (load)................  T               <=1% [middot]          0.99-1.01  <=1% [middot]    =0.
                                                Tmax.                             Tmax.                      990
----------------------------------------------------------------------------------------------------------------

    (d) Reference signals. Generate reference values for the linearity-
verification protocol in paragraph (c)

[[Page 305]]

of this section as described for speed and torque in 40 CFR 1065.307(d).



Sec.  1066.225  Roll runout and diameter verification procedure.

    (a) Overview. This section describes the verification procedure for 
roll runout and roll diameter. Roll runout is a measure of the variation 
in roll radius around the circumference of the roll.
    (b) Scope and frequency. Perform these verifications upon initial 
installation and after major maintenance that could affect roll surface 
finish or dimensions (such as resurfacing or polishing).
    (c) Roll runout procedure. Verify roll runout based on the following 
procedure, or an equivalent procedure based on good engineering 
judgment:
    (1) Perform this verification with laboratory and dynamometer 
temperatures stable and at equilibrium. Release the roll brake and shut 
off power to the dynamometer. Remove any dirt, rubber, rust, and debris 
from the roll surface. Mark measurement locations on the roll surface 
using a marker. Mark the roll at a minimum of four equally spaced 
locations across the roll width; we recommend taking measurements every 
150 mm across the roll. Secure the marker to the deck plate adjacent to 
the roll surface and slowly rotate the roll to mark a clear line around 
the roll circumference. Repeat this process for all measurement 
locations.
    (2) Measure roll runout using an indicator with a probe that allows 
for measuring the position of the roll surface relative to the roll 
centerline as it turns through a complete revolution. The indicator must 
have some means of being securely mounted adjacent to the roll. The 
indicator must have sufficient range to measure roll runout at all 
points, with a minimum accuracy of 0.025 mm. 
Calibrate the indicator according to the instrument manufacturer's 
instructions.
    (3) Position the indicator adjacent to the roll surface at the 
desired measurement location. Position the shaft of the indicator 
perpendicular to the roll such that the point of the indicator is 
slightly touching the surface of the roll and can move freely through a 
full rotation of the roll. Zero the indicator according to the 
instrument manufacturer's instructions. Avoid distortion of the runout 
measurement from the weight of a person standing on or near the mounted 
dial indicator.
    (4) Slowly turn the roll through a complete rotation and record the 
maximum and minimum values from the indicator. Calculate runout as the 
difference between these maximum and minimum values.
    (5) Repeat the steps in paragraphs (c)(3) and (4) of this section 
for all measurement locations.
    (6) The roll runout must be less than 0.254 mm (0.0100 inches) at 
all measurement locations.
    (d) Diameter procedure. Verify roll diameter based on the following 
procedure, or an equivalent procedure based on good engineering 
judgment:
    (1) Prepare the laboratory and the dynamometer as specified in 
paragraph (c)(1) of this section.
    (2) Measure roll diameter using a Pi Tape[supreg]. Orient the Pi 
Tape[supreg] to the marker line at the desired measurement location with 
the Pi Tape[supreg] hook pointed outward. Temporarily secure the Pi 
Tape[supreg] to the roll near the hook end with adhesive tape. Slowly 
turn the roll, wrapping the Pi Tape[supreg] around the roll surface. 
Ensure that the Pi Tape[supreg] is flat and adjacent to the marker line 
around the full circumference of the roll. Attach a 2.26-kg weight to 
the hook of the Pi Tape[supreg] and position the roll so that the weight 
dangles freely. Remove the adhesive tape without disturbing the 
orientation or alignment of the Pi Tape[supreg].
    (3) Overlap the gage member and the vernier scale ends of the Pi 
Tape[supreg] to read the diameter measurement to the nearest 0.01 mm. 
Follow the manufacturer's recommendation to correct the measurement to 
20 [deg]C, if applicable.
    (4) Repeat the steps in paragraphs (d)(2) and (3) of this section 
for all measurement locations.
    (5) The measured roll diameter must be within 0.254 mm of the specified nominal value at all 
measurement locations. You may revise the nominal value to meet this 
specification, as long as you use the corrected nominal value for all 
calculations in this subpart.

[[Page 306]]



Sec.  1066.230  Time verification procedure.

    (a) Overview. This section describes how to verify the accuracy of 
the dynamometer's timing device.
    (b) Scope and frequency. Perform this verification upon initial 
installation and after major maintenance.
    (c) Procedure. Perform this verification using one of the following 
procedures:
    (1) WWV method. You may use the time and frequency signal broadcast 
by NIST from radio station WWV as the time standard if the trigger for 
the dynamometer timing circuit has a frequency decoder circuit, as 
follows:
    (i) Contact station WWV by telephone by dialing (303) 499-7111 and 
listen for the time announcement. Verify that the trigger started the 
dynamometer timer. Use good engineering judgment to minimize error in 
receiving the time and frequency signal.
    (ii) After at least 1000 seconds, re-dial station WWV and listen for 
the time announcement. Verify that the trigger stopped the dynamometer 
timer.
    (iii) Compare the measured elapsed time, yact, to the 
corresponding time standard, yref, to determine the time 
error, yerror, using the following equation:
[GRAPHIC] [TIFF OMITTED] TR28AP14.063

    (2) Ramping method. You may use an operator-defined ramp function to 
serve as the time standard as follows:
    (i) Set up a signal generator to output a marker voltage at the peak 
of each ramp to trigger the dynamometer timing circuit. Output the 
designated marker voltage to start the verification period.
    (ii) After at least 1000 seconds, output the designated marker 
voltage to end the verification period.
    (iii) Compare the measured elapsed time between marker signals, 
yact, to the corresponding time standard, yref, to 
determine the time error, yerror, using Eq. 1066.230-1.
    (3) Dynamometer coastdown method. You may use a signal generator to 
output a known speed ramp signal to the dynamometer controller to serve 
as the time standard as follows:
    (i) Generate upper and lower speed values to trigger the start and 
stop functions of the coastdown timer circuit. Use the signal generator 
to start the verification period.
    (ii) After at least 1000 seconds, use the signal generator to end 
the verification period.
    (iii) Compare the measured elapsed time between trigger signals, 
yact, to the corresponding time standard, yref, to 
determine the time error, yerror, using Eq. 1066.230-1.
    (d) Performance evaluation. The time error determined in paragraph 
(c) of this section may not exceed 0.001%.



Sec.  1066.235  Speed verification procedure.

    (a) Overview. This section describes how to verify the accuracy of 
the dynamometer speed determination. When performing this verification, 
you must also ensure the dynamometer speed at any devices used to 
display or record vehicle speed (such as a driver's aid) is 
representative of the speed input from the dynamometer speed 
determination.
    (b) Scope and frequency. Perform this verification upon initial 
installation, within 370 days before testing, and after major 
maintenance.
    (c) Procedure. Use one of the following procedures to verify the 
accuracy and resolution of the dynamometer speed simulation:
    (1) Pulse method. Connect a universal frequency counter to the 
output of the dynamometer's speed-sensing device in

[[Page 307]]

parallel with the signal to the dynamometer controller. The universal 
frequency counter must be calibrated according to the counter 
manufacturer's instructions and be capable of measuring with enough 
accuracy to perform the procedure as specified in this paragraph (c)(1). 
Make sure the instrumentation does not affect the signal to the 
dynamometer control circuits. Determine the speed error as follows:
    (i) Set the dynamometer to speed-control mode. Set the dynamometer 
speed to a value of approximately 4.5 m/s (10 mi/hr); record the output 
of the frequency counter after 10 seconds. Determine the roll speed, 
vact, using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.236

Where:

f = frequency of the dynamometer speed sensing device, accurate to at 
          least four significant figures.
droll = nominal roll diameter, accurate to the nearest 1.0 
          mm, consistent with Sec.  1066.225(d).
n = the number of pulses per revolution from the dynamometer roll speed 
          sensor.

    Example: 

f = 2.9231 Hz = 2.9231 s-1
droll = 904.40 mm = 0.90440 m
[GRAPHIC] [TIFF OMITTED] TR25OC16.237

vact = 8.3053 m/s

    (ii) Repeat the steps in paragraph (c)(1)(i) of this section for the 
maximum speed expected during testing and at least two additional evenly 
spaced speed points between the starting speed and the maximum speed 
point.
    (iii) Compare the calculated roll speed, vact, to each 
corresponding speed set point, vref, to determine values for 
speed error at each set point, verror, using the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR28AP14.147

    Example: 
vact = 8.3053 m/s
vref = 8.3000 m/s
verror = 8.3053 - 8.3000 = 0.0053 m/s

    (2) Frequency method. Install a piece of tape in the shape of an 
arrowhead on the surface of the dynamometer roll near the outer edge. 
Put a reference mark on the deck plate in line with the tape. Install a 
stroboscope or photo tachometer on the deck plate and direct the flash 
toward the tape on the roll. The stroboscope or photo tachometer must be 
calibrated according to the instrument manufacturer's instructions and 
be capable of measuring with enough accuracy to perform the procedure as 
specified in this paragraph (c)(2). Determine the speed error as 
follows:

[[Page 308]]

    (i) Set the dynamometer to speed-control mode. Set the dynamometer 
speed to a speed value of approximately 4.5 m/s (10 mi/hr). Tune the 
stroboscope or photo tachometer until the signal matches the dynamometer 
roll speed. Record the frequency. Determine the roll speed, 
yact, using Eq. 1066.235-1, using the stroboscope or photo 
tachometer's frequency for f.
    (ii) Repeat the steps in paragraph (c)(2)(i) of this section for the 
maximum speed expected during testing and at least two additional evenly 
spaced speed points between the starting speed and the maximum speed 
point.
    (iii) Compare the calculated roll speed, vact, to each 
corresponding speed set point, vref, to determine values for 
speed error at each set point, yerror, using Eq. 1066.235-2.
    (d) Performance evaluation. The speed error determined in paragraph 
(c) of this section may not exceed 0.02 m/s at any 
speed set point.

[79 FR 23823, Apr. 28, 2014, as amended at 80 FR 9120, Feb. 19, 2015; 81 
FR 74199, Oct. 25, 2016]



Sec.  1066.240  Torque transducer verification.

    Verify torque-measurement systems by performing the verifications 
described in Sec. Sec.  1066.270 and 1066.275.



Sec.  1066.245  Response time verification.

    (a) Overview. This section describes how to verify the dynamometer's 
response time to a step change in tractive force.
    (b) Scope and frequency. Perform this verification upon initial 
installation, within 370 days before testing (i.e., annually), and after 
major maintenance.
    (c) Procedure. Use the dynamometer's automated process to verify 
response time. You may perform this test either at two different inertia 
settings corresponding approximately to the minimum and maximum vehicle 
weights you expect to test or using base inertia and two acceleration 
rates that cover the range of acceleration rates experienced during 
testing (such as 0.5 and 8 (mi/hr)/s). Use good engineering judgment to 
select road-load coefficients representing vehicles of the appropriate 
weight. Determine the dynamometer's settling response time, 
ts, based on the point at which there are no measured results 
more than 10% above or below the final equilibrium value, as illustrated 
in Figure 1 of this section. The observed settling response time must be 
less than 100 milliseconds for each inertia setting. Figure 1 follows:

[[Page 309]]

[GRAPHIC] [TIFF OMITTED] TR28AP14.066


[79 FR 23823, Apr. 28, 2014, as amended at 81 FR 74199, Oct. 25, 2016]



Sec.  1066.250  Base inertia verification.

    (a) Overview. This section describes how to verify the dynamometer's 
base inertia.
    (b) Scope and frequency. Perform this verification upon initial 
installation and after major maintenance, such as maintenance that could 
affect roll inertia.
    (c) Procedure. Verify the base inertia using the following 
procedure:
    (1) Warm up the dynamometer according to the dynamometer 
manufacturer's instructions. Set the dynamometer's road-load inertia to 
zero, turning off any electrical simulation of road load and inertia so 
that the base inertia of the dynamometer is the only inertia present. 
Motor the rolls to 5 mi/hr. Apply a constant force to accelerate the 
roll at a nominal rate of 1 (mi/hr)/s. Measure the elapsed time to 
accelerate from 10 to 40 mi/hr, noting the corresponding speed and time 
points to the nearest 0.01 mi/hr and 0.01 s. Also determine mean force 
over the measurement interval.
    (2) Starting from a steady roll speed of 45 mi/hr, apply a constant 
force to the roll to decelerate the roll at a nominal rate of 1 mi/hr/s. 
Measure the elapsed time to decelerate from 40 to 10 mi/hr, noting the 
corresponding speed and time points to the nearest 0.01 mi/hr and 0.01 
s. Also determine mean force over the measurement interval.
    (3) Repeat the steps in paragraphs (c)(1) and (2) of this section 
for a total of five sets of results at the nominal acceleration rate and 
the nominal deceleration rate.
    (4) Use good engineering judgment to select two additional 
acceleration and deceleration rate pairs that cover the middle and upper 
rates expected during testing. Repeat the steps in paragraphs (c)(1) 
through (3) of this section at each of these additional acceleration and 
deceleration rates.

[[Page 310]]

    (5) Determine the base inertia, Ib, for each measurement 
interval using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.238

Where:

F = mean dynamometer force over the measurement interval as measured by 
          the dynamometer.
vfinal = roll surface speed at the end of the measurement 
          interval to the nearest 0.01 mi/hr.
vinit = roll surface speed at the start of the measurement 
          interval to the nearest 0.01 mi/hr.
[Delta]t = elapsed time during the measurement interval to the nearest 
          0.01 s.

    Example: 
F = 1.500 lbf = 48.26 ft[middot]lbm/s\2\
vfinal = 40.00 mi/hr = 58.67 ft/s
vinit = 10.00 mi/hr = 14.67 ft/s
[Delta]t = 30.00 s
[GRAPHIC] [TIFF OMITTED] TR25OC16.239

Ib = 32.90 lbm
    (6) Calculate the base inertia error, Iberror, for each 
of the thirty measured base inertia values, Ib, by comparing 
it to the manufacturer's stated base inertia, Ibref, using 
the following equation:
[GRAPHIC] [TIFF OMITTED] TR28AP14.069

    Example: 
Ibref = 32.96 lbm
Ibact = 32.90 lbm (from paragraph (c)(5) of this section)

[[Page 311]]

[GRAPHIC] [TIFF OMITTED] TR28AP14.070

    (7) Determine the base inertia mean value ib, from the 
ten acceleration and deceleration interval base inertia values for each 
of the three acceleration/deceleration rates. Then determine the base 
inertia mean value, ib, from the base inertia values 
corresponding to acceleration/deceleration rates. Calculate base inertia 
mean values as described in 40 CFR 1065.602(b)
    (8) Calculate the inertia error for the final base inertia mean 
value from paragraph (c)(7) of this section. Use Eq. 1066.250-2, 
substituting the final base inertia mean value from paragraph (c)(7) of 
this section for the individual base inertia.
    (d) Performance evaluation. The dynamometer must meet the following 
specifications to be used for testing under this part:
    (1) All base inertia errors determined under paragraph (c)(6) of 
this section may not exceed 1.0%.
    (2) The inertia error for the final base inertia mean value 
determined under paragraph (c)(8) of this section may not exceed 0.20%.

[79 FR 23823, Apr. 28, 2014, as amended at 81 FR 74199, Oct. 25, 2016]



Sec.  1066.255  Parasitic loss verification.

    (a) Overview. Verify the dynamometer's parasitic loss as described 
in this section, and correct as necessary. This procedure determines the 
dynamometer's internal losses that it must overcome to simulate road 
load. Characterize these losses in a parasitic loss curve that the 
dynamometer uses to apply compensating forces to maintain the desired 
road-load force at the roll surface.
    (b) Scope and frequency. Perform this verification upon initial 
installation, after major maintenance, and upon failure of a 
verification in either Sec.  1066.270 or Sec.  1066.275.
    (c) Procedure. Perform this verification by following the 
dynamometer manufacturer's specifications to establish a parasitic loss 
curve, taking data at fixed speed intervals to cover the range of 
vehicle speeds that will occur during testing. You may zero the load 
cell at a selected speed if that improves your ability to determine the 
parasitic loss. Parasitic loss forces may never be negative. Note that 
the torque transducers must be zeroed and spanned prior to performing 
this procedure.
    (d) Performance evaluation. Some dynamometers automatically update 
the parasitic loss curve for further testing. If this is not the case, 
compare the new parasitic loss curve to the original parasitic loss 
curve from the dynamometer manufacturer or the most recent parasitic 
loss curve you programmed into the dynamometer. You may reprogram the 
dynamometer to accept the new curve in all cases, and you must reprogram 
the dynamometer if any point on the new curve departs from the earlier 
curve by more than 9.0 N (2.0 lbf) for dynamometers capable of testing vehicles at 
or below 20,000 pounds GVWR, or 36.0 N (8.0 lbf) for dynamometers not capable of testing 
vehicles at or below 20,000 pounds GVWR.

[79 FR 23823, Apr. 28, 2014, as amended at 80 FR 9120, Feb. 19, 2015]



Sec.  1066.260  Parasitic friction compensation evaluation.

    (a) Overview. This section describes how to verify the accuracy of 
the dynamometer's friction compensation.
    (b) Scope and frequency. Perform this verification upon initial 
installation, after major maintenance, and upon failure of a 
verification in either Sec.  1066.270 or Sec.  1066.275. Note that this 
procedure relies on proper verification of speed and torque, as 
described in Sec. Sec.  1066.235 and 1066.240. You must also first 
verify the dynamometer's parasitic loss curve as specified in Sec.  
1066.255.

[[Page 312]]

    (c) Procedure. Use the following procedure to verify the accuracy of 
the dynamometer's friction compensation:
    (1) Warm up the dynamometer as specified by the dynamometer 
manufacturer.
    (2) Perform a torque verification as specified by the dynamometer 
manufacturer. For torque verifications relying on shunt procedures, if 
the results do not conform to specifications, recalibrate the 
dynamometer using NIST-traceable standards as appropriate until the 
dynamometer passes the torque verification. Do not change the 
dynamometer's base inertia to pass the torque verification.
    (3) Set the dynamometer inertia to the base inertia with the road-
load coefficients A, B, and C set to 0. Set the dynamometer to speed-
control mode with a target speed of 50 mi/hr or a higher speed 
recommended by the dynamometer manufacturer. Once the speed stabilizes 
at the target speed, switch the dynamometer from speed-control to 
torque-control and allow the roll to coast for 60 seconds. Record the 
initial and final speeds and the corresponding start and stop times. If 
friction compensation is executed perfectly, there will be no change in 
speed during the measurement interval.
    (4) Calculate the power equivalent of friction compensation error, 
FCerror, using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.240

Where:

I = dynamometer inertia setting.
t = duration of the measurement interval, accurate to at least 0.01 s.
vinit = the roll speed corresponding to the start of the 
          measurement interval, accurate to at least 0.05 mi/hr.
vfinal = the roll speed corresponding to the end of the 
          measurement interval, accurate to at least 0.05 mi/hr.
    Example: 
I = 2000 lbm = 62.16 lbf[middot]s\2\/ft
t = 60.0 s
vinit = 9.2 mi/hr = 13.5 ft/s
vfinal = 10.0 mi/hr = 14.7 ft/s
[GRAPHIC] [TIFF OMITTED] TR25OC16.241

FCerror = -16.5 ft[middot]lbf/s = -0.031 hp
    (5) The friction compensation error may not exceed 0.15 hp for dynamometers capable of testing vehicles at 
or below 20,000 pounds GVWR, or 0.6 hp for 
dynamometers not capable of testing vehicles at or below 20,000 pounds 
GVWR.

[79 FR 23823, Apr. 28, 2014, as amended at 81 FR 74200, Oct. 25, 2016]



Sec.  1066.265  Acceleration and deceleration verification.

    (a) Overview. This section describes how to verify the dynamometer's 
ability to achieve targeted acceleration and deceleration rates. 
Paragraph (c) of this section describes how this verification applies 
when the dynamometer is programmed directly for a specific acceleration 
or deceleration rate. Paragraph (d) of this section describes how this 
verification applies when the dynamometer is programmed with a 
calculated force to achieve a

[[Page 313]]

targeted acceleration or deceleration rate.
    (b) Scope and frequency. Perform this verification or an equivalent 
procedure upon initial installation and after major maintenance that 
could affect acceleration and deceleration accuracy. Note that this 
procedure relies on proper verification of speed as described in Sec.  
1066.235.
    (c) Verification of acceleration and deceleration rates. Activate 
the dynamometer's function generator for measuring roll revolution 
frequency. If the dynamometer has no such function generator, set up a 
properly calibrated external function generator consistent with the 
verification described in this paragraph (c). Use the function generator 
to determine actual acceleration and deceleration rates as the 
dynamometer traverses speeds between 10 and 40 mi/hr at various nominal 
acceleration and deceleration rates. Verify the dynamometer's 
acceleration and deceleration rates as follows:
    (1) Set up start and stop frequencies specific to your dynamometer 
by identifying the roll-revolution frequency, f, in revolutions per 
second (or Hz) corresponding to 10 mi/hr and 40 mi/hr vehicle speeds, 
accurate to at least four significant figures, using the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.242

Where:

v = the target roll speed, in inches per second (corresponding to drive 
          speeds of 10 mi/hr or 40 mi/hr).
n = the number of pulses from the dynamometer's roll-speed sensor per 
          roll revolution.
droll = roll diameter, in inches.

    (2) Program the dynamometer to accelerate the roll at a nominal rate 
of 1 mi/hr/s from 10 mi/hr to 40 mi/hr. Measure the elapsed time to 
reach the target speed, to the nearest 0.01 s. Repeat this measurement 
for a total of five runs. Determine the actual acceleration rate for 
each run, aact, using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.243

Where:

aact = acceleration rate (decelerations have negative 
          values).
vfinal = the target value for the final roll speed.
vinit = the setpoint value for the initial roll speed.
t = time to accelerate from vinit to vfinal.

    Example: 
vfinal = 40 mi/hr
vinit = 10 mi/hr
t = 30.003 s
[GRAPHIC] [TIFF OMITTED] TR25OC16.244


[[Page 314]]


aact = 0.999 (mi/hr)/s

    (3) Program the dynamometer to decelerate the roll at a nominal rate 
of 1 (mi/hr)/s from 40 mi/hr to 10 mi/hr. Measure the elapsed time to 
reach the target speed, to the nearest 0.01 s. Repeat this measurement 
for a total of five runs. Determine the actual acceleration rate, 
aact, using Eq. 1066.265-2.
    (4) Repeat the steps in paragraphs (c)(2) and (3) of this section 
for additional acceleration and deceleration rates in 1 (mi/hr)/s 
increments up to and including one increment above the maximum 
acceleration rate expected during testing. Average the five repeat runs 
to calculate a mean acceleration rate, aact, at each setting.
    (5) Compare each mean acceleration rate, aact, to the 
corresponding nominal acceleration rate, aref, to determine 
values for acceleration error, aerror, using the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.245

    Example: 
aact = 0.999 (mi/hr)/s
aref = 1 (mi/hr)/s
[GRAPHIC] [TIFF OMITTED] TR25OC16.246

aerror = -0.100%

    (d) Verification of forces for controlling acceleration and 
deceleration. Program the dynamometer with a calculated force value and 
determine actual acceleration and deceleration rates as the dynamometer 
traverses speeds between 10 and 40 mi/hr at various nominal acceleration 
and deceleration rates. Verify the dynamometer's ability to achieve 
certain acceleration and deceleration rates with a given force as 
follows:
    (1) Calculate the force setting, F, using the following equation:
    [GRAPHIC] [TIFF OMITTED] TR25OC16.247
    
Where:

Ib = the dynamometer manufacturer's stated base inertia, in 
          lbf[middot]s\2\/ft.
a = nominal acceleration rate, in ft/s\2\.

    Example: 
Ib = 2967 lbm = 92.217 lbf[middot]s\2\/ft
a = 1 (mi/hr)/s = 1.4667 ft/s\2\
F = 92.217 - 1.4667
F = 135.25 lbf

    (2) Set the dynamometer to road-load mode and program it with a 
calculated force to accelerate the roll at a nominal rate of 1 (mi/hr)/s 
from 10 mi/hr to 40 mi/hr. Measure the elapsed time to reach the target 
speed, to the nearest

[[Page 315]]

0.01 s. Repeat this measurement for a total of five runs. Determine the 
actual acceleration rate, aact, for each run using Eq. 
1066.265-2. Repeat this step to determine measured ``negative 
acceleration'' rates using a calculated force to decelerate the roll at 
a nominal rate of 1 (mi/hr)/s from 40 mi/hr to 10 mi/hr. Average the 
five repeat runs to calculate a mean acceleration rate, aact, 
at each setting.
    (3) Repeat the steps in paragraph (d)(2) of this section for 
additional acceleration and deceleration rates as specified in paragraph 
(c)(4) of this section.
    (4) Compare each mean acceleration rate, aact, to the 
corresponding nominal acceleration rate, aref, to determine 
values for acceleration error, aerror, using Eq. 1066.265-3.
    (e) Performance evaluation. The acceleration error from paragraphs 
(c)(5) and (d)(4) of this section may not exceed 1.0%.

[79 FR 23823, Apr. 28, 2014, as amended at 81 FR 74200, Oct. 25, 2016]



Sec.  1066.270  Unloaded coastdown verification.

    (a) Overview. Use force measurements to verify the dynamometer's 
settings based on coastdown procedures.
    (b) Scope and frequency. Perform this verification upon initial 
installation, within 7 days of testing, and after major maintenance.
    (c) Procedure. This procedure verifies the dynamometer's settings 
derived from coastdown testing. For dynamometers that have an automated 
process for this procedure, perform this evaluation by setting the 
initial speed, final speed, inertial coefficients, and road-load 
coefficients as required for each test, using good engineering judgment 
to ensure that these values properly represent in-use operation. Use the 
following procedure if your dynamometer does not perform this 
verification with an automated process:
    (1) Warm up the dynamometer as specified by the dynamometer 
manufacturer.
    (2) With the dynamometer in coastdown mode, set the dynamometer 
inertia for the smallest vehicle weight that you expect to test and set 
A, B, and C road-load coefficients to values typical of those used 
during testing. Program the dynamometer to coast down over the 
dynamometer operational speed range (typically from a speed of 80 mi/hr 
through a minimum speed at or below 10 mi/hr). Perform at least one 
coastdown run over this speed range, collecting data over each 10 mi/hr 
interval.
    (3) Repeat the steps in paragraph (c)(2) of this section with the 
dynamometer inertia and road-load coefficients set for the largest 
vehicle weight that you expect to test.
    (4) Determine the average coastdown force, F, for each speed and 
inertia setting for each of the coastdowns performed using the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.248

Where:

F = the mean force measured during the coastdown for each speed interval 
          and inertia setting, expressed in lbf[middot]s\2\/ft and 
          rounded to four significant figures.
I = the dynamometer's inertia setting, in lbf[middot]s\2\/ft.
vinit = the speed at the start of the coastdown interval, 
          expressed in ft/s to at least four significant figures.
vfinal = the speed at the end of the coastdown interval, 
          expressed in ft/s to at least four significant figures.
t = coastdown time for each speed interval and inertia setting, accurate 
          to at least 0.01 s.

[[Page 316]]

    Example: 
I = 2000 lbm = 62.16 lbf[middot]s\2\/ft
vinit = 25 mi/hr = 36.66 ft/s
vfinal = 15 mi/hr = 22.0 ft/s
t = 5.00 s
[GRAPHIC] [TIFF OMITTED] TR25OC16.249

F = 182.2 lbf
    (5) Calculate the target value of coastdown force, Fref, 
based on the applicable dynamometer parameters for each speed interval 
and inertia setting.
    (6) Compare the mean value of the coastdown force measured for each 
speed interval and inertia setting, Fact, to the 
corresponding Fref to determine values for coastdown force 
error, Ferror, using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.250

    Example: 
Fref = 192 lbf
Fact = 191 lbf
[GRAPHIC] [TIFF OMITTED] TR25OC16.251

Ferror = 0.5%
    (d) Performance evaluation. The coastdown force error determined in 
paragraph (c) of this section may not exceed the following:
    (1) For vehicles at or below 20,000 pounds GVWR, the maximum 
allowable error, Ferrormax, for all speed intervals and 
inertia settings is 1.0% or the value determined from Eq. 1066.270-3, 
whichever is greater.
[GRAPHIC] [TIFF OMITTED] TR25OC16.252

    Example: 
Fref = 192 lbf

[[Page 317]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.253

Ferrormax = 1.14%

    (2) For vehicles above 20,000 pounds GVWR, the maximum allowable 
error, Ferrormax, for all speed intervals and inertia 
settings is 1.0% or 39.2 N, 
whichever is greater.
    (e) Remedy for nonconforming dynamometers. If the dynamometer is not 
able to meet this requirement, diagnose and repair the dynamometer 
before continuing with emission testing. Diagnosis should include 
performing the verifications in Sec.  1066.255 and Sec.  1066.260.

[79 FR 23823, Apr. 28, 2014, as amended at 80 FR 9120, Feb. 19, 2015; 81 
FR 74201, Oct. 25, 2016]



Sec.  1066.275  Daily dynamometer readiness verification.

    (a) Overview. This section describes how to verify that the 
dynamometer is ready for emission testing.
    (b) Scope and frequency. Perform this verification upon initial 
installation, within 1 day before testing, and after major maintenance.
    (c) Procedure. For dynamometers that have an automated process for 
this verification procedure, perform this evaluation by setting the 
initial speed and final speed and the inertial and road-load 
coefficients as required for the test, using good engineering judgment 
to ensure that these values properly represent in-use operation. Use the 
following procedure if your dynamometer does not perform this 
verification with an automated process:
    (1) With the dynamometer in coastdown mode, set the dynamometer 
inertia to the base inertia with the road-load coefficient A set to 20 
lbf (or a force that results in a coastdown time of less than 10 
minutes) and coefficients B and C set to 0. Program the dynamometer to 
coast down for one 10 mi/hr interval from 55 mi/hr down to 45 mi/hr. If 
your dynamometer is not capable of performing one discrete coastdown, 
then coast down with preset 10 mi/hr intervals that include a 55 mi/hr 
to 45 mi/hr interval.
    (2) Perform the coastdown.
    (3) Determine the coastdown force and coastdown force error using 
Eqs. 1066.270-1 and 1066.270-2.
    (d) Performance evaluation. The coastdown force error determined in 
paragraph (c) of this section may not exceed the following:
    (1) For vehicles at or below 20,000 pounds GVWR, 1.0% or 9.8 N (2.2 lbf), whichever is greater.
    (2) For vehicles above 20,000 pounds GVWR, 1.0% or 39.2 N (8.8 lbf), whichever is greater.
    (e) Remedy for nonconforming dynamometers. If the verification 
results fail to meet the performance criteria in paragraph (d) of this 
section, perform the procedure up to two additional times. If the 
dynamometer is consistently unable to meet the performance criteria, 
diagnose and repair the dynamometer before continuing with emission 
testing. Diagnosis should include performing the verifications in Sec.  
1066.255 and Sec.  1066.260.

[79 FR 23823, Apr. 28, 2014, as amended at 81 FR 74201, Oct. 25, 2016]



Sec.  1066.290  Verification of speed accuracy for the driver's aid.

    Use good engineering judgment to provide a driver's aid that 
facilitates compliance with the requirements of Sec.  1066.425. Verify 
the speed accuracy of the driver's aid as described in Sec.  1066.235.



                           Subpart D_Coastdown



Sec.  1066.301  Overview of road-load determination procedures.

    Vehicle testing on a chassis dynamometer involves simulating the 
road-load force, which is the sum of forces acting on a vehicle from 
aerodynamic drag, tire rolling resistance, driveline losses, and other 
effects of friction. Determine dynamometer settings to simulate road-
load force in two stages. First, perform a road-load force specification 
by characterizing on-road operation. Second, perform a road-load

[[Page 318]]

derivation to determine the appropriate dynamometer load settings to 
simulate the road-load force specification from the on-road test.
    (a) The procedures described in this subpart are used to determine 
the road-load target coefficients (A, B, and C) for the simulated road-
load equation in Sec.  1066.210(d)(3).
    (b) The general procedure for determining road-load force is 
performing coastdown tests and calculating road-load coefficients. This 
procedure is described in SAE J1263 and SAE J2263 (incorporated by 
reference in Sec.  1066.1010). This subpart specifies certain deviations 
from those procedures for certain applications.
    (c) Use good engineering judgment for all aspects of road-load 
determination. For example, minimize the effects of grade by performing 
coastdown testing on reasonably level surfaces and determining 
coefficients based on average values from vehicle operation in opposite 
directions over the course.

[80 FR 9121, Feb. 19, 2015, as amended at 81 FR 74201, Oct. 25, 2016]



Sec.  1066.305  Procedures for specifying road-load forces for motor vehicles 
at or below 14,000 pounds GVWR.

    (a) For motor vehicles at or below 14,000 pounds GVWR, develop 
representative road-load coefficients to characterize each vehicle 
covered by a certificate of conformity. Calculate road-load coefficients 
by performing coastdown tests using the provisions of SAE J1263 and SAE 
J2263 (incorporated by reference in Sec.  1066.1010). This protocol 
establishes a procedure for determination of vehicle road load force for 
speeds between 115 and 15 km/hr (71.5 and 9.3 mi/hr); the final result 
is a model of road-load force (as a function of speed) during operation 
on a dry, level road under reference conditions of 20 [deg]C, 98.21 kPa, 
no wind, no precipitation, and the transmission in neutral. You may use 
other methods that are equivalent to SAE J2263, such as equivalent test 
procedures or analytical modeling, to characterize road load using good 
engineering judgment. Determine dynamometer settings to simulate the 
road-load profile represented by these road-load target coefficients as 
described in Sec.  1066.315. Supply representative road-load forces for 
each vehicle at speeds above 15 km/hr (9.3 mi/hr), and up to 115 km/hr 
(71.5 mi/hr), or the highest speed from the range of applicable duty 
cycles.
    (b) For cold temperature testing described in subpart H of this 
part, determine road-load target coefficients using one of the following 
methods:
    (1) You may perform coastdown tests or use other methods to 
characterize road load as described in paragraph (a) of this section 
based on vehicle operation at a nominal ambient temperature of -7 [deg]C 
(20 [deg]F).
    (2) You may multiply each of the road-load target coefficients 
determined using the procedures described in paragraph (a) of this 
section by 1.1 to approximate a 10 percent decrease in coastdown time 
for the test vehicle.

[80 FR 9121, Feb. 19, 2015, as amended at 81 FR 74202, Oct. 25, 2016]



Sec.  1066.310  Coastdown procedures for vehicles above 14,000 pounds GVWR.

    This section describes coastdown procedures that are unique to 
vehicles above 14,000 pounds GVWR. These procedures are valid for 
calculating road-load coefficients for chassis and post-transmission 
powerpack testing. These procedures are also valid for calculating drag 
area (CdA) to demonstrate compliance with Phase 1 greenhouse 
gas emission standards under 40 CFR part 1037.
    (a) Determine road-load coefficients by performing a minimum of 16 
valid coastdown runs (8 in each direction).
    (b) Follow the provisions of Sections 1 through 9 of SAE J1263 and 
SAE J2263 (incorporated by reference in Sec.  1066.1010), except as 
described in this paragraph (b). The terms and variables identified in 
this paragraph (b) have the meaning given in SAE J1263 or J2263 unless 
specified otherwise.
    (1) The test condition specifications of SAE J1263 apply except as 
follows for wind and road conditions:
    (i) We recommend that you do not perform coastdown testing on days 
for which winds are forecast to exceed 6.0 mi/hr.
    (ii) The grade of the test track or road must not be excessive 
(considering factors such as road safety standards

[[Page 319]]

and effects on the coastdown results). Road conditions should follow 
Section 7.4 of SAE J1263, except that road grade may exceed 0.5%. If 
road grade is greater than 0.02% over the length of the test surface, 
you must incorporate into the analysis road grade as a function of 
distance along the length of the test surface. Use Section 11.5 of SAE 
J2263 to calculate the force due to grade.
    (2) Operate the vehicle at a top speed above 70 mi/hr, or at its 
maximum achievable speed if it cannot reach 70 mi/hr. If a vehicle is 
equipped with a vehicle speed limiter that is set for a maximum speed 
below 70 mi/hr, you must disable the vehicle speed limiter. Start the 
test at or above 70 mi/hr, or at the vehicle's maximum achievable speed 
if it cannot reach 70 mi/hr. Collect data through a minimum speed at or 
below 15 mi/hr. Data analysis for valid coastdown runs must include the 
range of vehicle speeds specified in this paragraph (b)(2).
    (3) Gather data regarding wind speed and direction, in coordination 
with time-of-day data, using at least one stationary electro-mechanical 
anemometer and suitable data loggers meeting the specifications of SAE 
J1263, as well as the following additional specifications for the 
anemometer placed adjacent to the test surface:
    (i) Calibrate the equipment by running the zero-wind and zero-angle 
calibrations within 24 hours before conducting the coastdown procedures. 
If the coastdown procedures are not complete 24 hours after calibrating 
the equipment, repeat the calibration for another 24 hours of data 
collection.
    (ii) Record the location of the anemometer using a GPS measurement 
device adjacent to the test surface (approximately) at the midway 
distance along the test surface used for coastdowns.
    (iii) Position the anemometer such that it will be at least 2.5 but 
not more than 3.0 vehicle widths from the test vehicle's centerline as 
the test vehicle passes the anemometer.
    (iv) Mount the anemometer at a height that is within 6 inches of 
half the test vehicle's maximum height.
    (v) Place the anemometer at least 50 feet from the nearest tree and 
at least 25 feet from the nearest bush (or equivalent roadside 
features).
    (vi) The height of the grass surrounding the stationary anemometer 
may not exceed 10% of the anemometer's mounted height, within a radius 
equal to the anemometer's mounted height.
    (4) You may split runs as per Section 9.3.1 of SAE J2263, but we 
recommend whole runs. If you split a run, analyze each portion 
separately, but count the split runs as one run with respect to the 
minimum number of runs required.
    (5) You may perform consecutive runs in a single direction, followed 
by consecutive runs in the opposite direction, consistent with good 
engineering judgment. Harmonize starting and stopping points to the 
extent practicable to allow runs to be paired.
    (6) All valid coastdown run times in each direction must be within 
2.0 standard deviations of the mean of the valid coastdown run times 
(from the specified maximum speed down to 15 mi/hr) in that direction. 
Eliminate runs outside this range. After eliminating these runs you must 
have at least eight valid runs in each direction. You may use coastdown 
run times that do not meet these standard deviation requirements if we 
approve it in advance. In your request, describe why the vehicle is not 
able to meet the specified standard deviation requirements and propose 
an alternative set of requirements.
    (7) Analyze data for chassis and post-transmission powerpack testing 
or for use in the GEM simulation tool as follows:
    (i) Follow the procedures specified in Section 10 of SAE J1263 or 
Section 11 of SAE J2263 to calculate coefficients for chassis and post-
transmission powerpack testing.
    (ii) Determine drag area, CdA, as follows instead of 
using the procedure specified in Section 10 of SAE J1263:
    (A) Measure vehicle speed at fixed intervals over the coastdown run 
(generally at 10 Hz), including speeds at or above 15 mi/hr and at or 
below the specified maximum speed. Establish the elevation corresponding 
to each interval as described in SAE J2263 if you need to incorporate 
the effects of road grade.

[[Page 320]]

    (B) Calculate the vehicle's effective mass, Me, in kg by 
adding 56.7 kg to the measured vehicle mass, M, for each tire making 
road contact. This accounts for the rotational inertia of the wheels and 
tires.
    (C) Calculate the road-load force for each measurement interval, 
Fi, using the following equation:
[GRAPHIC] [TIFF OMITTED] TR28AP14.082

Where:

i = an interval counter, starting with i = 1 for the first interval. The 
          designation (i-1) corresponds to the end of the previous 
          interval or, for the first interval, to the start of the test 
          run.
Me = the vehicle's effective mass, expressed to at least the 
          nearest 0.1 kg.
v = vehicle speed at the beginning and end of the measurement interval.
[Delta]t = elapsed time over the measurement interval, in seconds.

    (D) Plot the data from all the coastdown runs on a single plot of 
Fi vs. vi\2\ to determine the slope correlation, 
D, based on the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.254

Where:

M = the measured vehicle mass, expressed to at least the nearest 0.1 kg.
ag = acceleration of Earth's gravity, as described in 40 CFR 
          1065.630.
[Delta]h = change in elevation over the measurement interval, in m. 
          Assume [Delta]h = 0 if you are not correcting for grade.
[Delta]s = distance the vehicle travels down the road during the 
          measurement interval, in m.
Am = the calculated value of the y-intercept based on the 
          curve-fit.

    (E) Calculate drag area, CdA, in m\2\ using the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.255

Where:

r = air density at reference conditions = 1.17 kg/m\3\.

[[Page 321]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.256

T = mean ambient absolute temperature during testing, in K.
P = mean ambient pressuring during the test, in kPa.

    (8) Determine the A, B, and C coefficients identified in Sec.  
1066.210 as follows:
    (i) For chassis and post-transmission powerpack testing, follow the 
procedures specified in Section 10 of SAE J1263 or Section 12 of SAE 
J2263.
    (ii) For the GEM simulation tool, use the following values:

A = Am
B = 0
C = Dadj

[79 FR 23823, Apr. 28, 2016, as amended at 81 FR 74202, Oct. 25, 2016]



Sec.  1066.315  Dynamometer road-load setting.

    Determine dynamometer road-load settings for chassis testing by 
following SAE J2264 (incorporated by reference in Sec.  1066.1010).



    Subpart E_Preparing Vehicles and Running an Exhaust Emission Test



Sec.  1066.401  Overview.

    (a) Use the procedures detailed in this subpart to measure vehicle 
emissions over a specified drive schedule. Different procedures may 
apply for criteria pollutants and greenhouse gas emissions as described 
in the standard-setting part. This subpart describes how to--
    (1) Determine road-load power, test weight, and inertia class.
    (2) Prepare the vehicle, equipment, and measurement instruments for 
an emission test.
    (3) Perform pre-test procedures to verify proper operation of 
certain equipment and analyzers and to prepare them for testing.
    (4) Record pre-test data.
    (5) Sample emissions.
    (6) Record post-test data.
    (7) Perform post-test procedures to verify proper operation of 
certain equipment and analyzers.
    (8) Weigh PM samples.
    (b) The overall test generally consists of prescribed sequences of 
fueling, parking, and driving at specified test conditions. An exhaust 
emission test generally consists of measuring emissions and other 
parameters while a vehicle follows the drive schedules specified in the 
standard-setting part. There are two general types of test cycles:
    (1) Transient cycles. Transient test cycles are typically specified 
in the standard-setting part as a second-by-second sequence of vehicle 
speed commands. Operate a vehicle over a transient cycle such that the 
speed follows the target values. Proportionally sample emissions and 
other parameters and calculate emission rates as specified in subpart G 
of this part to calculate emissions. The standard-setting part may 
specify three types of transient testing based on the approach to 
starting the measurement, 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.
    (2) Cruise cycles. Cruise test cycles are typically specified in the 
standard-setting part as a discrete operating point that has a single 
speed command.
    (i) Start a cruise cycle as a hot-running test, where you start to 
measure emissions after the engine is started and warmed up and the 
vehicle is running at the target test speed.
    (ii) Sample emissions and other parameters for the cruise cycle in 
the

[[Page 322]]

same manner as a transient cycle, with the exception that the reference 
speed value is constant. Record instantaneous and mean speed values over 
the cycle.



Sec.  1066.405  Vehicle preparation and preconditioning.

    Prepare the vehicle for testing (including measurement of 
evaporative and refueling emissions if appropriate), as described in the 
standard-setting part.



Sec.  1066.410  Dynamometer test procedure.

    (a) Dynamometer testing may consist of multiple drive cycles with 
both cold-start and hot-start portions, including prescribed soak times 
before each test interval. The standard-setting part identifies the 
driving schedules and the associated sample intervals, soak periods, 
engine startup and shutdown procedures, and operation of accessories, as 
applicable. Not every test interval includes all these elements.
    (b) Place the vehicle onto the dynamometer without starting the 
engine (for any test cycles) or drive the vehicle onto the dynamometer 
(for hot-start and hot-running cycles only) and position a fan that 
directs cooling air to the vehicle during dynamometer operation as 
described in this paragraph (b). This generally requires squarely 
positioning the fan in front of the vehicle and directing the airflow to 
the vehicle's radiator. Use good engineering judgment to design and 
configure fans to cool the test vehicle in a way that properly simulates 
in-use operation, consistent with the specifications of Sec.  1066.105. 
Except for the following special cases, use a road-speed modulated fan 
meeting the requirements of Sec.  1066.105(c)(2) that is placed within 
90 cm of the front of the vehicle and ensure that the engine compartment 
cover (i.e., hood) is closed:
    (1) For vehicles above 14,000 pounds GVWR, use a fan meeting the 
requirements of Sec.  1066.105(d) that is placed within 90 cm of the 
front of the vehicle and ensure that the engine compartment cover is 
closed.
    (2) For FTP, LA-92, US06, or HFET testing of vehicles at or below 
14,000 pounds GVWR, you may use a fixed-speed fan as specified in the 
following table, with the engine compartment cover open:

    Table 1 of Sec.   1066.410--Fixed-Speed Fan Capacity and Position
       Specifications for Vehicles at or Below 14,000 pounds GVWR
------------------------------------------------------------------------
                                               Approximate distance from
    Test cycle         Maximum fan capacity     the front of the vehicle
------------------------------------------------------------------------
FTP...............  Up to 2.50 m\3\/s........  0 to 30 cm.
US06..............  Up to 7.10 m\3\/s........  0 to 60 cm.
LA-92.............  Up to 7.10 m\3\/s........  0 to 60 cm.
HFET..............  Up to 2.50 m\3\/s........  0 to 30 cm.
------------------------------------------------------------------------

    (3) For SC03 and AC17 testing, use a road-speed modulated fan 
meeting the requirements of Sec.  1066.105(c)(5) that is placed within 
60 to 90 cm of the front of the vehicle and ensure that the engine 
compartment cover is closed. Position the discharge nozzle such that its 
lowest point is not more than 16 cm above the floor of the test cell.
    (c) Record the vehicle's speed trace based on the time and speed 
data from the dynamometer at the recording frequencies given in Table 1 
of Sec.  1066.125. Record speed to at least the nearest 0.01 mi/hr and 
time to at least the nearest 0.1 s.
    (d) You may perform practice runs for operating the vehicle and the 
dynamometer controls to meet the driving tolerances specified in Sec.  
1066.425 or adjust the emission sampling equipment. Verify that the 
accelerator pedal allows for enough control to closely follow the 
prescribed driving schedule. We recommend that you verify your ability 
to meet the minimum dilution factor requirements of Sec.  
1066.110(b)(2)(iii)(B) during these practice runs.
    (e) Inflate tires on drive wheels according to the vehicle 
manufacturer's specifications. The tire pressure for drive wheels must 
be the same for dynamometer operation and for dynamometer coastdown 
procedures used for determining road-load coefficients. Report these 
measured tire pressure values with the test results.
    (f) Tie down or load the test vehicle as needed to provide a normal 
force at the tire and dynamometer roll interface to prevent wheel slip. 
For vehicles

[[Page 323]]

above 14,000 pounds GVWR, report this measured force with the test 
results.
    (g) Use good engineering judgment when testing vehicles in four-
wheel drive or all-wheel drive mode. (For purposes of this paragraph 
(g), the term four-wheel drive includes other multiple drive-axle 
configurations.) This may involve testing on a dynamometer with a 
separate dynamometer roll for each drive axle; or two drive axles may 
use a single roll, as described in Sec.  1066.210(d)(1); or you may 
deactivate the second set of drive wheels and operate the vehicle on a 
single roll. For all vehicles at or below 14,000 GVWR, we will test your 
vehicle using the same dynamometer roll arrangement that you used. We 
may also test your vehicle using another dynamometer roll arrangement 
for information-gathering purposes. If we choose to perform additional 
testing that requires vehicle modifications, we will ask you to 
configure the vehicle appropriately.
    (h) Determine equivalent test weight as follows:
    (1) For vehicles at or below 14,000 pounds GVWR, determine ETW as 
described in Sec.  1066.805. Set dynamometer vehicle inertia, I, based 
on dynamometer type, as follows:
    (i) For two-wheel drive dynamometers, set I = ETW.
    (ii) For four-wheel drive dynamometers, set I = 0.985 [middot] ETW.
    (2) For vehicles above 14,000 pounds GVWR, determine the vehicle's 
effective mass as described in Sec.  1066.310 and use this as the test 
weight.
    (i) Warm up the dynamometer as recommended by the dynamometer 
manufacturer.
    (j) Following the test, determine the actual driving distance by 
counting the number of dynamometer roll or shaft revolutions, or by 
integrating speed over the course of testing from a high-resolution 
encoder system.

[79 FR 23823, Apr. 28, 2014, as amended at 80 FR 9121, Feb. 19, 2015; 81 
FR 74202, Oct. 25, 2016]



Sec.  1066.415  Vehicle operation.

    This section describes how to test a conventionally configured 
vehicle (vehicles with transmission shifters, foot pedal accelerators, 
etc). You may ask us to modify these procedures for vehicles that do not 
have these control features.
    (a) Start the vehicle as follows:
    (1) At the beginning of the test cycle, start the vehicle according 
to the procedure described in the owners manual. In the case of HEVs, 
this would generally involve activating vehicle systems such that the 
engine will start when the vehicle's control algorithms determine that 
the engine should provide power instead of or in addition to power from 
the rechargeable energy storage system (RESS). Unless we specify 
otherwise, engine starting throughout this part generally refers to this 
step of activating the system on HEVs, whether or not that causes the 
engine to start running.
    (2) Place the transmission in gear as described by the test cycle in 
the standard-setting part. During idle operation, apply the brakes if 
necessary to keep the drive wheels from turning.
    (b) If the vehicle does not start after your recommended maximum 
cranking time, wait and restart cranking according to your recommended 
practice. If you do not recommend such a cranking procedure, stop 
cranking after 10 seconds, wait for 10 seconds, then start cranking 
again for up to 10 seconds. You may repeat this for up to three start 
attempts. If the vehicle does not start after three attempts, you must 
determine and record the reason for failure to start. Shut off sampling 
systems and either turn the CVS off or disconnect the laboratory exhaust 
tubing from the tailpipe during the diagnostic period to prevent flow 
through the exhaust system. Reschedule the vehicle for testing. This may 
require performing vehicle preparation and preconditioning if the 
testing needs to be rerun from a cold start. If failure to start occurs 
during a hot-start test, you may reschedule the hot-start test without 
repeating the cold-start test, as long as you bring the vehicle to a 
hot-start condition before starting the hot-start test.
    (c) Repeat the recommended starting procedure if the engine has a 
false start (i.e., an incomplete start).
    (d) Take the following steps if the engine stalls:
    (1) If the engine stalls during an idle period, restart the engine 
immediately

[[Page 324]]

and continue the test. If you cannot restart the engine soon enough to 
allow the vehicle to follow the next acceleration, stop the driving 
schedule indicator and reactivate it when the vehicle restarts.
    (2) Void the test if the vehicle stalls during vehicle operation. If 
this happens, remove the vehicle from the dynamometer, take corrective 
action, and reschedule the vehicle for testing. Record the reason for 
the malfunction (if determined) and any corrective action. See the 
standard-setting part for instructions about reporting these 
malfunctions.
    (e) Operate vehicles during testing as follows:
    (1) Where we do not give specific instructions, operate the vehicle 
according to the recommendations in the owners manual, unless those 
recommendations are unrepresentative of what may reasonably be expected 
for in-use operation.
    (2) If vehicles have features that preclude dynamometer testing, you 
may modify these features as necessary to allow testing, consistent with 
good engineering judgment, as long as it does not affect your ability to 
demonstrate that your vehicles comply with the applicable standards. 
Send us written notification describing these changes along with 
supporting rationale.
    (3) Operate vehicles during idle as follows:
    (i) For vehicles with automatic transmission, operate at idle with 
the transmission in ``Drive'' with the wheels braked, except that you 
may shift to ``Neutral'' for the first idle period and for any idle 
period longer than one minute. If you put the vehicle in ``Neutral'' 
during an idle, you must shift the vehicle into ``Drive'' with the 
wheels braked at least 5 seconds before the end of the idle period. Note 
that this does not preclude vehicle designs involving engine shutdown 
during idle.
    (ii) For vehicles with manual transmission, operate at idle with the 
transmission in gear with the clutch disengaged, except that you may 
shift to ``Neutral'' with the clutch engaged for the first idle period 
and for any idle period longer than one minute. If you put the vehicle 
in ``Neutral'' during idle, you must shift to first gear with the clutch 
disengaged at least 5 seconds before the end of the idle period. Note 
that this does not preclude vehicle designs involving engine operation 
with shutdown during idle.
    (4) Operate the vehicle with the appropriate accelerator pedal 
movement necessary to follow the scheduled speeds in the driving 
schedule. Avoid smoothing speed variations and unnecessary movement of 
the accelerator pedal.
    (5) Operate the vehicle smoothly, following representative shift 
speeds and procedures. For manual transmissions, the operator shall 
release the accelerator pedal during each shift and accomplish the shift 
without delay. If the vehicle cannot accelerate at the specified rate, 
operate it at maximum available power until the vehicle speed reaches 
the value prescribed in the driving schedule.
    (6) Decelerate as follows:
    (i) For vehicles with automatic transmission, use the brakes or 
accelerator pedal as necessary, without manually changing gears, to 
maintain the desired speed.
    (ii) For vehicles with manual transmission, shift gears in a way 
that represents reasonable shift patterns for in-use operation, 
considering vehicle speed, engine speed, and any other relevant 
variables. Disengage the clutch when the speed drops below 15 mi/hr, 
when engine roughness is evident, or when good engineering judgment 
indicates the engine is likely to stall. Manufacturers may recommend 
shift guidance in the owners manual that differs from the shift schedule 
used during testing, as long as both shift schedules are described in 
the application for certification; in this case, we may shift during 
testing as described in the owners manual.

[79 FR 23823, Apr. 28, 2016, as amended at 81 FR 74202, Oct. 25, 2016]



Sec.  1066.420  Test preparation.

    (a) Follow the procedures for PM sample preconditioning and tare 
weighing as described in 40 CFR 1065.590 if you need to measure PM 
emissions.

[[Page 325]]

    (b) For vehicles above 14,000 pounds GVWR with compression-ignition 
engines, verify the amount of nonmethane hydrocarbon contamination as 
described in 40 CFR 1065.520(f).
    (c) Unless the standard-setting part specifies different tolerances, 
verify at some point before the test that ambient conditions are within 
the tolerances specified in this paragraph (c). For purposes of this 
paragraph (c), ``before the test'' means any time from a point just 
prior to engine starting (excluding engine restarts) to the point at 
which emission sampling begins.
    (1) Ambient temperature must be (20 to 30) [deg]C. See Sec.  
1066.425(h) for circumstances under which ambient temperatures must 
remain within this range during the test.
    (2) Dilution air conditions must meet the specifications in Sec.  
1066.110(b)(2). We recommend verifying dilution air conditions just 
before starting each test interval.
    (d) Control test cell ambient air humidity as follows:
    (1) For vehicles at or below 14,000 pounds GVWR, follow the humidity 
requirements in Table 1 of this section, unless the standard-setting 
part specifies otherwise. When complying with humidity requirements in 
the table, where no tolerance is specified, use good engineering 
judgment to maintain the humidity level near the specified value within 
the limitations of your test facility.
    (2) For vehicles above 14,000 pounds GVWR, you may test vehicles at 
any humidity.

                           Table 1 of Sec.   1066.420--Test Cell Humidity Requirements
----------------------------------------------------------------------------------------------------------------
                                              Humidity
                                             requirement
               Test cycle                  (grains H2O per        Tolerance (grains H2O per pound dry air)
                                           pound dry air)
----------------------------------------------------------------------------------------------------------------
AC17....................................                69  5 average, 10 instantaneous.
FTP \1\ and LA-92.......................                50
HFET....................................                50
SC03....................................               100  5.
US06....................................                50
----------------------------------------------------------------------------------------------------------------
\1\ FTP humidity requirement does not apply for cold (-7 [deg]C), intermediate (10 [deg]C), and hot (35 [deg]C)
  temperature testing.

    (e) You may perform a final calibration of proportional-flow control 
systems, which may include performing practice runs.
    (f) You may perform the following procedure to precondition sampling 
systems:
    (1) Operate the vehicle over the test cycle.
    (2) Operate any dilution systems at their expected flow rates. 
Prevent aqueous condensation in the dilution systems as described in 40 
CFR 1065.140(c)(6), taking into account allowances given in Sec.  
1066.110(b)(2)(iv).
    (3) Operate any PM sampling systems at their expected flow rates.
    (4) Sample PM using any sample media. You may change sample media 
during preconditioning. You must 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.
    (g) 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, 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) Adjust the sample flow rates to desired levels using bypass 
flow, if desired.

[[Page 326]]

    (7) Zero or re-zero any electronic integrating devices before the 
start of any test interval.
    (8) Select gas analyzer ranges. You may not switch the gain of an 
analyzer's analog operational amplifier(s) during a test. However, you 
may switch (automatically or manually) gas analyzer ranges during a test 
if such switching changes only the range over which the digital 
resolution of the instrument is applied. For batch analyzers, select 
ranges before final bag analysis.
    (9) Zero and span all continuous gas analyzers using gases that meet 
the specifications of 40 CFR 1065.750. For FID analyzers, you may 
account for the carbon number of your span gas either during the 
calibration process or when calculating your final emission value. For 
example, if you use a C3H8 span gas of 
concentration 200 ppm ([micro]mol/mol), you may span the FID to respond 
with a value of 600 ppm ([micro]mol/mol) of carbon or 200 ppm of 
propane. However, if your FID response is equivalent to propane, include 
a factor of three to make the final calculated hydrocarbon mass 
consistent with a molar mass of 13.875389. When utilizing an NMC-FID, 
span the FID analyzer consistent with the determination of their 
respective response factors, RF, and penetration fractions, PF, 
according to 40 CFR 1065.365.
    (10) 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, use good engineering judgment to decide whether or not to re-
zero, re-span, or re-calibrate a gas analyzer before starting a test.
    (11) If you correct for dilution air background concentrations of 
associated engine exhaust constituents, start sampling and recording 
background concentrations at the same time you start sampling exhaust 
gases.
    (12) Turn on cooling fans immediately before starting the test.
    (h) Proceed with the test sequence described in Sec.  1066.425.

[79 FR 23823, Apr. 28, 2014, as amended at 80 FR 9121, Feb. 19, 2015]



Sec.  1066.425  Performing emission tests.

    (a) See the standard-setting part for drive schedules. These are 
defined by a smooth fit of a specified speed vs. time sequence.
    (b) The driver must attempt to follow the target schedule as closely 
as possible, consistent with the specifications in paragraph (b) of this 
section. Instantaneous speeds must stay within the following tolerances:
    (1) The upper limit is 2.0 mi/hr higher than the highest point on 
the trace within 1.0 s of the given point in time.
    (2) The lower limit is 2.0 mi/hr lower than the lowest point on the 
trace within 1.0 s of the given time.
    (3) The same limits apply for vehicle operation without exhaust 
measurements, such as vehicle preconditioning and warm-up, except that 
the upper and lower limits for speed values are 4.0 mi/hr. In addition, up to three occurrences of speed 
variations greater than the tolerance are acceptable for vehicle 
operation in which no exhaust emission standards apply, as long as they 
occur for less than 15 seconds on any occasion and are clearly 
documented as to the time and speed at that point of the driving 
schedule.
    (4) Void the test if you do not maintain speed values as specified 
in this paragraph (b), except as allowed by this paragraph (b)(4). Speed 
variations (such as may occur during gear changes or braking spikes) may 
occur as follows, as long as such variations are clearly documented, 
including the time and speed values and the reason for the deviation:
    (i) Speed variations greater than the specified limits are 
acceptable for up to 2.0 seconds on any occasion.
    (ii) For vehicles that are not able to maintain acceleration as 
specified in Sec.  1066.415(e)(5), do not count the insufficient 
acceleration as being outside the specified limits.
    (5) We may approve an alternate test cycle and cycle-validation 
criteria for vehicles that do not have enough power to follow the 
specified driving trace. The alternate driving specifications must be 
based on making best efforts to maintain acceleration and speed to 
follow the specified test cycle. We must

[[Page 327]]

approve these alternate driving specifications before you perform this 
testing.
    (c) Figure 1 and Figure 2 of this section show the range of 
acceptable speed tolerances for typical points during testing. Figure 1 
of this section is typical of portions of the speed curve that are 
increasing or decreasing throughout the 2-second time interval. Figure 2 
of this section is typical of portions of the speed curve that include a 
maximum or minimum value.
[GRAPHIC] [TIFF OMITTED] TR28AP14.086


[[Page 328]]


[GRAPHIC] [TIFF OMITTED] TR28AP14.087

    (d) Start testing as follows:
    (1) If a vehicle is already running and warmed up, and starting is 
not part of the test cycle, operate the vehicle as follows:
    (i) For transient test cycles, control vehicle speeds to follow a 
drive schedule consisting of a series of idles, accelerations, cruises, 
and decelerations.
    (ii) For cruise test cycles, control the vehicle operation to match 
the speed of the first interval of the test cycle. Follow the 
instructions in the standard-setting part to determine how long to 
stabilize the vehicle during each interval, how long to sample emissions 
at each interval, and how to transition between intervals.
    (2) If engine starting is part of the test cycle, start recording 
continuous data, turn on any electronic integrating devices, and start 
batch sampling before starting the engine. Initiate the driver's trace 
when the engine starts.
    (e) Perform the following at the end of each test interval, except 
as specified in standard-setting part:
    (1) Shut down the vehicle if it is part of the test cycle or if 
testing is complete.
    (2) Continue to operate all sampling and dilution systems to allow 
the response times to elapse. Then stop all sampling and recording, 
including background sampling. Finally, stop any integrating devices and 
indicate the end of the duty cycle in the recorded data.
    (f) If testing involves engine shutdown followed by another test 
interval, start a timer for the vehicle soak when the engine shuts down. 
Turn off cooling fans, close the engine compartment cover (if 
applicable), and turn off the CVS or disconnect the exhaust tube from 
the vehicle's tailpipe(s) unless otherwise instructed in the standard-
setting part. If testing is complete, disconnect the laboratory exhaust 
tubing from the vehicle's tailpipe(s) and drive the vehicle from the 
dynamometer.
    (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 40 
CFR

[[Page 329]]

1065.545. Void any samples that did not maintain proportional sampling 
according to those specifications.
    (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 40 CFR 1065.595.
    (3) As soon as practical after the interval or test cycle is 
complete, or optionally during the soak period if practical, perform the 
following:
    (i) Begin drift check for all continuous gas analyzers as described 
in paragraph (g)(5) of this section and zero and span all batch gas 
analyzers as soon as practical before any batch sample analysis. You may 
perform this batch analyzer zero and span before the end of the test 
interval.
    (ii) Analyze any conventional gaseous batch samples (HC, 
CH4, CO, NOX, and CO2) no later than 30 
minutes after a test interval is complete, or during the soak period if 
practical. Analyze background samples no later than 60 minutes after the 
test interval is complete.
    (iii) Analyze nonconventional gaseous batch samples (including 
background), such as NMHCE, N2O, or NMOG sampling with 
ethanol, as soon as practicable using good engineering judgment.
    (4) If an analyzer operated above 100% of its range at any time 
during the test, perform the following steps:
    (i) 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.
    (ii) 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 consistently operates at less than 100% of 
its range. Keep records of any tests where the analyzer exceeds its 
range. We may consider these results to determine that the test vehicle 
exceeded an emission standard, consistent with good engineering 
judgment.
    (5) 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 verify that analyzer drift does not exceed 
2.0% of the analyzer full scale.
    (h) Measure and record ambient pressure. Measure and record ambient 
temperature continuously to verify that it remains within the 
temperature range specified in Sec.  1066.420(c)(1) throughout the test. 
Also measure humidity if required, such as for correcting NOX 
emissions, or meeting the requirements of Sec.  1066.420(d).
    (i) [Reserved]
    (j) For vehicles at or below 14,000 pounds GVWR, determine overall 
driver accuracy as follows:
    (1) Compare the following drive-cycle metrics, based on measured 
vehicle speeds, to a reference value based on the target cycle that 
would have been generated by driving exactly to the target trace as 
described in SAE J2951 (incorporated by reference in Sec.  1066.1010):
    (i) Determine the Energy Economy Rating as described in Section 5.4 
of SAE J2951.
    (ii) Determine the Absolute Speed Change Rating as described in 
Section 5.5 of SAE J2951.
    (iii) Determine the Inertia Work Rating as described in Section 5.6 
of SAE J2951.
    (iv) Determine the phase-weighted composite Energy Based Drive 
Metrics for the criteria specified in this paragraph (j)(1) as described 
in Section 5.7 of SAE J2951.
    (2) The standard-setting part may require you to give us 10 Hz data 
to characterize both target and actual values

[[Page 330]]

for cycle energy. Calculate target values based on the vehicles speeds 
from the specified test cycle.

[79 FR 23823, Apr. 28, 2016, as amended at 81 FR 74203, Oct. 25, 2016]



        Subpart F_Electric Vehicles and Hybrid Electric Vehicles



Sec.  1066.501  Overview.

    Use the following procedures to test EVs and HEVs (including PHEVs):
    (a) Correct the results for Net Energy Change of the RESS as 
follows:
    (1) For all sizes of EVs, follow SAE J1634 (incorporated by 
reference in Sec.  1066.1010).
    (2) For HEVs at or below 14,000 pounds GVWR, follow SAE J1711 
(incorporated by reference in Sec.  1066.1010) except as described in 
this paragraph (a). Disregard provisions of SAE J1711 that differ from 
this part or the standard-setting part if they are not specific to HEVs. 
Apply the following adjustments and clarifications to SAE J1711:
    (i) If the procedure calls for charge-sustaining operation, start 
the drive with a State of Charge that is appropriate to ensure charge-
sustaining operation for the duration of the drive. Take steps other 
than emission measurements to confirm that vehicles are in charge-
sustaining mode for the duration of the drive.
    (ii) We may approve the use of the alternate End-of-Test criterion 
in Section 3.9.1 of SAE J1711 for charge-depleting tests and the Net 
Energy Change correction in Appendix C of SAE J1711 for charge-
sustaining tests if the specified criterion and correction are 
insufficient or inappropriate.
    (iii) For charge-sustaining tests Appendix C of SAE J1711 may be 
used to correct final fuel economy values, CO2 emissions, and 
carbon-related exhaust emissions, but may not be used to correct 
measured values for criteria pollutant emissions.
    (iv) You may test subject to a measurement accuracy of 0.3% of full scale in place of the measurement accuracy 
specified in Section 4.2a of SAE J1711.
    (3) For HEVs above 14,000 pounds GVWR, follow SAE J2711 
(incorporated by reference in Sec.  1066.1010) for requirements related 
to charge-sustaining operation.
    (4) Use an integration frequency of 1 to 20 Hz for power analyzers 
to verify compliance with current and voltage specifications.
    (b) This paragraph (b) applies for vehicles that include an engine-
powered generator or other auxiliary power unit that provides motive 
power. For example, this would include a vehicle that has a small 
gasoline engine that generates electricity to charge batteries. Unless 
we approve otherwise, measure emissions for all test cycles when such an 
engine is operating. For each test cycle for which emissions are not 
measured, you must validate that such engines are not operating at any 
time during the test cycle.
    (c) You may stop emission sampling anytime the engine is turned off, 
consistent with good engineering judgment. This is intended to allow for 
higher concentrations of dilute exhaust gases and more accurate 
measurements. Take steps to account for exhaust transport delay in the 
sampling system, and be sure to integrate over the actual sampling 
duration when determining Vmix.

[79 FR 23823, Apr. 28, 2014, as amended at 80 FR 9121, Feb. 19, 2015]



                         Subpart G_Calculations



Sec.  1066.601  Overview.

    (a) This subpart describes calculations used to determine emission 
rates. See the standard-setting part and the other provisions of this 
part to determine which equations apply for your testing. This subpart 
describes how to--
    (1) Use the signals recorded before, during, and after an emission 
test to calculate distance-specific emissions of each regulated 
pollutant.
    (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 also make multiple measurements from a single batch sample, such 
as multiple weighing of a PM filter or multiple readings from a bag 
sample.

[[Page 331]]

Although you may use an average of multiple measurements from a single 
test, you may not use test results from multiple emission tests to 
report emissions. We allow weighted means where appropriate, such as for 
sampling onto a PM filter over the FTP. You may discard statistical 
outliers, but you must report all results.



Sec.  1066.605  Mass-based and molar-based exhaust emission calculations.

    (a) Calculate your total mass of emissions over a test cycle as 
specified in paragraph (c) of this section or in 40 CFR part 1065, 
subpart G, as applicable.
    (b) See the standard-setting part for composite emission 
calculations over multiple test intervals and the corresponding 
weighting factors.
    (c) Perform the following sequence of preliminary calculations to 
correct recorded concentration measurements before calculating mass 
emissions in paragraphs (e) and (f) of this section:
    (1) For vehicles above 14,000 pounds GVWR, correct all THC and 
CH4 concentrations for initial contamination as described in 
40 CFR 1065.660(a), including continuous readings, sample bag readings, 
and dilution air background readings. This correction is optional for 
vehicles at or below 14,000 pounds GVWR.
    (2) Correct all concentrations measured on a ``dry'' basis to a 
``wet'' basis, including dilution air background concentrations.
    (3) Calculate all NMHC and CH4 concentrations, including 
dilution air background concentrations, as described in 40 CFR 1065.660.
    (4) For vehicles at or below 14,000 pounds GVWR, calculate HC 
concentrations, including dilution air background concentrations, as 
described in this section, and as described in Sec.  1066.635 for NMOG. 
For emission testing of vehicles above 14,000 pounds GVWR, with fuels 
that contain 25% or more oxygenated compounds by volume, calculate THCE 
and NMHC concentrations, including dilution air background 
concentrations, as described in 40 CFR part 1065, subpart I.
    (5) Correct all gaseous concentrations for dilution air background 
as described in Sec.  1066.610.
    (6) Correct NOX emission values for intake-air humidity 
as described in Sec.  1066.615.
    (7) Correct all PM filter masses for sample media buoyancy as 
described in 40 CFR 1065.690.
    (d) Calculate g/mile emission rates using the following equation 
unless the standard-setting part specifies otherwise:
[GRAPHIC] [TIFF OMITTED] TR25OC16.257

Where:

e[emission] = emission rate over the test interval.
m[emission] = emission mass over the test interval.
D = the measured driving distance over the test interval.

    Example: 
mNOx = 0.3177 g
DHFET = 10.19 miles
[GRAPHIC] [TIFF OMITTED] TR25OC16.258


[[Page 332]]


    (e) Calculate the emission mass of each gaseous pollutant using the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.259

Where:

m[emission] = emission mass over the test interval.
Vmix = total dilute exhaust volume over the test interval, 
          corrected to standard reference conditions, and corrected for 
          any volume removed for emission sampling and for any volume 
          change from adding secondary dilution air.
p[emission] = density of the appropriate chemical species as 
          given in Sec.  1066.1005(f).
x[emission] = measured emission concentration in the sample, 
          after dry-to-wet and background corrections.
c = 10-2 for emission concentrations in %, and 
          10-6 for emission concentrations in ppm.

    Example: 
Vmix = 170.878 m\3\ (from paragraph (f) of this section)
rNOx = 1913 g/m\3\
xNOx = 0.9721 ppm
c = 10-6
mNOx = 
          170.878[middot]1913[middot]0.9721[middot]10-6 = 
          0.3177 g

    (f) Calculation of the emission mass of PM, mPM, is 
dependent on how many PM filters you use, as follows:
    (1) Except as otherwise specified in this paragraph (f), calculate 
mPM using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.260

Where:

mPM = mass of particulate matter emissions over the test 
          interval, as described in Sec.  1066.815(b)(1), (2), and (3).
Vmix = total dilute exhaust volume over the test interval, 
          corrected to standard reference conditions, and corrected for 
          any volume removed for emission sampling and for any volume 
          change from adding secondary dilution air. For partial-flow 
          dilution systems, set Vmix equal to the total 
          exhaust volume over the test interval, corrected to standard 
          reference conditions.
VPMstd = total volume of dilute exhaust sampled through the 
          filter over the test interval, corrected to standard reference 
          conditions.
Vsdastd = total volume of secondary dilution air sampled 
          through the filter over the test interval, corrected to 
          standard reference conditions. For partial-flow dilution 
          systems, set Vsdastd equal to total dilution air 
          volume over the test interval, corrected to standard reference 
          conditions.
mPMfil = mass of particulate matter emissions on the filter 
          over the test interval.
mPMbkgnd = mass of particulate matter on the background 
          filter.

    Example: 
Vmix = 170.878 m\3\ (from paragraph (g) of this section)
VPMstd = 0.925 m\3\ (from paragraph (g) of this section)
Vsdastd = 0.527 m\3\ (from paragraph (g) of this section)
mPMfil = 0.0000045 g
mPMbkgnd = 0.0000014 g

[[Page 333]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.261

    (2) If you sample PM onto a single filter as described in Sec.  
1066.815(b)(4)(i) or (b)(4)(ii) (for constant volume samplers), 
calculate mPM using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.262

Where:

mPM = mass of particulate matter emissions over the entire 
          FTP.
Vmix = total dilute exhaust volume over the test interval, 
          corrected to standard reference conditions, and corrected for 
          any volume removed for emission sampling and for any volume 
          change from adding secondary dilution air.
V[interval]-PMstd = total volume of dilute exhaust sampled 
          through the filter over the test interval (ct = cold 
          transient, s = stabilized, ht = hot transient), corrected to 
          standard reference conditions.
V[interval]-sdastd = total volume of secondary dilution air 
          sampled through the filter over the test interval (ct = cold 
          transient, s = stabilized, ht = hot transient), corrected to 
          standard reference conditions.
mPMfil = mass of particulate matter emissions on the filter 
          over the test interval.
mPMbkgnd = mass of particulate matter on the background 
          filter over the test interval.

    Example: 
Vmix = 633.691 m\3\
Vct-PMstd = 0.925 m\3\
Vct-sdastd = 0.527 m\3\
Vs-PMstd = 1.967 m\3\
Vs-sdastd = 1.121 m\3\
Vht-PMstd = 1.122 m\3\
Vht-sdastd = 0.639 m\3\
mPMfil = 0.0000106 g
mPMbkgnd = 0.0000014 g
[GRAPHIC] [TIFF OMITTED] TR25OC16.263

mPM = 0.00222 g

    (3) If you sample PM onto a single filter as described in Sec.  
1066.815(b)(4)(ii) (for partial flow dilution systems), calculate 
mPM using the following equation:

[[Page 334]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.264

Where:

mPM = mass of particulate matter emissions over the entire 
          FTP.
V[interval]-exhstd = total engine exhaust volume over the 
          test interval (ct = cold transient, s = stabilized, ht = hot 
          transient), corrected to standard reference conditions, and 
          corrected for any volume removed for emission sampling.
V[interval]-PMstd = total volume of dilute exhaust sampled 
          through the filter over the test interval (ct = cold 
          transient, s = stabilized, ht = hot transient), corrected to 
          standard reference conditions.
V[interval]-dilstd = total volume of dilution air over the 
          test interval (ct = cold transient, s = stabilized, ht = hot 
          transient), corrected to standard reference conditions and for 
          any volume removed for emission sampling.
mPMfil = mass of particulate matter emissions on the filter 
          over the test interval.
mPMbkgnd = mass of particulate matter on the background 
          filter over the test interval.

    Example: 
Vct-exhstd = 5.55 m\3\
Vct-PMstd = 0.526 m\3\
Vct-dilstd = 0.481 m\3\
Vs-exhstd = 9.53 m\3\
Vs-PMstd = 0.903 m\3\
Vs-dilstd = 0.857 m\3\
Vht-exhstd = 5.54 m\3\
Vht-PMstd = 0.527 m\3\
Vht-dilstd = 0.489 m\3\
mPMfil = 0.0000106 g
mPMbkgnd = 0.0000014 g
[GRAPHIC] [TIFF OMITTED] TR25OC16.265

mPM = 0.00269 g

    (4) If you sample PM onto a single filter as described in Sec.  
1066.815(b)(5)(i) or (b)(5)(ii) (for constant volume samplers), 
calculate mPM using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.266

Where:

mPM = mass of particulate matter emissions over the entire 
          FTP.
Vmix = total dilute exhaust volume over the test interval, 
          corrected to standard reference conditions, and corrected for 
          any volume removed for emission sampling

[[Page 335]]

          and for any volume change from secondary dilution air.
V[interval]-PMstd = total volume of dilute exhaust sampled 
          through the filter over the test interval (ct = cold 
          transient, cs = cold stabilized, ht = hot transient, hs = hot 
          stabilized), corrected to standard reference conditions.
V[interval]-sdastd = total volume of secondary dilution air 
          sampled through the filter over the test interval (ct = cold 
          transient, cs = cold stabilized, ht = hot transient, hs = hot 
          stabilized), corrected to standard reference conditions.
mPMfil = mass of particulate matter emissions on the filter 
          over the test interval.
mPMbkgnd = mass of particulate matter on the background 
          filter over the test interval.

    Example: 
Vmix = 972.121 m\3\
Vct-PMstd = 0.925 m\3\
Vct-sdastd = 0.529 m\3\
Vcs-PMstd = 1.968 m\3\
Vcs-sdastd = 1.123 m\3\
Vht-PMstd = 1.122 m\3\
Vht-sdastd = 0.641 m\3\
Vhs-PMstd = 1.967 m\3\
Vhs-sdastd = 1.121 m\3\
mPMfil = 0.0000229 g
mPMbkgnd = 0.0000014 g
[GRAPHIC] [TIFF OMITTED] TR25OC16.267

mPM = 0.00401 g

    (5) If you sample PM onto a single filter as described in Sec.  
1066.815(b)(5)(ii) (for partial flow dilution systems), calculate 
mPM using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.268

Where:

mPM = mass of particulate matter emissions over the entire 
          FTP.
V[interval]-exhstd = total engine exhaust volume over the 
          test interval (ct = cold transient, cs = cold stabilized, ht = 
          hot transient, hs = hot stabilized), corrected to standard 
          reference conditions, and corrected for any volume removed for 
          emission sampling.
V[interval]-PMstd = total volume of dilute exhaust sampled 
          through the filter over the test interval (ct = cold 
          transient, cs = cold stabilized, ht = hot transient, hs = hot 
          stabilized), corrected to standard reference conditions.
V[interval]-dilstd = total volume of dilution air over the 
          test interval (ct = cold transient, cs = cold stabilized, ht = 
          hot transient, hs = hot stabilized), corrected to standard 
          reference conditions and for any volume removed for emission 
          sampling.
mPMfil = mass of particulate matter emissions on the filter 
          over the test interval.
mPMbkgnd = mass of particulate matter on the background 
          filter over the test interval.

    Example: 
Vct-exhstd = 5.55 m\3\
Vct-PMstd = 0.526 m\3\
Vct-dilstd = 0.481 m\3\
Vcs-exhstd = 9.53 m\3\
Vcs-PMstd = 0.903 m\3\
Vcs-dilstd = 0.857 m\3\
Vht-exhstd = 5.54 m\3\
Vht-PMstd = 0.527 m\3\
Vht-dilstd = 0.489 m\3\
Vhs-exhstd = 9.54 m\3\
Vhs-PMstd = 0.902 m\3\
Vhs-dilstd = 0.856 m\3\
mPMfil = 0.0000229 g
mPMbkgnd = 0.0000014 g

[[Page 336]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.269

mPM = 0.00266 g

    (g) This paragraph (g) describes how to correct flow and flow rates 
to standard reference conditions and provides an example for determining 
Vmix based on CVS total flow and the removal of sample flow 
from the dilute exhaust gas. You may use predetermined nominal values 
for removed sample volumes, except for flows used for batch sampling.
    (1) Correct flow and flow rates to standard reference conditions as 
needed using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.270

Where:

V[flow]std = total flow volume at the flow meter, corrected 
          to standard reference conditions.
V[flow]act = total flow volume at the flow meter at test 
          conditions.
pin = absolute static pressure at the flow meter inlet, 
          measured directly or calculated as the sum of atmospheric 
          pressure plus a differential pressure referenced to 
          atmospheric pressure.
Tstd = standard temperature.
pstd = standard pressure.
Tin = temperature of the dilute exhaust sample at the flow 
          meter inlet.

    Example: 
VPMact = 1.071 m\3\
pin = 101.7 kPa
Tstd = 293.15 K
pstd = 101.325 kPa
Tin = 340.5 K
[GRAPHIC] [TIFF OMITTED] TR25OC16.271

    (2) The following example provides a determination of 
Vmix based on CVS total flow and the removal of sample flow 
from one dilute exhaust gas analyzer and one PM sampling system that is 
utilizing secondary dilution. Note that your Vmix 
determination may vary from Eq. 1066.605-7 based on the number of flows 
that are removed from your dilute exhaust gas and whether your PM 
sampling system is using secondary dilution. For this example, 
Vmix is governed by the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.272


[[Page 337]]


Where:

VCVSstd = total dilute exhaust volume over the test interval 
          at the flow meter, corrected to standard reference conditions.
Vgasstd = total volume of sample flow through the gaseous 
          emission bench over the test interval, corrected to standard 
          reference conditions.
VPMstd = total volume of dilute exhaust sampled through the 
          filter over the test interval, corrected to standard reference 
          conditions.
Vsdastd = total volume of secondary dilution air flow sampled 
          through the filter over the test interval, corrected to 
          standard reference conditions.

    Example: 
    Using Eq. 1066.605-8:
VCVSstd = 170.451 m\3\, where VCVSact = 170.721 
          m\3\, pin = 101.7 kPa, and Tin = 294.7 K
    Using Eq. 1066.605-8:
Vgasstd = 0.028 m\3\, where Vgasact = 0.033 m\3\, 
          pin = 101.7 kPa, and Tin = 340.5 K
    Using Eq. 1066.605-8:
VPMstd = 0.925 m\3\, where VPMact = 1.071 m\3\, 
          pin = 101.7 kPa, and Tin = 340.5 K
    Using Eq. 1066.605-8:
Vsdastd = 0.527 m\3\, where Vsdaact = 0.531 m\3\, 
          pin = 101.7 kPa, and Tin = 296.3 K
Vmix = 170.451 + 0.028 + 0.925 - 0.527 = 170.878 m\3\

    (h) Calculate total flow volume over a test interval, 
V[flow], for a CVS or exhaust gas sampler as follows:
    (1) Varying versus constant flow rates. The calculation methods 
depend on differentiating varying and constant flow, as follows:
    (i) We consider the following to be examples of varying flows that 
require a continuous multiplication of concentration times 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.
    (ii) We consider the following to be examples of constant exhaust 
flows: CVS diluted exhaust with a CVS flow meter that has an upstream 
heat exchanger, an electronic flow control, or both.
    (2) Continuous sampling. For continuous sampling, you must 
frequently record a continuously updated flow signal. This recording 
requirement applies for both varying and constant flow rates.
    (i) Varying flow rate. If you continuously sample from a varying 
exhaust flow rate, calculate V[flow] using the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.273

Where:
[GRAPHIC] [TIFF OMITTED] TR25OC16.319

    Example: 
N = 505
QCVS1 = 0.276 m\3\/s
QCVS2 = 0.294 m\3\/s
frecord = 1 Hz
    Using Eq. 1066.605-11,
[Delta]t = 1/1 = 1 s
VCVS = (0.276 + 0.294 + ... + QCVS505)[middot]1
VCVS = 170.721 m\3\

    (ii) Constant flow rate. If you continuously sample from a constant 
exhaust flow rate, use the same calculation described in paragraph 
(h)(2)(i) of this section or calculate the mean flow recorded over the 
test interval and treat

[[Page 338]]

the mean as a batch sample, as described in paragraph (h)(3)(ii) of this 
section.
    (3) Batch sampling. For batch sampling, calculate total flow by 
integrating a varying flow rate or by determining the mean of a constant 
flow rate, as follows:
    (i) Varying flow rate. If you proportionally collect a batch sample 
from a varying exhaust flow rate, integrate the flow rate over the test 
interval to determine the total flow from which you extracted the 
proportional sample, as described in paragraph (h)(2)(i) of this 
section.
    (ii) Constant flow rate. If you batch sample from a constant exhaust 
flow rate, extract a sample at a proportional or constant flow rate and 
calculate V[flow] from the flow from which you extract the 
sample by multiplying the mean flow rate by the time of the test 
interval using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.274

    Example: 

QiCVS = 0.338 m\3\/s
[Delta]t = 505 s
VCVS = 0.338[middot]505
VCVS = 170.69 m\3\

[79 FR 23823, Apr. 28, 2014, as amended at 80 FR 9121, Feb. 19, 2015; 81 
FR 74203, Oct. 25, 2016]



Sec.  1066.610  Dilution air background correction.

    (a) Correct the emissions in a gaseous sample for background using 
the following equation:
[GRAPHIC] [TIFF OMITTED] TR28AP14.099

Where:
x[emission]dexh = measured emission concentration in dilute 
          exhaust (after dry-to-wet correction, if applicable).
x[emission]bkgnd = measured emission concentration in the 
          dilution air (after dry-to-wet correction, if applicable).
DF = dilution factor, as determined in paragraph (b) of this section.

[[Page 339]]

[GRAPHIC] [TIFF OMITTED] TR28AP14.100

Where:

xCO2 = amount of CO2 measured in the sample over 
          the test interval.
xNMHC = amount of C1-equivalent NMHC measured in 
          the sample over the test interval.
xCH4 = amount of CH4 measured in the sample over 
          the test interval.
xCO = amount of CO measured in the sample over the test 
          interval.
a = atomic hydrogen-to-carbon ratio of the test fuel. You may measure a 
          or use default values from Table 1 of 40 CFR 1065.655.
b = atomic oxygen-to-carbon ratio of the test fuel. You may measure b or 
          use default values from Table 1 of 40 CFR 1065.655.

[[Page 340]]

[GRAPHIC] [TIFF OMITTED] TR28AP14.101

    (c) Determine the dilution factor, DF, over the test interval for 
partial-flow dilution sample systems using the following equation:
[GRAPHIC] [TIFF OMITTED] TR28AP14.152

Where:

    Vdexhstd = total dilute exhaust volume sampled over the 
test interval, corrected to standard reference conditions.
    Vexhstd = total exhaust volume sampled from the vehicle, 
corrected to standard reference conditions.
[GRAPHIC] [TIFF OMITTED] TR28AP14.102


[[Page 341]]


    (d) Determine the time-weighted dilution factor, DFw, 
over the duty cycle using the following equation:
[GRAPHIC] [TIFF OMITTED] TR28AP14.103

Where:

N = number of test intervals.
i = test interval number
t = duration of the test interval.
DF = dilution factor over the test interval.

    Example: 
    [GRAPHIC] [TIFF OMITTED] TR28AP14.104
    


Sec.  1066.615  NOX intake-air humidity correction.

    You may correct NOX emissions for intake-air humidity as 
described in this section if the standard-setting part allows it. See 
Sec.  1066.605(c) for the proper sequence for applying the 
NOX intake-air humidity correction.
    (a) For vehicles at or below 14,000 pounds GVWR, apply a correction 
for vehicles with reciprocating engines operating over specific test 
cycles as follows:

[[Page 342]]

    (1) Calculate a humidity correction using a time-weighted mean value 
for ambient humidity over the test interval. Calculate absolute ambient 
humidity, H, using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.275

Where:

MH2O = molar mass of H2O.
pd = saturated vapor pressure at the ambient dry bulb 
          temperature.
RH = relative humidity of ambient air
Mair = molar mass of air.
patmos = atmospheric pressure.

    Example: 
MH2O = 18.01528 g/mol
pd = 2.93 kPa
RH = 37.5% = 0.375
Mair = 28.96559 g/mol
patmos = 96.71 kPa
[GRAPHIC] [TIFF OMITTED] TR25OC16.276

    (2) Use the following equation to correct measured concentrations to 
a reference condition of 10.71 grams H2O vapor per kilogram 
of dry air for the FTP, US06, LA-92, SC03, and HFET test cycles:
[GRAPHIC] [TIFF OMITTED] TR19FE15.029

Where:

[chi]NOx = measured NOX emission concentration in 
          the sample, after dry-to-wet and background corrections.
Hs = humidity scale. Set = 1 for FTP, US06, LA-92, and HFET 
          test cycles. Set = 0.8825 for the SC03 test cycle.
H = ambient humidity, as determined in paragraph (a)(1) of this section.

    Example: 
H = 7.14741 g H2O vapor/kg dry air time weighted over the FTP 
          test cycle
[chi]NOx = 1.21 ppm
[GRAPHIC] [TIFF OMITTED] TR19FE15.030


[[Page 343]]


    (b) For vehicles above 14,000 pounds GVWR, apply correction factors 
as described in 40 CFR 1065.670.

[80 FR 9121, Feb. 19, 2015, as amended at 81 FR 74207, Oct. 25, 2016]



Sec.  1066.620  Removed water correction.

    Correct for removed water if water removal occurs upstream of a 
concentration measurement and downstream of a flow meter used to 
determine mass emissions over a test interval. Perform this correction 
based on the amount of water at the concentration measurement and on the 
amount of water at the flow meter.



Sec.  1066.625  Flow meter calibration calculations.

    This section describes the calculations for calibrating various flow 
meters based on mass flow rates. Calibrate your flow meter according to 
40 CFR 1065.640 instead if you calculate emissions based on molar flow 
rates.
    (a) PDP calibration. Perform the following steps to calibrate a PDP 
flow meter:
    (1) Calculate PDP volume pumped per revolution, Vrev, for 
each restrictor position from the mean values determined in Sec.  
1066.140:
[GRAPHIC] [TIFF OMITTED] TR25OC16.277

Where:

Viref = mean flow rate of the reference flow meter.
Tin = mean temperature at the PDP inlet.
pstd = standard pressure = 101.325 kPa.
fnPDP = mean PDP speed.
Pin = mean static absolute pressure at the PDP inlet.
Tstd = standard temperature = 293.15 K.

    Example: 
Viref = 0.1651 m\3\/s
Tin = 299.5 K
pstd = 101.325 kPa
fnPDP = 1205.1 r/min = 20.085 r/s
Pin = 98.290 kPa
Tstd = 293.15 K
[GRAPHIC] [TIFF OMITTED] TR25OC16.278

Vrev = 0.00866 m\3\/r
    (2) Calculate a PDP slip correction factor, Ks for each 
restrictor position from the mean values determined in Sec.  1066.140:
[GRAPHIC] [TIFF OMITTED] TR28AP14.110

Where:

fmPDP = mean PDP speed.
pout = mean static absolute pressure at the PDP outlet.

[[Page 344]]

pin = mean static absolute pressure at the PDP inlet.
[GRAPHIC] [TIFF OMITTED] TR28AP14.111

    (3) Perform a least-squares regression of Vrev, versus 
Ks, by calculating slope, a1, and intercept, 
a0, as described in 40 CFR 1065.602.
    (4) Repeat the procedure in paragraphs (a)(1) through (3) of this 
section for every speed that you run your PDP.
    (5) The following example illustrates a range of typical values for 
different PDP speeds:

       Table 1 of Sec.   1066.625--Example of PDP Calibration Data
------------------------------------------------------------------------
                                                             a0 (m\3\/
          fnPDP (revolution/s)              a1 (m\3\/s)     revolution)
------------------------------------------------------------------------
12.6....................................           0.841           0.056
16.5....................................           0.831          -0.013
20.9....................................           0.809           0.028
23.4....................................           0.788          -0.061
------------------------------------------------------------------------

    (6) For each speed at which you operate the PDP, use the appropriate 
regression equation from this paragraph (a) to calculate flow rate 
during emission testing as described in Sec.  1066.630.
    (b) SSV calibration. The equations governing SSV flow assume one-
dimensional isentropic inviscid flow of an ideal gas. Paragraph 
(b)(2)(iv) of this section describes other assumptions that may apply. 
If good engineering judgment dictates that you account for gas 
compressibility, you may either use an appropriate equation of state to 
determine values of Z as a function of measured pressure and 
temperature, 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, g, 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 pressure and temperature, or you may develop your own 
calibration equations based on good engineering judgment.
    (1) Calculate volume flow rate at standard reference conditions, 
Vistd, as follows

[[Page 345]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.279

Where:

Cd = discharge coefficient, as determined in paragraph 
          (b)(2)(i) of this section.
Cf = flow coefficient, as determined in paragraph (b)(2)(ii) 
          of this section.
At = cross-sectional area at the venturi throat.
R = molar gas constant.
pin = static absolute pressure at the venturi inlet.
Tstd = standard temperature.
pstd = standard pressure.
Z = compressibility factor.
Mmix = molar mass of gas mixture.
Tin = absolute temperature at the venturi inlet.

    (2) Perform the following steps to calibrate an SSV flow meter:
    (i) Using the data collected in Sec.  1066.140, calculate 
Cd for each flow rate using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.280

Where:

Viref = measured volume flow rate from the reference flow 
          meter.
    (ii) Use the following equation to calculate Cf for each 
flow rate:
[GRAPHIC] [TIFF OMITTED] TR28AP14.113

Where:

g = 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 (b)(2)(iii) of this 
          section.
b = ratio of venturi throat diameter to inlet diameter.

    (iii) Calculate r using the following equation:
    [GRAPHIC] [TIFF OMITTED] TR28AP14.114
    

[[Page 346]]


Where:

[Delta]p = differential static pressure, calculated as venturi inlet 
          pressure minus venturi throat pressure.

    (iv) You may apply any of the following simplifying assumptions or 
develop other values as appropriate for your test configuration, 
consistent with good engineering judgment:
    (A) For raw exhaust, diluted exhaust, and dilution air, you may 
assume that the gas mixture behaves as an ideal gas (Z = 1).
    (B) For raw exhaust, you may assume g = 1.385.
    (C) For diluted exhaust and dilution air, you may assume g = 1.399.
    (D) For diluted exhaust and dilution air, you may assume the molar 
mass of the mixture, Mmix, is a function only of the amount 
of water in the dilution air or calibration air, as follows:
[GRAPHIC] [TIFF OMITTED] TR25OC16.281

Where:

Mair = molar mass of dry air.xH2O = amount of 
          H2O in the dilution air or calibration air, 
          determined as described in 40 CFR 1065.645.
MH2O = molar mass of water.

    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
    (E) For diluted exhaust and dilution air, you may assume a constant 
molar mass of the mixture, Mmix, for all calibration and all 
testing if you control the amount of water in dilution air and in 
calibration air, as illustrated in the following table:

  Table 2 of Sec.   1066.625--Examples of Dilution Air and Calibration Air Dewpoints at Which You May Assume a
                                                  Constant Mmix
----------------------------------------------------------------------------------------------------------------
                                                                                     for the following ranges of
       If calibration Tdew ( [deg]C) is . . .             assume the following          Tdew ( [deg]C) during
                                                       constant Mmix (g/mol) . . .       emission tests \a\
----------------------------------------------------------------------------------------------------------------
<=0.................................................                      28.96559                          <=18
0...................................................                      28.89263                          <=21
5...................................................                      28.86148                          <=22
10..................................................                      28.81911                          <=24
15..................................................                      28.76224                          <=26
20..................................................                      28.68685                      -8 to 28
25..................................................                      28.58806                      12 to 31
30..................................................                      28.46005                      23 to 34
----------------------------------------------------------------------------------------------------------------
\a\ The specified ranges are valid for all calibration and emission testing over the atmospheric pressure range
  (80.000 to 103.325) kPa.

    (v) The following example illustrates the use of the governing 
equations to calculate Cd of an SSV flow meter at one 
reference flow meter value:

Viref = 2.395 m\3\/s
Z = 1
Mmix = 28.7805 g/mol = 0.0287805 kg/mol
R = 8.314472 J/(mol[middot]K) = 8.314472 (m\2\[middot]kg)/
(s\2\[middot]mol[middot]K)
Tin = 298.15 K
At = 0.01824 m\2\
pin = 99.132 kPa = 99132 Pa = 99132 kg/(m[middot]s\2\)
g = 1.399
b = 0.8
[Delta]p = 7.653 kPa

[[Page 347]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.282

Cf = 0.472
[GRAPHIC] [TIFF OMITTED] TR25OC16.283

Cd = 0.985

    (vi) Calculate the Reynolds number, Re#, for each 
reference flow rate at standard conditions, Virefstd, using 
the throat diameter of the venturi, dt, and the air density 
at standard conditions, rstd. Because the dynamic viscosity, 
m, is needed to compute Re#, you may use your own fluid 
viscosity model to determine m for your calibration gas (usually air), 
using good engineering judgment. Alternatively, you may use the 
Sutherland three-coefficient viscosity model to approximate m, as shown 
in the following sample calculation for Re#:
[GRAPHIC] [TIFF OMITTED] TR25OC16.284

    Where, using the Sutherland three-coefficient viscosity model:
    [GRAPHIC] [TIFF OMITTED] TR25OC16.285
    
Where:

m0 = Sutherland reference viscosity.
T0 = Sutherland reference temperature.
S = Sutherland constant.

[[Page 348]]



                                   Table 3 of Sec.   1066.625--Sutherland Three-Coefficient Viscosity Model Parameters
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              m0                     T0                     S            Temperature range within    Pressure limit \2\
                                   --------------------------------------------------------------------- 2% ----------------------
              Gas \1\                                                                                            error \2\
                                       kg/(m[middot]s)               K                      K           --------------------------          kPa
                                                                                                                     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.
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Use tabulated parameters only for the pure gases, as listed. Do not combine parameters in calculations to calculate viscosities of gas mixtures.
\2\ The model results are valid only for ambient conditions in the specified ranges.

    Example: 
m0 = 1.716[middot]10-5 kg/(m[middot]s)
T0 = 273 K
S = 111 K
[GRAPHIC] [TIFF OMITTED] TR25OC16.286

Tin = 298.15 K
dt = 152.4 mm = 0.1524 m
rstd = 1.1509 kg/m\3\
[GRAPHIC] [TIFF OMITTED] TR25OC16.287

Re# = 1.3027[middot]10\6\
    (vii) Calculate r using the following equation:
    [GRAPHIC] [TIFF OMITTED] TR25OC16.288
    
    Example: 

    [GRAPHIC] [TIFF OMITTED] TR25OC16.289
    

[[Page 349]]


[rho]std = 1.1964 kg/m \3\
    (viii) Create an equation for Cd as a function of 
Re#, using paired values of the two quantities. The equation 
may involve 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] TR28AP14.118

    (ix) Perform a least-squares regression analysis to determine the 
best-fit coefficients for the equation and calculate SEE as described in 
40 CFR 1065.602.
    (x) If the equation meets the criterion of SEE <=0.5% [sdot] 
Cdmax, you may use the equation for the corresponding range 
of Re#, as described in Sec.  1066.630(b).
    (xi) If the equation does not meet the specified statistical 
criteria, you may use good engineering judgment to omit calibration data 
points; however, you must use at least seven calibration data points to 
demonstrate that you meet the criterion. For example, this may involve 
narrowing the range of flow rates for a better curve fit.
    (xii) Take corrective action if the equation does not meet the 
specified statistical criterion even after omitting calibration data 
points. 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 calibration process, we 
recommend applying tighter tolerances to measurements and allowing more 
time for flows to stabilize.
    (xiii) Once you have an equation that meets the specified 
statistical criterion, you may use the equation only for the 
corresponding range of Re#.
    (c) 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 calibration coefficient, 
Kv, for each venturi, or calibrate each combination of 
venturis as one venturi by determining Kv for the system.
    (1) To determine Kv for a single venturi or a combination 
of venturis, perform the following steps:
    (i) Calculate an individual Kv for each calibration set 
point for each restrictor position using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.290

Where:

Virefstd= mean flow rate from the reference flow meter, 
          corrected to standard reference conditions.

[[Page 350]]

Tin= mean temperature at the venturi inlet.
Pin= mean static absolute pressure at the venturi inlet.

    (ii) Calculate the mean and standard deviation of all the 
Kv values (see 40 CFR 1065.602). Verify choked flow by 
plotting Kv as a function of pin. Kv 
will have a relatively constant value for choked flow; as vacuum 
pressure increases, the venturi will become unchoked and Kv 
will decrease. Paragraphs (c)(1)(iii) through (viii) of this section 
describe how to verify your range of choked flow.
    (iii) If the standard deviation of all the Kv values is 
less than or equal to 0.3% of the mean Kv, use the mean 
Kv in Eq. 1066.630-7, and use the CFV only up to the highest 
venturi pressure ratio, r, measured during calibration using the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.291

Where:

[Delta]pCFV = differential static pressure; venturi inlet 
          minus venturi outlet.
pin = mean static absolute pressure at the venturi inlet.

    (iv) If the standard deviation of all the Kv values 
exceeds 0.3% of the mean Kv, omit the Kv value 
corresponding to the data point collected at the highest r measured 
during calibration.
    (v) 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.
    (vi) If the number of remaining Kv values is seven or 
greater, recalculate the mean and standard deviation of the remaining 
Kv values.
    (vii) If the standard deviation of the remaining Kv 
values is less than or equal to 0.3% of the mean of the remaining 
Kv, use that mean Kv in Eq 1066.630-7, and use the 
CFV values only up to the highest r associated with the remaining 
Kv.
    (viii) If the standard deviation of the remaining Kv 
still exceeds 0.3% of the mean of the remaining Kv values, 
repeat the steps in paragraph (c)(1)(iv) through (vii) of this section.
    (2) During exhaust emission tests, monitor sonic flow in the CFV by 
monitoring r. Based on the calibration data selected to meet the 
standard deviation criterion in paragraphs (c)(1)(iv) and (vii) of this 
section, in which Kv is constant, select the data values 
associated with the calibration point with the lowest absolute venturi 
inlet pressure to determine the r limit. Calculate r during the exhaust 
emission test using Eq. 1066.625-8 to demonstrate that the value of r 
during all emission tests is less than or equal to the r limit derived 
from the CFV calibration data.

[79 FR 23823, Apr. 28, 2016, as amended at 81 FR 74208, Oct. 25, 2016]



Sec.  1066.630  PDP, SSV, and CFV flow rate calculations.

    This section describes the equations for calculating flow rates from 
various flow meters. After you calibrate a flow meter according to Sec.  
1066.625, use the calculations described in this section to calculate 
flow during an emission test. Calculate flow according to 40 CFR 
1065.642 instead if you calculate emissions based on molar flow rates.
    (a) PDP. (1) Based on the speed at which you operate the PDP for a 
test interval, select the corresponding slope, a1, and 
intercept, a0, as determined in Sec.  1066.625(a), to 
calculate PDP flow rate, v, as follows:

[[Page 351]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.292

Where:

fnPDP = pump speed.
Vrev = PDP volume pumped per revolution, as determined in 
          paragraph (a)(2) of this section.
Tstd = standard temperature = 293.15 K.
pin = static absolute pressure at the PDP inlet.
Tin = absolute temperature at the PDP inlet.
pstd = standard pressure = 101.325 kPa.
    (2) Calculate Vrev using the following equation:
    [GRAPHIC] [TIFF OMITTED] TR25OC16.293
    
    pout = static absolute pressure at the PDP outlet.

    Example: 
a1 = 0.8405 m \3\/s
fnPDP = 12.58 r/s
pout = 99.950 kPa
pin = 98.575 kPa
a0 = 0.056 m \3\/r
Tin = 323.5 K
[GRAPHIC] [TIFF OMITTED] TR25OC16.294

Vrev = 0.063 m\3\/r
[GRAPHIC] [TIFF OMITTED] TR25OC16.295

v= 0.7079 m\3\/s
    (b) SSV. Calculate SSV flow rate, v, as follows:
    [GRAPHIC] [TIFF OMITTED] TR25OC16.296
    

[[Page 352]]


Where:

Cd = discharge coefficient, as determined based on the 
          Cd versus Re# equation in Sec.  
          1066.625(b)(2)(viii).
Cf = flow coefficient, as determined in Sec.  
          1066.625(b)(2)(ii).
At = venturi throat cross-sectional area.
R = molar gas constant.
pin = static absolute pressure at the venturi inlet.
Tstd = standard temperature.
pstd = standard pressure.
Z = compressibility factor.
Mmix = molar mass of gas mixture.
Tin = absolute temperature at the venturi inlet.
    Example: 
Cd = 0.890
Cf = 0.472
At = 0.01824 m\2\
R = 8.314472 J/(mol[middot]K) = 8.314472 (m\2\[middot]kg)/
          (s\2\[middot]mol[middot]K)
pin = 98.496 kPa
Tstd = 293.15 K
pstd = 101.325 kPa
Z = 1
Mmix = 28.7789 g/mol = 0.0287789 kg/mol
Tin = 296.85 K
[GRAPHIC] [TIFF OMITTED] TR25OC16.297

V = 2.155 m\3\/s
    (c) CFV. If you use multiple venturis and you calibrated each 
venturi independently to determine a separate calibration coefficient, 
Kv, for each venturi, calculate the individual volume flow 
rates through each venturi and sum all their flow rates to determine CFV 
flow rate, V. If you use multiple venturis and you calibrated venturis 
in combination, calculate V using the Kv that was determined 
for that combination of venturis.
    (1) To calculate V through one venturi or a combination of venturis, 
use the mean Kv you determined in Sec.  1066.625(c) and 
calculate V as follows:
[GRAPHIC] [TIFF OMITTED] TR25OC16.298

Where:

Kv = flow meter calibration coefficient.
Tin = temperature at the venturi inlet.
pin = absolute static pressure at the venturi inlet.

    Example: 
Kv = 0.074954 m\3\[middot]K\0.5\/(kPa[middot]s)
pin = 99.654 kPa
Tin = 353.15 K
[GRAPHIC] [TIFF OMITTED] TR25OC16.299

V= 0.39748 m\3\/s
    (2) [Reserved]

[81 FR 74211, Oct. 25, 2016]



Sec.  1066.635  NMOG determination.

    For vehicles subject to an NMOG standard, determine NMOG as 
described in paragraph (a) of this section.

[[Page 353]]

Except as specified in the standard-setting part, you may alternatively 
calculate NMOG results based on measured NMHC emissions as described in 
paragraphs (c) through (f) of this section.
    (a) Determine NMOG by independently measuring alcohols and carbonyls 
as described in 40 CFR 1065.805 and 1065.845. Use good engineering 
judgment to determine which alcohols and carbonyls you need to measure. 
This would typically require you to measure all alcohols and carbonyls 
that you expect to contribute 1% or more of total NMOG. Calculate the 
mass of NMOG in the exhaust, mNMOG, with the following 
equation, using density values specified in Sec.  1066.1005(f):
[GRAPHIC] [TIFF OMITTED] TR25OC16.300

Where:

mNMHC = the mass of NMHC and all oxygenated hydrocarbon (OHC) 
in the exhaust, as determined using Eq. 1066.605-2. Calculate NMHC mass 
based on [rho]NMHC.
rNMHC = the effective C1-equivalent density of 
NMHC as specified in Sec.  1066.1005(f).
mOHCi = the mass of oxygenated species i in the exhaust 
calculated using Eq. 1066.605-2.
rOCHi = the C1-equivalent density of oxygenated 
species i.
RFOHCi[THC-FID] = the response factor of a THC-FID to 
oxygenated species i relative to propane on a C1-equivalent 
basis as determined in 40 CFR 1065.845.

    (b) The following example shows how to determine NMOG as described 
in paragraph (a) of this section for (OHC) compounds including ethanol 
(C2H5OH), methanol (CH3OH), 
acetaldehyde (C2H4O), and formaldehyde 
(CH2O) as C1-equivalent concentrations:

mNMHC = 0.0125 g
mCH3OH = 0.0002 g
mC2H5OH = 0.0009 g
mCH2O = 0.0001 g
mC2H4O = 0.00005 g
RFCH3OH[THC-FID] = 0.63
RFC2H5OH[THC-FID] = 0.75
RFCH2O[THC-FID] = 0.00
RFC2H4O[THC-FID] = 0.50
rNMHC-liq = 576.816 g/m\3\
rCH3OH = 1332.02 g/m\3\
rC2H5OH = 957.559 g/m\3\
rCH2O = 1248.21 g/m\3\
rC2H4O = 915.658 g/m\3\
[GRAPHIC] [TIFF OMITTED] TR28AP14.128

    (c) For gasoline containing less than 25% ethanol by volume, you may 
calculate NMOG from measured NMHC emissions as follows:
    (1) For hot-start and hot-running test cycles or intervals other 
than the FTP, you may determine NMOG based on the NMHC emission rate 
using the following equation:

[[Page 354]]

[GRAPHIC] [TIFF OMITTED] TR28AP14.129

Where:

eNMOGh = mass emission rate of NMOG from the hot-running test 
          cycle.
eNMHCh = mass emission rate of NMHC from the hot-running test 
          cycle, calculated using rNMHC-liq.

    Example: 
eNMHCh = 0.025 g/mi
eNMOGh = 0.025 [middot] 1.03 = 0.026 g/mi

    (2) You may determine weighted composite NMOG for FTP testing based 
on the weighted composite NMHC emission rate and the volume percent of 
ethanol in the fuel using the following equation:
[GRAPHIC] [TIFF OMITTED] TR28AP14.130

Where:

eNMOGcomp = weighted FTP composite mass emission rate of 
          NMOG.
eNMHCcomp = weighted FTP composite mass emission rate of 
          NMHC, calculated using rNMHC-liq.
VPEtOH = volume percentage of ethanol in the test fuel. Use 
          good engineering judgment to determine this value either as 
          specified in 40 CFR 1065.710 or based on blending volumes, 
          taking into account any denaturant.

    Example: 
eNMHCcomp = 0.025 g/mi
VPEtOH = 10.1%
eNMOGcomp = 0.025 [middot] (1.0302 + 0.0071 [middot] 10.1) = 
          0.0275 g/mi

    (3) You may determine NMOG for the transient portion of the FTP 
cold-start test for use in fuel economy and CREE calculations based on 
the NMHC emission rate for the test interval and the volume percent of 
ethanol in the fuel using the following equation:
[GRAPHIC] [TIFF OMITTED] TR28AP14.131

Where:

eNMOG-FTPct = mass emission rate of NMOG from the transient 
          portion of the FTP cold-start test (generally known as bag 1).
eNMHC-FTPct = mass emission rate of NMHC from the transient 
          portion of the FTP cold-start test (bag 1), calculated using 
          rNMHC-liq.

    Example: 
eNMHC-FTPct = 0.052 g/mi
VPEtOH = 10.1%
eNMOG-FTPct = 0.052 [middot] (1.0246 + 0.0079 [middot] 10.1) 
          = 0.0574 g/mi

    (4) You may determine NMOG for the stabilized portion of the FTP 
test for either the cold-start test or the hot-start test (bag 2 or bag 
4) for use in fuel economy and CREE calculations based on the 
corresponding NMHC emission rate and the volume percent of ethanol in 
the fuel using the following equation:

[[Page 355]]

[GRAPHIC] [TIFF OMITTED] TR28AP14.132

Where:

eNMOG-FTPcs-hs = mass emission rate of NMOG from the 
          stabilized portion of the FTP test (bag 2 or bag 4).
eNMHC-FTPcs-hs = mass emission rate of NMHC from the 
          stabilized portion of the FTP test (bag 2 or bag 4), 
          calculated using rNMHC-liq.

    (5) You may determine NMOG for the transient portion of the FTP hot-
start test for use in fuel economy and CREE calculations based on the 
NMHC emission rate for the test interval and the volume percent of 
ethanol in the fuel using the following equation:
[GRAPHIC] [TIFF OMITTED] TR28AP14.133

Where:

eNMOG-FTPht = mass emission rate of NMOG from the transient 
          portion of the FTP hot-start test (bag 3).
eNMHC-FTPht = mass emission rate of NMHC from the transient 
          portion of the FTP hot-start test (bag 3), calculated using 
          rNMHC-liq.

    (6) For PHEVs, you may determine NMOG based on testing over one full 
UDDS using Eq. 1066.635-3.
    (d) You may take the following alternative steps when determining 
fuel economy and CREE under 40 CFR part 600 for testing with ethanol-
gasoline blends that have up to 25% ethanol by volume:
    (1) Calculate NMOG by test interval using Eq. 1066.635-3 for 
individual bag measurements from the FTP.
    (2) For HEVs, calculate NMOG for two-bag FTPs using Eq. 1066.635-3 
as described in 40 CFR 600.114.
    (e) We consider NMOG values for diesel-fueled vehicles, CNG-fueled 
vehicles, LNG-fueled vehicles, and LPG-fueled vehicles to be equivalent 
to NMHC emission values for all test cycles.
    (f) For all fuels not covered by paragraphs (c) and (e) of this 
section, manufacturers may propose a methodology to calculate NMOG 
results from measured NMHC emissions. We will approve adjustments based 
on comparative testing that demonstrates how to properly represent NMOG 
based on measured NMHC emissions.

[79 FR 23823, Apr. 28, 2014, as amended at 80 FR 9122, Feb. 19, 2015; 81 
FR 74212, Oct. 25, 2016]



Sec.  1066.695  Data requirements.

    Record information for each test as follows:
    (a) Test number.
    (b) A brief description of the test vehicle (or other system/device 
tested).
    (c) Date and time of day for each part of the test sequence.
    (d) Test results. Also include a validation of driver accuracy as 
described in Sec.  1066.425(j).
    (e) Driver and equipment operators.
    (f) Vehicle information as applicable, including identification 
number, model year, applicable emission standards (including bin 
standards or family emission limits, as applicable), vehicle model, 
vehicle class, test group, durability group, engine family, evaporative/
refueling emission family, basic engine description (including 
displacement, number of cylinders, turbocharger/supercharger used, and 
catalyst type), fuel system (type of fuel injection and fuel tank 
capacity and location), engine code, GVWR, applicable

[[Page 356]]

test weight, inertia weight class, actual curb weight at zero miles, 
actual road load at 50 mi/hr, transmission class and configuration, axle 
ratio, odometer reading, idle rpm, and measured drive wheel tire 
pressure.
    (g) Dynamometer identification, inertia weight setting, indicated 
power absorption setting, and records to verify compliance with the 
driving distance and cycle-validation criteria as calculated from 
measured roll or shaft revolutions.
    (h) Analyzer bench identification, analyzer ranges, recordings of 
analyzer output during zero, span, and sample readings.
    (i) Associate the following information with the test record: test 
number, date, vehicle identification, vehicle and equipment operators, 
and identification of the measurements recorded.
    (j) Test cell barometric pressure and humidity. You may use a 
central laboratory barometer if the barometric pressure in each test 
cell is shown to be within 0.1% of the barometric 
pressure at the central barometer location.
    (k) Records to verify compliance with the ambient temperature 
requirements throughout the test procedure and records of fuel 
temperatures during the running loss test.
    (l) [Reserved]
    (m) For CVS systems, record dilution factor for each test interval 
and the following additional information:
    (1) For CFV and SSV testing, Vmix for each interval of 
the exhaust test.
    (2) For PDP testing, test measurements required to calculate 
Vmix for each test interval.
    (n) The humidity of the dilution air, if you remove H2O 
from an emission sample before measurement.
    (o) Temperature of the dilute exhaust mixture and secondary dilution 
air (in the case of a double-dilution system) at the inlet to the 
respective gas meter or flow instrumentation used for PM sampling. 
Determine minimum values, maximum values, mean values, and percent of 
time outside of the tolerance over each test interval.
    (p) The maximum exhaust gas temperature over the course of the test 
interval within 20 cm upstream or downstream of PM sample media.
    (q) If applicable, the temperatures of the heated FID, the gas in 
the heated sample line, and the heated filter. Determine minimum values, 
maximum values, average values, and percent of time outside of the 
tolerance over each test interval.
    (r) Gas meter or flow measurement instrumentation readings used for 
batch sampling over each test interval. Determine minimum, maximum, and 
average values over each test interval.
    (s) The stabilized pre-test weight and post-test weight of each 
particulate sample media (e.g., filter).
    (t) Continuous temperature and humidity of the ambient air in which 
the PM sample media are stabilized. Determine minimum values, maximum 
values, average values, and percent of time outside of the tolerance 
over each test interval.
    (u) For vehicles fueled by natural gas, the test fuel composition, 
including all carbon-containing compounds (including CO2, but 
excluding CO). Record C1 and C2 compounds 
individually. You may record C3 through C5 
hydrocarbons together, and you may record C6 and heavier 
hydrocarbon compounds together.
    (v) For vehicles fueled by liquefied petroleum gas, the test fuel 
composition, including all carbon-containing compounds (including 
CO2, but excluding CO). Record C1 through 
C4 compounds individually. You may record C5 and 
heavier hydrocarbons together.
    (w) For the AC17 test in Sec.  1066.845, interior volume, climate 
control system type and characteristics, refrigerant used, compressor 
type, and evaporator/condenser characteristics.
    (x) Additional information related to evaporative emissions. 
[Reserved]
    (y) Additional information related to refueling emissions. 
[Reserved]

[[79 FR 23823, Apr. 28, 2016, as amended at 81 FR 74213, Oct. 25, 2016]



               Subpart H_Cold Temperature Test Procedures



Sec.  1066.701  Applicability and general provisions.

    (a) The procedures of this part 1066 may be used for testing at any 
ambient temperature. Section 1066.710 describes the provisions that 
apply for testing

[[Page 357]]

vehicles at a nominal temperature of -7 [deg]C (20 [deg]F); these 
procedures apply for motor vehicles as described in 40 CFR part 86, 
subpart S, and 40 CFR part 600. For other vehicles, see the standard-
setting part to determine if your vehicle is required to meet emission 
standards outside the normal (20 to 30) [deg]C ((68 to 86) [deg]F) 
temperature range.
    (b) Do not apply the humidity correction factor in Sec.  1066.615(a) 
for cold temperature testing.

[79 FR 23823, Apr. 28, 2014, as amended at 80 FR 9122, Feb. 19, 2015]



Sec.  1066.710  Cold temperature testing procedures for measuring CO 
and NMHC emissions and determining fuel economy.

    This section describes procedures for measuring carbon monoxide (CO) 
and nonmethane hydrocarbon (NMHC) emissions and determining fuel economy 
on a cold day using the FTP test cycle (see Sec.  1066.801). The 
following figure illustrates the test procedure:

[[Page 358]]

[GRAPHIC] [TIFF OMITTED] TR28AP14.134

    (a) Follow the exhaust emission measurement procedures specified in 
Sec. Sec.  1066.410 through 1066.425 and Sec.  1066.815(d), subject to 
the following exceptions and additional provisions:

[[Page 359]]

    (1) Measure and control ambient conditions as specified in paragraph 
(b) of this section.
    (2) Use the vehicle's heater and defroster as specified in paragraph 
(c) of this section.
    (3) Precondition and stabilize the vehicle as specified in 
paragraphs (d) and (e) of this section. Ensure that there is no 
precipitation or dew on the vehicle before the emission test.
    (4) For dynamometers that have independently heated bearings, start 
the emission test within 20 minutes after warming up the dynamometer; 
for other types of dynamometers, start the emission test within 10 
minutes after warming up the dynamometer.
    (5) Adjust the dynamometer to simulate vehicle operation on the road 
at -7 [deg]C as described in Sec.  1066.305(b).
    (6) Analyze samples for NMHC, CO, and CO2. You do not 
need to analyze samples for other pollutants.
    (b) Maintain ambient conditions as follows instead of following the 
specifications in subpart E of this part:
    (1) Ambient temperature for emission tests. Measure and record 
ambient temperature in the test cell at least once every 60 seconds 
during the sampling period. The temperature must be (-7.0 1.7) [deg]C at the start of the test and average 
temperature must be (-7.0 2.8) [deg]C during the 
test. Instantaneous temperature values may be above -4.0 [deg]C or below 
-9.0 [deg]C, but not for more than 3 minutes at a time during the test.
    (2) Ambient temperature for preconditioning. Instantaneous ambient 
temperature values may be above -4.0 [deg]C or below -9.0 [deg]C but not 
for more than 3 minutes at a time during the preconditioning period. At 
no time may the ambient temperatures be below -12.0 [deg]C or above -1.0 
[deg]C. The average ambient temperature during preconditioning must be 
(-7.0 2.8) [deg]C. You may precondition vehicles 
at temperatures above -7.0 [deg]C or with a temperature tolerance 
greater than that described in this section (or both) if you determine 
that this will not cause NMHC, CO, or CO2 emissions to 
decrease; if you modify the temperature specifications for vehicle 
preconditioning, adjust the procedures described in this section 
appropriately for your testing.
    (3) Ambient humidity. Maintain humidity low enough to prevent 
condensation on the dynamometer rolls during testing.
    (c) Heater and defroster. During the test, operate the vehicle's 
interior climate control system with the heat on and set to primarily 
defrost the front window. Turn air conditioning off. You may not use any 
supplemental auxiliary heat during this testing. You may set the heater 
to any temperature and fan setting during vehicle preconditioning.
    (1) Manual control. Unless you rely on automatic control as 
specified in paragraph (c)(2) of this section, take the following steps 
to control heater settings:
    (i) Set the climate control system as follows before the first 
acceleration (t = 20 s), or before starting the vehicle if the climate 
control system allows it:
    (A) Temperature. Set controls to maximum heat. For automatic control 
systems running in manual mode, set the heater control to 72 [deg]F or 
higher.
    (B) Fan speed. Set the fan speed to full off or the lowest available 
speed if a full off position is not available.
    (C) Airflow direction. Direct airflow to the front window (window 
defrost mode).
    (D) Air source. If independently controllable, set the system to 
draw in outside air.
    (ii) At the second idle of the test cycle, which occurs 125 seconds 
after the start of the test, set the fan speed to maximum. Complete by 
130 seconds after the start of the test. Leave temperature and air 
source settings unchanged.
    (iii) At the sixth idle of the test interval, which occurs at the 
deceleration to zero miles per hour 505 seconds after the start of the 
test, set the fan speed to the lowest setting that maintains air flow. 
Complete these changes by 510 seconds after the start of the test. You 
may use different vent and fan speed settings for the remainder of the 
test. Leave the temperature and air source settings unchanged.

[[Page 360]]

    (2) Automatic control. For vehicles with automatic control systems 
running in automatic mode, set the temperature to 72 [deg]F and the air 
flow control to the front window defrost mode for the whole test.
    (3) Multiple-zone systems. For vehicles that have separate driver 
and passenger controls or separate front and rear controls, you must set 
all temperature and fan controls as described in paragraphs (c)(1) and 
(2) of this section, except that rear controls need not be set to 
defrost the front window.
    (4) Alternative test procedures. We may approve the use of other 
settings under 40 CFR 86.1840 if a vehicle's climate control system is 
not compatible with the provisions of this section.
    (d) Take the following steps to prepare and precondition vehicles 
for testing under this section:
    (1) Prepare the vehicle as described in Sec.  1066.810(a).
    (2) Fill the fuel tank to approximately 40% of the manufacturer's 
nominal fuel tank capacity with the appropriate test fuel for cold 
temperature testing as specified 40 CFR Part 1065, subpart H. The 
temperature of the dispensed test fuel must be at or below 15.5 [deg]C. 
If the leftover fuel in the fuel tank before the refueling event does 
not meet these specifications, drain the fuel tank before refueling. You 
may operate the vehicle prior to the preconditioning drive to eliminate 
fuel effects on adaptive memory systems.
    (3) You may start the preconditioning drive once the fuel in the 
fuel tank reaches (-12.6 to -1.4) [deg]C. Precondition the vehicle as 
follows:
    (i) Push or drive the vehicle onto the dynamometer.
    (ii) Operate the vehicle over one UDDS. You may perform additional 
vehicle preconditioning with repeated driving over the UDDS, subject to 
our advance approval.
    (iii) Turn off the test vehicle and any cooling fans within 5 
minutes after completing the preconditioning drive. Ambient temperature 
must be between (-12.0 and -1.0) [deg]C in the 5 minutes following the 
preconditioning drive.
    (iv) Do not manually purge or load the evaporative canister.
    (e) Soak the vehicle for (12 to 36) hours to stabilize it at test 
temperatures before starting the emission test as described in this 
paragraph (e). If you move a stabilized vehicle through a warm area when 
transporting it to the dynamometer for testing, you must restabilize the 
vehicle by holding it at an ambient temperature within the range 
specified in paragraph (b)(1) of this section for at least six times as 
long as the vehicle was exposed to warmer temperatures. Use one of the 
following methods to reach a stabilized condition:
    (1) Cold storage. Measure and record ambient temperature in the test 
cell at least once every 60 seconds during the ambient cold soak period. 
These ambient temperatures may be above -4.0 [deg]C or below -9.0 
[deg]C, but not for more than 3 minutes at a time. Use measured values 
to calculate an hourly average temperature. Each hourly average 
temperature must be (-7.0 [deg]C 2.8) [deg]C.
    (2) Forced-cooling or warming. Position fans to blow temperature-
controlled air onto the vehicle to stabilize the vehicle at the 
specified temperatures for emission testing. Position fans to target the 
vehicle's drive train, engine block, and radiator rather than the oil 
pan. You may not place fans under the vehicle. You may consider the 
vehicle to be stabilized at the test temperature when the bulk oil 
temperature reaches (-8.7 to -5.3) [deg]C; measure oil temperature at 
one or more points away from the side or bottom surfaces of the oil pan. 
Each oil temperature measurement must be within the specified range 
before stabilization is complete. Once the vehicle reaches this 
stabilized condition, cold soak the vehicle within the stabilized 
temperature range for at least one hour before starting the emission 
test. During this time, keep the ambient temperature within the range 
specified in paragraph (b)(1) of this section.

[79 FR 23823, Apr. 28, 2014, as amended at 80 FR 9122, Feb. 19, 2015; 81 
FR 74213, Oct. 25, 2016]



      Subpart I_Exhaust Emission Test Procedures for Motor Vehicles



Sec.  1066.801  Applicability and general provisions.

    This subpart I specifies how to apply the test procedures of this 
part for light-duty vehicles, light-duty trucks,

[[Page 361]]

and heavy-duty vehicles at or below 14,000 pounds GVWR that are subject 
to chassis testing for exhaust emissions under 40 CFR Part 86, subpart 
S. For these vehicles, references in this part 1066 to the standard-
setting part include this subpart I.
    (a) Use the procedures detailed in this subpart to measure vehicle 
emissions over a specified drive schedule in conjunction with subpart E 
of this part. Where the procedures of subpart E of this part differ from 
this subpart I, the provisions in this subpart I take precedence.
    (b) Collect samples of every pollutant for which an emission 
standard applies, unless specified otherwise.
    (c) This subpart covers the following test procedures:
    (1) The Federal Test Procedure (FTP), which includes the general 
driving cycle. This procedure is also used for measuring evaporative 
emissions. This may be called the conventional test since it was adopted 
with the earliest emission standards.
    (i) The FTP consists of one Urban Dynamometer Driving Schedule 
(UDDS) as specified in paragraph (a) of Appendix I of 40 CFR Part 86, 
followed by a 10-minute soak with the engine off and repeat driving 
through the first 505 seconds of the UDDS. Note that the UDDS represents 
about 7.5 miles of driving in an urban area. Engine startup (with all 
accessories turned off), operation over the initial UDDS, and engine 
shutdown make a complete cold-start test. The hot-start test consists of 
the first 505 seconds of the UDDS following the 10-minute soak and a 
hot-running portion of the UDDS after the first 505 seconds. The first 
505 seconds of the UDDS is considered the transient portion; the 
remainder of the UDDS is considered the stabilized (or hot-stabilized) 
portion. The hot-stabilized portion for the hot-start test is generally 
measured during the cold-start test; however, in certain cases, the hot-
start test may involve a second full UDDS following the 10-minute soak, 
rather than repeating only the first 505 seconds. See Sec. Sec.  
1066.815 and 1066.820.
    (ii) Evaporative emission testing includes a preconditioning drive 
with the UDDS and a full FTP cycle, including exhaust measurement, 
followed by evaporative emission measurements. In the three-day diurnal 
test sequence, the exhaust test is followed by a running loss test 
consisting of a UDDS, then two New York City Cycles as specified in 
paragraph (e) of Appendix I of 40 CFR Part 86, followed by another UDDS; 
see 40 CFR 86.134. Note that the New York City Cycle represents about 
1.18 miles of driving in a city center. The running loss test is 
followed by a high-temperature hot soak test as described in 40 CFR 
86.138 and a three-day diurnal emission test as described in 40 CFR 
86.133. In the two-day diurnal test sequence, the exhaust test is 
followed by a low-temperature hot soak test as described in 40 CFR 
86.138-96(k) and a two-day diurnal emission test as described in 40 CFR 
86.133-96(p).
    (iii) Refueling emission tests for vehicles that rely on integrated 
control of diurnal and refueling emissions includes vehicle operation 
over the full FTP test cycle corresponding to the three-day diurnal test 
sequence to precondition and purge the evaporative canister. For non-
integrated systems, there is a preconditioning drive over the UDDS and a 
refueling event, followed by repeated UDDS driving to purge the 
evaporative canister. The refueling emission test procedures are 
described in 40 CFR 86.150 through 86.157.
    (2) The Supplemental Federal Test Procedure (SFTP) measures the 
emission effects from aggressive driving and operation with the 
vehicle's air conditioner. The SFTP is based on a composite of three 
different test elements. In addition to the FTP, vehicles generally 
operate over the US06 and SC03 driving schedules as specified in 
paragraphs (g) and (h) of Appendix I of 40 CFR part 86, respectively. In 
the case of heavy-duty vehicles above 10,000 pounds GVWR and at or below 
14,000 pounds GVWR, SFTP testing involves additional driving over the 
Hot LA-92 driving schedule as specified in paragraph (c) of 40 CFR part 
86, Appendix I, instead of the US06 driving schedule. Note that the US06 
driving schedule represents about 8.0 miles of relatively aggressive 
driving; the SC03 driving schedule represents about 3.6 miles of urban 
driving with the air conditioner

[[Page 362]]

operating; and the hot portion of the LA-92 driving schedule represents 
about 9.8 miles of relatively aggressive driving for commercial trucks. 
See Sec.  1066.830.
    (3) The Highway Fuel Economy Test (HFET) is specified in Appendix I 
of 40 CFR part 600. Note that the HFET represents about 10.2 miles of 
rural and freeway driving with an average speed of 48.6 mi/hr and a 
maximum speed of 60.0 mi/hr. See Sec.  1066.840.
    (4) Cold temperature standards apply for CO and NMHC emissions when 
vehicles operate over the FTP at a nominal temperature of -7 [deg]C. See 
40 CFR Part 86, subpart C, and subpart H of this part.
    (5) Emission measurement to determine air conditioning credits for 
greenhouse gas standards. In this optional procedure, manufacturers 
operate vehicles over repeat runs of the AC17 test sequence to allow for 
calculating credits as part of demonstrating compliance with 
CO2 emission standards. The AC17 test sequence consists of a 
UDDS preconditioning drive, followed by emission measurements over the 
SC03 and HFET driving schedules. See Sec.  1066.845.
    (d) The following provisions apply for all testing:
    (1) Ambient temperatures encountered by the test vehicle must be (20 
to 30) [deg]C, unless otherwise specified. Where ambient temperature 
specifications apply before or between test measurements, the vehicle 
may be exposed to temperatures outside of the specified range for up to 
10 minutes to account for vehicle transport or other actions to prepare 
for testing. The temperatures monitored during testing must be 
representative of those experienced by the test vehicle. For example, do 
not measure ambient temperatures near a heat source.
    (2) Do not operate or store the vehicle at an incline if good 
engineering judgment indicates that it would affect emissions.
    (3) If a test is void after collecting emission data from previous 
test segments, the test may be repeated to collect only those data 
points needed to complete emission measurements. You may combine 
emission measurements from different test runs to demonstrate compliance 
with emission standards.
    (4) Prepare vehicles for testing as described in Sec.  1066.810.
    (e) The following figure illustrates the FTP test sequence for 
measuring exhaust and evaporative emissions:

[[Page 363]]

[GRAPHIC] [TIFF OMITTED] TR19FE15.031


[79 FR 23823, Apr. 28, 2014, as amended at 80 FR 9123, Feb. 19, 2015; 81 
FR 74213, Oct. 25, 2016]



Sec.  1066.805  Road-load power, test weight, 
and inertia weight class determination.

    (a) Simulate a vehicle's test weight on the dynamometer using the 
appropriate equivalent test weight shown in Table 1 of this section. 
Equivalent test weights are established according to each vehicle's test 
weight basis, as described in paragraph (b) of this section. Table 1 
also specifies the inertia weight class corresponding to each equivalent 
test weight; the inertia weight class allows for grouping vehicles with 
a range of equivalent test weights. Table 1 follows:

      Table 1 of Sec.   1066.805--Equivalent Test Weights (pounds)
------------------------------------------------------------------------
                                                 Equivalent    Inertia
                  Test weight                       test        weight
------------------------------------------------------------------------
Up to 1062....................................         1000         1000
1063 to 1187..................................         1125         1000
1188 to 1312..................................         1250         1250
1313 to 1437..................................         1375         1250
1438 to 1562..................................         1500         1500
1563 to 1687..................................         1625         1500
1688 to 1812..................................         1750         1750
1813 to 1937..................................         1875         1750
1938 to 2062..................................         2000         2000
2063 to 2187..................................         2125         2000
2188 to 2312..................................         2250         2250
2313 to 2437..................................         2375         2250
2438 to 2562..................................         2500         2500
2563 to 2687..................................         2625         2500
2688 to 2812..................................         2750         2750
2813 to 2937..................................         2875         2750
2938 to 3062..................................         3000         3000
3063 to 3187..................................         3125         3000
3188 to 3312..................................         3250         3000
3313 to 3437..................................         3375         3500
3438 to 3562..................................         3500         3500
3563 to 3687..................................         3625         3500
3688 to 3812..................................         3750         3500
3813 to 3937..................................         3875         4000
3938 to 4125..................................         4000         4000
4126 to 4375..................................         4250         4000

[[Page 364]]

 
4376 to 4625..................................         4500         4500
4626 to 4875..................................         4750         4500
4876 to 5125..................................         5000         5000
5126 to 5375..................................         5250         5000
5376 to 5750..................................         5500         5500
5751 to 6250..................................         6000         6000
6251 to 6750..................................         6500         6500
6751 to 7250..................................         7000         7000
7251 to 7750..................................         7500         7500
7751 to 8250..................................         8000         8000
8251 to 8750..................................         8500         8500
8751 to 9250..................................         9000         9000
9251 to 9750..................................         9500         9500
9751 to 10250.................................        10000        10000
10251 to 10750................................        10500        10500
10751 to 11250................................        11000        11000
11251 to 11750................................        11500        11500
11751 to 12250................................        12000        12000
12251 to 12750................................        12500        12500
12751 to 13250................................        13000        13000
13251 to 13750................................        13500        13500
13751 to 14000................................        14000        14000
------------------------------------------------------------------------

    (b) The test weight basis for non-MDPV heavy-duty vehicles is 
``adjusted loaded vehicle weight''. For all other vehicles, the test 
weight basis for establishing equivalent test weight is ``loaded vehicle 
weight''. These load terms are defined in 40 CFR 86.1803.
    (c) For FTP, SFTP, New York City Cycle, HFET, and LA-92 testing, 
determine road-load forces for each test vehicle at speeds between 9.3 
and 71.5 miles per hour. The road-load force must represent vehicle 
operation on a smooth, level road with no wind or calm winds, no 
precipitation, an ambient temperature of approximately 20 [deg]C, and 
atmospheric pressure of 98.21 kPa. You may extrapolate road-load force 
for speeds below 9.3 mi/hr.

[79 FR 23823, Apr. 28, 2016, as amended at 81 FR 74213, Oct. 25, 2016]



Sec.  1066.810  Vehicle preparation.

    (a) Include additional fittings and adapters as required to 
accommodate a fuel drain at the lowest point possible in the tank(s) as 
installed on the vehicle.
    (b) For preconditioning that involves loading an evaporative 
emission canister with butane, provide valving or other means to allow 
for purging and loading the canister.
    (c) For vehicles to be tested for running loss emissions (40 CFR 
86.134), prepare the fuel tank for measuring temperature and pressure as 
specified in 40 CFR 86.107-98(e) and (f) and 40 CFR 86.134. Vapor 
temperature measurement is optional during the running loss test.
    (d) For vehicles to be tested for running loss emissions, prepare 
the exhaust system by sealing or plugging all detectable sources of 
exhaust gas leaks. Inspect or test the exhaust system to ensure that 
there are no leaks that would cause exhaust hydrocarbon emissions to be 
detected as running losses.
    (e) The following provisions apply for preconditioning steps to 
reduce nonfuel emissions to normal vehicle background levels for 
vehicles subject to Tier 3 evaporative emission standards under 40 CFR 
86.1813:
    (1) You must notify us in advance if you plan to perform such 
preconditioning. This notice must include a detailed description of the 
intended procedures and any measurements or thresholds for determining 
when stabilization is complete. You need not repeat this notification 
for additional vehicle testing in the same or later model years as long 
as your preconditioning practice conforms to these procedures.
    (2) You may precondition a vehicle as described in paragraph (e)(1) 
of this section only within 12 months after the vehicle's original date 
of manufacture, except that you may ask us to approve further 
preconditioning steps for any testing to address identifiable sources of 
nonfuel emissions beyond what would generally occur with an 
appropriately aged in-use vehicle. For example, you may clean up fluid 
leaks and you may perform further off-vehicle preconditioning for tires 
or other replacement parts that are less than 12 months old. You may 
also replace the spare tire with an aged spare tire, and you may replace 
the windshield washer fluid with water.



Sec.  1066.815  Exhaust emission test procedures for FTP testing.

    (a) General. The FTP exhaust emission test sequence consists of a 
cold-start test and a hot-start test as described in Sec.  1066.801.
    (b) PM sampling options. Collect PM using any of the procedures 
specified in paragraphs (b)(1) through (5) of this

[[Page 365]]

section and use the corresponding equation in Sec.  1066.820 to 
calculate FTP composite emissions. Testing must meet the requirements 
related to filter face velocity as described in Sec.  
1066.110(b)(2)(iii)(C), except as specified in paragraphs (b)(4) and (5) 
of this section. For procedures involving flow weighting, set the filter 
face velocity to a weighting target of 1.0 to meet the requirements of 
Sec.  1066.110(b)(2)(iii)(C). Allow filter face velocity to decrease as 
a percentage of the weighting factor if the weighting factor is less 
than 1.0 and do not change the nominal CVS flowrates or secondary 
dilution ratios between FTP or UDDS test intervals. Use the appropriate 
equations in Sec.  1066.610 to show that you meet the dilution factor 
requirements of Sec.  1066.110(b)(2)(iii)(B). If you collect PM using 
the procedures specified in paragraph (b)(4) or (5) of this section, the 
residence time requirements in 40 CFR 1065.140(e)(3) apply, except that 
you may exceed an overall residence time of 5.5 s for sample flow rates 
below the highest expected sample flow rate.
    (1) You may collect a separate PM sample for transient and 
stabilized portions of the cold-start UDDS and the hot-start UDDS. This 
may either be done by sampling with three bags or four bags. You may 
omit the stabilized portion of the hot-start test (bag 4) and use the 
stabilized portion of the cold-start test (bag 2) in its place.
    (2) You may collect PM on one filter over the cold-start UDDS and on 
a separate filter over the hot-start UDDS.
    (3) You may collect PM on one filter over the cold-start UDDS (bag 1 
and bag 2) and on a separate filter over the 867 seconds of the 
stabilized portion of the cold-start UDDS and the first 505 seconds of 
the hot-start UDDS (bag 2 and bag 3). Note that this option involves 
duplicate measurements during the stabilized portion of the cold-start 
UDDS.
    (4) You may collect PM on a single filter over the cold-start UDDS 
and the first 505 seconds of the hot-start UDDS using one of the 
following methods:
    (i) Adjust your sampling system flow rate over the filter to weight 
the filter face velocity over the three intervals of the FTP based on 
weighting targets of 0.43 for bag 1, 1.0 for bag 2, and 0.57 for bag 3.
    (ii) Maintain a constant sampling system flow rate over the filter 
for all three intervals of the FTP by increasing overall dilution ratios 
for bag 1 and bag 3. To do this, reduce the sample flow rate from the 
exhaust (or diluted exhaust) such that the value is reduced to 43% and 
57%, respectively, of the bag 2 values. For constant-volume samplers, 
this requires that you decrease the dilute exhaust sampling rate from 
the CVS and compensate for that by increasing the amount of secondary 
dilution air.
    (5) You may collect PM on a single filter over the cold-start UDDS 
and the full hot-start UDDS using one of the following methods:
    (i) Adjust your sampling system flow rate over the filter to weight 
the filter face velocity based on weighting targets of 0.75 for the 
cold-start UDDS and 1.0 for the hot-start UDDS.
    (ii) Maintain a constant sampling system flow rate over the filter 
for both the cold-start and hot-start UDDS by increasing the overall 
dilution ratio for the cold-start UDDS. To do this, reduce the sample 
flow rate from the exhaust (or diluted exhaust) such that the value is 
reduced to 75% of the hot-start UDDS value. For constant-volume 
samplers, this requires that you decrease the dilute exhaust sampling 
rate from the CVS and compensate for that by increasing the amount of 
secondary dilution air.
    (c) Gaseous sampling options. Collect gaseous samples using any of 
the following procedures:
    (1) You may collect a single sample for a full UDDS (cold-start or 
hot-start).
    (2) You may sample emissions separately for transient and stabilized 
portions of any UDDS.
    (3) You may omit the stabilized portion of the hot-start test (bag 
4) and use the stabilized portion of the cold-start test (bag 2) in its 
place.
    (d) Test sequence. Follow the exhaust emission measurement 
procedures specified in Sec. Sec.  1066.410 through 1066.425, subject to 
the following exceptions and additional provisions:
    (1) Take the following steps for the cold-start test:

[[Page 366]]

    (i) Precondition the vehicle as described in Sec.  1066.816. 
Initiate the cold-start test following the 12 to 36 hour soak period.
    (ii) Start sampling and recording simultaneously with starting the 
vehicle. Place the vehicle in gear 15 seconds after engine starting, 
which is 5 seconds before the first acceleration.
    (iii) At the end of the deceleration scheduled to occur 505 seconds 
into the cold-start UDDS, simultaneously switch all the sample flows 
from the cold-start transient interval to the stabilized interval, 
stopping all cold-start transient interval sampling and recording, 
including background sampling. Reset integrating devices for the 
stabilized interval and indicate the end of the cold-start interval in 
the recorded data. Operate the vehicle over the remainder of the UDDS. 
Turn the engine off 2 seconds after the end of the last deceleration in 
the stabilized interval (1,369 seconds after the start of the driving 
schedule).
    (iv) Five seconds after the engine stops running, stop all 
stabilized interval sampling and recording, including background 
sampling. Stop any integrating devices for the stabilized interval and 
indicate the end of the stabilized interval in the recorded data. Note 
that the 5 second delay is intended to account for sampling system 
transport.
    (2) Take the following steps for the hot-start test:
    (i) Initiate the hot-start test (9 to 11) minutes after the end of 
the sample period for the cold-start UDDS.
    (ii) Repeat the steps in paragraph (d)(1)(ii) of this section. 
Operate the vehicle over the first 505 seconds of the UDDS. For tests 
that do not include bag 4 operation, turn off the engine and 
simultaneously stop all hot-start sampling and recording, including 
background sampling, and any integrating devices at the end of the 
deceleration scheduled to occur 505 seconds into the hot-start UDDS.
    (iii) To include bag 4 measurement, operate the vehicles over the 
remainder of the UDDS and conclude the testing as described in 
paragraphs (d)(1)(iii) and (iv) of this section.
    (3) This completes the procedure for measuring FTP exhaust 
emissions. See Sec.  1066.801 and subpart J of this part for continuing 
the test sequence to measure evaporative or refueling emissions.

[79 FR 23823, Apr. 28, 2014, as amended at 80 FR 9124, Feb. 19, 2015; 81 
FR 74213, Oct. 25, 2016]



Sec.  1066.816  Vehicle preconditioning for FTP testing.

    Precondition the test vehicle before the FTP exhaust measurement as 
described in 40 CFR 86.132.



Sec.  1066.820  Composite calculations for FTP exhaust emissions.

    (a) Determine the mass of exhaust emissions of each pollutant for 
each FTP test interval as described in Sec.  1066.605.
    (b) Calculate the final composite gaseous test results as a mass-
weighted value, e[emission]-FTPcomp, in grams per mile using 
the following equation:
[GRAPHIC] [TIFF OMITTED] TR28AP14.136

Where:

mc = the combined mass emissions determined from the cold-
          start UDDS test interval (generally known as bag 1 and bag 2), 
          in grams.
Dct = the measured driving distance from the transient 
          portion of the cold-start test (bag 1), in miles.
Dcs = the measured driving distance from the stabilized 
          portion of the cold-start test (bag 2), in miles.

[[Page 367]]

mh = the combined mass emissions determined from the hot-
          start UDDS test interval in grams. This is the hot-stabilized 
          portion from either the first or second UDDS (bag 2, unless 
          you measure bag 4), in addition to the hot transient portion 
          (bag 3).
Dht = the measured driving distance from the transient 
          portion of the hot-start test (bag 3), in miles.
Dhs = the measured driving distance from the stabilized 
          portion of the hot-start test (bag 4), in miles. Set 
          Dhs = Dcs for testing where the hot-
          stabilized portion of the UDDS is not run.

    (c) Calculate the final composite PM test results as a mass-weighted 
value, ePM-FTPcomp, in grams per mile as follows:
    (1) Use the following equation for PM measured as described in Sec.  
1066.815(b)(1), (2), or (3):
[GRAPHIC] [TIFF OMITTED] TR25OC16.301


Where:

mPM-cUDDS = the combined PM mass emissions determined from 
          the cold-start UDDS test interval (bag 1 and bag 2), in grams, 
          as calculated using Eq. 1066.605-3.
mPM-hUDDS = the combined PM mass emissions determined from 
          the hot-start UDDS test interval (bag 3 and bag 4), in grams, 
          as calculated using Eq. 1066.605-3. This is the hot-stabilized 
          portion from either the first or second UDDS (bag 2, unless 
          you measure bag 4), in addition to the hot transient portion 
          (bag 3).

    (2) Use the following equation for PM measured as described in Sec.  
1066.815(b)(4):
[GRAPHIC] [TIFF OMITTED] TR25OC16.302


Where:

mPM = the combined PM mass emissions determined from the 
          cold-start UDDS test interval and the first 505 seconds of the 
          hot-start UDDS test interval (bag 1, bag 2, and bag 3), in 
          grams, as calculated using Eqs. 1066.605-4 and 1066.605-5.

    (3) Use the following equation for PM measured as described in Sec.  
1066.815(b)(5):
[GRAPHIC] [TIFF OMITTED] TR25OC16.303


Where:

mPM = the combined PM mass emissions determined from the 
          cold-start UDDS test interval and the hot-start UDDS test 
          interval (bag 1, bag 2, bag 3, and bag 4), in

[[Page 368]]

          grams, as calculated using Eqs. 1066.605-6 and 1066.605-7.

[79 FR 23823, Apr. 28, 2016, as amended at 81 FR 74214, Oct. 25, 2016]



Sec.  1066.830  Supplemental Federal Test Procedures; overview.

    Sections 1066.831 and 1066.835 describe the detailed procedures for 
the Supplemental Federal Test Procedure (SFTP). This testing applies for 
all vehicles subject to the SFTP standards in 40 CFR part 86, subpart S. 
The SFTP test procedure consists of FTP testing and two additional test 
elements--a sequence of vehicle operation with more aggressive driving 
and a sequence of vehicle operation that accounts for the impact of the 
vehicle's air conditioner.
    (a) The SFTP standard applies as a composite representing the three 
test elements. The emission results from the aggressive driving test 
element (Sec.  1066.831), the air conditioning test element (Sec.  
1066.835), and the FTP test element (Sec.  1066.820) are analyzed 
according to the calculation methodology and compared to the applicable 
SFTP emission standards as described in 40 CFR part 86, subpart S.
    (b) The test elements of the SFTP may be run in any sequence that 
includes the specified preconditioning steps.



Sec.  1066.831  Exhaust emission test procedures for aggressive driving.

    (a) This section describes how to test using the US06 or LA-92 
driving schedule. The US06 driving schedule can be divided into two test 
intervals--the US06 City cycle comprises the combined portions of the 
cycle from 1 to 130 seconds and from 495 to 596 seconds, and the US06 
Highway cycle comprises the portion of the cycle between 130 and 495 
seconds. See Sec.  1066.801 for further information on the driving 
schedules.
    (b) Take the following steps to precondition vehicles for testing 
under this section:
    (1) Drain and refill the vehicle's fuel tank(s) in any of the 
following cases:
    (i) For aggressive-driving tests that do not follow FTP or HFET 
testing.
    (ii) For a test element that starts more than 72 hours after the 
most recent FTP or HFET measurement (with or without evaporative 
emission measurements).
    (iii) For testing in which the test vehicle has not remained in an 
area where ambient temperatures were within the range specified for 
testing since the previous FTP or HFET.
    (2) Keep ambient temperatures within the ranges specified for test 
measurements throughout the preconditioning sequence.
    (3) Warm up the vehicle to a stabilized condition as follows:
    (i) Push or drive the vehicle onto the dynamometer.
    (ii) Operate the vehicle one time over one of the driving schedules 
specified in this paragraph (b)(3)(ii). You may ask us to use a 
particular preconditioning driving schedule if that is related to fuel 
effects on adaptive memory systems. For our testing, we will generally 
operate the vehicle over the same preconditioning cycle that will be 
used for testing in this section. You may exercise your sampling 
equipment, but you may not determine emissions results during 
preconditioning. Choose from the following driving schedules:
    (A) The first 505 seconds of the UDDS (bag 1).
    (B) The last 867 seconds of the UDDS (bag 2).
    (C) The HFET driving schedule.
    (D) US06 driving schedule or, for heavy-duty vehicles at or below 
10,000 pounds GVWR with a power-to-weight ratio at or below 0.024 hp/
lbm, just the highway portion of the US06 driving schedule.
    (E) The SC03 driving schedule.
    (F) The LA-92 driving schedule.
    (G) The Hot LA-92 driving schedule.
    (4) Allow the vehicle to idle for (1 to 2) minutes. This leads 
directly into the test measurements described in paragraph (c) of this 
section.
    (c) For testing involving the full US06 driving schedule, you may 
collect emissions from separate city and highway test intervals (see 40 
CFR part 600), or you may collect emissions over the full US06 driving 
schedule as a single test interval. Take the following steps to measure 
emissions over separate city and highway test intervals:
    (1) At 130 seconds, simultaneously stop all US06 City, and start all 
US06

[[Page 369]]

Highway sampling, recording, and integrating (including background 
sampling). At 136 seconds (before the acceleration), record the measured 
dynamometer roll revolutions.
    (2) At 495 seconds, simultaneously stop all US06 Highway, and start 
all US06 City sampling, recording, and integrating (including background 
sampling). At 500 seconds (before the acceleration), record the measured 
dynamometer roll revolutions.
    (3) Except as specified in paragraph (c)(4) of this section, treat 
the emissions from the first and second portions of the US06 City test 
interval as a single sample.
    (4) If you collect gaseous emissions over separate city and highway 
test intervals, you may still collect PM over the full US06 driving 
schedule as a single test interval. If you do this, calculate a 
composite dilution factor based on city and highway emissions using Eq. 
1066.610-4 to show that you meet the dilution factor requirements of 
Sec.  1066.110(b)(2)(iii)(B).
    (d) For diesel-fueled vehicles, measure THC emissions on a 
continuous basis as described in 40 CFR part 1065. For separate 
measurement of the city and highway test intervals as described in 
paragraph (c) of this section, perform separate calculations for each 
portion of the test cycle.
    (e) Follow the exhaust emission measurement procedures specified in 
Sec. Sec.  1066.410 through 1066.425, subject to the following 
exceptions and additional provisions:
    (1) Following the preconditioning specified in paragraph (b) of this 
section, place the vehicle in gear and simultaneously start sampling and 
recording. Begin the first acceleration 5 seconds after placing the 
vehicle in gear.
    (2) Operate the vehicle over the full US06 driving schedule, except 
as follows:
    (i) For heavy-duty vehicles above 10,000 pounds GVWR, operate the 
vehicle over the Hot LA-92 driving schedule.
    (ii) Heavy-duty vehicles at or below 10,000 pounds GVWR with a 
power-to-weight ratio at or below 0.024 hp/lbm may be certified using 
only the highway portion of the US06 driving schedule as described in 40 
CFR 86.1816.
    (iii) Non-MDPV heavy-duty vehicles shall be tested at their adjusted 
loaded vehicle weight as described in 40 CFR 86.1816.
    (3) Turn the engine off 2 seconds after the end of the last 
deceleration. Five seconds after the engine stops running, stop all 
sampling and recording, including background sampling. Stop any 
integrating devices and indicate the end of the test cycle in the 
recorded data. Note that the 5 second delay is intended to account for 
sampling system transport.
    (4) Correct calculated NOX emissions as described in 
Sec.  1066.615(a)(1).

[79 FR 23823, Apr. 28, 2014, as amended at 80 FR 9124, Feb. 19, 2015]



Sec.  1066.835  Exhaust emission test procedure for SC03 emissions.

    This section describes how to test using the SC03 driving schedule 
(see Sec.  1066.801). This procedure is designed to determine gaseous 
exhaust emissions while simulating an urban trip on a hot summer day. 
The provisions of 40 CFR part 86 and 40 CFR part 600 waive SC03 testing 
for some vehicles; in those cases, calculate SFTP composite emissions by 
adjusting the weighting calculation as specified in 40 CFR part 86, 
subpart S.
    (a) Drain and refill the vehicle's fuel tank(s) if testing starts 
more than 72 hours after the last drain and fill operation.
    (b) Keep the vehicle in an environment meeting the conditions 
described in paragraph (f) of this section throughout the 
preconditioning sequence.
    (c) Warm up the vehicle to a stabilized condition as follows:
    (1) Push or drive the test vehicle onto the dynamometer.
    (2) Close the vehicle's windows before testing.
    (3) The test cell and equipment must meet the specifications in 
paragraph (e) of this section. Measure and control ambient conditions as 
specified in paragraph (f) of this section.
    (4) Set the vehicle's air conditioning controls by selecting A/C 
mode and ``maximum'', setting airflow to ``recirculate'' (if so 
equipped), selecting the

[[Page 370]]

highest fan setting, and turning the A/C temperature to full cold (or 72 
[deg]F for automatic systems). Turn the control to the ``on'' position 
before testing so the air conditioning system is active whenever the 
engine is running.
    (5) Perform a preconditioning drive by operating the test vehicle 
one time over the first 505 seconds of the UDDS (bag 1), the last 867 
seconds of the UDDS (bag 2), or the SC03 driving schedule. If the air 
conditioning test sequence starts more than 2 hours after a different 
exhaust emission test, you may instead operate the vehicle one time over 
the full UDDS.
    (6) Following the preconditioning drive, turn off the test vehicle 
and the vehicle cooling fan(s) and allow the vehicle to soak for (9 to 
11) minutes.
    (d) Follow the exhaust emission measurement procedures specified in 
Sec. Sec.  1066.410 through 1066.425, subject to the following 
exceptions and additional provisions:
    (1) Place the vehicle in gear 15 seconds after engine starting, 
which is 3 seconds before the first acceleration. Follow the SC03 
driving schedule.
    (2) Turn the engine off 2 seconds after the end of the last 
deceleration. Five seconds after the engine stops running, stop all 
sampling and recording, including background sampling. Stop any 
integrating devices any indicate the end of the test cycle in the 
recorded data. Note that the 5 second delay is intended to account for 
sampling system transport.
    (3) Correct calculated NOX emissions as described in 
Sec.  1066.615(a)(2).
    (e) The following requirements apply for the test cell and cooling 
fan configuration:
    (1) Minimum test cell size. The test cell must be at least 20 feet 
wide, 40 feet long, and 10 feet high, unless we approve the use of a 
smaller test cell. We will approve this only if you demonstrate that the 
smaller test cell is capable of meeting all the requirements of this 
section.
    (2) Vehicle frontal air flow. Verify that the fan configuration 
meets the requirements of Sec.  1066.105(c)(5).
    (f) Maintain ambient conditions as follows:
    (1) Ambient temperature and humidity. Measure and record ambient 
temperature and humidity in the test cell at least once every 30 seconds 
during the sampling period. Alternatively, if you collect data of at 
least once every 12 seconds, you may use a moving average of up to 30 
second intervals to measure and record ambient temperature and humidity. 
Control ambient temperature throughout the test sequence to 35.0 3.0 [deg]C. Control ambient temperature during emission 
sampling to (33.6 to 36.4) [deg]C on average. Control ambient humidity 
during emission sampling as described in Sec.  1066.420(d).
    (2) Conditions before and after testing. Use good engineering 
judgment to demonstrate that you meet the specified instantaneous 
temperature and humidity tolerances in paragraphs (f)(1) of this section 
at all times before and between emission measurements.
    (3) Solar heat load. Simulate solar heating as follows:
    (i) You may use a metal halide lamp, a sodium lamp, or a quartz 
halogen lamp with dichroic mirrors as a radiant energy emitter. We may 
also approve the use of a different type of radiant energy emitter if 
you demonstrate that it meets the requirements of this section.
    (ii) We recommend achieving radiant heating with spectral 
distribution characteristics as described in the following table:

      Table 1 of Sec.   1066.835--Recommended Spectral Distribution
------------------------------------------------------------------------
                                                    Percent of total
                                                        spectrum
                Band width (nm)                -------------------------
                                                Lower limit  Upper limit
                                                    (%)          (%)
------------------------------------------------------------------------
<320 \a\......................................  ...........            0
320-400.......................................            0            7
400-780.......................................           45           55
780................................           35           53
------------------------------------------------------------------------
\a\ Note that you may need to filter the UV region between 280 and 320
  nm.

    (iii) Determine radiant energy intensity experienced by the vehicle 
as the average value between two measurements along the vehicle's 
centerline, one at the base of the windshield and the other at the 
bottom of the rear window (or equivalent location for vehicles without a 
rear window). This value must be 850 45 W/m\2\. 
Instruments for measuring radiant energy intensity must meet the 
following minimum specifications:

[[Page 371]]

    (A) Sensitivity of 9 microvolts per W/m\2\.
    (B) Response time of 5 seconds. For purposes of this requirement, 
``response time'' means the time for the instrument to reach 95 percent 
of its equilibrium response after a step change in radiant intensity.
    (C) Cosine response error of no more than 1% 
for 0-70 degree zenith angles. The cosine response error is the 
percentage difference between the intensity measured at a given angle 
and a reference value, where the reference value is the intensity 
predicted from the zero-degree intensity and the cosine of the incident 
angle.
    (D) When comparing measured values for radiant energy to reference 
values, each measured value over the full range of measurement may not 
deviate from the corresponding reference value by more than 0.5% of the analyzer range's maximum value.
    (iv) Check the uniformity of radiant energy intensity at least every 
500 hours of emitter usage or every 6 months, whichever is sooner, and 
after any major modifications affecting the solar simulation. Determine 
uniformity by measuring radiant energy intensity using instruments that 
meet the specifications described in paragraph (f)(3)(iii) of this 
section at each point of a 0.5 m grid over the vehicle's full footprint, 
including the edges of the footprint, at an elevation 1 m above the 
floor. Measured values of radiant energy intensity must be between (722 
and 978) W/m\2\ at all points.

[79 FR 23823, Apr. 28, 2014, as amended at 80 FR 9124, Feb. 19, 2015; 81 
FR 74214, Oct. 25, 2016]



Sec.  1066.840  Highway fuel economy test procedure.

    This section describes the procedure for the highway fuel economy 
test (HFET). This test involves emission sampling and fuel economy 
measurement for certain vehicles as described in 40 CFR part 86, subpart 
S, and in 40 CFR part 600. See Sec.  1066.801 for further information on 
the driving schedules. Follow the exhaust emission measurement 
procedures specified in Sec. Sec.  1066.410 through 1066.425, subject to 
the following exceptions and additional provisions:
    (a) Perform the HFET immediately following the FTP when this is 
practical. If the HFET procedure starts more than 3 hours after an FTP 
(including evaporative emission measurements, if applicable), operate it 
over one UDDS to precondition the vehicle. We may approve additional 
preconditioning in unusual circumstances.
    (b) Operate the vehicle over the HFET driving schedule for 
preconditioning. Allow the vehicle to idle for 15 seconds (with the 
vehicle in gear), then start a repeat run of the HFET driving schedule 
and simultaneously start sampling and recording.
    (c) Turn the engine off at the end of the HFET driving schedule and 
stop all sampling and recording, including background. Stop any 
integrating devices and indicate the end of the test cycle in the 
recorded data.



Sec.  1066.845  AC17 air conditioning efficiency test procedure.

    (a) Overview. This section describes a voluntary procedure for 
measuring the net impact of air conditioner operation on CO2 
emissions. See 40 CFR 86.1868 for provisions describing how to use these 
procedures to calculate credits and otherwise comply with emission 
standards.
    (b) Test cell. Operate the vehicle in a test cell meeting the 
specifications described in Sec.  1066.835(e). You may add airflow up to 
a maximum of 4 miles per hour during engine idling and when the engine 
is off if that is needed to meet ambient temperature or humidity 
requirements.
    (c) Ambient conditions. Measure and control ambient conditions as 
specified in Sec.  1066.835(f), except that you must control ambient 
temperature during emission sampling to (22.0 to 28.0) [deg]C throughout 
the test and (23.5 to 26.5) [deg]C on average. These tolerances apply to 
the combined SC03 and HFET drive cycles during emission sampling. Note 
that you must set the same ambient temperature target for both the air 
conditioning on and off portions of emission sampling. Control ambient 
temperature during the preconditioning cycle and 30 minute soak to 25.0 
5.0 [deg]C. For these same modes with no emission 
sampling, target the specified ambient humidity levels, but you

[[Page 372]]

do not need to meet the humidity tolerances. Note that solar heating is 
disabled for certain test intervals as described in this section.
    (d) Interior air temperature measurement. Measure and record the 
vehicle's interior air temperature at least once every 5 seconds during 
the sampling period. Measure temperature at the outlet of the center-
most duct on the dashboard, and approximately 30 mm behind the driver's 
headrest and passenger's headrest.
    (e) Air conditioning system settings. For testing that requires the 
air conditioning to be operating, set the vehicle's air conditioning 
controls as follows:
    (1) For automatic systems, set the temperature control to 72 [deg]F 
(22 [deg]C).
    (2) For manual systems, select A/C mode, set the temperature to full 
cold and ``maximum'', set airflow to ``recirculate'' (if so equipped), 
and select the highest fan setting. During the first idle period of the 
SC03 driving schedule (between 186 and 204 seconds), reduce the fan 
speed setting to nominally 50% of maximum fan speed, set airflow to 
``fresh air'' (if so equipped), and adjust the temperature setting to 
target a temperature of 55 [deg]F (13 [deg]C) at the dashboard air 
outlet. Maintain these settings for the remainder of the test. You may 
rely on prior temperature measurements to determine the temperature 
setting; however, if the system is unable to meet the 55 [deg]F (13 
[deg]C) target, you may instead set airflow to ``fresh air'' and 
temperature to full cold. If the vehicle is equipped with technology 
that defaults to recirculated air at ambient temperatures above 75 
[deg]F (22 [deg]C), that technology should remain enabled throughout the 
test; this may mean not setting the airflow to ``recirculate'' at the 
start and not setting the airflow to ``fresh air'' during the first idle 
period of the SC03 driving schedule. Except as specified in paragraph 
(e)(3) of this section, use good engineering judgment to apply the 
settings described in this paragraph (e)(2) equally throughout the 
vehicle if there are separate controls for different zones (such as rear 
air conditioning).
    (3) If the air conditioning system is designed with parameters that 
switch back to a default setting at key-off, perform testing in that 
default condition. If the air conditioning system includes any optional 
equipment or user controls not addressed in this paragraph (e), the 
manufacturer should ask us for preliminary approval to determine the 
appropriate settings for testing.
    (f) Test procedure. Follow the exhaust emission measurement 
procedures specified in Sec. Sec.  1066.410 through 1066.425, subject to 
the following exceptions and additional provisions:
    (1) Prepare each test vehicle for a series of tests according to 40 
CFR 86.132-00(a) through (g). If the vehicle has been tested within the 
last 36 hours concluding with a 12 to 36 hour soak, continue to 
paragraph (f)(2) of this section; otherwise perform an additional UDDS 
preconditioning cycle that concludes with a 12 to 36 hour soak. You may 
use a forced cooldown system to bring critical vehicle temperatures to 
within soak temperature limits. Critical temperatures include 
transmission oil, engine oil, engine coolant, and cabin air 
temperatures.
    (2) Open the vehicle's windows and operate the vehicle over a 
preconditioning UDDS with no solar heating and with the air conditioning 
off. At the end of the preconditioning drive, turn off the test vehicle 
and all cooling fans.
    (3) Turn on solar heating within one minute after turning off the 
engine. Once the solar energy intensity reaches 805 W/m\2\, let the 
vehicle soak for 30 1 minutes. You may 
alternatively rely on prior measurements to start the soak period after 
a defined period of warming up to the specified solar heat load. Close 
the vehicle's windows at the start of the soak period; ensure that the 
windows are adequately closed where instrumentation and wiring pass 
through to the interior.
    (4) Turn the air conditioning control to the ``on'' position before 
testing so the air conditioning system is active whenever the engine is 
running. Place the vehicle in gear 15 seconds after engine starting, 
which is 3 seconds before the first acceleration. At the end of the 
driving schedule, simultaneously switch all the sampling, recording, and 
integrating from SC03 to HFET, including background sampling. Indicate 
the

[[Page 373]]

end of the test cycle in the recorded data. Record the measured 
dynamometer roll revolutions corresponding to the SC03 driving schedule.
    (5) Directly following the SC03 driving schedule, operate the 
vehicle over the HFET driving schedule. Turn the vehicle off at the end 
of the driving schedule and simultaneously stop all sampling, recording, 
and integrating, including background sampling. Indicate the end of the 
test cycle in the recorded data. Record the measured dynamometer roll 
revolutions corresponding to the HFET drive schedule. Turn off the solar 
heating.
    (6) Allow the vehicle to remain on the dynamometer for (10 to 15) 
minutes after emission sampling has concluded. Repeat the testing 
described in paragraphs (f)(1) through (5) of this section and turn off 
the vehicle's air conditioner and the solar heating throughout the test 
run. The windows may be open or closed.
    (g) Calculations. (1) Determine the mass of CO2 emissions 
for each of the two test intervals as described in Sec.  1066.605.
    (2) Calculate the composite mass-weighted emissions of 
CO2, eCO2-AC17comp, representing the average of 
the SC03 and HFET emissions, in grams per mile using the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR30JN14.057

Where:

mSC03 = mass emissions from the SC03 test interval, in grams.
DSC03 = measured driving distance during the SC03 test 
          interval, in miles.
mHFET = mass emissions from the HFET test interval, in grams.
DHFET = measured driving distance during the HFET test 
          interval, in miles.

[79 FR 23823,Apr. 28, 2014, as amended at 79 FR 36658, June 30, 2014; 80 
FR 9124, Feb. 19, 2015]



             Subpart J_Evaporative Emission Test Procedures



Sec.  1066.901  Applicability and general provisions.

    This subpart describes how to measure evaporative and refueling 
emissions from test vehicles. The provisions of Sec. Sec.  1066.910 
through 1066.930 include general provisions for equipment and 
calculations related to evaporative and refueling emissions. The 
provisions of Sec. Sec.  1066.950 through 1066.985 describe provisions 
that apply specifically to motor vehicles subject to standards under 40 
CFR part 86, subpart S, or 40 CFR part 1037.

 Test Equipment and Calculations for Evaporative and Refueling Emissions



Sec.  1066.910  SHED enclosure specifications.

    Enclosures for evaporative and refueling emissions must meet the 
specifications described in 40 CFR 86.106-96, 86.107-96(a), and 86.107-
98(a).



Sec.  1066.915  Enclosures; auxiliary systems and equipment.

    Enclosures for evaporative and refueling emissions must be equipped 
with fans, blowers, and measurement and data recording equipment as 
described in 40 CFR 86.107-98(b) through (h) and (j).



Sec.  1066.920  Enclosure calibrations.

    Enclosures for evaporative and refueling emissions must meet the 
calibration specifications described in 40 CFR 86.116-94 and 86.117-96.



Sec.  1066.925  Enclosure calculations for evaporative and refueling emissions.

    Calculate emissions for evaporative emissions as described in 40 CFR 
86.143-96. Calculate emissions for refueling

[[Page 374]]

emissions as described in 40 CFR 86.143-96 and 86.156-98.



Sec.  1066.930  Equipment for point-source measurement of running losses.

    For point-source measurement of running loss emissions, use 
equipment meeting the specifications in 40 CFR 86.107-96(i)

  Evaporative and Refueling Emission Test Procedures for Motor Vehicles



Sec.  1066.950  Fuel temperature profile.

    Develop fuel temperature profiles for running loss testing as 
described in 40 CFR 86.129-94(d).



Sec.  1066.955  Diurnal emission test.

    Test vehicles for diurnal emissions as described in 40 CFR 86.133-
96.



Sec.  1066.960  Running loss test.

    Test vehicles for running loss emissions as described in 40 CFR 
86.134-96.



Sec.  1066.965  Hot soak test.

    Test vehicles for hot soak emissions as described in 40 CFR 86.138-
96.



Sec.  1066.970  Refueling test for liquid fuels.

    Except as described in Sec.  1066.975, test vehicles for refueling 
emissions as described in 40 CFR 86.150-98, 86.151-98, 86.152-98, and 
86.154-98. Keep records as described in 40 CFR 86.155-98.



Sec.  1066.971  Vehicle and canister preconditioning for the refueling test.

    Precondition vehicles for the refueling emission test as described 
in 40 CFR 86.153-98.



Sec.  1066.975  Refueling test for LPG.

    For vehicles designed to operate on liquefied petroleum gas, measure 
refueling emissions as described in 40 CFR 86.157-98.



Sec.  1066.980  Fuel dispensing spitback procedure.

    Test vehicles for spitback emissions as described in 40 CFR 86.146-
96.



Sec.  1066.985  Fuel storage system leak test procedure.

    (a) Scope. Perform this test as required in the standard-setting 
part to verify that there are no significant leaks in your fuel storage 
system.
    (b) Measurement principles. Leaks are detected by measuring 
pressure, temperature, and flow to calculate an equivalent orifice 
diameter for the system. Use good engineering judgment to develop and 
implement leak test equipment. You may not tighten fittings or 
connections in the vehicle's fuel system to prepare the vehicle for 
testing.
    (c) Measurement equipment. Your leak test equipment must meet the 
following requirements:
    (1) Pressure, temperature, and flow sensors must be calibrated with 
NIST-traceable standards.
    (2) Correct flow measurements to standard reference conditions.
    (3) Leak test equipment must have the ability to pressurize fuel 
storage systems to at least 4.1 kPa and have an internal leak rate of 
less than 0.20 standard liters per minute.
    (4) You must be able to attach the test equipment to the vehicle 
without permanent alteration of the fuel storage or evaporative emission 
control systems. For any testing that involves pressurizing the fuel 
system and detecting leaks at access points away from the fuel fill 
pipe, the gas cap must be installed in the production configuration. For 
the test point at or near the fuel fill pipe, attaching the test 
equipment may involve adding an extension to the fuel fill pipe that 
incorporates the access point to the fuel system. If the extension 
apparatus has a fixed cap, the vehicle's gas cap must be tested 
separately as described in paragraph (d)(9) of this section. This 
separate testing is not required if the extension apparatus incorporates 
the vehicle's gas cap.
    (5) The point of attachment to the fuel storage system must allow 
pressurization to test system integrity of the fuel tank and of fuel 
lines and vapor lines reaching up to and including the gas cap and the 
evaporative canister. The evaporative system test port available on some 
vehicles is an example of an effective attachment point.
    (d) Leak test procedure. Test a vehicle's fuel storage system for 
leaks as follows:

[[Page 375]]

    (1) Refuel vehicle to 40% of its nominal fuel tank capacity.
    (2) Soak the vehicle for 6 to 24 hours at a temperature between (20 
and 30) [deg]C; record this setpoint temperature and maintain 
temperatures throughout the leak test at this setpoint temperature 
within a tolerance 2 [deg]C.
    (3) Before performing the test, purge the fuel storage system of any 
residual pressure, bringing the system into equilibrium with ambient 
pressure.
    (4) Seal the evaporative canister's vent to atmosphere and ensure 
that the vehicle's purge valve is closed.
    (5) Attach the leak test equipment to the vehicle.
    (6) Pressurize the fuel storage system with N2 or another 
inert gas 9392..........................to at least 2.4 kPa. Use good 
engineering judgment to avoid overpressurizing the system.
    (7) Maintain gas flow through the system for at least 180 seconds, 
ensuring that the flow reading is stable for an effective leak diameter 
of 0.002 inches.
    (8) Use the following equation, or a different equation you develop 
based on good engineering judgment, to calculate the effective leak 
diameter, deff:
[GRAPHIC] [TIFF OMITTED] TR25OC16.304


Where:

deff = effective leak diameter, in inches, expressed to at 
          least two decimal places.
QN2= volumetric flow of nitrogen, in m\3\/s.
pin = inlet pressure to orifice, in kPa.
patmos = atmospheric pressure, in kPa.
SGN2 = specific gravity of N2 relative to air at 
          101.325 kPa and 15.5 [deg]C = 0.967.
T = temperature of flowing medium, in K.

    Example: 

QN2= 0.8[middot]10-5 m\3\/s
pin = 104.294 kPa
patmos = 101.332 kPa
SGN2 = 0.967
T = 298.15 K
[GRAPHIC] [TIFF OMITTED] TR25OC16.305

    deff = 0.017 inches

    (9) Repeat the test described in this paragraph (d) for each access 
point described in the application for certification. Use each test 
result (without averaging) to determine whether the vehicle passes the 
leak standard.
    (10) Gas caps may need to be tested separately for leaks as 
described in paragraph (c)(4) of this section. Test the gas caps using 
commercially available flow equipment such as that used for inspection-
and-maintenance programs for motor vehicles to determine

[[Page 376]]

a leak rate in cubic centimeters per minute resulting from a sustained 
tank pressure of 7.5 kPa. Correct the leak rate to standard reference 
conditions, based on the measured leak rate corresponding to atmospheric 
pressure. The corrected leak value may not exceed 60 cubic centimeters 
per minute.
    (11) You may use special or alternative test procedures as described 
in 40 CFR 1065.10(c).
    (e) Equipment calibration. Use good engineering judgment to 
calibrate the leak check device.

[79 FR 23823, Apr. 28, 2014, as amended at 80 FR 9124, Feb. 19, 2015; 81 
FR 74215, Oct. 25, 2016]



           Subpart K_Definitions and Other Reference Material



Sec.  1066.1001  Definitions.

    The definitions in this section apply to this part. The definitions 
apply to all subparts unless we note otherwise. Other terms have the 
meaning given in 40 CFR part 1065. The definitions follow:
    Average means the arithmetic mean of a sample.
    Bag 1 means relating to the first 505 seconds of the FTP cold-start 
test interval. Note that the term bag 1 may also apply to measurement of 
constituents that are not collected in a bag, such as PM and 
continuously measured THC.
    Bag 2 means relating to the last 867 seconds of the FTP cold-start 
test interval.
    Bag 3 means relating to the first 505 seconds of the FTP hot-start 
test interval.
    Bag 4 means relating to the last 867 seconds of the FTP hot-start 
test interval, if run. Note that bag 2 is generally used in place of bag 
4.
    Base inertia means a value expressed in mass units to represent the 
rotational inertia of the rotating dynamometer components between the 
vehicle driving tires and the dynamometer torque-measuring device, as 
specified in Sec.  1066.250.
    C1-equivalent means a convention of expressing HC 
concentrations based on the total number of carbon atoms present, such 
that the C1-equivalent of an HC concentration equals the 
concentration multiplied by the mean number of carbon atoms in each HC 
molecule. For example, the C1-equivalent of 10 ppm of propane 
(C3H8) is 30 ppm. C1-equivalent 
concentration values may be denoted as ``ppmC'' in the standard-setting 
part. Densities may also be expressed on a C1 basis. Note 
that calculating HC masses from concentrations and densities is only 
valid where they are each expressed on the same carbon basis.
    Driving schedule means a series of vehicle speeds that a vehicle 
must follow during a test. Driving schedules are specified in the 
standard-setting part. A driving schedule may consist of multiple test 
intervals.
    Duty cycle means a set of weighting factors and the corresponding 
test cycles, where the weighting factors are used to combine the results 
of multiple test intervals into a composite result.
    FTP means one of the following:
    (1) The test cycle consisting of one UDDS as specified in paragraph 
(a) of Appendix I of 40 CFR part 86, followed by a 10-minute soak with 
the engine off and repeat driving through the first 505 seconds of the 
UDDS. See Sec.  1066.801(c)(1).
    (2) The entire test procedure for measuring exhaust and/or 
evaporative emissions as described in Sec.  1066.801(c).
    Footprint has the meaning given in the standard-setting part.
    HFET means the test cycle specified in Appendix I of 40 CFR part 
600.
    Hot LA-92 means the first 1435 seconds of the LA-92 driving 
schedule.
    LA-92 means the test cycle specified in Appendix I, paragraph (c), 
of 40 CFR part 86.
    Nonmethane organic gas (NMOG) means the combination of organic gases 
other than methane as calculated in Sec.  1066.635. Note that for this 
part, the organic gases are summed on a mass basis without any 
adjustment for photochemical reactivity.
    Parts-per-million (ppm) means ppm on a molar basis. For hydrocarbon 
concentrations including HC, THC, NMHC, and NMOG, ppm means ppm on a 
C1-equivalent molar basis.
    Road-load coefficients means sets of A, B, and C road-load force 
coefficients that are used in the dynamometer road-load simulation, 
where road-load

[[Page 377]]

force at speed v equals A + B [middot] v + C [middot] v\2\.
    SC03 means the test cycle specified in Appendix I, paragraph (h), of 
40 CFR part 86.
    SFTP means the collection of test cycles as given in 1066.801(c)(2).
    Standard reference conditions means the following:
    (1) Standard pressure is 101.325 kPa.
    (2) Standard temperature is 293.15 K.
    Test interval means a period over which a vehicle's emission rates 
are determined separately. For many standards, compliance with the 
standard is based on a weighted average of the mass emissions from 
multiple test intervals. For example, the standard-setting part may 
specify a complete duty cycle as a cold-start test interval and a hot-
start test interval. 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 weight has the meaning given in Sec. Sec.  1066.410(b) or 
1066.805.
    UDDS means the test cycle specified in Appendix I, paragraph (a), of 
40 CFR part 86.
    US06 means the test cycle specified in Appendix I, paragraph (g), of 
40 CFR part 86.
    Unloaded coastdown means a dynamometer coastdown run with the 
vehicle wheels removed from the roll surface.
    We (us, our) means the Administrator of the Environmental Protection 
Agency and any authorized representatives.

[79 FR 23823, Apr. 28, 2014, as amended at 80 FR 9124, Feb. 19, 2015]



Sec.  1066.1005  Symbols, abbreviations, acronyms, and units of measure.

    The procedures in this part generally follow either the 
International System of Units (SI) or the United States customary units, 
as detailed in NIST Special Publication 811, which we incorporate by 
reference in Sec.  1066.1010. See 40 CFR 1065.20 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    Unit in terms of SI base units
----------------------------------------------------------------------------------------------------------------
a............................  atomic hydrogen  mole per mole..  mol/mol........  1.
                                to carbon
                                ratio.
A............................  area...........  square meter...  m\2\...........  m\2\.
A............................  vehicle          pound force or   lbf or N.......  m[middot]kg[middot]s-2.
                                frictional       newton.
                                load.
ag...........................  acceleration of  meters per       m/s\2\.........  m[middot]s-2.
                                Earth's          second squared.
                                gravity.
Am...........................  calculated       pound force or   lbf or N.......  m[middot]kg[middot]s-2.
                                vehicle          newton.
                                frictional
                                load.
a0...........................  intercept of
                                least squares
                                regression.
a1...........................  slope of least
                                squares
                                regression.
a............................  acceleration...  feet per second  ft/s\2\ or m/    m[middot]s-2.
                                                 squared or       s\2\.
                                                 meters per
                                                 second squared.
B............................  vehicle load     pound force per  lbf/(mi/hr) or   kg[middot]s-1.
                                from drag and    mile per hour    N[middot]s/m.
                                rolling          or newton
                                resistance.      second per
                                                 meter.
b............................  ratio of         meter per meter  m/m............  1.
                                diameters.
b............................  atomic oxygen    mole per mole..  mol/mol........  1.
                                to carbon
                                ratio.
c............................  conversion
                                factor.
C............................  vehicle-         pound force per  lbf/(mi/hr)\2\   m-1[middot]kg.
                                specific         mile per hour    or
                                aerodynamic      squared or       N[middot]s\2\/
                                effects.         newton-second    m\2\.
                                                 squared per
                                                 meter squared.
C...........................  number of        C.............  number of        C.
                                carbon atoms                      carbon atoms
                                in a molecule.                    in a molecule.
Cd...........................  discharge
                                coefficient.
CdA..........................  drag area......  meter squared..  m\2\...........  m\2\.

[[Page 378]]

 
Cf...........................  flow
                                coefficient.
Cp...........................  heat capacity    joule per        J/K............  m\2\[middot]kg[middot]s-
                                at constant      kelvin.                           2[middot]K-1.
                                pressure.
Cv...........................  heat capacity    joule per        J/K............  m\2\[middot]kg[middot]s-
                                at constant      kelvin.                           2[middot]K-1.
                                volume.
d............................  diameter.......  meters.........  m..............  m.
D............................  distance.......  miles or meters  mi or m........  m.
D............................  slope            pound force per  lbf/(mi/hr)\2\   m-2[middot]kg.
                                correlation.     mile per hour    or
                                                 squared or       N[middot]s\2\/
                                                 newton second    m\2\.
                                                 squared per
                                                 meter squared.
DF...........................  dilution factor                                    1.
e............................  mass weighted    grams/mile.....  g/mi...........
                                emission
                                result.
F............................  force..........  pound force or   lbf or N.......  kg[middot]s-2.
                                                 newton.
f............................  frequency......  hertz..........  Hz.............  s-1.
fn...........................  angular speed    revolutions per  r/min..........  [pi][middot]30[middot]s-1.
                                (shaft).         minute.
FC...........................  friction         horsepower or    W..............  m\2\[middot]kg[middot]s-3.
                                compensation     watt.
                                error.
FR...........................  road-load force  pound force or   lbf or N.......  kg[middot]s-2.
                                                 newton.
g............................  ratio of         (joule per       (J/              1.
                                specific heats.  kilogram         (kg[middot]K))/
                                                 kelvin) per      (J/
                                                 (joule per       (kg[middot]K)).
                                                 kilogram
                                                 kelvin).
[EEgr].......................  ambient          grams water      g H2O vapor/kg   g H2O vapor/kg dry air.
                                humidity.        vapor per        dry air.
                                                 kilogram dry
                                                 air.
[Delta]h.....................  change in        meters.........  m..............  m.
                                height.
I............................  inertia........  pound mass or    lbm or kg......  kg.
                                                 kilogram.
I............................  current........  ampere.........  A..............  A.
i............................  indexing
                                variable.
IR...........................  inertia work
                                rating.
K............................  correction                                         1.
                                factor.
Kv...........................  calibration                       m\4\[middot]s[m  m\4\[middot]kg-
                                coefficient.                      iddot]K\0.5\/    1[middot]s[middot]K\0.5\.
                                                                  kg.
m............................  viscosity,       pascal second..  Pa[middot]s....  m-1[middot]kg[middot]s-1.
                                dynamic.
M............................  molar mass.....  gram per mole..  g/mol..........  10-3[middot]kg[middot]mol-1.
Me...........................  effective mass.  kilogram.......  kg.............  kg.
m............................  mass...........  pound mass or    lbm or kg......  kg.
                                                 kilogram.
N............................  total number in
                                series.
n............................  total number of
                                pulses in a
                                series.
p............................  pressure.......  pascal.........  Pa.............  m-1[middot]kg[middot]s-2.
[Delta]p.....................  differential     pascal.........  Pa.............  m-1[middot]kg[middot]s-2.
                                static
                                pressure.
pd...........................  saturated vapor  kilopascal.....  kPa............  m-1[middot]kg[middot]s-2.
                                pressure at
                                ambient dry
                                bulb
                                temperature.
PF...........................  penetration
                                fraction.
r............................  mass density...  kilogram per     kg/m\3\........  m-3[middot]kg.
                                                 cubic meter.
R............................  dynamometer      revolutions per  rpm............  [pi][middot]30-1[middot]s-1.
                                roll             minute.
                                revolutions.
r............................  ratio of         pascal per       Pa/Pa..........  1.
                                pressures.       pascal.
r\2\.........................  coefficient of
                                determination.
Re..........................  Reynolds number
RF...........................  response factor
RH...........................  relative
                                humidity.
S............................  Sutherland       kelvin.........  K..............  K.
                                constant.
SEE..........................  standard
                                estimate of
                                error.
SG...........................  specific
                                gravity.
[Delta]s.....................  distance         meters.........  m..............  m.
                                traveled
                                during
                                measurement
                                interval.
T............................  absolute         kelvin.........  K..............  K.
                                temperature.
T............................  Celsius          degree Celsius.   [deg]C........  K-273.15.
                                temperature.
T............................  torque (moment   newton meter...  N[middot]m.....  m\2\[middot]kg[middot]s-2.
                                of force).
t............................  time...........  hour or second.  hr or s........  s.
[Delta]t.....................  time interval,   second.........  s..............  s.
                                period, 1/
                                frequency.
U............................  voltage........  volt...........  V..............  m\2\[middot]kg[middot]s-
                                                                                   3[middot]A-1.
v............................  speed..........  miles per hour   mi/hr or m/s...  m [middot] s-1.
                                                 or meters per
                                                 second.
V............................  volume.........  cubic meter....  m\3\...........  m\3\.
V............................  flow volume      cubic feet per   ft\3\min or      m\3\ [middot] s\1\.
                                rate.            minute or        ms\3\.
                                                 cubic meter
                                                 per second.
VP...........................  volume percent.
x............................  concentration    part per         ppm............
                                of emission      million.
                                over a test
                                interval.
y............................  generic
                                variable.
Z............................  compressibility
                                factor.
----------------------------------------------------------------------------------------------------------------


[[Page 379]]

    (b) Symbols for chemical species. This part uses the following 
symbols for chemical species and exhaust constituents:

------------------------------------------------------------------------
              Symbol                               Species
------------------------------------------------------------------------
CH4...............................  methane.
CH3OH.............................  methanol.
CH2O..............................  formaldehyde.
C2H4O.............................  acetaldehyde.
C2H5OH............................  ethanol.
C2H6..............................  ethane.
C3H7OH............................  propanol.
C3H8..............................  propane.
C4H10.............................  butane.
C5H12.............................  pentane.
CO................................  carbon monoxide.
CO2...............................  carbon dioxide.
H2O...............................  water.
HC................................  hydrocarbon.
N2................................  molecular nitrogen.
NMHC..............................  nonmethane hydrocarbon.
NMHCE.............................  nonmethane hydrocarbon equivalent.
NMOG..............................  nonmethane organic gas.
NO................................  nitric oxide.
NO2...............................  nitrogen dioxide.
NOX...............................  oxides of nitrogen.
N2O...............................  nitrous oxide.
O2................................  molecular oxygen.
OHC...............................  oxygenated hydrocarbon.
PM................................  particulate matter.
THC...............................  total hydrocarbon.
THCE..............................  total hydrocarbon equivalent.
------------------------------------------------------------------------

    (c) Superscripts. This part uses the following superscripts to 
define a quantity:

------------------------------------------------------------------------
                Superscript                           Quantity
------------------------------------------------------------------------
overbar (such as y).......................  arithmetic mean.
overdot (such as y).......................  quantity per unit time.
------------------------------------------------------------------------

    (d) Subscripts. This part uses the following subscripts to define a 
quantity:

------------------------------------------------------------------------
             Subscript                            Quantity
------------------------------------------------------------------------
0.................................  reference.
abs...............................  absolute quantity.
AC17..............................  air conditioning 2017 test interval.
act...............................  actual or measured condition.
actint............................  actual or measured condition over
                                     the speed interval.
adj...............................  adjusted.
air...............................  air, dry.
atmos.............................  atmospheric.
b.................................  base.
bkgnd.............................  background.
c.................................  cold.
comp..............................  composite.
cor...............................  corrected.
cs................................  cold stabilized.
ct................................  cold transient.
cUDDS.............................  cold-start UDDS.
D.................................  driven.
dew...............................  dewpoint.
dexh..............................  dilute exhaust quantity.
dil...............................  dilute.
e.................................  effective.
emission..........................  emission specie.
error.............................  error.
EtOH..............................  ethanol.
exh...............................  raw exhaust quantity.
exp...............................  expected quantity.
fil...............................  filter.
final.............................  final.
flow..............................  flow measurement device type.
gas...............................  gaseous.
h.................................  hot.
HFET..............................  highway fuel economy test.
hs................................  hot stabilized.
ht................................  hot transient.
hUDDS.............................  hot-start UDDS.
i.................................  an individual of a series.
ID................................  driven inertia.
in................................  inlet.
int...............................  intake.
init..............................  initial quantity, typically before
                                     an emission test.
IT................................  target inertia.
liq...............................  liquid.
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.
mix...............................  dilute exhaust gas mixture.
out...............................  outlet.
PM................................  particulate matter.
record............................  record.
ref...............................  reference quantity.
rev...............................  revolution.
roll..............................  dynamometer roll.
s.................................  settling.
s.................................  slip.
s.................................  stabilized.
sat...............................  saturated condition.
SC03..............................  air conditioning driving schedule.
span..............................  span quantity.
sda...............................  secondary dilution air.
std...............................  standard conditions.
T.................................  target.
t.................................  throat.
test..............................  test quantity.
uncor.............................  uncorrected quantity.
w.................................  weighted.
zero..............................  zero quantity.
------------------------------------------------------------------------

    (e) Other acronyms and abbreviations. This part uses the following 
additional abbreviations and acronyms:

------------------------------------------------------------------------
 
------------------------------------------------------------------------
A/C...............................  air conditioning.
AC17..............................  air conditioning 2017 test interval.
ALVW..............................  adjusted loaded vehicle weight.
ASME..............................  American Society of Mechanical
                                     Engineers.
CFR...............................  Code of Federal Regulations.
CFV...............................  critical-flow venturi.
CNG...............................  compressed natural gas.
CVS...............................  constant-volume sampler.
EPA...............................  Environmental Protection Agency.
ETW...............................  equivalent test weight.
EV................................  electric vehicle.
FID...............................  flame-ionization detector.
FTP...............................  Federal test procedure.
GC................................  gas chromatograph.
GEM...............................  greenhouse gas emissions model.
GHG...............................  greenhouse gas (including CO2, N2O,
                                     and CH4).
GPS...............................  global positioning system.
GVWR..............................  gross vehicle weight rating.

[[Page 380]]

 
HEV...............................  hybrid electric vehicle, including
                                     plug-in hybrid electric vehicles.
HFET..............................  highway fuel economy test.
HLDT..............................  heavy light-duty truck.
HPLC..............................  high pressure liquid chromatography.
IBR...............................  incorporated by reference.
LA-92.............................  Los Angeles 1992 driving schedule.
MDPV..............................  medium-duty passenger vehicle.
NIST..............................  National Institute for Standards and
                                     Technology.
NMC...............................  nonmethane cutter.
PDP...............................  positive-displacement pump.
PHEV..............................  plug-in hybrid electric vehicle.
PM................................  particulate matter.
RESS..............................  rechargeable energy storage system.
ppm...............................  parts per million.
SAE...............................  Society of Automotive Engineers.
SC03..............................  air conditioning driving schedule.
SEA...............................  selective enforcement audit.
SFTP..............................  supplemental federal test procedure.
SI................................  International System of Units.
SSV...............................  subsonic venturi.
UDDS..............................  urban dynamometer driving schedule.
US06..............................  aggressive driving schedule.
U.S.C.............................  United States Code.
WWV...............................  NIST radio station call sign.
------------------------------------------------------------------------

    (f) This part uses the following densities of chemical species:

----------------------------------------------------------------------------------------------------------------
               Symbol                             Quantity \1 2\                   g/m\3\            g/ft\3\
----------------------------------------------------------------------------------------------------------------
rCH4................................  density of methane....................           666.905           18.8847
rCH3OH..............................  density of methanol...................           1332.02           37.7185
rC2H5OH.............................  C1-equivalent density of ethanol......           957.559           27.1151
rC2H4O..............................  C1-equivalent density of acetaldehyde.           915.658           25.9285
rC3H8...............................  density of propane....................           611.035           17.3026
rC3H7OH.............................  C1-equivalent density of propanol.....            832.74           23.5806
rCO.................................  density of carbon monoxide............           1164.41           32.9725
rCO2................................  density of carbon dioxide.............           1829.53           51.8064
rHC-gas.............................  effective density of hydrocarbon--               (see 3)           (see 3)
                                       gaseous fuel \3\.
rCH2O...............................  density of formaldehyde...............           1248.21           35.3455
rHC-liq.............................  effective density of hydrocarbon--               576.816           16.3336
                                       liquid fuel \4\.
rNMHC-gas...........................  effective density of nonmethane                  (see 3)           (see 3)
                                       hydrocarbon--gaseous fuel \3\.
rNMHC-liq...........................  effective density of nonmethane                  576.816           16.3336
                                       hydrocarbon--liquid fuel \4\.
rNMHCE-gas..........................  effective density of nonmethane                  (see 3)           (see 3)
                                       equivalent hydrocarbon--gaseous fuel
                                       \3\.
rNMHCE-liq..........................  effective density of nonmethane                  576.816           16.3336
                                       equivalent hydrocarbon--liquid fuel
                                       \4\.
rNOx................................  effective density of oxides of                    1912.5            54.156
                                       nitrogen \5\.
rN2O................................  density of nitrous oxide..............           1829.66           51.8103
rTHC-liq............................  effective density of total                       576.816           16.3336
                                       hydrocarbon--liquid fuel \4\.
rTHCE-liq...........................  effective density of total equivalent            576.816           16.3336
                                       hydrocarbon--liquid fuel \4\.
----------------------------------------------------------------------------------------------------------------
\1\ Densities are given at 20 [deg]C and 101.325 kPa.
\2\ Densities for all hydrocarbon containing quantities are given in g/m\3\-carbon atom and g/ft\3\-carbon atom.
\3\ The effective density for natural gas fuel and liquefied petroleum gas fuel are defined by an atomic
  hydrogen-to-carbon ratio, a, of the hydrocarbon components of the test fuel. rHCgas = 41.57 [middot] (12.011 +
  (a [middot] 1.008)).
\4\ The effective density for gasoline and diesel fuel are defined by an atomic hydrogen-to-carbon ratio, a, of
  1.85.
\5\ The effective density of NOX is defined by the molar mass of nitrogen dioxide, NO2.

    (g) 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              0.000375
                           in dry air.
xN2air..................  amount of nitrogen in dry              0.78084
                           air.
xO2air..................  amount of oxygen in dry               0.209445
                           air.
------------------------------------------------------------------------

    (2) This part uses the following molar masses or effective molar 
masses of chemical species:

------------------------------------------------------------------------
                                                          g/mol (10-3
         Symbol                    Quantity               [middot] kg
                                                        [middot] mol-1)
------------------------------------------------------------------------
Mair....................  molar mass of dry air \1\.            28.96559
MH2O....................  molar mass of water.......            18.01528
------------------------------------------------------------------------
\1\ See paragraph (g)(1) of this section for the composition of dry air.

    (3) This part uses the following molar gas constant for ideal gases:

------------------------------------------------------------------------
                                                      J/(mol [middot] K)
                                                       (m\2\ [middot] kg
         Symbol                    Quantity              [middot] s-2
                                                        [middot] mol-1
                                                         [middot] K-1)
------------------------------------------------------------------------
R.......................  molar gas constant........            8.314472
------------------------------------------------------------------------


[[Page 381]]

    (h) Prefixes. This part uses the following prefixes to define a 
quantity:

------------------------------------------------------------------------
              Symbol                      Quantity             Value
------------------------------------------------------------------------
n.................................  nano................            10-9
[micro]...........................  micro...............            10-6
m.................................  milli...............            10-3
c.................................  centi...............            10-2
k.................................  kilo................           10\3\
M.................................  mega................           10\6\
------------------------------------------------------------------------


[79 FR 23823, Apr. 28, 2014, as amended at 80 FR 9124, Feb. 19, 2015; 81 
FR 74215, Oct. 25, 2016]



Sec.  1066.1010  Incorporation by reference.

    (a) Certain material is incorporated by reference into this part 
with the approval of the Director of the Federal Register under 5 U.S.C. 
552(a) and 1 CFR part 51. To enforce any edition other than that 
specified in this section, a document must be published in the Federal 
Register and the material must be available to the public. All approved 
material is available for inspection at U.S. EPA, Air and Radiation 
Docket and Information Center, 1301 Constitution Ave. NW., Room B102, 
EPA West Building, Washington, DC 20460, (202) 202-1744, and is 
available from the sources listed below. It is also 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.
    (b) SAE International material. The following standards are 
available from SAE International, 400 Commonwealth Dr., Warrendale, PA 
15096-0001, (877) 606-7323 (U.S. and Canada) or (724) 776-4970 (outside 
the U.S. and Canada), or http://www.sae.org:
    (1) SAE J1263, Road Load Measurement and Dynamometer Simulation 
Using Coastdown Techniques, revised March 2010, IBR approved for 
Sec. Sec.  1066.301(b), 1066.305(a), and 1066.310(b).
    (2) SAE J1634, Battery Electric Vehicle Energy Consumption and Range 
Test Procedure, revised October 2012, IBR approved for Sec.  
1066.501(a).
    (3) SAE J1711, Recommended Practice for Measuring the Exhaust 
Emissions and Fuel Economy of Hybrid-Electric Vehicles, Including Plug-
In Hybrid Vehicles, revised June 2010, IBR approved for Sec.  
1066.501(a).
    (4) SAE J2263, Road Load Measurement Using Onboard Anemometry and 
Coastdown Techniques, revised December 2008, IBR approved for Sec. Sec.  
1066.301(b), 1066.305, and 1066.310(b).
    (5) SAE J2264, Chassis Dynamometer Simulation of Road Load Using 
Coastdown Techniques, revised January 2014, IBR approved for Sec.  
1066.315.
    (6) SAE J2711, Recommended Practice for Measuring Fuel Economy and 
Emissions of Hybrid-Electric and Conventional Heavy-Duty Vehicles, 
issued September 2002, IBR approved for Sec.  1066.501(a).
    (7) SAE J2951, Drive Quality Evaluation for Chassis Dynamometer 
Testing, revised January 2014, IBR approved for Sec.  1066.425(j).
    (c) National Institute of Standards and Technology material. The 
following documents are available from National Institute of Standards 
and Technology, 100 Bureau Drive, Stop 1070, Gaithersburg, MD 20899-
1070, (301) 975-6478, or www.nist.gov:
    (1) NIST Special Publication 811, 2008 Edition, Guide for the Use of 
the International System of Units (SI), Physics Laboratory, March 2008, 
IBR approved for Sec. Sec.  1066.20(a) and 1066.1005.
    (2) [Reserved]

[79 FR 23823, Apr. 28, 2014, as amended at 80 FR 9124, Feb. 19, 2015; 81 
FR 74217, Oct. 25, 2016]



PART 1068_GENERAL COMPLIANCE PROVISIONS FOR HIGHWAY, STATIONARY, 
AND NONROAD PROGRAMS--Table of Contents



          Subpart A_Applicability and Miscellaneous Provisions

Sec.
1068.1 Does this part apply to me?
1068.2 How does this part apply for engines and how does it apply for 
          equipment?
1068.5 How must manufacturers apply good engineering judgment?
1068.10 Confidential information.
1068.15 General provisions for EPA decision-making.
1068.20 May EPA enter my facilities for inspections?
1068.25 What information must I give to EPA?

[[Page 382]]

Sec.  1068.27 May EPA conduct testing with my engines/equipment?
1068.30 What definitions apply to this part?
1068.31 Changing the status of nonroad or stationary engines under the 
          definition of ``nonroad engine''.
1068.32 Explanatory terms.
1068.35 Symbols, acronyms, and abbreviations.
1068.40 Special provisions for implementing changes in the regulations 
          in this part.
1068.45 General labeling provisions.
1068.95 What materials does this part reference?

          Subpart B_Prohibited Actions and Related Requirements

1068.101 What general actions does this regulation prohibit?
1068.103 Provisions related to the duration and applicability of 
          certificates of conformity.
1068.105 What other provisions apply to me specifically if I manufacture 
          equipment needing certified engines?
1068.110 Other provisions for engines/equipment in service.
1068.115 What are manufacturers' emission-related warranty requirements?
1068.120 Requirements for rebuilding engines.
1068.125 What happens if I violate the regulations?

                   Subpart C_Exemptions and Exclusions

1068.201 General exemption and exclusion provisions.
1068.210 Exempting text engines/equipment.
1068.215 Exempting manufacturer-owned engines/equipment.
1068.220 Exempting display engines/equipment.
1068.225 Exempting engines/equipment for national security.
1068.230 Exempting engines/equipment for export.
1068.235 Exempting nonroad engines/equipment used solely for 
          competition.
1068.240 Exempting new replacement engines.
1068.245 Temporary provisions addressing hardship due to unusual 
          circumstances.
1068.250 Extending compliance deadlines for small businesses under 
          hardship.
1068.255 Exempting engines and fuel-system components for hardship for 
          equipment manufacturers and secondary engine manufacturers.
1068.260 General provisions for selling or shipping engines that are not 
          yet in their certified configuration.
1068.261 Delegated assembly and other provisions related to engines not 
          yet in the certified configuration.
1068.262 Shipment of engines to secondary engine manufacturers.
1068.265 Provisions for engines/equipment conditionally exempted from 
          certification.

                            Subpart D_Imports

1068.301 General provisions for importing engines/equipment.
1068.305 How do I get an exemption or exclusion for imported engines/
          equipment?
1068.310 Exclusions for imported engines/equipment.
1068.315 Permanent exemptions for imported engines/equipment.
1068.325 Temporary exemptions for imported engines/equipment.
1068.335 Penalties for violations.
1068.360 Restrictions for assigning a model year to imported engines and 
          equipment.

                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/equipment?
1068.415 How do I test my engines/equipment?
1068.420 How do I know when my engine family fails an SEA?
1068.425 What happens if one of my production-line engines/equipment 
          exceeds the emission standards?
1068.430 What happens if a family fails an SEA?
1068.435 May I sell engines/equipment from a 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/equipment 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/Equipment

1068.501 How do I report emission-related 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/equipment?
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?

[[Page 383]]

                           Subpart G_Hearings

1068.601 Overview.
1068.610 Request for hearing--suspending, revoking, or voiding a 
          certificate of conformity.
1068.615 Request for hearing--denied application for certification, 
          automatically suspended certificate, and determinations 
          related to certification.
1068.620 Request for hearing--recall.
1068.625 Request for hearing--nonconformance penalties.
1068.650 Procedures for informal hearings.

Appendix I to Part 1068--Emission-Related Components
Appendix II to Part 1068--Emission-Related Parameters and Specifications
Appendix III to Part 1068--High-Altitude Counties

    Authority: 42 U.S.C. 7401-7671q.

    Source: 73 FR 59344, Oct. 8, 2008, 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 engine and equipment categories as described in this paragraph (a). 
They apply to everyone, including owners, operators, parts 
manufacturers, and persons performing maintenance. Where we identify an 
engine category, the provisions of this part also apply with respect to 
the equipment using such engines. This part 1068 applies to different 
engine and equipment categories as follows:
    (1) This part 1068 applies to motor vehicles we regulate under 40 
CFR part 86, subpart S, to the extent and in the manner specified in 40 
CFR parts 85 and 86.
    (2) This part 1068 applies for heavy-duty motor vehicles we regulate 
under 40 CFR part 1037, subject to the provisions of 40 CFR parts 85 and 
1037. This includes trailers. This part 1068 applies to other heavy-duty 
motor vehicles and motor vehicle engines to the extent and in the manner 
specified in 40 CFR parts 85, 86, and 1036.
    (3) This part 1068 applies to highway motorcycles we regulate under 
40 CFR part 86, subparts E and F, to the extent and in the manner 
specified in 40 CFR parts 85 and 86.
    (4) This part 1068 applies to aircraft we regulate under 40 CFR part 
87 to the extent and in the manner specified in 40 CFR part 87.
    (5) This part 1068 applies for locomotives that are subject to the 
provisions of 40 CFR part 1033. This part 1068 does not apply for 
locomotives or locomotive engines that were originally manufactured 
before July 7, 2008, and that have not been remanufactured on or after 
July 7, 2008.
    (6) This part 1068 applies for land-based nonroad compression-
ignition engines that are subject to the provisions of 40 CFR part 1039. 
This part 1068 does not apply for engines certified under 40 CFR part 
89.
    (7) This part 1068 applies for stationary compression-ignition 
engines certified using the provisions of 40 CFR parts 89, 94, 1039, and 
1042 as described in 40 CFR part 60, subpart IIII.
    (8) This part 1068 applies for marine compression-ignition engines 
that are subject to the provisions of 40 CFR part 1042. This part 1068 
does not apply for marine compression-ignition engines certified under 
40 CFR part 94.
    (9) This part 1068 applies for marine spark-ignition engines that 
are subject to the provisions of 40 CFR part 1045. This part 1068 does 
not apply for marine spark-ignition engines certified under 40 CFR part 
91.
    (10) This part 1068 applies for large nonroad spark-ignition engines 
that are subject to the provisions of 40 CFR part 1048.
    (11) This part 1068 applies for stationary spark-ignition engines 
certified using the provisions of 40 CFR part 1048 or part 1054, as 
described in 40 CFR part 60, subpart JJJJ.
    (12) This part 1068 applies for recreational engines and vehicles, 
including snowmobiles, off-highway motorcycles, and all-terrain vehicles 
that are subject to the provisions of 40 CFR part 1051.
    (13) This part applies for small nonroad spark-ignition engines that 
are subject to the provisions of 40 CFR part 1054. This part 1068 does 
not apply for nonroad spark-ignition engines certified under 40 CFR part 
90.
    (14) This part applies for fuel-system components installed in 
nonroad equipment powered by volatile liquid fuels

[[Page 384]]

that are subject to the provisions of 40 CFR part 1060.
    (b) [Reserved]
    (c) Paragraph (a) of this section identifies the parts of the CFR 
that define emission standards and other requirements for particular 
types of engines and equipment. 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.
    (d) Specific provisions in this part 1068 start to apply separate 
from the schedule for certifying engines/equipment to new emission 
standards, as follows:
    (1) The provisions of Sec. Sec.  1068.30 and 1068.310 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 nonroad engines/equipment listed in paragraph (a) of this 
section beginning January 1, 2004, if they are used solely for 
competition.
    (3) The standard-setting part may specify how the provisions of this 
part 1068 apply for uncertified engines/equipment.

[81 FR 74217, Oct. 25, 2016]



Sec.  1068.2  How does this part apply for engines 
and how does it apply for equipment?

    (a) See the standard-setting part to determine if engine-based and/
or equipment-based standards apply. (Note: Some equipment is subject to 
engine-based standards for exhaust emission and equipment-based 
standards for evaporative emissions.)
    (b) The provisions of this part apply differently depending on 
whether the engine or equipment is required to be certified.
    (1) Subpart A and subpart B of this part apply to engines and 
equipment, without regard to which is subject to certification 
requirements in the standard-setting part.
    (2) Subparts C, D, and E of this part apply to the engines or to the 
equipment, whichever is subject to certification requirements in the 
standard-setting part.
    (3) Subpart F of this part generally applies to the engines or to 
the equipment, whichever is subject to standards under the standard-
setting part. However, since subpart F of this part addresses in-use 
engines and equipment (in which the engine is installed in the 
equipment), the requirements do not always distinguish between engines 
and equipment.
    (c) For issues related to testing, read the term ``engines/
equipment'' to mean engines for engines subject to engine-based testing 
and equipment for equipment subject to equipment-based testing; 
otherwise, read the term ``engines/equipment'' to mean engines for 
sources subject to engine-based standards and equipment for sources 
subject to equipment-based standards.
    (d) When we use the term engines (rather than engines/equipment), 
read it to mean engines without regard to whether the source is subject 
to engine-based standards or testing. When we use the term equipment 
(rather than engines/equipment), read it to mean equipment without 
regard to whether the source is subject to equipment-based standards or 
testing. (Note: The definition of ``equipment'' in Sec.  1068.30 
includes the engine.)
    (e) The terminology convention described in this section is not 
intended to limit our authority or your obligations under the Clean Air 
Act.



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/equipment 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.

[[Page 385]]

    (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 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 Compliance 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.



Sec.  1068.10  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.  1068.15  General provisions for EPA decision-making.

    (a) Not all EPA employees may represent the Agency with respect to 
EPA decisions under this part or the standard-setting part. Only the 
Administrator of the Environmental Protection Agency or an 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 Delegations Manual from the Designated Compliance 
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.

[73 FR 59344, Oct. 8, 2008, as amended at 81 FR 74217, Oct. 25, 2016]



Sec.  1068.20  May EPA enter my facilities for inspections?

    (a) We may inspect your testing, manufacturing processes, storage 
facilities (including port facilities for imported engines and equipment 
or other relevant facilities), or records, as authorized by the Clean 
Air 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) We may select any facility to do any of the following:
    (1) Inspect and monitor any aspect of engine or equipment 
manufacturing,

[[Page 386]]

assembly, storage, or other procedures, and any facilities where you do 
them.
    (2) Inspect and monitor any aspect of engine or equipment test 
procedures or test-related activities, including test engine/equipment 
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 or piece of equipment.
    (4) Inspect and photograph any part or aspect of engines or 
equipment and components you use for assembly.
    (c) You must give us reasonable help without charge during an 
inspection authorized by the Clean Air 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).
    (d) 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.

[73 FR 59344, Oct. 8, 2008, as amended at 81 FR 74217, Oct. 25, 2016]



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 Clean Air Act. This 
includes the following things:
    (a) You must provide the information we require in this chapter. We 
may require an authorized representative of your company to approve and 
sign any submission of information to us, and to certify that the 
information is accurate and complete.
    (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 Clean Air Act (42 U.S.C. 7542). This 
also applies to engines/equipment we exempt from emission standards or 
prohibited acts. Unless we specify otherwise, you must keep required 
records for eight years.
    (c) You are responsible for statements and information in your 
applications for certification or any other requests or reports. If you 
provide statements or information to someone for submission to EPA, you 
are responsible for these statements and information as if you had 
submitted them to EPA yourself. For example, knowingly submitting false 
information to someone else for inclusion in an application for 
certification would be deemed to be a submission of false information to 
the U.S. government in violation of 18 U.S.C. 1001.

[73 FR 59344, Oct. 8, 2008, as amended at 75 FR 23058, Apr. 30, 2010]



Sec.  1068.27  May EPA conduct testing with my engines/equipment?

    (a) As described in the standard-setting part, we may perform 
testing on your engines/equipment before we issue a certificate of 
conformity. This is generally known as confirmatory testing.
    (b) If we request it, you must make a reasonable number of 
production-line engines or pieces of production-line equipment available 
for a reasonable time so we can test or inspect them for compliance with 
the requirements of this chapter.
    (c) If your emission-data engine/equipment or production engine/
equipment requires special components for proper testing, you must 
promptly provide any such components to us if we ask for them.

[81 FR 74217, Oct. 25, 2016]



Sec.  1068.30  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:
    Affiliated companies or affiliates means one of the following:
    (1) For determinations related to small manufacturer allowances or

[[Page 387]]

other small business provisions, these terms mean all entities 
considered to be affiliates with your entity under the Small Business 
Administration's regulations in 13 CFR 121.103.
    (2) For all other provisions, these terms mean all of the following:
    (i) Parent companies (as defined in this section).
    (ii) Subsidiaries (as defined in this section).
    (iii) Subsidiaries of your parent company.
    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 more than 
100 feet above the ground.
    Certificate holder means a manufacturer (including importers) with a 
valid certificate of conformity for at least one family in a given model 
year, or the preceding model year. Note that only manufacturers may hold 
certificates. Your applying for or accepting a certificate is deemed to 
be your agreement that you are a manufacturer.
    Clean Air Act means the Clean Air Act, as amended, 42 U.S.C. 7401- 
7671q.
    Date of manufacture means one of the following:
    (1) For engines, the date on which the crankshaft is installed in an 
engine block, with the following exceptions:
    (i) For engines produced by secondary engine manufacturers under 
Sec.  1068.262, date of manufacture means the date the engine is 
received from the original engine manufacturer. You may assign an 
earlier date up to 30 days before you received the engine, but not 
before the crankshaft was installed. You may not assign an earlier date 
if you cannot demonstrate the date the crankshaft was installed.
    (ii) Manufacturers may assign a date of manufacture at a point in 
the assembly process later than the date otherwise specified under this 
definition. For example, a manufacturer may use the build date printed 
on the label or stamped on the engine as the date of manufacture.
    (2) For equipment, the date on which the engine is installed, unless 
otherwise specified in the standard-setting part. Manufacturers may 
alternatively assign a date of manufacture later in the assembly 
process.
    Days means calendar days, including weekends and holidays.
    Defeat device has the meaning given in the standard-setting part.
    Designated Compliance Officer means one of the following:
    (1) For motor vehicles regulated under 40 CFR part 86, subpart S: 
Director, Light-Duty Vehicle Center, U.S. Environmental Protection 
Agency, 2000 Traverwood Drive, Ann Arbor, MI 48105; 
[email protected]; epa.gov/otaq/verify.
    (2) For compression-ignition engines used in heavy-duty highway 
vehicles regulated under 40 CFR part 86, subpart A, and 40 CFR parts 
1036 and 1037, and for nonroad and stationary compression-ignition 
engines or equipment regulated under 40 CFR parts 60, 1033, 1039, and 
1042: Director, Diesel Engine Compliance Center, U.S. Environmental 
Protection Agency, 2000 Traverwood Drive, Ann Arbor, MI 48105; 
[email protected]; epa.gov/otaq/verify.
    (3) Director, Gasoline Engine Compliance Center, U.S. Environmental 
Protection Agency, 2000 Traverwood Drive, Ann Arbor, MI 48105; nonroad-
[email protected]; epa.gov/otaq/verify, for all the following engines and 
vehicles:
    (i) For spark-ignition engines used in heavy-duty highway vehicles 
regulated under 40 CFR part 86, subpart A, and 40 CFR parts 1036 and 
1037,
    (ii) For highway motorcycles regulated under 40 CFR part 86, subpart 
E.
    (iii) For nonroad and stationary spark-ignition engines or equipment 
regulated under 40 CFR parts 60, 1045, 1048, 1051, 1054, and 1060.
    Engine means an engine block with an installed crankshaft, or a gas 
turbine engine. The term engine does not include engine blocks without 
an installed crankshaft, nor does it include any assembly of 
reciprocating engine components that does not include the engine block. 
(Note: For purposes of this definition, any component that is

[[Page 388]]

the primary means of converting an engine's energy into usable work is 
considered a crankshaft, whether or not it is known commercially as a 
crankshaft.) This includes complete and partially complete engines as 
follows:
    (1) A complete engine is a fully assembled engine in its final 
configuration. In the case of equipment-based standards, an engine is 
not considered complete until it is installed in the equipment, even if 
the engine itself is fully assembled.
    (2) A partially complete engine is an engine that is not fully 
assembled or is not in its final configuration. Except where we specify 
otherwise in this part or the standard-setting part, partially complete 
engines are subject to the same standards and requirements as complete 
engines. The following would be considered examples of partially 
complete engines:
    (i) An engine that is missing certain emission-related components.
    (ii) A new engine that was originally assembled as a motor-vehicle 
engine that will be recalibrated for use as a nonroad engine.
    (iii) A new engine that was originally assembled as a land-based 
engine that will be modified for use as a marine propulsion engine.
    (iv) A short block consisting of a crankshaft and other engine 
components connected to the engine block, but missing the head assembly.
    (v) A long block consisting of all engine components except the fuel 
system and an intake manifold.
    (vi) In the case of equipment-based standards, a fully functioning 
engine that is not yet installed in the equipment. For example, a fully 
functioning engine that will be installed in an off-highway motorcycle 
or a locomotive is considered partially complete until it is installed 
in the equipment.
    Engine-based standard means an emission standard expressed in units 
of grams of pollutant per kilowatt-hour (or grams of pollutant per 
horsepower-hour) that applies to the engine. Emission standards are 
either engine-based or equipment-based. Note that engines may be subject 
to additional standards such as smoke standards.
    Engine-based test means an emission test intended to measure 
emissions in units of grams of pollutant per kilowatt-hour (or grams of 
pollutant per horsepower-hour), without regard to whether the standard 
applies to the engine or equipment. Note that some products that are 
subject to engine-based testing are subject to additional test 
requirements such as for smoke.
    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 
or factors unrelated to emissions.
    Engine/equipment and engines/equipment mean engine(s) and/or 
equipment depending on the context. Specifically these terms mean the 
following:
    (1) Engine(s) when only engine-based standards apply.
    (2) Engine(s) for testing issues when engine-based testing applies.
    (3) Engine(s) and equipment when both engine-based and equipment-
based standards apply.
    (4) Equipment when only equipment-based standards apply.
    (5) Equipment for testing issues when equipment-based testing 
applies.
    Equipment means one of the following things:
    (1) 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. An installed engine is part of the 
equipment. Motor vehicle trailers are a type of equipment that is 
subject to the requirements of this part.
    (2) Fuel-system components that are subject to an equipment-based 
standard under this chapter. Installed fuel-system components are also 
considered part of the engine/equipment to which they are attached.
    Equipment-based standard means an emission standard that applies to 
the equipment in which an engine is used or to fuel-system components 
associated with an engine, without regard to how the emissions are 
measured. If equipment-based standards apply, we require that the 
equipment or fuel-system components be certified rather than just the 
engine. Emission standards are either engine-based or equipment-based. 
For example, recreational

[[Page 389]]

vehicles we regulate under 40 CFR part 1051 are subject to equipment-
based standards even if emission measurements are based on engine 
operation alone.
    Excluded means relating to engines/equipment that are not subject to 
emission standards or other requirements because they do not meet the 
definitions or other regulatory provisions that define applicability. 
For example, a non-stationary engine that is used solely for off-highway 
competition is excluded from the requirements of this part because it 
meets neither the definition of ``motor vehicle engine'' nor ``nonroad 
engine'' under section 216 of the Clean Air Act.
    Exempted means relating to engines/equipment that are subject to 
certain standards or other requirements, but are not required to meet 
those standards or requirements, subject to one or more qualifying 
conditions. Exempted engines/equipment must conform to regulatory 
conditions specified for an exemption in this part 1068 or in the 
standard-setting part. Engines/equipment 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.
    Family means engine family or emission family, as applicable, under 
the standard-setting part.
    Final deteriorated test result has the meaning given in the 
standard-setting part. If it is not defined in the standard-setting 
part, it means the emission level that results from applying all 
appropriate adjustments (such as deterioration factors) to the measured 
emission result of the emission-data engine.
    Gas turbine engine means anything commercially known as a gas 
turbine engine or any collection of assembled engine components that is 
substantially similar to engines commercially known as gas turbine 
engines. For example, a jet engine is a gas turbine engine. Gas turbine 
engines may be complete or partially complete. Turbines that rely on 
external combustion such as steam engines are not gas turbine engines.
    Good engineering judgment means judgments made consistent with 
generally accepted scientific and engineering principles and all 
available relevant information. See Sec.  1068.5.
    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 or assembles an engine or piece of equipment for sale 
in the United States or otherwise introduces a new engine or piece of 
equipment into U.S. commerce. This includes importers that import new 
engines or new equipment into the United States for resale. It also 
includes secondary engine manufacturers.
    Model year has the meaning given in the standard-setting part. 
Unless the standard-setting part specifies otherwise, model year for 
individual engines/equipment is based on the date of manufacture or a 
later stage in the assembly process determined by the manufacturer, 
subject to the limitations described in Sec. Sec.  1068.103 and 
1068.360. The model year of a new engine that is neither certified nor 
exempt is deemed to be the calendar year in which it is sold, offered 
for sale, imported, or delivered or otherwise introduced into U.S. 
commerce.
    Motor vehicle has the meaning given in 40 CFR 85.1703.
    New has the meaning we give it in the standard-setting part. Note 
that in certain cases, used and remanufactured engines/equipment may be 
``new'' engines/equipment.
    Nonroad engine means:
    (1) Except as discussed in paragraph (2) of this definition, a 
nonroad engine is an internal combustion engine that meets any of the 
following criteria:
    (i) It is (or will be) used 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).
    (ii) It is (or will be) used in or on a piece of equipment that is 
intended to be propelled while performing its function (such as 
lawnmowers and string trimmers).

[[Page 390]]

    (iii) By itself or in or on a piece of equipment, it 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 it 
meets any of the following criteria:
    (i) The engine is used to propel a motor vehicle, an aircraft, or 
equipment used solely for competition.
    (ii) The engine is regulated under 40 CFR part 60, (or otherwise 
regulated by a federal New Source Performance Standard promulgated under 
section 111 of the Clean Air Act (42 U.S.C. 7411)). Note that this 
criterion does not apply for engines meeting any of the criteria of 
paragraph (1) of this definition that are voluntarily certified under 40 
CFR part 60.
    (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 is any single site at a building, 
structure, facility, or installation. For 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, include the time period 
of both engines 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. See 
Sec.  1068.31 for provisions that apply if the engine is removed from 
the location.
    Operating hours means:
    (1) For engine and equipment 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 or equipment manufacture or assembly.
    Parent company means any entity that has a controlling ownership of 
another company. Note that the standard-setting part may treat a partial 
owner as a parent company even if it does not have controlling ownership 
of a company.
    Piece of equipment means any vehicle, vessel, locomotive, aircraft, 
or other type of equipment equipped with engines to which this part 
applies.
    Placed into service means used for its intended purpose. Engines/
equipment do not qualify as being ``placed into service'' based on 
incidental use by a manufacturer or dealer.
    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. Note that 
what is a reasonable basis for a person without technical training might 
not qualify as a reasonable technical basis.
    Relating to as used in this section means relating to something in a 
specific, direct manner. This expression is used in this section only to 
define terms as adjectives and not to broaden the meaning of the terms. 
Note that ``relating to'' is used in the same manner as in the standard-
setting parts.
    Replacement engine means an engine exempted as a replacement engine 
under Sec.  1068.240.
    Revoke means to terminate the certificate or an exemption for a 
family. If we revoke a certificate or exemption, you must apply for a 
new certificate or exemption before continuing to introduce the affected 
engines/equipment

[[Page 391]]

into U.S. commerce. This does not apply to engines/equipment you no 
longer possess.
    Secondary engine manufacturer means anyone who produces a new engine 
by modifying a complete or partially complete engine that was made by a 
different company. For the purpose of this definition, ``modifying'' 
does not include making changes that do not remove an engine from its 
original certified configuration. Secondary engine manufacturing 
includes, for example, converting automotive engines for use in 
industrial applications, or land-based engines for use in marine 
applications. This applies whether it involves a complete or partially 
complete engine and whether the engine was previously certified to 
emission standards or not.
    (1) Manufacturers controlled by the manufacturer of the base engine 
(or by an entity that also controls the manufacturer of the base engine) 
are not secondary engine manufacturers; rather, both entities are 
considered to be one manufacturer for purposes of this part.
    (2) This definition applies equally to equipment manufacturers that 
modify engines. Also, equipment manufacturers that certify to equipment-
based standards using engines produced by another company are deemed to 
be secondary engine manufacturers.
    (3) Except as specified in paragraph (2) of this definition, 
companies importing complete engines into the United States are not 
secondary engine manufacturers regardless of the procedures and 
relationships between companies for assembling the engines.
    Small business means either of the following:
    (1) A company that qualifies under the standard-setting part for 
special provisions for small businesses or small-volume manufacturers.
    (2) A company that qualifies as a small business under the 
regulations adopted by the Small Business Administration at 13 CFR 
121.201 if the standard-setting part does not establish such qualifying 
criteria.
    Standard-setting part means a part in the Code of Federal 
Regulations that defines emission standards for a particular engine and/
or piece of equipment (see Sec.  1068.1(a)). For example, the standard-
setting part for marine spark-ignition engines is 40 CFR part 1045. For 
provisions related to evaporative emissions, the standard-setting part 
may be 40 CFR part 1060, as specified in 40 CFR 1060.1.
    Subsidiary means an entity that is owned or controlled by a parent 
company.
    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 
diesel fuel (i.e., fuel with a sulfur concentration of 300 to 500 ppm) 
as compared to when it is operated on ultra low-sulfur diesel fuel 
(i.e., fuel with a sulfur concentration less than 15 ppm). Exhaust gas 
recirculation is not a sulfur-sensitive technology.
    Suspend means to temporarily discontinue the certificate or an 
exemption for a family. If we suspend a certificate, you may not sell, 
offer for sale, or introduce or deliver into commerce in the United 
States or import into the United States engines/equipment from that 
family unless we reinstate the certificate or approve a new one. This 
also applies if we suspend an exemption, unless we reinstate the 
exemption.
    Ultimate purchaser means the first person who in good faith 
purchases a new engine or new piece of equipment for purposes other than 
resale.
    United States, in a geographic sense, 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 has the meaning given in the 
standard-setting part.
    Void means to invalidate a certificate or an exemption ab initio 
(``from the beginning''). If we void a certificate, all the engines/
equipment introduced into U.S. commerce under that family for that model 
year are considered uncertified (or nonconforming) and are therefore not 
covered by a certificate of conformity, and you are liable for all 
engines/equipment introduced into U.S. commerce under the certificate 
and may face civil or criminal penalties or

[[Page 392]]

both. This applies equally to all engines/equipment in the family, 
including engines/equipment introduced into U.S. commerce before we 
voided the certificate. If we void an exemption, all the engines/
equipment introduced into U.S. commerce under that exemption are 
considered uncertified (or nonconforming), and you are liable for 
engines/equipment introduced into U.S. commerce under the exemption and 
may face civil or criminal penalties or both. You may not sell, offer 
for sale, or introduce or deliver into commerce in the United States or 
import into the United States any additional engines/equipment using the 
voided exemption.
    Voluntary emission recall means a repair, adjustment, or 
modification program voluntarily initiated and conducted by a 
manufacturer to remedy any emission-related defect for which engine 
owners have been notified.
    We (us, our) means the Administrator of the Environmental Protection 
Agency and any authorized representatives.

[81 FR 74218, Oct. 25, 2016]



Sec.  1068.31  Changing the status of nonroad or stationary engines 
under the definition of ``nonroad engine''.

    This section specifies the provisions that apply when an engine 
previously used in a nonroad application is subsequently used in an 
application other than a nonroad application, or when an engine 
previously used in a stationary application (i.e., an engine that was 
not used as a nonroad engine and that was not used to propel a motor 
vehicle, an aircraft, or equipment used solely for competition) is 
moved.
    (a) Changing the status of a stationary engine to be a new nonroad 
engine as described in paragraph (b) of this section is a violation of 
Sec.  1068.101(a)(1) or (b)(3) unless the engine has been certified to 
be compliant with all requirements of this chapter that apply to new 
nonroad engines of the same type (for example, a compression-ignition 
engine rated at 40 kW) and model year, and is in its certified 
configuration. Note that the definitions of ``model year'' in the 
standard-setting parts generally identify the engine's original date of 
manufacture as the basis for determining which standards apply if it 
becomes a nonroad engine after it is no longer new. For example, see 40 
CFR 1039.801 and 1048.801.
    (b) A stationary engine becomes a new nonroad engine if--
    (1) It is used in an application that meets the criteria specified 
in paragraphs (1)(i) or (ii) in the definition of ``nonroad engine'' in 
Sec.  1068.30.
    (2) It meets the criteria specified in paragraph (1)(iii) of the 
definition of ``nonroad engine'' in Sec.  1068.30 and is moved so that 
it fails to meet (or no longer meets) the criteria specified in 
paragraph (2)(iii) in the definition of ``nonroad engine'' in Sec.  
1068.30.
    (c) A stationary engine does not become a new nonroad engine if it 
is moved but continues to meet the criteria specified in paragraph 
(2)(iii) in the definition of ``nonroad engine'' in Sec.  1068.30 in its 
new location. For example, a transportable engine that is used in a 
single specific location for 18 months and is later moved to a second 
specific location where it will remain for at least 12 months is 
considered to be a stationary engine in both locations. Note that for 
stationary engines that are neither portable nor transportable in actual 
use, the residence-time restrictions in the definition of ``nonroad 
engine'' generally do not apply.
    (d) Changing the status of a nonroad engine to be a new stationary 
engine as described in paragraph (e) of this section is a violation of 
Sec.  1068.101(a)(1) unless the engine complies with all the 
requirements of this chapter for new stationary engines of the same type 
(for example, a compression-ignition engine rated at 40 kW) and model 
year. For a new stationary engine that is required to be certified under 
40 CFR part 60, the engine must have been certified to be compliant with 
all the requirements that apply to new stationary engines of the same 
type and model year, and must be in its certified configuration. Note 
that the definitions of ``model year'' in the standard-setting parts 
generally identify the engine's original date of manufacture as the 
basis for determining which standards apply if it becomes a stationary 
engine after it is no longer new. For example, see 40 CFR 60.4219 and 
60.4248.

[[Page 393]]

    (e) A nonroad engine ceases to be a nonroad engine and becomes a new 
stationary engine if--
    (1) At any time, it meets the criteria specified in paragraph 
(2)(iii) in the definition of ``nonroad engine'' in Sec.  1068.30. For 
example, a portable generator engine ceases to be a nonroad engine if it 
is used or will be used in a single specific location for 12 months or 
longer. If we determine that an engine will be or has been used in a 
single specific location for 12 months or longer, it ceased to be a 
nonroad engine when it was placed in that location.
    (2) It is otherwise regulated by a federal New Source Performance 
Standard promulgated under section 111 of the Clean Air Act (42 U.S.C. 
7411).
    (f) A nonroad engine ceases to be a nonroad engine if it is used to 
propel a motor vehicle, an aircraft, or equipment used solely for 
competition. See 40 CFR part 86 for requirements applicable to motor 
vehicles and motor vehicle engines. See 40 CFR part 87 for requirements 
applicable to aircraft and aircraft engines. See Sec.  1068.235 for 
requirements applicable to equipment used solely for competition.

[73 FR 59344, Oct. 8, 2008, as amended at 75 FR 23059, Apr. 30, 2010; 81 
FR 74221, Oct. 25, 2016]



Sec.  1068.32  Explanatory terms.

    This section explains how certain phrases and terms are used in 40 
CFR parts 1000 through 1099, especially those used to clarify and 
explain regulatory provisions.
    (a) Types of provisions. The term ``provision'' includes all aspects 
of the regulations in this subchapter U. As described in this section, 
regulatory provisions include standards, requirements, prohibitions, and 
allowances, along with a variety of other types of provisions. In 
certain cases, we may use these terms to apply to some but not all of 
the provisions of a part or section. For example, we may apply the 
allowances of a section for certain engines, but not the requirements. 
We may also apply all provisions except the requirements and 
prohibitions.
    (1) A standard is a requirement established by regulation that 
limits the emissions of air pollutants. Examples of standards include 
numerical emission standards (such as 0.01 g/kW-hr) and design standards 
(such as a closed crankcase standard). Compliance with or conformance to 
a standard is a specific type of requirement, and in some cases a 
standard may be discussed as a requirement. Thus, a statement about the 
requirements of a part or section also applies with respect to the 
standards of the part or section.
    (2) The regulations in subchapter U of this chapter apply other 
requirements in addition to standards. For example, manufacturers are 
required to keep records and provide reports to EPA.
    (3) While requirements state what someone must do, prohibitions 
state what someone may not do. Prohibitions are often referred to as 
prohibited acts or prohibited actions. Most penalties apply for 
violations of prohibitions. A list of prohibitions may therefore include 
the failure to meet a requirement as a prohibited action.
    (4) Allowances provide some form of relief from requirements. This 
may include provisions delaying implementation, establishing exemptions 
or test waivers, or creating alternative compliance options. Allowances 
may be conditional. For example, we may exempt you from certain 
requirements on the condition that you meet certain other requirements.
    (5) The regulations in subchapter U of this chapter also include 
important provisions that are not standards, requirements, prohibitions, 
or allowances, such as definitions.
    (6) Engines/equipment are generally considered ``subject to'' a 
specific provision if that provision applies, or if it does not apply 
because of an exemption authorized under the regulation. For example, 
locomotives are subject to the provisions of 40 CFR part 1033 even if 
they are exempted from the standards of part 1033.
    (b) Singular and plural. Unless stated otherwise or unless it is 
clear from the regulatory context, provisions written in singular form 
include the plural form and provisions written in plural form include 
the singular form. For example, the statement ``The manufacturer must 
keep this report for three years'' is equivalent to ``The manufacturers 
must keep these reports for three years.''

[[Page 394]]

    (c) Inclusive lists. Lists in the regulations in subchapter U of 
this chapter prefaced by ``including'' or ``this includes'' are not 
exhaustive. The terms ``including'' and ``this includes'' should be read 
to mean ``including but not limited to'' and ``this includes but is not 
limited to''. For example, the phrase ``including small manufacturers'' 
does not exclude large manufacturers. However, prescriptive statements 
to ``include'' specific items (such as those related to recordkeeping 
and reporting requirements) may be exhaustive.
    (d) Notes. Statements that begin with ``Note:'' or ``Note that'' are 
intended to clarify specific regulatory provisions stated elsewhere in 
the regulations in subchapter U of this chapter. By themselves, such 
statements are not intended to specify regulatory requirements. Such 
statements are typically used for regulatory text that, while legally 
sufficient to specify a requirement, may be misunderstood by some 
readers. For example, the regulations might note that a word is defined 
elsewhere in the regulations to have a specific meaning that may be 
either narrower or broader than some readers might assume.
    (e) Examples. Examples provided in the regulations in subchapter U 
of this chapter are typically introduced by either ``for example'' or 
``such as''. Specific examples given in the regulations do not 
necessarily represent the most common examples. The regulations may 
specify examples conditionally (that is, specifying that they are 
applicable only if certain criteria or conditions are met). Lists of 
examples cannot be presumed to be exhaustive lists.
    (f) Generally and typically. Statements that begin with 
``generally'', ``in general'', or ``typically'' should not be read to 
apply universally or absolutely. Rather they are intended to apply for 
the most common circumstances. ``Generally'' and ``typically'' 
statements may be identified as notes as described in paragraph (d) of 
this section.
    (g) Unusual circumstances. The regulations in subchapter U of this 
chapter specify certain allowances that apply ``in unusual 
circumstances''. While it is difficult to precisely define what 
``unusual circumstances'' means, this generally refers to specific 
circumstances that are both rare and unforeseeable. For example, a 
severe hurricane in the northeastern United States may be considered to 
be an unusual circumstance, while a less severe hurricane in the 
southeastern United States may not be. Where the regulations limit an 
allowance to unusual circumstances, manufacturers and others should not 
presume that such an allowance will be available to them. Provisions 
related to unusual circumstances may be described using the phrase 
``normal circumstances'', which are those circumstances that are not 
unusual circumstances.
    (h) Exceptions and other specifications. Regulatory provisions may 
be expressed as a general prohibition, requirement, or allowance that is 
modified by other regulatory text. Such provisions may include phrases 
such as ``unless specified otherwise'', ``except as specified'', or ``as 
specified in this section''. It is important that the exceptions and the 
more general statement be considered together. This regulatory construct 
is intended to allow the core requirement or allowance to be stated in 
simple, clear sentences, rather than more precise and comprehensive 
sentences that may be misread. For example, where an action is 
prohibited in most but not all circumstances, the provision may state 
that you may not take the action, ``except as specified in this 
section.'' The exceptions could then be stated in subsequent regulatory 
text.

[81 FR 74221, Oct. 25, 2016]



1068.35  Symbols, acronyms, and abbreviations.

    The following symbols, acronyms, and abbreviations apply to this 
part:

$ U.S. dollars.
CFR Code of Federal Regulations.
disp engine displacement.
EPA Environmental Protection Agency.
kW kilowatt.
L/cyl liters per cylinder.
NARA National Archives and Records Administration.
NOX Oxides of nitrogen.
SAE Society of Automotive Engineers.

[[Page 395]]

SEA selective enforcement audit.
U.S. United States.
U.S.C. United States Code.



Sec.  1068.40  Special provisions for implementing changes 
in the regulations in this part.

    (a) During the 12 months following the effective date of any change 
in the provisions of this part, you may ask to apply the previously 
applicable provisions. Note that the effective date is generally 30 or 
60 days after publication in the Federal Register, as noted in the final 
rule. We will generally approve your request if you can demonstrate that 
it would be impractical to comply with the new requirements. We may 
consider the potential for adverse environmental impacts in our 
decision. Similarly, in unusual circumstances, you may ask for relief 
under this paragraph (a) from new requirements that apply under the 
standard-setting part.
    (b) During the 60 days following the effective date of any change in 
the provisions of this part, you may use the previously applicable 
provisions without request if they meet either of the following 
criteria:
    (1) The new provisions require you to redesign your engines/
equipment, modify your engine/equipment labels, or change your 
production procedures.
    (2) The new provisions change what you must include in an 
application for certification that you submit before the end of this 60-
day period. You are not required to amend such applications to comply 
with the new provisions for that model year; however, this allowance 
does not apply for later model years, even if you certify an engine 
family using carryover emission data. This allowance does not affect 
your obligation to provide information that we request separate from an 
application for certification.

[75 FR 23059, Apr. 30, 2010, as amended at 81 FR 74222, Oct. 25, 2016]



Sec.  1068.45  General labeling provisions.

    The provisions of this part and the standard-setting part include a 
variety of labeling requirements. The following general provisions 
apply:
    (a) Permanent labels. Where we specify that you apply a permanent 
label, you must meet the following requirements unless the standard-
setting part includes other specific label requirements:
    (1) Attach the label so no one can remove it without destroying or 
defacing it.
    (2) Make sure it is durable and readable for the engine/equipment's 
entire life.
    (3) Secure it to a part of the engine/equipment needed for normal 
operation and not normally requiring replacement.
    (4) Write it in English.
    (5) Make the labels readily visible to the average person after all 
installation and assembly are complete.
    (b) Removable labels. Where we specify that you apply a removable 
label, it must meet the following conditions:
    (1) You must attach the label in a way that does not allow it to be 
separated from the engine/equipment without a deliberate effort. Note 
that for exemptions requiring removable labels, the exemption no longer 
applies once the label is separated from the engine/equipment.
    (2) The label must be durable and readable throughout the period of 
its intended purpose. This period generally includes all distribution in 
U.S. commerce during which the exemption applies.
    (3) Except as specified in paragraph (c) of this section, the label 
must be attached directly to the engine/equipment in a visible location. 
We consider a tag that meets the specified requirements to be an 
attached label.
    (c) Labels on packaging. Unless we specify otherwise, where we 
require engine/equipment labels that may be removable, you may instead 
label the packaging if the engines/equipment are packaged together as 
described in this paragraph (c). For example, this may involve packaging 
engines together by attaching them to a rack, binding them together on a 
pallet, or enclosing them in a box. The provisions of this paragraph (c) 
also apply for engines/equipment boxed individually where you do not 
apply labels directly to the engines/equipment. The following provisions 
apply if you label the packaging instead of labeling engines/equipment 
individually:

[[Page 396]]

    (1) You may use the provisions of this paragraph (c) only if all the 
engines/equipment packaged together need the same label.
    (2) You must place the label on the package in a readily visible 
location. This may require labeling the package in multiple locations.
    (3) You must package the engines/equipment such that the labels will 
not be separated from the engines/equipment or otherwise become 
unreadable throughout the period that the label applies. For example, 
labels required for shipping engines to a secondary engine manufacturer 
under Sec.  1068.262 must remain attached and readable until they reach 
the secondary engine manufacturer. Similarly, removable labels specified 
in Sec.  1068.240 for replacement engines must remain attached and 
readable until they reach the point of final installation.
    (4) You are in violation of Sec.  1068.101(a)(1) if such engines/
equipment are removed from the package or are otherwise separated from 
the label before reaching the point at which the label is no longer 
needed.
    (d) Temporary consumer labels. Where we specify that you apply 
temporary consumer labels (including tags), each label must meet the 
following conditions:
    (1) You must attach the label in a way that does not allow it to be 
separated from the engine/equipment without a deliberate effort.
    (2) The label must be sufficiently durable to be readable until it 
reaches the ultimate purchaser.
    (3) The label must be attached directly to the engine/equipment in a 
visible location.
    (e) Prohibitions against removing labels. As specified in Sec.  
1068.101(b)(7), removing permanent labels is prohibited except for 
certain circumstances. Removing temporary or removable labels 
prematurely is also prohibited by Sec.  1068.101(b)(7).
    (f) Identifying emission control systems. If the standard-setting 
part specifies that you use standardized terms and abbreviations to 
identify emission control systems, use terms and abbreviations 
consistent with SAE J1930 (incorporated by reference in Sec.  1068.95).
    (g) Date format. If you use a coded approach to identify the engine/
equipment's date of manufacture, describe or interpret the code in your 
application for certification.
    (h) Branding. 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 in the standard-setting 
part:
    (1) You must have a contractual agreement with the other company 
that obligates that company to take the following steps:
    (i) Meet the emission warranty requirements that apply under the 
standard-setting part. This may involve a separate agreement involving 
reimbursement of warranty-related expenses.
    (ii) Report all warranty-related information to the certificate 
holder.
    (2) In your application for certification, identify the company 
whose trademark you will use.
    (3) You remain responsible for meeting all the requirements of this 
chapter, including warranty and defect-reporting provisions.

[73 FR 59344, Oct. 8, 2008, as amended at 75 FR 23059, Apr. 30, 2010; 81 
FR 74222, Oct. 25, 2016]



Sec.  1068.95  Incorporation by reference.

    (a) Certain material is incorporated by reference into this part 
with the approval of the Director of the Federal Register under 5 U.S.C. 
552(a) and 1 CFR part 51. To enforce any edition other than that 
specified in this section, the Environmental Protection Agency must 
publish a document in the Federal Register and the material must be 
available to the public. All approved materials are available for 
inspection at the Air and Radiation Docket and Information Center (Air 
Docket) in the EPA Docket Center (EPA/DC) at Rm. 3334, EPA West Bldg., 
1301 Constitution Ave. NW., Washington, DC The EPA/DC Public Reading 
Room hours of operation are 8:30 a.m. to 4:30 p.m., Monday through 
Friday, excluding legal holidays. The telephone number of the EPA/DC 
Public Reading Room is (202) 566-1744, and the telephone number for the 
Air Docket is (202) 566-1742. These approved materials are also 
available for inspection at the

[[Page 397]]

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. In addition, these materials are available from the 
sources listed below.
    (b) SAE International, 400 Commonwealth Dr., Warrendale, PA 15096-
0001, (724) 776-4841, or http://www.sae.org:
    (1) SAE J1930, Electrical/Electronic Systems Diagnostic Terms, 
Definitions, Abbreviations, and Acronyms, revised October 2008 (``SAE 
J1930''), IBR approved for Sec.  1068.45(f).
    (2) [Reserved]

[81 FR 74222, Oct. 25, 2016]



          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 in accordance with 
42 U.S.C. 7522 and 7524. The maximum penalty values listed in paragraphs 
(a) and (b) of this section and in Sec.  1068.125 apply as of August 1, 
2016. As described in paragraph (h) of this section, these maximum 
penalty limits are different for earlier violations and they may be 
adjusted as set forth in 40 CFR part 19.
    (a) The following prohibitions and requirements apply to 
manufacturers of new engines, manufacturers of equipment containing 
these engines, and manufacturers of new equipment, 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/equipment after emission standards take 
effect for the engine/equipment, unless it is covered by a valid 
certificate of conformity for its model year and has 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 is covered by a valid 
certificate of conformity for its model year and has the required engine 
label or tag. We may assess a civil penalty up to $44,539 for each 
engine or piece of equipment in violation.
    (i) For purposes of this paragraph (a)(1), a valid 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 or subcategory of engines/equipment (such as 
locomotive or sterndrive/inboard Marine SI or nonhandheld Small SI), and 
conforms to all requirements specified for equipment in the standard-
setting part. Engines/equipment are considered not covered by a 
certificate unless they are in a configuration described in the 
application for certification.
    (ii) The prohibitions of this paragraph (a)(1) also apply for new 
engines you produce to replace an older engine in a piece of equipment, 
except that the engines may qualify for the replacement-engine exemption 
in Sec.  1068.240.
    (iii) The prohibitions of this paragraph (a)(1) also apply for new 
engines that will be installed in equipment subject to equipment-based 
standards, except that the engines may qualify for an exemption under 
Sec.  1068.260(c) or Sec.  1068.262.
    (iv) Where the regulations specify that you are allowed to introduce 
engines/equipment into U.S. commerce without a certificate of 
conformity, you may take any of the otherwise prohibited actions 
specified in this paragraph (a)(1) with respect to those engines/
equipment.
    (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 complete and 
accurate reports and information without delay as required under this

[[Page 398]]

chapter. Failure to comply with the requirements of this paragraph is 
prohibited. We may assess a civil penalty up to $44,539 for each day you 
are in violation. In addition, knowingly submitting false information is 
a violation of 18 U.S.C. 1001, which may involve criminal penalties and 
up to five years imprisonment.
    (3) Testing and access to facilities. You may not keep us from 
entering your facility to test engines/equipment 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 $44,539 for each day you 
are in violation.
    (b) The following prohibitions apply to everyone with respect to the 
engines and equipment to which this part applies:
    (1) Tampering. You may not remove or render inoperative any device 
or element of design installed on or in engines/equipment in compliance 
with the regulations prior to its sale and delivery to the ultimate 
purchaser. You also may not knowingly remove or render inoperative any 
such device or element of design after such sale and delivery to the 
ultimate purchaser. This includes, for example, operating an engine 
without a supply of appropriate quality urea if the emission control 
system relies on urea to reduce NOX emissions or the use of 
incorrect fuel or engine oil that renders the emission control system 
inoperative. Section 1068.120 describes how this applies to rebuilding 
engines. See the standard-setting part, which may include additional 
provisions regarding actions prohibited by this requirement. For a 
manufacturer or dealer, we may assess a civil penalty up to $44,539 for 
each engine or piece of equipment in violation. For anyone else, we may 
assess a civil penalty up to $4,454 for each engine or piece of 
equipment in violation. This prohibition does not apply in any of the 
following situations:
    (i) You need to repair the engine/equipment and you restore it to 
proper functioning when the repair is complete.
    (ii) You need to modify the engine/equipment to respond to a 
temporary emergency and you restore it to proper functioning as soon as 
possible.
    (iii) You modify new engines/equipment that another manufacturer has 
already certified to meet emission standards and recertify them under 
your own family. In this case you must tell the original manufacturer 
not to include the modified engines/equipment in the original family.
    (2) Defeat devices. You may not knowingly manufacture, sell, offer 
to sell, or install, any component that bypasses, impairs, defeats, or 
disables the control of emissions of any regulated pollutant, except as 
explicitly allowed by the standard-setting part. We may assess a civil 
penalty up to $4,454 for each component 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. Anyone violating this 
paragraph (b)(3) is deemed to be a manufacturer in violation of 
paragraph (a)(1) of this section. We may assess a civil penalty up to 
$44,539 for each engine or piece of equipment in violation.
    (4) Competition engines/equipment. (i) For uncertified engines/
equipment that are excluded or exempted as new engines/equipment from 
any requirements of this chapter because they are to be used solely for 
competition, you may not use any of them in a manner that is 
inconsistent with use solely for competition. Anyone violating this 
paragraph (b)(4)(i) is deemed to be a manufacturer in violation of 
paragraph (a)(1) of this section. We may assess a civil penalty up to 
$44,539 for each engine or piece of equipment in violation. (ii) For 
certified nonroad engines/equipment that qualify for exemption from the 
tampering prohibition as described in Sec.  1068.235 because they are to 
be used solely for competition, you may not use any of them in a manner 
that is inconsistent with use solely for competition. Anyone violating 
this paragraph (b)(4)(ii) is in violation of paragraph (b)(1) or (2) of 
this section.

[[Page 399]]

    (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 
with a model year for which emission standards applied. Anyone violating 
this paragraph (b)(5) is deemed to be a manufacturer in violation of 
paragraph (a)(1) of this section. We may assess a civil penalty up to 
$44,539 for each engine or piece of equipment in violation. Note the 
following:is excluded
    (i) The definition of new is broad for imported engines/equipment; 
uncertified engines and equipment (including used engines and equipment) 
are generally considered to be new when imported.
    (ii) Used engines/equipment that were originally manufactured before 
applicable EPA standards were in effect are generally not subject to 
emission standards.
    (6) Warranty, recall, and maintenance instructions. You must meet 
your obligation to honor your emission-related warranty under Sec.  
1068.115, including any commitments you identify in your application for 
certification. You must also fulfill all applicable requirements under 
subpart F of this part related to emission-related defects and recalls. 
You must also provide emission-related installation and maintenance 
instructions as described in the standard-setting part. Failure to meet 
these obligations is prohibited. Also, except as specifically provided 
by regulation, you are prohibited from directly or indirectly 
communicating to the ultimate purchaser or a later purchaser that the 
emission-related warranty is valid only if the owner has service 
performed at authorized facilities or only if the owner uses authorized 
parts, components, or systems. We may assess a civil penalty up to 
$44,539 for each engine or piece of equipment in violation.
    (7) Labeling. (i) You may not remove or alter an emission control 
information label or other required permanent label except as specified 
in this paragraph (b)(7) or otherwise allowed by this chapter. Removing 
or altering an emission control information label is a violation of 
paragraph (b)(1) of this section. However, it is not a violation to 
remove a label in the following circumstances:
    (A) The engine is destroyed, is permanently disassembled, or 
otherwise loses its identity such that the original title to the engine 
is no longer valid.
    (B) The regulations specifically direct you to remove the label. For 
example, see Sec.  1068.235.
    (C) The part on which the label is mounted needs to be replaced. In 
this case, you must have a replacement part with a duplicate of the 
original label installed by the certifying manufacturer or an authorized 
agent, except that the replacement label may omit the date of 
manufacture if applicable. We generally require labels to be permanently 
attached to parts that will not normally be replaced, but this provision 
allows for replacements in unusual circumstances, such as damage in a 
collision or other accident.
    (D) The original label is incorrect, provided that it is replaced 
with the correct label from the certifying manufacturer or an authorized 
agent. This allowance to replace incorrect labels does not affect 
whether the application of an incorrect original label is a violation.
    (ii) Removing or altering a temporary or removable label contrary to 
the provisions of this paragraph (b)(7)(ii) is a violation of paragraph 
(b)(1) of this section.
    (A) For labels identifying temporary exemptions, you may not remove 
or alter the label while the engine/equipment is in an exempt status. 
The exemption is automatically revoked for each engine/equipment for 
which the label has been removed.
    (B) For temporary or removable consumer information labels, only the 
ultimate purchaser may remove the label.
    (iii) You may not apply a false emission control information label. 
You also may not manufacture, sell, or offer to sell false labels. The 
application, manufacture, sale, or offer for sale of false labels is a 
violation of this section (such as paragraph (a)(1) or (b)(2) of this 
section). Note that applying an otherwise valid emission control 
information label to the wrong engine is considered to be applying a 
false label.
    (c) If you cause someone to commit a prohibited act in paragraph (a) 
or (b) of

[[Page 400]]

this section, you are in violation of that prohibition.
    (d) Exemptions from these prohibitions are described in subparts C 
and D of this part and in the standard-setting part.
    (e) The standard-setting parts describe more requirements and 
prohibitions that apply to manufacturers (including importers) and 
others under this chapter.
    (f) The specification of prohibitions and penalties in this part 
does not limit the prohibitions and penalties described in the Clean Air 
Act. Additionally, a single act may trigger multiple violations under 
this section and the Act. We may pursue all available administrative, 
civil, or criminal remedies for those violations even if the regulation 
references only a single prohibited act in this section.
    (g) [Reserved]
    (h) The maximum penalty values listed in paragraphs (a) and (b) of 
this section and in Sec.  1068.125 apply as of August 1, 2016. Maximum 
penalty values for earlier violations are published in 40 CFR part 19. 
Maximum penalty limits may be adjusted after August 1, 2016 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                             U.S. Code citation
   citation of prohibited      General description    for Clean Air Act
           action                of prohibition           authority
------------------------------------------------------------------------
Sec.   1068.101(a)(1).......  Introduction into     42 U.S.C. 7522(a)(1)
                               U.S. commerce of an   and (a)(4).
                               uncertified source.
Sec.   1068.101(a)(2).......  Failure to provide    42 U.S.C.
                               information.          7522(a)(2).
Sec.   1068.101(a)(3).......  Denying access to     42 U.S.C.
                               facilities.           7522(a)(2).
Sec.   1068.101(b)(1).......  Tampering with        42 U.S.C.
                               emission controls     7522(a)(3).
                               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      42 U.S.C.
                               defeat device.        7522(a)(3).
Sec.   1068.101(b)(3).......  Mobile use of a       42 U.S.C. 7522(a)(1)
                               stationary engine.    and (a)(4).
Sec.   1068.101(b)(4).......  Noncompetitive use    42 U.S.C. 7522(a)(1)
                               of uncertified        and (a)(4).
                               engines/equipment
                               that is exempted
                               for competition.
Sec.   1068.101(b)(5).......  Importation of an     42 U.S.C. 7522(a)(1)
                               uncertified source.   and (a)(4).
Sec.   1068.101(b)(6).......  Recall and warranty.  42 U.S.C.
                                                     7522(a)(4).
Sec.   1068.101(b)(7).......  Removing labels.....  42 U.S.C.
                                                     7522(a)(3).
------------------------------------------------------------------------


[75 FR 23059, Apr. 30, 2010; 81 FR 74222, Oct. 25, 2016]



Sec.  1068.103  Provisions related to the duration and applicability 
of certificates of conformity.

    (a) Engines/equipment covered by a certificate of conformity are 
limited to those that are produced during the period specified in the 
certificate and conform to the specifications described in the 
certificate and the associated application for certification. For the 
purposes of this paragraph (a), ``specifications'' includes the emission 
control information label and any conditions or limitations identified 
by the manufacturer or EPA. For example, if the application for 
certification specifies certain engine configurations, the certificate 
does not cover any configurations that are not specified. We may ignore 
any information provided in the application that we determine is not 
relevant to a demonstration of compliance with applicable regulations, 
such as your projected production volumes in many cases.
    (b) Unless the standard-setting part specifies otherwise, determine 
the production period corresponding to each certificate of conformity as 
specified in this paragraph (b). In general, the production period is 
the manufacturer's annual production period identified as a model year.
    (1) For engines/equipment subject to emission standards based on 
model years, the first day of the annual production period can be no 
earlier than

[[Page 401]]

January 2 of the calendar year preceding the year for which the model 
year is named, or the earliest date of manufacture for any engine/
equipment in the engine family, whichever is later. The last day of the 
annual production period can be no later than December 31 of the 
calendar year for which the model year is named or the latest date of 
manufacture for any engine/equipment in the engine family, whichever is 
sooner. Note that this approach limits how you can designate a model 
year for your engines/equipment; however, it does not limit your ability 
to meet more stringent emission standards early where this is permitted 
in the regulation.
    (2) For fuel-system components certified to evaporative emission 
standards based on production periods rather than model years, the 
production period is either the calendar year or a longer period we 
specify consistent with the manufacturer's normal production practices.
    (c) A certificate of conformity will not cover engines/equipment you 
produce with a date of manufacture earlier than the date you submit the 
application for certification for the family. You may start to produce 
engines/equipment after you submit an application for certification and 
before the effective date of a certificate of conformity, subject to the 
following conditions:
    (1) The engines/equipment must conform in all material respects to 
the engines/equipment described in your application. Note that if we 
require you to modify your application, you must ensure that all 
engines/equipment conform to the specifications of the modified 
application.
    (2) The engines/equipment may not be sold, offered for sale, 
introduced into U.S. commerce, or delivered for introduction into U.S. 
commerce before the effective date of the certificate of conformity.
    (3) You must notify us in your application for certification that 
you plan to use the provisions of this paragraph (c) and when you intend 
to start production. If the standard-setting part specifies mandatory 
testing for production-line engines, you must start testing as directed 
in the standard-setting part based on your actual start of production, 
even if that occurs before we approve your certification. You must also 
agree to give us full opportunity to inspect and/or test the engines/
equipment during and after production. For example, we must have the 
opportunity to specify selective enforcement audits as allowed by the 
standard-setting part and the Clean Air Act as if the engines/equipment 
were produced after the effective date of the certificate.
    (4) See Sec.  1068.262 for special provisions that apply for 
secondary engine manufacturers receiving shipment of partially complete 
engines before the effective date of a certificate.
    (d) The prohibition in Sec.  1068.101(a)(1) against offering to sell 
engines/equipment without a valid certificate of conformity generally 
does not apply for engines/equipment that have not yet been produced. 
You may contractually agree to produce engines/equipment before 
obtaining the required certificate of conformity. This is intended to 
allow manufacturers of low-volume products to establish a sufficient 
market for engines/equipment before going through the effort to certify.
    (e) Engines/equipment with a date of manufacture after December 31 
of the calendar year for which a model year is named are not covered by 
the certificate of conformity for that model year. You must submit an 
application for a new certificate of conformity demonstrating compliance 
with applicable standards even if the engines/equipment are identical to 
those with a date of manufacture before December 31.
    (f) The flexible approach to naming the annual production period 
described in paragraph (b)(1) of this section is intended to allow you 
to introduce new products at any point during the year. This is based on 
the expectation that production periods generally run on consistent 
schedules from year to year. You may not use this flexibility to arrange 
your production periods such that you can avoid annual certification.
    (g) An engine is generally assigned a model year based on its date 
of manufacture, which is typically based on the date the crankshaft is 
installed in the

[[Page 402]]

engine (see Sec.  1068.30). You may not circumvent the provisions of 
Sec.  1068.101(a)(1) by stockpiling engines with a date of manufacture 
before new or changed emission standards take effect by deviating from 
your normal production and inventory practices. (For purposes of this 
paragraph (g), normal production and inventory practices means those 
practices you typically use for similar families in years in which 
emission standards do not change. We may require you to provide us 
routine production and inventory records that document your normal 
practices for the preceding eight years.) For most engines you should 
plan to complete the assembly of an engine of a given model year into 
its certified configuration within the first week after the end of the 
model year if new emission standards start to apply in that model year. 
For special circumstances it may be appropriate for your normal business 
practice to involve more time. For engines with per-cylinder 
displacement below 2.5 liters, if new emission standards start to apply 
in a given year, we would consider an engine not to be covered by a 
certificate of conformity for the preceding model year if the engine is 
not assembled in a compliant configuration within 30 days after the end 
of the model year for that engine family. (Note: an engine is considered 
``in a compliant configuration'' without being fully assembled if Sec.  
1068.260(a) or (b) authorizes shipment of the engine without certain 
components.) For example, in the case where new standards apply in the 
2010 model year, and your normal production period is based on the 
calendar year, you must complete the assembly of all your 2009 model 
year engines before January 31, 2010, or an earlier date consistent with 
your normal production and inventory practices. For engines with per-
cylinder displacement at or above 2.5 liters, this time may not exceed 
60 days. Note that for the purposes of this paragraph (g), an engine 
shipped under Sec.  1068.261 is deemed to be a complete engine. Note 
also that Sec.  1068.245 allows flexibility for additional time in 
unusual circumstances. Note finally that disassembly of complete engines 
and reassembly (such as for shipment) does not affect the determination 
of model year; the provisions of this paragraph (g) apply based on the 
date on which initial assembly is complete.
    (h) This paragraph (h) describes the effect of suspending, revoking, 
or voiding a certificate of conformity. See the definitions of 
``suspend,'' ``revoke,'' and ``void'' in Sec.  1068.30. Engines/
equipment produced at a time when the otherwise applicable certificate 
of conformity has been suspended or revoked are not covered by a 
certificate of conformity. Where a certificate of conformity is void, 
all engines/equipment produced under that certificate of conformity are 
not and were not covered by a certificate of conformity. In cases of 
suspension, engines/equipment will be covered by a certificate only if 
they are produced after the certificate is reinstated or a new 
certificate is issued. In cases of revocation and voiding, engines/
equipment will be covered by a certificate only if they are produced 
after we issue a new certificate. 42 U.S.C. 7522(a)(1) and Sec.  
1068.101(a)(1) prohibit selling, offering for sale, introducing into 
commerce, delivering for introduction into commerce, and importing 
engines/equipment that are not covered by a certificate of conformity, 
and they prohibit anyone from causing another to violate these 
prohibitions.
    (i) You may transfer a certificate to another entity only in the 
following cases:
    (1) You may transfer a certificate to a parent company, including a 
parent company that purchases your company after we have issued your 
certificate.
    (2) You may transfer a certificate to a subsidiary including a 
subsidiary you purchase after we have issued your certificate.
    (3) You may transfer a certificate to a subsidiary of your parent 
company.

[81 FR 74224, Oct. 25, 2016]



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 for sources subject to engine-based standards. See the 
standard-setting part for any requirements that apply for certain 
applications. See

[[Page 403]]

Sec.  1068.101 for penalties associated with violations under this 
section and for other prohibitions related to your equipment.
    (a) Transitioning to new engine-based standards. If new engine-based 
emission standards apply in a given model year, your equipment produced 
in that calendar year (or later) must have engines that are certified to 
the new standards, except that you may continue to use up normal 
inventories of engines that were built before the date of the new or 
changed standards. For purposes of this paragraph (a), normal inventory 
applies for engines you possess and engines from your engine supplier's 
normal inventory. (Note: this paragraph (a) does not apply in the case 
of new remanufacturing standards.) We may require you and your engine 
suppliers to provide us routine production and/or inventory records that 
document your normal practices for the preceding eight years. For 
example, if you have records documenting that 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 standards starts to 
apply for the 2015 model year, you may order engines consistent with 
your normal inventory requirements late in the engine manufacturer's 
2014 model year and install those engines in your equipment consistent 
with your normal production schedule. 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 completely 
assemble before January 1 of the year that new standards apply. If 
emission standards for the engine do not change in a given model year, 
you may continue to install engines from the previous model year without 
restriction (or any earlier model year for which the same standards 
apply). 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. Similarly, you may not circumvent the provisions of Sec.  
1068.101(a)(1) by knowingly installing engines that were stockpiled by 
engine suppliers in violation of Sec.  1068.103(f). Note that this 
allowance does not apply for equipment subject to equipment-based 
standards. See 40 CFR 1060.601 for similar provisions that apply for 
equipment subject to evaporative emission standards. Note that the 
standard-setting part may impose further restrictions on using up 
inventories of engines from an earlier model year under this paragraph 
(a).
    (b) Installing engines or certified components. The provisions in 
Sec.  1068.101(a)(1) generally prohibit you from introducing into U.S. 
commerce any new equipment that includes engines not covered by a 
certificate of conformity. In addition, 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. Similarly, you must follow 
the emission-related installation instructions from the manufacturer of 
a component that has been certified for controlling evaporative 
emissions under 40 CFR part 1060. Not meeting the manufacturer's 
emission-related installation instructions is a violation of one or more 
of the prohibitions of Sec.  1068.101. See Sec.  1068.261 for special 
provisions that apply when the engine manufacturer delegates final 
assembly of emission controls to you.
    (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 on 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 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 to a part needed for normal operation and not normally 
requiring replacement. Make sure an average person can

[[Page 404]]

easily read it. Note that attaching an inaccurate duplicate label may be 
a violation of Sec.  1068.101(b)(7).
    (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.

[73 FR 59344, Oct. 8, 2008, as amended at 75 FR 23062, Apr. 30, 2010; 81 
FR 74225, Oct. 25, 2016]



Sec.  1068.110  Other provisions for engines/equipment in service.

    (a) Aftermarket parts and service. As the certifying manufacturer, 
you may not require anyone to use your parts or service to maintain or 
repair an engine or piece of equipment, unless we approve this in your 
application for certification. It is a violation of the Clean Air Act 
for anyone to manufacture any 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 or equipment part, you may--but are not 
required to--certify according to 40 CFR part 85, subpart V, that using 
the part will not cause engines/equipment 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 components, 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 a component is not a defeat 
device, and that an engine/equipment 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 Clean Air Act for anyone to make, install or use defeat devices 
as described in Sec.  1068.101(b)(2) and the standard-setting part.
    (e) Warranty and maintenance. Owners are responsible for properly 
maintaining their engines/equipment; 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. Manufacturers may ask to limit diagnosis and repair to 
authorized service facilities, provided this does not limit their 
ability to meet their warranty obligations under Sec.  1068.115. The 
warranty period begins when the equipment is first placed into service. 
See the standard-setting part for specific requirements. It is a 
violation of the Clean Air Act for anyone to disable emission controls; 
see Sec.  1068.101(b)(1) and the standard-setting part.

[73 FR 59344, Oct. 8, 2008, as amended at 81 FR 74225, Oct. 25, 2016]



Sec.  1068.115  What are manufacturers' emission-related warranty requirements?

    Section 207(a) of the Clean Air Act (42 U.S.C. 7541(a)) requires 
certifying manufacturers to warrant to purchasers that their engines/
equipment 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/equipment are free from defects in materials 
and workmanship that would cause any engine/equipment 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

[[Page 405]]

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 the 
engine/equipment or the operator's use of the engine/equipment in a 
manner for which it was not designed and are not attributable to you in 
any way.
    (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/equipment 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/equipment 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 
equipment operates unless your written maintenance instructions state 
that this fuel would harm the equipment's emission control system and 
operators can readily find the proper fuel.



Sec.  1068.120  Requirements for rebuilding 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. For maintenance or service that 
is not rebuilding, including any maintenance related to evaporative 
emission controls, you may not make changes that might increase 
emissions of any regulated pollutant, but you do not need to keep any 
records.
    (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) [Reserved]
    (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, except as allowed by this paragraph (e). You may rebuild 
it to a different certified configuration of the same or later model 
year. You may also rebuild it to a certified configuration from an 
earlier

[[Page 406]]

model year as long as the earlier configuration is as clean or cleaner 
than the original configuration. For purposes of this paragraph (e), 
``as clean or cleaner'' means one of the following:
    (1) For engines not certified with a Family Emission Limit for 
calculating credits for a particular pollutant, this means that the same 
emission standard applied for both model years. This includes 
supplemental standards such as Not-to-Exceed standards.
    (2) For engines certified with a Family Emission Limit for a 
particular pollutant, this means that the configuration to which the 
engine is being rebuilt has a Family Emission Limit for that pollutant 
that is at or below the standard that applied to the engine originally, 
and is at or below the original Family Emission Limit.
    (f) A rebuilt engine or other used engine may replace a certified 
engine in a piece of equipment only if the engine was built and/or 
rebuilt to a certified configuration meeting equivalent or more 
stringent emission standards. Note that a certified configuration would 
generally include more than one model year. A rebuilt engine being 
installed that is from the same model year or a newer model year than 
the engine being replaced meets this requirement. The following examples 
illustrate the provisions of this paragraph (f):
    (1) In most cases, you may use a rebuilt Tier 2 engine to replace a 
Tier 1 engine or another Tier 2 engine.
    (2) You may use a rebuilt Tier 1 engine to replace a Tier 2 engine 
if the two engines differ only with respect to model year or other 
characteristics unrelated to emissions since such engines would be 
considered to be in the same configuration. This may occur if the Tier 1 
engine had emission levels below the Tier 2 standards or if the Tier 2 
engine was certified with a Family Emission Limit for calculating 
emission credits.
    (3) You may use a rebuilt engine that originally met the Tier 1 
standards without certification, as provided under Sec.  1068.265, to 
replace a certified Tier 1 engine. This may occur for engines produced 
under a Transition Program for Equipment Manufacturers such as that 
described in 40 CFR 1039.625.
    (4) You may never replace a certified engine with an engine rebuilt 
to a configuration that does not meet EPA emission standards. Note that, 
for purposes of this paragraph (f)(4), a configuration is considered to 
meet EPA emission standards if it was previously certified or was 
otherwise shown to meet emission standards (see Sec.  1068.265).
    (5) The standard-setting part may apply further restrictions to 
situations involving installation of used engines to repower equipment. 
For example, see 40 CFR part 1037 for provisions that apply for glider 
vehicles.
    (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 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 for all engines except 
spark-ignition engines with total displacement below 225 cc:
    (1) Identify the hours of operation (or mileage, as appropriate) at 
the time of rebuild. These may be noted as approximate values if the 
engine has no hour meter (or odometer).

[[Page 407]]

    (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 families rather than individual 
engines if that is the way you normally do business.

[73 FR 59344, Oct. 8, 2008, as amended at 75 FR 23062, Apr. 30, 2010; 81 
FR 74225, Oct. 25, 2016]



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 factors:
    (i) The seriousness of your violation.
    (ii) How much you benefited or saved because of the violation.
    (iii) The size of your business.
    (iv) Your history of compliance with Title II of the Clean Air 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 $356,312 
against you individually. This maximum penalty may be greater if the 
Administrator and the Attorney General jointly determine that a greater 
administrative penalty assessment is appropriate, or if the limit is 
adjusted under 40 CFR part 19. No court may review this determination. 
Before we assess an administrative penalty, you may ask for a hearing as 
described in subpart G of this part. The Administrator may compromise or 
remit, with or without conditions, any administrative penalty that may 
be imposed under this section.
    (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.

[[Page 408]]

    (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.

[73 FR 59344, Oct. 8, 2008, as amended at 75 FR 23062, Apr. 30, 2010; 81 
FR 74226, Oct. 25, 2016]



                   Subpart C_Exemptions and Exclusions



Sec.  1068.201  General exemption and exclusion provisions.

    We may exempt new engines/equipment from some or all of the 
prohibited acts or requirements of this part under provisions described 
in this subpart. We may exempt nonroad engines/equipment already placed 
in service in the United States from the prohibition in Sec.  
1068.101(b)(1) if the exemption for nonroad engines/equipment 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/equipment are excluded from some or all of the regulations in 
this chapter.
    (a) This subpart identifies which engines/equipment qualify for 
exemptions and what information we need. We may require more 
information.
    (b) If you violate any of the terms, conditions, instructions, or 
requirements to qualify for an exemption, we may void, revoke, or 
suspend the exemption.
    (c) If you use an exemption under this subpart, we may require you 
to add a permanent or removable label to your exempted engines/
equipment. You may ask us to modify these labeling requirements if it is 
appropriate for your engine/equipment.
    (d) If you produce engines/equipment 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.
    (e) If you own or operate engines/equipment 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/equipment you import (or intend to import).
    (g) If you want to ask for an exemption or need more information, 
write to the Designated Compliance Officer.
    (h) You may ask us to modify the administrative requirements for the 
exemptions described in this subpart or in subpart D of this part. 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/equipment that is prohibited by the exemption or 
exclusion, such as selling it, you need to certify the engine/equipment. 
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

[[Page 409]]

and pay the appropriate fee. Alternatively, we may allow you to include 
in an existing certified engine family those engines/equipment you 
modify (or otherwise demonstrate) to be identical to engines/equipment 
already covered by the certificate. We would base such an approval on 
our review of any appropriate documentation. These engines/equipment 
must have emission control information labels that accurately describe 
their status.

[73 FR 59344, Oct. 8, 2008, as amended at 74 FR 8428, Feb. 24, 2009; 81 
FR 74226, Oct. 25, 2016]



Sec.  1068.210  Exempting test engines/equipment.

    (a) We may exempt engines/equipment that you will use for research, 
investigations, studies, demonstrations, or training. Note that you are 
not required to get an exemption under this section for engines that are 
exempted under other provisions of this part, such as the manufacturer-
owned exemption in Sec.  1068.215.
    (b) Anyone may ask for a testing exemption.
    (c) If you are a certificate holder, you may request an exemption 
for engines/equipment you intend to include in test programs over a two-
year period.
    (1) In your request, tell us the maximum number of engines/equipment 
involved and describe how you will make sure exempted engines/equipment 
are used only for this testing. For example, if the exemption will 
involve other companies using your engines/equipment, describe your 
plans to track individual units so you can properly report on their 
final disposition.
    (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 the following 
things:
    (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/equipment 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/equipment operation 
associated with the test.
    (iv) Ownership and control of the engines/equipment involved in the 
test.
    (v) The intended final disposition of the engines/equipment.
    (vi) How you will identify, record, and make available the engine/
equipment 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 describing the basis and scope of the 
exemption. 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 label to all engines/equipment exempted under 
this section, consistent with Sec.  1068.45, with at least the following 
items:
    (i) The label heading ``EMISSION CONTROL INFORMATION''.
    (ii) Your corporate name and trademark.
    (iii) Engine displacement, family identification, and model year of 
the engine/equipment (as applicable), or whom to contact for further 
information.
    (iv) The statement: ``THIS [engine, equipment, vehicle, etc.] 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/equipment.

[76 FR 57488, Sept. 15, 2011, as amended at 81 FR 74226, Oct. 25, 2016]



Sec.  1068.215  Exempting manufacturer-owned engines/equipment.

    (a) You are eligible for this exemption for manufacturer-owned 
engines/equipment only if you are a certificate

[[Page 410]]

holder. Any engine for which you meet all applicable requirements under 
this section is exempt without request.
    (b) Engines/equipment may be exempt without a request if they are 
nonconforming engines/equipment under your ownership, possession, and 
control and you do not operate them for purposes other than to develop 
products, assess production methods, or promote your engines/equipment 
in the marketplace, or other purposes we approve. You may not loan, 
lease, sell, or use the engine/equipment to generate revenue, either by 
itself or for an engine installed in a piece of equipment, except as 
allowed by Sec.  1068.201(i). Note that this paragraph (b) does not 
prevent the sale or shipment of a partially complete engine to a 
secondary engine manufacturer that will meet the requirements of this 
paragraph (b). See Sec.  1068.262 for provisions related to shipping 
partially complete engines to secondary engine manufacturers.
    (c) To use this exemption, you must do three things:
    (1) Establish, maintain, and keep adequately organized and indexed 
information on all exempted engines/equipment, including the engine/
equipment identification number, the use of the engine/equipment on 
exempt status, and the final disposition of any engine/equipment removed 
from exempt status.
    (2) Let us access these records, as described in Sec.  1068.20.
    (3) Add a permanent label to all engines/equipment exempted under 
this section, consistent with Sec.  1068.45, with at least the following 
items:
    (i) The label heading ``EMISSION CONTROL INFORMATION''.
    (ii) Your corporate name and trademark.
    (iii) Family identification and model year of the engine/equipment 
(as applicable), or whom to contact for further information.
    (iv) The statement: ``THIS [engine, equipment, vehicle, etc.] IS 
EXEMPT UNDER 40 CFR 1068.210 OR 1068.215 FROM EMISSION STANDARDS AND 
RELATED REQUIREMENTS.''

[73 FR 59344, Oct. 8, 2008, as amended at 75 FR 23062, Apr. 30, 2010; 81 
FR 74226, Oct. 25, 2016]



Sec.  1068.220  Exempting display engines/equipment.

    (a) Anyone may request an exemption for display engines/equipment.
    (b) Nonconforming display engines/equipment will be exempted if they 
are used only for displays in the interest of a business or the general 
public. This exemption does not apply to engines/equipment 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/equipment, but only if we 
approve specific operation that is part of the display, or is necessary 
for the display (possibly including operation that is indirectly 
necessary for the display). We may consider any relevant factor in our 
approval process, including the extent of the operation, the overall 
emission impact, and whether the engine/equipment meets emission 
requirements of another country.
    (d) You may sell or lease the exempted engine/equipment only with 
our advance approval.
    (e) To use this exemption, you must add a permanent label to all 
engines/equipment exempted under this section, consistent with Sec.  
1068.45, with 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/equipment (as applicable), or whom to contact for further 
information.
    (4) The statement: ``THIS [engine, equipment, vehicle, etc.] IS 
EXEMPT UNDER 40 CFR 1068.220 FROM EMISSION STANDARDS AND RELATED 
REQUIREMENTS.''
    (f) We may set other conditions for approval of this exemption.

[81 FR 74226, Oct. 25, 2016]



Sec.  1068.225  Exempting engines/equipment for national security.

    The standards and requirements of the standard-setting part and the 
prohibitions in Sec.  1068.101(a)(1) and (b) do not apply to engines 
exempted under this section.

[[Page 411]]

    (a) An engine/equipment is exempt without a request if it will be 
owned by an agency of the Federal Government responsible for national 
defense and it meets at least one of the following criteria:
    (1) An engine is automatically exempt in cases where the equipment 
in which it will be installed has armor, permanently attached weaponry, 
or other substantial features typical of military combat. Similarly, 
equipment subject to equipment-based standards is automatically exempt 
if it has any of these same features.
    (2) In the case of marine vessels with compression-ignition engines, 
an engine is automatically exempt if the vessel in which it will be 
installed has specialized electronic warfare systems, unique stealth 
performance requirements, or unique combat maneuverability requirements.
    (3) Gas turbine engines installed in marine vessels are 
automatically exempt.
    (4) An engine/equipment is automatically exempt if it would need 
sulfur-sensitive technology to comply with emission standards, and it is 
intended to be used in areas outside the United States where ultra low-
sulfur fuel is unavailable.
    (b) For the circumstances described in paragraphs (a)(1) and (2) of 
this section, an engine/equipment is also exempt without a request if it 
will be used, but not owned, by an agency of the Federal Government 
responsible for national defense.
    (c) Manufacturers may produce and ship engines/equipment under an 
automatic exemption as described in paragraph (a) or (b) of this section 
if they receive a written request for such engines/equipment from the 
appropriate federal agency.
    (d) Manufacturers may request a national security exemption for 
engines/equipment not meeting the conditions of paragraphs (a) and (b) 
of this section as long as the request is endorsed by an agency of the 
Federal Government responsible for national defense. In your request, 
explain why you need the exemption.
    (e) Add a permanent label to all engines/equipment exempted under 
this section, consistent with Sec.  1068.45, with 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/equipment (as applicable), or whom to contact for further 
information.
    (4) The statement: ``THIS [engine, equipment, vehicle, etc.] HAS AN 
EXEMPTION FOR NATIONAL SECURITY UNDER 40 CFR 1068.225.''

[81 FR 74227, Oct. 25, 2016]



Sec.  1068.230  Exempting engines/equipment for export.

    The provisions of this section apply differently depending on the 
country to which the engines/equipment are being exported.
    (a) We will not exempt new engines/equipment if you export them to a 
country with emission standards identical to ours, in which case they 
must be covered by a certificate of conformity. Where we determine that 
such engines/equipment will not be placed into service in the United 
States, the following provisions apply for special export-only 
certification:
    (1) The engines/equipment must be covered by a certificate of 
conformity or equivalent approval issued by the destination country.
    (2) To get an export-only certificate of conformity, send the 
Designated Compliance Officer a request. We may require you to provide 
information such as documentation of the foreign certification and 
related test data.
    (3) No fees apply for export-only certification.
    (4) The engines/equipment must be labeled as specified in paragraph 
(d) of this section.
    (5) This export-only certificate is not considered a valid 
certificate of conformity with respect to the prohibition in Sec.  
1068.101(a)(1) for sale to ultimate purchasers in the United States. 
These engines/equipment also may not reenter the United States unless 
the regulations of this chapter otherwise allow it.
    (b) Engines/equipment exported to a country not covered by paragraph 
(a)

[[Page 412]]

of this section are exempt from the prohibited acts in this part without 
a request. If you produce exempt engines/equipment for export and any of 
them are sold or offered for sale to an ultimate purchaser in the United 
States, the exemption is automatically void for those engines/equipment, 
except as specified in Sec.  1068.201(i). You may operate engines/
equipment in the United States only as needed to prepare and deliver 
them for export.
    (c) Except as specified in paragraph (d) of this section, label 
exempted engines/equipment (including shipping containers if the label 
on the engine/equipment will be obscured by the container) with a label 
showing that they are not certified for sale or use in the United 
States. This label may be permanent or removable. See Sec.  1068.45 for 
provisions related to the use of removable labels and applying labels to 
containers without labeling individual engines/equipment. The label must 
include your corporate name and trademark and the following statement: 
``THIS [engine, equipment, vehicle, etc.] IS SOLELY FOR EXPORT AND IS 
THEREFORE EXEMPT UNDER 40 CFR 1068.230 FROM U.S. EMISSION STANDARDS AND 
RELATED REQUIREMENTS.''
    (1) ``THIS ENGINE IS SOLELY FOR EXPORT AND IS THEREFORE EXEMPT UNDER 
40 CFR 1068.230 FROM U.S. EMISSION STANDARDS AND RELATED REQUIREMENTS.''
    (2) ``THIS EQUIPMENT IS SOLELY FOR EXPORT AND IS THEREFORE EXEMPT 
UNDER 40 CFR 1068.230 FROM U.S. EMISSION STANDARDS AND RELATED 
REQUIREMENTS.''
    (d) You must apply a permanent label as specified in this paragraph 
(d) for engines/equipment certified under paragraph (a) of this section. 
You may apply a permanent label as specified in this paragraph (d) 
instead of the label specified in paragraph (c) of this section for 
exempted engines/equipment. Add a permanent label meeting the 
requirements of the destination country and include in the bill of 
lading a statement that the engines/equipment must be exported to avoid 
violating EPA regulations. We may modify applicable labeling 
requirements to align with the labeling requirements that apply for the 
destination country.
    (e) We may set other reasonable conditions to ensure that engines/
equipment exempted under this section are not placed into service in the 
United States.
    (f) Exemptions under this section expire once engines are no longer 
in the United States. Therefore exemptions under this section do not 
allow engines to be imported back into the United States.

[73 FR 59344, Oct. 8, 2008, as amended at 81 FR 74227, Oct. 25, 2016]



Sec.  1068.235  Exempting nonroad engines/equipment 
used solely for competition.

    The following provisions apply for nonroad engines/equipment, but 
not for motor vehicles or for stationary applications:
    (a) New nonroad engines/equipment you produce that are used solely 
for competition are excluded from emission standards. We may exempt 
(rather than exclude) new nonroad engines/equipment you produce that you 
intend to be used solely for competition, where we determine that such 
engines/equipment are unlikely to be used contrary to your intent. See 
the standard-setting parts for specific provisions where applicable. 
Note that the definitions in the standard-setting part may deem 
uncertified engines/equipment to be new upon importation.
    (b) If you modify any nonroad engines/equipment after they have been 
placed into service in the United States so they will be used solely for 
competition, they are exempt without request. This exemption applies 
only to the prohibitions in Sec.  1068.101(b)(1) and (2) and are valid 
only as long as the engine/equipment is used solely for competition. You 
may not use the provisions of this paragraph (b) to circumvent the 
requirements that apply to the sale of new competition engines under the 
standard-setting part.
    (c) If you modify any nonroad engines/equipment under paragraph (b) 
of this section, you must destroy the original emission labels. If you 
loan, lease, sell, or give any of these engines/equipment to someone 
else, you must

[[Page 413]]

tell the new owner (or operator, if applicable) in writing that they may 
be used only for competition.

[81 FR 74227, Oct. 25, 2016]



Sec.  1068.240  Exempting new replacement engines.

    The prohibitions in Sec.  1068.101(a)(1) do not apply to a new 
engine if it is exempt under this section as a replacement engine. For 
purposes of this section, a replacement engine is a new engine that is 
used to replace an engine that has already been placed into service 
(whether the previous engine is replaced in whole or in part with a new 
engine).
    (a) General provisions. You are eligible for the exemption for new 
replacement engines only if you are a certificate holder. Note that this 
exemption does not apply for locomotives (40 CFR 1033.601) and that 
unique provisions apply to marine compression-ignition engines (40 CFR 
1042.615).
    (1) Paragraphs (b), (c), and (d) of this section describe different 
approaches for exempting new replacement engines where the engines are 
specially built to correspond to an engine model from an earlier model 
year that was subject to less stringent standards than those that apply 
for current production (or is no longer covered by a certificate of 
conformity). You must comply with the requirements of paragraph (b) of 
this section for any number of replacement engines you produce in excess 
of what we allow under paragraph (c) of this section. You must designate 
engines you produce under this section as tracked engines under 
paragraph (b) of this section or untracked engines under paragraph (c) 
of this section by the deadline for the report specified in paragraph 
(c)(3) of this section.
    (2) Paragraph (e) of this section describes a simpler approach for 
exempting partially complete new replacement engines that are built 
under a certificate of conformity that is valid for producing engines 
for the current model year.
    (3) For all the different approaches described in paragraphs (b) 
through (e) of this section, the exemption applies only for equipment 
that is 40 years old or less at the time of installation.
    (b) Previous-tier replacement engines with tracking. You may produce 
any number of new engines to replace an engine already placed into 
service in a piece of equipment, as follows:
    (1) The engine being replaced must have been either not originally 
subject to emission standards or originally subject to less stringent 
emission standards than those that apply to a new engine meeting current 
standards. The provisions of this paragraph (b) also apply for engines 
that were originally certified to the same standards that apply for the 
current model year if you no longer have a certificate of conformity to 
continue producing that engine configuration.
    (2) The following requirements and conditions apply for engines 
exempted under this paragraph (b):
    (i) You must 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.
    (ii) In the case of premature engine failure, if the old engine was 
subject to emission standards, you must make the new replacement engine 
in a configuration identical in all material respects to the old engine 
and meet the requirements of Sec.  1068.265. You may alternatively make 
the new replacement engine in a configuration identical in all material 
respects to another certified engine of the same or later model year as 
long as the engine is not certified with a family emission limit higher 
than that of the old engine.
    (iii) For cases not involving premature engine failure, 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 engines of that power category are currently subject to Tier 3 
standards, you must also consider whether any Tier 1 or Tier 2 engines 
that you produce have the appropriate

[[Page 414]]

physical and performance characteristics for replacing the old engine; 
if you produce a Tier 2 engine with the appropriate physical and 
performance characteristics, you must use it as the replacement engine.
    (iv) You must keep records to document your basis for making the 
determinations in paragraphs (b)(2)(i) and (iii) of this section.
    (3) An old engine block replaced by a new engine exempted under this 
paragraph (b) may be reintroduced into U.S. commerce as part of an 
engine that meets either the current standards for new engines, the 
provisions for new replacement engines in this section, or another valid 
exemption. Otherwise, you must destroy the old engine block (or confirm 
that it has been destroyed), or export the engine block without its 
emission label.
    (4) If the old engine was subject to emission standards, the 
replacement engine must meet the appropriate emission standards as 
specified in Sec.  1068.265. This generally means you must make the new 
replacement engine in a previously certified configuration.
    (5) Except as specified in paragraph (d) of this section, you must 
add a permanent label, consistent with Sec.  1068.45, with your 
corporate name and trademark and the following additional information:
    (i) Add the following statement if the new engine may only be used 
to replace an engine that was not subject to any emission standards 
under this chapter:

    THIS REPLACEMENT ENGINE IS EXEMPT UNDER 40 CFR 1068.240. SELLING OR 
INSTALLING THIS ENGINE FOR ANY PURPOSE OTHER THAN TO REPLACE AN 
UNREGULATED ENGINE MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL 
PENALTY. THIS ENGINE MAY NOT BE INSTALLED IN EQUIPMENT THAT IS MORE THAN 
40 YEARS OLD AT THE TIME OF INSTALLATION.

    (ii) Add the following statement if the new engine may replace an 
engine that was subject to emission standards:

    THIS ENGINE COMPLIES WITH U.S. EPA EMISSION REQUIREMENTS FOR 
[Identify the appropriate emission standards (by model year, tier, or 
emission levels) for the replaced engine] ENGINES UNDER 40 CFR 1068.240. 
SELLING OR INSTALLING THIS ENGINE FOR ANY PURPOSE OTHER THAN TO REPLACE 
A [Identify the appropriate emission standards for the replaced engine, 
by model year(s), tier(s), or emission levels)] ENGINE MAY BE A 
VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTY. THIS ENGINE MAY NOT 
BE INSTALLED IN EQUIPMENT THAT IS MORE THAN 40 YEARS OLD AT THE TIME OF 
INSTALLATION.

    (6) Engines exempt under this paragraph (b) may not be introduced 
into U.S. commerce before you make the determinations under paragraph 
(b)(2) of this section, except as specified in this paragraph (b)(6). We 
may waive this restriction for engines excluded under paragraph (c)(5) 
of this section that you ship to a distributor. Where we waive this 
restriction, you must take steps to ensure that the engine is installed 
consistent with the requirements of this paragraph (b). For example, at 
a minimum you must report to us annually whether engines we allowed you 
to ship to a distributor under this paragraph (b)(6) have been placed 
into service or remain in inventory. After an engine is placed into 
service, your report must describe how the engine was installed 
consistent with the requirements of this paragraph (b). Send these 
reports to the Designated Compliance Officer by the deadlines we 
specify.
    (c) Previous-tier replacement engines without tracking. You may 
produce a limited number of new replacement engines that are not from a 
currently certified engine family under the provisions of this paragraph 
(c). If you produce new engines under this paragraph (c) to replace 
engines subject to emission standards, the new replacement engine must 
be in a configuration identical in all material respects to the old 
engine and meet the requirements of Sec.  1068.265. You may make the new 
replacement engine in a configuration identical in all material respects 
to another certified engine of the same or later model year as long as 
the engine is not certified with a family emission limit higher than 
that of the old engine. The provisions of this paragraph (c) also apply 
for engines that were originally certified to the same standards that 
apply for the current model year if you no longer have a certificate of 
conformity to continue producing that engine configuration. This would

[[Page 415]]

apply, for example, for engine configurations that were certified in an 
earlier model year but are no longer covered by a certificate of 
conformity. The following provisions apply to engines exempted under 
this paragraph (c):
    (1) You may produce a limited number of replacement engines under 
this paragraph (c) representing 0.5 percent of your annual production 
volumes for each category and subcategory of engines identified in Table 
1 to this section (1.0 percent through 2013). Calculate this number by 
multiplying your annual U.S.-directed production volume by 0.005 (or 
0.01 through 2013) and rounding to the nearest whole number. Determine 
the appropriate production volume by identifying the highest total 
annual U.S.-directed production volume of engines from the previous 
three model years for all your certified engines from each category or 
subcategory identified in Table 1 to this section, as applicable. In 
unusual circumstances, you may ask us to base your production limits on 
U.S.-directed production volume for a model year more than three years 
prior. You may include stationary engines and exempted engines as part 
of your U.S.-directed production volume. Include U.S.-directed engines 
produced by any affiliated companies and those from any other companies 
you license to produce engines for you.
    (2) Count every exempted new replacement engine from your total 
U.S.-directed production volume that you produce in a given calendar 
year under this paragraph (c), including partially complete engines, 
except for the following:
    (i) Engines built to specifications for an earlier model year under 
paragraph (b) of this section.
    (ii) Partially complete engines exempted under paragraph (e) of this 
section.
    (3) Send the Designated Compliance Officer a report by September 30 
of the year following any year in which you produced exempted 
replacement engines under this paragraph (c). In your report include the 
total number of replacement engines you produce under this paragraph (c) 
for each category or subcategory, as appropriate, and the corresponding 
total production volumes determined under paragraph (c)(1) of this 
section. If you send us a report under this paragraph (c)(3), you must 
also include the total number of replacement engines you produced under 
paragraphs (b), (d), and (e) of this section (including any replacement 
marine engines subject to reporting under 40 CFR 1042.615). Count exempt 
engines as tracked under paragraph (b) of this section only if you meet 
all the requirements and conditions that apply under paragraph (b) of 
this section by the due date for the annual report. You may include the 
information required under this paragraph (c)(3) in production reports 
required under the standard-setting part.
    (4) Add a permanent label as specified in paragraph (b)(5) of this 
section. For partially complete engines, you may alternatively add a 
permanent or removable label as specified in paragraph (d) of this 
section.
    (5) You may not use the provisions of this paragraph (c) for any 
engines in the following engine categories or subcategories:
    (i) Land-based nonroad compression-ignition engines we regulate 
under 40 CFR part 1039 with a per-cylinder displacement at or above 7.0 
liters.
    (ii) Marine compression-ignition engines we regulate under 40 CFR 
part 1042 with a per-cylinder displacement at or above 7.0 liters.
    (iii) Locomotive engines we regulate under 40 CFR part 1033.
    (d) Partially complete engines. The following requirements apply if 
you ship a partially complete replacement engine under this section:
    (1) Provide instructions specifying how to complete the engine 
assembly such that the resulting engine conforms to the applicable 
certificate of conformity or the specifications of Sec.  1068.265. Where 
a partially complete engine can be built into multiple different 
configurations, you must be able to identify all the engine models and 
model years for which the partially complete engine may properly be used 
for replacement purposes. Your instructions must make clear how the 
final assembler can determine which configurations are appropriate for 
the engine they receive.

[[Page 416]]

    (2) You must label the engine as follows:
    (i) If you have a reasonable basis to believe that the fully 
assembled engine will include the original emission control information 
label, you may add a removable label to the engine with your corporate 
name and trademark and the statement: ``This replacement engine is 
exempt under 40 CFR 1068.240.'' This would generally apply if all the 
engine models that are compatible with the replacement engine were 
covered by a certificate of conformity and they were labeled in a 
position on the engine or equipment that is not included as part of the 
partially complete engine being shipped for replacement purposes. 
Removable labels must meet the requirements specified in Sec.  1068.45.
    (ii) If you do not qualify for using a removable label in paragraph 
(d)(2)(i) of this section, you must add a permanent label in a readily 
visible location, though it may be obscured after installation in a 
piece of equipment. Include on the permanent label your corporate name 
and trademark, the engine's part number (or other identifying 
information), and the statement: ``THIS REPLACEMENT ENGINE IS EXEMPT 
UNDER 40 CFR 1068.240. THIS ENGINE MAY NOT BE INSTALLED IN EQUIPMENT 
THAT IS MORE THAN 40 YEARS OLD AT THE TIME OF INSTALLATION.'' If there 
is not enough space for this statement, you may alternatively add: 
``REPLACEMENT'' or ``SERVICE ENGINE.'' For purposes of this paragraph 
(d)(2), engine part numbers permanently stamped or engraved on the 
engine are considered to be included on the label.
    (e) Partially complete current-tier replacement engines. The 
provisions of paragraph (d) of this section apply for engines you 
produce from a current line of certified engines or vehicles if you ship 
them as partially complete engines for replacement purposes. This 
applies for engine-based and equipment-based standards as follows:
    (1) Where engine-based standards apply, you may introduce into U.S. 
commerce short blocks or other partially complete engines from a 
currently certified engine family as replacement components for in-use 
equipment powered by engines you originally produced. You must be able 
to identify all the engine models and model years for which the 
partially complete engine may properly be used for replacement purposes.
    (2) Where equipment-based standards apply, you may introduce into 
U.S. commerce engines that are identical to engines covered by a current 
certificate of conformity by demonstrating compliance with currently 
applicable standards where the engines will be installed as replacement 
engines. These engines might be fully assembled, but we would consider 
them to be partially complete engines because they are not yet installed 
in the equipment.
    (f) Emission credits. Replacement engines exempted under this 
section may not generate or use emission credits under the standard-
setting part nor be part of any associated credit calculations.

 Table 1 to Sec.   1068.240--Engine Categories and Subcategories for New
              Replacement Engines Exempted Without Tracking
------------------------------------------------------------------------
                                   Standard-setting         Engine
         Engine category               part \1\          subcategories
------------------------------------------------------------------------
Highway CI......................  40 CFR part 86....  disp. < 0.6 L/cyl.
                                                      0.6 <= disp. < 1.2
                                                       L/cyl.
                                                      disp. =
                                                       1.2 L/cyl.
Nonroad CI, Stationary CI, and    40 CFR part 1039,   disp. < 0.6 L/cyl.
 Marine CI.                        or 40 CFR part     0.6 <= disp. < 1.2
                                   1042.               L/cyl.
                                                      1.2 <= disp. < 2.5
                                                       L/cyl.
                                                      2.5 <= disp. < 7.0
                                                       L/cyl.
Marine SI.......................  40 CFR part 1045..  outboard.
                                                      personal
                                                       watercraft.
Large SI, Stationary SI, and      40 CFR part 1048    all engines.
 Marine SI (sterndrive/inboard     or 40 CFR part
 only).                            1045.
Recreational vehicles...........  40 CFR part 1051..  off-highway
                                                       motorcycle.
                                                      all-terrain
                                                       vehicle.
                                                      snowmobile.

[[Page 417]]

 
Small SI and Stationary SI......  40 CFR part 1054..  handheld.
                                                      Class I.
                                                      Class II.
------------------------------------------------------------------------
\1\ Include an engine as being subject to the identified standard-
  setting part if it will eventually be subject to emission standards
  under that part. For example, if you certify marine compression-
  ignition engines under part 94, count those as if they were already
  subject to part 1042.


[79 FR 7085, Feb. 6, 2014, as amended at 81 FR 74227, Oct. 25, 2016]



Sec.  1068.245  Temporary provisions addressing hardship 
due to unusual circumstances.

    (a) After considering the circumstances, we may permit you to 
introduce into U.S. commerce engines/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 
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) No other allowances are available under the regulations in this 
chapter to avoid the impending violation, including the provisions of 
Sec.  1068.250.
    (4) Not having the exemption will jeopardize the solvency of your 
company.
    (b) If your unusual circumstances are only related to compliance 
with the model-year provisions of Sec.  1068.103(f), we may grant 
hardship under this section without a demonstration that the solvency of 
your company is in jeopardy as follows:
    (1) You must demonstrate that the conditions specified in paragraphs 
(a)(1) through (3) of this section apply.
    (2) Your engines/equipment must comply with standards and other 
requirements that would have applied if assembly were completed on 
schedule.
    (3) You may generally request this exemption only for engines/
equipment for which assembly has been substantially completed; you may 
not begin assembly of any additional engines/equipment under this 
exemption after the cause for delay has occurred. We may make an 
exception to this general restriction for secondary engine 
manufacturers.
    (4) As an example, if your normal production process involves 
purchase of partially complete engines and a supplier fails to deliver 
all the ordered engines in time for your assembly according to your 
previously established schedule as a result of a fire at its factory, 
you may request that we treat those engine as if they had been completed 
on the original schedule. Note that we would grant relief only for those 
engines where you had a reasonable basis for expecting the engines to be 
delivered on time based on past performance and terms of purchase.
    (c) To apply for an exemption, you must send the Designated 
Compliance 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.
    (d) Include in your request a plan showing how you will meet all the 
applicable requirements as quickly as possible.
    (e) You must give us other relevant information if we ask for it.
    (f) 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 that you meet the 
standards from the previous tier whether or not your hardship is granted 
under paragraph (b) of this section.
    (g) Add a permanent label to all engines/equipment exempted under 
this

[[Page 418]]

section, consistent with Sec.  1068.45, with at least the following 
items:
    (1) The label heading ``EMISSION CONTROL INFORMATION''.
    (2) Your corporate name and trademark.
    (3) Engine displacement (in liters or cubic centimeters), and model 
year of the engine/equipment, (as applicable); or whom to contact for 
further information. We may also require that you include maximum engine 
power.
    (4) A statement describing the engine's status as an exempted 
engine:
    (i) If the engine/equipment does not meet any emission standards, 
add the following statement: ``THIS [engine, equipment, vehicle, etc.] 
IS EXEMPT UNDER 40 CFR 1068.245 FROM EMISSION STANDARDS AND RELATED 
REQUIREMENTS.''
    (ii) If the engines/equipment meet alternate emission standards as a 
condition of an exemption under this section, we may specify a different 
statement to identify the alternate emission standards.

[73 FR 59344, Oct. 8, 2008, as amended at 81 FR 74228, Oct. 25, 2016]



Sec.  1068.250  Extending compliance deadlines for small businesses 
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) You must be a small business to be eligible for this exemption.
    (c) Send the Designated Compliance Officer a written request for an 
extension as soon as possible before you are in violation. 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/equipment 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/equipment 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) [Reserved]
    (j) We may approve extensions of the compliance deadlines as 
reasonable under the circumstances up to one model year at a time, and 
up to three years total.
    (k) Add a permanent label to all engines/equipment exempted under 
this section, consistent with Sec.  1068.45, with at least the following 
items:
    (1) The label heading ``EMISSION CONTROL INFORMATION''.
    (2) Your corporate name and trademark.

[[Page 419]]

    (3) Engine displacement (in liters or cubic centimeters), and model 
year of the engine/equipment (as applicable); or whom to contact for 
further information. We may also require that you include maximum engine 
power.
    (4) A statement describing the engine's status as an exempted 
engine:
    (i) If the engine/equipment does not meet any emission standards, 
add the following statement:``THIS [engine, equipment, vehicle, etc.] IS 
EXEMPT UNDER 40 CFR 1068.250 FROM EMISSION STANDARDS AND RELATED 
REQUIREMENTS.''
    (ii) If the engine/equipment 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.

[73 FR 59344, Oct. 8, 2008, as amended at 81 FR 74228, Oct. 25, 2016]



Sec.  1068.255  Exempting engines and fuel-system components for hardship 
for equipment manufacturers and secondary engine manufacturers.

    This section describes how, in unusual circumstances, we may approve 
an exemption to prevent hardship to an equipment manufacturer or a 
secondary engine manufacturer. This section does not apply to products 
that are subject to equipment-based exhaust 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 a single interval up to 12 months in the first 
year that new or revised emission standards apply. Exemptions under this 
section are not limited to small businesses. Send the Designated 
Compliance 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 or fuel-system 
components you need for your own equipment, or if complying engines or 
fuel-system components are available from other 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 products 
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 or fuel-system components involved.
    (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 complying products.
    (4) Whether there was any breach of contract by a supplier.
    (5) The potential for market disruption.
    (b) Engine and fuel-system component exemption. As an engine 
manufacturer or fuel-system component manufacturer, you may produce 
nonconforming products for the equipment we exempt in paragraph (a) of 
this section. You do not have to request this exemption but you must 
have written assurance from equipment manufacturers that they need a 
certain number of exempted products under this section. Label engines or 
fuel-system components as follows, consistent with Sec.  1068.45:
    (1) Engines. Add a permanent label to all engines/equipment exempted 
under this section with at least the following items:
    (i) The label heading ``EMISSION CONTROL INFORMATION''.
    (ii) Your corporate name and trademark.
    (iii) Engine displacement (in liters or cubic centimeters) and model 
year of the engine, or whom to contact for further information. We may 
also require that you include maximum engine power.
    (iv) If the engine does not meet any emission standards: ``THIS 
ENGINE IS EXEMPT UNDER 40 CFR 1068.255 FROM EMISSION STANDARDS AND 
RELATED REQUIREMENTS.'' 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.
    (2) Fuel-system components. Add a permanent label to all engines/
equipment

[[Page 420]]

exempted under this section with at least the following items:
    (i) Your corporate name and trademark.
    (ii) The statement ``EXEMPT UNDER 40 CFR 1068.255''.
    (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, in the case of multiple tiers of emission standards, we may 
require you to meet the standards from the previous tier.
    (1) 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 approve an 
exemption under this section, we will generally require that you 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.
    (2) 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.

[73 FR 59344, Oct. 8, 2008, as amended at 81 FR 74228, Oct. 25, 2016]



Sec.  1068.260  General provisions for selling or shipping engines 
that are not yet in their certified configuration.

    Except as specified in paragraph (e) of this section, all new 
engines in the United States are presumed to be subject to the 
prohibitions of Sec.  1068.101, which generally require that all new 
engines be in a certified configuration before being sold, offered for 
sale, or introduced or delivered into commerce in the United States or 
imported into the United States. All emission-related components 
generally need to be installed on an engine for such an engine to be in 
its certified configuration. This section specifies clarifications and 
exemptions related to these requirements for engines. Except for 
paragraph (c) of this section, the provisions of this section generally 
apply for engine-based standards but not for equipment-based exhaust 
emission standards.
    (a) The provisions of this paragraph (a) apply for emission-related 
components that cannot practically be assembled before shipment because 
they depend on equipment design parameters.
    (1) You do not need an exemption to ship an engine that does not 
include installation or assembly of certain emission-related components 
if those components are shipped along with the engine. For example, you 
may generally ship aftertreatment devices along with engines rather than 
installing them on the engine before shipment. We may require you to 
describe how you plan to use this provision.
    (2) You may ask us at the time of certification for an exemption to 
allow you to ship your engines without emission-related components. If 
we allow this, we may specify conditions that we determine are needed to 
ensure that shipping the engine without such components will not result 
in the engine being operated outside of its certified configuration. You 
must identify unshipped parts by specific part numbers if they cannot be 
properly characterized by performance specification. For example, 
electronic control units, turbochargers, and EGR coolers must generally 
be identified by part number. Parts that we believe can be properly 
characterized by performance specification include air filters, 
noncatalyzed mufflers, and charge air coolers. See paragraph (d) of this 
section for additional provisions that apply in certain circumstances.
    (b) You do not need an exemption to ship engines without specific 
components if they are not emission-related components identified in 
Appendix I of

[[Page 421]]

this part. For example, you may generally ship engines without the 
following parts:
    (1) Radiators needed to cool the engine.
    (2) Exhaust piping between the engine and an aftertreatment device, 
between two aftertreatment devices, or downstream of the last 
aftertreatment device.
    (c) If you are a certificate holder, partially complete engines/
equipment shipped between two of your facilities are exempt, subject to 
the provisions of this paragraph (c), as long as you maintain ownership 
and control of the engines/equipment until they reach their destination. 
We may also allow this where you do not maintain actual ownership and 
control of the engines/equipment (such as hiring a shipping company to 
transport the engines) but only if you demonstrate that the engines/
equipment will be transported only according to your specifications. See 
Sec.  1068.261(b) for the provisions that apply instead of this 
paragraph (c) for the special case of integrated manufacturers using the 
delegated-assembly exemption. Notify us of your intent to use this 
exemption in your application for certification, if applicable. Your 
exemption is effective when we grant your certificate. You may 
alternatively request an exemption in a separate submission; for 
example, this would be necessary if you will not be the certificate 
holder for the engines in question. We may require you to take specific 
steps to ensure that such engines/equipment are in a certified 
configuration before reaching the ultimate purchaser. Note that since 
this is a temporary exemption, it does not allow you to sell or 
otherwise distribute to ultimate purchasers an engine/equipment in an 
uncertified configuration with respect to exhaust emissions. Note also 
that the exempted engine/equipment remains new and subject to emission 
standards (see definition of ``exempted'' in Sec.  1068.30) until its 
title is transferred to the ultimate purchaser or it otherwise ceases to 
be new.
    (d) See Sec.  1068.261 for delegated-assembly provisions in which 
certificate-holding manufacturers ship engines that are not yet equipped 
with certain emission-related components. See Sec.  1068.262 for 
provisions related to manufacturers shipping partially complete engines 
for which a secondary engine manufacturer holds the certificate of 
conformity.
    (e) Engines used in hobby vehicles are not presumed to be engines 
subject to the prohibitions of Sec.  1068.101. Hobby vehicles are 
reduced-scale models of vehicles that are not capable of transporting a 
person. Some gas turbine engines are subject to the prohibitions of 
Sec.  1068.101, but we do not presume that all gas turbine engines are 
subject to these prohibitions. Other engines that do not have a valid 
certificate of conformity or exemption when sold, offered for sale, or 
introduced or delivered into commerce in the United States or imported 
into the United States are presumed to be engines subject to the 
prohibitions of Sec.  1068.101 unless we determine that such engines are 
excluded from the prohibitions of Sec.  1068.101.
    (f) While we presume that new non-hobby engines are subject to the 
prohibitions of Sec.  1068.101, we may determine that a specific engine 
is not subject to these prohibitions based on information you provide or 
other information that is available to us. For example, the provisions 
of this part 1068 and the standard-setting parts provide for exemptions 
in certain circumstances. Also, some engines may be subject to separate 
prohibitions under subchapter C instead of the prohibitions of Sec.  
1068.101.

[81 FR 74228, Oct. 25, 2016]



Sec.  1068.261  Delegated assembly and other provisions related to engines 
not yet in the certified configuration.

    This section describes an exemption that allows certificate holders 
to sell or ship engines that are missing certain emission-related 
components if those components will be installed by an equipment 
manufacturer. This section does not apply to equipment subject to 
equipment-based standards. See the standard-setting part to determine 
whether and how the provisions of this section apply. (Note: See Sec.  
1068.262 for provisions related to manufacturers introducing into U.S. 
commerce partially complete engines for which someone

[[Page 422]]

else holds the certificate of conformity.) This exemption is temporary 
as described in paragraph (f) of this section.
    (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) subject to 
the provisions in this section. We may also require that you apply some 
or all of the provisions of this section for other components if we 
determine it is necessary to ensure that shipping the engine without 
such components will not result in the engine being operated outside of 
its certified configuration. In making this determination, we will 
consider the importance of the component for controlling emissions and 
the likelihood that equipment manufacturers will have an incentive to 
disregard your emission-related installation instructions based on any 
relevant factors, such as the cost of the component and any real or 
perceived expectation of a negative impact on engine or equipment 
performance.
    (b) If you manufacture engines and install them in equipment you 
also produce, you must take steps to ensure that your facilities, 
procedures, and production records are set up to ensure that equipment 
and engines are assembled in their proper certified configurations. For 
example, you may demonstrate compliance with the requirements of this 
section by maintaining a database showing how you pair aftertreatment 
components with the appropriate engines such that the final product is 
in its certified configuration.
    (c) If you include the price of all aftertreatment components in the 
price of the engine and ship the aftertreatment components directly to 
the equipment manufacturer, or arrange for separate shipment by the 
component manufacturer to the equipment manufacturer, all the following 
conditions apply:
    (1) Apply for and receive a certificate of conformity for the engine 
and its emission control system before shipment as described in the 
standard-setting part. For an existing certificate of conformity, amend 
the application for certification by describing your plans to use the 
provisions of this section as described in paragraph (c)(8) of this 
section.
    (2) Provide installation instructions in enough detail to ensure 
that the engine will be in its certified configuration if someone 
follows these instructions. Provide the installation instructions in a 
timely manner, generally directly after you receive an order for 
shipping engines or earlier. If you apply removable labels as described 
in paragraph (c)(7)(i) of this section, include an instruction for the 
equipment manufacturer to remove the label after installing the 
appropriate aftertreatment component.
    (3) Have a contractual agreement with the equipment manufacturer 
obligating the equipment manufacturer to complete the final assembly of 
the engine so it is in its certified configuration when final assembly 
is complete. This agreement must also obligate the equipment 
manufacturer to provide the affidavits required under paragraph (c)(4) 
of this section.
    (4) Take appropriate additional steps to ensure that all engines 
will be in a certified configuration when installed by the equipment 
manufacturer. At a minimum, you must obtain annual affidavits from every 
equipment manufacturer to which you sell engines under this section. 
Include engines that you sell to 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 and include confirmation that the number of aftertreatment 
devices received were sufficient for the number of engines involved.
    (5) [Reserved]
    (6) Keep records to document how many engines you produce under this 
exemption. Also, keep records to document your contractual agreements 
under paragraph (c)(3) of this section. Keep all these records for five 
years after the end of the applicable model year and make them available 
to us upon request.
    (7) Make sure the engine has the emission control information label 
we require under the standard-setting

[[Page 423]]

part. Include additional labeling using one of the following approaches:
    (i) Apply an additional removable label in a way that makes it 
unlikely that the engine will be installed in equipment other than in 
its certified configuration. The label must identify the engine as 
incomplete and include a clear statement that failing to install the 
aftertreatment device, or otherwise failing to bring the engine into its 
certified configuration, is a violation of federal law subject to civil 
penalty.
    (ii) Add the statement ``DELEGATED ASSEMBLY'' to the permanent 
emission control information label. You may alternatively add the 
abbreviated statement ``DEL ASSY'' if there is not enough room on the 
label.
    (8) 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 (d)(3) of this section, if applicable.
    (iii) All other steps you plan to take under paragraph (c)(4) of 
this section.
    (9) If one of your engines produced under this section is selected 
for production-line testing or a selective enforcement audit, you must 
arrange to get a randomly selected aftertreatment component from either 
the equipment manufacturer or the equipment manufacturer's supplier. You 
may keep an inventory of these randomly selected parts, consistent with 
good engineering judgment and the intent of this section. You may obtain 
such aftertreatment components from any point in the normal distribution 
from the aftertreatment component manufacturer to the equipment 
manufacturer. Keep records describing how you randomly selected these 
aftertreatment components, consistent with the requirements specified in 
the standard-setting part.
    (10) Note that for purposes of importation, you may itemize your 
invoice to identify separate costs for engines and aftertreatment 
components that will be shipped separately. A copy of your invoice from 
the aftertreatment manufacturer may be needed to avoid payment of 
importation duties for the engine that also include the value of 
aftertreatment components.
    (d) If you do not include the price of all aftertreatment components 
in the price of the engine, you must meet all the conditions described 
in paragraphs (c)(1) through (9) of this section, with the following 
additional provisions:
    (1) The contractual agreement described in paragraph (c)(3) of this 
section must include a commitment that the equipment manufacturer will 
do the following things:
    (i) Purchase the aftertreatment components you have specified in 
your application for certification and keep records to document these 
purchases.
    (ii) Cooperate with the audits described in paragraph (d)(3) of this 
section.
    (2) You must have written confirmation that the equipment 
manufacturer has ordered the appropriate type of aftertreatment 
components for an initial shipment of engines under this section. For 
the purpose of this paragraph (d)(2), initial shipment means the first 
shipment of engines that are subject to new or more stringent emissions 
standard (or the first shipment of engines using the provisions of this 
section) to a given equipment manufacturer for a given engine family. 
For the purpose of this paragraph (d)(2), you may treat as a single 
engine family those engine families from different model years that 
differ only with respect to model year or other characteristics 
unrelated to emissions. You must receive the written confirmation within 
30 days after shipment. If you do not receive written confirmation 
within 30 days, you may not ship any more engines from that engine 
family to that equipment manufacturer until you have the written 
confirmation. Note that it may be appropriate to obtain subsequent 
written confirmations to ensure compliance with this section, as 
described in paragraph (c)(4) of this section.
    (3) You must perform or arrange for audits of equipment 
manufacturers as follows:
    (i) If you sell engines to 16 or more equipment manufacturers under 
the provisions of this section, you must annually perform or arrange for 
audits of four equipment manufacturers to

[[Page 424]]

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 selected for auditing 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.
    (ii) If you sell engines to fewer than 16 equipment manufacturers 
under the provisions of this section, set up a plan to perform or 
arrange for audits of each equipment manufacturer on average once every 
four model years.
    (iii) Starting with the 2019 model year, if you sell engines to 
fewer than 40 equipment manufacturers under the provisions of this 
section, you may ask us to approve a reduced auditing rate. We may 
approve an alternate plan that involves audits of each equipment 
manufacturer on average once every ten model years as long as you show 
that you have met the auditing requirements in preceding years without 
finding noncompliance or improper procedures.
    (iv) To meet these audit requirements, you or your agent must at a 
minimum inspect the assembling companies' procedures and production 
records to monitor their compliance with your instructions, investigate 
some assembled engines, and confirm that the number of aftertreatment 
devices shipped were sufficient for the number of engines produced.
    (v) You must keep records of these audits for five years after the 
end of the applicable model year.
    (e) The following provisions apply if you ship engines without air 
filters or other portions of the air intake system that are specifically 
identified by part number (or other specific part reference) in the 
application for certification such that the shipped engine is not in its 
certified configuration. You do not need an exemption under this section 
to ship engines without air intake system components if you instead 
describe in your installation instructions how equipment manufacturers 
should use components meeting certain functional specifications.
    (1) If you are using the provisions of this section to ship an 
engine without aftertreatment, apply all the provisions of this section 
to ensure that each engine, including its intake system, is in its 
certified configuration before it reaches the ultimate purchaser.
    (2) If you are not using the provisions of this section to ship an 
engine without aftertreatment, shipping an engine without air-intake 
components that you have specified as part of its certified 
configuration will not be a violation of the prohibitions in Sec.  
1068.101(a) if you follow the provisions specified in paragraph (b) or 
paragraphs (c)(1) through (9) of this section. If we find there is a 
problem, we may require you to perform audits as specified in paragraph 
(d)(3) of this section.
    (f) Once the equipment manufacturer takes possession of an engine 
exempted under this section and the engine reaches the point of final 
equipment assembly, the exemption expires and the engine is subject to 
all the prohibitions in Sec.  1068.101. Note that the engine's model 
year does not change based on the date the equipment manufacturer adds 
the aftertreatment device and/or air filter under this section.
    (g) You may use the provisions of this section for engines you sell 
to a distributor as described in this paragraph (g) using one of the 
following approaches:
    (1) You may sell engines through a distributor if you comply with 
the provisions of paragraph (d) of this section with respect to the 
equipment manufacturer.
    (2) You may treat the distributor as the equipment manufacturer as 
described in this paragraph (g)(2) for all applicable requirements and 
prohibitions. Such distributors must bring engines into their final 
certified configuration. This may include shipping the engine with the 
appropriate aftertreatment device and/or air filter, but without 
completing the assembly with all the components. The exemptions expire 
for such engines when the distributor no longer has control of them.

[[Page 425]]

    (h) You must notify us within 15 days if you find from an audit or 
another source that engines produced under this section are not in a 
certified configuration at the point of final assembly or that an 
equipment manufacturer has otherwise failed to meet its obligations 
under this section. If this occurs, send us a report describing the 
circumstances related to the noncompliance within 75 days after you 
notify us.
    (i) We may suspend, revoke, or void an exemption under this section, 
as follows:
    (1) We may suspend or revoke your exemption for a specific equipment 
manufacturer if any of the engines are not in a certified configuration 
after installation in that manufacturer's equipment, or if we determine 
that the equipment manufacturer has otherwise failed to comply with the 
requirements of this section. We may also suspend or revoke your 
exemption for other engine families with respect to the equipment 
manufacturer unless you demonstrate that the noncompliance is limited to 
a specific engine family. You may not use this exemption for future 
shipments to the affected equipment manufacturer without taking action 
beyond the minimum steps specified in this section, such as performing 
on-site audits. We will approve further use of this exemption only if 
you convince us that you have adequately addressed the factors causing 
the noncompliance.
    (2) We may suspend or revoke your exemption for the entire engine 
family if we determine that you have failed to comply with the 
requirements of this section. If we make an adverse decision with 
respect to the exemption for any of your engine families under this 
paragraph (i), this exemption will not apply for future certificates 
unless you convince us that the factors causing the noncompliance do not 
apply to the other engine families. We may also set additional 
conditions beyond the provisions specified in this section.
    (3) 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. Note that all 
records and reports required under this section (whether generated by 
the engine manufacturer, equipment manufacturer, or others) are subject 
to the prohibition in Sec.  1068.101(a)(2), which prohibits the 
submission of false or incomplete information. For example, the 
affidavits required by this section are considered a submission.
    (j) You are liable for the in-use compliance of any engine that is 
exempt under this section.
    (k) It is a violation of Sec.  1068.101(a)(1) for any person to 
introduce into U.S. commerce a previously exempted engine, including as 
part of a piece of equipment, without complying fully with the 
installation instructions.

[73 FR 59344, Oct. 8, 2008, as amended at 75 FR 23064, Apr. 30, 2010; 81 
FR 74229, Oct. 25, 2016]



Sec.  1068.262  Shipment of engines to secondary engine manufacturers.

    This section specifies how manufacturers may introduce into U.S. 
commerce partially complete engines that have an exemption or a 
certificate of conformity held by a secondary engine manufacturer and 
are not yet in a certified configuration. See the standard-setting part 
to determine whether and how the provisions of this section apply. 
(Note: See Sec.  1068.261 for provisions related to manufacturers 
introducing into U.S. commerce partially complete engines for which they 
hold the certificate of conformity.) This exemption is temporary as 
described in paragraph (g) of this section.
    (a) The provisions of this section generally apply where the 
secondary engine manufacturer has substantial control over the design 
and assembly of emission controls. In unusual circumstances we may allow 
other secondary engine manufacturers to use these provisions. In 
determining whether a manufacturer has substantial control over the 
design and assembly of emission controls, we would consider the degree 
to which the secondary engine manufacturer would be able to ensure that 
the engine will conform to the regulations in its final configuration. 
Such secondary engine manufacturers may finish assembly of partially 
complete engines in the following cases:
    (1) You obtain an engine that is not fully assembled with the intent 
to manufacture a complete engine.

[[Page 426]]

    (2) You obtain an engine with the intent to modify it before it 
reaches the ultimate purchaser.
    (3) You obtain an engine with the intent to install it in equipment 
that will be subject to equipment-based standards.
    (b) Manufacturers may introduce into U.S. commerce partially 
complete engines as described in this section if they have a written 
request for such engines from a secondary engine manufacturer that has 
certified the engine and will finish the engine assembly. The written 
request must include a statement that the secondary engine manufacturer 
has a certificate of conformity for the engine and identify a valid 
engine family name associated with each engine model ordered (or the 
basis for an exemption if applicable, as specified in paragraph (e) of 
this section). The original engine manufacturer must apply a removable 
label meeting the requirements of Sec.  1068.45 that identifies the 
corporate name of the original manufacturer and states that the engine 
is exempt under the provisions of Sec.  1068.262. The name of the 
certifying manufacturer must also be on the label or, alternatively, on 
the bill of lading that accompanies the engines during shipment. The 
original engine manufacturer may not apply a permanent emission control 
information label identifying the engine's eventual status as a 
certified engine.
    (c) If you are the secondary engine manufacturer and you will hold 
the certificate, you must include the following information in your 
application for certification:
    (1) Identify the original engine manufacturer of the partially 
complete engine or of the complete engine you will modify.
    (2) Describe briefly how and where final assembly will be completed. 
Specify how you have the ability to ensure that the engines will conform 
to the regulations in their final configuration. (Note: Paragraph (a) of 
this section prohibits using the provisions of this section unless you 
have substantial control over the design and assembly of emission 
controls.)
    (3) State unconditionally that you will not distribute the engines 
without conforming to all applicable regulations.
    (d) If you are a secondary engine manufacturer and you are already a 
certificate holder for other families, you may receive shipment of 
partially complete engines after you apply for a certificate of 
conformity but before the certificate's effective date. In this case, 
all the provisions of Sec.  1068.103(c)(1) through (3) apply. This 
exemption allows the original manufacturer to ship engines after you 
have applied for a certificate of conformity. Manufacturers may 
introduce into U.S. commerce partially complete engines as described in 
this paragraph (d) if they have a written request for such engines from 
a secondary engine manufacturer stating that the application for 
certification has been submitted (instead of the information we specify 
in paragraph (b) of this section). We may set additional conditions 
under this paragraph (d) to prevent circumvention of regulatory 
requirements. Consistent with Sec.  1068.103(c), we may also revoke an 
exemption under this paragraph (d) if we have reason to believe that the 
application for certification will not be approved or that the engines 
will otherwise not reach a certified configuration before reaching the 
ultimate purchaser. This may require that you export the engines.
    (e) The provisions of this section also apply for shipping partially 
complete engines if the engine is covered by a valid exemption and there 
is no valid engine family name that could be used to represent the 
engine model. Unless we approve otherwise in advance, you may do this 
only when shipping engines to secondary engine manufacturers that are 
certificate holders. In this case, the secondary engine manufacturer 
must identify the regulatory cite identifying the applicable exemption 
instead of a valid engine family name when ordering engines from the 
original engine manufacturer.
    (f) If secondary engine manufacturers determine after receiving an 
engine under this section that the engine will not be covered by a 
certificate or exemption as planned, they may ask us to allow for 
shipment of the engines back to the original engine manufacturer or to 
another secondary engine

[[Page 427]]

manufacturer. This might occur in the case of an incorrect shipment or 
excess inventory. We may modify the provisions of this section as 
appropriate to address these cases.
    (g) Both original and secondary engine manufacturers must keep the 
records described in this section for at least five years, including the 
written request for engines and the bill of lading for each shipment (if 
applicable). The written request is deemed to be a submission to EPA and 
is thus subject to the reporting requirements of Sec.  1068.101(a)(2).
    (h) These provisions are intended only to allow secondary engine 
manufacturers to obtain or transport engines in the specific 
circumstances identified in this section so any exemption under this 
section expires when the engine reaches the point of final assembly 
identified in paragraph (c)(2) of this section.
    (i) For purposes of this section, an allowance to introduce 
partially complete engines into U.S. commerce includes a conditional 
allowance to sell, introduce, or deliver such engines into commerce in 
the United States or import them into the United States. It does not 
include a general allowance to offer such partially complete engines for 
sale because this exemption is intended to apply only for cases in which 
the certificate holder already has an arrangement to purchase the 
engines from the original engine manufacturer. This exemption does not 
allow the original engine manufacturer to subsequently offer the engines 
for sale to a different manufacturer who will hold the certificate 
unless that second manufacturer has also complied with the requirements 
of this part. The exemption does not apply for any individual engines 
that are not labeled as specified in this section or which are shipped 
to someone who is not a certificate holder.
    (j) We may suspend, revoke, or void an exemption under this section, 
as follows:
    (1) We may suspend or revoke your exemption if you fail to meet the 
requirements of this section. We may suspend or revoke an exemption 
related to a specific secondary engine manufacturer if that manufacturer 
sells engines that are in not in a certified configuration in violation 
of the regulations. We may disallow this exemption for future shipments 
to the affected secondary engine manufacturer or set additional 
conditions to ensure that engines will be assembled in the certified 
configuration.
    (2) We may void an exemption for all the affected engines if you 
intentionally submit false or incomplete information or fail to keep and 
provide to EPA the records required by this section.
    (3) The exemption is void for an engine that is shipped to a company 
that is not a certificate holder or for an engine that is shipped to a 
secondary engine manufacturer that is not in compliance with the 
requirements of this section.
    (4) The secondary engine manufacturer may be liable for causing a 
prohibited act if voiding the exemption is due to its own actions.
    (k) No exemption is needed to import equipment that does not include 
an engine. No exemption from exhaust emission standards is available 
under this section for equipment subject to equipment-based standards if 
the engine has been installed.

[81 FR 74229, Oct. 25, 2016]



Sec.  1068.265  Provisions for engines/equipment conditionally 
exempted from certification.

    In some cases, exempted engines may need to meet alternate emission 
standards as a condition of the exemption. For example, replacement 
engines exempted under Sec.  1068.240 in many cases need to meet the 
same standards as the engines they are replacing. The standard-setting 
part may similarly exempt engines/equipment from all certification 
requirements, or allow us to exempt engines/equipment from all 
certification requirements for certain cases, but require the engines/
equipment to meet alternate standards. In these cases, all the following 
provisions apply:
    (a) Your engines/equipment must meet the alternate standards we 
specify in (or pursuant to) the exemption section, and all other 
requirements applicable to engines/equipment that are subject to such 
standards.

[[Page 428]]

    (b) You need not apply for and receive a certificate for the exempt 
engines/equipment. However, you must comply with all the requirements 
and obligations that would apply to the engines/equipment 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/equipment using 
the appropriate procedures that demonstrate compliance with the 
alternate standards unless the engines/equipment are identical in all 
material respects to engines/equipment that you have previously 
certified to standards that are the same as, or more stringent than, the 
alternate standards. Note that ``engines/equipment that you have 
previously certified'' does not include any engines/equipment initially 
covered by a certificate that was later voided or otherwise invalidated, 
or engines/equipment that we have determined did not fully conform to 
the regulations.
    (d) See the provisions of the applicable exemption for labeling 
instructions, including those related to the compliance statement and 
other modifications to the label otherwise required in the standard-
setting part. If we do not identify specific labeling requirements for 
an exempted engine, you must meet the labeling requirements in the 
standard-setting part, with the following exceptions:
    (1) Modify the family designation by eliminating the character that 
identifies the model year.
    (2) We may also specify alternative language to replace the 
compliance statement otherwise required in the standard-setting part.
    (e) You may not generate emission credits for averaging, banking, or 
trading with engines/equipment 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/equipment are identical to previously 
certified engines/equipment, keep your most recent application for 
certification for the certified family.
    (2) If you previously certified a similar family, but have modified 
the exempted engines/equipment in a way that changes them from their 
previously certified configuration, keep your most recent application 
for certification for the certified 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 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/
equipment you produce under this section.



                            Subpart D_Imports



Sec.  1068.301  General provisions for importing engines/equipment.

    (a) This subpart applies to you if you import into the United States 
engines or equipment subject to EPA emission standards or equipment 
containing engines subject to EPA emission standards.
    (b) In general, engines/equipment 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/equipment. If 
an engine has an exemption from exhaust emission standards, this allows 
you to import the equipment under the same exemption.
    (c) U.S. Customs and Border Protection may prevent you from 
importing engines or equipment if you do not meet the requirements of 
this subpart. In addition, U.S. Customs and Border Protection 
regulations may contain other requirements for engines/equipment 
imported into the United States (see 19 CFR Chapter I).
    (d) Complete the appropriate EPA declaration before importing any 
engines or equipment. These forms may be submitted and stored 
electronically and are available on the Internet at http://www.epa.gov/
OTAQ/imports/ or by phone at 734-214-4100. Importers must keep these 
records for five years and make them available promptly upon request.

[[Page 429]]

    (e) The standard-setting part may define uncertified engines/
equipment to be ``new'' upon importation, whether or not they have 
already been placed into service. This may affect how the provisions of 
this subpart apply for your engines/equipment. (See the definition of 
``new'' and other relevant terms in the standard-setting part.)

[73 FR 59344, Oct. 8, 2008, as amended at 81 FR 74231, Oct. 25, 2016]



Sec.  1068.305  How do I get an exemption or exclusion 
for imported engines/equipment?

    (a) You must meet the requirements of the specific exemption or 
exclusion you intend to use, including any labeling requirements that 
apply, and complete the appropriate declaration form described in Sec.  
1068.301(d).
    (b) If we ask for it, prepare a written request in which you do the 
following:
    (1) Give your name, address, and telephone number.
    (2) Give the engine/equipment owner's name, address, and telephone 
number.
    (3) Identify the make, model, identification number, and original 
production year of all engines/equipment.
    (4) Identify which exemption or exclusion in this subpart allows you 
to import nonconforming engines/equipment and describe how your engine/
equipment qualifies.
    (5) Tell us where you will keep your engines/equipment if you might 
need to store them until we approve your request.
    (6) Authorize us to inspect or test your engines/equipment as the 
Clean Air Act allows.
    (c) We may ask for more information.
    (d) You may import the nonconforming engines/equipment you identify 
in your request if you get prior written approval from us. U.S. Customs 
and Border Protection may require you to present the approval letter. We 
may temporarily or permanently approve the exemptions or exclusions, as 
described in this subpart.

[73 FR 59344, Oct. 8, 2008, as amended at 81 FR 74231, Oct. 25, 2016]



Sec.  1068.310  Exclusions for imported engines/equipment.

    If you show us that your engines/equipment qualify under one of the 
paragraphs of this section, we will approve your request to import such 
excluded engines/equipment. You must have our approval before importing 
engines/equipment under paragraph (a) of this section. You may, but are 
not required to request our approval to import the engines/equipment 
under paragraph (b) through (c) of this section. The following engines/
equipment are excluded:
    (a) Nonroad engines/equipment used solely for competition. Nonroad 
engines/equipment 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 that may 
apply. Section 1068.101(b)(4) prohibits anyone from using these excluded 
engines/equipment for purposes other than competition. We may waive the 
labeling requirement or allow a removable label for engines/equipment 
that are being temporarily imported for one or more specific competition 
events.
    (b) Stationary engines. The definition of nonroad engine in Sec.  
1068.30 does not include certain engines used in stationary 
applications. Such engines (and equipment containing 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 are 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 and there is clear and convincing evidence that each 
engine will be used in a stationary application (see paragraph (2)(iii) 
of the definition of ``Nonroad engine''). 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) Hobby engines. The standard-setting parts exclude engines used 
in reduced-scale models of vehicles that are not capable of transporting 
a person.

[[Page 430]]

    (d) Other engines/equipment. The standard-setting parts may exclude 
engines/equipment used in certain applications. For example, engines 
used in aircraft are generally excluded. Engines/equipment used in 
underground mining are excluded if they are regulated by the Mine Safety 
and Health Administration.
    (e) Labeling. For engines/equipment imported under paragraph (a) or 
(b) of this section, you must add a permanent label, consistent with 
Sec.  1068.45, with at least the following items unless the standard-
setting part includes other specific labeling requirements or we approve 
alternate label language that is more accurate for your engine/
equipment:
    (1) Include the heading ``EMISSION CONTROL INFORMATION''.
    (2) Include your full corporate name and trademark.
    (3) State the engine displacement (in liters or cubic centimeters). 
We may also require that you include maximum engine power. If the 
engine's power is not established, state the approximate power.
    (4) State: ``THIS ENGINE IS EXEMPT FROM THE REQUIREMENTS OF 
[identify the part referenced in Sec.  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.''

[73 FR 59344, Oct. 8, 2008, as amended at 81 FR 74231, Oct. 25, 2016]



Sec.  1068.315  Permanent exemptions for imported engines/equipment.

    We may approve a permanent exemption from the restrictions on 
imports under Sec.  1068.301(b) under the following conditions:
    (a) National security exemption. You may import an engine or piece 
of equipment under the national security exemption in Sec.  1068.225, 
but only if it is properly labeled.
    (b) Manufacturer-owned engine/equipment exemption. You may import 
manufacturer-owned engines/equipment, 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 a family we regulate 
under the same part as the replacement engine.
    (d) Extraordinary circumstances exemption. You may import a 
nonconforming engine or piece of equipment if we grant hardship relief 
as described in Sec.  1068.245.
    (e) Small-volume manufacturer exemption. You may import a 
nonconforming engine or piece of equipment 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) [Reserved]
    (h) Identical configuration exemption. Unless specified otherwise in 
the standard-setting part, you may import nonconforming engines/
equipment if they are identical to certified engines/equipment produced 
by the same manufacturer, subject to the following provisions:
    (1) You must meet all the following criteria:
    (i) You have owned the engines/equipment for at least six months.
    (ii) You agree not to sell, lease, donate, trade, or otherwise 
transfer ownership of the engines/equipment for at least five years. 
During this period, the only acceptable way to dispose of the engines/
equipment is to destroy or export them.
    (iii) You use data or evidence sufficient to show that the engines/
equipment are in a configuration that is identical to engines/equipment 
the original manufacturer has certified to meet emission standards that 
apply at the time the manufacturer finished assembling or modifying the 
engines/equipment in question. If you modify the engines/equipment to 
make them identical, you must completely follow the original 
manufacturer's written instructions.
    (2) We will tell you in writing if we find the information 
insufficient to

[[Page 431]]

show that the engines/equipment are eligible for this exemption. In this 
case, we will not consider your request further until you address our 
concerns.
    (i) Ancient engine/equipment exemption. If you are not the original 
engine/equipment manufacturer, you may import nonconforming engines/
equipment that are subject to a standard-setting part and were first 
manufactured at least 21 years earlier, as long as they are still 
substantially in their original configurations.

[73 FR 59344, Oct. 8, 2008, as amended at 81 FR 74231, Oct. 25, 2016]



Sec.  1068.325  Temporary exemptions for imported engines/equipment.

    You may import engines/equipment under certain temporary exemptions, 
subject to the conditions in this section. We may ask U.S. Customs and 
Border Protection 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/equipment while it is in the United States except 
as specified in this section or Sec.  1068.201(i). You must eventually 
export the engine/equipment as we describe in this section unless it 
conforms to a certificate of conformity or it qualifies for one of the 
permanent exemptions in Sec.  1068.315 or the standard-setting part.
    (a) Exemption for repairs or alterations. You may temporarily import 
nonconforming engines/equipment under bond solely for repair or 
alteration, subject to our advance approval as described in paragraph 
(j) of this section. You may operate the engine/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/equipment directly after 
servicing is complete, or confirm that it has been destroyed.
    (b) Testing exemption. You may temporarily import nonconforming 
engines/equipment under bond for testing if you follow the requirements 
of Sec.  1068.210, subject to our advance approval as described in 
paragraph (j) of this section. You may operate the engines/equipment in 
the United States only as needed to perform tests. This exemption 
expires one year after you import the engine/equipment unless we approve 
an extension. The engine/equipment must be exported before the exemption 
expires. You may sell or lease the engines/equipment consistent with the 
provisions of Sec.  1068.210.
    (c) Display exemption. You may temporarily import nonconforming 
engines/equipment under bond for display if you follow the requirements 
of Sec.  1068.220, subject to our advance approval as described in 
paragraph (j) of this section. This exemption expires one year after you 
import the engine/equipment, unless we approve your request for an 
extension. The engine/equipment must be exported (or destroyed) by the 
time the exemption expires or directly after the display concludes, 
whichever comes first.
    (d) Export exemption. You may temporarily import nonconforming 
engines/equipment to export them, as described in Sec.  1068.230. Label 
the engine/equipment as described in Sec.  1068.230. You may sell or 
lease the engines/equipment for operation outside the United States 
consistent with the provisions of Sec.  1068.230.
    (e) Diplomatic or military exemption. You may temporarily import 
nonconforming engines/equipment without bond if you represent a foreign 
government in a diplomatic or military capacity. In your request to the 
Designated Compliance 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/equipment.
    (f) Delegated-assembly exemption. You may import a nonconforming 
engine for final assembly under the provisions of Sec.  1068.261. You 
may sell or lease the engines/equipment consistent with the provisions 
of Sec.  1068.261.
    (g) Exemption for partially complete engines. You may import an 
engine if another company already has a certificate of conformity and 
will be modifying the engine to be in its final certified configuration 
or a final exempt configuration under the provisions of

[[Page 432]]

Sec.  1068.262. You may also import a partially complete engine by 
shipping it from one of your facilities to another under the provisions 
of Sec.  1068.260(c). If you are importing a used engine that becomes 
new as a result of importation, you must meet all the requirements that 
apply to original engine manufacturers under Sec.  1068.262. You may 
sell or lease the engines consistent with the provisions of Sec.  
1068.262.
    (h)-(i) [Reserved]
    (j) Approvals. For the exemptions in this section requiring our 
approval, you must send a request to the Designated Compliance Officer 
before importing the engines/equipment. We will approve your request if 
you meet all the applicable requirements and conditions. If another 
section separately requires that you request approval for the exemption, 
you may combine the information requirements in a single request. 
Include the following information in your request:
    (1) Identify the importer of the engine/equipment and the applicable 
postal address, e-mail address, and telephone number.
    (2) Identify the engine/equipment owner and the applicable postal 
address, e-mail address, and telephone number.
    (3) Identify the engine/equipment by model number (or name), serial 
number, and original production year.
    (4) Identify the specific regulatory provision under which you are 
seeking an exemption.
    (5) Acknowledge that EPA enforcement officers may conduct 
inspections or testing as allowed under the Clean Air Act.
    (6) Include any additional information we specify for demonstrating 
that you qualify for the exemption.

[76 FR 57489, Sept. 15, 2011; 81 FR 74231, Oct. 25, 2016]



Sec.  1068.335  Penalties for violations.

    (a) All imported engines/equipment. Unless you comply with the 
provisions of this subpart, importation of nonconforming engines/
equipment violates sections 203 and 213(d) of the Clean Air Act (42 
U.S.C. 7522 and 7547(d)). You may then have to export the engines/
equipment, pay civil penalties, or both. U.S. Customs and Border 
Protection may seize unlawfully imported engines and equipment.
    (b) Temporarily imported engines/equipment. If you do not comply 
with the provisions of this subpart for a temporary exemption under 
Sec.  1068.325, 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 or piece of equipment to be exported if it has been 
destroyed or delivered to U.S. Customs and Border Protection for export 
or other disposition under applicable Customs laws and regulations. EPA 
or U.S. Customs and Border Protection may offer you a grace period to 
allow you to export temporarily exempted engines/equipment without 
penalty after the exemption expires.



Sec.  1068.360  Restrictions for assigning a model year 
to imported engines and equipment.

    This section includes limitations on assigning a model year to 
engines and equipment that are imported in a year later than the model 
year in which they were manufactured, except as specified in paragraph 
(e) of this section.
    (a) The term ``model year'' is defined in each of the standard-
setting parts. These definitions may vary slightly to address the 
different categories of engines and equipment. Except as specified in 
paragraphs (b) and (c) of this section, the emission standards and other 
emission-related requirements that apply for an imported engine or piece 
of equipment are determined by the model year as defined in the 
applicable standard-setting part and the provisions of 40 CFR 
1068.105(a).
    (b) This paragraph (b) applies for the importation of engines and 
equipment that have not been placed into service, where the importation 
occurs in any calendar year that is more than one year after the named 
model year of the engine or equipment when emission control requirements 
applying to current engines are different than for engines or equipment 
in the named model year, unless they are imported under special 
provisions for Independent Commercial Importers as allowed under the 
standard-setting part. Regardless of what other provisions of

[[Page 433]]

this subchapter U specify for the model year of the engine or equipment, 
such engines and equipment are deemed to have an applicable model year 
no more than one year earlier than the calendar year in which they are 
imported. For example, a new engine identified as a 2007 model-year 
product that is imported on January 31, 2010 will be treated as a 2009 
model-year engine; the same engine will be treated as a 2010 model-year 
engine if it is imported any time in calendar year 2011.
    (c) If you claim that an engine or piece of equipment is not subject 
to standards--or is subject to standards less stringent than those 
currently in place--based on its original manufacture date because it 
has already been placed into service, you must provide clear and 
convincing evidence that it has already been placed into service. Such 
evidence must generally include, but not be limited to, documentary 
evidence of purchase and maintenance history and visible wear that is 
consistent with the reported manufacture date. Importing products for 
resale or importing more than one engine or piece of equipment at a time 
would generally require a greater degree of evidence under this 
paragraph (c). If you do not satisfactorily demonstrate that the engine 
or equipment has already been placed into service, the provisions of 
paragraph (b) of this section apply.
    (d) Nothing in this section should be interpreted to allow 
circumvention of the requirements of this part by mis-stating or mis-
labeling the model year of engines or equipment. For example, this 
section does not permit engines imported in the same year that they are 
manufactured to be treated as an engine manufactured in the previous 
year. To verify compliance with the provisions of this section, we may 
require you to verify the original manufacture date of the engine or 
equipment based on manufacturing records, title-transfer documents, 
service records, or other documentation.
    (e) If all the current emission control requirements are the same as 
in the named model year, the provisions of this section do not apply.

[73 FR 59344, Oct. 8, 2008, as amended at 81 FR 74232, Oct. 25, 2016]



                Subpart E_Selective Enforcement Auditing



Sec.  1068.401  What is a selective enforcement audit?

    (a) We may conduct or require you as a certificate holder to conduct 
emission tests on production engines/equipment in a selective 
enforcement audit. This requirement is independent of any requirement 
for you to routinely test production-line engines/equipment. Where there 
are multiple entities meeting the definition of manufacturer, we may 
require manufacturers other than the certificate holder to conduct or 
participate in the audit as necessary. For products subject to 
equipment-based standards, but tested using engine-based test 
procedures, this subpart applies to the engines and/or the equipment, as 
applicable. Otherwise this subpart applies to engines for products 
subject to engine-based standards and to equipment for products subject 
to equipment-based standards.
    (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/equipment. This may be where you produce the engines/
equipment or any other emission testing facility. You are responsible 
for all testing costs whether the testing is conducted at your facility 
or another facility.
    (c) If we select one or more of your 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 
Compliance Officer within one working day of receiving the test order 
where you will test your engines/equipment.
    (e) You must do everything we require in the audit without delay. We 
may suspend or revoke your certificate of conformity for the affected 
engine families if you do not fulfill your obligations under this 
subpart.

[81 FR 74232, Oct. 25, 2016]



Sec.  1068.405  What is in a test order?

    (a) In the test order, we will specify the following things:

[[Page 434]]

    (1) The family we have identified for testing. We may also specify 
individual configurations.
    (2) The engine/equipment assembly plant, storage facility, or (if 
you import the engines/equipment) port facility from which you must 
select engines/equipment.
    (3) The procedure for selecting engines/equipment for testing, 
including a selection rate.
    (4) The test procedures, duty cycles, and test points, as 
appropriate, for testing the engines/equipment to show that they meet 
emission standards.
    (b) We may state that we will select the test engines/equipment.
    (c) We may identify alternate families or configurations for testing 
in case we determine the intended engines/equipment are not available 
for testing or if you do not produce enough engines/equipment to meet 
the minimum rate for selecting test engines/equipment.
    (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/equipment (closed crankcases, 
for example).
    (f) In anticipation of a potential audit, you may give us a list of 
your preferred families and the corresponding assembly plants, storage 
facilities, or (if you import the engines/equipment) port facilities 
from which we should select engines/equipment 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 different engines/equipment.
    (g) If you also do routine production-line testing with the selected 
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.

[73 FR 59344, Oct. 8, 2008, as amended at 81 FR 74132, Oct. 25, 2016]



Sec.  1068.410  How must I select and prepare my engines/equipment?

    (a) Selecting engines/equipment. Select engines/equipment as 
described in the test order. If you are unable to select test engines/
equipment this way, you may ask us to approve an alternate plan as long 
as you make the request before you start selecting engines/equipment.
    (b) Assembling engines/equipment. Produce and assemble test engines/
equipment using your normal production and assembly process for that 
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/equipment.
    (2) If you do not fully assemble engines/equipment at the specified 
location, we will describe in the test order how to select components to 
finish assembling the engines/equipment. Assemble these components onto 
the test engines/equipment using your documented assembly and quality 
control procedures.
    (c) Modifying engines/equipment. Once an engine or piece of 
equipment 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/equipment and make 
the action routine for all the engines/equipment in the family.
    (2) This subpart otherwise allows your action.
    (3) We approve your action in advance.
    (d) Engine/equipment malfunction. If an engine/equipment 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) [Reserved]
    (2) We may make or specify adjustments within the physically 
adjustable range by considering their effect on emission levels. We may 
also consider

[[Page 435]]

how likely it is that someone will make such an adjustment with in-use 
engines/equipment.
    (f) Stabilizing emission levels. (1) Before you test production-line 
engines/equipment for exhaust emission, you may operate the engine/
equipment to stabilize the exhaust emission levels. Using good 
engineering judgment, operate your engines/equipment in a way that 
represents the way production engines/equipment will be used. You may 
operate each engine or piece of equipment for no more than the greater 
of two periods:
    (i) 50 hours.
    (ii) The number of hours you operated your emission-data engine/
equipment for certifying the family (see 40 CFR part 1065, subpart E).
    (2) Use good engineering judgment and follow the standard-setting 
part to stabilize equipment for evaporative emissions, where 
appropriate.
    (g) Damage during shipment. If shipping the engine/equipment 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/equipment. Report to us, in your written report under Sec.  
1068.450, all adjustments or repairs you make on test engines/equipment 
before each test.
    (h) Shipping engines/equipment. If you need to ship engines/
equipment to another facility for testing, make sure the test engines/
equipment 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 or piece 
of equipment 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 or piece of equipment 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/equipment once a fail decision for the audit has been reached 
based on the first test on each engine or piece of equipment under Sec.  
1068.420(c). You may test each engine or piece of equipment up to a 
total of three times, but you must perform the same number of tests on 
each engine or piece of equipment. You may further operate the engine/
equipment 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.

[73 FR 59344, Oct. 8, 2008, as amended at 75 FR 23064, Apr. 30, 2010]



Sec.  1068.415  How do I test my engines/equipment?

    (a) Use the test procedures specified in the standard-setting part 
for showing that your engines/equipment 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/equipment in each 24-hour period 
(including void tests). However, for engines with maximum engine power 
above 560 kW, you may test one engine per 24-hour period. If you request 
and justify it, we may approve a lower testing rate.
    (d) For exhaust emissions, accumulate service on test engines/
equipment at a minimum rate of 6 hours per engine or piece of equipment 
during each 24-hour period; however, service accumulation to stabilize 
an engine's emission levels may not take longer than eight days. The 
first 24-hour period for service accumulation begins when you finish 
preparing an engine or piece of equipment for testing. The minimum 
service accumulation rate does not apply on weekends or holidays. We may 
approve a longer stabilization period or a lower service accumulation 
rate if you request and justify it. We may require you to accumulate 
hours more

[[Page 436]]

rapidly than the minimum rate, as appropriate. Plan your service 
accumulation to allow testing at the rate specified in paragraph (c) of 
this section. Select operation for accumulating operating hours on your 
test engines/equipment to represent normal in-use operation for the 
family.
    (e) Test engines/equipment in the same order you select them.

[73 FR 59344, Oct. 8, 2008, as amended at 81 FR 74232, Oct. 25, 2016]



Sec.  1068.420  How do I know when my engine family fails an SEA?

    (a) A failed engine or piece of equipment is one whose final 
deteriorated test results exceed an applicable emission standard for any 
regulated pollutant.
    (b) Continue testing engines/equipment until you reach a pass 
decision for all pollutants or a fail decision for one pollutant, as 
described in paragraph (c) of this section.
    (c) You reach a pass decision for the SEA requirements when the 
number of failed engines/equipment is less than or equal to the pass 
decision number in Appendix A to this subpart for the total number of 
engines/equipment tested. You reach a fail decision for the SEA 
requirements when the number of failed engines/equipment is greater than 
or equal to the fail decision number in Appendix A to this subpart for 
the total number of engines/equipment 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/equipment 
testing sequence.
    (e) If you reach a pass decision for one pollutant, but need to 
continue testing for another pollutant, we will not use these later test 
results for the pollutant with the pass decision as part of the SEA.
    (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 family.
    (g) We may choose to stop testing after any number of tests.
    (h) If we test some of your engines/equipment in addition to your 
own testing, we may decide not to include your test results as official 
data for those engines/equipment if there is substantial disagreement 
between your testing and our testing. We will reinstate your data as 
valid if you 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.

[73 FR 59344, Oct. 8, 2008, as amended at 81 FR 74232, Oct. 25, 2016]



Sec.  1068.425  What happens if one of my production-line engines/equipment 
exceeds the emission standards?

    (a) If one of your production-line engines/equipment fails to meet 
one or more emission standards (see Sec.  1068.420), the certificate of 
conformity is automatically suspended for that engine or piece of 
equipment. You must take the following actions before your certificate 
of conformity can cover that engine or piece of equipment:
    (1) Correct the problem and retest the engine/equipment 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 or piece of equipment (see Sec.  
1068.450).
    (b) You may ask for a hearing relative to the suspended certificate 
of conformity for the failing engine/equipment as specified in subpart G 
of this part.

[73 FR 59344, Oct. 8, 2008, as amended at 81 FR 74232, Oct. 25, 2016]



Sec.  1068.430  What happens if a family fails an SEA?

    (a) We may suspend your certificate of conformity for a family if it 
fails the SEA under Sec.  1068.420. The suspension may apply to all 
facilities producing engines/equipment from a family even if you find 
noncompliant engines/equipment 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

[[Page 437]]

until at least 15 days after the family fails the SEA. The suspension is 
effective when you receive our notice.
    (c) You may ask for a hearing as described in subpart G of this part 
up to 15 days after we suspend the certificate for a family. If we agree 
that we used erroneous information in deciding to suspend the 
certificate before a hearing is held, we will reinstate the certificate.

[73 FR 59344, Oct. 8, 2008, as amended at 81 FR 74232, Oct. 25, 2016]



Sec.  1068.435  May I sell engines/equipment from a family 
with a suspended certificate of conformity?

    You may sell engines/equipment that you produce after we suspend the 
family's certificate of conformity only if one of the following occurs:
    (a) You test each engine or piece of equipment you produce and show 
it complies with emission standards that apply.
    (b) We conditionally reinstate the certificate for the family. We 
may do so if you agree to recall all the affected engines/equipment and 
remedy any noncompliance at no expense to the owner if later testing 
shows that engines/equipment in the 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 test data from production engines/equipment showing that 
engines/equipment in the remedied family comply with all the emission 
standards that apply.

[73 FR 59344, Oct. 8, 2008, as amended at 75 FR 23064, Apr. 30, 2010]



Sec.  1068.445  When may EPA revoke my certificate under this subpart 
and how may I sell these engines/equipment again?

    (a) We may revoke your certificate for a family in the following 
cases:
    (1) You do not meet the reporting requirements under this subpart.
    (2) Your 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/equipment's design or emission control system.
    (b) To sell engines/equipment from a family with a revoked 
certificate of conformity, you must modify the 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/equipment'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/equipment as described in this subpart.
    (3) We will issue a new or updated certificate of conformity when 
you have met these requirements.



Sec.  1068.450  What records must I send to EPA?

    (a) Within 30 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/
equipment and state its location.
    (2) State the total U.S.-directed production volume and number of 
tests for each family.
    (3) Describe your test engines/equipment, including the family's 
identification and the engine/equipment's model year, build date, model 
number, identification number, and number of hours of operation before 
testing for each test engine or piece of equipment.
    (4) Identify where you accumulated hours of operation on the 
engines/equipment 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

[[Page 438]]

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/equipment 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 or piece of equipment 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/equipment conform to 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 family in a way that 
might affect the emission control from production engines/equipment. 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 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 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.

[73 FR 59344, Oct. 8, 2008, as amended at 81 FR 74232, Oct. 25, 2016]



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/equipment and the names of all 
supervisors who oversee this work.
    (3) If you shipped the engine/equipment for testing, the date you 
shipped it, the associated storage or port facility, and the date the 
engine/equipment arrived at the testing facility.
    (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 a 
family. Include each assembly plant if you produce engines/equipment 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
   Projected family       Code letter \1\    ----------------------------------------------   Maximum number of
        sales                                        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

[[Page 439]]

 
            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 families with annual sales between 20 and 50 engines/
  equipment. 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\                                                                                                  Fail
              Pass       Fail      Pass      Fail      Pass      Fail      Pass     Fail    Pass     
----------------------------------------------------------------------------------------------------------------
        1   ..........  .........  .........  .........  .........  .........  .........  .......  .......
        2   ..........  .........  .........  .........  .........  .........  .........  .......  .......
        3           0   .........  .........  .........  .........  .........  .........  .......  .......
        4           0   .........         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
       19           8         10          8         13          8         13          7       13        7   13
       20           9         10          8         13          8         14          8       14        8   14
       21   ..........  .........         9         14          9         14          8       14        8   14
       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
       25   ..........  .........        11         16         11         16         11       16       11   16
       26   ..........  .........        12         16         11         17         11       17       11   17
       27   ..........  .........        12         17         12         17         12       17       12   17
       28   ..........  .........        13         17         12         18         12       18       12   18
       29   ..........  .........        14         17         13         18         13       18       13   19
       30   ..........  .........        16         17         13         19         13       19       13   19
       31   ..........  .........  .........  .........        14         19         14       19       14   20
       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
       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

[[Page 440]]

 
       59   ..........  .........  .........  .........  .........  .........  .........  .......      28   33
       60   ..........  .........  .........  .........  .........  .........  .........  .......      32   33
----------------------------------------------------------------------------------------------------------------
\a\ Stage refers to the cumulative number of engines/equipment tested.



       Subpart F_Reporting Defects and Recalling Engines/Equipment



Sec.  1068.501  How do I report emission-related defects?

    This section addresses the certificate holder's 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/
equipment 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. The requirements of this section apply separately to each 
certificate holder if there is more than one certificate holder for the 
equipment.
    (a) General provisions. As a certifying manufacturer, you must 
investigate in certain circumstances whether engines/equipment that have 
been introduced into U.S. commerce under your certificate have 
incorrect, improperly installed, or otherwise defective emission-related 
components or systems. This includes defects in design, materials, or 
workmanship. 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) For engines and equipment subject to evaporative emission 
standards, fuel tanks, fuel caps, and fuel lines and connectors.
    (iii) Any other component whose primary purpose is to reduce 
emissions.
    (iv) Any other component whose failure would commonly increase 
emissions of any regulated pollutant without significantly degrading 
engine/equipment 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 the emissions of any 
regulated 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/equipment.
    (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/equipment without proper labels, which 
also applies to misprinted labels.
    (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/equipment in the family, use actual U.S.-directed production 
volumes for the whole model year when they become available. Use 
projected production figures until the actual production 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

[[Page 441]]

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/equipment 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/equipment not 
conforming to the regulations of this chapter during their useful life, 
we may order you to conduct a recall of your engines/equipment (see 
Sec.  1068.505).
    (8) Send all reports required by this section to the Designated 
Compliance 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/equipment 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/equipment 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, equipment 
manufacturers, hotline complaints, in-use testing, 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.
    (6) If a component with a possible defect is used in additional 
families or model years, you must investigate whether the component may 
be defective when used in these additional families or model years, and 
include these results in any defect report you send under paragraph (c) 
of this section.
    (7) If your initial investigation concludes that the number of 
engines/equipment 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/equipment 
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/equipment 
with a defect exceeds a threshold specified in paragraph (f) of this 
section. Send the defect report within 21 days after the

[[Page 442]]

date you identify this number of defective engines/equipment. See 
paragraph (h) of this section for reporting requirements that apply if 
the number of engines/equipment 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/equipment 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. Send us an updated 
defect report anytime you have significant additional information.
    (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/equipment that have the defect, 
including families, models, and range of production dates.
    (4) An estimate of the number and percentage of each class or 
category of affected engines/equipment 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/
equipment that may have the defect:
    (1) For engines/equipment with maximum engine power at or below 560 
kW:
    (i) For families with annual production below 500 units: 50 or more 
engines/equipment.
    (ii) For families with annual production from 500 to 50,000 units: 
more than 10.0 percent of the total number of engines/equipment in the 
family.
    (iii) For families with annual production from 50,000 to 550,000 
units: more than the total number of engines/equipment represented by 
the following equation:

Investigation threshold = 5,000 + (Production units--50,000) x 0.04

    (iv) For families with annual production above 550,000 units: 25,000 
or more engines/equipment.
    (2) For engines/equipment with maximum engine power greater than 560 
kW:
    (i) For families with annual production below 250 units: 25 or more 
engines/equipment.
    (ii) For families with annual production at or above 250 units: more 
than 10.0 percent of the total number of engines/equipment in the 
family.
    (f) Thresholds for filing a defect report. You must send a defect 
report based on the following number of engines/equipment that have the 
defect:
    (1) For engines/equipment with maximum engine power at or below 560 
kW:
    (i) For families with annual production below 1,000 units: 20 or 
more engines/equipment.
    (ii) For families with annual production from 1,000 to 50,000 units: 
more than 2.0 percent of the total number of engines/equipment in the 
family.
    (iii) For families with annual production from 50,000 to 550,000 
units: more than the total number of engines/equipment represented by 
the following equation:

Reporting threshold = 1,000 + (Production units--50,000) x 0.01

    (iv) For families with annual production above 550,000 units: 6,000 
or more engines/equipment.
    (2) For engines/equipment with maximum engine power greater than 560 
kW:
    (i) For families with annual production below 150 units: 10 or more 
engines/equipment.
    (ii) For families with annual production from 150 to 750 units: 15 
or more engines/equipment.

[[Page 443]]

    (iii) For families with annual production above 750 units: more than 
2.0 percent of the total number of engines/equipment in the family.
    (g) How to count defects. (1) Track defects separately for each 
model year and family as much as possible. If information is not 
identifiable by model year or 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 a 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) For engine-based standards, 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. For equipment-based 
standards, if a possible defect is not attributed to any specific part 
of the equipment, consider the complete piece of equipment 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 or piece of equipment in the 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/equipment 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/equipment from meeting the requirements of 
this part, you must correct the defect as soon as possible for future 
production of engines/equipment 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.

[73 FR 59344, Oct. 8, 2008, as amended at 75 FR 23064, Apr. 30, 2010; 81 
FR 74232, Oct. 25, 2016]

[[Page 444]]



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/equipment within a given class or category 
do not conform to the regulations of this chapter during their useful 
life, you must submit a plan to remedy the nonconformity of your 
engines/equipment. We will notify you of our determination in writing. 
Our notice will identify the class or category of engines/equipment 
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 all engines/equipment that 
experienced the nonconformity during the useful life in spite of being 
properly maintained and used, as described in Sec.  1068.510(a)(7), 
regardless of their age or extent of service accumulation at the time of 
repair. You may not transfer this expense to a dealer (or equipment 
manufacturer for engine-based standards) 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 Compliance 
Officer. We will designate a date by which you must send us the remedial 
plan; the designated date will be no sooner than 45 days after we notify 
you, and no sooner than 30 days after a hearing.
    (d) Once you have sold engines/equipment to the ultimate purchaser, 
we may inspect or test the engines/equipment only if the purchaser 
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 
Clean Air 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 or piece of equipment affected by a remedial plan.

[73 FR 59344, Oct. 8, 2008, as amended at 81 FR 74233, Oct. 25, 2016]



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/equipment to be recalled, 
including the number of engines/equipment involved and the model year or 
other information needed to identify the engines/equipment.
    (2) The modifications, alterations, repairs, corrections, 
adjustments, or other changes you will make to correct the affected 
engines/equipment.
    (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/equipment under the remedial plan.
    (5) How you will determine the owners' names and addresses.
    (6) How you will notify owners; include a copy 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/equipment you will recall; 
include a brief summary of the information supporting these conclusions.

[[Page 445]]

    (13) How you intend to label the engines/equipment you repair and 
where you will place the label on the engine/equipment (see Sec.  
1068.515).
    (b) We may require you to add information if it is needed to 
evaluate 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.
    (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/equipment.
    (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 a later deadline.

[73 FR 59344, Oct. 8, 2008, as amended at 81 FR 74233, Oct. 25, 2016]



Sec.  1068.515  How do I mark or label repaired engines/equipment?

    (a) Attach a label to engines/equipment you repair under the 
remedial plan. At your discretion, you may label or mark engines/
equipment you inspect but do not repair. Designate the specific recall 
campaign on the label.
    (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) Identify the facility where you repaired or inspected the 
engine/equipment on the label, or keep records of this information for 
each vehicle and give it to us if we ask for it.
    (d) We may waive or modify the labeling requirements if we determine 
they are overly burdensome.

[73 FR 59344, Oct. 8, 2008, as amended at 81 FR 74233, Oct. 25, 2016]



Sec.  1068.520  How do I notify affected owners?

    (a) Notify owners by first class mail or e-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/equipment 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/equipment 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/equipment meet the conditions for proper maintenance and use. 
Describe these conditions and how owners should prove their engines/
equipment are eligible for repair.
    (4) Describe the components your repair will affect and say 
generally how you will repair the engines/equipment.
    (5) State that the engine/equipment, 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/equipment.
    (7) Describe any adverse effects on the functions of other 
components that would be caused by not repairing the engine/equipment.
    (8) Specify the date you will start the repairs, the amount of time 
you will need to do them, and where you will do

[[Page 446]]

them. Include any other information owners may need to know.
    (9) Allow for the owner to inform you using one of the following 
methods if they have sold the engine/equipment:
    (i) Send a self-addressed card that owners can mail back to you; 
include a space for owners to write the name and address of a buyer.
    (ii) Provide owners with a toll-free number and an e-mail address or 
Web site they can use to identify 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/equipment] by federal law, and your right to 
participate in future recalls, we recommend you have your [engine/
equipment] 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 if we determine this is reasonable and necessary to ensure 
an effective recall.
    (c) You may not in any communication with owners or dealers say or 
imply that your noncompliance does not exist or that it will not degrade 
air quality.

[73 FR 59344, Oct. 8, 2008, as amended at 81 FR 74233, Oct. 25, 2016]



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/equipment 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/equipment you estimate fall under the 
remedial plan (explain how you determined this number).
    (4) The cumulative number of engines/equipment you inspected under 
the remedial plan.
    (5) The cumulative number of these engines/equipment you found 
needed the specified repair.
    (6) The cumulative number of these engines/equipment you have 
repaired.
    (7) The cumulative number of engines/equipment you determined to be 
unavailable due to exportation, theft, retirement, or other reasons 
(specify).
    (8) The cumulative number of engines/equipment you disqualified for 
not being properly maintained or used.
    (c) If your estimated number of engines/equipment 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 five 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 or piece of equipment, state whether you did any of the 
following:
    (1) Inspected the engine/equipment.
    (2) Disqualified the engine/equipment 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.

[73 FR 59344, Oct. 8, 2008, as amended at 81 FR 74233, Oct. 25, 2016]

[[Page 447]]



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/equipment 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 applies only if you learn 
that your 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 Compliance 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. Make reasonable efforts to carry out the 
recall as quickly as possible.
    (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/equipment are inspected, whichever 
comes first.
    (d) Keep your reports and the supporting information as described in 
Sec.  1068.530.



                           Subpart G_Hearings

    Source: 81 FR 74233, Oct. 25, 2016, unless otherwise noted.



Sec.  1068.601  Overview.

    The regulations of this chapter involve numerous provisions that may 
result in EPA making a decision or judgment that you may consider 
adverse to your interests and that either limits your business 
activities or requires you to pay penalties. As specified in the 
regulations in this chapter, this might involve an opportunity for an 
informal hearing or a formal hearing that follows specific procedures 
and is directed by a Presiding Officer. The regulations in this chapter 
generally specify when we would hold a hearing. In limited 
circumstances, we may grant a request for a hearing related to adverse 
decisions regarding regulatory provisions for which we do not 
specifically describe the possibility of asking for a hearing.
    (a) If you request a hearing regarding our decision to assess 
administrative penalties under Sec.  1068.125, we will hold a formal 
hearing according to the provisions of 40 CFR 22.1 through 22.32 and 
22.34.
    (b) For other issues where the regulation allows for a hearing in 
response to an adverse decision, you may request an informal hearing as 
described in Sec.  1068.650. Sections 1068.610 through 1068.625 describe 
when and how to request an informal hearing under various circumstances.
    (c) The time limits we specify are calendar days and include 
weekends and holidays, except that a deadline falling on a Saturday, 
Sunday, or a federal holiday is understood to move to the next business 
day. Your filing will be considered timely based on the following 
criteria relative to the specified deadline:
    (1) The postmarked date for items sent by U.S. mail must be on or 
before the specified date.
    (2) The ship date for items sent from any location within the United 
States by commercial carriers must be on or before the specified date.
    (3) Items sent by mail or courier from outside the United States 
must be received by the specified date.
    (4) The time and date stamp on an email message must be at or before 
5:00 p.m. on the specified date (in either the source or destination 
time zone).
    (5) The time and date stamp on faxed pages must be at or before 5:00 
p.m. on the specified date (in either the source or destination time 
zone).
    (6) Hand-delivered items must be received by the appropriate 
personnel by 3:00 p.m. on the specified date.
    (d) See the standard-setting part for additional information. If the 
standard-setting part specifies any provisions that are contrary to 
those described in this subpart, the provisions of the standard-setting 
part apply instead of those described in this subpart.

[[Page 448]]



Sec.  1068.610  Request for hearing--suspending, revoking, 
or voiding a certificate of conformity.

    (a) You may request an informal hearing as described in Sec.  
1068.650 if you disagree with our decision to suspend, revoke, or void a 
certificate of conformity.
    (b) If you request a hearing regarding the outcome of a testing 
regimen with established evaluation criteria, such as selective 
enforcement audits or routine production-line testing, we will hold a 
hearing limited to the following issues that are relevant to your 
circumstances:
    (1) Whether tests were conducted in accordance with applicable 
regulations.
    (2) Whether test equipment was properly calibrated and functioning.
    (3) Whether specified sampling procedures were followed to select 
engines/equipment for testing.
    (4) Whether there is a basis for determining that the problems 
identified do not apply for engines/equipment produced at plants other 
than the one from which engines/equipment were selected for testing.
    (c) You must send your hearing request in writing to the Designated 
Compliance Officer no later than 30 days after we notify you of our 
decision to suspend, revoke, or void your certificate, or by some later 
deadline we specify. If the deadline passes, we may nevertheless grant 
you a hearing at our discretion.
    (d) Your hearing request must include the following information:
    (1) Identify the classes or categories of engines/equipment that 
will be the subject of the hearing.
    (2) State briefly which issues you will raise at the hearing for 
each affected class or category of engines/equipment.
    (3) Specify why you believe the hearing will conclude in your favor 
for each of the issues you will raise.
    (4) Summarize the evidence supporting your position on each of the 
issues you will raise and include any supporting data.
    (e) We will approve your request for an informal hearing if we find 
that your request raises a substantial factual issue in the decision we 
made that, if addressed differently, could alter the outcome of that 
decision.



Sec.  1068.615  Request for hearing--denied application for certification, 
automatically suspended certificate, and determinations 
related to certification.

    (a) You may request an informal hearing as described in Sec.  
1068.650 if we deny your application for a certificate of conformity, if 
your certificate of conformity is automatically suspended under the 
regulations, or if you disagree with determinations we make as part of 
the certification process. For example, you might disagree with our 
determinations regarding adjustable parameters under Sec.  1068.50 or 
regarding your good engineering judgment under Sec.  1068.5.
    (b) You must send your hearing request in writing to the Designated 
Compliance Officer no later than 30 days after we notify you of our 
decision, or by some later deadline we specify. If the specified 
deadline passes, we may nevertheless grant you a hearing at our 
discretion.
    (c) Your hearing request must include the information specified in 
Sec.  1068.610(d).
    (d) We will approve your request for an informal hearing if we find 
that your request raises a substantial factual issue in the decision we 
made that, if addressed differently, could alter the outcome of that 
decision.



Sec.  1068.620  Request for hearing--recall.

    (a) You may request an informal hearing as described in Sec.  
1068.650 if you disagree with our decision to order a recall.
    (b) You must send your hearing request in writing to the Designated 
Compliance Officer no later than 45 days after we notify you of our 
decision, or by some later deadline we specify. If the specified 
deadline passes, we may nevertheless grant you a hearing at our 
discretion.
    (c) Your hearing request must include the information specified in 
Sec.  1068.610(d).
    (d) We will approve your request for an informal hearing if we find 
that your request raises a substantial factual issue in the decision we 
made

[[Page 449]]

that, if addressed differently, could alter the outcome of that 
decision.



Sec.  1068.625  Request for hearing--nonconformance penalties.

    (a) You may request an informal hearing as described in Sec.  
1068.650 if you disagree with our determination of compliance level or 
penalty calculation or both. The hearing will address only whether the 
compliance level or penalty was determined in accordance with the 
regulations.
    (b) Send a request for a hearing in writing to the Designated 
Compliance Officer within the following time frame, as applicable:
    (1) No later than 15 days after we notify you that we have approved 
a nonconformance penalty under this subpart if the compliance level is 
in the allowable range of nonconformity.
    (2) No later than 15 days after completion of the Production 
Compliance Audit if the compliance level exceeds the upper limit.
    (3) No later than 15 days after we notify you of an adverse decision 
for all other cases.
    (c) If you miss the specified deadline in paragraph (b) of this 
section, we may nevertheless grant youa hearing at our discretion.
    (d) Your hearing request must include the information specified in 
Sec.  1068.610(d).
    (e) We will approve your request for an informal hearing if we find 
that your request raises a substantial factual issue in the decision we 
made that, if addressed differently, could alter the outcome of that 
decision.



Sec.  1068.650  Procedures for informal hearings.

    (a) The following provisions apply for arranging the hearing:
    (1) After granting your request for an informal hearing, we will 
designate a Presiding Officer for the hearing.
    (2) The Presiding Officer will select the time and place for the 
hearing. The hearing must be held as soon as practicable for all parties 
involved.
    (3) The Presiding Officer may require that all argument and 
presentation of evidence be concluded by a certain date after 
commencement of the hearing.
    (b) The Presiding Officer will establish a paper or electronic 
hearing record, which may be made available for inspection. The hearing 
record includes, but is not limited to, the following materials:
    (1) All documents relating to the application for certification, 
including the certificate of conformity itself, if applicable.
    (2) Your request for a hearing and the accompanying supporting data.
    (3) Correspondence and other data relevant to the hearing.
    (4) The Presiding Officer's written decision regarding the subject 
of the hearing, together with any accompanying material.
    (c) You may appear in person or you may be represented by counsel or 
by any other representative you designate.
    (d) The Presiding Officer may arrange for a prehearing conference, 
either in response to a request from any party or at his or her own 
discretion. The Presiding Officer will select the time and place for the 
prehearing conference. The Presiding Officer will summarize the results 
of the conference and include the written summary as part of the record. 
The prehearing conference may involve consideration of the following 
items:
    (1) Simplification of the issues.
    (2) Stipulations, admissions of fact, and the introduction of 
documents.
    (3) Limitation of the number of expert witnesses.
    (4) Possibility of reaching an agreement to resolve any or all of 
the issues in dispute.
    (5) Any other matters that may aid in expeditiously and successfully 
concluding the hearing.
    (e) Hearings will be conducted as follows:
    (1) The Presiding Officer will conduct informal hearings in an 
orderly and expeditious manner. The parties may offer oral or written 
evidence; however, the Presiding Officer may exclude evidence that is 
irrelevant, immaterial, or repetitious.
    (2) Witnesses will not be required to testify under oath; however, 
the Presiding Officer must make clear that 18 U.S.C. 1001 specifies 
civil and criminal penalties for knowingly making false

[[Page 450]]

statements or representations or using false documents in any matter 
within the jurisdiction of EPA or any other department or agency of the 
United States.
    (3) Any witness may be examined or cross-examined by the Presiding 
Officer, by you, or by any other parties.
    (4) Written transcripts must be made for all hearings. Anyone may 
purchase copies of transcripts from the reporter.
    (f) The Presiding Officer will make a final decision with written 
findings, conclusions and supporting rationale on all the substantial 
factual issues presented in the record. The findings, conclusions, and 
written decision must be provided to the parties and made a part of the 
record.



        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. Note that inclusion of a component in 
Section III of this Appendix does not make it an emission-related 
component for engines/equipment that are not subject to evaporative 
emission standards.
    I. For exhaust emissions, 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 for exhaust emissions:
    1. Aftertreatment devices.
    2. Crankcase ventilation valves.
    3. Sensors.
    4. Electronic control units.
    III. The following parts are considered emission-related components 
for evaporative emissions:
    1. Fuel Tank.
    2. Fuel Cap.
    3. Fuel Line.
    4. Fuel Line Fittings.
    5. Clamps*.
    6. Pressure Relief Valves*.
    7. Control Valves*.
    8. Control Solenoids*.
    9. Electronic Controls*.
    10. Vacuum Control Diaphragms*.
    11. Control Cables*.
    12. Control Linkages*.
    13. Purge Valves.
    14. Vapor Hoses.
    15. Liquid/Vapor Separator.
    16. Carbon Canister.
    17. Canister Mounting Brackets.
    18. Carburetor Purge Port Connector.
    *As related to the evaporative emission control system.
    IV. Emission-related components also include any other part whose 
primary purpose is to reduce emissions or whose failure would commonly 
increase emissions without significantly degrading engine/equipment 
performance.

[73 FR 59344, Oct. 8, 2008, as amended at 81 FR 74235, Oct. 25, 2016]



     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 for 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.

[[Page 451]]

    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.
    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.



         Sec. Appendix III to Part 1068--High-Altitude Counties

    In some cases the standard-setting part includes requirements or 
other specifications that apply for high-altitude counties. The 
following counties have substantial populated areas above 4,000 feet 
above sea level and are therefore considered to be high-altitude 
counties:

                            STATE OF ARIZONA

Apache
Cochise
Coconino
Navajo
Yavapai

                            STATE OF COLORADO

Adams
Alamosa
Arapahoe
Archuleta
Boulder
Chaffee
Cheyenne
Clear Creek
Conejos
Costilla
Crowley
Custer
Delta
Denver
Dolores
Douglas
Eagle
Elbert
El Paso
Fremont
Garfield
Gilpin
Grand
Gunnison
Hinsdale
Huerfano
Jackson
Jefferson
Kit Carson
Lake
La Plata
Larimer
Las Animas
Lincoln
Mesa
Mineral
Moffat
Montezuma
Montrose
Morgan
Otero
Ouray
Park
Pitkin
Pueblo

[[Page 452]]

Rio Blanco
Rio Grande
Routt
Saguache
San Juan
San Miguel
Summit
Teller
Washington
Weld

                             STATE OF IDAHO

Bannock
Bear Lake
Bingham
Blaine
Bonneville
Butte
Camas
Caribou
Cassia
Clark
Custer
Franklin
Fremont
Jefferson
Lemhi
Madison
Minidoka
Oneida
Power
Teton
Valley

                            STATE OF MONTANA

Beaverhead
Deer Lodge
Gallatin
Jefferson
Judith Basin
Powell
Madison
Meagher
Park
Silver Bow
Wheatland

                            STATE OF NEBRASKA

Banner
Cheyenne
Kimball
Sioux

                             STATE OF NEVADA

Carson City
Douglas
Elko
Esmeralda
Eureka
Humboldt
Lander
Lincoln
Lyon
Mineral
Nye
Pershing
Storey
Washoe
White Pine

                           STATE OF NEW MEXICO

Bernalillo
Catron
Colfax
Curry
De Baca
Grant
Guadalupe
Harding
Hidalgo
Lincoln
Los Alamos
Luna
McKinley
Mora
Otero
Rio Arriba
Roosevelt
Sandoval
San Juan
San Miguel
Santa Fe
Sierra
Socorro
Taos
Torrance
Union
Valencia

                             STATE OF OREGON

Harney
Lake
Klamath

                             STATE OF TEXAS

Jeff Davis
Judspeth
Parmer

                              STATE OF UTAH

Beaver
Box Elder
Cache
Carbon
Daggett
Davis
Duchesne
Emery
Garfield
Grand
Iron
Juab
Kane
Millard
Morgan
Piute
Rich
Salt Lake
San Juan
Sanpete
Sevier
Summit

[[Page 453]]

Tooele
Uintah
Utah
Wasatch
Wayne
Weber

                            STATE OF WYOMING

Albany
Campbell
Carbon
Converse
Fremont
Goshen
Hot Springs
Johnson
Laramie
Lincoln
Natrona
Niobrara
Park
Platte
Sublette
Sweetwater
Teton
Uinta
Washakie
Weston



PART 1074_PREEMPTION OF STATE STANDARDS AND PROCEDURES FOR WAIVER 
OF FEDERAL PREEMPTION FOR NONROAD ENGINES AND NONROAD VEHICLES--
Table of Contents



             Subpart A_Applicability and General Provisions

Sec.
1074.1 Applicability.
1074.5 Definitions.
1074.10 Scope of preemption.
1074.12 Scope of preemption--specific provisions for locomotives and 
          locomotive engines

                 Subpart B_Procedures for Authorization

1074.101 Procedures for California nonroad authorization requests.
1074.105 Criteria for granting authorization.
1074.110 Adoption of California standards by other states.
1074.115 Relationship of federal and state standards.

    Authority: 42 U.S.C. 7401-7671q.

    Source: 73 FR 59379, Oct. 8, 2008, unless otherwise noted.



             Subpart A_Applicability and General Provisions



Sec.  1074.1  Applicability.

    The requirements of this part apply with respect to state and local 
standards and other requirements relating to the control of emissions 
from nonroad engines and nonroad vehicles.



Sec.  1074.5  Definitions.

    The definitions in this section apply to this part. As used in this 
part, 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.
    Administrator means the Administrator of the Environmental 
Protection Agency and any authorized representatives.
    Commercial means an activity engaged in as a vocation.
    Construction equipment or vehicle means any internal combustion 
engine-powered machine primarily used in construction and located on 
commercial construction sites.
    Engine used in a locomotive means either an engine placed in a 
locomotive to move other equipment, freight, or passenger traffic, or an 
engine mounted on a locomotive to provide auxiliary power.
    Farm equipment or vehicle means any internal combustion engine-
powered machine primarily used in the commercial production and/or 
commercial harvesting of food, fiber, wood, or commercial organic 
products or for the processing of such products for further use on the 
farm.
    Locomotive means a piece of equipment meeting the definition of 
locomotive in 40 CFR 1033.901 that is propelled by a nonroad engine.
    New has the following meanings:
    (1) For locomotives, new has the meaning given in 40 CFR 1033.901.
    (2) For engines used in locomotives, new means an engine 
incorporated in (or intended to be incorporated in) in a new locomotive.
    (3) For other nonroad engines and equipment, new means a domestic or 
imported nonroad engine or nonroad vehicle the equitable or legal title 
to which has never been transferred to an

[[Page 454]]

ultimate purchaser. Where the equitable or legal title to an engine or 
vehicle is not transferred to an ultimate purchaser until after the 
engine or vehicle is placed into service, then the engine or vehicle 
will no longer be new once it is placed into service. A nonroad engine 
or vehicle is placed into service when it is used for its functional 
purposes. This paragraph (3) does not apply to locomotives or engines 
used in locomotives.
    Nonroad engine has the meaning given in 40 CFR 1068.30
    Primarily used means used 51 percent or more.
    States and localities means any or all of the states, commonwealths, 
and territories in the United States including the District of Columbia 
and any or all of their political subdivisions.
    Ultimate purchaser means the first person who in good faith 
purchases a new nonroad engine or new nonroad vehicle or equipment for 
purposes other than resale.
    United States has the meaning given in 40 CFR 1068.30.



Sec.  1074.10  Scope of preemption.

    (a) States and localities are preempted from adopting or enforcing 
standards or other requirements relating to the control of emissions 
from new engines smaller than 175 horsepower that are primarily used in 
farm or construction equipment or vehicles, as defined in this part. For 
equipment that is used in applications in addition to farming or 
construction activities, if the equipment is primarily used as farm and/
or construction equipment or vehicles (as defined in this part), it is 
considered farm or construction equipment or vehicles.
    (b) For nonroad engines or vehicles other than those described in 
paragraph (a) of this section and Sec.  1074.12, States and localities 
are preempted from enforcing any standards or other requirements 
relating to control of emissions from nonroad engines or vehicles except 
as provided in subpart B of this part.



Sec.  1074.12  Scope of preemption-specific provisions for locomotives 
and locomotive engines

    (a) States and localities are preempted from adopting or enforcing 
standards or other requirements relating to the control of emissions 
from new locomotives and new engines used in locomotives.
    (b) During a period equivalent in length to 133 percent of the 
useful life, expressed as MW-hrs (or miles where applicable), beginning 
at the point at which the locomotive or engine becomes new, those 
standards or other requirements which are preempted include, but are not 
limited to, the following: emission standards, mandatory fleet average 
standards, certification requirements, retrofit and aftermarket 
equipment requirements, and nonfederal in-use testing requirements. The 
standards and other requirements specified in the preceding sentence are 
preempted whether applicable to new or other locomotives or locomotive 
engines.



                 Subpart B_Procedures for Authorization



Sec.  1074.101  Procedures for California nonroad authorization requests.

    (a) California must request authorization from the Administrator to 
enforce its adopted standards and other requirements relating to control 
of emissions from nonroad engines or vehicles that are not preempted by 
Sec.  1074.10(a) or Sec.  1074.12. The request must include the record 
on which the state rulemaking was based.
    (b) After receiving the authorization request, the Administrator 
will provide notice and opportunity for a public hearing regarding such 
requests.



Sec.  1074.105  Criteria for granting authorization.

    (a) The Administrator will grant the authorization if California 
determines that its standards will be, in the aggregate, at least as 
protective of public health and welfare as otherwise applicable federal 
standards.
    (b) The authorization will not be granted if the Administrator finds 
that any of the following are true:

[[Page 455]]

    (1) California's determination is arbitrary and capricious.
    (2) California does not need such standards to meet compelling and 
extraordinary conditions.
    (3) The California standards and accompanying enforcement procedures 
are not consistent with section 209 of the Act (42 U.S.C. 7543).
    (c) In considering any request from California to authorize the 
state to adopt or enforce standards or other requirements relating to 
control of emissions from new nonroad spark-ignition engines smaller 
than 50 horsepower, the Administrator will give appropriate 
consideration to safety factors (including the potential increased risk 
of burn or fire) associated with compliance with the California 
standard.



Sec.  1074.110  Adoption of California standards by other states.

    (a) Except as described in paragraph (b) of this section, any state 
other than California that has plan provisions approved under Part D of 
Title I of the Act (42 U.S.C. 7501 to 7515) may adopt and enforce 
emission standards for any period for nonroad engines and vehicles 
subject to the following requirements:
    (1) The state must provide notice to the Administrator that it has 
adopted such standards.
    (2) Such standards may not apply to new engines smaller than 175 
horsepower that are used in farm or construction equipment or vehicles, 
or to new locomotives or new engines used in locomotives.
    (3) Such standards and implementation and enforcement must be 
identical, for the period concerned, to the California standards 
authorized by the Administrator.
    (4) The state must adopt such standards at least two years before 
the standards first take effect.
    (5) California must have adopted such standards two years before the 
standards first take effect in the state that is adopting them under 
this section.
    (b) States and localities, other than the State of California, may 
not adopt or attempt to enforce any standard or other requirement 
applicable to the control of emissions from spark-ignition engines 
smaller than 50 horsepower, except standards or other requirements that 
were adopted by that state before September 1, 2003.



Sec.  1074.115  Relationship of federal and state standards.

    If state standards apply to a new nonroad engine or vehicle pursuant 
to authorization granted under section 209 of the Act (42 U.S.C. 7543), 
compliance with such state standards will be treated as compliance with 
the otherwise applicable standards of this chapter for engines or 
vehicles introduced into commerce in that state.

                       PARTS 1075	1099 [RESERVED]

[[Page 457]]



  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....................         459
1401-1499

 [Reserved]

[[Page 459]]



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 460]]

    (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 461]]

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 462]]

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 463]]

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.

                       PARTS 1401	1499 [RESERVED]

[[Page 465]]



               CHAPTER V--COUNCIL ON ENVIRONMENTAL QUALITY




  --------------------------------------------------------------------
Part                                                                Page
1500            Purpose, policy, and mandate................         467
1501            NEPA and agency planning....................         469
1502            Environmental impact statement..............         473
1503            Commenting..................................         480
1504            Predecision referrals to the Council of 
                    proposed Federal actions determined to 
                    be environmentally unsatisfactory.......         481
1505            NEPA and agency decisionmaking..............         483
1506            Other requirements of NEPA..................         484
1507            Agency compliance...........................         489
1508            Terminology and index.......................         491
                Index to Parts 1500 Through 1508............         496
1515            Freedom of Information Act procedures.......         497
1516            Privacy Act implementation..................         504
1517            Public meeting procedures of the Council on 
                    Environmental Quality...................         506
1518            Office of Environmental Quality Management 
                    Fund....................................         510
1519-1599

 [Reserved]

[[Page 467]]



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 468]]

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 469]]

    (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 470]]



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 471]]

    (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 472]]

    (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 473]]

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 474]]

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 475]]

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 476]]

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 477]]

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 478]]

    (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 479]]

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 480]]



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 481]]

    (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 482]]

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 483]]

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 484]]



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 485]]

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 486]]

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 487]]

    (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 488]]

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 489]]

    (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 490]]

    (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 491]]

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 492]]



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 493]]

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 494]]

    (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 495]]

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 496]]

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, 2019.

                                  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.
Circulation of Environmental Impact         1502.19, 1506.3.
 Statement.
Classified Information....................  1507.3(c).
Clean Air Act.............................  1504.1(b), 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(c), 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(d),
                                             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, 1501.7,
                                             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(c), 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).
Expedite..................................  1501.8(b)(3).
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(l), 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)(2)(iii).
Geographic................................  1502.4(c)(1).
Graphics..................................  1502.8.
Handbook..................................  1506.7(a).
Housing and Community Development Act.....  1506.12, 1508.12.

[[Page 497]]

 
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),
                                             1502.16(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.
Jurisdiction by Law.......................  1508.15.
Lead Agency...............................  1500.5(c), 1501.1(c),
                                             1501.5, 1501.6, 1501.7,
                                             1501.8, 1504.3, 1506.2(c),
                                             1506.8(c), 1506.10(d),
                                             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(f), 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).
Ongoing Activities........................  1506.12.
Page Limits...............................  1500.4(a), 1501.7(b),
                                             1502.7.
Planning..................................  1500.5(a), 1501.2(b),
                                             1502.4(b), 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(d).
Public Health and Welfare.................  1504.1.
Public Involvement........................  1501.4(e), 1503.1(a)(4),
                                             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(g), 1501.1(d),
                                             1501.4(d), 1501.7,
                                             1502.9(a), 1506.8(b).
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(l), 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            1501.3.
 Assessment.
Whether to Prepare an Environmental Impact  1501.4.
 Statement.
Wild and Scenic Rivers Act................  1506.8(b)(2)(ii).
Wilderness Act............................  1506.8(b)(2)(ii).
Writing...................................  1502.8.
------------------------------------------------------------------------



PART 1515_FREEDOM OF INFORMATION ACT PROCEDURES--Table of Contents



                                 Purpose

Sec.
1515.1 FOIA procedures.

                           Organization of CEQ

1515.2 About the Council on Environmental Quality (CEQ).
1515.3 CEQ organization.
1515.4 CEQ FOIA Officials.

                    Procedures for Requesting Records

1515.5 Making a Freedom of Information Act request.

[[Page 498]]

1515.6 CEQ's response to a request.
1515.7 Expedited processing.
1515.8 Appeals.
1515.9 Extending CEQ's time to respond.

                       Availability of Information

1515.10 Obtaining available information.

                                  Costs

1515.11 Definitions.
1515.12 Fees in general.
1515.13 Fees for categories of requesters.
1515.14 Other charges.
1515.15 Payment and waiver.
1515.16 Other rights and services.
1515.17-1515.19 [Reserved]

    Authority: 5 U.S.C. 552, as amended by Pub. L. 93-502, Pub. L. 99-
570, Pub. L. 104-231, Pub. L. 110-175; E.O. 13392; Pres. Mem. 74 FR 
4685. Source: 42 FR 65158, Dec. 30, 1977, unless otherwise noted.

    Source: 75 FR 48590, Aug. 11, 2010, unless otherwise noted.

                                 Purpose



Sec.  1515.1  FOIA procedures.

    The Freedom of Information Act (5 U.S.C. 552), as amended, commonly 
known as FOIA, is a Federal law that creates a procedure for any person 
to request 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 exemptions stated in Section 552(b) of the Act. These 
procedures explain how the Council on Environmental Quality (CEQ)--one 
of several agencies in the Executive Office of the President--will carry 
out the FOIA. They are written from the standpoint of a FOIA requester 
and should be read together with the FOIA, which provides additional 
information about access to records maintained by CEQ. This information 
is furnished for the guidance of the public and in compliance with the 
requirements of Section 552 of title 5, United States Code, as amended.

                           Organization of CEQ



Sec.  1515.2  About the Council on Environmental Quality (CEQ).

    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 primarily 
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.



Sec.  1515.3  CEQ organization.

    (a) The Council is made up of a Chair appointed by the President and 
subject to approval by the Senate who serves in a full-time capacity. 
Congress has allowed CEQ to consist of a Council of one member who 
serves as Chairman or Chair.
    (b) The National Environmental Policy Act and the Environmental 
Quality Improvement Act give the Council the authority to hire any 
officers and staff 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 Chair, the Council has program and legal 
staff.
    (d) The Council has no field or regional offices.
    (e) The Council is located at 722 Jackson Place NW., Washington, DC 
20503. Office hours are 9 a.m.-5:30 p.m., Monday through Friday, except 
Federal holidays. To meet with any of the staff, please write or phone 
ahead for an appointment. The main number is 202-456-6224.



Sec.  1515.4  CEQ FOIA Officials.

    (a) The Chair shall appoint a Chief Freedom of Information Act 
Officer (Chief FOIA Officer) who is 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 as set forth in these regulations. The Chair shall 
appoint an Appeals Officer, who is responsible for processing and acting 
upon any appeals and may designate one or more CEQ officials, as 
appropriate, as FOIA Officers authorized to oversee and process FOIA 
requests. The Chief FOIA Officer may serve as the Appeals Officer.

[[Page 499]]

    (b) The Chief FOIA officer shall designate a FOIA Public Liaison who 
is the supervisory official to whom a FOIA requester can raise concerns 
about the service the FOIA requester has received from the CEQ FOIA 
Center, described in Section 1515.5(a), following an initial response 
from the staff of the CEQ FOIA Center staff. The FOIA Public Liaison 
shall assist, as appropriate, in reducing delays and increasing 
understanding of the status of requests. The Chief FOIA officer shall 
also designate a CEQ FOIA Officer responsible for overseeing CEQ's day-
to-day administration of the FOIA and for receiving, routing, and 
overseeing the processing of all FOIA requests.

                    Procedures for Requesting Records



Sec.  1515.5  Making a Freedom of Information Act request.

    (a) Availability of records. The Council maintains a World Wide Web 
site, http://www.whitehouse.gov/administration/eop/ceq, and an online 
Freedom of Information Act Requester Service Center (``Center''), http:/
/www.whitehouse.gov/administration/eop/ceq/foia. From the Center, a 
requester can find contact information regarding the CEQ's FOIA Public 
Liaison, as defined in Section 1515.4(b), and access CEQ's Online 
Reading Room where CEQ makes available records pertaining to matters 
within the scope of 5 U.S.C. 552(a)(2), as amended, and environmental 
issues and other documents that, because of the nature of their subject 
matter, are likely to be the subject of FOIA requests. To save both time 
and money, CEQ strongly urges requesters to review documents currently 
available from the Center's Online Reading Room before submitting a 
request.
    (b) Requesting information from the Council. (1) Requesters must 
make a Freedom of Information Act request in writing. For quickest 
possible handling, it should be sent via e-mail to: [email protected] 
and must include in the subject line of the e-mail message: ``Freedom of 
Information Act Request.'' Written requests may also be faxed to (202) 
456-0753 or addressed and mailed to: Council on Environmental Quality, 
Executive Office of the President, 722 Jackson Place NW., Washington, DC 
20503. Requesters should mark both the request letter and the envelope 
``Freedom of Information Act Request'' and include their name, address, 
and sufficient contact information to allow follow up regarding the 
scope and status of your request.
    (2) The request should identify or reasonably describe the desired 
record. It should be as specific as possible, so that the item can be 
readily found. Blanket requests, such as requests for ``all materials 
relating to'' a specified subject are not recommended. Requesters should 
specify the preferred form or format (including electronic format) for 
the response. CEQ will accommodate such requests, if the record is 
readily reproducible in that form or format. Please be aware that FOIA 
requests and responses may themselves be made available for public 
inspection.
    (3) The CEQ FOIA Officer is responsible for acting on all initial 
requests; however, he or she may consult and refer, pursuant to Section 
552(a)(6)(B)(iii)(III) of the FOIA, with another agency if he or she 
determines that that agency is better able to act on the request. 
Whenever the CEQ FOIA Officer refers all or any part of the 
responsibility for responding to a request to another agency, he or she 
will notify the requester of the referral, the name of the agency and 
agency official to whom it has been referred, and which portion of the 
request has been referred. Unless a request is deemed ``expedited'' as 
set forth in Section 1515.7 below, the CEQ FOIA Officer will respond to 
requests in order of receipt. CEQ may use two or more processing tracks 
by distinguishing between simple and more complex requests based on the 
amount of time and work needed to process the request. CEQ may provide 
requesters on a slower track an opportunity to limit the scope of their 
request in order to qualify for faster processing.
    (4) The Council will make a reasonable effort to assist with 
defining the request to eliminate extraneous and unwanted materials and 
to keep search and copying fees to a minimum. If budgetary constraints 
exist, the requester should indicate the maximum

[[Page 500]]

fee he or she is prepared to pay to acquire the information. (See also 
Sec.  1515.11)
    (5) The Freedom of Information Act does not require a government 
agency to create or research information; rather, it only requires that 
existing records be made available to the public.



Sec.  1515.6  CEQ's response to a request.

    (a) Upon receipt of any written request for information or records, 
under the Act, the CEQ FOIA Officer or his or her designee, will make an 
initial determination on the request within 20 days (excepting 
Saturdays, Sundays and Federal holidays) from the date CEQ receives the 
request unless unusual or exceptional circumstances exist. The CEQ FOIA 
Officer will provide written notification of the determination, 
including, if applicable, notification that the request has been 
referred to another agency for consultation as set forth above in Sec.  
1515.5(b)(3). CEQ may make one request to the requester for information 
and toll the 20-day period while it is awaiting such information that it 
has reasonably requested from the requester. It may also toll the 20-day 
period if necessary to clarify with the requester issues regarding fee 
assessment. In either case, CEQ's receipt of the requester's response to 
its request for information or clarification ends the tolling period.
    (b) Requests received by the CEQ FOIA Officer or his or her designee 
will be assigned an individualized tracking number if they will take 
more than 10 days to process. Requesters may call the FOIA Public 
Liaison at (202) 456-6224 and, using the tracking number, obtain 
information about the request, including the date on which CEQ 
originally received the request and an estimated date on which CEQ will 
complete action on the request.
    (c) If it is appropriate to grant the request, a staff member will 
immediately collect the requested materials in order to accompany, 
wherever possible, the Freedom of Information Officer's letter conveying 
decision.
    (d) If a request is denied in part or in full, the letter conveying 
the decision will be signed by the CEQ FOIA Officer, and will include: 
The reasons for any denial, including any FOIA exemption(s) applied by 
the FOIA Officer in denying the request; an estimate of the volume of 
records or information withheld, in number of pages or in some other 
reasonable form of estimation. This estimate does not need to be 
provided, if the volume is otherwise indicated through exemptions on 
records disclosed in part or, if providing an estimate would harm an 
interest protected by an applicable exemption; and the procedure for 
filing an appeal.



Sec.  1515.7  Expedited processing.

    (a) Requests and appeals will be taken out of order and given 
expedited treatment whenever it is determined that they involve:
    (1) 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; or
    (2) An urgency to inform the public about an actual or alleged 
Federal Government activity, if made by a person primarily engaged in 
disseminating information.
    (b) A request for expedited processing may be made at the time of 
the initial request for records or at any later time.
    (c) A requester who seeks expedited processing must submit a written 
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 
described in paragraph (a)(2) 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 (a)(2) of this section must also 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. Formal certification may be waived as a matter of 
administrative discretion.
    (d) Within 10 days of its receipt of a request for expedited 
processing, the CEQ FOIA Officer will decide whether

[[Page 501]]

to grant it and will notify the requester of the decision. If a request 
for expedited treatment is granted, the request will be placed in the 
expedited processing track, given priority, and processed as soon as 
practicable. If a request for expedited processing is denied, any appeal 
of that decision will be acted on expeditiously.



Sec.  1515.8  Appeals.

    (a) The requester may appeal an adverse determination, in any 
respect, to the CEQ FOIA Appeals Officer. Any appeal must be received by 
CEQ within 60 days of the date on the CEQ letter denying the request.
    (b) Appeals must be in writing and may be sent via e-mail to: 
[email protected]. They may also be sent via facsimile to: (202) 456-
0753 or via U.S. mail addressed to: FOIA Appeals Officer, Council on 
Environmental Quality, Executive Office of the President, 722 Jackson 
Place NW., Washington, DC 20503.
    (c) The appeal letter should specify the records 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.
    (d) The Appeals Officer will make a final determination on an appeal 
within 20 working days (excepting Saturdays, Sundays and Federal 
holidays) from the date CEQ receives the appeal. The Appeals Officer (or 
designee) will send a letter to the requester conveying the decision as 
soon as it is made. If an appeal is denied, in part or in whole, the 
letter will also include the provisions for judicial review.



Sec.  1515.9  Extending CEQ's time to respond.

    (a) In unusual circumstances as defined in paragraph (c) of this 
section, the time limits for responding to a request (Sec. Sec.  
1515.6(a) and 1515.8(d)) may be extended by the Council for not more 
than 10 working days. Extensions may be granted by the CEQ FOIA 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. 
Extensions will be confirmed in writing and set forth the reasons for 
the extension and the date that the final determination is expected.
    (b) With respect to a request for which a written notice under this 
section extends the time limits prescribed under Sec.  1515.6(a), the 
CEQ FOIA Officer will notify the requester, if the request cannot be 
processed within the time limit specified in Sec.  1515.6(a) and provide 
an opportunity to limit the scope of the request, so that it may be 
processed within that time limit or an opportunity to arrange an 
alternative time frame for processing the request or a modified request. 
A requester's refusal to reasonably modify the request or arrange such 
an alternative time frame will be considered as a factor in determining 
whether exceptional circumstances exist for purposes of 5 U.S.C. 
552(a)(6)(C). When CEQ reasonably believes that a requester, or a group 
of requesters, has submitted a request constituting a single request 
that would otherwise satisfy the unusual circumstances specified under 
this section, CEQ may aggregate those requests for purposes of this 
paragraph. Multiple requests involving unrelated matters will not be 
aggregated.
    (c) The term ``unusual circumstances'' means:
    (1) The need to search for and collect the requested records from 
establishments that are separate from the office processing the request;
    (2) 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
    (3) The need for consultation, which will 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.

                       Availability of Information



Sec.  1515.10  Obtaining available information.

    (a) When a request for information has been granted in whole or in 
part,

[[Page 502]]

CEQ will notify the requester in writing, inform the requester in the 
notice of any fee charged under Sec.  1515.11 and will disclose records 
to the requester promptly on payment of any applicable fees. The 
requested material may be made available on CEQ's Online FOIA Center, 
http://www.whitehouse.gov/administration/eop/ceq/foia, and also in the 
form or format requested if the record is readily reproducible in that 
form or format with reasonable effort. When a form or format of the 
response is not requested, CEQ will respond in the form or format in 
which the document is most accessible to CEQ. ``Readily reproducible'' 
means, with respect to electronic format, that the requested record or 
records can be downloaded or transferred intact to a computer disk or 
other electronic medium using equipment currently in use by CEQ.
    (b) Records disclosed in part will be marked or annotated to show 
information deleted, unless doing so would harm an interest protected by 
an applicable exemption. The location of the information deleted will 
also be indicated in the record, if technically feasible.
    (c) The legislative history of the establishment of CEQ states that 
the Congress intended CEQ to be a confidential advisor to the President 
on matters of environmental policy. Therefore, members of the public 
should be aware that communications between CEQ and the President 
(including communications between their staff) may be confidential; they 
will usually fall, at a minimum, within Exemption 5 of the Act. The 
Freedom of Information Officer shall review each request 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 CEQ FOIA Officer or Appeals 
Officer, CEQ 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 CEQ's participation 
in decisionmaking.

                                  Costs



Sec.  1515.11  Definitions.

    For purposes of these regulations:
    Commercial use request means a request from or on behalf of a person 
who seeks information for a use or purpose that furthers the requester's 
or other person's commercial, trade, or profit interests.
    Direct costs means those costs incurred in searching for and 
duplicating (and, in the case of commercial use requests, reviewing) 
documents to respond to a FOIA request. Direct costs include, for 
example, salaries of employees who perform the work and costs of 
conducting large-scale computer searches.
    Duplicate means to copy records to be released to the FOIA 
requester. Copies can take the form of paper, audio-visual materials, or 
electronic records, among others.
    Educational institution means a school that operates a program of 
scholarly research.
    Non-commercial scientific institution means an institution that is 
not operated on a commercial basis and that operates solely for the 
purpose of conducting scientific research the results of which are not 
intended to promote any particular product or industry.
    Representative of the news media means any person or entity that 
gathers information of potential interest to a segment of the public, 
uses its editorial skills to turn the raw materials into a distinct 
work, and distributes that work to an audience.
    Review means to examine a record to determine whether any portion of 
the record may be withheld and to process a record for disclosure, 
including by redacting it.
    Search means to look for and retrieve records covered by a FOIA 
request, including by looking page-by-page or line-by-line to identify 
responsive material within individual records.



Sec.  1515.12  Fees in general.

    CEQ shall charge fees that recoup the full allowable direct costs it 
incurs in responding to FOIA requests. CEQ may assess charges for time 
spent searching for records even if CEQ fails to locate the records or 
if the records are located

[[Page 503]]

and determined to be exempt from disclosure. In general, CEQ shall apply 
the following fee schedule, subject to Sec. Sec.  1515.13 through 
1515.15:
    (a) Manual searches. Time devoted to manual searches shall be 
charged on the basis of the salary of the employee(s) conducting the 
search (basic hourly rate(s) of pay for the employee(s), plus 16 
percent).
    (b) Electronic searches. Fees shall reflect the direct cost of 
conducting the search. This will include the cost of operating the 
central processing unit for that portion of operating time that is 
directly attributable to searching for and printing records responsive 
to the FOIA request and operator/programmer salary attributable to the 
search.
    (c) Record reviews. Time devoted to reviewing records shall be 
charged on the same basis as under paragraph (a) of this section, but 
shall only be applicable to the review of records located in response to 
commercial use requests.
    (d) Duplication. Fees for copying paper records or for printing 
electronic records shall be assessed at a rate of $.15 per page. For 
other types of copies such as disks or audio visual tapes, CEQ shall 
charge the direct cost of producing the document(s). If total costs are 
expected to exceed $25, the FOIA Officer shall provide the requester 
with an estimate in writing and, in return, obtain from the requester a 
commitment to pay the estimated fee. This does not apply if the 
requester has indicated in advance a willingness to pay fees as high as 
those anticipated. If a requester wishes to limit costs, the FOIA 
Officer shall provide the requester an opportunity to reformulate the 
request in order to reduce costs. If the requester reformulates a 
request, it shall be considered a new request and the 20-day period 
described in Sec.  1515.6(a) shall be deemed to begin when the FOIA 
Officer receives the request.
    (e)(1) Advance payments required. The FOIA Officer may require a 
requester to make an advance deposit of up to the amount of the entire 
anticipated fee before the FOIA Officer begins to process the request 
if:
    (i) The FOIA Officer estimates that the fee will exceed $250; or
    (ii) The requester has previously failed to pay a fee in a timely 
fashion.
    (2) When the FOIA Officer requires a requester to make an advance 
payment, the 20-day period described in Sec.  1515.6(a) shall begin when 
the FOIA Officer receives the payment.
    (f) No assessment of fee. CEQ shall not charge a fee to any 
requester if:
    (1) The cost of collecting the fee would be equal to or greater than 
the fee itself; or
    (2) After the effective date of these regulations CEQ fails to 
comply with a time limit under the Freedom of Information Act for 
responding to the request for records where no unusual or exceptional 
circumstances apply.



Sec.  1515.13  Fees for categories of requesters.

    CEQ shall assess fees for certain categories of requesters as 
follows:
    (a) Commercial use requesters. In responding to commercial use 
requests, CEQ shall assess fees that recover the full direct costs of 
searching for, reviewing, and duplicating records.
    (b) Educational and non-commercial scientific institutions. CEQ 
shall provide records to requesters in this category for the cost of 
duplication alone, excluding charges for the first 100 pages. To qualify 
for inclusion in this fee category, a requester must show that the 
request is authorized by and is made under the auspices of a qualifying 
institution and that the records are sought to further scholarly 
research, not an individual goal.
    (c) Representatives of the news media. CEQ shall provide records to 
requesters in this category for the cost of duplication alone, excluding 
charges for the first 100 pages.
    (d) All other requesters. CEQ shall charge requesters who do not 
fall within paragraphs (a) through (c) of this section fees that recover 
the full direct cost of searching for and duplicating records, excluding 
charges for the first 100 pages of reproduction and the first two hours 
of search time.



Sec.  1515.14  Other charges.

    CEQ may apply other charges, including the following:

[[Page 504]]

    (a) Special charges. CEQ shall recover the full cost of providing 
special services, such as sending records by express mail, to the extent 
that CEQ elects to provide them in that manner.
    (b) Interest charges. CEQ may begin assessing interest charges on an 
unpaid bill starting on the 31st day following the day on which the FOIA 
Officer sent the billing. Interest shall be charged at the rate 
prescribed in 31 U.S.C. 3717 and will accrue from the date of billing.
    (c) Aggregating requests. When the FOIA Officer reasonably believes 
that a requester or a group of requesters acting in concert is 
attempting to divide a request into a series of requests for the purpose 
of avoiding fees, the FOIA Officer shall aggregate those requests and 
charge accordingly.



Sec.  1515.15  Payment and waiver.

    (a) Remittances. Payment shall be made in the form of check or money 
order made payable to the Treasury of the United States. At the time the 
FOIA Officer notifies a requester of the applicable fees, the Officer 
shall inform the requester of where to send the payment.
    (b) Waiver of fees. CEQ may waive all or part of any fee provided 
for in Sec. Sec.  1515.12 and 1515.13 when the FOIA Officer deems that 
disclosure of the information is in the general public's interest 
because it is likely to contribute significantly to public understanding 
of the operations or activities of the government and is not primarily 
in the commercial interest of the requester. In determining whether a 
fee should be waived, the FOIA Officer may consider whether:
    (1) The subject matter specifically concerns identifiable operations 
or activities of the government;
    (2) The information is already in the public domain;
    (3) Disclosure of the information would contribute to the 
understanding of the public-at-large as opposed to a narrow segment of 
the population;
    (4) Disclosure of the information would significantly enhance the 
public's understanding of the subject matter;
    (5) Disclosure of the information would further a commercial 
interest of the requester; and
    (6) The public's interest is greater than any commercial interest of 
the requester.



Sec.  1515.16  Other rights and services.

    Nothing in this subpart will be construed to entitle any person, as 
of right, to any service or to the disclosure of any record to which 
such person is not entitled under the FOIA.



Sec. Sec.  1515.17-1515.19  [Reserved]



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.
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

[[Page 505]]

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 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.

[[Page 506]]



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 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

[[Page 507]]

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;
    (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;

[[Page 508]]

    (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 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

[[Page 509]]

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;
    (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

[[Page 510]]

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.
    (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:

[[Page 511]]

    (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 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

[[Page 512]]

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.

                       PARTS 1519	1599 [RESERVED]

[[Page 513]]



       CHAPTER VI--CHEMICAL SAFETY AND HAZARD INVESTIGATION BOARD




  --------------------------------------------------------------------
Part                                                                Page
1600            Organization and functions of the Chemical 
                    Safety and Hazard Investigation Board...         515
1601            Procedures for disclosure of records under 
                    the Freedom of Information Act..........         516
1602            Protection of privacy and access to 
                    individual records under the Privacy Act 
                    of 1974.................................         532
1603            Rules implementing the Government in the 
                    Sunshine Act............................         536
1610            Administrative investigations...............         541
1611            Testimony by employees in legal proceedings.         543
1612            Production of records in legal proceedings..         546
1613-1619

 [Reserved]

1620            Administrative claims arising under the 
                    Federal Tort Claims Act.................         547
1621-1699

 [Reserved]

[[Page 515]]



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 516]]

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. If a Board member votes to calendar a notation item, the 
Board must consider the calendared notation item at a public meeting of 
the Board within 90 days of the date on which the item is calendared. A 
notation vote to schedule a public meeting may not be calendared. The 
Chairperson shall add any calendared notation item to the agenda for the 
next CSB public meeting if one is to occur within 90 days or to schedule 
a special meeting to consider any calendared notation item no later than 
90 days from the calendar action.
    (c) Public meetings and agendas. The Chairperson, or in the absence 
of a chairperson, a member designated by the Board, shall schedule a 
minimum of four public meetings per year in Washington, DC, to take 
place during the months of October, January, April, and July.
    (1) Agenda. The Chairperson, or in the absence of a chairperson, a 
member designated by the Board, shall be responsible for preparation of 
a final meeting agenda. The final agenda may not differ in substance 
from the items published in the Sunshine Act notice for that meeting. 
Any member may submit agenda items related to CSB business for 
consideration at any public meeting, and the Chairperson shall include 
such items on the agenda. At a minimum, each quarterly meeting shall 
include the following agenda items:
    (i) Consideration and vote on any notation items calendared since 
the date of the last public meeting;
    (ii) A review by the Board of the schedule for completion of all 
open investigations, studies, and other important work of the Board; and
    (iii) A review and discussion by the Board of the progress in 
meeting the CSB's Annual Action Plan.
    (2) Publication of agenda information. The Chairperson shall be 
responsible for posting information related to any agenda item that is 
appropriate for public release on the CSB Web site no less than two days 
prior to a public meeting.

[68 FR 65403, Nov. 20, 2003, as amended at 80 FR 46824, Aug. 6, 2015]



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.

       Subpart B_Procedures for Requesting and Disclosing Records

1601.10 Proactive disclosures.
1601.11 Requirements for making requests.
1601.12 Responsibility for responding to requests.
1601.13 Timing of responses to requests.
1601.14 Responses to requests.
1601.15 Special procedures for confidential commercial information.

                            Subpart C_Appeals

1601.20 Processing of appeals.

[[Page 517]]

                        Subpart D_Administration

1601.30 Protection of records.
1601.31 Preservation of records pertaining to requests under this part.
1601.32 Other rights and services.

                             Subpart E_Fees

1601.40 Procedures for fees.

    Authority: 5 U.S.C. 552.

    Source: 82 FR 45502, Sept. 29, 2017, unless otherwise noted.



               Subpart A_Purpose, Scope, and Applicability



Sec.  1601.1  Purpose and scope.

    (a) In general. This part contains the Chemical Safety and Hazard 
Investigation Board (``CSB'' or ``agency'') regulations implementing the 
Freedom of Information Act (``FOIA''), 5 U.S.C. 552. These regulations 
provide the procedures by which members of the public may obtain access 
to records compiled, created, and maintained by the CSB, along with the 
CSB procedures for responding to such requests. The rules in this 
subpart are to be read in conjunction with the FOIA and the Uniform 
Freedom of Information Fee Schedule and Guidelines published by the 
White House Office of Management and Budget (OMB Guidelines).
    (b) Definitions.
    (1) Chairperson means the Chairperson of the CSB.
    (2) Chief FOIA Officer means the person designated by Chairperson 
who has overall responsibility for the CSB's compliance with the FOIA.
    (3) FOIA Officer means a person designated by the Chief FOIA Officer 
to process requests for the CSB documents under the FOIA.
    (4) Record means information regardless of its physical form or 
characteristics including information created, stored, and retrievable 
by electronic means that is created or obtained by the CSB and under the 
control of the CSB at the time of the request, including information 
maintained for the CSB by an entity under Government contract for 
records management purposes. Record includes any writing, drawing, map, 
recording, tape, film, photo, or other documentary material by which 
information is preserved.
    (5) 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 pursuant to 5 U.S.C. 552.



Sec.  1601.2  Applicability.

    (a) In 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 that supersede the FOIA, then CSB must 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 that is not required to be released under the provisions of law 
other than the FOIA, then the CSB must consider the request under the 
FOIA and the regulations in this part. Requests made by individuals for 
records about themselves under the Privacy Act of 1974, 5 U.S.C. 552a, 
are processed in accordance with CSB's Privacy Act regulations (part 
1602 of this chapter), as well as under this subpart.
    (b) Disclosure of requested records. The CSB will only withhold 
information under the FOIA if the agency reasonably foresees that 
disclosure would harm an interest protected by an exemption or 
disclosure is prohibited by law. The FOIA Officer will make requested 
records available to the public to the greatest extent possible in 
keeping with the FOIA, except for the following types of records, which 
are exempt from the disclosure requirements:
    (1) Records specifically authorized under criteria established by an 
Executive Order (E.O.) to be kept secret in the interest of national 
defense or foreign policy and which are, in fact, properly classified 
pursuant to such E.O.;
    (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

[[Page 518]]

criteria for withholding information or refers to particular types of 
matters to be withheld; and if enacted after the date of enactment of 
the OPEN FOIA Act of 2009, specifically cites to 5 U.S.C. 552(b)(3);
    (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, provided that the deliberative process privilege shall not 
apply to records created twenty-five (25) years or more before the date 
on which the records were requested;
    (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.
    (c) Disclosure of segregable nonexempt material. The CSB will 
consider whether partial disclosure of information is possible whenever 
the agency determines that a full disclosure of a requested record is 
not possible. If a requested record contains exempted material along 
with nonexempted material, all reasonably segregable nonexempt material 
must be disclosed.
    (d) Records available through routine distribution procedures. If 
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, then the CSB will refer 
the requester to those sources. Nevertheless, if the requester is not 
satisfied with the alternative sources, then the CSB will process the 
request under its usual FOIA procedures, noting that the CSB will likely 
withhold copyrighted records under Exemption 4.



       Subpart B_Procedures for Requesting and Disclosing Records



Sec.  1601.10  Proactive disclosures.

    (a) In general. Records that the FOIA requires the CSB to make 
available for public inspection in an electronic format may be accessed 
through the CSB's Web site (which can be found at http://www.csb.gov/
disclaimers/legal-affairs-foia/). The CSB is responsible for determining 
which of its records must be made publicly available, for identifying 
additional records of interest to the public that are appropriate for 
public disclosure, and for posting and indexing such records. The CSB 
must ensure that its Web site of posted records and indices is reviewed 
and updated on an ongoing basis. The CSB has a FOIA

[[Page 519]]

Contact and FOIA Public Liaison who can assist individuals in locating 
records particular to the CSB. The most up to date contact information 
for the CSB's FOIA Contact and the CSB's FOIA Public Liaison is 
available at http://www.foia.gov/report-makerequest.html.
    (b) Definitions.
    (1) Disclose or disclosure means making records available for 
examination or copying, or furnishing a copy of nonexempt responsive 
records.
    (2) FOIA Contact means the name, address and phone number at the CSB 
where a requester can make a FOIA request.
    (3) FOIA Public Liaison means the official who supervises the FOIA 
Requester Service Center.



Sec.  1601.11  Requirements for making requests.

    (a) General information. (1) To make a request for records, a 
requester should write directly to the FOIA office of the agency that 
maintains the records sought. A request will receive the quickest 
possible response if the request is addressed to the FOIA office of the 
agency that maintains the records sought. If the CSB is the agency that 
maintains the records sought, then the contact information for the CSB's 
FOIA office is listed at http://www.foia.gov/report-makerequest.html, 
and any additional requirements for submitting a request can be found 
herein. Additionally, requesters who have questions or concerns about 
making a request, and those who have made a request who have questions 
or concerns, may discuss their request(s) with the CSB's FOIA Contact or 
FOIA Public Liaison.
    (2) A requester who is making a request for records about himself or 
herself must comply with the verification of identity requirements 
described in this section. Requesters must provide either a notarized 
statement or a statement signed under penalty of perjury stating that 
the requester is the person they claim to be. This certification is 
required in order to protect the requester's privacy and to ensure that 
private information about the requester is not disclosed inappropriately 
to another individual.
    (3) Where a request for records pertains to a third party, a 
requester may receive greater access by submitting either a notarized 
authorization signed by that individual or a declaration made in 
compliance with the requirements set forth in 28 U.S.C. 1746 by that 
individual authorizing disclosure of the records to the requester, or by 
submitting proof that the individual is deceased (e.g., a copy of a 
death certificate or an obituary). As an exercise of administrative 
discretion, the CSB can require a requester to supply additional 
information, if necessary, in order to verify that a particular 
individual has consented to disclosure.
    (b) Addressing requests. (1) All requests for records to the CSB 
must be made in writing.
    (2) For hard copy requests: The envelope and the request both should 
be clearly marked ``FOIA Request'' and addressed to: Chief FOIA 
Officer--FOIA Request, Chemical Safety and Hazard Investigation Board, 
1750 Pennsylvania Ave. NW., Suite 910, Washington, DC 20006.
    (3) For electronic requests: The subject line of the request should 
be marked ``FOIA Request'' and the request may be submitted by email to 
[email protected].
    (4) A request that is improperly addressed will be deemed to have 
been received by the CSB on the date that it is actually received by the 
CSB, or would have been received with the exercise of due diligence, by 
the FOIA Officer.
    (c) Description of records sought. (1) Requesters must describe the 
records sought in sufficient detail to enable the CSB's personnel to 
locate them with a reasonable amount of effort.
    (2) To the extent possible, requesters should include specific 
information that may help the CSB identify the requested records, such 
as the date, title or name, author, recipient, subject matter of the 
record, case number, file designation, or reference number. In general, 
requesters should include as much detail as possible about the specific 
records or the types of records that they are seeking. Before submitting 
their requests, requesters may contact the CSB's FOIA Contact or FOIA 
Public Liaison to discuss the

[[Page 520]]

records they seek and to receive assistance in describing the records.
    (3) If, after receiving a request, the CSB determines that the 
request does not reasonably describe the records sought, then the CSB 
must inform the requester what additional information is needed or why 
the request is otherwise insufficient. Requesters who are attempting to 
reformulate or modify such a request may discuss their request with the 
CSB's FOIA Contact or with the CSB's FOIA Public Liaison. If a request 
does not reasonably describe the records sought, the CSB's response to 
the request may be delayed.
    (d) Form of records. Requests may specify the preferred form or 
format (including electronic formats) for the records that the requester 
seeks. The CSB must accommodate requests if the record is readily 
reproducible in that form or format. If a person seeks information from 
the CSB in a format that does not currently exist, then the CSB must 
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.
    (e) Contact information. Requesters must provide their first and 
last name along with their contact information, such as their phone 
number, email address, and/or mailing address, to assist the CSB in 
communicating with them and providing released records.
    (f) Agreement to pay fees. The CSB considers a FOIA request an 
agreement by the requester to pay all applicable fees charged unless the 
requester seeks a waiver of fees. The CSB ordinarily will confirm this 
agreement in an acknowledgement letter. The CSB will not charge any fee 
if the total cost of the response is less than $25.00. See Sec.  1601.40 
[discussing fees in more detail]. If the fee will be greater than 
$25.00, then the CSB must contact the requester to discuss how the 
requester wants to proceed.
    (g) 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.  1601.12  Responsibility for responding to requests.

    (a) In general. The agency that first receives a request for a 
record and maintains that record is the agency responsible for 
responding to the request. In determining which records are responsive 
to a request, the CSB ordinarily will include only records in its 
possession as of the date that it begins its search. If any other date 
is used, the CSB must inform the requester of that date. A record that 
is excluded from the requirements of the FOIA pursuant to 5 U.S.C. 
552(c), is not considered responsive to a request.
    (b) Authority to grant or deny requests. The Chief FOIA Officer or a 
designee is authorized to grant or to deny any initial request for 
records that are maintained by the CSB and to determine any appropriate 
fees.
    (c) Consultation, referral, and coordination. When reviewing 
records, the CSB must determine whether another agency of the Federal 
Government is better able to determine whether the record is exempt from 
disclosure under the FOIA. As to any such record, the CSB must proceed 
in one of the following ways:
    (1) Consultation. When records originated with the CSB, but contain 
within them information of interest to another agency or other Federal 
Government office, the CSB should consult with that other entity prior 
to making a release determination.
    (2) Referral. (i) When the CSB believes that a different agency or 
component of a different agency is best able to determine whether to 
disclose the record, the CSB should refer the responsibility for 
responding to the request regarding that record to that agency or 
component. Ordinarily, the agency that originated the record is presumed 
to be the best agency to make the disclosure determination. However, if 
the CSB and the originating agency jointly agree that the CSB is in the 
best position to

[[Page 521]]

respond regarding the record, then the record may be handled as a 
consultation.
    (ii) Whenever the CSB refers any part of the responsibility for 
responding to a request to another agency, it must document the 
referral, maintain a copy of the record that it refers, and notify the 
requester of the referral, informing the requester of the name(s) of the 
agency to which the record was referred, including that agency's FOIA 
contact information.
    (3) Coordination. The standard referral procedure is not appropriate 
where disclosure of the identity of the agency to which the referral 
would be made could harm an interest protected by an applicable 
exemption, such as the exemptions that protect personal privacy or 
national security interests. For example, if a non-law enforcement 
agency responding to a request for records on a living third party 
locates within its files records originating with a law enforcement 
agency, and if the existence of that law enforcement interest in the 
third party was not publicly known, then to disclose that law 
enforcement interest could cause an unwarranted invasion of the personal 
privacy of the third party. Similarly, if an agency locates within its 
files material originating with an Intelligence Community agency, and 
the involvement of that agency in the matter is classified and not 
publicly acknowledged, then to disclose or give attribution to the 
involvement of that Intelligence Community agency could cause national 
security harms. In such instances, in order to avoid harm to an interest 
protected by an applicable exemption, the CSB must coordinate with the 
originating agency to seek its views on whether the record can be 
disclosed. The release determination for the record that is the subject 
of the coordination will then be conveyed to the requester by the CSB.
    (d) Classified information. Upon receipt of any request involving 
classified information, the CSB must determine whether the information 
is currently and properly classified in accordance with applicable 
classification rules. Whenever a request involves a record containing 
information that has been classified or may be appropriate for 
classification by another agency under any applicable E.O. concerning 
the classification of records, the CSB must refer the responsibility for 
responding to the request regarding that information to the agency that 
classified the information, or to the agency that should consider the 
information for classification. Whenever the CSB's record contains 
information that has been derivatively classified (for example, when it 
contains information classified by another agency), the CSB must refer 
the responsibility for responding to that portion of the request to the 
agency that classified the underlying information.
    (e) Timing of responses to consultations and referrals. All 
consultations and referrals received by the CSB must be handled 
according to the date that the first agency received the perfected FOIA 
request.
    (f) Agreements regarding consultations and referrals. The CSB may 
establish agreements with other agencies to eliminate the need for 
consultations or referrals with respect to particular types of records.
    (g) No responsive record. If no records are responsive to the 
request, the FOIA Officer will so notify the requester in writing.



Sec.  1601.13  Timing of responses to requests.

    (a) In general. The CSB ordinarily will respond to requests 
according to their order of receipt.
    (b) Definitions.
    (1) Working day means a Federal workday; Saturdays, Sundays, and 
Federal holidays are excluded in computing the response time for 
processing FOIA requests.
    (2) [Reserved]
    (c) Multitrack processing. The CSB has a specific track for requests 
that are granted expedited processing, in accordance with the standards 
set forth in paragraph (f) of this section. In addition, the CSB uses 
two standard processing tracks- one for simple requests and a separate 
track for complex requests. The CSB will assign requests to the simple 
or complex track based on the estimated amount of work or time needed to 
process the request. Among the factors the CSB may consider are

[[Page 522]]

the number of records requested, the number of pages involved in 
processing the request and the need for consultations or referrals. The 
CSB must advise each requester of the track into which their request 
falls and, when appropriate, will offer a requester an opportunity to 
narrow or modify their request so that it can be placed in the simple 
processing track.
    (d) Unusual circumstances. Whenever the CSB cannot meet the 
statutory time limit for processing a request because of ``unusual 
circumstances,'' as defined in the FOIA, and the CSB extends the time 
limit on that basis, the CSB must, before expiration of the twenty (20) 
day period to respond, notify the requester in writing of the unusual 
circumstances involved and of the date by which the CSB estimates 
processing of the request will be completed. Where the extension exceeds 
ten (10) working days, the CSB must, as described by the FOIA, provide 
the requester with an opportunity to modify the request or arrange an 
alternative time period for processing the original or modified request. 
The CSB must make available its designated FOIA Contact or its FOIA 
Public Liaison for this purpose. A list of agency FOIA Public Liaisons 
is available at http://www.foia.gov/report-makerequest.html. The CSB 
must also alert requesters to the availability of the Office of 
Government Information Services (OGIS) to provide dispute resolution 
services.
    (e) Aggregating requests. To satisfy unusual circumstances under the 
FOIA, the CSB may aggregate requests in cases where it reasonably 
appears that multiple requests, submitted either by a requester, or by a 
group of requesters acting in concert, constitute a single request that 
would otherwise involve unusual circumstances. The CSB must not 
aggregate multiple requests that involve unrelated matters.
    (f) Expedited processing. (1) The CSB must process requests and 
appeals on an expedited basis whenever it is determined that they 
involve:
    (i) Circumstances in which the lack of expedited processing 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 who is 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 that 
affect public confidence.
    (2) A request for expedited processing may be made at any time. 
Requests based on paragraphs (f)(1)(i) through (iv) of this section must 
be submitted to the CSB. When making a request for expedited processing 
of an administrative appeal, the request must be submitted to the CSB's 
FOIA Appeals Officer in accordance with Sec.  1601.20.
    (3) A requester who seeks expedited processing must submit a 
statement, certified to be true and correct, explaining in detail the 
basis for making the request for expedited processing. For example, 
under paragraph (f)(1)(ii) of this section, a requester who is not a 
full-time member of the news media must establish that the requester is 
a person whose primary professional activity or occupation is 
information dissemination, though it need not be the requester's sole 
occupation. Such a requester also must establish a particular urgency to 
inform the public about the government activity involved in the 
request--one that extends beyond the public's right to know about 
government activity generally. The existence of numerous articles 
published on a given subject can be helpful in establishing the 
requirement that there be an ``urgency to inform'' the public on the 
topic. As a matter of administrative discretion, the CSB may waive the 
formal certification requirement.
    (4) The CSB must notify the requester within ten (10) calendar days 
of the receipt of a request for expedited processing of its decision 
whether to grant or deny expedited processing. If expedited processing 
is granted, then the request must be given priority, placed in the 
processing track for expedited requests, and must be processed as soon 
as practicable. If a request for expedited processing is denied, then 
the

[[Page 523]]

CSB must act on any appeal of that decision expeditiously.



Sec.  1601.14  Responses to requests.

    (a) In general. The CSB, to the extent practicable, will communicate 
electronically with requesters having access to the Internet, such as by 
email or web portal.
    (b) Acknowledgments of requests. The CSB must acknowledge the 
request in writing and assign it an individualized tracking number if it 
will take longer than ten (10) working days to process. The CSB must 
include in the acknowledgment a brief description of the records sought 
to allow requesters to more easily keep track of their requests.
    (c) Estimated dates of completion and interim responses. Upon 
request, the CSB must provide an estimated date by which the CSB expects 
to provide a response to the requester. If a request involves a 
voluminous amount of material, or searches in multiple locations, the 
CSB may provide interim responses, releasing the records on a rolling 
basis.
    (d) Grants of requests. Once the CSB determines it will grant a 
request in full or in part, it must notify the requester in writing. The 
notice must describe the manner in which the record or records will be 
disclosed, whether by providing a copy of the record or records with the 
response, or providing them 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 must not unreasonably 
disrupt the operation of the CSB. The CSB must also inform the requester 
of any fees charged under Sec.  1601.40 and must disclose the requested 
records to the requester promptly upon payment of any applicable fees. 
The CSB must inform the requester of the availability of its FOIA Public 
Liaison to offer assistance.
    (e) Adverse determinations of requests. If the CSB makes an adverse 
determination denying a request in any respect, it must notify the 
requester of that determination in writing. Adverse determinations, or 
denials of requests, include decisions that: The requested record is 
exempt, in whole or in part; the request does not reasonably describe 
the records sought; the information requested is not a record subject to 
the FOIA; the requested record does not exist, cannot be located, or has 
been destroyed; or the requested record is not readily reproducible in 
the form or format sought by the requester. Adverse determinations also 
include denials involving fees or fee waiver matters or denials of 
requests for expedited processing.
    (f) Content of denial. The denial must be signed by the Chairperson 
or the FOIA Officer and must include:
    (1) The name and title or position of the person responsible for the 
denial;
    (2) A brief statement of the reasons for the denial, including any 
FOIA exemption(s) applied by the CSB in denying the request;
    (3) An estimate of the volume of any records or information 
withheld, such as the number of pages or some other reasonable form of 
estimation, although such an estimate is not required if the volume is 
otherwise indicated by deletions marked on records that are disclosed in 
part or if providing an estimate would harm an interest protected by an 
applicable exemption; and
    (4) A statement that the denial may be appealed under Sec.  1601.20, 
and a description of the appeal requirements.
    (5) A statement notifying the requester of the assistance available 
from the CSB's FOIA Public Liaison and the dispute resolution services 
offered by the OGIS.
    (g) Markings on released documents. Records disclosed in part must 
be marked clearly to show the amount of information deleted and the 
exemption under which the deletion was made unless doing so would harm 
an interest protected by an applicable exemption. The location of the 
information deleted must also be indicated on the record, if technically 
feasible.
    (h) Use of record exclusions. (1) In the event that the CSB 
identifies records that may be subject to exclusion from the 
requirements of the FOIA pursuant to 5 U.S.C. 552(c), the CSB must 
confer with Department of Justice, Office of Information Policy (OIP), 
to obtain approval to apply the exclusion.

[[Page 524]]

    (2) When invoking an exclusion, the CSB must maintain an 
administrative record of the process of invocation and approval of the 
exclusion by OIP.



Sec.  1601.15  Special procedures for confidential commercial information.

    (a) In general. Confidential commercial information provided to the 
CSB by a submitter must not be disclosed pursuant to a FOIA request 
except in accordance with this section.
    (b) Definitions.
    (1) Confidential commercial information means commercial or 
financial information obtained by the CSB from a submitter that may be 
protected from disclosure under Exemption 4 of the FOIA, 5 U.S.C. 
552(b)(4).
    (2) Submitter means any person or entity, including a corporation, 
State, or foreign government, Indian tribal governments but not 
including another Federal Government entity, that provides confidential 
commercial information, either directly or indirectly to the Federal 
Government.
    (c) Designation of confidential commercial information. A submitter 
of confidential commercial information must make good faith efforts to 
designate by appropriate markings, at the time of submission, any 
portion of its submission that it considers to be protected from 
disclosure under Exemption 4 of the FOIA, 5 U.S.C. 552(b)(4). These 
designations expire ten (10) years after the date of the submission 
unless the submitter requests and provides justification for a longer 
designation period.
    (d) When notice to submitters is required. (1) The CSB must promptly 
provide written notice to the submitter of confidential commercial 
information whenever records containing such information are requested 
under the FOIA if the CSB determines that it may be required to disclose 
the records, provided:
    (i) The requested information has been designated in good faith by 
the submitter as information considered protected from disclosure under 
Exemption 4; or
    (ii) The CSB has a reason to believe that the requested information 
may be protected from disclosure under Exemption 4, but has not yet 
determined whether the information is protected from disclosure.
    (2) The notice must either describe the commercial information 
requested or include a copy of the requested records or portions of 
records containing the information. In cases involving a voluminous 
number of submitters, the CSB may post or publish a notice in a place or 
manner reasonably likely to inform the submitters of the proposed 
disclosure, instead of sending individual notifications.
    (e) Exceptions to submitter notice requirements. The notice 
requirements of this section do not apply if:
    (1) The CSB determines that the information is exempt under the 
FOIA, and therefore will not be disclosed;
    (2) The information has been lawfully published or has been 
officially made available to the public;
    (3) Disclosure of the information is required by a statute other 
than the FOIA or by a regulation issued in accordance with the 
requirements of E.O. 12600 of June 23, 1987; or
    (4) The designation made by the submitter under paragraph (c) of 
this section appears obviously frivolous. In such case, the CSB must 
give the submitter written notice of any final decision to disclose the 
information within a reasonable number of days prior to a specified 
disclosure date.
    (f) Opportunity to object to disclosure. (1) The CSB must specify a 
reasonable time period within which the submitter must respond to the 
notice referenced above.
    (2) If a submitter has any objections to disclosure, it should 
provide the CSB a detailed written statement that specifies all grounds 
for withholding the particular information under any exemption of the 
FOIA. In order to rely on Exemption 4 as basis for nondisclosure, the 
submitter must explain why the information constitutes a trade secret or 
commercial or financial information that is privileged or confidential. 
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

[[Page 525]]

itself be subject to disclosure under the FOIA.
    (3) A submitter who fails to respond within the time period 
specified in the notice will be considered to have no objection to 
disclosure of the information. The CSB is not required to consider any 
information received after the date of any disclosure decision. Any 
information provided by a submitter under this subpart may itself be 
subject to disclosure under the FOIA.
    (g) Analysis of objections. The CSB must consider a submitter's 
objections and specific grounds for nondisclosure in deciding whether to 
disclose the requested information.
    (h) Notice of intent to disclose. Whenever the CSB decides to 
disclose information over the objection of a submitter, the CSB must 
provide the submitter written notice, which must include:
    (1) A statement of the reasons why each of the submitter's 
disclosure objections was not sustained;
    (2) A description of the information to be disclosed or copies of 
the records as the CSB intends to release them; and
    (3) A specified disclosure date, which must be a reasonable time 
after the notice.
    (i) Notice of FOIA lawsuit. Whenever a requester files a lawsuit 
seeking to compel the disclosure of confidential commercial information, 
the CSB must promptly notify the submitter.
    (j) Requester notification. The CSB must notify the requester 
whenever it provides the submitter with notice and an opportunity to 
object to disclosure because the request includes information that may 
arguably be exempt from disclosure under Exemption 4 of the FOIA; 
whenever it notifies the submitter of its intent to disclose the 
requested information; and whenever a submitter files a lawsuit to 
prevent the disclosure of the information.



                            Subpart C_Appeals



Sec.  1601.20  Processing of appeals.

    (a) Right of appeal. If a request has been denied in whole or in 
part, the requester may appeal the denial to the CSB's FOIA Appeals 
Officer.
    (b) Definitions.
    (1) FOIA Appeal means an independent review of an adverse 
determination initial determination made in response to a FOIA request.
    (2) FOIA Appeals Officer means the person designated by the 
Chairperson to process and to decide a FOIA appeal.
    (c) Requirements for making an appeal. (1) A requester may appeal 
any adverse determinations to the FOIA Appeals Officer. Examples of 
adverse determinations are provided in Sec.  1601.14(e).
    (2) The requester must make the appeal in writing. Requesters can 
submit appeals by mail or email in accordance with the following 
requirements herein, which are also listed on the CSB's Web site. To 
facilitate handling, the requester should mark both the appeal letter 
and envelope, or subject line of the electronic transmission, ``Freedom 
of Information Act Appeal'' or ``FOIA Appeal.''
    (i) For hard copy requests: The envelope and the request both should 
addressed to: FOIA Appeals Officer--FOIA Appeal, Chemical Safety and 
Hazard Investigation Board, 1750 Pennsylvania Ave. NW., Suite 910, 
Washington, DC 20006.
    (ii) For electronic requests: The appeal should addressed to the 
FOIA Appeals Officer and may be submitted by email to 
[email protected].
    (3) To be considered timely, an appeal must be postmarked, or in the 
case of electronic submissions, transmitted, within ninety (90) calendar 
days after the date of the adverse determination that is the subject of 
the appeal. For purposes of apply the ninety (90) calendar day deadline, 
the CSB will treat an appeal that is improperly addressed as being 
received on the date on the date that it is actually received by the 
CSB, or would have been received with the exercise of due diligence, by 
the FOIA Appeals Officer.
    (4) The appeal should clearly identify the adverse determination 
that is being appealed and the assigned request number.
    (5) An appeal should also 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.

[[Page 526]]

    (d) Adjudication of appeals. (1) The CSB FOIA Appeals Officer or 
designee will act on behalf of the CSB's Chief FOIA Officer on all 
appeals under this section.
    (2) An appeal ordinarily will not be adjudicated if the request 
becomes a matter of FOIA litigation.
    (3) On receipt of any appeal involving classified information, the 
FOIA Appeals Officer must take appropriate action to ensure compliance 
with applicable classification rules.
    (e) Decisions on appeals. The CSB must provide its decision on an 
appeal in writing. The disposition of an appeal will be in writing and 
will constitute the final action of the CSB on a request. A decision 
that upholds the CSB's determination in whole or in part will contain a 
statement that identifies the reasons for the affirmance, including any 
FOIA exemptions applied. The decision will provide the requester with 
notification of the statutory right to file a lawsuit and will also 
inform the requester of the mediation services offered by the OGIS of 
the National Archives and Records Administration as a non-exclusive 
alternative to litigation. If the CSB's decision is remanded or modified 
on appeal, the CSB must notify the requester of that determination in 
writing. The CSB must then further process the request in accordance 
with that appeal determination and will respond directly to the 
requester.
    (f) Engaging in dispute resolution services provided by OGIS. 
Dispute resolution is a voluntary process. If the CSB agrees to 
participate in the dispute resolution services provided by OGIS, it will 
actively engage as a partner to the process in an attempt to resolve the 
dispute.
    (g) When appeal is required. Before seeking review by a court of the 
CSB's adverse determination, a requester generally must first submit a 
timely administrative appeal.



                        Subpart D_Administration



Sec.  1601.30  Protection of records.

    (a) In general. (1) Except as authorized by this part or as 
otherwise necessary in performing official duties, CSB employees must 
not 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.
    (2) 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 a 
Federal record, in whole or in part, is a violation of Federal law.
    (b) [Reserved]



Sec.  1601.31  Preservation of records pertaining to requests under this part.

    The CSB must preserve all correspondence pertaining to the requests 
that it receives under this subpart, as well as copies of all requested 
records, until disposition or destruction is authorized pursuant to 
title 44 of the United States Code and the General Records Schedule 4.2 
of the National Archives and Records Administration. The CSB must not 
dispose of or destroy records while they are the subject of a pending 
request, appeal, or lawsuit under the FOIA.



Sec.  1601.32  Other rights and services.

    Nothing in this subpart will be construed to entitle any person, as 
of right, to any service or to the disclosure of any record to which 
such person is not entitled under the FOIA.



                             Subpart E_Fees



Sec.  1601.40  Procedures for fees.

    (a) In general. The CSB must charge for processing requests under 
the FOIA in accordance with the provisions of this section and with the 
OMB Guidelines. For purposes of assessing fees, the FOIA establishes 
three categories of requesters: Commercial use requesters, non-
commercial scientific or educational institutions or news media 
requesters, and all other requesters. Different fees are assessed 
depending on the category. Requesters may seek a fee waiver. The CSB 
must consider requests for fee waivers in accordance with the 
requirements in paragraph (k) of this section. To resolve any fee

[[Page 527]]

issues that arise under this section, the CSB may contact a requester 
for additional information. The CSB must ensure that searches, review, 
and duplication are conducted in the most efficient and the least 
expensive manner. The CSB ordinarily will collect all applicable fees 
before sending copies of records to a requester. Requesters must pay 
fees by check or money order made payable to the Treasury of the United 
States, or by another method as determined by the CSB.
    (b) Definitions.
    (1) Commercial use request is a request that asks for information 
for a use or a purpose that furthers a commercial, trade, or profit 
interest, which can include furthering those interests through 
litigation. The CSB's decision to place a requester in the commercial 
use category will be made on a case-by-case basis based on the 
requester's intended use of the information. The CSB must notify 
requesters of their placement in this category.
    (2) Direct costs are those expenses that the CSB incurs in searching 
for and duplicating (and, in the case of commercial use requests, 
reviewing) records in order to respond to a FOIA request. For example, 
direct costs include the salary of the employee performing the work 
(i.e., the basic rate of pay for the employee, plus sixteen percent 
(16%) of that rate to cover benefits) and the cost of operating 
computers and other electronic equipment, such as photocopiers and 
scanners. Direct costs do not include overhead expenses such as the 
costs of space, and of heating or lighting a facility.
    (3) Duplication is reproducing a copy of a record, or of the 
information contained in it, necessary to respond to a FOIA request. 
Copies can take the form of paper, audiovisual materials, or electronic 
records, among others. The copies provided must be in a form that is 
reasonably usable by requesters.
    (4) Educational institution is any school that operates a program of 
scholarly research. A requester in this fee category must show that the 
request is made in connection with the requester's role at the 
educational institution. The CSB may seek verification from the 
requester that the request is in furtherance of scholarly research and 
the CSB must advise requesters of their placement in this category.
    (i) Example 1. A request from a professor of geology at a university 
for records relating to soil erosion, written on letterhead of the 
Department of Geology, would be presumed to be from an educational 
institution.
    (ii) Example 2. A request from the same professor of geology seeking 
drug information from the Food and Drug Administration in furtherance of 
a murder mystery he is writing would not be presumed to be an 
institutional request, regardless of whether it was written on 
institutional stationery.
    (iii) Example 3. A student who makes a request in furtherance of the 
student's coursework or other school-sponsored activities and provides a 
copy of a course syllabus or other reasonable documentation to indicate 
the research purpose for the request, would qualify as part of this fee 
category.
    (5) Noncommercial scientific institution is an institution that is 
not operated on a ``commercial'' basis, as defined in paragraph (b)(1) 
of this section and that is operated solely for the purpose of 
conducting scientific research the results of which are not intended to 
promote any particular product or industry. A requester in this category 
must show that the request is authorized by and is made under the 
auspices of a qualifying institution and that the records are sought to 
further scientific research and are not for a commercial use. The CSB 
must advise requesters of their placement in this category.
    (6) Representative of the news media is any person or entity that 
gathers information of potential interest to a segment of the public, 
uses its editorial skills to turn the raw materials into a distinct 
work, and distributes that work to an audience. Accordingly, the term 
includes 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. Examples of news media entities 
include television or radio stations that broadcast news to the public 
at large, and publishers of periodicals that disseminate news and

[[Page 528]]

make their products available through a variety of means to the general 
public, including news organizations that make their products available 
for purchase by or subscription by or free distribution to the general 
public, including those solely on the Internet. These examples are not 
all-inclusive. Moreover, as methods of news delivery evolve (for 
example, the adoption of the electronic dissemination of newspapers 
through telecommunications services), such alternative media shall be 
considered to be news-media entities. A request for records supporting 
the news-dissemination function of the requester will not be considered 
to be for a commercial use. Freelance journalists who demonstrate a 
solid basis for expecting publication through a news media entity will 
be considered as a representative of the news media. A publishing 
contract would provide the clearest evidence that publication is 
expected; however, the CSB can also consider a requester's past 
publication record in making this determination. The CSB will advise 
requesters of their placement in this category.
    (7) Review is the examination of a record located in response to a 
FOIA request in order to determine whether any portion of it is exempt 
from disclosure under one or more of the FOIA exemptions. Review time 
includes processing any record for disclosure, such as doing all that is 
necessary to prepare the record for disclosure, including the process of 
redacting the record and marking the appropriate exemptions. Review 
costs are properly charged even if a record ultimately is not disclosed. 
Review time also includes time spent both obtaining and considering any 
formal objection to disclosure made by a confidential commercial 
information submitter under Sec.  1601.15, but it does not include time 
spent resolving general legal or policy issues regarding the application 
of exemptions.
    (8) Search is the process of looking for and retrieving records or 
information responsive to a request. Search time includes page-by-page 
or line-by-line identification of information within records and the 
reasonable efforts expended to locate and retrieve information from 
electronic records.
    (c) Charging fees. In responding to FOIA requests, the CSB will 
charge the following fees unless a waiver or reduction of fees has been 
granted under paragraph (k) of this section. Because the fee amounts 
provided below already account for the direct costs associated with a 
given fee type, the CSB should not add any additional costs to charges 
calculated under this section.
    (1) Search. (i) Requests made by educational institutions, 
noncommercial scientific institutions, or representatives of the news 
media are not subject to search fees. The CSB must charge search fees 
for all other requesters, subject to the restrictions of paragraph (d) 
of this section. The CSB may properly charge for time spent searching 
even if they do not locate any responsive records or if they determine 
that the records are entirely exempt from disclosure.
    (ii) For each quarter hour spent by personnel searching for 
requested records, including electronic searches that do not require new 
programming, the fees will be charged as follows: $6.00 for clerical 
personnel; $11.00 for professional personnel; and $15.00 for managerial 
personnel.
    (iii) The CSB must charge the direct costs associated with 
conducting any search that requires the creation of a new computer 
program to locate the requested records. The CSB must notify the 
requester of the costs associated with creating such a program, and the 
requester must agree to pay the associated costs before the costs may be 
incurred.
    (iv) For requests that require the retrieval of records stored by 
the CSB at a Federal records center operated by the National Archives 
and Records Administration (NARA), the CSB must charge additional costs 
in accordance with the Transactional Billing Rate Schedule established 
by NARA.
    (2) Duplication. The CSB will charge duplication fees to all 
requesters, subject to the restrictions of paragraph (d) of this 
section. The CSB must honor a requester's preference for receiving a 
record in a particular form or format where the CSB can readily 
reproduce it in the form or format requested. Where photocopies are 
supplied, the CSB must provide one copy per request at the

[[Page 529]]

cost of $0.17 per page. For copies of records produced on tapes, disks, 
or other media, the CSB must charge the direct costs of producing the 
copy, including operator time. Where paper documents must be scanned in 
order to comply with a requester's preference to receive the records in 
an electronic format, the requester must also pay the direct costs 
associated with scanning those materials. For other forms of 
duplication, the CSB must charge the direct costs.
    (3) Review. The CSB must charge review fees to requesters who make 
commercial use requests. Review fees will be assessed in connection with 
the initial review of the record, i.e., the review conducted by the CSB 
to determine whether an exemption applies to a particular record or 
portion of a record. No charge will be made for review at the 
administrative appeal stage of exemptions applied at the initial review 
stage. However, if a particular exemption is deemed to no longer apply, 
any costs associated with the CSB's re-review of the records in order to 
consider the use of other exemptions may be assessed as review fees. 
Review fees will be charged at the same rates as those charged for a 
search under paragraph (c)(1)(ii) of this section.
    (d) Restrictions on charging fees. (1) When the CSB determines that 
a requester is an educational institution, non-commercial scientific 
institution, or representative of the news media, and the records are 
not sought for commercial use, it will not charge search fees.
    (2)(i) If the CSB fails to comply with the FOIA's time limits in 
which to respond to a request, it may not charge search fees, or, in the 
instances of requests from requesters described in paragraph (d)(1) of 
this section, may not charge duplication fees, except as described in 
paragraphs (d)(2)(ii)-(iv).
    (ii) If the CSB has determined that unusual circumstances as defined 
by the FOIA apply and the CSB provided timely written notice to the 
requester in accordance with the FOIA, a failure to comply with the time 
limit must be excused for an additional ten (10) days.
    (iii) If the CSB has determined that unusual circumstances as 
defined by the FOIA apply, and more than 5,000 pages are necessary to 
respond to the request, the CSB may charge search fees, or, in the case 
of requesters described in paragraph (d)(1) of this section, may charge 
duplication fees, if the following steps are taken. The CSB must have 
provided timely written notice of unusual circumstances to the requester 
in accordance with the FOIA and the CSB must have discussed with the 
requester via written mail, email, or telephone (or made not less than 
three good-faith attempts to do so) how the requester could effectively 
limit the scope of the request in accordance with 5 U.S.C. 
552(a)(6)(B)(ii). If this exception is satisfied, the CSB may charge all 
applicable fees incurred in the processing of the request.
    (iv) If a court has determined that exceptional circumstances exist 
as defined by the FOIA, a failure to comply with the time limits shall 
be excused for the length of time provided by the court order.
    (3) No search or review fees will be charged for a quarter-hour 
period unless more than half of that period is required for search or 
review.
    (4) Except for requesters seeking records for a commercial use, the 
CSB must provide without charge:
    (i) The first 100 pages of duplication (or the cost equivalent for 
other media); and
    (ii) The first two hours of search.
    (5) No fee will be charged when the total fee, after deducting the 
100 free pages (or its cost equivalent) and the first two hours of 
search, is equal to or less than $25.00.
    (e) Notice of anticipated fees in excess of $25.00. (1) When the CSB 
determines or estimates that the fees to be assessed in accordance with 
this section will exceed $25.00, the CSB must notify the requester of 
the actual or estimated amount of the fees, including a breakdown of the 
fees for search, review or duplication, unless the requester has 
indicated a willingness to pay fees as high as those anticipated. If 
only a portion of the fee can be estimated readily, the CSB must advise 
the requester accordingly. If the request is for non-commercial use, the 
notice will specify that the requester is entitled to the statutory 
entitlements of 100 pages of duplication at no charge

[[Page 530]]

and, if the requester is charged search fees, two hours of search time 
at no charge, and will advise the requester whether those entitlements 
have been provided.
    (2) If the CSB notifies the requester that the actual or estimated 
fees are in excess of $25.00, the request will not be considered 
received and further work will not be completed until the requester 
commits in writing to pay the actual or estimated total fee, or 
designates some amount of fees the requester is willing to pay, or in 
the case of a non-commercial use requester who has not yet been provided 
with the requester's statutory entitlements, designates that the 
requester seeks only that which can be provided by the statutory 
entitlements. The requester must provide the commitment or designation 
in writing, and must, when applicable, designate an exact dollar amount 
the requester is willing to pay. The CSB is not required to accept 
payments in installments. Requesters must respond to their fee estimate 
within thirty (30) working days, or the CSB will assume that the 
requester is no longer interested in their FOIA request(s), and the case 
will be administratively closed.
    (3) If the requester has indicated a willingness to pay some 
designated amount of fees, but the CSB estimates that the total fee will 
exceed that amount, the CSB will toll the processing of the request when 
it notifies the requester of the estimated fees in excess of the amount 
the requester has indicated a willingness to pay. The CSB will inquire 
whether the requester wishes to revise the amount of fees the requester 
is willing to pay or modify the request. Once the requester responds, 
the time to respond will resume from where it was at the date of the 
notification.
    (4) The CSB must make available its FOIA Public Liaison or anther 
FOIA professional to assist any requester in reformulating a request to 
meet the requester's needs at a lower cost.
    (f) Charges for other services. Although not required to provide 
special services, if the CSB chooses to do so as a matter of 
administrative discretion, the direct costs of providing the service 
will be charged. Examples of such services include certifying that 
records are true copies, providing multiple copies of the same document, 
or sending records by means other than first class mail.
    (g) Charging interest. The CSB may charge interest on any unpaid 
bill starting on the thirty-first (31) day following the date of billing 
the requester. Interest charges will be assessed at the rate provided in 
31 U.S.C. 3717 and will accrue from the billing date until payment is 
received by the CSB. The CSB must follow the provisions of the Debt 
Collection Act of 1982 (Pub. L. 97-365, 96 Stat. 1749), as amended, and 
its administrative procedures, including the use of consumer reporting 
agencies, collection agencies, and offset.
    (h) Aggregating requests. When the CSB reasonably believes that a 
requester or a group of requesters acting in concert is attempting to 
divide a single request into a series of requests for the purpose of 
avoiding fees, the CSB may aggregate those requests and charge 
accordingly. The CSB may presume that multiple requests of this type 
made within a thirty (30) day period have been made in order to avoid 
fees. For requests separated by a longer period, the CSB must aggregate 
them only where there is a reasonable basis for determining that 
aggregation is warranted in view of all the circumstances involved. 
Multiple requests involving unrelated matters cannot be aggregated.
    (i) Advance payments. (1) For requests other than those described in 
paragraphs (i)(2) or (i)(3) of this section, the CSB must not require 
the requester to make an advance payment before work is commenced or 
continued on a request. Payment owed for work already completed (i.e., 
payment before copies are sent to a requester) is not an advance 
payment.
    (2) When the CSB determines or estimates that a total fee to be 
charged under this section will exceed $250.00, it may require that the 
requester make an advance payment up to the amount of the entire 
anticipated fee before beginning to process the request. The CSB may 
elect to process the request prior to collecting fees when it receives

[[Page 531]]

a satisfactory assurance of full payment from a requester with a history 
of prompt payment.
    (3) Where a requester has previously failed to pay a properly 
charged FOIA fee to the CSB within thirty (30) calendar days of the 
billing date, the CSB may require that the requester pay the full amount 
due, plus any applicable interest on that prior request, and the CSB may 
require that the requester make an advance payment of the full amount of 
any anticipated fee before the CSB begins to process a new request or 
continues to process a pending request or any pending appeal. Where the 
CSB has a reasonable basis to believe that a requester has 
misrepresented the requester's identity in order to avoid paying 
outstanding fees, it may require that the requester provide proof of 
identity.
    (4) In cases in which the CSB requires advance payment, the request 
will not be considered received and further work will not be completed 
until the required payment is received. If the requester does not pay 
the advance payment within thirty (30) calendar days after the date of 
the CSB's fee determination, the request will be closed.
    (j) Other statutes specifically providing for fees. The fee schedule 
of this section does not apply to fees charged under any statute that 
specifically requires the CSB to set and collect fees for particular 
types of records. In instances where records responsive to a request are 
subject to a statutorily-based fee schedule program, the CSB must inform 
the requester of the contact information for that program.
    (k) Requirements for waiver or reduction of fees. (1) Requesters may 
seek a waiver of fees by submitting a written application demonstrating 
how disclosure of the requested information is in the public interest 
because it is likely to contribute significantly to public understanding 
of the operations or activities of the government and is not primarily 
in the commercial interest of the requester.
    (2) The CSB must furnish records responsive to a request without 
charge or at a reduced rate when it determines, based on all available 
information, that disclosure of the requested information is in the 
public interest because it is likely to contribute significantly to 
public understanding of the operations or activities of the government 
and is not primarily in the commercial interest of the requester. In 
deciding whether this standard is satisfied the CSB must consider the 
factors described in paragraphs (k)(2)(i) through (iii) of this section:
    (i) Disclosure of the requested information would shed light on the 
operations or activities of the government. The subject of the request 
must concern identifiable operations or activities of the Federal 
Government with a connection that is direct and clear, not remote or 
attenuated.
    (ii) Disclosure of the requested information is likely to contribute 
significantly to public understanding of those operations or activities. 
This factor is satisfied when the following criteria are met:
    (A) Disclosure of the requested records must be meaningfully 
informative about government operations or activities. The disclosure of 
information that already is in the public domain, in either the same or 
a substantially identical form, would not be meaningfully informative if 
nothing new would be added to the public's understanding.
    (B) The disclosure must contribute to the understanding of a 
reasonably broad audience of persons interested in the subject, as 
opposed to the individual understanding of the requester. A requester's 
expertise in the subject area as well as the requester's ability and 
intention to effectively convey information to the public must be 
considered. The CSB will presume that a representative of the news media 
will satisfy this consideration.
    (iii) The disclosure must not be primarily in the commercial 
interest of the requester. To determine whether disclosure of the 
requested information is primarily in the commercial interest of the 
requester, the CSB must consider the following criteria:
    (A) The CSB must identify whether the requester has any commercial 
interest that would be furthered by the requested disclosure. A 
commercial interest includes any commercial, trade, or profit interest. 
Requesters must be

[[Page 532]]

given an opportunity to provide explanatory information regarding this 
consideration.
    (B) If there is an identified commercial interest, the CSB must 
determine whether that is the primary interest furthered by the request. 
A waiver or reduction of fees is justified when the requirements of 
paragraphs (k)(2)(i) and (ii) are satisfied and any commercial interest 
is not the primary interest furthered by the request. The CSB ordinarily 
will presume that when a news media requester has satisfied the factors 
in paragraphs (k)(2)(i) and (ii) of this section, the request is not 
primarily in the commercial interest of the requester. Disclosure to 
data brokers or others who merely compile and market government 
information for direct economic return will not be presumed to primarily 
serve the public interest.
    (3) Where only some of the records to be released satisfy the 
requirements for a waiver of fees, a waiver must be granted for those 
records.
    (4) Requests for a waiver or reduction of fees should be made when 
the request is first submitted to the CSB and should address the 
criteria referenced above. A requester may submit a fee waiver request 
at a later time so long as the underlying record request is pending or 
on administrative appeal. When a requester who has committed to pay fees 
subsequently asks for a waiver of those fees and that waiver is denied, 
the requester must pay any costs incurred up to the date the fee waiver 
request was received.



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

[[Page 533]]

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 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

[[Page 534]]

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.
    (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.

[[Page 535]]

    (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.



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.

[[Page 536]]

    (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.



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

[[Page 537]]

its statutory functions and responsibilities. The public is invited to 
attend but not to participate in open meetings. For any open meeting, 
the Board, 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

[[Page 538]]

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 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

[[Page 539]]

    (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 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.

[[Page 540]]

    (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 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

[[Page 541]]

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 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

[[Page 542]]

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 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

[[Page 543]]

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.
    (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

[[Page 544]]

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 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

[[Page 545]]

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.
    (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

[[Page 546]]

deposition if court rules permit, and that testimony await the issuance 
of 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

[[Page 547]]

1611 of this chapter. Document production shall not accompany employee 
testimony, absent compliance with this part and General Counsel 
approval.



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: 69 FR 55513, Sept. 15, 2004, unless otherwise noted.

[[Page 548]]



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 (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

[[Page 549]]

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 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.

[[Page 550]]

    (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:
    (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

[[Page 551]]

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, 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

[[Page 552]]

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.

                       PARTS 1621	1699 [RESERVED]

[[Page 553]]



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.............         555
1701-1799

 [Reserved]

[[Page 555]]



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 Aqueous film-forming foam.
1700.15 [Reserved]
1700.16 Chain locker effluent.
1700.17-1700.21 [Reserved]
1700.22 Distillation and reverse osmosis brine.
1700.23 Elevator pit effluent.
1700.24 [Reserved]
1700.25 Gas turbine water wash.
1700.26-1700.28 [Reserved]
1700.29 Non-oily machinery wastewater.
1700.30 Photographic laboratory drains.
1700.31 Seawater cooling overboard discharge.
1700.32 Seawater piping biofouling prevention.
1700.33 Small boat engine wet exhaust.
1700.34-1700.37 [Reserved]
1700.38 Welldeck discharges.
1700.39 Exceptions.
1700.40 Commingling of discharges.
1700.41 Records.
1700.42 Non-compliance reports.

    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 vessels of the Armed Forces that 
require control within the navigable waters of the United States, 
including the territorial seas 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. Sec.  
1700.14 through 1700.38. Federal standards of performance apply to all 
vessels, whether existing or new, and regardless of vessel class, type, 
or size, unless otherwise expressly provided in Sec. Sec.  1700.14 
through 1700.38.
    (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

[[Page 556]]

Marine Pollution Control Device, in accordance with Sec. Sec.  1700.11 
through 1700.13.

[64 FR 25134, May 10, 1999, as amended at 82 FR 3182, Jan. 11, 2017]



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.
    Bioaccumulative means the opposite of not bioaccumulative.
    Biodegradable means the following for purposes of the standards:
    (1) Regarding environmentally acceptable lubricants and greases, 
biodegradable means lubricant formulations that contain at least 90% 
(weight in weight concentration or w/w) or grease formulations that 
contain at least 75% (w/w) of a constituent substance or constituent 
substances (only stated substances present above 0.10% must be assessed) 
that each demonstrate either the removal of at least 70% of dissolved 
organic carbon, production of at least 60% of the theoretical carbon 
dioxide, or consumption of at least 60% of the theoretical oxygen demand 
within 28 days. Test methods include: Organization for Economic Co-
operation and Development Test Guidelines 301 A-F, 306, and 310, ASTM 
5864, ASTM D-7373, OCSPP Harmonized Guideline 835.3110, and 
International Organization for Standardization 14593:1999. For lubricant 
formulations, the 10% (w/w) of the formulation that need not meet the 
above biodegradability requirements, up to 5% (w/w) may be non-
biodegradable, but not bioaccumulative, while the remaining 5-10% must 
be inherently biodegradable. For grease formulations, the 25% (w/w) of 
the formulation that need not meet the above biodegradability 
requirement, the constituent substances may be either inherently 
biodegradable or non-biodegradable, but may not be bioaccumulative. Test 
methods to demonstrate inherent biodegradability include: OECD Test 
Guidelines 302C (70% biodegradation after 28 days) or OECD 
Test Guidelines 301 A-F (20% but <60% biodegradation after 28 
days).
    (2) Regarding cleaning products, biodegradable means products that 
demonstrate either the removal of at least 70% of dissolved organic 
carbon, production of at least 60% of the theoretical carbon dioxide, or 
consumption of at least 60% of the theoretical oxygen demand within 28 
days. Test methods include: Organization for Economic Cooperation and 
Development Test Guidelines 301 A-F, 306, and 310, and International 
Organization for Standardization 14593:1999.
    (3) Regarding biocidal substances, biodegradable means a compound or 
mixture that yields 60% of theoretical maximum carbon dioxide and 
demonstrate a removal of at least 70% of dissolved organic carbon within 
28 days as described in EPA 712-C-98-075 (OPPTS 835.3100 Aerobic Aquatic 
Biodegradation).
    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 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

[[Page 557]]

    (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.
    Environmentally acceptable lubricants means lubricants that are 
biodegradable, minimally-toxic, and not bioaccumulative as defined in 
this subpart. The following labeling programs and organizations meet the 
definition of being environmentally acceptable lubricants: Blue Angel, 
European Ecolabel, Nordic Swan, the Swedish Standards SS 155434 and 
155470, Safer Choice, and the Convention for the Protection of the 
Marine Environment of the North-East Atlantic (OSPAR) requirements.
    Federally-protected waters means waters within 12 miles of the 
United States that are also part of any of the following:
    (1) Marine sanctuaries designated under the National Marine 
Sanctuaries Act (16 U.S.C. 1431 et seq.) or Marine National Monuments 
designated under the Antiquities Act of 1906;
    (2) A unit of the National Wildlife Refuge System, including Wetland 
Management Districts, Waterfowl Production Areas, National Game 
Preserves, Wildlife Management Areas, and National Fish and Wildlife 
Refuges;
    (3) National Wilderness Areas; and
    (4) Any component designated under the National Wild and Scenic 
Rivers System.
    Hazardous material means any hazardous material as defined in 49 CFR 
171.8.
    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).
    Minimally-toxic means a substance must pass either OECD 201, 202, 
and 203 for acute toxicity testing, or OECD 210 and 211 for chronic 
toxicity testing. For purposes of the standards, equivalent toxicity 
data for marine species, including methods ISO/DIS 10253 for algae, ISO 
TC147/SC5/W62 for crustacean, and OSPAR 2005 for fish, may be 
substituted for OECD 201, 202, and 203. If a substance is evaluated for 
the formulation and main constituents, the LC50 of fluids must be at 
least 100 mg/L and the LC50 of greases, two-stroke oils, and all other 
total loss lubricants must be at least 1000 mg/L. If a substance is 
evaluated for each constituent substance, rather than the complete 
formulation and main compounds, then constituents comprising less than 
20% of fluids can have an LC50 between 10-100 mg/L or a no-observed-
effect concentration (NOEC) between 1-10 mg/L, constituents comprising 
less than 5% of fluids can have an LC50 between 1-10 mg/L or a NOEC 
between 0.1-1 mg/L, and constituents comprising less than 1% of fluids, 
can have an LC50 less than 1 mg/L or a NOEC between 0-0.1 mg/L.
    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.
    Not bioaccumulative means any of the following: The partition 
coefficient in the marine environment is log Kow <3 or 7 
using test methods OECD 117 and 107; molecular mass 800 
Daltons; molecular diameter 1.5 nanometer; bioconcentration 
factor (BCF) or bioaccumulation factor (BAF) is <100 L/kg, using OECD 
305, OCSPP 850.1710 or OCSPP 850.1730, or a field-measured BAF; or 
polymer with molecular weight (MW) fraction below 1,000 g/mol is <1%.
    Person in charge (PIC) means the single individual named master of 
the vessel or placed in charge of the vessel, by the U.S. Department of 
Defense or by the Department in which the U.S. Coast Guard is operating, 
as appropriate, and who is responsible for the operation, manning, 
victualing, and supplying of the vessel of the Armed Forces. Examples of 
a PIC include, but are not limited to:

[[Page 558]]

    (1) A Commanding Officer, Officer in Charge, or senior commissioned 
officer on board the vessel;
    (2) A civilian, military, or U.S. Coast Guard person assigned to a 
shore command or activity that has been designated as the PIC for one or 
more vessels, such as a group of boats or craft;
    (3) A Tugmaster, Craftmaster, Coxswain, or other senior enlisted 
person onboard the vessel;
    (4) A licensed civilian mariner onboard a Military Sealift Command 
vessel; or
    (5) A contracted commercial person at a shore installation that is 
not part of the Armed Forces but as identified by the U.S. Department of 
Defense or the Department in which the U.S. Coast Guard is operating.
    Secretary means the Secretary of the United States Department of 
Defense or that person's authorized representative.
    Toxic materials means any toxic pollutant identified in 40 CFR 
401.15.
    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.
    Waters subject to UNDS means the navigable waters of the United 
States, including the territorial seas and the waters of the contiguous 
zone, as these terms are defined in the Clean Water Act (33 U.S.C. 
1362).

[64 FR 25134, May 10, 1999, as amended at 82 FR 3182, Jan. 11, 2017]



                   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.
    (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.

[[Page 559]]

    (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 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.

[[Page 560]]

    (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 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.

[[Page 561]]



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 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

[[Page 562]]

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.
    (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

[[Page 563]]

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

    Source: 82 3183, Jan. 11, 2017, unless otherwise noted.



Sec.  1700.14  Aqueous film-forming foam.

    (a) For the purposes of this section, regulated aqueous film-forming 
foam (AFFF) refers only to firefighting foam and seawater mixture 
discharged during training, testing, or maintenance operations.
    (b) For all vessels that sail seaward of waters subject to UNDS at 
least once per month, the discharge of AFFF is prohibited.
    (c) For all vessels that do not sail seaward of waters subject to 
UNDS at least once per month:
    (1) The discharge of fluorinated AFFF is prohibited; and
    (2) The discharges of non-fluorinated or alternative foaming agent 
are prohibited in port or in or near federally-protected waters, and 
must occur as far from shore as possible.



Sec.  1700.15  [Reserved]



Sec.  1700.16  Chain locker effluent.

    (a) For all vessels, except submarines, the anchor chain must be 
carefully and thoroughly washed down(i.e., more than a cursory rinse) as 
it is being hauled out of the water to remove sediment and organisms.
    (b) For all vessels, the chain lockers must be cleaned periodically 
to eliminate accumulated sediments and any potential accompanying 
pollutants. The dates of all chain locker inspections must be recorded 
in the ship's log or other vessel recordkeeping documentation.
    (c) For all vessels that sail seaward of waters subject to UNDS at 
least once per month, the rinsing or pumping out of chain lockers is 
prohibited.
    (d) For all vessels that do not sail seaward of waters subject to 
UNDS at least once per month, the rinsing or pumping out of chain 
lockers must occur as far from shore as possible and, if technically 
feasible, the rinsing or pumping out of chain lockers must not occur in 
federally-protected waters.



Sec. Sec.  1700.17-1700.21  [Reserved]



Sec.  1700.22  Distillation and reverse osmosis brine.

    The discharge of brine from the distillation system and the 
discharge of

[[Page 564]]

reverse osmosis reject water are prohibited if they come in contact with 
machinery or industrial equipment (other than distillation or reverse 
osmosis machinery), toxic or hazardous materials, or wastes.



Sec.  1700.23  Elevator pit effluent.

    (a) The direct discharge of elevator pit effluent is prohibited.
    (b) Notwithstanding the prohibition of direct discharges of elevator 
pit effluent overboard, if the elevator pit effluent is commingled with 
any other discharge for the purposes of treatment prior to discharge, 
then under no circumstances may oils, including oily mixtures, be 
discharged from that combined discharge in quantities that:
    (1) Cause a film or sheen upon or discoloration of the surface of 
the water or adjoining shorelines; or
    (2) Cause a sludge or emulsion to be deposited beneath the surface 
of the water or upon adjoining shorelines; or
    (3) Contain an oil content above 15 ppm as measured by EPA Method 
1664a or other appropriate method for determination of oil content as 
accepted by the International Maritime Organization (IMO) (e.g., ISO 
Method 9377) or U.S. Coast Guard; or
    (4) Otherwise are harmful to the public health or welfare of the 
United States.



Sec.  1700.24  [Reserved]



Sec.  1700.25  Gas turbine water wash.

    (a) The direct discharge of gas turbine water wash is prohibited.
    (b) To the greatest extent practicable, gas turbine water wash must 
be collected separately and disposed of onshore in accordance with any 
applicable solid waste and hazardous substance management and disposal 
requirements.
    (c) Notwithstanding the prohibition of direct discharges of gas 
turbine water wash overboard, if the gas turbine water wash is 
commingled with any other discharge for the purposes of treatment prior 
to discharge then under no circumstances may oils, including oily 
mixtures be discharged from that combined discharge in quantities that:
    (1) Cause a film or sheen upon or discoloration of the surface of 
the water or adjoining shorelines; or
    (2) Cause a sludge or emulsion to be deposited beneath the surface 
of the water or upon adjoining shorelines; or
    (3) Contain an oil content above 15 ppm as measured by EPA Method 
1664a or other appropriate method for determination of oil content as 
accepted by the International Maritime Organization (IMO) (e.g., ISO 
Method 9377) or U.S. Coast Guard; or
    (4) Otherwise are harmful to the public health or welfare of the 
United States.



Sec. Sec.  1700.26-1700.28  [Reserved]



Sec.  1700.29  Non-oily machinery wastewater.

    The discharge of non-oily machinery wastewater must not contain any 
additives that are toxic or bioaccumulative in nature, and under no 
circumstances may oils, including oily mixtures, be discharged in 
quantities that:
    (a) Cause a film or sheen upon or discoloration of the surface of 
the water or adjoining shorelines; or
    (b) Cause a sludge or emulsion to be deposited beneath the surface 
of the water or upon adjoining shorelines; or
    (c) Contain an oil content above 15 ppm as measured by EPA Method 
1664a or other appropriate method for determination of oil content as 
accepted by the International Maritime Organization (IMO) (e.g., ISO 
Method 9377) or U.S. Coast Guard; or
    (d) Otherwise are harmful to the public health or welfare of the 
United States.



Sec.  1700.30  Photographic laboratory drains.

    The discharge of photographic laboratory drains is prohibited.



Sec.  1700.31  Seawater cooling overboard discharge.

    (a) For discharges from vessels that are less than 79 feet in 
length:
    (1) To the greatest extent practicable, minimize non-contact engine 
cooling water, hydraulic system cooling water, refrigeration cooling 
water and other seawater cooling overboard discharges when the vessel is 
in port.

[[Page 565]]

    (2) To reduce the production and discharge of seawater cooling 
overboard discharge, the vessel should use shore based power when in 
port if:
    (i) Shore power is readily available for the vessel from utilities 
or port authorities; and
    (ii) Shore based power supply systems are capable of providing all 
needed electricity required for vessel operations; and
    (iii) The vessel is equipped to connect to shore-based power and 
such systems are compatible with the available shore power.
    (3) Fouling organisms must be removed from seawater piping on a 
regular basis. The discharge of fouling organisms removed during 
cleanings is prohibited.
    (b) For discharges from vessels that are greater than or equal to 79 
feet in length:
    (1) To the greatest extent practicable, minimize non-contact engine 
cooling water, hydraulic system cooling water, refrigeration cooling 
water and other seawater cooling overboard discharges when the vessel is 
in port.
    (2) To reduce the production and discharge of seawater cooling 
overboard discharge, the vessel should use shore based power when in 
port if:
    (i) Shore power is readily available for the vessel from utilities 
or port authorities; and
    (ii) Shore based power supply systems are capable of providing all 
needed electricity required for vessel operations; and
    (iii) The vessel is equipped to connect to shore-based power and 
such systems are compatible with the available shore power.
    (3) Maintenance of all piping and seawater cooling systems must meet 
the requirements of Sec.  1700.32 (Seawater Piping Biofouling 
Prevention). For all vessels, except submarines, fouling organisms 
removed during maintenance must not be discharged.



Sec.  1700.32  Seawater piping biofouling prevention.

    (a) Seawater piping biofouling chemicals subject to registration 
under the Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA) (7 
U.S.C. 136 et seq.) must be used in accordance with the FIFRA label. 
Pesticides or chemicals banned for use in the United States must not be 
discharged.
    (b) To the greatest extent practicable, only the minimum amount of 
biofouling chemicals must be used to keep fouling under control.
    (c) Fouling organisms must be removed from seawater piping on a 
regular basis. For all vessels, except submarines, the discharge of 
fouling organisms removed during cleanings is prohibited.



Sec.  1700.33  Small boat engine wet exhaust.

    (a) For the purposes of this section small boat engine wet exhaust 
discharges refers only to discharges from vessels that are less than 79 
feet in length.
    (b) Vessels generating small boat engine wet exhaust must be 
maintained in good operating order, well-tuned, and functioning 
according to manufacturer specifications, in order to decrease pollutant 
concentrations and volumes in small boat engine wet exhaust.
    (c) To the greatest extent practicable, low sulfur or alternative 
fuels must be used to reduce the concentration of pollutants in 
discharges from small boat engine wet exhaust.
    (d) To the greatest extent practicable, use four-stroke engines 
instead of two-stroke engines for vessels generating small boat engine 
wet exhaust.
    (e) Vessels using two-stroke engines must use environmentally 
acceptable lubricants unless use of such lubricants is technologically 
infeasible. If technologically infeasible, the use and justification for 
the use of a non-environmentally acceptable lubricant must be recorded 
in the vessel recordkeeping documentation.



Sec. Sec.  1700.34-1700.37  [Reserved]



Sec.  1700.38  Welldeck discharges.

    (a) Welldeck discharges that contain graywater from smaller vessels 
are prohibited.
    (b) Welldeck discharges containing washdown from gas turbine engines 
are prohibited within three miles of the

[[Page 566]]

United States and to the greatest extent practicable must be discharged 
seaward of waters subject to UNDS.
    (c) Welldeck discharges from equipment and vehicle washdowns must 
not contain garbage and must not contain oil in quantities that:
    (1) Cause a film or sheen upon or discoloration of the surface of 
the water or adjoining shorelines; or
    (2) Cause a sludge or emulsion to be deposited beneath the surface 
of the water or upon adjoining shorelines; or
    (3) Contain an oil content above 15 ppm as measured by EPA Method 
1664a or other appropriate method for determination of oil content as 
accepted by the International Maritime Organization (IMO) (e.g., ISO 
Method 9377) or U.S. Coast Guard; or
    (4) Otherwise are harmful to the public health or welfare of the 
United States.



Sec.  1700.39  Exceptions.

    (a) Notwithstanding each of the MPCD performance standards 
established in this Part, a vessel of the Armed Forces is authorized to 
discharge, into waters subject to UNDS, when the PIC or their designated 
representative determines that such discharge is necessary to prevent 
loss of life, personal injury, vessel endangerment, or severe damage to 
the vessel.
    (b) A vessel of the Armed Forces must maintain the following records 
for all discharges under paragraph (a) of this section:
    (1) Name and title of the PIC who determined the necessity of the 
discharge;
    (2) Date, location, and estimated volume of the discharge;
    (3) Explanation of the reason the discharge occurred; and
    (4) Actions taken to avoid, minimize, or otherwise mitigate the 
discharge.
    (c) All records prepared under paragraph (b) of this section must be 
maintained in accordance with Sec.  1700.41.



Sec.  1700.40  Commingling of discharges.

    If two or more regulated discharge streams are combined into one, 
the resulting discharge stream must meet the requirements applicable to 
all discharge streams that are combined prior to discharge.



Sec.  1700.41  Records.

    (a) All records must be generated and maintained in the ship's logs 
(main, engineering, and/or damage control) or an UNDS Record Book and 
must include the following information:
    (1) Vessel owner information (e.g., U.S. Navy, U.S. Coast Guard);
    (2) Vessel name and class; and
    (3) Name of the PIC.
    (b) The PIC must maintain complete records of the following 
information:
    (1) Any inspection or recordkeeping requirement as specified in 
Sec. Sec.  1700.14 through 1700.38;
    (2) Any instance of an exception and the associated recordkeeping 
requirements as specified in Sec.  1700.39; and
    (3) Any instance of non-compliance with any of the performance 
standards as specified in Sec. Sec.  1700.14 through 1700.38. The 
information recorded must include the following:
    (i) Description of any non-compliance and its cause;
    (ii) Date of non-compliance;
    (iii) Period of non-compliance (time and duration);
    (iv) Location of the vessel during non-compliance;
    (v) Corrective action taken;
    (vi) Steps taken or planned to reduce, eliminate, and prevent non-
compliance in the future; and
    (vii) If the non-compliance has not been corrected, an estimate of 
the time the non-compliance is expected to continue.
    (c) All records prepared under this section must be maintained for a 
period of five years from the date they are created. The information in 
this paragraph will be available to the EPA, states, or the U.S. Coast 
Guard upon request. Any information made available upon request must be 
appropriately classified, as applicable, and handled in accordance with 
applicable legal requirements regarding national security.



Sec.  1700.42  Non-compliance reports.

    The PIC must report any non-compliance, including the information as 
required under Sec.  1700.41, to the Armed Service's designated office 
in writing

[[Page 567]]

and/or electronically within five days of the time the PIC becomes aware 
of the circumstances.

                       PARTS 1701	1799 [RESERVED]

[[Page 569]]



         CHAPTER VIII--GULF COAST ECOSYSTEM RESTORATION COUNCIL




  --------------------------------------------------------------------
Part                                                                Page
1800            Spill Impact Component......................         571
1801-1849

 [Reserved]

1850            Availability of records.....................         574
1851-1899

 [Reserved]

[[Page 571]]



PART 1800_SPILL IMPACT COMPONENT--Table of Contents



                          Subpart A_Definitions

Sec.
1800.1 Definitions.

      Subpart B_Minimum Allocation Available for Planning Purposes

1800.10 Purpose.
1800.20 Minimum allocation available for planning purposes.

                     Subpart C_Spill Impact Formula

1800.100 Purpose.
1800.101 General formula.
1800.200 Oiled shoreline.
1800.201 Miles of shoreline that experienced oiling as a result of the 
          Deepwater Horizon oil spill.
1800.202 Proportionate number of miles of shoreline that experienced 
          oiling as a result of the Deepwater Horizon oil spill.
1800.300 Inverse proportion of the average distance from Deepwater 
          Horizon at the time of the explosion.
1800.301 Distances from the Deepwater Horizon at the time of the 
          explosion.
1800.302 Inverse proportions.
1800.400 Coastal county populations.
1800.401 Decennial census data.
1800.402 Distribution based on average population.
1800.500 Allocation.

    Authority: 33 U.S.C. 1321(t).

    Source: 80 FR 1586, Jan. 13, 2015, unless otherwise noted.



                          Subpart A_Definitions



Sec.  1800.1  Definitions.

    As used in this part:
    Deepwater Horizon oil spill means the blowout and explosion of the 
mobile offshore drilling unit Deepwater Horizon that occurred on April 
20, 2010, and resulting hydrocarbon releases into the environment.
    Gulf Coast State means any of the States of Alabama, Florida, 
Louisiana, Mississippi, and Texas.
    Gulf Consortium means the consortium of Florida counties formed to 
develop the Florida State Expenditure Plan pursuant to 33 U.S.C. 
1321(t)(3)(B)(iii)(II).
    Inverse proportion means a mathematical relation between two 
quantities such that one proportionally increases as the other 
decreases.
    Minimum allocation means the amount made available to each Gulf 
Coast State which totals at least five percent of the total allocation 
made available under the Spill Impact Component.
    RESTORE Act means the Resources and Ecosystems Sustainability, 
Tourist Opportunities, and Revived Economies of the Gulf Coast States 
Act of 2012.
    Spill Impact Component means the component of the Gulf RESTORE 
program authorized by section 311(t)(3) of the Federal Water Pollution 
Control Act (33 U.S.C. 1321(t)(3)), as added by section 1603 of the Act, 
in which Gulf Coast States are provided funds by the Council according 
to a formula that the Council establishes by regulation, using criteria 
listed in the Act.
    Spill Impact Formula means the formula established by the Council in 
accordance with section 311(t)(3)(A)(ii) of the Federal Water Pollution 
Control Act, as added by section 1603 thereof.
    State Expenditure Plan means the plan for expenditure of amounts 
disbursed under the Spill Impact Component that each Gulf Coast State 
must submit to the Council for approval.
    Treasury means the U.S. Department of the Treasury, the Secretary of 
the Treasury, or his/her designee.
    Trust Fund means the Gulf Coast Restoration Trust Fund.

[80 FR 1586, Jan. 13, 2015, as amended at 80 FR 77584, Dec. 15, 2015]



      Subpart B_Minimum Allocation Available for Planning Purposes



Sec.  1800.10  Purpose.

    This subpart establishes that up to the statutory minimum allocation 
(five percent) is available under the Spill Impact Component of the 
Resources and Ecosystems Sustainability, Tourist Opportunities, and 
Revived Economies of the Gulf Coast States Act of 2012 (RESTORE Act) 
(Pub. L. 112-141, 126 Stat. 405, 588-607) for planning purposes 
associated with development of a State Expenditure Plan.

[[Page 572]]



Sec.  1800.20  Minimum allocation available for planning purposes.

    A Gulf Coast State or its administrative agent, or the Gulf 
Consortium, may apply to the Council for a grant to use the minimum 
allocation available under the Spill Impact Component of the RESTORE Act 
for planning purposes. These planning purposes are limited to 
development of a State Expenditure Plan, and includes conceptual design 
and feasibility studies related to specific projects. It does not 
include engineering and environmental studies related to specific 
projects. It also does not include any pre-award costs incurred prior to 
August 22, 2014.



                     Subpart C_Spill Impact Formula

    Source: 80 FR 77584, Dec. 15, 2015, unless otherwise noted.



Sec.  1800.100  Purpose.

    This subpart establishes the formula applicable to the Spill Impact 
Component authorized under the RESTORE Act (Pub. L. 112-141, 126 Stat. 
405, 588-607).



Sec.  1800.101  General formula.

    The RESTORE Act provides that thirty percent (30%) of the funds made 
available from the Trust Fund for the Oil Spill Impact Component be 
disbursed to each of the Gulf Coast States of Alabama, Florida, 
Louisiana, Mississippi and Texas based on a formula established by the 
Council (Spill Impact Formula), through a regulation, that is based on a 
weighted average of the following criteria:
    (a) Forty percent (40%) based on the proportionate number of miles 
of shoreline in each Gulf Coast State that experienced oiling on or 
before April 10, 2011, compared to the total number of miles of 
shoreline that experienced oiling as a result of the Deepwater Horizon 
oil spill;
    (b) Forty percent (40%) based on the inverse proportion of the 
average distance from the mobile offshore drilling unit Deepwater 
Horizon at the time of the explosion to the nearest and farthest point 
of the shoreline that experienced oiling of each Gulf Coast State; and
    (c) Twenty percent (20%) based on the average population in the 2010 
Decennial Census of coastal counties bordering the Gulf of Mexico within 
each Gulf Coast State.



Sec.  1800.200  Oiled shoreline.

    Solely for the purpose of calculating the Spill Impact Formula, the 
following shall apply, rounded to one decimal place with respect to 
miles of shoreline:



Sec.  1800.201  Miles of shoreline that experienced oiling as a result of 
the Deepwater Horizon oil spill.

    According to Shoreline Cleanup and Assessment Technique and Rapid 
Assessment Technique data provided by the United States Coast Guard, the 
miles of shoreline that experienced oiling on or before April 10, 2011 
for each Gulf Coast State are:
    (a) Alabama--89.8 miles.
    (b) Florida--174.6 miles.
    (c) Louisiana--658.3 miles.
    (d) Mississippi--158.6 miles.
    (e) Texas--36.0 miles.



Sec.  1800.202  Proportionate number of miles of shoreline 
that experienced oiling as a result of the Deepwater Horizon oil spill.

    The proportionate number of miles for each Gulf Coast State is 
determined by dividing each Gulf Coast State's number of miles of oiled 
shoreline determined in Sec.  1800.201 by the total number of affected 
miles. This calculation yields the following:
    (a) Alabama--8.04%.
    (b) Florida--15.63%.
    (c) Louisiana--58.92%.
    (d) Mississippi--14.19%.
    (e) Texas--3.22%.



Sec.  1800.300  Inverse proportion of the average distance 
from Deepwater Horizon at the time of the explosion.

    Solely for the purpose of calculating the Spill Impact Formula, the 
following shall apply, rounded to one decimal place with respect to 
distance:



Sec.  1800.301  Distances from the Deepwater Horizon at the time 
of the explosion.

    (a) Alabama--The distance from the nearest point of the Alabama 
shoreline

[[Page 573]]

that experienced oiling from the Deepwater Horizon oil spill was 89.2 
miles. The distance from the farthest point of the Alabama shoreline 
that experienced oiling from the Deepwater Horizon oil spill was 103.7 
miles. The average of these two distances is 96.5 miles.
    (b) Florida--The distance from the nearest point of the Florida 
shoreline that experienced oiling from the Deepwater Horizon oil spill 
was 102.3 miles. The distance from the farthest point of the Florida 
shoreline that experienced oiling from the Deepwater Horizon oil spill 
was 207.6 miles. The average of these two distances is 154.9 miles.
    (c) Louisiana--The distance from the nearest point of the Louisiana 
shoreline that experienced oiling from the Deepwater Horizon oil spill 
was 43.5 miles. The distance from the farthest point of the Louisiana 
shoreline that experienced oiling from the Deepwater Horizon oil spill 
was 213.7 miles. The average of these two distances is 128.6 miles.
    (d) Mississippi--The distance from the nearest point of the 
Mississippi shoreline that experienced oiling from the Deepwater Horizon 
oil spill was 87.7 miles. The distance from the farthest point of the 
Mississippi shoreline that experienced oiling from the Deepwater Horizon 
oil spill was 107.9 miles. The average of these two distances is 97.8 
miles.
    (e) Texas--The distance from the nearest point of the Texas 
shoreline that experienced oiling from the Deepwater Horizon oil spill 
was 306.2 miles. The distance from the farthest point of the Texas 
shoreline that experienced oiling from the Deepwater Horizon oil spill 
was 356.5 miles. The average of these two distances is 331.3 miles.



Sec.  1800.302  Inverse proportions.

    The inverse proportion for each Gulf Coast State is determined by 
summing the proportional average distances determined in Sec.  1800.301 
and taking the inverse. This calculation yields the following:
    (a) Alabama--27.39%.
    (b) Florida--17.06%.
    (c) Louisiana--20.55%.
    (d) Mississippi--27.02%.
    (e) Texas--7.98%.



Sec.  1800.400  Coastal county populations.

    Solely for the purpose of calculating the Spill Impact Formula, the 
coastal counties bordering the Gulf of Mexico within each Gulf Coast 
State are:
    (a) The Alabama Coastal Counties, consisting of Baldwin and Mobile 
counties;
    (b) The Florida Coastal Counties, consisting of Bay, Charlotte, 
Citrus, Collier, Dixie, Escambia, Franklin, Gulf, Hernando, 
Hillsborough, Jefferson, Lee, Levy, Manatee, Monroe, Okaloosa, Pasco, 
Pinellas, Santa Rosa, Sarasota, Taylor, Wakulla, and Walton counties;
    (c) The Louisiana Coastal Parishes, consisting of Cameron, Iberia, 
Jefferson, Lafourche, Orleans, Plaquemines, St. Bernard, St. Mary, St. 
Tammany, Terrebonne, and Vermilion parishes;
    (d) The Mississippi Coastal Counties, consisting of Hancock, 
Harrison, and Jackson counties; and
    (e) The Texas Coastal Counties, consisting of Aransas, Brazoria, 
Calhoun, Cameron, Chambers, Galveston, Jefferson, Kennedy, Kleberg, 
Matagorda, Nueces, and Willacy counties.



Sec.  1800.401  Decennial census data.

    The average populations in the 2010 decennial census for each Gulf 
Coast State, rounded to the nearest whole number, are:
    (a) For the Alabama Coastal Counties, 297,629 persons;
    (b) For the Florida Coastal Counties, 252,459 persons;
    (c) For the Louisiana Coastal Parishes, 133,633 persons;
    (d) For the Mississippi Coastal Counties,123,567 persons; and
    (e) For the Texas Coastal Counties, 147,845 persons.



Sec.  1800.402  Distribution based on average population.

    The distribution of funds based on average populations for each Gulf 
Coast State is determined by dividing the average population determined 
in Sec.  1800.401 by the sum of those average populations. This 
calculation yields the following results:
    (a) Alabama--31.16%.
    (b) Florida--26.43%.
    (c) Louisiana--13.99%.
    (d) Mississippi--12.94%.

[[Page 574]]

    (e) Texas--15.48%.



Sec.  1800.500  Allocation.

    Using the data from Sec. Sec.  1800.200 through 1800.402 of this 
subpart in the formula provided in Sec.  1800.101 of this subpart yields 
the following allocation for each Gulf Coast State:
    (a) Alabama--20.40%.
    (b) Florida--18.36%.
    (c) Louisiana--34.59%.
    (d) Mississippi--19.07%.
    (e) Texas--7.58%.

                       PARTS 1801	1849 [RESERVED]



PART 1850_AVAILABILITY OF RECORDS--Table of Contents



 Subpart A_Production or Disclosure Under the Freedom of Information Act

Sec.
1850.1 Purpose and scope.
1850.2 Definitions.
1850.3 General provisions.
1850.4 Public reading room.
1850.5 Requirements for making requests.
1850.6 Responding to requests.
1850.7 Appeals.
1850.8 Authority to determine.
1850.9 Maintenance of files.
1850.10 Fees.
1850.11 Requests for confidential treatment of business information.
1850.12 Requests for access to confidential commercial or financial 
          information.
1850.13 Classified information.

        Subpart B_Production or Disclosure Under the Privacy Act

1850.31 Purpose and scope.
1850.32 Definitions.
1850.33 Procedures for requests pertaining to individual records in a 
          record system.
1850.34 Times, places, and requirements for identification of 
          individuals making requests.
1850.35 Disclosure of requested information to individuals.
1850.36 Special procedures: Medical records.
1850.37 Request for correction or amendment to record.
1850.38 Council review of request for correction or amendment to record.
1850.39 Appeal of initial adverse agency determination on correction or 
          amendment.
1850.40 Disclosure of record to person other than the individual to whom 
          it pertains.
1850.41 Fees.
1850.42 Penalties.

    Authority: 33 U.S.C. 1321(t); 5 U.S.C. 552; 5 U.S.C. 552a.

    Source: 80 FR 29451, May 22, 2015, unless otherwise noted.



 Subpart A_Production or Disclosure Under the Freedom of Information Act



Sec.  1850.1  Purpose and scope.

    This subpart contains the regulations of the Gulf Coast Ecosystem 
Restoration Council (Council) implementing the Freedom of Information 
Act (FOIA) (5 U.S.C. 552), as amended. These regulations supplement the 
FOIA, which provides more detail regarding requesters' rights and the 
records the Council may release.
    The regulations of this subpart provide information concerning the 
procedures by which records may be obtained from the Council. Official 
records of the Council made available pursuant to the requirements of 
the FOIA shall be furnished to members of the public only as prescribed 
by this subpart. Information routinely provided to the public as part of 
a regular Council activity (for example, press releases) may be provided 
to the public without following this subpart.
    The FOIA applies to third-party requests for documents concerning 
the general activities of the Government, and of the Council in 
particular. When a U.S. citizen or an individual lawfully admitted for 
permanent residence requests access to his or her own records, he/she is 
making a first-person Privacy Act request, not a FOIA request, subject 
to subpart B of these rules. The Council maintains records about 
individuals under the individual's name or personal identifier. Although 
the Council determines whether a request is a FOIA request or a Privacy 
Act request, the Council processes requests in accordance with both 
laws. This provides the greatest degree of lawful access to requesters 
while safeguarding individuals' personal privacy.



Sec.  1850.2  Definitions.

    (a) Commercial Use Request means a request from or on behalf of one 
who seeks information for a use or purpose that furthers the commercial, 
trade, or profit interests of the requester or the

[[Page 575]]

person on whose behalf the request is made.
    (b) Confidential Commercial Information means commercial or 
financial information, obtained by the Council from a submitter, that 
may contain information exempt from release under Exemption 4 of FOIA, 5 
U.S.C. 552(b)(4).
    (c) Council means to the Gulf Coast Ecosystem Restoration Council.
    (d) Days, unless stated as ``calendar days,'' are business days and 
do not include Saturday, Sunday, or federal holidays.
    (e) Direct costs means those expenses the Council actually incurs in 
searching for and duplicating (and, in the case of commercial 
requesters, reviewing) documents in response to a request made under 
Sec.  1850.5. Direct costs include, for example, the labor costs of the 
employee performing the work (the basic rate of pay for the employee, 
plus 16 percent of that rate to cover benefits) and the cost of 
operating duplicating machinery. Not included in direct costs are 
overhead expenses such as costs of space and heating or lighting of the 
facility in which the documents are stored.
    (f) Duplication means the making a copy of a document, or other 
information contained in it, necessary to respond to a FOIA request. 
Copies may take the form of paper, microfilm, audio-visual materials, or 
electronic records, among others. The Council shall honor a requester's 
specified preference of form or format of disclosure if the record is 
readily reproducible with reasonable efforts in the requested form or 
format.
    (g) Educational institution means a preschool, a public or private 
elementary or secondary school, or an institution of undergraduate 
higher education, graduate higher education, professional education, or 
an institution of vocational education that operates a program of 
scholarly research.
    (h) Fee category means one of the three categories that agencies 
place requesters in for the purpose of determining whether a requester 
will be charged fees for search, review and duplication. The three fee 
categories are:
    (1) Commercial requesters;
    (2) Non-commercial scientific or educational institutions or news 
media requesters; and
    (3) All other requesters.
    (i) Fee waiver means the waiver or reduction of processing fees if a 
requester can demonstrate that certain statutory standards are 
satisfied, including that the information is in the public interest and 
is not requested for a commercial interest.
    (j) FOIA Public Liaison means an agency official who is responsible 
for assisting in reducing delays, increasing transparency and 
understanding of the status of requests, and assisting in the resolution 
of disputes.
    (k) News means information about current events or that would be of 
current interest to the public.
    (l) Noncommercial scientific institution means an institution that 
is not operated on a ``commercial'' basis (as that term is used in this 
section) 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.
    (m) Perfected request means a written FOIA request that meets all of 
the criteria set forth in Sec.  1850.5.
    (n) Reading room means a location where records are available for 
review pursuant to 5 U.S.C. 552(a)(2).
    (o) Records under the FOIA include all Government records, 
regardless of format, medium or physical characteristics, and electronic 
records and information, audiotapes, videotapes, Compact Disks, DVDs, 
and photographs.
    (p) Records Management Officer means the person designated by the 
Executive Director of the Council to oversee all aspects of the 
Council's records management program, including FOIA.
    (q) Representative of the news media, or news media requester, means 
any person or entity organized and operated to publish or broadcast news 
to the public that actively gathers information of potential interest to 
a segment of the public, uses its editorial skills to turn the raw 
materials into a distinct work, and distributes the work to an audience. 
Examples of news-media entities are television or radio stations 
broadcasting to the public at large, and publishers of periodicals that 
disseminate

[[Page 576]]

``news'' and make their products available through a variety of means to 
the general public including news organizations that disseminate solely 
on the Internet. To be in this category, a requester must not be seeking 
the requested records for a commercial use. A request for records that 
supports the news-dissemination function of the requester shall not be 
considered to be for a commercial use. A ``freelance journalist'' shall 
be regarded as working for a news-media entity if the journalist can 
demonstrate a solid basis for expecting publication through that entity, 
whether or not the journalist is actually employed by the entity. A 
publication contract would be the clearest proof, but the Council shall 
also look to the past publication record of a requester in making this 
determination. The Council's decision to grant a requester media status 
will be made on a case-by-case basis based upon the requester's intended 
use of the material.
    (r) Requester means any person, partnership, corporation, 
association, or foreign or State or local government, which has made a 
request to access a Council record under FOIA.
    (s) Requester category means one of the three categories in which 
agencies place requesters to determine whether the agency will charge a 
requester fees for search, review, and duplication. The categories 
include commercial requesters, non-commercial scientific or educational 
institutions or news media requesters, and all other requesters.
    (t) Review means the examination of a record located in response to 
a request in order to determine whether any portion of it is exempt from 
disclosure. Review time includes processing any record for disclosure, 
such as doing all that is necessary to prepare the record for 
disclosure, including the process of redacting it and marking any 
applicable exemptions. Review costs are recoverable even if a record 
ultimately is not disclosed. Review time includes time spent obtaining 
and considering any formal objection to disclosure made by a business 
submitter under Sec.  1850.12 but does not include time spent resolving 
general legal or policy issues regarding the application of exemptions.
    (u) Search means the process of looking for and retrieving documents 
or information that is responsive to a request. Search time includes 
page-by-page or line-by-line identification of information within 
documents and also includes reasonable efforts to locate and retrieve 
information from records maintained in electronic form or format.
    (v) Submitter means any person or entity from whom the Council 
obtains confidential commercial information, directly or indirectly.
    (w) Unusual circumstances include situations in which the Council 
must:
    (1) Search for and collect the requested agency records from field 
facilities or other establishments that are separate from the office 
processing the request;
    (2) Search for, collect, and appropriately examine a voluminous 
amount of separate and distinct records that are the subject of a single 
request; or
    (3) Consult with another Federal agency having a substantial 
interest in the determination of the FOIA request.



Sec.  1850.3  General provisions.

    The Council shall prepare an annual report to the Attorney General 
of the United States regarding its FOIA activities in accordance with 5 
U.S.C. 552(e).



Sec.  1850.4  Public reading room.

    The Council maintains an electronic public reading room on its Web 
site, http://www.restorethegulf.gov, which contains the records FOIA 
requires the Council to make available for public inspection and 
copying, as well as additional records of interest to the public.



Sec.  1850.5  Requirements for making requests.

    (a) Type of records made available. The Council shall make available 
upon request, pursuant to the procedures in this section and subject to 
the exceptions set forth in FOIA, all records of the Council that are 
not available under Sec.  1850.4. The Council's policy is to make 
discretionary disclosures of records or information otherwise exempt 
from disclosure under FOIA unless the Council reasonably foresees

[[Page 577]]

that such disclosure would harm an interest protected by one or more 
FOIA exemptions, or otherwise prohibited by law. This policy does not 
create any enforceable right in court.
    (b) Procedures for requesting records. A request for records shall 
reasonably describe the records in a way that enables Council staff to 
identify and produce the records with reasonable effort. The requester 
should include as much specific information as possible regarding dates, 
titles, and names of individuals. In cases where the request requires 
production of voluminous records, or is not reasonably described, a 
Council representative may suggest the requester, or the individual 
acting on the requester's behalf, to verify the scope of the request 
and, if possible, narrow the request. Once narrowed, the Council will 
process the request. All requests must be submitted in writing 
(including by email, fax or mail) to the Council's Records Management 
Officer. Requesters shall clearly mark a request as a ``Freedom of 
Information Act Request'' or ``FOIA Request'' on the front of the 
envelope or in the subject line of the email.
    (c) Contents of request. The request, at minimum, shall contain the 
following information:
    (1) The name, telephone number, and non-electronic address of the 
requester;
    (2) Whether the requested information is intended for commercial 
use, or whether the requester represents an education or noncommercial 
scientific institution, or news media; and
    (3) A statement agreeing to pay the applicable fees, identifying any 
fee limitation desired, or requesting a waiver or reduction of fees that 
satisfies Sec.  1850.10(j)(1) to (3).
    (d) Perfected requests. The requester must meet all the requirements 
in this section to perfect a request. The Council will only process 
perfected requests.
    (e) Requests by an individual for Council records pertaining to that 
individual. An individual who wishes to inspect or obtain copies of 
Council records that pertain to that individual must file a request in 
accordance with subpart B of this part.
    (f) Requests for Council records pertaining to another individual. 
Where a request for records pertains to a third party, a requester may 
receive greater access by submitting a notarized authorization signed by 
that individual or a declaration by that individual made in compliance 
with the requirements set forth in 28 U.S.C. 1746, authorizing 
disclosure of the records to the requester, or by submitting proof the 
individual is deceased (e.g. a copy of the death certificate or an 
obituary). The Council may require a requester to supply additional 
information if necessary to verify that a particular individual has 
consented to disclosure.
    (g) Requesters may submit a request for records, expedited 
processing or waiver of fees by writing directly to the Records 
Management Officer via email at [email protected], or first 
class United States mail at 500 Poydras Street, Suite 1117, New Orleans, 
LA 70130.
    (h) Any Council officer or employee who receives a written Freedom 
of Information Act request shall promptly forward it to the Records 
Management Officer. Any Council officer or employee who receives an oral 
request under the Freedom of Information Act shall inform the person 
making the request that it must be in writing and also inform such 
person of the provisions of this subpart.



Sec.  1850.6  Responding to requests.

    (a) Receipt and processing. The date of receipt for any request, 
including one that is addressed incorrectly or that is referred to the 
Council by another agency, is the date the Council actually receives the 
request. The Council normally will process requests in the order they 
are received. However, in the Records Management Officer's discretion, 
the Council may use two or more processing tracks by distinguishing 
between simple and more complex requests based on the number of pages 
involved, or some other measure of the amount of work and/or time needed 
to process the request, and whether the request qualifies for expedited 
processing as defined by paragraph (d) of this section. When using 
multi-track processing, the Records Management Officer may provide 
requesters in the complex track(s) with an opportunity to limit the 
scope of

[[Page 578]]

their requests to qualify for the simple track and faster processing.
    (b) Authorization. The Records Management Officer and other persons 
designated by the Council's Executive Director are solely authorized to 
grant or deny any request for Council records.
    (c) Timing. (1) When a requester submits a request in accordance 
with Sec.  1850.5, the Records Management Officer shall inform the 
requester of the determination concerning that request within 20 days 
from receipt of the request, unless ``unusual circumstances'' exist, as 
defined in Sec.  1850.2(w). The Records Management Officer also shall 
provide requesters with a unique tracking number, an estimated date of 
completion (once the request is perfected), and a fee estimate (when 
applicable). The Records Management Officer shall also include in the 
Council's acknowledgment letter a brief description of the subject of 
the request.
    (2) When additional time is required as a result of ``unusual 
circumstances,'' as defined in Sec.  1850.2(w), the Records Management 
Officer shall, within the statutory 20 day period, issue to the 
requester a brief written statement of the reason for the delay and an 
indication of the date on which it is expected that a determination as 
to disclosure will be forthcoming. If more than 10 additional days are 
needed, the requester shall be notified and provided an opportunity to 
limit the scope of the request or to arrange for an alternate time frame 
for processing the request.
    (3) The Council may toll the statutory time period to issue its 
determination on a FOIA request one time during the processing of the 
request to obtain clarification from the requester. The statutory time 
period to issue the determination on disclosure is tolled until the 
Council receives the information reasonably requested from the 
requester. The Council may also toll the statutory time period to issue 
the determination to clarify with the requester issues regarding fees. 
There is no limit on the number of times the agency may request 
clarifying fee information from the requester.
    (d) Expedited processing. (1) A requester may request expedited 
processing by submitting a statement, certified to be true and correct 
to the best of that person's knowledge and belief, that demonstrates a 
compelling need for records, as defined in 5 U.S.C. 552(a)(6)(E)(v).
    (2) The Records Management Officer will notify a requester of the 
determination to grant or deny a request for expedited processing within 
ten days of receipt of the request. If the Records Management Officer 
grants the request for expedited processing, the Council staff shall 
process the request as soon as practicable subject to Sec.  1850.10(d) 
and (e). If the Records Management Officer denies the request for 
expedited processing, the requester may file an appeal in accordance 
with the process described in Sec.  1850.7.
    (3) The Council staff will give expedited treatment to a request 
when the Records Management Officer determines the requester has 
established one of the following:
    (i) Circumstances in which the lack of expedited treatment 
reasonably could 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 an individual primarily engaged 
in disseminating information;
    (iii) The loss of substantial due process rights;
    (iv) A matter of widespread and exceptional media interest raising 
possible questions about the Federal government's integrity which 
affects public confidence; or
    (4) These procedures for expedited processing also apply to requests 
for expedited processing of administrative appeals.
    (e) Denials. If the Records Management Officer denies the request in 
whole or part, the Records Management Officer will inform the requester 
in writing and include the following:
    (1) A brief statement of the reason(s) for the denial, including 
applicable FOIA exemption(s) and a description of those exemptions;
    (2) An estimate of the volume of records or information withheld;
    (3) If technically feasible, the precise amount of information 
deleted at the place in the record where the deletion was made, and the 
exemption under

[[Page 579]]

which a deletion is made on the released portion of the record, unless 
including that information would harm an interest protected by the 
exemption;
    (4) The name and title or position of the person responsible for the 
denial of the request;
    (5) The requester's right to appeal any such denial and the title 
and address of the official to whom such appeal is to be addressed; and
    (6) The requirement that the appeal be received within 45 days of 
the date of the denial.
    (f) Referrals to another agency. (1) When the Council receives a 
request for a record (or a portion thereof) in its possession that 
originated with another Federal agency subject to the FOIA, the Council 
shall, except as provided in paragraph (f)(4) of this section, refer the 
record to that agency for direct response to the requester. However, if 
the Council and the originating agency jointly agree that the Council is 
in the best position to respond regarding the record, then the record 
may be handled as a consultation.
    (2) Whenever the Council refers any part of the responsibility for 
responding to a request to another agency, it shall document the 
referral, maintain a copy of the record that it refers, and notify the 
requester of the referral and inform the requester of the name of the 
agency to which the record was referred, including that agency's FOIA 
contact information.
    (3) The Council's response to an appeal will advise the requester 
that the 2007 FOIA amendments created the Office of Government 
Information Services (OGIS) to offer mediation services to resolve 
disputes between FOIA requesters and Federal agencies as a non-exclusive 
alternative to litigation. A requester may contact OGIS in any of the 
following ways: Office of Government Information Services, National 
Archives and Records Administration, 8601 Adelphi Road--OGIS, College 
Park, MD 20740, ogis.archives.gov, Email: [email protected], Telephone: 202-
741-5770, Facsimile: 202-741-5769, Toll-free: 1-877-684-6448.
    (4) The referral procedure is not appropriate where disclosure of 
the identity of the agency, typically a law enforcement agency or 
Intelligence Community agency, to which the referral would be made could 
harm an interest protected by an applicable exemption, such as the 
exemptions that protect personal privacy and national security 
interests. In such instances, in order to avoid harm to an interest 
protected by an applicable exemption, the Council shall coordinate with 
the originating agency to seek its views on the disclosability of the 
record. The release determination for the record that is the subject of 
the coordination shall then be conveyed to the requester by the Council.
    (g) Consulting with another agency. In instances where a record is 
requested that originated with the Council and another agency has a 
significant interest in the record (or a portion thereof), the Council 
shall consult with that agency before responding to a requester. When 
the Council receives a request for a record (or a portion thereof) in 
its possession that originated with another agency that is not subject 
to the FOIA, the Council shall consult with that agency before 
responding to the requester.
    (h) Providing responsive records. (1) Council staff shall send a 
copy of records or portions of records responsive to the request to the 
requester by regular United States mail to the address indicated in the 
request or by email to the email address provided by the requester, 
unless the requester makes other acceptable arrangements or the Council 
deems it appropriate to send the records by other means. The Council 
shall provide a copy of the record in any form or format requested if 
the record is readily reproducible in that form or format. The Council 
need not provide more than one copy of any record to a requester.
    (2) The Records Management Officer shall provide any reasonably 
segregable portion of a record that is responsive to the request after 
redacting those portions that are exempt under FOIA or this section.
    (3) The Council is not required to create, compile, prepare or 
obtain from outside the Council a record to satisfy a request. 
Retrieving data from a Council database or running a report from a 
database is permissible.

[[Page 580]]

    (i) Prohibition against disclosure. Except as provided in this 
subpart, no member or employee of the Council shall disclose or permit 
the disclosure of any non-public information of the Council to any 
person (other than Council members, employees, or agents properly 
entitled to such information for the performance of their official 
duties), unless required by law to do so.



Sec.  1850.7  Appeals.

    (a) Requesters may administratively appeal an adverse determination 
regarding a request by writing directly to the General Counsel via email 
at [email protected] or first class United States mail 
at 500 Poydras Street, Suite 1117, New Orleans, LA 70130. Administrative 
appeals sent to other individuals or addresses are not considered 
perfected. An adverse determination is a denial of a request and 
includes decisions that: The requested record is exempt, in whole or in 
part; the information requested is not a record subject to the FOIA; the 
requested record does not exist, cannot be located, or has previously 
been destroyed; or the requested record is not readily reproducible in 
the form or format sought by the requester. Adverse determinations also 
include denials involving fees or fee waiver matters or denials of 
requests for expedited processing.
    (b) FOIA administrative appeals must be in writing and should 
contain the phrase ``FOIA Appeal'' on the front of the envelope or in 
the subject line of the electronic mail.
    (c) Appellants are encouraged to include a copy of the original 
request and the initial denial (if any) in the appeal. The appeal letter 
may include as much or as little related information as the appellant 
wishes, as long as it clearly identifies the component determination 
(including the assigned request number, if known) that is being 
appealed.
    (d) Requesters submitting an administrative appeal of an adverse 
determination must ensure that the Council receives the appeal within 45 
days of the date of the denial letter.
    (e) Upon receipt of an administrative appeal, Council staff shall 
inform the requester within 20 days of the determination on that appeal.
    (f) The determination on an appeal shall be in writing and, when it 
denies the appeal, in whole or in part, the letter to the requester 
shall include:
    (1) A brief explanation of the basis for the denial, including a 
list of the applicable FOIA exemptions and a description of how they 
apply;
    (2) A statement that the decision is final for the Council;
    (3) Notification that judicial review of the denial is available in 
the district court of the United States in the district in which the 
requester resides, or has his or her principal place of business, or in 
which the agency records are located, or in the District of Columbia; 
and
    (4) The name and title or position of the official responsible for 
denying the appeal.



Sec.  1850.8  Authority to determine.

    The Records Management Officer or Council Executive Director, when 
receiving a request pursuant to these regulations, shall grant or deny 
such request. That decision shall be final, subject only to 
administrative appeal as provided in Sec.  1850.7. The Council General 
Counsel shall deny or grant an administrative appeal requested under 
Sec.  1850.7.



Sec.  1850.9  Maintenance of files.

    The Records Management Officer shall maintain files containing all 
material required to be retained by or furnished to them under this 
subpart. The Council shall preserve all correspondence pertaining to the 
FOIA requests that it receives, as well as copies of all requested 
records, until a General Records Schedule (GRS) published by the 
National Archives and Records Administration (NARA) or another NARA-
approved records schedule authorizes the office to dispose of or destroy 
the records. All materials identified as responsive to a FOIA request 
will be retained while the request or a related appeal or lawsuit is 
pending even otherwise authorized for disposal or destruction under a 
GRS or other NARA-approved records schedule. The material shall be filed 
by a unique tracking number.

[[Page 581]]



Sec.  1850.10  Fees.

    (a) Generally. Except as provided elsewhere in this section, the 
Records Management Officer shall assess fees where applicable in 
accordance with this section for search, review, and duplication of 
records requested. The Records Management Officer shall also have 
authority to furnish documents without any charge or at a reduced charge 
if 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 government and is not primarily in the 
commercial interest of the requester.
    (b)(1) Fee schedule; waiver of fees. The fees applicable to a 
request for Council records pursuant to Sec.  1850.5 are set forth in 
the following uniform fee schedule:

------------------------------------------------------------------------
                Service                                Rate
------------------------------------------------------------------------
(i) Manual search......................  Actual salary rate of employee
                                          involved, plus 16 percent of
                                          salary rate to cover benefits.
(ii) Computerized search...............  Actual direct cost, including
                                          operator time.
(iii) Duplication of records:
    (A) Paper copy reproduction........  $0.05 per page.
    (B) Other reproduction (e.g.,        Actual direct cost, including
     computer disk or printout,           operator time.
     microfilm, microfiche, or
     microform).
(iv) Review of records (including        Actual salary rate of employee
 redaction).                              involved, plus 16 percent of
                                          salary rate to cover benefits.
------------------------------------------------------------------------

    (2) Search. (i) The Council shall charge search fees for all 
requests, subject to the limitations of paragraph (b)(5) of this 
section. The Records Management Officer shall charge for time spent 
searching for responsive records, even if no responsive record is 
located or if the Records Management Officer withholds records located 
as entirely exempt from disclosure. Search fees shall equal the direct 
costs of conducting the search by the Council employee involved, plus 16 
percent of the salary rate to cover benefits.
    (ii) For computer searches of records, the Council will charge 
requesters the direct costs of conducting the search. In accordance with 
paragraph (f) of this section, however, the Council will charge certain 
requesters no search fee and certain other requesters are entitled to 
the cost equivalent of two hours of manual search time without charge. 
These direct costs include the costs attributable to the salary of an 
operator/programmer performing a computer search.
    (3) Duplication. The Council will charge duplication fees to all 
requesters, subject to the limitations of paragraph (b)(5) of this 
section. The fee for a paper photocopy of a record (no more than one 
copy of which need be supplied) is 5 cents per page. The Records 
Management Officer will charge the requester for the direct costs, 
including operator time, of making copies produced by computer, such as 
tapes or printouts. The Records Management Officer will charge a 
requester the direct costs of providing other forms of duplication.
    (4) Review. The Council will charge review fees to requesters who 
make a commercial use request. Review fees generally are limited to the 
initial record review, i.e., the review done when the Records Management 
Officer determines whether an exemption applies to a particular record 
at the initial request level. The Council will not charge a requester 
for additional review at the administrative appeal level. Review fees 
consist of the direct costs of conducting the review by the Council 
employee involved, plus 16 percent of the salary rate to cover benefits.
    (5) Limitations on charging fees. (i) The Council will not charge a 
search fee for requests from educational institutions, noncommercial 
scientific institutions, or representatives of the news media.
    (ii) The Council will not charge a search fee or review fee for a 
quarter-hour period unless more than half of that period is required for 
search or review.
    (iii) The Council will not charge a fee to a requester whenever the 
total fee calculated under this paragraph is $25 or less for the 
request.

[[Page 582]]

    (iv) Except for requesters seeking records for a commercial use, the 
Council will provide without charge the first 100 pages of duplication 
(or the cost equivalent) and the first two hours of search.
    (v) The provisions of paragraphs (b)(5)(iii) and (iv) of this 
section work together. This means that for requesters other than those 
seeking records for a commercial use, no fee shall be charged unless the 
cost of search is in excess of two hours plus the cost of duplication in 
excess of 100 pages totals more than $25.
    (vi) No search fees shall be charged to a requester when the Council 
does not comply with the statutory time limits at 5 U.S.C. 552(a)(6) in 
which to respond to a request, unless unusual or exceptional 
circumstances (as those terms are defined by the FOIA) apply to the 
processing of the request.
    (vii) No duplication fees shall be charged to requesters in the fee 
category of a representative of the news media or an educational or 
noncommercial scientific institution when the Council does not comply 
with the statutory time limits at 5 U.S.C. 552(a)(6) in which to respond 
to a request, unless unusual or exceptional circumstances (as those 
terms are defined by the FOIA) apply to the processing of the request.
    (c) Payment procedures. All requesters shall pay the applicable fee 
before the Council sends copies of the requested records, unless the 
Records Management Official grants a fee waiver. Requesters must pay 
fees by check or money order made payable to the ``Treasury of the 
United States.'' Checks and money orders should be mailed to 500 Poydras 
Street, Suite 1117, New Orleans, LA 70130.
    (d) Advance notification of fees. If the estimated charges exceed 
$25, the Records Management Officer shall notify the requester of the 
estimated amount, unless the requester has indicated a willingness to 
pay fees as high as those anticipated. Upon receipt of such notice, the 
requester may confer with the Records Management Officer to reformulate 
the request to lower the costs. Council staff shall suspend processing 
the request until the requester provides the Records Management Officer 
with a written guarantee that the requester will make payment upon 
completion of processing (i.e., upon completion of the search, review 
and duplication, but prior the Council sending copies of the requested 
records to the requester).
    (e) Advance payment. The Records Management Officer shall require 
advance payment of any fee estimated to exceed $250. The Records 
Management Officer also shall require full payment in advance where a 
requester has previously failed to pay a fee in a timely fashion. If an 
advance payment of an estimated fee exceeds the actual total fee by $1 
or more, the Council shall refund the difference to the requester. The 
Council shall suspend the processing of the request and the statutory 
time period for responding to the request until the Records Management 
Officer receives the required payment.
    (f) Categories of uses. The fees assessed depend upon the fee 
category. In determining which category is appropriate, the Records 
Management Officer shall look to the identity of the requester and the 
intended use set forth in the request for records. Where a requester's 
description of the use is insufficient to make a determination, the 
Records Management Officer may seek additional clarification before 
categorizing the request.
    (1) Commercial use requester: The fees for search, duplication, and 
review apply.
    (2) Educational institutions, non-commercial scientific 
institutions, or representatives of the news media requesters: The fees 
for duplication apply. The Council will provide the first 100 pages of 
duplication free of charge.
    (3) All other requesters: The fees for search and duplication apply. 
The Council will provide the first two hours of search time and the 
first 100 pages of duplication free of charge.

------------------------------------------------------------------------
                Category                         Chargeable fees
------------------------------------------------------------------------
(i) Commercial Use Requesters..........  Search, Review, and
                                          Duplication.
(ii) Education and Non-commercial        Duplication (excluding the cost
 Scientific Institution Requesters.       of the first 100 pages).

[[Page 583]]

 
(iii) Representatives of the News Media  Duplication (excluding the cost
                                          of the first 100 pages).
(iv) All Other Requesters..............  Search and Duplication
                                          (excluding the cost of the
                                          first 2 hours of search and
                                          first 100 pages of
                                          duplication).
------------------------------------------------------------------------

    (g) Nonproductive search. The Council may charge fees for search 
even if no responsive documents are found.
    (h) Interest charges. The Records Management Officer may assess 
interest charges on any unpaid bill starting on the 31st calendar day 
following the date the Council sent the bill to the requester. The 
Council will charge interest at the rate prescribed in 31 U.S.C. 3717 on 
fees payable in accordance with this section. The Council will follow 
the provisions of the Debt Collection Act of 1982 (Pub. L. 97-365, 96 
Stat. 1749), as amended, and its administrative procedures, including 
the use of consumer reporting agencies, collection agencies, and offset.
    (i) Aggregated requests. A requester may not file multiple requests 
at the same time solely in order to avoid payment of fees. If the 
Council reasonably believes that a request, or a group of requesters 
acting in concert, is attempting to break down a request into a series 
of requests for the purpose of evading the assessment of fees, the 
Council may aggregate any such requests and charge accordingly. The 
Records Management Officer may reasonably presume that one requester 
making multiple requests on the same topic within a 30-day period has 
done so to avoid fees.
    (j) Waiver or reduction of fees. To seek a waiver, a requester shall 
include the request for waiver or reduction of fees, and the 
justification for such based on the factors set forth in this paragraph, 
with the request for records to which it pertains. If a requester 
requests a waiver or reduction and has not indicated in writing an 
agreement to pay the applicable fees, the time for responding to the 
request for Council records shall not begin until the Records Management 
Officer makes a determination regarding the request for a waiver or 
reduction of fees.
    (1) Records responsive to a request shall be furnished without 
charge, or at a reduced rate below that established in paragraph (b) of 
this section, where the Council determines, after consideration of all 
available information, that the requester has demonstrated that:
    (i) Disclosure of the requested information is in the public 
interest because it is likely to contribute significantly to public 
understanding of the operations or activities of the Government; and
    (ii) Disclosure of the information is not primarily in the 
commercial interest of the requester.
    (2) In deciding whether disclosure of the requested information is 
in the public interest because it is likely to contribute significantly 
to public understanding of the operations or activities of the 
Government, the Council will consider the following factors:
    (i) The subject of the request: Whether the subject of the requested 
records concerns the operations or activities of the Government. The 
subject of the requested records must concern identifiable operations or 
activities of the Federal government, with a connection that is direct 
and clear, not remote or attenuated.
    (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 about government 
operations or activities in order to be ``likely to contribute'' to an 
increased public understanding of those operations or activities. The 
disclosure of information that already is in the public domain, in 
either the same or a substantially identical form, would not be likely 
to contribute to such an understanding.
    (iii) The contribution to an understanding of the subject by the 
public: Whether disclosure of the requested information will contribute 
to the understanding of a reasonably broad audience of persons 
interested in the subject, as opposed to the individual understanding of 
the requester. A requester's expertise in the subject area

[[Page 584]]

as well as his or her ability and intention to effectively convey 
information to the public shall be considered. It shall be presumed that 
a representative of the news media will satisfy this consideration. 
Merely providing information to media sources is insufficient to satisfy 
this consideration.
    (iv) The significance of the contribution to public understanding: 
Whether the disclosure is likely to contribute ``significantly'' to 
public understanding of Government operations or activities. The 
public's understanding of the subject in question prior to disclosure 
must be significantly enhanced by the disclosure.
    (3) To determine whether disclosure of the requested information is 
primarily in the commercial interest of the requester, the Council will 
consider the following factors:
    (i) The existence and magnitude of a commercial interest: Whether 
the requester has a commercial interest that would be furthered by the 
requested disclosure. The Council shall consider any commercial interest 
of the requester (with reference to the definition of ``commercial use 
request'' in Sec.  1850.2(b)), or of any person on whose behalf the 
requester may be acting, that would be furthered by the requested 
disclosure. Requesters shall be given an opportunity to provide 
explanatory information regarding this consideration.
    (ii) The primary interest in disclosure: Whether any identified 
commercial interest of the requester is sufficiently great, in 
comparison with the public interest in disclosure, that disclosure if 
``primarily in the commercial interest of the requester.'' A fee waiver 
or reduction is justified if the public interest standard (paragraph 
(j)(1)(i) of this section) is satisfied and the public interest is 
greater than any identified commercial interest in disclosure. The 
Council shall presume that if a news media requester has satisfied the 
public interest standard, the public interest is the primary interest 
served by disclosure to that requester. Disclosure to data brokers or 
others who merely compile and market Government information for direct 
economic return shall not be presumed to primarily serve the public 
interest.
    (4) A request for a waiver or reduction of fees shall include a 
clear statement of how the request satisfies the criteria set forth in 
paragraphs (j)(2) and (3) of this section, insofar as they apply to each 
request. The burden shall be on the requester to present evidence or 
information in support of a request for a waiver or reduction of fees.
    (5) Where only some of the records to be released satisfy the 
requirements for a fee waiver, a waiver shall be granted for those 
records.
    (6) The Records Management Officer shall make a determination on the 
request for a waiver or reduction of fees and shall notify the requester 
accordingly. A denial may be appealed to the General Counsel in 
accordance with Sec.  1850.7.



Sec.  1850.11  Requests for confidential treatment of business information.

    (a) Submission of request. Any submitter of information to the 
Council who desires confidential treatment of business information 
pursuant to 5 U.S.C. 552(b)(4) shall file a request for confidential 
treatment with the Council at the time the information is submitted or 
within a reasonable time after submission. These designations will 
expire ten years after the date of submission unless the submitter 
requests, and provides justification for, a longer period.
    (b) Form of request. Each request for confidential treatment of 
business information shall state in reasonable detail the facts 
supporting the commercial or financial nature of the business 
information and the legal justification under which the business 
information should be protected. Conclusory statements indicating that 
release of the information would cause competitive harm generally are 
not sufficient to justify confidential treatment.
    (c) Designation and separation of confidential material. A submitter 
shall clearly mark all information it considers confidential as 
``PROPRIETARY'' or ``BUSINESS CONFIDENTIAL'' in the submission and shall 
separate information so marked from other information submitted. Failure 
by the submitter to segregate confidential commercial or financial 
information from other material may result in

[[Page 585]]

release of the nonsegregated material to the public without notice to 
the submitter.



Sec.  1850.12  Requests for access to confidential commercial 
or financial information.

    (a) Notice to submitters. The Council shall provide a submitter with 
prompt notice of a FOIA request or administrative appeal that seeks its 
business information whenever required under paragraph (b) of this 
section, except as provided in paragraph (e) of this section, in order 
to give the submitter an opportunity under paragraph (c) of this section 
to object to disclosure of any specified portion of that information. 
The notice shall either describe the business information requested or 
include copies of the requested records containing the information. If 
notification of a large number of submitters is required, notification 
may be made by posting or publishing the notice in a place reasonably 
likely to accomplish notification.
    (b) When notice is required. Notice shall be given to the submitter 
whenever:
    (1) The submitter has designated the information in good faith as 
protected from disclosure under FOIA exemption (b)(4); or
    (2) The Council has reason to believe that the information may be 
protected from disclosure under FOIA exemption (b)(4).
    (c) Opportunity to object to disclosure. The Council shall allow a 
submitter seven days from the date of receipt of the written notice 
described in paragraph (a) of this section to provide the Council with a 
statement of any objection to disclosure. The statement must identify 
any portions of the information the submitter requests to be withheld 
under FOIA exemption (b)(4), and describe how each qualifies for 
protection under the exemption: That is, why the information is a trade 
secret, or commercial or financial information that is privileged or 
confidential. If a submitter fails to respond to the notice within the 
time frame specified, the submitter will be considered to have no 
objection to disclosure of the information. Information a submitter 
provides under this paragraph may itself be subject to disclosure under 
the FOIA.
    (d) Notice of intent to disclose. The Council shall consider a 
submitter's objections and specific grounds under the FOIA for 
nondisclosure in deciding whether to disclose business information. If 
the Council decides to disclose business information over a submitter's 
objection, the Council shall give the submitter written notice via 
certified mail, return receipt requested, or similar means, which shall 
include:
    (1) A statement of reason(s) why the submitter's objections to 
disclosure were not sustained;
    (2) A description of the business information to be disclosed; and
    (3) A statement that the Council intends to disclose the information 
seven days from the date the submitter receives the notice.
    (e) Exceptions to notice requirements. The notice requirements of 
paragraphs (a) and (d) of this section shall not apply if:
    (1) The Council determines that the information is exempt and will 
be withheld under a FOIA exemption, other than exemption (b)(4);
    (2) The information has been lawfully published or has been 
officially made available to the public;
    (3) Disclosure of the information is required by statute (other than 
the FOIA) or by a regulation issued in accordance with Executive Order 
12600; or
    (4) The designation made by the submitter under this section or 
Sec.  1850.11 appears obviously frivolous, except that, in such a case, 
the Council shall provide the submitter written notice of any final 
decision to disclose the information seven days from the date the 
submitter receives the notice.
    (f) Notice to requester. The Council shall notify a requester 
whenever it provides the submitter with notice and an opportunity to 
object to disclosure; whenever it notifies the submitter of its intent 
to disclose the requested information; and whenever a submitter files a 
lawsuit to prevent the disclosure of the information.
    (g) Notice of lawsuits. Whenever a requester files a lawsuit seeking 
to compel the disclosure of confidential commercial information, the 
Council shall promptly notify the submitter.

[[Page 586]]



Sec.  1850.13  Classified information.

    In processing a request for information classified under Executive 
Order 13526 or any other Executive Order concerning the classification 
of records, the information shall be reviewed to determine whether it 
should remain classified. Ordinarily the Council or other Federal agency 
that classified the information should conduct the review, except that 
if a record contains information that has been derivatively classified 
by the Council because it contains information classified by another 
agency, the Council shall refer the responsibility for responding to the 
request to the agency that classified the underlying information. 
Information determined to no longer require classification shall not be 
withheld on the basis of FOIA exemption (b)(1) (5 U.S.C. 552(b)(1)), but 
should be reviewed to assess whether any other FOIA exemption should be 
invoked. Appeals involving classified information shall be processed in 
accordance with Sec.  1850.7.



        Subpart B_Production or Disclosure Under the Privacy Act



Sec.  1850.31  Purpose and scope.

    This subpart contains the regulations of the Gulf Coast Ecosystem 
Restoration Council (Council) implementing the Privacy Act of 1974, 5 
U.S.C. 552a. It sets forth the basic responsibilities of the Council 
under the Privacy Act (the Act) and offers guidance to members of the 
public who wish to exercise any of the rights established by the Act 
with regard to records maintained by the Council. Council records that 
are contained in a government-wide system of records established by the 
U.S. Office of Personnel Management (OPM), the General Services 
Administration (GSA), the Merit Systems Protection Board (MSPB), the 
Office of Government Ethics (OGE), Equal Employment Opportunity 
Commission (EEOC) or the Department of Labor (DOL) for which those 
agencies have published systems notices are subject to the publishing 
agency's Privacy Act regulations. Where the government-wide systems 
notices permit access to these records through the employing agency, an 
individual should submit requests for access to, for amendment of or for 
an accounting of disclosures to the Council in accordance with Sec.  
1850.33.



Sec.  1850.32  Definitions.

    (a) For purposes of this subpart, the terms individual, maintain, 
record, and system of records shall have the meanings set forth in 5 
U.S.C. 552a(a).
    (b) Working days are business days and do not include Saturday, 
Sunday, or federal holidays.



Sec.  1850.33  Procedures for requests pertaining to individual records 
in a record system.

    (a) Any person who wishes to be notified if a system of records 
maintained by the Council contains any record pertaining to him or her, 
or to request access to such record or to request an accounting of 
disclosures made of such record, shall submit a written request, either 
in person or by mail, in accordance with the instructions set forth in 
the system notice published in the Federal Register. The request shall 
include:
    (1) The name of the individual making the request;
    (2) The name of the system of records (as set forth in the system 
notice to which the request relates);
    (3) Any other information specified in the system notice;
    (4) When the request is for access to records, a statement 
indicating whether the requester desires to make a personal inspection 
of the records or be supplied with copies by mail; and
    (5) Any additional information required by Sec.  1850.34 for proper 
verification of identity or authority to access the information.
    (b) Requests pertaining to records contained in a system of records 
established by the Council and for which the Council has published a 
system notice should be submitted to the person or office indicated in 
the system notice. Requests pertaining to Council records contained in 
the government-wide systems of records listed below should be submitted 
as follows:
    (1) For systems OPM/GOVT-1 (General Personnel Records), OPM/GOVT-2 
(Employee Performance File System Records), OPM/GOVT-3 (Records of 
Adverse Actions and Actions Based on

[[Page 587]]

Unacceptable Performance), GSA/GOVT-4 (Contracted Travel Services 
Program), OPM/GOVT-5 (Recruiting, Examining and Placement Records), OPM/
GOVT-6 (Personnel Research and Test Validation Records), OPM/GOVT-7 
(Applicant Race, Sex, National Origin, and Disability Status Records), 
OPM/GOVT-9 (Files on Position Classification Appeals, Job Grading 
Appeals and Retained Grade or Pay Appeals), OPM/GOVT-10 (Employee 
Medical File System Records) and DOL/ESA-13 (Office of Workers' 
Compensation Programs, Federal Employees' Compensation File), or any 
other government-wide system of record not specifically listed, to the 
[email protected]]; and
    (2) For systems OGE/GOVT-1 (Executive Branch Public Financial 
Disclosure Reports and Other Ethics Program Records), OGE/GOVT-2 
(Confidential Statements of Employment and Financial Interests) and 
MSPB/GOVT-1 (Appeal and Case Records), to the General Counsel at 
[email protected].
    (c) Any person whose request for access under paragraph (a) of this 
section is denied, may appeal that denial in accordance with Sec.  
1850.39.



Sec.  1850.34  Times, places, and requirements for identification 
of individuals making requests.

    (a) If a person submitting a request for access under Sec.  1850.33 
has asked that the Council authorize a personal inspection of records 
pertaining to that person, and the appropriate Council official has 
granted that request, the requester shall present himself or herself at 
the time and place specified in the Council's response or arrange 
another, mutually convenient time with the appropriate Council official.
    (b) Prior to personal inspection of the records, the requester shall 
present sufficient personal identification (e.g., driver's license, 
employee identification card, social security card, credit cards). If 
the requester is unable to provide such identification, the requester 
shall complete and sign in the presence of a Council official a signed 
statement asserting his or her identity and stipulating that he or she 
understands that knowingly or willfully seeking or obtaining access to 
records about another individual under false pretenses is a misdemeanor 
punishable by fine up to $5,000.
    (c) Any person who has requested access under Sec.  1850.3 to 
records through personal inspection, and who wishes to be accompanied by 
another person or persons during this inspection, shall submit a written 
statement authorizing disclosure of the record in such person's or 
persons' presence.
    (d) If an individual submitting a request by mail under Sec.  
1850.33 wishes to have copies furnished by mail, he or she must include 
with the request a signed and notarized statement asserting his or her 
identity and stipulating that he or she understands that knowingly or 
willfully seeking or obtaining access to records about another 
individual under false pretenses is a misdemeanor punishable by fine up 
to $5,000.
    (e) A request filed by the parent of any minor or the legal guardian 
of any incompetent person shall: State the relationship of the requester 
to the individual to whom the record pertains; present sufficient 
identification; and, if not evident from information already available 
to the Council, present appropriate proof of the relationship or 
guardianship.
    (f) A person making a request pursuant to a power of attorney must 
possess a specific power of attorney to make that request.
    (g) No verification of identity will be required where the records 
sought are publicly available under the Freedom of Information Act.



Sec.  1850.35  Disclosure of requested information to individuals.

    (a) Upon receipt of request for notification as to whether the 
Council maintains a record about an individual and/or request for access 
to such record:
    (1) The appropriate Council official shall acknowledge such request 
in writing within 10 working days of receipt of the request. Wherever 
practicable, the acknowledgement should contain the notification and/or 
determination required in paragraph (a)(2) of this section.
    (2) The appropriate Council official shall provide, within 30 
working days

[[Page 588]]

of receipt of the request, written notification to the requester as to 
the existence of the records and/or a determination as to whether or not 
access will be granted. In some cases, such as where records have to be 
recalled from the Federal Records Center, notification and/or a 
determination of access may be delayed. In the event of such a delay, 
the Council official shall inform the requester of this fact, the 
reasons for the delay, and an estimate of the date on which notification 
and/or a determination will be forthcoming.
    (3) If access to a record is granted, the determination shall 
indicate when and where the record will be available for personal 
inspection. If a copy of the record has been requested, the Council 
official shall mail that copy or retain it at the Council to present to 
the individual, upon receipt of a check or money order in an amount 
computed pursuant to Sec.  1850.41.
    (4) When access to a record is to be granted, the appropriate 
Council official will normally provide access within 30 working days of 
receipt of the request unless, for good cause shown, he or she is unable 
to do so, in which case the requester shall be informed within 30 
working days of receipt of the request as to those reasons and when it 
is anticipated that access will be granted.
    (5) The Council shall not deny any request under Sec.  1850.33 
concerning the existence of records about the requester in any system of 
records it maintains, or any request for access to such records, unless 
that system is exempted from the requirements of 5 U.S.C. 552a.
    (6) If the Council receives a request pursuant to Sec.  1850.33 for 
access to records in a system of records it maintains which is so 
exempt, the appropriate Council official shall deny the request.
    (b) Upon request, the appropriate Council official shall make 
available an accounting of disclosures pursuant to 5 U.S.C. 552a(c)(3), 
unless that system is exempted from the requirements of 5 U.S.C. 552a.
    (c) If a request for access to records is denied pursuant to 
paragraph (a) or (b) of this section, the determination shall specify 
the reasons for the denial and advise the individual how to appeal the 
denial in accordance with Sec.  1850.39. All appeals must be submitted 
in writing to the General Counsel at [email protected].
    (d) Nothing in 5 U.S.C. 552a or this subpart allows an individual 
access to any information compiled in reasonable anticipation of a civil 
action or proceeding.



Sec.  1850.36  Special procedures: Medical records.

    In the event the Council receives a request pursuant to Sec.  
1850.33 for access to medical records (including psychological records) 
and the appropriate Council official determines disclosure could be 
harmful to the individual to whom they relate, he or she may refuse to 
disclose the records directly to the requester but shall transmit them 
to a physician designated by that individual.



Sec.  1850.37  Request for correction or amendment to record.

    (a) Any person who wishes to request correction or amendment of any 
record pertaining to him or her that is contained in a system of records 
maintained by the Council, shall submit that request in writing in 
accordance with the instructions set forth in the system notice for that 
system of records. If the request is submitted by mail, the envelope 
should be clearly labeled ``Personal Information Amendment.'' The 
request shall include:
    (1) The name of the individual making the request;
    (2) The name of the system of records as set forth in the system 
notice to which the request relates;
    (3) A description of the nature (e.g., modification, addition or 
deletion) and substance of the correction or amendment requested; and
    (4) Any other information specified in the system notice.
    (b) Any person submitting a request pursuant to paragraph (a) of 
this section shall include sufficient information in support of that 
request to allow the Council to apply the standards set forth in 5 
U.S.C. 552a(e) requiring the Council to maintain accurate, relevant, 
timely, and complete information.
    (c) All requests to amend pertaining to personnel records described 
in

[[Page 589]]

Sec.  1850.33(b) shall conform to the requirements of paragraphs (a) and 
(b) of this section and may be directed to the appropriate officials as 
indicated in Sec.  1850.33(b). Such requests may also be directed to the 
system manager specified in the OPM's systems notices.
    (d) Any person whose request under paragraph (a) of this section is 
denied may appeal that denial in accordance with Sec.  1850.39.



Sec.  1850.38  Council review of request for correction or amendment to record.

    (a) When the Council receives a request for amendment or correction 
under Sec.  1850.37(a), the appropriate Council official shall 
acknowledge that request in writing within 10 working days of receipt. 
He or she shall promptly either:
    (1) Determine to grant all or any portion of a request for 
correction or amendment; and:
    (i) Advise the individual of that determination;
    (ii) Make the requested correction or amendment; and
    (iii) Inform any person or agency outside the Council to whom the 
record has been disclosed, and where an accounting of that disclosure is 
maintained in accordance with 5 U.S.C. 552a(c), of the occurrence and 
substance of the correction or amendments; or
    (2) Inform the requester of the refusal to amend the record in 
accordance with the request; the reason for the refusal; and the 
procedures whereby the requester can appeal the refusal to the General 
Counsel of the Council in accordance with Sec.  1850.39.
    (b) If the Council official informs the requester of the 
determination within the 10-day deadline, a separate acknowledgement is 
not required.
    (c) In conducting the review of a request for correction or 
amendment, the Council official shall be guided by the requirements of 5 
U.S.C. 552a(e).
    (d) In the event that the Council receives a notice of correction or 
amendment from another agency that pertains to records maintained by the 
Council, the Council shall make the appropriate correction or amendment 
to its records and comply with paragraph (a)(1)(iii) of this section.
    (e) Requests for amendment or correction of records maintained in 
the government-wide systems of records listed in Sec.  1850.35(c) shall 
be governed by the appropriate agency's regulations cited in that 
paragraph.



Sec.  1850.39  Appeal of initial adverse agency determination 
on correction or amendment.

    (a) If a request for correction or amendment of a record in a system 
of records maintained by the Council is denied, the requester may appeal 
the determination in writing to the General Counsel at 
[email protected].
    (b) The General Counsel shall make a final determination with regard 
to an appeal submitted under paragraph (a) of this section not later 
than 30 working days from the date on which the individual requests a 
review, unless for good cause shown, this 30-day period is extended and 
the requester is notified of the reasons for the extension and of the 
estimated date on which a final determination will be made. Such 
extensions will be used only in exceptional circumstances and will not 
normally exceed 30 working days.
    (c) In conducting the review of an appeal submitted under paragraph 
(a) of this section, the General Counsel shall be guided by the 
requirements of 5 U.S.C. 552a(e).
    (d) If the General Counsel determines to grant all or any portion of 
a request on an appeal submitted under paragraph (a) of this section, he 
or she shall so inform the requester, and the appropriate Council 
official shall comply with the procedures set forth in Sec.  
1850.38(a)(1)(ii) and (iii).
    (e) If the General Counsel determines in accordance with paragraphs 
(b) and (c) of this section not to grant all or any portion of a request 
on an appeal submitted under paragraph (a) of this section, he or she 
shall inform the requester:
    (1) Of this determination and the reasons for it;
    (2) Of the requester's right to file a concise statement of reasons 
for disagreement with the determination of the General Counsel;
    (3) That such statements of disagreement will be made available to 
anyone

[[Page 590]]

to whom the record is subsequently disclosed, together with (if the 
General Counsel deems it appropriate) a brief statement summarizing the 
General Counsel's reasons for refusing to amend the record;
    (4) That prior recipients of the disputed record will be provided 
with a copy of the statement of disagreement together with (if the 
General Counsel deems it appropriate) a brief statement of the General 
Counsel's reasons for refusing to amend the record, to the extent that 
an accounting of disclosure is maintained under 5 U.S.C. 552a(c); and
    (5) Of the requester's right to file a civil action in Federal 
district court to seek a review of the determination of the General 
Counsel in accordance with 5 U.S.C. 552a(g).
    (f) The General Counsel shall ensure that any statements of 
disagreement submitted by a requester are made available or distributed 
in accordance with paragraphs (e)(3) and (4) of this section.



Sec.  1850.40  Disclosure of record to person other than the individual 
to whom it pertains.

    The Counsel shall not disclose any record which is contained in a 
system of records it maintains, by any means of communication to any 
person or to another agency, except pursuant to a written request by, or 
with the prior written consent of the individual to whom the record 
pertains, unless the disclosure is authorized by one or more provisions 
of 5 U.S.C. 552a(b).



Sec.  1850.41  Fees.

    (a) No fee shall be charged for searches necessary to locate 
records. No charge shall be made if the total fees authorized are less 
than $1.00. Fees shall be charged for services rendered under this 
subpart as follows:
    (1) For copies made by photocopy--$0.05 per page (maximum of 10 
copies). For copies prepared by computer, such as tapes or printouts, 
the Council will charge the direct cost incurred by the agency, 
including operator time. For other forms of duplication, the Council 
will charge the actual costs of that duplication.
    (2) For attestation of documents--$25.00 per authenticating 
affidavit or declaration.
    (3) For certification of documents--$50.00 per authenticating 
affidavit or declaration.
    (b) All required fees shall be paid in full prior to issuance of 
requested copies of records. Requesters must pay fees by check or money 
order made payable to the ``Treasury of the United States.''



Sec.  1850.42  Penalties.

    The criminal penalties which have been established for violations of 
the Privacy Act of 1974 are set forth in 5 U.S.C. 552a(i). Penalties are 
applicable to any officer or employee of the Council; to contractors and 
employees of such contractors who enter into contracts with the Council, 
and who are considered to be employees of the Council within the meaning 
of 5 U.S.C. 552a(m); and to any person who knowingly and willfully 
requests or obtains any record concerning an individual from the Council 
under false pretenses.

                       PARTS 1851	1899 [RESERVED]

[[Page 591]]



                              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.

  Table of CFR Titles and Chapters
  Alphabetical List of Agencies Appearing in the CFR
  List of CFR Sections Affected

[[Page 593]]



                    Table of CFR Titles and Chapters




                      (Revised as of July 1, 2019)

                      Title 1--General Provisions

         I  Administrative Committee of the Federal Register 
                (Parts 1--49)
        II  Office of the Federal Register (Parts 50--299)
       III  Administrative Conference of the United States (Parts 
                300--399)
        IV  Miscellaneous Agencies (Parts 400--599)
        VI  National Capital Planning Commission (Parts 600--699)

                    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 2--199)
        II  Office of Management and Budget Guidance (Parts 200--
                299)
            Subtitle B--Federal Agency Regulations for Grants and 
                Agreements
       III  Department of Health and Human Services (Parts 300--
                399)
        IV  Department of Agriculture (Parts 400--499)
        VI  Department of State (Parts 600--699)
       VII  Agency for International Development (Parts 700--799)
      VIII  Department of Veterans Affairs (Parts 800--899)
        IX  Department of Energy (Parts 900--999)
         X  Department of the Treasury (Parts 1000--1099)
        XI  Department of Defense (Parts 1100--1199)
       XII  Department of Transportation (Parts 1200--1299)
      XIII  Department of Commerce (Parts 1300--1399)
       XIV  Department of the Interior (Parts 1400--1499)
        XV  Environmental Protection Agency (Parts 1500--1599)
     XVIII  National Aeronautics and Space Administration (Parts 
                1800--1899)
        XX  United States Nuclear Regulatory Commission (Parts 
                2000--2099)
      XXII  Corporation for National and Community Service (Parts 
                2200--2299)
     XXIII  Social Security Administration (Parts 2300--2399)
      XXIV  Department of Housing and Urban Development (Parts 
                2400--2499)
       XXV  National Science Foundation (Parts 2500--2599)
      XXVI  National Archives and Records Administration (Parts 
                2600--2699)

[[Page 594]]

     XXVII  Small Business Administration (Parts 2700--2799)
    XXVIII  Department of Justice (Parts 2800--2899)
      XXIX  Department of Labor (Parts 2900--2999)
       XXX  Department of Homeland Security (Parts 3000--3099)
      XXXI  Institute of Museum and Library Services (Parts 3100--
                3199)
     XXXII  National Endowment for the Arts (Parts 3200--3299)
    XXXIII  National Endowment for the Humanities (Parts 3300--
                3399)
     XXXIV  Department of Education (Parts 3400--3499)
      XXXV  Export-Import Bank of the United States (Parts 3500--
                3599)
     XXXVI  Office of National Drug Control Policy, Executive 
                Office of the President (Parts 3600--3699)
    XXXVII  Peace Corps (Parts 3700--3799)
     LVIII  Election Assistance Commission (Parts 5800--5899)
       LIX  Gulf Coast Ecosystem Restoration Council (Parts 5900--
                5999)

                        Title 3--The President

         I  Executive Office of the President (Parts 100--199)

                           Title 4--Accounts

         I  Government Accountability Office (Parts 1--199)

                   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)
        IV  Office of Personnel Management and Office of the 
                Director of National Intelligence (Parts 1400--
                1499)
         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)
       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)

[[Page 595]]

    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)
     XXXIV  Securities and Exchange Commission (Parts 4400--4499)
      XXXV  Office of Personnel Management (Parts 4500--4599)
     XXXVI  Department of Homeland Security (Parts 4600--4699)
    XXXVII  Federal Election Commission (Parts 4700--4799)
        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)
      XLIX  Federal Labor Relations Authority (Parts 5900--5999)
         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)
       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)
       LXX  Court Services and Offender Supervision Agency for the 
                District of Columbia (Parts 8000--8099)
      LXXI  Consumer Product Safety Commission (Parts 8100--8199)
    LXXIII  Department of Agriculture (Parts 8300--8399)

[[Page 596]]

     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)
      LXXX  Federal Housing Finance Agency (Parts 9000--9099)
   LXXXIII  Special Inspector General for Afghanistan 
                Reconstruction (Parts 9300--9399)
    LXXXIV  Bureau of Consumer Financial Protection (Parts 9400--
                9499)
    LXXXVI  National Credit Union Administration (Parts 9600--
                9699)
     XCVII  Department of Homeland Security Human Resources 
                Management System (Department of Homeland 
                Security--Office of Personnel Management) (Parts 
                9700--9799)
    XCVIII  Council of the Inspectors General on Integrity and 
                Efficiency (Parts 9800--9899)
      XCIX  Military Compensation and Retirement Modernization 
                Commission (Parts 9900--9999)
         C  National Council on Disability (Parts 10000--10049)
        CI  National Mediation Board (Part 10101)

                      Title 6--Domestic Security

         I  Department of Homeland Security, Office of the 
                Secretary (Parts 1--199)
         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)
       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)

[[Page 597]]

        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)
       XXV  Office of Advocacy and Outreach, Department of 
                Agriculture (Parts 2500--2599)
      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  National Institute of Food and Agriculture (Parts 
                3400--3499)
      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)

[[Page 598]]

                    Title 8--Aliens and Nationality

         I  Department of Homeland Security (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 1300--
                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)
        II  Election Assistance Commission (Parts 9400--9499)

                      Title 12--Banks and Banking

         I  Comptroller of the Currency, Department of the 
                Treasury (Parts 1--199)
        II  Federal Reserve System (Parts 200--299)
       III  Federal Deposit Insurance Corporation (Parts 300--399)
        IV  Export-Import Bank of the United States (Parts 400--
                499)
         V  (Parts 500--599) [Reserved]
        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)
         X  Bureau of Consumer Financial Protection (Parts 1000--
                1099)
        XI  Federal Financial Institutions Examination Council 
                (Parts 1100--1199)
       XII  Federal Housing Finance Agency (Parts 1200--1299)
      XIII  Financial Stability Oversight Council (Parts 1300--
                1399)

[[Page 599]]

       XIV  Farm Credit System Insurance Corporation (Parts 1400--
                1499)
        XV  Department of the Treasury (Parts 1500--1599)
       XVI  Office of Financial Research (Parts 1600--1699)
      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 (Parts 400--499)
         V  Emergency Oil and Gas Guaranteed Loan Board (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--1199)
         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)
       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  National Technical Information Service, Department of 
                Commerce (Parts 1100--1199)

[[Page 600]]

      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) [Reserved]

                    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  U.S. Customs and Border Protection, Department of 
                Homeland Security; Department of the Treasury 
                (Parts 0--199)
        II  United States International Trade Commission (Parts 
                200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)
        IV  U.S. Immigration and Customs Enforcement, Department 
                of Homeland Security (Parts 400--599) [Reserved]

                     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)

[[Page 601]]

        IV  Employees' Compensation Appeals Board, Department of 
                Labor (Parts 500--599)
         V  Employment and Training Administration, Department of 
                Labor (Parts 600--699)
        VI  Office of Workers' Compensation Programs, 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  Millennium Challenge Corporation (Parts 1300--1399)
       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)

[[Page 602]]

        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 
                Housing Commissioner, 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)
       XII  Office of Inspector General, Department of Housing and 
                Urban Development (Parts 2000--2099)
        XV  Emergency Mortgage Insurance and Loan Programs, 
                Department of Housing and Urban Development (Parts 
                2700--2799) [Reserved]
        XX  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 3200--3899)
      XXIV  Board of Directors of the HOPE for Homeowners Program 
                (Parts 4000--4099) [Reserved]
       XXV  Neighborhood Reinvestment Corporation (Parts 4100--
                4199)

[[Page 603]]

                           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--899)
         V  Bureau of Indian Affairs, Department of the Interior, 
                and Indian Health Service, Department of Health 
                and Human Services (Part 900--999)
        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--End)

           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)
      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)

[[Page 604]]

        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  Bureau of Safety and Environmental Enforcement, 
                Department of the Interior (Parts 200--299)
        IV  Geological Survey, Department of the Interior (Parts 
                400--499)
         V  Bureau of Ocean Energy Management, Department of the 
                Interior (Parts 500--599)
       VII  Office of Surface Mining Reclamation and Enforcement, 
                Department of the Interior (Parts 700--999)
       XII  Office of Natural Resources Revenue, Department of the 
                Interior (Parts 1200--1299)

                 Title 31--Money and Finance: Treasury

            Subtitle A--Office of the Secretary of the Treasury 
                (Parts 0--50)
            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)

[[Page 605]]

      VIII  Office of Investment Security, Department of the 
                Treasury (Parts 800--899)
        IX  Federal Claims Collection Standards (Department of the 
                Treasury--Department of Justice) (Parts 900--999)
         X  Financial Crimes Enforcement Network, Department of 
                the Treasury (Parts 1000--1099)

                      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, Department 
                of Defense (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)
            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)

[[Page 606]]

        IV  Office of Career, Technical and Adult Education, 
                Department of Education (Parts 400--499)
         V  Office of Bilingual Education and Minority Languages 
                Affairs, Department of Education (Parts 500--599) 
                [Reserved]
        VI  Office of Postsecondary Education, Department of 
                Education (Parts 600--699)
       VII  Office of Educational Research and Improvement, 
                Department of Education (Parts 700--799) 
                [Reserved]
            Subtitle C--Regulations Relating to Education
        XI  (Parts 1100--1199) [Reserved]
       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  U.S. Copyright Office, Library of Congress (Parts 
                200--299)
       III  Copyright Royalty Board, Library of Congress (Parts 
                300--399)
        IV  National Institute of Standards and Technology, 
                Department of Commerce (Parts 400--599)

           Title 38--Pensions, Bonuses, and Veterans' Relief

         I  Department of Veterans Affairs (Parts 0--199)
        II  Armed Forces Retirement Home (Parts 200--299)

[[Page 607]]

                       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)
      VIII  Gulf Coast Ecosystem Restoration Council (Parts 1800--
                1899)

          Title 41--Public Contracts and Property Management

            Subtitle A--Federal Procurement Regulations System 
                [Note]
            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)
   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)
  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)
  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)

[[Page 608]]

       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)
   II--III  [Reserved]
        IV  Centers for Medicare & Medicaid Services, Department 
                of Health and Human Services (Parts 400--699)
         V  Office of Inspector General-Health Care, Department of 
                Health and Human Services (Parts 1000--1099)

                   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 400--999)
        II  Bureau of Land Management, Department of the Interior 
                (Parts 1000--9999)
       III  Utah Reclamation Mitigation and Conservation 
                Commission (Parts 10000--10099)

             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
        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)

[[Page 609]]

         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)
        IX  Denali Commission (Parts 900--999)
         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  Administration for Children and Families, 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 of Fine Arts (Parts 2100--2199)
     XXIII  Arctic Research Commission (Parts 2300--2399)
      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)
       III  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                300--399)
        IV  National Telecommunications and Information 
                Administration, Department of Commerce, and 
                National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 400--499)
         V  The First Responder Network Authority (Parts 500--599)

[[Page 610]]

           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 (Parts 5300--5399) 
                [Reserved]
        54  Defense Logistics Agency, Department of Defense (Parts 
                5400--5499)
        57  African Development Foundation (Parts 5700--5799)
        61  Civilian Board of Contract Appeals, General Services 
                Administration (Parts 6100--6199)
        99  Cost Accounting Standards Board, Office of Federal 
                Procurement Policy, Office of Management and 
                Budget (Parts 9900--9999)

[[Page 611]]

                       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 (Parts 1000--1399)
        XI  Research and Innovative Technology Administration, 
                Department of Transportation (Parts 1400--1499) 
                [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)
        VI  Fishery Conservation and Management, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 600--699)

[[Page 613]]





           Alphabetical List of Agencies Appearing in the CFR




                      (Revised as of July 1, 2019)

                                                  CFR Title, Subtitle or 
                     Agency                               Chapter

Administrative Conference of the United States    1, III
Advisory Council on Historic Preservation         36, VIII
Advocacy and Outreach, Office of                  7, XXV
Afghanistan Reconstruction, Special Inspector     5, LXXXIII
     General for
African Development Foundation                    22, XV
  Federal Acquisition Regulation                  48, 57
Agency for International Development              2, VII; 22, II
  Federal Acquisition Regulation                  48, 7
Agricultural Marketing Service                    7, I, IX, X, XI
Agricultural Research Service                     7, V
Agriculture, Department of                        2, IV; 5, LXXIII
  Advocacy and Outreach, Office of                7, XXV
  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
  Economic Research Service                       7, XXXVII
  Energy Policy and New Uses, 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
  National Institute of Food and Agriculture      7, XXXIV
  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 of                          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

[[Page 614]]

Appalachian Regional Commission                   5, IX
Architectural and Transportation Barriers         36, XI
     Compliance Board
Arctic Research Commission                        45, XXIII
Armed Forces Retirement Home                      5, XI
Army, Department of                               32, V
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 51
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
Career, Technical, and Adult Education, Office    34, IV
     of
Census Bureau                                     15, I
Centers for Medicare & Medicaid Services          42, IV
Central Intelligence Agency                       32, XIX
Chemical Safety and Hazard Investigation Board    40, VI
Chief Financial Officer, Office of                7, XXX
Child Support Enforcement, Office of              45, III
Children and Families, Administration for         45, II, III, IV, X, XIII
Civil Rights, Commission on                       5, LXVIII; 45, VII
Civil Rights, Office for                          34, I
Council of the Inspectors General on Integrity    5, XCVIII
     and Efficiency
Court Services and Offender Supervision Agency    5, LXX
     for the District of Columbia
Coast Guard                                       33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage)                46, III
Commerce, Department of                           2, XIII; 44, IV; 50, VI
  Census Bureau                                   15, I
  Economic Analysis, Bureau of                    15, VIII
  Economic Development Administration             13, III
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 13
  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; 37, IV
  National Marine Fisheries Service               50, II, IV
  National Oceanic and Atmospheric                15, IX; 50, II, III, IV, 
       Administration                             VI
  National Technical Information Service          15, XI
  National Telecommunications and Information     15, XXIII; 47, III, IV
       Administration
  National Weather Service                        15, IX
  Patent and Trademark Office, United States      37, I
  Secretary of Commerce, Office of                15, Subtitle A
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 Financial Protection Bureau              5, LXXXIV; 12, X
Consumer Product Safety Commission                5, LXXI; 16, 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    5, LXX; 28, VIII
     for the District of Columbia
Customs and Border Protection                     19, I
Defense Contract Audit Agency                     32, I
Defense, Department of                            2, XI; 5, XXVI; 32, 
                                                  Subtitle A; 40, VII
  Advanced Research Projects Agency               32, I
  Air Force Department                            32, VII

[[Page 615]]

  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
Denali Commission                                 45, IX
Disability, National Council on                   5, C; 34, XII
District of Columbia, Court Services and          5, LXX; 28, VIII
     Offender Supervision Agency for the
Drug Enforcement Administration                   21, II
East-West Foreign Trade Board                     15, XIII
Economic Analysis, Bureau of                      15, VIII
Economic Development Administration               13, III
Economic Research Service                         7, XXXVII
Education, Department of                          2, XXXIV; 5, LIII
  Bilingual Education and Minority Languages      34, V
       Affairs, Office of
  Career, Technical, and Adult Education, Office  34, IV
       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
Educational Research and Improvement, Office of   34, VII
Election Assistance Commission                    2, LVIII; 11, II
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 Policy, National Commission for        1, IV
Employment Standards Administration               20, VI
Endangered Species Committee                      50, IV
Energy, Department of                             2, IX; 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
  Environmental Quality, Council on               40, V
  Management and Budget, Office of                2, Subtitle A; 5, III, 
                                                  LXXVII; 14, VI; 48, 99
  National Drug Control Policy, Office of         2, XXXVI; 21, III
  National Security Council                       32, XXI; 47, 2

[[Page 616]]

  Presidential Documents                          3
  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                       5, XXXVII; 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 Agency                    5, LXXX; 12, XII
Federal Housing Finance Board                     12, IX
Federal Labor Relations Authority                 5, XIV, XLIX; 22, XIV
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
Financial Crimes Enforcement Network              31, X
Financial Research Office                         12, XVI
Financial Stability Oversight Council             12, XIII
Fine Arts, Commission of                          45, XXI
Fiscal Service                                    31, II
Fish and Wildlife Service, United States          50, I, IV
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

[[Page 617]]

  Contract Appeals, Board of                      48, 61
  Federal Acquisition Regulation                  48, 5
  Federal Management Regulation                   41, 102
  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
Gulf Coast Ecosystem Restoration Council          2, LIX; 40, VIII
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, XIII
  Community Services, Office of                   45, X
  Family Assistance, Office of                    45, II
  Federal Acquisition Regulation                  48, 3
  Food and Drug Administration                    21, I
  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                  2, XXX; 5, XXXVI; 6, I; 8, 
                                                  I
  Coast Guard                                     33, I; 46, I; 49, IV
  Coast Guard (Great Lakes Pilotage)              46, III
  Customs and Border Protection                   19, I
  Federal Emergency Management Agency             44, I
  Human Resources Management and Labor Relations  5, XCVII
       Systems
  Immigration and Customs Enforcement Bureau      19, IV
  Transportation Security Administration          49, XII
HOPE for Homeowners Program, Board of Directors   24, XXIV
     of
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
Immigration and Customs Enforcement Bureau        19, IV
Immigration Review, Executive Office for          8, V
Independent Counsel, Office of                    28, VII
Independent Counsel, Offices of                   28, VI
Indian Affairs, Bureau of                         25, I, V
Indian Affairs, Office of the Assistant           25, VI
   Secretary
[[Page 618]]

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
Inspector General
  Agriculture Department                          7, XXVI
  Health and Human Services Department            42, V
  Housing and Urban Development Department        24, XII, XV
Institute of Peace, United States                 22, XVII
Inter-American Foundation                         5, LXIII; 22, X
Interior, Department of                           2, XIV
  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
  National Indian Gaming Commission               25, III
  National Park Service                           36, I
  Natural Resource Revenue, Office of             30, XII
  Ocean Energy Management, Bureau of              30, V
  Reclamation, Bureau of                          43, I
  Safety and Enforcement Bureau, Bureau of        30, II
  Secretary of the Interior, Office of            2, XIV; 43, Subtitle A
  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 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
Investment Security, Office of                    31, VIII
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 of                            2, XXVIII; 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
  Independent Counsel, Offices of                 28, VI
  Prisons, Bureau of                              28, V
  Property Management Regulations                 41, 128
Labor, Department of                              2, XXIX; 5, XLII
  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
[[Page 619]]

  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
  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, VII
Labor-Management Standards, Office of             29, II, IV
Land Management, Bureau of                        43, II
Legal Services Corporation                        45, XVI
Libraries and Information Science, National       45, XVII
     Commission on
Library of Congress                               36, VII
  Copyright Royalty Board                         37, III
  U.S. Copyright Office                           37, II
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
Military Compensation and Retirement              5, XCIX
     Modernization Commission
Millennium Challenge Corporation                  22, XIII
Mine Safety and Health Administration             30, I
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
Museum and Library Services, Institute of         2, XXXI
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   2, XXII; 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, VI
National Counterintelligence Center               32, XVIII
National Credit Union Administration              5, LXXXVI; 12, VII
National Crime Prevention and Privacy Compact     28, IX
     Council
National Drug Control Policy, Office of           2, XXXVI; 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 Geospatial-Intelligence Agency           32, I
National Highway Traffic Safety Administration    23, II, III; 47, VI; 49, V
National Imagery and Mapping Agency               32, I
National Indian Gaming Commission                 25, III
National Institute of Food and Agriculture        7, XXXIV
National Institute of Standards and Technology    15, II; 37, IV
National Intelligence, Office of Director of      5, IV; 32, XVII
National Labor Relations Board                    5, LXI; 29, I
National Marine Fisheries Service                 50, II, IV
National Mediation Board                          5, CI; 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

[[Page 620]]

National Security Council and Office of Science   47, II
     and Technology Policy
National Technical Information Service            15, XI
National Telecommunications and Information       15, XXIII; 47, III, IV, V
     Administration
National Transportation Safety Board              49, VIII
Natural Resources Conservation Service            7, VI
Natural Resource Revenue, Office of               30, XII
Navajo and Hopi Indian Relocation, Office of      25, IV
Navy, Department of                               32, VI
  Federal Acquisition Regulation                  48, 52
Neighborhood Reinvestment Corporation             24, XXV
Northeast Interstate Low-Level Radioactive Waste  10, XVIII
     Commission
Nuclear Regulatory Commission                     2, XX; 5, XLVIII; 10, I
  Federal Acquisition Regulation                  48, 20
Occupational Safety and Health Administration     29, XVII
Occupational Safety and Health Review Commission  29, XX
Ocean Energy Management, Bureau of                30, V
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                                       2, XXXVII; 22, III
Pennsylvania Avenue Development Corporation       36, IX
Pension Benefit Guaranty Corporation              29, XL
Personnel Management, Office of                   5, I, XXXV; 5, IV; 45, 
                                                  VIII
  Human Resources Management and Labor Relations  5, XCVII
       Systems, Department of Homeland Security
  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
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
Safety and Environmental Enforcement, Bureau of   30, II
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                5, XXXIV; 17, II

[[Page 621]]

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 of                              2, VI; 22, I; 28, XI
  Federal Acquisition Regulation                  48, 6
Surface Mining Reclamation and Enforcement,       30, VII
     Office of
Surface Transportation Board                      49, X
Susquehanna River Basin Commission                18, VIII
Tennessee Valley Authority                        5, LXIX; 18, XIII
Trade Representative, United States, Office of    15, XX
Transportation, Department of                     2, XII; 5, L
  Commercial Space Transportation                 14, III
  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; 47, IV; 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
  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 of the                       2, X;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                   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
  Financial Crimes Enforcement Network            31, X
  Fiscal Service                                  31, II
  Foreign Assets Control, Office of               31, V
  Internal Revenue Service                        26, I
  Investment Security, Office of                  31, VIII
  Monetary Offices                                31, I
  Secret Service                                  31, IV
  Secretary of the Treasury, Office of            31, Subtitle A
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
U.S. Copyright Office                             37, II
Utah Reclamation Mitigation and Conservation      43, III
     Commission
Veterans Affairs, Department of                   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
Wage and Hour Division                            29, V
Water Resources Council                           18, VI
Workers' Compensation Programs, Office of         20, I, VII
World Agricultural Outlook Board                  7, XXXVIII

[[Page 623]]



List of CFR Sections Affected



All changes in this volume of the Code of Federal Regulations (CFR) that 
were made by documents published in the Federal Register since January 
1, 2014 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, parts and 
subparts as well as sections for revisions.
For changes to this volume of the CFR prior to this listing, consult the 
annual edition of the monthly List of CFR Sections Affected (LSA). The 
LSA is available at www.govinfo.gov. For changes to this volume of the 
CFR prior to 2001, see the ``List of CFR Sections Affected, 1949-1963, 
1964-1972, 1973-1985, and 1986-2000'' published in 11 separate volumes. 
The ``List of CFR Sections Affected 1986-2000'' is available at 
www.govinfo.gov.

                                  2014

40 CFR
                                                                   79 FR
                                                                    Page
Chapter I
1065.1 (h) revised.................................................23752
1065.2 (d) and (e) revised.........................................23752
1065.10 (a), (c)(7) introductory text and (d) revised..............23752
1065.12 (a), (d) introductory text and (e) introductory text 
        revised....................................................23752
1065.15 (a), (b) and (c)(2)(ii) revised............................23753
1065.20 (a)(3), (b) introductory text, (c), (f)(1) and (g) revised
                                                                   23753
1065.25 Revised....................................................23753
1065.130 (a) and (c)(6) revised....................................23754
1065.140 Revised...................................................23754
1065.145 (a), (c)(1), (2)(ii), (d)(1)(ii), (e)(2)(ii) and (3)(ii) 
        revised....................................................23756
1065.170 (a)(1), (b), (c)(1)(i) and Figure 1 revised...............23757
1065.201 (b), (d), (e) and (h) revised.............................23758
1065.202 Revised...................................................23759
1065.205 Revised...................................................23759
1065.210 (c) revised...............................................23760
1065.225 (a) revised...............................................23760
1065.230 (d) revised...............................................23761
1065.240 (d) revised...............................................23761
1065.250 (b) revised...............................................23761
1065.260 (b), (c) and (e) revised..................................23761
1065.267 (b) revised...............................................23761
1065.269 Added.....................................................23761
1065.270 (b) revised...............................................23761
1065.272 (b) revised...............................................23761
1065.275 (b) revised...............................................23761
1065.280 (b) revised...............................................23762
1065.284 (b) revised...............................................23762
1065.295 (b) revised...............................................23762
1065.303 Revised...................................................23762
1065.305 (d)(10)(i) revised........................................23763
1065.307 Revised...................................................23763
1065.308 (d)(2) revised; (g) added.................................23766
1065.309 (a) and (d)(2) revised; (g) and (h) added.................23767
1065.310 Revised...................................................23768
1065.315 (a)(2) revised............................................23768
1065.341 Heading, (a) introductory text, (d) introductory text and 
        (f)(3) revised.............................................23768
1065.350 (d) revised; (e) added....................................23768
1065.355 (d)(2) and (4) revised....................................23769
1065.360 (a)(3), (b), (d) and (e) revised..........................23769
1065.362 (d)(15) added.............................................23770
1065.365 (a), (b), (d)(1), (e)(1), (f) introductory text and (1) 
        revised....................................................23770
1065.369 Added.....................................................23770
1065.370 (d)(9) and (e)(6) revised.................................23771
1065.375 (d) revised...............................................23771
1065.376 (b), (d)(2)(vi) and (viii) revised........................23771

[[Page 624]]

1065.405 Revised...................................................23772
1065.410 (c) revised...............................................23773
1065.501 Revised...................................................23773
1065.510 (d)(5)(ii) revised........................................23773
1065.512 (b)(5) revised............................................23774
1065.516 Added.....................................................23774
1065.518 Added.....................................................23774
1065.520 Revised...................................................23775
1065.526 Revised...................................................23776
1065.530 (a), (b) and (c) revised..................................23776
1065.545 Revised...................................................23777
1065.546 Heading and introductory text revised.....................23778
1065.550 Revised...................................................23778
1065.601 (b) revised...............................................23778
1065.602 (f), (j), (k) and (l)(1)(ii) revised......................23779
1065.610 (a) introductory text, (1), (c)(3) and (d)(3)(ii) revised
                                                                   23783
1065.630 Revised...................................................23784
1065.640 Revised...................................................23785
1065.642 Revised...................................................23792
1065.644 Revised...................................................23795
1065.645 Introductory text and (a) revised; (d) added..............23796
1065.650 (c)(1)(i), (ii) and (f)(4) revised........................23799
1065.655 (c) introductory text, (3), (d), (e) and (f)(2) revised 
                                                                   23799
1065.659 (a) and (d) revised.......................................23804
1065.665 Revised...................................................23805
1065.690 (e) revised...............................................23806
1065.695 (c)(4)(i) revised; (c)(6)(x) added........................23807
1065.701 (a), (d) and (f) revised..................................23807
1065.703 (b) revised; Table 1 transferred from (c) to (b) and 
        revised....................................................23807
1065.705 Revised...................................................23808
1065.710 Revised...................................................23809
1065.715 (a) revised...............................................23811
1065.720 (a) revised...............................................23811
1065.725 Added.....................................................23811
1065.750 Introductory text and (a) revised.........................23811
1065.805 (d) and (f) revised.......................................23812
1065.845 Revised...................................................23812
    (a) Table 1 heading corrected..................................36658
1065.850 Revised...................................................23813
1065.905 (a) and (d)(2)(i)(A) revised..............................23813
1065.915 (a) revised...............................................23813
1065.920 (a), (b) introductory text and (7) introductory text 
        revised....................................................23814
1065.1001 Amended..................................................23814
1065.1005 Revised..................................................23815
1065.1010 Revised..................................................23818
1065.1101--1065.1111 (Subpart L) Added.............................23820
1066 Revised.......................................................23823
1066.845 (g)(2) equation corrected.................................36658
1068.240 Revised....................................................7085
Chapter VIII Established; interim..................................49692
1800 Added; interim................................................49692

                                  2015

40 CFR
                                                                   80 FR
                                                                    Page
Chapter I
1060.5 (b)(2), (e) and (f) revised..................................9115
1060.515 (c) and (d) revised; (e) added.............................9116
1060.520 (a)(1), (c)(1) and (d)(9) revised..........................9116
1060.525 Revised....................................................9117
1060.810 Revised....................................................9118
1065 Hearings; comment period extended.............................44863
1065.10 (c)(6) revised..............................................9118
1065.410 (e) removed................................................9118
1065.610 (a)(1)(vii) added; (a)(1)(viii) removed....................9118
1065.650 (c)(1)(i) revised..........................................9119
1065.710 (c) revised................................................9119
1066 Hearings; comment period extended.............................44863
1066.10 (c) revised.................................................9120
1066.125 (a)(1) revised.............................................9120
1066.235 (c)(1)(i) revised..........................................9120
1066.255 (d) revised................................................9120
1066.270 (c)(4) revised.............................................9120
1066.301 Revised....................................................9121
1066.305 Revised....................................................9121
1066.410 (b) introductory text revised..............................9121
1066.420 (b) revised................................................9121
1066.501 (a)(2)(ii) and (iii) revised...............................9121
1066.605 (c)(5) and (6) revised.....................................9121
1066.615 Revised....................................................9121
1066.635 (c)(6) added...............................................9122
1066.701 (a) revised................................................9122
1066.710 (c) revised................................................9122
1066.801 (c)(2) and (e) Figure 1 revised............................9123
1066.815 (d)(2)(ii) and (iii) revised...............................9124

[[Page 625]]

1066.831 (b)(3)(ii)(D), (e)(2)(i) and (iii) revised; (b)(3)(ii)(G) 
        added.......................................................9124
1066.835 (e)(2) revised.............................................9124
1066.845 (b) and (e)(2) revised; (e)(3) added.......................9124
1066.985 (d)(9) revised.............................................9124
1066.1001 Amended...................................................9124
1066.1005 (h) revised...............................................9124
1066.1010 (b)(1) revised............................................9124
1068 Hearings; comment period extended.............................44863
Chapter VI
1600.5 (b) revised; (c) added......................................46824
Chapter VIII
1800 Initial Funded Priorities List availability...................77585
1800 Revised........................................................1586
1800.1 Amended (eff. date pending).................................77584
1800.100--1800.500 (Subpart C) Added (eff. date pending)...........77584
1850 Added.........................................................29541

                                  2016

40 CFR
                                                                   81 FR
                                                                    Page
Chapter I
1065.10 (c)(1)(ii) revised.........................................74162
1065.15 (a)(2) revised.............................................74162
1065.140 (d)(2) introductory text and (3) introductory text 
        revised....................................................74162
1065.170 Figure 1 revised..........................................74162
1065.202 Introductory text revised.................................74162
1065.220 (a) introductory text revised.............................74162
1065.225 (a) introductory text revised.............................74163
1065.247 Added.....................................................74163
1065.260 (e) and (f) revised; (g) added............................74163
1065.266 Added.....................................................74163
1065.267 (a) revised...............................................74163
1065.275 (b)(2) revised............................................74163
1065.303 Revised...................................................74164
1065.340 (e), (f)(8), (13), (g), (h) and Figure 1 revised..........74165
1065.341 (c)(3) revised............................................74167
1065.345 (d)(2), (4), (e)(3) and (4) revised.......................74167
1065.360 (a)(3), (d) introductory text and (7) revised; (f) added 
                                                                   74168
1065.365 (d)(9), (e)(10), (f)(9) and (14) revised..................74168
1065.366 Added.....................................................74168
1065.370 (d)(11) revised...........................................74168
1065.375 (b) revised...............................................74168
1065.390 (b), (c) introductory text and (2) revised................74168
1065.510 (c) introductory text, (4), (d)(5)(i) and (iii) revised 
                                                                   74169
1065.546 (a) revised...............................................74169
1065.590 (f)(2), (j) introductory text and (3) through (7) revised
                                                                   74169
1065.602 (f)(1) introductory text, (2) introductory text and (j) 
        revised....................................................74170
1065.610 (a)(1)(ii), (iii), (vi), (2), (b), (c)(1) and (2) revised
                                                                   74170
1065.640 (a) through (d) and (e)(3) revised........................74172
1065.642 Revised...................................................74177
1065.645 (c) and (d) revised.......................................74179
1065.650 (c)(6) added; (e)(2), (f)(2), (4) and (g)(2)(ii) revised 
                                                                   74180
1065.655 (e) and (f) redesignated as (f) and (g); new (e) added; 
        (a), (b), (c) introductory text, (3), (d) and new (f)(3) 
        revised....................................................74182
1065.660 (c) redesignated as (d); heading, (a)(2), (3), (b)(3) and 
        new (d) revised; (a)(4), (b)(4), new (c) and (e) added.....74184
1065.665 (a) and (b) revised.......................................74187
1065.667 (c) revised...............................................74188
1065.670 Second introductory text removed; CFR correction..........43101
1065.675 (d) revised...............................................74188
1065.680 Added.....................................................74189
1065.690 (c) revised...............................................74191
1065.735 Added.....................................................74191
1065.750 (a)(3)(xii) and (xiii) added..............................74191
1065.1001 Amended..................................................74191
1065.1005 (a), (b) and (f)(2) revised..............................74191
1065.1010 (b) and (e) revised......................................74193
1065.1105 (a) and (c)(4) revised...................................74195
1065.1107 (a)(1), (2) and (b) introductory text revised............74195
1065.1109 (a)(1) and (b)(4) introductory text revised..............74195
1066.105 (c)(2) introductory text, (i), (iv), (v), (5)(i), (iii) 
        and (d) revised............................................74195

[[Page 626]]

1066.110 (b)(1)(ii) through (vii) redesignated as (b)(1)(iii) 
        through (viii); new (b)(1)(ii) and (2)(iii)(C) added; 
        (b)(1)(i), new (vii), (2)(i)(B) and (c) revised............74196
1066.135 (d)(1) revised............................................74197
1066.140 (e), (f)(6)(i), (8), (13), (g)(6)(i), (11), (h) 
        introductory text, (6)(i), (7), (9), (10) and Figure 1 
        revised; (j) redesignated as (i)...........................74197
1066.210 (d)(3) revised............................................74198
1066.235 (c)(1)(ii) and (2)(i) revised.............................74199
1066.245 (c) introductory text revised.............................74199
1066.250 (c)(1), (2) and (5) revised...............................74199
1066.260 (c)(3) and (4) revised....................................74200
1066.265 (c) and (d) revised.......................................74200
1066.270 (c)(2), (4), (6) and (d)(1) revised.......................74201
1066.275 (c)(1) revised............................................74201
1066.301 Introductory text added...................................74201
1066.305 (a) revised...............................................74202
1066.310 introductory text, (b)(1)(i), (2), (6), (7)(ii) 
        introductory text, (A), (B), (D) and (E) revised...........74202
1066.410 (c) and (h) introductory text revised.....................74202
1066.415 (e)(6)(ii) revised........................................74202
1066.425 (b)(1), (2) and (3) revised...............................74203
1066.605 (c) introductory text and (d) through (g) revised; (h) 
        added......................................................74203
1066.615 (a)(1) revised............................................74207
1066.625 introductory text, (a)(1), (b) introductory text, (1), 
        (2)(i), (iv)(A), (D), (v), (vi), (vii), (xiii), (c)(1)(i), 
        (ii) and (iii) revised.....................................74208
1066.630 Revised...................................................74211
1066.635 (a) and (c) introductory text revised.....................74212
1066.695 (f) revised...............................................74213
1066.710 (a)(5) and (d)(3) introductory text revised...............74213
1066.801 (c)(2) and (3) revised....................................74213
1066.805 (c) revised...............................................74213
1066.815 (b) introductory text, (4) and (5) revised................74213
1066.820 (c) revised...............................................74214
1066.835 (f)(3)(iv) revised........................................74214
1066.985 (d)(8) revised............................................74215
1066.1005 (a) revised..............................................74215
1066.1010 Undesignated text following (a) introductory text 
        removed; (b)(1) revised....................................74217
1068 Policy statement..............................................54422
1068.1 Revised.....................................................74217
1068.10 Heading revised............................................74217
1068.15 Heading and (a) revised....................................74217
1068.20 (b) and (c) removed; (d), (e) and (f) redesignated as new 
        (b), (c)and (d)............................................74217
1068.27 Revised....................................................74217
1068.30 Revised....................................................74218
1068.31 Heading, introductory text and (c) revised.................74221
1068.32 Added......................................................74221
1068.35 Heading revised............................................74222
1068.40 Heading and (a) revised; (c) removed.......................74222
1068.45 (e) revised; (g) and (h) added.............................74222
1068.95 Revised....................................................74222
1068.101 Introductory text, (a)(1), (2), (3), (b)(1) introductory 
        text, (2), (3), (4), (5) introductory text, (6) and (h) 
        introductory text revised..................................74222
1068.103 Revised...................................................74224
1068.105 (a) and (c)(2) revised....................................74225
1068.110 Heading and (d) revised...................................74225
1068.115 Heading revised...........................................74225
1068.120 Heading and (f) revised...................................74225
1068.125 (b) introductory text revised.............................74226
1068.201 Heading, introductory text, (a) and (c) revised...........74226
1068.210 Heading and (e) revised...................................74226
1068.215 Heading, (a) and (c)(3)(iv) revised.......................74226
1068.220 Revised...................................................74226
1068.225 Revised...................................................74227
1068.230 Heading, (b) and (c) revised..............................74227
1068.235 Revised...................................................74227
1068.240 Heading, (b)(3), (c)(1), (3), (d)(2)(ii) and (e) 
        introductory text revised..................................74227
1068.245 Heading and (g)(4) revised................................74228
1068.250 Heading, (c) introductory text and (k)(4) revised; (h) 
        removed....................................................74228

[[Page 627]]

1068.255 Heading and (a) introductory text revised.................74228
1068.260 Revised...................................................74228
1068.261 Heading and (a) revised...................................74229
1068.262 Revised...................................................74229
1068.265 Heading revised...........................................74231
1068.301 Heading, (b) and (d) revised; (e) added...................74231
1068.305 (b)(1) and (2) revised....................................74231
1068.310 Heading and (a) revised...................................74231
1068.315 Heading and (i) revised...................................74231
1068.325 Heading, introductory text, (a), (c), (d) and (j)(5) 
        revised....................................................74231
1068.335 Heading revised...........................................74231
1068.360 Heading and (b) revised...................................74231
1068.401 Revised...................................................74232
1068.405 (a)(1) revised............................................74232
1068.415 (c) and (d) revised.......................................74232
1068.420 (b) and (e) revised.......................................74232
1068.425 (b) revised...............................................74232
1068.430 (c) revised...............................................74232
1068.450 (b) revised...............................................74232
1068.501 (a)(1)(iv), (8) and (b)(1)(iii) revised...................74232
1068.505 (a), (c) and (g) revised..................................74233
1068.510 (a)(6), (b) and (h) revised...............................74233
1068.515 (a) and (c) revised.......................................74233
1068.520 (b) revised...............................................74233
1068.530 Introductory text revised.................................74233
1068.601--1068.650 (Subpart G) Revised.............................74233
1068 Appendix I amended............................................74235
Chapter VIII
1800.1 Regulation at 80 FR 77584 eff. date confirmed...............21478
1800.100--1800.500 (Subpart C) Regulation at 80 FR 77584 eff. date 
        confirmed..................................................21478

                                  2017

40 CFR
                                                                   82 FR
                                                                    Page
Chapter I
1601 Revised.......................................................45502
    Regulation at 82 FR 45502 confirmed............................57875
1700.2 (a) revised..................................................3182
    Regulation at 82 FR 3182 eff. date delayed to 3-21-17...........9682
1700.3 Amended......................................................3182
    Regulation at 82 FR 3182 eff. date delayed to 3-21-17...........9682
1700.14--1700.42 (Subpart D) Revised................................3183
    Regulation at 82 FR 3183 eff. date delayed to 3-21-17...........9682

                                  2018

                       (No regulations published)

                                  2019

   (Regulations published from January 1, 2019, through July 1, 2019)

40 CFR
                                                                   84 FR
                                                                    Page
Chapter I
1065.670 (a) introductory text reinstated; CFR correction...........9243


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